REQUEST FOR PROPOSALS FOR Human Capital … · Human Capital Management Solution ISSUING OFFICE ... REQUEST FOR PROPOSALS FOR Human Capital Management ... be no pre-proposal conference

REQUEST FOR PROPOSALS FOR

Human Capital Management Solution

ISSUING OFFICE

Pennsylvania Turnpike Commission

Contracts Administration Department

On behalf of the

Department of Human Resources

And

Department of Information Technology

RFP NUMBER 17-10360-7998

DATE OF ISSUANCE October 6, 2017

i.

REQUEST FOR PROPOSALS FOR


TABLE OF CONTENTS

Part I - GENERAL INFORMATION FOR PROPOSERS page 1 Part II - INFORMATION REQUIRED FROM PROPOSERS page 8 Part III - CRITERIA FOR SELECTION page 14 Part IV - WORK STATEMENT page 16 APPENDIX A – STANDARD AGREEMENT APPENDIX B – PROPOSER QUESTIONS FORM APPENDIX C – PROPOSAL COVER SHEET APPENDIX D– INSURANCE SPECIFICATION APPENDIX E – DIVERSE BUSINESS (DB) REQUIREMENTS APPENDIX F – COMMISSION BUSINESS EVENTS CALENDAR APPENDIX G – EXISTING SAP LANDSCAPE DIAGRAM APPENDIX H – SERVICE LEVELS APPENDIX I – CURRENT INTERFACES APPENDIX J – COMMISSION RETENTION SCHEDULE REQUEST FOR PROPOSAL EXHIBITS WORKBOOK 1 – TECHNICAL SUBMITTAL WORKBOOK 2 – DIVERSE BUSINESS REQUIREMENTS WORKBOOK 3 – COST SUBMITTAL

ii.

CALENDAR OF EVENTS

RFP #17-10360-7998

The Commission reserves the right to make changes or alterations to this schedule as the Commission determines is in its best interest.

Activity Date Time

Request for Proposals Issued October 6, 2017 N/A

Deadline for Proposers to Submit Questions via email to [email protected]

October 27, 2017 2:00 PM

Answers to Proposers questions posted to the Commission website at https://www.paturnpike.com/Procurement/Bidlist.aspx?RTYPE=O (Estimate Only)

November 10, 2017

N/A

Due Date for Proposals December 6, 2017 2:00 PM

Oral Clarifications/Presentations (If necessary) TBD TBD

Anticipated Notice to Proceed (Estimate Only) May 31, 2018 N/A

iii.

mailto:[email protected]

https://www.paturnpike.com/Procurement/Bidlist.aspx?RTYPE=O

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PART I GENERAL INFORMATION FOR PROPOSERS

I-1. Purpose. This request for proposals (RFP) provides interested Proposers with sufficient information to enable them to prepare and submit proposals for consideration by the Pennsylvania Turnpike Commission (Commission) to satisfy a need for Human Capital Management (HCM) Solution Procurement. I-2. Issuing Office. This RFP is issued for the Commission by the Contracts Administration Department on behalf of the Human Resources Department by the Information Technology Department. I-3. Scope. This RFP contains instructions governing the proposals to be submitted and the material to be included therein; a description of the service to be provided; requirements which must be met to be eligible for consideration; general evaluation criteria; and other requirements to be met by each proposal. I-4. Problem Statement. The Commission presently uses an on premises SAP HCM application (SAP version ERP Central Component (ECC) 6.0, Enhancement Pack (EHP) 5, Stack 14) to support core human resources transactions. There are three functional areas however where the Commission seeks to expand present capabilities some of which are manual. These three functional areas include: • Recruiting / Onboarding • Performance Management • Learning Management Improved functionality in these three areas is a priority over any expanded capabilities for core HCM functions. Given these priorities the Commission is seeking proposals for the addition of these expanded capabilities preferably through off premises applications (e.g., cloud based applications, Software-as-a-Service (SaaS) applications). The Commission will accept proposals that prioritize these three functional areas and optionally address transition and/or expansion of other current core human resources capabilities to a new platform. I-5. Type of Contract. It is proposed that if a contract is entered into as a result of this RFP, it will be a fixed price implementation and an annual fee for services. The Commission may in its sole discretion undertake negotiations with Proposers whose proposals as to price and other factors show them to be qualified, responsible, responsive and capable of performing the work. A sample Contractual Agreement is provided in Appendix A. I-6. Contractor Integrity Provisions. Contractor Integrity Provisions will apply to this contract upon award and the awarded vendor may be required to complete a Background Qualifications Questionnaire prior to entering into an Agreement with the Commission and attend annual ethics training provided by the Commission. Proposers can find these two documents on the Commissions website at www.paturnpike.com (Doing Business, General Information, Integrity Provisions). Include full disclosure of any potential conflict with the State Adverse Interest of State Advisor or Consultant Statute by the prime or any subconsultant. If there is no adverse interest you shall include the following statement: "I have reviewed the State Adverse Interest Statute and determined that there is no

http://www.paturnpike.com/

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adverse interest for anyone on this Agreement team." This information should be included in your transmittal letter/cover page or executive summary. I-7. Rejection of Proposals. The Commission reserves the right to reject any and all proposals received as a result of this request, or to negotiate separately with competing Proposers. I-8. Subcontracting. Any use of subcontractors by a Proposer must be identified in the proposal. During the contract period use of any subcontractors by the successful Proposer, which were not previously identified in the proposal, must be approved in advance in writing by the Commission. If a Joint Venture responds to this RFP, the Commission will not accept separate proposals from joint venture constituents. A firm will not be permitted to submit a proposal on more than one (1) joint venture for the same RFP. Also, a firm that responds to this RFP as a prime may not be included as a designated subconsultant to another firm that responds to the same RFP. Multiple responses under any of the forgoing situations will cause the rejection of all responses of the firm or firms involved. This does not preclude a firm from being set forth as a designated subconsultant to more than one prime consultant responding to the RFP. I-9. Incurring Costs. The Commission is not liable for any costs the Proposer incurs in preparation and submission of its proposal, in participating in the RFP process or in anticipation of award of contract. I-10. Procurement Schedule of Events. The current Schedule for Key Procurement Dates for this procurement process leading to an award of the Contract is provided in the Calendar of Events, page iii of this RFP. The Commission reserves the right to make changes or alterations to this schedule as the Commission determines is in its best interest. All changes to these dates and/ or times up to and including the due date for Proposals will be issued as an addendum to this RFP and will become part of this RFP and will be posted to the Commission’s website at https://www.paturnpike.com/procurement/Bidlist.aspx?rtype=o. I.11. Questions and Answers. Questions and Answers. There will be no pre-proposal conference for this RFP. No negotiations, decisions or actions shall be initiated or executed by a Proposer as a result of any oral discussions with any Commission member, employee, consultant/contractor. Written questions may be submitted to clarify any points in the RFP which may not have been clearly understood. Written questions shall be submitted by email to [email protected] with RFP 17-10360-7998 in the Subject Line to be received no later than the date and time provided on the Calendar of Events. All questions and written answers will be issued as an addendum to and become part of the RFP and will be posted to the Commission’s website at (http://www.paturnpike.com/procurement/Bidlist.aspx?rtype=o), approximately on or before the date provided on the Calendar of Events and only if necessary. Proposers shall use the form provided in Appendix B to submit the questions. I-12. Addenda to the RFP. If it becomes necessary to revise any part of this RFP before the proposal response date, addenda will be posted to the Commission’s website under the original RFP document. It is the responsibility of the Proposer to periodically check the website for any new information or addenda to the RFP. The Commission may revise a published advertisement. If the Commission revises a published advertisement less than ten days before the RFP due date, the due date will be extended to maintain the minimum ten-day advertisement duration if the revision alters the project scope or selection criteria. Firms

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are responsible to monitor advertisements/addenda to ensure the submitted proposal complies with any changes in the published advertisement. I-13. Response. To be considered, proposals must be delivered to the Pennsylvania Turnpike Commission’s Contracts Administration Department, Attention: Stephanie Newbury, on or before the date and time provided on the Calendar of Events. The Commission will not accept proposals via email or facsimile transmission. Overnight Delivery Address: US Mail Delivery Address: Contracts Administration Department Contracts Administration Department Attn: Stephanie Newbury Attn: Stephanie Newbury PA Turnpike Commission PA Turnpike Commission 700 South Eisenhower Blvd. P.O. Box 67676 Middletown, PA 17057 Harrisburg, PA 17106 Phone: (717) 831-7483 Please note that use of U.S. Mail, FedEx, UPS, or other delivery method, does not guarantee delivery to the Contracts Administration Department by the above listed time for submission. Proposers mailing proposals should allow sufficient delivery time to ensure timely receipt of their proposals. If the Commission office location to which proposals are to be delivered is closed on the proposal response date, due to inclement weather, natural disaster, or any other cause, the deadline for submission shall be automatically extended until the next Commission business day on which the office is open. Unless the Proposers are otherwise notified by the Commission, the time for submission of proposals shall remain the same. I-14. Proposals. To be considered, Proposers should submit a complete response to this RFP, using the format provided in PART II. Each proposal should be submitted in six (6) hard copies of the Technical Submittal, six (6) hard copies of the Diverse Business (DB) participation submittal, and six (6) hard copies of the Cost Submittal. In addition to the hard copies of the proposal, two complete and exact copies of the Technical, Cost and DB submittals, along with all requested documents on CD-ROM or Flash Drive in Microsoft Office or Microsoft Office-compatible format. The electronic copy must be a mirror image of the hard copy. Proposer should ensure that there is no costing information in the technical submittal. The CD or Flash drive should clearly identify the Proposer and include the name and version number of the virus scanning software that was used to scan the CD or Flash drive before it was submitted. The Proposer shall present the proposal to the Contracts Administration Department only. No other distribution of proposals will be made by the Proposer. Each proposal page should be numbered for ease of reference. An official authorized to bind the Proposer to its provisions must sign the proposal. If the official signs the Proposal Cover Sheet (Appendix C to this RFP) and the Proposal Cover Sheet is attached to the proposal, the requirement will be met. For this RFP, the proposal must remain valid for at least 180 days. Moreover, the contents of the proposal of the successful Proposer will become contractual obligations if a contract is entered into. Each and every Proposer submitting a proposal specifically waives any right to withdraw or modify it, except as hereinafter provided. Proposals may be withdrawn by written or fax notice (fax number (717) 986-8714) received at the Commission’s address for proposal delivery prior to the exact hour and date specified for proposal receipt.

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However, if the Proposer chooses to attempt to provide such written notice by fax transmission, the Commission shall not be responsible or liable for errors in fax transmission. A proposal may also be withdrawn in person by a Proposer or its authorized representative, provided his/her identity is made known and he/she signs a receipt for the proposal, but only if the withdrawal is made prior to the exact hour and date set for proposal receipt. A proposal may only be modified by the submission of a new sealed proposal or submission of a sealed modification which complies with the requirements of this solicitation. I-15. Economy of Preparation. Proposals should be prepared simply and economically, providing a straightforward, concise description of the Proposer’s ability to meet the requirements of the RFP. I-16. Discussions for Clarification. Proposers who submit proposals may be required to make an oral or written clarification of their proposals to the Issuing Office through the Contract Administration Department to ensure thorough mutual understanding and Proposer responsiveness to the solicitation requirements. The Issuing Office through the Contract Administration Department will initiate requests for clarification. I-17. Best and Final Offers. The Issuing Office reserves the right to conduct discussions with Proposers for the purpose of obtaining “best and final offers.” To obtain best and final offers from Proposers, the Issuing Office may do one or more of the following: a) enter into pre-selection negotiations; b) schedule oral presentations; and c) request revised proposals. This oral presentation may include demonstration scripts based on key service requirements. The Issuing Office will limit any discussions to responsible Proposers whose proposals the Issuing Office has determined to be reasonably susceptible of being selected for award. I-18. Prime Proposer Responsibilities. The successful Proposer will be required to assume responsibility for all services offered in its proposal whether or not it produces them. Further, the Commission will consider the successful Proposer to be the sole point of contact with regard to contractual matters. I-19. Proposal Contents. Proposals will be held in confidence and will not be revealed or discussed with competitors, unless disclosure is required to be made (i) under the provisions of any Commonwealth or United States statute or regulation; or (ii) by rule or order of any court of competent jurisdiction. All material submitted with the proposal becomes the property of the Pennsylvania Turnpike Commission and may be returned only at the Commission’s option. Proposals submitted to the Commission may be reviewed and evaluated by any person other than competing Proposers at the discretion of the Commission. The Commission has the right to use any or all ideas presented in any proposal. Selection or rejection of the proposal does not affect this right.

In accordance with the Pennsylvania Right-to-Know Law (RTKL), 65 P.S. § 67.707 (Production of Certain Records), Proposers shall identify any and all portions of their Proposal that contains confidential proprietary information or is protected by a trade secret. Proposals shall include a written statement signed by a representative of the company/firm identifying the specific portion(s) of the Proposal that contains the trade secret or confidential proprietary information.

Proposers should note that “trade secrets” and “confidential proprietary information” are exempt from access under Section 708(b)(11) of the RTKL. Section 102 defines both “trade secrets” and “confidential proprietary information” as follows:

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Confidential proprietary information: Commercial or financial information received by an agency:

(1) which is privileged or confidential; and (2) the disclosure of which would cause substantial harm to the competitive position of the person that submitted the information.

Trade secret: Information, including a formula, drawing, pattern, compilation, including a

customer list, program, device, method, technique or process that: (1) derives independent economic value, actual or potential, from not being generally known to and not being readily ascertainable by proper means by other persons who can obtain economic value from its disclosure or use; and (2) is the subject of efforts that are reasonable under the circumstances to maintain its secrecy. The term includes data processing software by an agency under a licensing agreement prohibiting disclosure.

65 P.S. §67.102 (emphasis added).

The Office of Open Records has determined that a third party must establish a trade secret based upon factors established by the appellate courts, which include the following:

the extent to which the information is known outside of his business; the extent to which the information is known by employees and others in the business; the extent of measures taken to guard the secrecy of the information; the value of the information to his business and to competitors; the amount of effort or money expended in developing the information; and the ease of difficulty with which the information could be properly acquired or duplicated by

others.

See Crum v. Bridgestone/Firestone North Amer. Tire., 907 A.2d 578, 585 (Pa. Super. 2006).

The Office of Open Records also notes that with regard to “confidential proprietary information the standard is equally high and may only be established when the party asserting protection shows that the information at issue is either ‘commercial’ or ‘financial’ and is privileged or confidential, and the disclosure would cause substantial competitive harm.” (emphasis in original). For more information regarding the RTKL, visit the Office of Open Records’ website at www.openrecords.state.pa.us. I-20. Debriefing Conferences. Proposers whose proposals are not selected will be notified of the name of the successful Proposer and given the opportunity to be debriefed, at the Proposer’s request. The Issuing Office will schedule the time and location of the debriefing. The Proposer will not be compared with other Proposers. I-21. News Releases. News releases pertaining to this project will not be made without prior Commission approval, and then only in coordination with the Issuing Office. I-22. Commission Participation. Unless specifically noted in this section, Proposers must provide all services to complete the identified work. Although the Commission will assemble a team to work with the successful Proposer to facilitate the analysis of business processes and procedures, it should be noted that Commission resources are limited. There will be a Commission project manager assigned to this effort however there is no expectation that the Commission will provide any programming, clerical, administrative or training support other than what is required to effectively design and test the system.

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The Commission does not anticipate providing office space, reproduction facilities, or other logistical support beyond shared support needed for system design and testing. To accommodate the number of Commission personnel that may be involved with this effort throughout planning and implementation, the Proposer’s solution would ideally include an on-site presence. The Proposer should assume that Commission employee participation will be at the Commission’s facilities. I-23. Cost Submittal. The cost submittal shall be placed in a separately sealed envelope within the sealed proposal and kept separate from the technical submittal. I-24. Term of Contract. The term of the contract will commence on the Effective Date (as defined below) and will end after a three (3) year base term (including implementation). The Commission shall fix the Effective Date after the contract has been fully executed by the Contractor and by the Commission and all approvals required by Commission contracting procedures have been obtained. Following the initial three (3) year term of the contract that includes the initial implementation and transition period, the Commission may opt to renew the contract for up to five years, either incrementally or all at once, subject to continued availability of funding and satisfactory performance. The Commission would also expect to put a mechanism in place to limit cost increases in renewal periods, such as a maximum increase allowance based upon the Consumer Price Index (CPI). I-25. Proposer’s Representations and Authorizations. Each Proposer by submitting its proposal understands, represents, and acknowledges that:

a. All information provided by, and representations made by, the Proposer in the proposal are material and important and will be relied upon by the Issuing Office in awarding the contract(s). Any misstatement, omission or misrepresentation shall be treated as fraudulent concealment from the Issuing Office of the true facts relating to the submission of this proposal. A misrepresentation shall be punishable under 18 Pa. C.S. 4904.

b. The price(s) and amount of this proposal have been arrived at independently and without

consultation, communication or agreement with any other Proposer or potential Proposer. c. Neither the price(s) nor the amount of the proposal, and neither the approximate price(s)

nor the approximate amount of this proposal, have been disclosed to any other firm or person who is a Proposer or potential Proposer, and they will not be disclosed on or before the proposal submission deadline specified in the response section of this RFP.

d. No attempt has been made or will be made to induce any firm or person to refrain from

submitting a proposal on this contract, or to submit a proposal higher than this proposal, or to submit any intentionally high or noncompetitive proposal or other form of complementary proposal.

e. The proposal is made in good faith and not pursuant to any agreement or discussion with,

or inducement from, any firm or person to submit a complementary or other noncompetitive proposal.

f. To the best knowledge of the person signing the proposal for the Proposer, the Proposer,

its affiliates, subsidiaries, officers, directors, and employees are not currently under

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investigation by any governmental agency and have not in the last four (4) years been convicted or found liable for any act prohibited by State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding or proposing on any public contract, except as disclosed by the Proposer in its proposal.

g. To the best of the knowledge of the person signing the proposal for the Proposer and except

as otherwise disclosed by the Proposer in its proposal, the Proposer has no outstanding, delinquent obligations to the Commonwealth including, but not limited to, any state tax liability not being contested on appeal or other obligation of the Proposer that is owed to the Commonwealth.

h. The Proposer is not currently under suspension or debarment by the Commonwealth, or

any other state, or the federal government, and if the Proposer cannot certify, then it shall submit along with the proposal a written explanation of why such certification cannot be made.

i. The Proposer has not, under separate contract with the Issuing Office, made any

recommendations to the Issuing Office concerning the need for the services described in the proposal or the specifications for the services described in the proposal.

j. Each Proposer, by submitting its proposal, authorizes all Commonwealth agencies to

release to the Commission information related to liabilities to the Commonwealth including, but not limited to, taxes, unemployment compensation, and workers’ compensation liabilities.

I-26. Indemnification. The Proposer shall be responsible for, and shall indemnify, defend, and hold harmless the Commission and its Commissioners, officers, employees, and agents from any claim, liability, damages, losses, causes of action, and expenses, including reasonable attorneys’ fees, arising from damage to life or bodily injury or real or tangible personal property caused by the negligence or other tortious acts, errors, and omissions of Proposer, its employees, or its subcontractors while engaged in performing the work of the Agreement or while present on the Commission’s premises, and for breach of the Agreement regarding the use or nondisclosure of proprietary and confidential information where it is determined that Proposer is responsible for any use of such information not permitted by the Agreement. The indemnification obligation shall not be limited in any way by any limitation on the amount or type of damages, compensation or benefits payable by or for Contractor or its subcontractors under Workers’ Compensation Acts, Disability Benefits Acts, or other Employee Benefit Act. I-27. Insurance. Proposer will comply with the Insurance requirements as described in Appendix D - Insurance Specification. I-28. Diverse Business (DB) Requirements. Proposer will comply with the DB Requirements as described in Appendix E – Diverse Business (DB) Requirements.

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PART II

INFORMATION REQUIRED FROM PROPOSERS Proposals must be submitted in the format, including heading descriptions, outlined below. To be considered, the proposal must respond to all requirements in this part of the RFP. Any other information thought to be relevant, but not applicable to the enumerated categories, should be provided as an appendix to the proposal. All cost data relating to this proposal and all Diverse Business cost data should be kept separate from and not included in the Technical Submittal. Each proposal shall consist of three separately sealed submittals:

1. Technical Submittal, which shall be a response to RFP Part II, Sections II-A- II-B, and Workbook 1 provided as part of this procurement;

2. Diverse Business Participation Submittal, in response to RFP Part II, Section II-2, and Workbook 2 provided as part of this procurement; and

3. Cost Submittal, in response to RFP Part II, Section II-3, and Workbook 3 provided as part of this procurement.

The Commission reserves the right to request additional information which, in the Commission’s opinion, is necessary to assure that the Proposer’s competence, number of qualified employees, business organization, and financial resources are adequate to perform according to the RFP. The Commission may make such investigations as deemed necessary to determine the ability of the Proposer to perform the work, and the Proposer shall furnish to the Issuing Office all such information and data for this purpose as requested by the Commission. The Commission reserves the right to reject any proposal if the evidence submitted by, or investigation of, such Proposer fails to satisfy the Commission that such Proposer is properly qualified to carry out the obligations of the agreement and to complete the work specified. II-1

A. Proposal Cover Sheet [Appendix C] Show the name of your firm, Federal I.D. number, address, name of contact person, contact person’s email and telephone number date and the subject: Human Capital Management Solution, RFP 17-10360-7998. Appendix C must be signed by an individual who is authorized to negotiate terms, render binding decisions and commit your firm’s resources. In addition, it is required that all information requested in Appendix C be provided including information pertaining to location of office performing the work, contact information, listing of all Pennsylvania offices and total number of Pennsylvania employees, and location of company headquarters.

B. Table of Contents Include a clear identification of the material by section and by page number.

1. Executive Summary – This section provides the opportunity for Proposers to summarize their understanding of the work to be done and make a positive commitment to perform the work necessary. Topics covered in this overview are at the Proposer’s discretion however this section should summarize the key points of your submittal and possibly highlight key differentiators between your solution and what other Proposers

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might be able to provide. Include in this section or in the proposal cover letter a statement regarding full disclosure of any potential conflict with the State Adverse Interest of State Advisor or Consultant Statute as instructed in Proposal Section I-6 Contractor Integrity Provisions.

2. Solution Overview – This section provides the opportunity for Proposers to describe the overall solution to ensure that the Commission can visualize how this SaaS solution would be delivered. This description should allow the Commission to understand the overall approach, commitments and timeframe associated with the Proposer’s solution within several subsections:

2.1 Proposer Narrative of Solution Overview – Proposers shall provide a

narrative describing the overall solution, giving enough detail to illustrate the overall approach, commitments and timeframe associated with the Proposer’s solution.

2.2 Proposer Narrative of Technical Approach – Proposers shall provide the Commission a narrative describing the Proposer’s technical solution strategy for the delivery and support of proposed solution.

2.3 Implementation Approach – Proposers shall provide the Commission a narrative describing the Proposer’s strategy for and approach to the proposed solution’s implementation and the Proposer’s governance strategy to support relationship management and governance services.

2.4 Solution Strategic Direction – Proposers shall provide the Commission a narrative describing its company’s strategic direction for its solution and any implications that this strategy may have on the Commission.

2.5 Key Assumptions and Dependencies – Proposers shall identify any and all key assumptions and dependencies made while creating the proposal and specify their impacts on schedule or functionality (including services levels).

It is anticipated that this solution overview will be key to understanding the Proposer’s assumptions and the changes planned in the solution.

3. Proposer Organization Background and Qualifications – This section provides the opportunity for Proposers to provide additional information to the Commission regarding their organization. Information provided should describe the Proposer’s business organization and its HCM service expertise and experience as it relates to the requirements discussed in Part IV of this RFP within several subsections

3.1 General Corporate Information – Proposers shall provide the Commission

with information related to its firm and any contracting entities, experience, current licenses and insurance, and any risk mitigation strategies to maintain quality of work.

3.2 Subcontractors – Proposers shall provide the Commission with subcontractor information, if applicable. If you propose to subcontract any portion of the work described in your response, the subcontracted firm or firms must be identified in this section. The role of the firm or firms should be explained along with a description of the specific expertise and services that the firm or firms contribute to the overall value of your proposal.

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3.3 History of Proposer Organizational Experience – Proposers shall provide the Commission with a brief background of the Proposer’s organization, including skills pertinent to the work required by the RFP, and its presence in the Commonwealth of Pennsylvania.

3.4 Client References - Implementation – Proposers shall provide the Commission with examples of previous implementation projects that reflect the experience and expertise needed to complete the work required by the RFP. These projects must be of similar scope and size to the project required by the RFP.

3.5 Client References – Hosting – Proposers shall provide the Commission with client hosting reference information. These references must be for projects in which the Proposer is providing services similar to those described in the RFP.

3.6 Team Overview – Proposers shall provide the Commission with an overview of the team proposed for solution implementation. Required information includes an organization chart; and background, experience, current professional licenses, and geographic location of the proposed staff.

In the written submissions, Proposers may include supplemental information that they may believe to be helpful in the evaluation of their RFP response.

4. Requirements Matrix – This section provides the opportunity for Proposers to respond to specific Commission requirements relating directly to the solution being requested as part of this procurement. This section is broken into the following sections:

4.1 Requirements Matrix Overview – This subsection outlines which Requirements Matrix items. Proposers should modify and how these items should be modified. No Proposer response is required in this subsection.

4.2 Requirements Matrix – Priority Capabilities– This subsection includes technical and functional requirements for priority capabilities for the proposed solution. Proposer shall include responses to the technical and functional requirements in this subsection.

4.3 Requirements Matrix – Optional Capabilities - This subsection includes technical and functional requirements for the optional capabilities for the proposed solution. Proposer shall include responses to the technical and functional requirements in this subsection.

The Proposer will have an opportunity to provide information within this matrix as instructed, and any additional functionality proposed by the Proposer should be clearly marked as above and beyond the stated requirements.

5. Transition Overview & Plan – This section the opportunity for Proposers to insert their responses to some key transition questions. Note due to the nature of transition planning, Proposers are encouraged to make their answers as comprehensive as possible within the following sections:

5.1 Transition Approach – Proposers shall describe the key objectives of the transition of functionality described in the RFP. Proposers shall also include critical success factors for the transition.

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5.2 Planning Considerations – Proposers shall indicate how they will plan their transition, taking into consideration the Commission’s business events identified in Appendix F, and high-level assumptions made. The Proposer shall also describe their transition approach to standard work streams, risk management, and project management.

5.3 Transition Staffing – Proposers shall indicate the Commission resources’ levels of commitment to the transition/transformation.

5.4 Transition Plan Narrative – Proposers shall provide the Commission with a narrative describing the Proposer’s overall transition plan with enough detail for the Commission to understand the Proposer’s approach and the commitments and timeframe associated with it.

5.5 Transition Plan – Proposers shall provide the Commission with a Transition Plan detailing the transition’s work streams and corresponding tasks, resources assignments, deliverables and milestones, phasing, detailed assumptions, required decision points, and transition risks.

5.6 Transition Phasing of Go-Live Dates – Proposers shall describe transition phasing of go-live dates in a phased implementation approach, including the logic behind determining various phases and go-live dates and details on proposed “acceptance gates” for additional work.

5.7 Transition Services Not Fully Provided by the Proposer – Proposers shall list transition services required in the RFP but not included in the Proposer’s base charges.

5.8 Strategic Direction – Proposers shall describe its HCM strategic direction and the implications this direction has for the Commission.

This section also provides the opportunity for Proposers to provide more information regarding their company background.

6. Governance and Relationship Management – This section provides the opportunity for Proposers to describe their views on effective governance functions (organization and process) as a key success factor for the solution. The core governance processes required are presented in several subsections:

6.1 Governance Overview – Proposers shall provide a list of reports intended to be delivered and a sample agenda for each service review.

6.2 Governance Staffing – Proposers shall describe the governance organization, roles, responsibilities, structure and staffing levels for the organization and the Commission.

6.3 Solution Enhancements – Proposers shall describe the process for recommending solution enhancements and for soliciting feedback from solution users.

6.4 Critical Issues Management – Proposers shall provide the Commission with a description of its protocols for determining critical issues, determining their cause, escalating the issues, and tracking the critical issues.

6.5 Strategic and Business Change Management – Proposers shall provide the Commission with a description of its protocols for determining strategic changes, notifying stakeholders, escalating strategic changes, tracking changes and managing strategic changes.

6.6 Compliance Management – Proposers shall describe their compliance management process.

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6.7 Communications Management – Proposers shall describe their communications protocol with Commission stakeholders, such as for identifying new Business Requirements. Proposer shall also describe their strategy for internal communication, partnership alignment, and third part communication.

Significant commitment is required by both parties to ensure adequate resourcing is provided for, and the appropriate processes are implemented.

II-2 Diverse Business (DB) Requirements [Appendix E and Workbook 2]

The Commission’s Diverse Business (DB) Requirements for this procurement and a resulting contract are identified in Appendix E. There is no minimum participation level (MPL) for DBs established for this contract. However, the utilization of DBs are encouraged and will be considered as criteria in the evaluation of proposals and may be considered as a factor in the Commission’s selection of a firm for this contract.

The Proposer must certify in its DB Requirements Workbook 2 submittal that it meets the requirements set forth in the Commission’s DB Requirements - Appendix E. In particular, the Proposer shall address the section of the DB Requirements labeled, “Actions Required by Proposer during the procurement/consultant selection phase”. In addition, the DB participation submittal shall indicate the amount of DB participation incurred in the proposal in terms of dollars committed or percentage of total contract amount.

II-3 Cost Submittal. [Workbook 3]

The information requested in this section shall constitute your cost submittal. THE COST SUBMITTAL SHALL BE PLACED IN A SEPARATE SEALED ENVELOPE WITHIN THE SEALED PROPOSAL AND ON A CD-ROM, SEPARATE FROM THE TECHNICAL SUBMITTAL.

Proposers should not include any assumptions in their cost submittals. If the proposer includes assumptions in its cost submittal, the Issuing Office may reject the proposal. Proposers should direct in writing to the Issuing Office pursuant to Part I-11, Questions and Answers of this RFP any questions about whether a cost or other component is included or applies. All Proposers will then have the benefit of the Issuing Office’s written answer so that all proposals are submitted on the same basis.

The Proposer must complete Workbook 3, Cost Submittal, and provide information requested in several sections; The total cost you are proposing must be broken down by the components listed below:

Workbook #3, Cost Submittal – This section provides the opportunity for Proposers to submit their financial response and to document any relevant cost assumptions associated with the solution. Core governance processes required are presented in several subsections:

1.1 Implementation Costs – Proposers shall identify deliverable and task costs aligned by implementation stage to the Commission to complete the services required in the RFP.

1.2 Annual Support and Subscription Fees – Proposers shall identify annual fees during the base three-year term.

1.3 Cost Summary – Proposers shall provide an annual summary of all costs included in this proposal.

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1.4 Rate Cards – The Proposer’s rate card schedules should provide the individual rates by category of resource that could be leveraged for time and material and/or projects outside the scope of this procurement.

Any costs not provided in the cost proposal will be assumed as no charge to the Commission.

The successful Proposer shall only perform work on the Contract after the Effective Date is affixed and the fully-executed contract sent to the successful Proposer. The Commission shall issue a written Notice to Proceed to the successful Proposer authorizing the work to begin on a date which is on or after the Effective Date. The successful Proposer shall not start the performance of any work prior to the date set forth in the Notice of Proceed and the Commission shall not be liable to pay the successful Proposer for any service or work performed or expenses incurred before the date set forth in the Notice to Proceed. No Commission employee has the authority to verbally direct the commencement of any work under the Contract.

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PART III

CRITERIA FOR SELECTION III-1. Mandatory Responsiveness Requirements. To be eligible for selection, a proposal shall be (a) timely received from a Proposer; and (b) properly signed by the Proposer. III-2. Technical Nonconforming Proposals. The two (2) Mandatory Responsiveness Requirements set forth in Section III-1 above (a&b) are the only RFP requirements that the Commission will consider to be non-waivable. The Issuing Office reserves the right, in its sole discretion, to (1) waive any other technical or immaterial nonconformities in the proposal, (2) allow the Proposer to cure the nonconformity, or (3) consider the nonconformity in the evaluation of the proposal. III-3. Proposal Evaluation. Proposals will be reviewed, evaluated, and rated by a Technical Evaluation Team (TET) of qualified personnel based on the evaluation criteria listed below. The TET will present the evaluations to the Professional Services Procurement Committee (PSPC). The PSPC will review the TET’s evaluation and provide the Commission with the firm(s) determined to be highly recommended for this assignment. The Commission will select the most highly qualified firm for the assignment or the firm whose proposal is determined to be most advantageous to the Commission by considering the TET’s evaluation and the PSPC’s determination as to each firm’s rating. In making the PSPC’s determination and the Commission’s decision, additional selection factors may be considered taking into account the estimated value, scope, complexity and professional nature of the services to be rendered and any other relevant circumstances. Additional selection factors may include, when applicable, the following: geographic location and proximity of the firm, firm’s Pennsylvania presence or utilization of Pennsylvania employees for the assignment; equitable distribution of work; diversity inclusion; and any other relevant factors as determined as appropriate by the Commission. Award will only be made to a Proposer determined to be responsive and responsible in accordance with Commonwealth Management Directive 215.9, Contractor Responsibility Program. III-4. Evaluation Criteria. The following criteria will be used, in order of relative importance from the highest to the lowest, in evaluating each proposal:

1. Proposer and Personnel Qualifications and Experience a. Proposer’s relevant experience and expertise in implementing, integrating and supporting

an HCM SaaS solution that interfaces to existing on premise solutions as it relates to the requirements discussed in Part IV of this RFP.

b. Qualifications, experience and competency of professional personnel who will be assigned to the contract by the Proposer including tenure with firm, length of time in the industry and type of experience.

c. Financial ability of the Proposer to undertake a project of this size. d. Response of references if the Commission elects to solicit them.

2. Approach a. Understanding of the Commission’s needs and scope of work. b. Soundness of proposed approach, methodology, and deliverables for implementing, an

HCM SaaS solution that meets the requirements discussed in Part IV of this RFP.

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c. Manner in which the Proposer will assist the Commission’s employees to adapt to the new solution (business process and system use).

d. Responsiveness to the Commission’s desire for expeditious timeline for completion. e. Quality, completeness and applicability of sample deliverables provided. f. Responsiveness, organization, and clarity of Proposal.

3. Cost.

While this area may be weighted heavily, it will not normally be the deciding factor in the selection process. The Commission reserves the right to select a proposal based upon all the factors listed above and will not necessarily choose the firm offering the best price. The Commission will select the firm with the proposal that best meets its needs, at the sole discretion of the Commission.

4. Commitment to Diversity and Inclusion. This refers to the inclusion of DB firms, as described in Part II-2. Participation may be measured in terms of total dollars committed or percentage of total contract amount to certified DB firms.

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PART IV

WORK STATEMENT IV-1. Objectives.

• Background Information and Overview. The Commission operates and maintains the Pennsylvania Turnpike, Pennsylvania’s toll highway that covers over 550 miles across the state. It operates independently from the Pennsylvania Department of Transportation (PennDOT). The Commission employs over 2,000 individuals across the state, including union members and contractors, and currently manages its human capital through the use of the on premises SAP HCM application (SAP version ECC 6.0, EHP 5, Stack 14). The specific SAP HCM modules in place and the key Commission processes these module support includes: • Personnel Administration (PA) – This module is used for key personnel actions such as

hiring, terminations, leave of absence, position and salary changes, position reclassifications, status changes, termination and retirement.

• Organizational Management (OM) – This module is integrated with PA and includes processes such as employee groups, account assignments, relationships, planned compensation and vacancies.

• Benefits (BN) – This module includes processes such as health plans, insurance plans and savings plans.

• Time Management (TM) – This module includes processes such as work schedules, absent and attendance types and quotas.

• Payroll (PY) – This module includes gross payroll processing and net payroll processing. • Training and Event Management (TEM) – This module includes processes such as class

scheduling, class management, attendance tracking and qualifications updates. • Compensation (CM) – This module includes support for management personnel using a

merit salary range configuration, and for hourly (union) employees are using a grade step salary structure.

• Performance Development (PD) – This module provides support for the appraisal system. • Employee Self Service (ESS) – This module is used in a limited fashion for key ESS

processes including personal information and updates, time entry, benefits participation, payroll statements and withholding and employee performance appraisal approvals. ESS is only accessed currently through internal Commission systems, and while users can access ESS through a VPN connection there is not an application that can be accessed.

• Manager Self Service (MSS) – This module is used in a limited fashion for key MSS processes including employee information and updates, time entry approvals, employee performance appraisals and manager reports.

• Business Intelligence (BI) – This module provides access to historical data at an operational and analytical view through the use of reports.

This SAP ECC 6.0 application has been maintained predominantly by internal Commission personnel and maintenance is current through EHP 5, Stack 14. The Commission anticipates upgrading to EHP 8 or the Stack level equivalent in the latter part of 2017. Workflow processing has been implemented for several specific actions, time approvals, performance appraisals and organizational management processes.

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The Commission also uses an OnBase application by Hyland software to store documents that make up the employee’s personnel file. These employee documents are related, but not limited, to the following functions:

• Personal correspondence • Dependent documents • I9 form • Background checks • Previous employment • Grievances • Address changes • Education history • Bond purchases • Payroll payment/deductions • Appraisals • Benefits • Leave of Absences • Worker’s compensation • Garnishments • EEO Compliances • Discipline • Absences

There may be a need in the solution to integrate with OnBase and to be capable of bulk changes of the integration data. The Commission also uses an in-house developed solution (SHARP) for recruiting.

• General – As described in Section I-4, the Commission uses an on premises SAP HCM

application (SAP version ECC 6.0, EHP 5, Stack 14) to support core human resources transactions. There are three functional areas, however, where the Commission’s objective is to expand present capabilities some of which are manual. These three functional areas include:

• Recruiting / Onboarding • Performance Management • Learning Management

Improved functionality in these three areas is a priority over any expanded capabilities or replacement of core HCM functions. Given these priorities, the Commission is seeking proposals for the addition of these capabilities preferably through off premises applications (e.g., cloud based applications, Software-as-a-Service (SaaS) applications).

• Specific – The work as it is defined below will become part of the contract resulting from this

procurement, and it will be the responsibility of the successful Proposer to ensure that it is performed to completion in accordance with the terms and conditions of the contract. Additional information is provided as applicable regarding each business function. Descriptions, requirements and other information in this section are not intended to be completely exhaustive and the successful Proposer is expected to perform the function or assist in the performance of the function to the satisfaction of the Commission regardless whether a specific detail is included or omitted in this outline of the scope of work. The solution can be phased if the Commission determines that a prioritization provides an advantage, but if so, it is the Commission’s preference that the process areas indicated below be included as early as possible.

• Recruiting/Onboarding • Performance Management • Learning Management

Please reference the existing SAP landscape diagram in Appendix G, EXSISTING SAP LANDSCAPE DIAGRAM for details on the interface and integration points which will need to be accounted for. The diagram reflects the connections for the active SAP modules affected

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by the replacement of the above mentioned three functional modules or entire HR suite. Bidirectional connectivity to affected functional modules will need to be maintained in real time.

IV-2. Nature and Scope of the Project. The scope of this project is to implement the requested solution. The Commission’s primary objective is to implement an appropriate solution for recruiting/onboarding, performance management, and learning management. The functional areas under consideration by the Commission include the following (**High priority functional areas):

• Recruiting/Onboarding ** • Performance Management** • Learning Management ** • Payroll • Time and Attendance and Labor Cost Distribution • Human Resources (Executive Information, Org Chart, Policy) • Employee Data and Records Management • Reporting • Personnel Actions • Position Control • Compensation and Classification Administration • Benefits Administration • Employee Communications and Self Service • Leave Administration • Organization Management

Beyond the high priority areas there is no implied priority. The scope of the successful Proposer’s work effort includes:

• Project Management and Communication Support • Solution Implementation, Integration and Interfacing (as applicable) • Training • Testing • Data Conversion • Support and Maintenance • Solution Rollout and Transition • Remote Hosting • Business Processes Change Management

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The Commission would prefer a solution that includes as few interfaces as needed while meeting the business needs of the three high priority functional areas. A solution that provides less complexity will be viewed as better aligned with the direction of the Commission. IV-3. Requirements. To accomplish the stated objectives of the Commission the following requirements should be addressed in Proposer responses.

Technical, Functional Requirements – The successful Proposer shall address the detailed Technical and Functional Requirements as presented in the Workbook 1 Requirements Matrix, as organized by the following:

Workbook 1 Sections Requirements Matrix Grouping

4.2.1 General Solution Requirements 4.2.2 General Technical Requirements 4.2.3 General Reporting Requirements 4.2.4 Learning Management Requirements 4.2.5 Performance Management Requirements 4.2.6 Recruiting/Onboarding 4.3.1 Employee Lifecycle Support Requirements 4.3.2 Time Entry Processing & Approval Requirements 4.3.3 Payroll Processing Requirements 4.3.4 Employee Benefit Requirements 4.3.5 Leave of Absence, Name Change, Dependent Change Requirements 4.3.6 Grievances & Union Bids Requirements

Service Level Agreements (SLAs) – The successful Proposer shall meet or exceed the service levels described in Appendix H. In addition, there are several SLA contract provisions included in Appendix H that the Commission anticipates including in the final contract. Project Management – The successful Proposer shall meet or exceed the project management functions outlined in Section IV-5. This includes developing a formalized project management approach and reporting to the Commission on a recurring basis.

Project Governance – The successful Proposer shall meet or exceed the governance functions outlined in Section IV-5. This includes governance staffing, managing solution enhancements, and managing regulatory compliance.

IV-4. Tasks. The specific tasks and deliverables required for this work are detailed below, as well as in Workbook 1, Technical Submittal. All deliverable plans require Commission approval prior to the successful Proposer executing the plan’s activities. 1. Project Planning. The successful Proposer shall be responsible for providing project management for

all required tasks, deliverables, reports described in the RFP and assisting the Commission’s Project Manager with setting organizational change goals and establishing an organizational change management approach. With the Commission’s input, the successful Proposer shall be responsible for developing a formalized approach to project management and Organizational Change Management (OCM). At a minimum, the following activities shall be performed:

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a. Develop Project Work Plan. The successful Proposer shall work with designated Commission staff to review the proposed work plan that is provided as part of the RFP proposal and refine it as necessary. The successful Proposer shall create and maintain the detailed project work plan using an automated project management tool, and the plan will be updated and submitted to the Commission Project Manager on a weekly basis, or on an agreed-upon recurring basis, through completion of post-implementation support. The Detailed Project Work Plan should include, but not be limited to, the following:

• Detailed list of tasks and sub-tasks to perform all work specified within the “Scope of Work”. Tasks and sub-tasks must include estimated work effort.

• Start and end dates for each task and sub-task. Tasks greater than 10 work days must be broken down into smaller sub-tasks.

• Relationships and dependencies for each task and sub-task presented in such a way that the critical path is clearly identified.

• Resource assignments that clearly reflect whether a task or sub-task is to be addressed by the successful Proposer, a sub-contractor, or Commission staff. Commission tasks must be shown separately from successful Proposer and sub-contractor tasks. For tasks involving Commission staff, the level of expertise required must be provided.

• Significant milestones/events that will assist in measuring the progress of the project. • All project deliverables, including interim deliverables, and associated submission

dates. • Detailed tasks for performing all tests in accordance with the Deployment

Certification Policy. • Tasks to reflect the deliverable submission and review process for each deliverable. • A Payment Schedule reflecting the payment deliverables for the contract and the

associated payment. • A list and description of assumptions and constraints.

b. Execute Project Management Plan. The successful Proposer’s Project Manager shall work with the Commission Project Manager to create and maintain a detailed Project Management Plan, which will document the management processes and procedures to be followed throughout the project. The plan should include, but not be limited to, the following sections:

• Issue Management • Change Management • Contract Management • Staffing • Communication • Risk Management • Quality Management

c. Develop Organizational Change Management (OCM) Plan. The successful Proposer shall illustrate an effective OCM approach with an understanding of where change resistance exists and how to manage each change impact as a risk to project success. The successful Proposer’s

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OCM lead for the project will be expected to bring knowledge and experience in these areas and to provide leadership in these areas. The successful Proposer organizational change management lead will be responsible for assisting the Commission Project Manager with the development of this change management approach that addresses the following areas:

• Gaining an understanding of change impacts to employee expectations • Communicating, teaching and training employees on the benefits of change • Sponsoring change through an established process like a change agent network • Training change agents to manage change • Managing change throughout the Project Life Cycle • Continuously communicating changes in expectations to key stakeholders and end

users. It is expected that the successful Proposer will play a significant role in establishing, implementing, and managing a plan in order to achieve these organizational change goals. This responsibility includes playing a key role in the critical communications and trainings required to prepare stakeholders. Deliverables:

i. Project Work Plan ii. Project Management Plan

iii. Organizational Change Management Plan 2. System Design. The successful Proposer shall be responsible for solution planning activities

including, at a minimum, developing approaches for Technical Environment and Architectural and Remote Hosting design; providing documentation for Technical Infrastructure, Configuration Management, Solution Accessibility and Solution Security; and validating that the solution meets the Commission’s technical and functional requirements.

a. Develop Technical Environment & Architectural Design Approach. The successful Proposer

shall work with designated Commission staff to review the proposed architectural design that is provided as part of the RFP proposal and refine it as necessary. The successful Proposer will be responsible for applying the desired additions and adjustments to the architectural design deliverable.

b. Develop Functional Design. The successful Proposer shall leverage standard functionality to

meet business requirements and illustrate in a functional design document (FDD) that can be reviewed by the commission and aligns to the goals of the Commission. This FDD should describe the proposer’s solution and identify impacted areas to aid with testing.

c. Develop Infrastructure Documentation. The successful Proposer shall provide infrastructure

documentation including, at a minimum, Technical Infrastructure to support the functionality provided and a vulnerability assessment process overview and report.

d. Develop Remote Hosting Approach. The successful Proposer shall comply with all hosting requirements in Section IV-3 and Workbook 1, Technical Submittal as the basis for a Managed Procedures Document. The successful Proposer shall prepare a Managed Procedures Document

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that clearly defines all aspects of the Hosting solution including hardware, software, term, periods, maintenance, disaster recovery, backups, storage management, physical security, successful Proposer and state responsibilities, pricing, refresh rates, etc.

e. Develop Configuration Management Plan. The successful Proposer will be responsible for implementing a configuration management plan that will be used throughout the life cycle of the solution. The plan should include, but not be limited to, a detailed set of instructions for installing and configuring the software, as well as hardware refresh rates and procedures and integrating security controls. The configuration management plan will, at a minimum, include the following processes:

• A Software Enhancement Implementation Cost Estimation process; • A process to support business and system requirements for any system

enhancements; • A process to develop, review and approve functional and technical designs and test

plans for any system enhancements; • A process for User Acceptance Testing of any approved system enhancements; • A process for release management, including a release impact assessment; • A process for scheduled migration to production of system fixes and fully approved

and tested system enhancements; and, • A process for developing and broadcasting, when applicable, enterprise

communications to Commission employees and Commission job applicants to accompany the introduction into production of any relevant system fixes or enhancements.

e. Develop Accessibility Documentation. The successful Proposer shall prepare a document that summarizes how to achieve accessibility in the solution. It should include, but not be limited to, screen reader(s) that work with the solution, instructions for using screen reader, list of hot keys, alt keys, etc. If the proposed solution does not meet accessibility requirements out of the box, the Proposer should include any plans for customization.

f. Develop Security Documentation. The successful Proposer shall develop a security solution

that employs multiple layers of security including, but not limited to, physical, network, database, application, etc. This documentation of your security solution should provide an overview of ongoing vulnerability assessment, reporting and remediation procedures, including providing a copy of recent reports. The successful Proposer shall provide proof of adherence to requirements in Workbook 1, Technical Submittal.

Deliverables:

i. Architectural Design Document ii. Functional Design Document

iii. Technical Infrastructure Document iv. Managed Procedures Document v. Configuration Management Plan

vi. Solution Accessibility Document vii. Security Documentation

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3. Project Realization. The successful Proposer shall perform and provide the Commission with the following tasks and deliverables for the proposed solution.

a. Develop Solution Validation Report. The successful Proposer shall validate that the base solution meets the requirements specified as being met by the base solution within their proposal. The solution functionality should be designed to efficiently and effectively support the new solution. The successful Proposer will initially gain an understanding of required business processes and procedures by working with designated Commission resources. Information to be obtained will include, but not be limited to, current work functions, roles and responsibilities, business rules, inputs/outputs, and interfaces. This base solution should leverage out of the box functionality where possible to satisfy the Commission’s technical and functional requirements. All requirements listed in the Workbook 1 Requirements Matrix should be validated as part of this effort. The successful Proposer shall identify any gaps between the technical and functional requirements and the successful Proposer’s base solution. These gaps shall be identified in a Solution Validation Report, along with how the successful Proposer plans to meet the requirements in an alternative manner.

b. Develop Process Configurations. The successful Proposer shall configure the solution to meet the final requirements. The successful Proposer shall gather information and create a detailed plan for the various components of the solution that require process configuration, including those components that were identified as needing process configuration as part of the business processes and procedures work effort.

c. Develop Process Customizations. The successful Proposer shall recommend customizations where solution functionality is not currently available in the solution, either inherently or through configuration. Customization as used in this RFP refers to functionality that is not currently available in the solution either inherently or through configuration, but which the Proposer proposes adding through a full development process. Customization requires coding by the Proposer and is therefore the least desirable outcome. The successful Proposer will gather information and create and implement a Development Plan, which will include detailed designs for the various components of the solution requiring customization by the Proposer including those components that were identified as needing customization as part of the business processes and procedures work effort.

d. Build System Interfaces. The successful Proposer shall analyze the interfaces indicated in Appendix I – Current Interfaces. This analysis should ensure that no functionality or data requirements are lost in the implementation of the new solution. In order to facilitate interface implementation, the successful Proposer will prepare an Interface Plan. This should include, but not be limited to, the following:

• Interface Description

• Interface Crosswalk at the data element level

• Interface Procedures

• Interface Test Strategy

• Interface Test Plan & Test Scripts The solution shall allow existing legacy data to flow seamlessly from legacy systems. If a phased approach is proposed, explain how these interfaces will need to be addressed in order to

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maintain current functionality. A Commission resource will be assigned as a point person to assist with this effort.

e. Develop Data Conversion and Migration Plan. The successful Proposer shall be responsible for analyzing the Commission’s need for data conversion and converting and migrating data from existing Commission systems. The successful Proposer shall work with the Commission to identify which data elements will be converted and migrated including conversion of historical data. The plan shall include the methodology and procedures that the successful Proposer recommends for data quality, data cleansing and testing methodologies, including the degree of the historical data conversion effort. The Conversion and Migration Plan shall include, but not be limited to, the following:

• A description of the data elements the successful Proposer recommends migrating, • A description of the approach that will be taken to cleanse and migrate required data

elements from each Commission system to the solution, including testing methodologies,

• A description of the approach that will be taken to populate required data elements that will not be populated by the migration of data from existing systems,

• A list and description of all work tasks and Commission resources required to prepare for and perform the migration and to populate required data elements that will not addressed by the migration,

• List and description of required tools (e.g., ETL), equipment, and materials, • A map of data elements from existing systems to the solution, • A description of the process that will be used to verify the success of the migration

and population of data elements, • Migration schedule, • Conversion Matrix showing crosswalk between legacy data elements and new data

elements, and • Solution with required data elements populated.

Following the Conversion and Migration Plan approval by the Commission, the successful Proposer shall perform the data conversion and migration and provide the Commission with a Conversation Validation Report. This report will include a description and results of the data elements converted and migrated from the existing system to the solution. Validation report approval by the Commission is required upon completion.

f. Develop Data Storage, Retrieval and Archive Plan. The successful Proposer shall build the solution to allow for efficient data storage, retrieval, and archive. The Commission is open to any database platform. The successful Proposer must create a document that addresses the availability of data in the real-time environment and describes the proposed database solution. This description should include, but not be limited to, the following:

• Hardware requirements • Software requirements • Roles and responsibilities • Business Rules

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• Inputs/Outputs (e.g. forms, reports, tables/data elements) • Interfaces • Data Retrieval methods (data access) • Data Retention Schedule • Storage Medium

This plan will include a solution that allows for document (image) capture and storage and leverages any existing solution that they may have in order to reduce costs. This plan will also include a documented Data Storage/Warehousing solution. The proposed solution must address the requirements listed in the Workbook 1 Requirements Matrix.

g. Develop Solution Reporting Plan. The Proposed solution will include a solution for Reporting that, at a minimum, addresses the requirements listed in the Workbook 1 Requirements Matrix. This may be functionality that is inherent to the successful Proposer solution or an integrated third-party solution.

Work items, including schedule and costs, should be included in the successful Proposer’s project work plan. The successful Proposer should describe the proposed reporting solution. This description should include, but not be limited to, the following:

• Delivered Reports • Scheduled Reporting • On Demand Reporting • Annual Legislative Reporting Requirements • Training Requirements for Tools by Role • Inputs/Outputs (e.g. forms, reports, tables/data elements) • Interface Dependencies • Workflow

Deliverables i. Solution Validation Report

ii. Process Configuration Plan iii. Customization Development Plan iv. Interface Plan v. Conversion and Migration Plan

vi. Conversion Validation Report vii. Data Storage, Archival, and Retrieval Plan

viii. Solution Reporting Plan 4. Testing. The successful Proposer shall perform and provide the Commission with the following tasks

and deliverables during the testing process for the proposed solution. The successful Proposer shall be responsible for ensuring that the solution is thoroughly tested in accordance with industry standards. The successful Proposer shall be responsible for developing a test strategy and plan with the Commission’s input, for executing acceptance testing activities. The proposed solution shall support the requirements in the Workbook 1 Requirements Matrix. At a minimum, the following activities shall be performed:

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• Develop Test Strategy. The successful Proposer shall be responsible for creating a comprehensive Test Strategy document that minimally covers all tests reasonably expected in mutually agreed upon standards. This document will explain the approach that the Proposer plans to take in satisfying industry standards. This strategy should incorporate where the Commissions resources will be included throughout the testing process, including performing end to end testing prior to UAT.

• Develop Test Plans. The successful Proposer shall also be responsible for creating test plans for each section outlined in the Test Strategy document. The Test Plans will outline who will be responsible for scheduling, coordinating, and performing all testing, clearly delineating between Proposer and Commission resources. This shall include identification of data required to execute scripts and developing success criteria for accepting the testing results.

• Perform Vendor Testing. The successful Proposer shall perform unit and system integration testing and provide the Commission with a report describing comprehensive test scripts, execution and the results of this testing. The successful Proposer shall provide details on all tests performed, defects found, resolution of the defects identified and mapped to requirements. Testing will not be accepted until agreed upon success criteria approved in the test plan has been met.

• Perform Business Process Demonstration. The successful Proposer shall be responsible for demonstrating business processes in the designed system prior to initiation of UAT. The successful Proposer shall provide a demonstration report that validates the completeness of business processes included in the demonstration. This demonstration should include any interfaces.

• Perform Acceptance Testing. The successful Proposer shall schedule and coordinate all testing activities to ensure that each of the tests are prepared for and performed in accordance with the test plans that are created. These testing activities will include end to end testing and user acceptance testing performed by the Commission. All testing will be completed and approved by Commission personnel before the solution can be implemented within the Production Environment. The successful Proposer shall provide the Commission with a report describing the results of acceptance testing. Testing will not be accepted until success criteria approved in the test plan has been met.

Deliverables: ix. Test Strategy x. Test Plan

xi. Vendor Test Report xii. Business Process Demonstration Report

xiii. Acceptance Testing Report 5. System Training. The successful Proposer shall perform and provide the Commission with the

following tasks and deliverables during the training process for the proposed solution. The successful Proposer shall be responsible for developing a training strategy and plan, and for executing training activities, as outlined below. At a minimum, the following activities shall be performed:

• Develop and Execute Training Plan. The successful Proposer shall conduct an analysis, including staff surveys and meetings with management, and to provide a comprehensive training plan that clearly illustrates how training of the new

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system/functionality will be performed. The plan shall demonstrate how the successful Proposer will target training for all aspects of the business including Human Resource Processing. There should be a section for each functional business group (by role) that will be receiving training that describes the approach to be taken for that particular group, i.e. materials, methods, delivery, etc. The plan shall include all users of the proposed system and how those user groups will be trained on functionality. Any training materials/media/delivery methods are acceptable as long as they are part of a comprehensive plan clearly outlining their use and applicability to the Commission. There should be documentation provided to fully describe these plans, including but not limited to, the following:

• Analysis of training needs for the entire organization (at a minimum 30 functional users, 10 IT users, periodic end users, and super users for future system configurations)

• Detailed description of training to be provided (transitional training for existing employees, and onboard training for new employees)

• List and description of all work tasks and human resources required to prepare for and conduct the required training

• List and description of tools and equipment required for training classes (if any) Training materials customized for the Commission’s business processes. Description of training assessment that includes a remediation plan for addressing training that did not meet expectations and associated materials

• Training schedule • Fully executed training assessments • Detailed description of how training will be administered towards mass

groups of individuals using tools such as employee self service Deliverables:

xiv. Training Plan xv. Training Materials

xvi. Training Classes 6. Go-Live and Support. The successful Proposer shall be responsible for implementing the solution as

well as providing the Commission with support and maintenance for the solution post implementation. a. Develop Implementation and Transition Plan. The successful Proposer shall be required to

create a Go-Live Readiness Assessment that is agreed upon by the Commission, such as communication standards, required resources, etc. This assessment will require collaboration between the Commission and the successful Proposer. The successful Proposer shall also provide an Implementation and Transition Plan, which will identify the approach that will be taken and the critical tasks that will be involved with implementing the solution. The successful Proposer will be responsible for all documents related to the scope of work described in this RFP. The Implementation and Transition Plan shall include, but not be limited to, the following:

• A description of the solution rollout activities and support that will be required for solution implementation and transition,

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• A description of the approach that will be taken to implement the solution within the Production Environment,

• A list and description of all work tasks and Commission resources required to prepare for and perform the implementation,

• List and description of required tools, equipment, and materials,

• A description of the process that will be used to verify the success of the implementation, and

• A description of anticipated resources both from the successful Proposer and the Commission that will be needed for implementation.

In addition, the components in this Implementation and Transition Plan shall consist of:

• Implementation Schedule

• Environment Overview

• Platform Test Plan

• Go-Live Checklist

• Contact and Escalation List

• Cutover Plan

• Two mock cutover exercises prior to go-live (at a minimum)

• Processing Schedule

• Operational Procedures

• The solution implemented within the Production Environment.

• Documented approach for Organizational Change Management

• User Manual containing a narrative and/or graphical description of the functional components of the solution and instructions for performing the various functions.

• System Manual containing a narrative and/or graphical descriptions of the various technical components of the solution.

• Resource Loading Plan b. Implement Solution. The successful Proposer shall be responsible for implementing the

proposed solution. The successful Proposer shall schedule and coordinate all implementation activities to ensure that the work is performed in accordance with the Implementation and Transition Plan. The successful Proposer shall submit a final Go-Live report to the Commission at the completion of the project. The report shall include an abstract or summary of the services rendered; a description of the information gathered and techniques used to develop a customized solution; a summary of the successful Proposer’s findings, conclusions and recommendations; supporting documentation; and a recommended time-phased work plan for implementing post implementation recommendations.

c. Develop Support and Maintenance Plan. The successful Proposer shall propose a multi-year plan for support and maintenance for the solution to begin immediately after receiving the

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Commission’s official acceptance of the implemented solution. The successful Proposer will address all questions and reported problems related to the technical and functional operation of the solution. The successful Proposer must provide an email and trouble ticket system that also provides toll-free telephone support as specified in the requirements.

d. Support and Maintain Implemented Solution. The successful Proposer shall be responsible for supporting and maintaining the implemented HCM solution. This includes, but is not limited to:

• Answering the Commission’s questions related to the technical and functional operations of the solution.

• Provisioning, installing, and maintaining operating systems (OS) and database software as well as installing and managing software licensed by the Commission to support the solution.

• Providing ongoing upgrades and implementation of any patches, minor releases, and major releases.

• Providing security services for virus protection and the successful Proposer’s security patches for system-level software.

• Providing an email and trouble ticket system for the Commission to report solution issues.

• Providing the Commission with support for resolving reported technical or functional solution issues. Support shall be maintained until the identified issue has been resolved for the Commission.

Deliverables: i. Go-Live Readiness Assessment

ii. Implementation and Transition Plan iii. Final Go-Live Report iv. Support and Maintenance Plan

IV-5. Reports and Project Control. The specific project management, governance management and deliverable tasks required for this work effort are detailed in the sections below, as well as in Workbook 1, Technical Submittal.

a. Project Management – As outlined in Section IV-4, the successful Proposer shall be required to utilize a formalized approach to project management that will govern all tasks, deliverables, and reports described in the RFP. The successful Proposer’s Project Manager will work with the Commission Project Manager to plan for the upcoming work effort. The Commission Project Manager will be responsible for facilitating communication of any final decisions, particularly in the event a conflict arises. It is expected that the successful Proposer will engage the Commission for feedback early and often throughout the duration of the project. As part of the Project Management process the successful Proposer will be responsible for performing the following activities throughout the process:

• Issue Management • Change Management • Procurement Management

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• Staffing • Communication • Risk Management • Quality Management

Based on the Project Management Plan, the successful Proposer shall also provide reports to the Commission including, but not limited to, the following:

• Weekly Status Meetings and Reports – The successful Proposer is expected schedule and attend weekly project status meetings with Commission Project Management to review recent accomplishments, planned activities, and risks and issues. The successful Proposer should use the Commission’s status report template and submit this report one business day in advance of the project status meeting. The report should be keyed to the work plan developed by the Proposer in its proposal, as amended or approved by the Commission.

The Commission reserves the right to request ad hoc reports or additional recurring reports as the project need is identified. The successful Proposer will be required to assign an experienced project manager to the project. The successful Proposer’s Project Manager will be required to be on-site in the Middletown, PA area through the implementation of the desired solution for periods of time to be defined by the Commission Project Manager. It is desired that the successful Proposer’s Project Manager be PMP certified. The successful Proposer’s Project Manager will be responsible for the successful completion of all work tasks as defined within the project work plan and will work under the direction of the Commission Project Manager to ensure that all work is performed in accordance with the terms and conditions of the contract.

b. Governance and Relationship Management. The successful Proposer shall be required to

utilize a formalized approach to project Governance and Relationship Management. The successful Proposer’s Project Manager will work with the Commission Project Manager to identify the roles and responsibilities of the proposed Governance organization, both on the part of the Commission and that of the successful Proposer. The successful Proposer will be responsible for soliciting feedback and accepting recommendations for solution enhancements from solution users and stakeholders.

As part of the Governance and Relationship Management process, the successful Proposer will be responsible for performing activities throughout the duration of the engagements, including, but not limited to:

• Critical Issues Management

• Strategic and Business Change Management

• Compliance Management

• Communications Management

The successful Proposer shall also provide reports to the Commission, including, but not limited to:

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• Problem Identification Report – An “as required” report, identifying problem areas. The report should describe the problem and its impact on the overall project and on each affected task. It should list possible courses of action with advantages and disadvantages of each, and include Proposer recommendations with rationale.

• Change Management Report – The successful Proposer shall provide an “as needed” Change Management Report to the Commission that identifies strategic solution changes, their impact to the solution and its users, and the successful Proposer’s anticipated timeline to make the strategic changes.

The Commission reserves the right to request ad hoc reports or additional recurring reports as the project need is identified.

c. Deliverable Expectations – The successful Proposer will be required to create a Deliverable Expectation Document (DED) for each deliverable prior to performing any of the work aimed at producing the associated deliverable. The Deliverable Expectation Document will clearly reflect the proposed format and content for the deliverable and will need to be reviewed and approved before any work can be performed. The Deliverable Expectation Document will contain but not be limited to the following:

• Narrative description of what the deliverable is and why it is being created. • List and description of the major sections of the deliverable and the proposed format

(e.g. narrative description, tables, diagrams) and content of the information that is to be presented.

• Deliverable acceptance criteria. d. Deliverable Review Process – The successful Proposer will be required to submit all deliverables for review and acceptance and participate in the deliverable review process in accordance with the terms and conditions defined below:

i. The successful Proposer will provide drafts of each deliverable in advance of final deliverable submission.

ii. The successful Proposer will submit copies of each final deliverable to the Commission Project Manager on or before the due date specified in the approved Project Work Plan. The number of copies and the format for each deliverable should be included in the DED for the deliverable. Deliverables that are not received by the Commission Project Manager prior to or by 11:30 AM on the due date specified may result in assessment of liquidated or consequential damages.

iii. As soon as possible, the Commission Project Manager will provide the successful Proposer with written notice of the Commission approval or disapproval of the deliverable. Notice of disapproval will state the reasons for such disapproval and will indicate the nature and extent of the corrections required to qualify the deliverable for approval. Notice of approval will successfully conclude the review process.

iv. As soon as possible, but in no event later than five (5) workdays after receipt of a notice of disapproval, the successful Proposer will submit an adjusted deliverable for review based upon the comments that were received. This process will continue until final acceptance by the Commission.

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v. As soon as possible, the Commission and the successful Proposer will begin to conduct facilitated work sessions and take appropriate action to resolve all remaining issues and bring the review process to successful conclusion.

e. Stage Gate Review Process – The successful Proposer will be required to demonstrate the completion of each major implementation stage. The Commission will perform a management review to verify that the proposer has completed each stage and will issue a stage gate acceptance notice. The successful Proposer will need to obtain an acceptance stage notice before submitting draft/final deliverables for the next sequential stage gate. This acceptance notice will be based on the following stage gate acceptance criteria:

Stage Gate Stage Gate Acceptance Criteria 1. Project Planning Each of the following deliverables have been accepted by

the Commission: i. Project Work Plan ii. Project Management Plan iii. Organizational Change Management Plan The work for this stage is complete and the project is authorized to proceed to System Design.

2. System Design Each of the following deliverables have been accepted by the Commission: i. Architectural Design Document ii. Functional Design Document iii. Technical Infrastructure Document iv. Managed Procedures Document v. Configuration Management Plan vi. Solution Accessibility Document vii. Security Documentation The System Design satisfies all business requirements, is suitable for system configuration, and the project is authorized to proceed to Project Realization.

3. Project Realization Each of the following deliverables have been accepted by the Commission: i. Solution Validation Report ii. Process Configuration Report iii. Customization Development Plan iv. Interface Plan v. Conversion and Migration Plan vi. Conversion Validation Report vii. Data Storage, Retrieval, and Archive Plan

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The Commission expects to hold back 10% of each stage gate payment as retainage. After a successful completion of the first processing cycle post Go Live all retainage withheld will be paid in full, subject to the terms and conditions of the Contract.

viii. Solution Reporting Plan The configuration of the system has been validated to be complete, Commission data has been successfully converted and migrated, and the project is authorized to proceed to Testing.

4. Testing Each of the following deliverables have been accepted by the Commission: i. Test Strategy ii. Test Plan iii. Vendor Test Report iv. Business Process Demonstration Report v. Acceptance Testing Report The test strategies and plans are adequate for the testing of all system features, system testing has been completed and approved by Commission and project is authorized to proceed to System Training.

5. System Training Each of the following deliverables have been accepted by the Commission:

i. Training Plan ii. Training Materials

ii. Training Classes The training strategies and plans provide sufficient coverage for Commission personnel actual training provided is verified to be effective and the project is authorized to proceed to Go Live and Support.

6. Go Live and Support Each of the following deliverables have been accepted by the Commission: i. Go-Live Readiness Assessment ii. Implementation and Transition Plan iii. Final Go-Live Report iv. Support and Maintenance Plan The system is in use and is target operational environment.

APPENDIX A – SAMPLE CONTRACTUAL AGREEMENT

Page 1 of 7 Agreement # 440000xxxx Revised 12/1/16

AGREEMENT

This AGREEMENT is made this ______ day of ___________________, 2017, between the Pennsylvania Turnpike Commission (“COMMISSION”), an instrumentality of the Commonwealth of Pennsylvania, with principal offices at 700 South Eisenhower, Blvd., Middletown, Pennsylvania 17057 (mailing address: P. O. Box 67676, Harrisburg, PA 17106-7676);

AND

_____________ (“CONTRACTOR”), [insert the legal status of CONTRACTOR such as a Pennsylvania (or Foreign) corporation (or partnership, LLC, LLP, etc)], with its principal office at [insert address].

WITNESSETH:

WHEREAS, the COMMISSION desires [insert service to be provided]; WHEREAS, by Act No. 211 of the General Assembly of the Commonwealth of Pennsylvania, approved May 21, 1937, and its amendments, the COMMISSION is authorized and empowered to enter into an Agreement with the CONTRACTOR; WHEREAS, the COMMISSION desires to retain the services of CONTRACTOR upon the following terms; and NOW, THEREFORE, in consideration of these mutual covenants, and intending to be legally bound, the parties agree as follows: Definitions

[This section is for terms that have a special meaning for this Agreement or that are used in a way different from everyday or common usage.] Contractor’s Scope of Work

[There should be a document that specifies what we expect from the Contractor (such as deliverables; schedules and deadlines; representations or warranties; conditions or covenants; location of the work; use of specific persons; standards of performance; insurance requirements). This document must be made part of the Agreement (either as an exhibit which is attached or by referring to it in the Agreement without attaching it)]. The CONTRACTOR will perform the work described in [identify the document/RFP#] dated [date], titled [title] and the CONTRACTOR’S proposal dated [date]. This document is [SELECT ONE: attached as Exhibit_ and made a part of this Agreement OR made part of this Agreement by reference].



Commission’s Responsibilities

(This section needs to be removed from Agreement if not part of RFP requirements.)

The COMMISSION shall furnish the CONTRACTOR access to key personnel, relevant documents, and adequate workspace for completing the work. Compensation

For the work, services, and material as defined in this Agreement, the CONTRACTOR shall be paid [insert Commission approved compensation]. The CONTRACTOR agrees that the COMMISSION may set off the amount of any state tax liability or other obligation of the CONTRACTOR or its subsidiaries to the Commonwealth against any payments due the CONTRACTOR under any contract with the COMMISSION. Duration of Agreement [and Renewal] The term of this Agreement shall be for a period of [insert term] and shall commence on the Effective Date as defined below. The Effective Date shall be fixed by the COMMISSION after the Agreement has been fully executed by the CONTRACTOR and by the COMMISSION, and after all approvals required by the COMMISSION contracting procedures have been obtained. The term may be extended for [number] additional years by a writing signed by both parties. This Agreement will not terminate until the COMMISSION accepts all work as complete and tenders final payment to the CONTRACTOR. OR The time of completion may be extended if the extension is approved by the COMMISSION in the form of a letter signed by the Chief Engineer or appropriate person the Agreement is for. This letter will become part of this Agreement. This Agreement will not terminate until the COMMISSION accepts all work as complete and tenders final payment to the CONTRACTOR. Termination

Either party may terminate this Agreement at any time upon ninety- (90) calendar days written notice. If this notice is given, the CONTRACTOR shall be paid only for the services already rendered upon the date of the notice and for the services rendered to the date of termination, subject to all provisions of this Agreement. The notice will be effective on the date of receipt. The right to cancel may be exercised as to the entire project, or as to any particular phase or phases, part or parts, and upon one or upon several occasions, but any termination may not be revoked except upon written consent of the parties through a supplemental Agreement to this Agreement.



Insurance The CONTRACTOR, prior to execution of this Agreement, shall furnish to the COMMISSION the certificates of insurances as required in attached Exhibit “X” and made a part of this Agreement. Diverse Business (DB) Requirements The CONTRACTOR agrees to comply with the requirements set forth in the COMMISSION’S DB Requirements - Exhibit X, attached and made part of this Agreement. In particular, the CONTRACTOR agrees to comply with section (d) Consultant Requirements During Performance of Services. Assignment and Delegation

The CONTRACTOR may not transfer, assign, or delegate any terms of this Agreement, in whole or in part, without prior written permission from the COMMISSION. Governing Law

This Agreement will be interpreted according to the laws of the Commonwealth of Pennsylvania. Observance of Laws

The CONTRACTOR agrees to observe all relevant federal, state, and local laws and to obtain in its name all necessary permits and licenses. Work for Hire Except for hardware, third party licensed software, and software previously developed by CONTRACTOR, all Deliverables, including but not limited to source code, software, specifications, plans, designs and engineering, drawings, data, information or other written, recorded, photographic, or visual materials, trademarks, service marks, copyrights or other Deliverables produced by CONTRACTOR or any supplier in the performance of this Agreement shall be deemed "Work Product". All Work Product shall be considered services for hire. Accordingly, except as set forth earlier in this paragraph, all Work Product shall be the exclusive property of the COMMISSION. The CONTRACTOR agrees to notify the COMMISSION in writing before using any of CONTRACTOR’s previously developed software for services provided under this Agreement. The CONTRACTOR and the COMMISSION will honor all applicable preexisting licenses, copyrights, trademarks, service marks, and patents. If as part of an expense item under this Agreement, the CONTRACTOR purchases the right to any license, the agreements for the use or ownership of such license will be placed in the name of the COMMISSION along with all other rights and obligations. In addition, the CONTRACTOR will mark all Turnpike content or previously unprotected work product designated by the COMMISSION with a notice as follows: "Pennsylvania Turnpike Commission, (Year)".



Audit/Retention of Records CONTRACTOR and its subcontractors shall maintain books and records related to performance of this Agreement or subcontract and necessary to support amounts charged to the COMMISSION in accordance with applicable law, terms and conditions of this Agreement, and generally accepted accounting practice. CONTRACTOR shall maintain these books and records for a minimum of three (3) years after the completion of the Agreement, final payment, or completion of any contract, audit or litigation, whichever is later. All books and records shall be available for review or audit by the COMMISSION, its representatives, and other governmental entities with monitoring authority upon reasonable notice and during normal business hours. CONTRACTOR agrees to cooperate fully with any such review or audit. If any audit indicates overpayment to CONTRACTOR, or subcontractor, the COMMISSION shall adjust future or final payments otherwise due. If no payments are due and owing to CONTRACTOR, or if the overpayment exceeds the amount otherwise due, CONTRACTOR shall immediately refund all amounts which may be due to the COMMISSION. Failure to maintain the books and records required by this Section shall establish a presumption in favor of the COMMISSION for the recovery of any funds paid by the COMMISSION under this Agreement for which adequate books and records are not available to support the purported disbursement. Dispute Resolution

All questions or disputes regarding any matter involving this Agreement or its breach shall be referred to the Board of Claims of the Commonwealth of Pennsylvania pursuant to 62 Pa.C.S.A. § 1701 et seq. If the Board of Claims either refuses or lacks jurisdiction, these questions or disputes shall proceed as provided in 42 Pa.C.S.A. § 7301 et seq. (Statutory Arbitration). The panel of arbitrators will consist of a representative of each of the parties and a third party chosen by the representatives, or if the representatives are unable to choose, by the American Arbitration Association. Indemnification

The CONTRACTOR shall be responsible for, and shall indemnify, defend, and hold harmless the COMMISSION and its Commissioners, officers, employees, and agents (the “Indemnified Parties”) from all claims, liabilities, damages, and costs including reasonable attorneys’ fees, for bodily injury (including death) and damage to real or tangible personal property arising from or related to the negligence or other tortious acts, errors, and omissions of CONTRACTOR, its employees, or its subcontractors while engaged in performing the work of this Agreement or while present on the COMMISSION’s premises, and for breach of this Agreement regarding the use or nondisclosure of proprietary and confidential information where it is determined that CONTRACTOR is responsible for any use of such information not permitted by this Agreement. This indemnification obligation shall not be reduced in any way by any limitation on the amount or type of damages, compensation, or benefits payable by CONTRACTOR or its subcontractors under any employee benefit act including but not limited to Workers’ Compensation Acts, Disability Benefits Acts, or other Employee Benefit Act.



Contractor Integrity Provisions

The Contractor Integrity Provisions are attached as [Exhibit X] and made a part of this Agreement. Confidentiality Provisions

1. As a consequence of the performance of its duties with the COMMISSION, CONTRACTOR may learn, be given, or become aware of certain information, including, but not limited to, matters pertaining to internal communications, information, proprietary information, individually identifiable health information, trade practices, business operations, or other sensitive information collectively known as Confidential Information. Regardless of how transmitted or received by CONTRACTOR, whether by receipt, sending, or merely becoming available to CONTRACTOR through its relationship to the COMMISSION, CONTRACTOR agrees to maintain and treat as proprietary and confidential to the COMMISSION all such Commission Confidential Information, and shall not discuss, reveal, or use for any purpose outside the performance of its contract with the COMMISSION such Commission Confidential Information. Confidential Information shall not include any information that (i) is or becomes available to the public other than as a consequence of a breach by any individual, a partnership, a corporation, an association, a limited liability company, a joint stock company, a trust, a joint venture, an unincorporated organization (each a “Person”) of any fiduciary duty or obligation of confidentiality, including, without limitation, catalogues, publications, product descriptions and sales literature that the COMMISSION has distributed to the public generally; or (ii) information which at the time of disclosure to the CONTRACTOR is in the public domain; or (iii) is disclosed as required by a final, unappealable court order and no suitable protective order, or equivalent remedy, is available, or (iv) the CONTRACTOR was aware of prior to its disclosure to the CONTRACTOR by the COMMISSION from a source not bound by a confidential obligation and the CONTRACTOR provides the COMMISSION written notice of such fact prior to the execution of this Agreement or promptly upon the CONTRACTOR’s learning that the information was Confidential Information; or (v) information which the CONTRACTOR can demonstrate with competent written evidence was independently developed by or for the CONTRACTOR without use of or reliance on the Confidential Information. 2. With respect to its employees, CONTRACTOR agrees to:

a) require all of its employees to maintain such confidentiality; b) take appropriate action against its employees, officers, and subcontractors for any and all violations of this Agreement.

3. With respect to any subcontractors that CONTRACTOR wishes to employ to perform any of its obligations under any agreement with the COMMISSION, CONTRACTOR agrees to require any such approved subcontractor to execute written confidentiality agreements that require each such CONTRACTOR and its employees to comply with all the requirements set forth above. 4. CONTRACTOR agrees that any breach of these Confidentiality Provisions may result in civil and/or criminal penalties, for CONTRACTOR, its officers and employees, and subcontractors. 5. Notwithstanding any other provision to the contrary, CONTRACTOR agrees that these provisions shall survive the termination of this and any and all agreements between the



CONTRACTOR and the COMMISSION. 6. CONTRACTOR agrees to treat the information in the same way CONTRACTOR treats its own most confidential information and to inform each such person of these provisions. 7. CONTRACTOR agrees to immediately notify the COMMISSION of any information which comes to its attention which does or might indicate that there has been any loss of confidentiality or information. 8. CONTRACTOR shall return to the COMMISSION upon demand any and all Confidential Information entrusted to it by the COMMISSION pursuant to this Agreement (including any and all copies, abstracts, compilations or analyses thereof and memoranda related thereto or incorporating the Confidential Information) or the CONTRACTOR may request permission from the COMMISSION, which permission may be granted or denied in the COMMISSION’s sole discretion, to destroy all such Confidential Information and provide a certificate of destruction to the COMMISSION signed by the CONTRACTOR. The CONTRACTOR further agrees that neither itself nor its employees or representatives will copy, in whole or in part, any such Confidential Information without the prior written consent of the COMMISSION. 9. CONTRACTOR agrees that if they have had or will have an SSAE16 audit that they will comply with and abide by the findings of such audit to protect COMMISSION information. Entire Agreement

This Agreement, together with any writings either attached as exhibits or incorporated by reference, constitutes the entire understanding between the parties and there are no other oral or extrinsic understandings of any kind between the parties. Modification

This Agreement may be modified only by a writing signed by both parties.

[SIGNATURES ARE SET FORTH ON THE NEXT PAGE]



IN WITNESS WHEREOF, the Pennsylvania Turnpike Commission and [Contractor’s Name] have executed this Agreement by their duly authorized officers on the date written above.

ATTEST: PENNSYLVANIA TURNPIKE COMMISSION

____________________________ _______ ___________________________ _______ Ann Louise Edmunds Date Leslie R. Richards Date Assistant Secretary-Treasurer Chair

APPROVED AS TO FORM AND LEGALITY:

____________________________ _______ __________________________ _______ Albert C. Peters II Date Pennsylvania Attorney General Date General Litigation & Contracts Counsel

ATTEST: [CONTRACTOR’S NAME]

Signature____________________ _______ Signature______________________ ______ Date Date

Name_______________________ Name_________________________

Title________________________ Title__________________________

Federal Tax ID No.______________________

Exhibit ? Revised November 2015

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CONTRACTOR INTEGRITY PROVISIONS

It is essential that those who seek to contract with the Pennsylvania Turnpike Commission (“Commission”) observe high standards of honesty and integrity. They must conduct themselves in a manner that fosters public confidence in the integrity of the Commission contracting and procurement process.

I. DEFINITIONS. For purposes of these Contractor Integrity Provisions, the following terms shall have the meanings found in this Section:

a. “Affiliate” means two or more entities where (a) a parent entity owns more than fifty percent of the voting stock of each of the entities; or (b) a common shareholder or group of shareholders owns more than fifty percent of the voting stock of each of the entities; or (c) the entities have a common proprietor or general partner.

b. “Consent” means written permission signed by a duly authorized officer or employee of the Commission, provided that where the material facts have been disclosed, in writing, by prequalification, bid, proposal, or contractual terms, the Commission shall be deemed to have consented by virtue of the execution of this contract.

c. “Contractor” means the individual or entity, that has entered into this contract with the Commission, and “Contractor Related Parties” means any affiliates of the Contractor and the Contractor’s executive officers, Pennsylvania officers and directors, or owners of 5% or more interest in the Contractor

d. “Financial Interest” means either:

i. Ownership of more than a five percent interest in any business; or

ii. Holding a position as an officer, director, trustee, partner, employee, or holding any position of management.

e. “Gratuity” means tendering, giving, or providing anything of monetary value including, but not limited to, cash, travel, entertainment, gifts, meals, lodging, loans, subscriptions, advances, deposits of money, services, employment, or contracts of any kind. See Commission Policy 3.10, Code of Conduct.

f. “Non-bid Basis” means a contract awarded or executed by the Commission with Contractor without seeking bids or proposals from any other potential bidder or offeror.

II. In furtherance of this policy, Contractor agrees to the following:

1. Contractor shall maintain the highest standards of honesty and integrity during the performance of this contract and shall take no action in violation of state or federal laws or regulations or any other applicable laws or regulations, or other requirements applicable to Contractor or that govern contracting or procurement with the Commission.


Page 2 of 4

2. Contractor shall establish and implement a written business integrity policy, which includes, at a minimum, the requirements of these provisions as they relate to Contractor activity with the Commission and Commission employees and which is made known to all Contractor employees. Posting these Contractor Integrity Provisions conspicuously in easily-accessible and well-lighted places customarily frequented by employees and at or near where the contract services are performed shall satisfy this requirement.

3. Contractor, its affiliates, agents, employees and anyone in privity with Contractor shall not accept, agree to give, offer, confer, or agree to confer or promise to confer, directly or indirectly, any gratuity or pecuniary benefit to any person, or to influence or attempt to influence any person in violation of the Public Official and Employees Ethics Act, 65 Pa.C.S. §§1101 et seq.; the State Adverse Interest Act, 71 P.S. §776.1 et seq.; Commission Policy 3.10, Code of Conduct or in violation of any other federal or state law in connection with performance of work under this contract, except as provided in this contract.

4. Contractor shall not have a financial interest in any other contractor, subcontractor, or supplier providing services, labor, or material under this contract, unless the financial interest is disclosed to the Commission in writing and the Commission consents to Contractor’s financial interest prior to Commission execution of the contract. Contractor shall disclose the financial interest to the Commission at the time of bid or proposal submission, or if no bids or proposals are solicited, no later than Contractor’s submission of the contract signed by Contractor.

5. Contractor certifies to the best of its knowledge and belief that within the last five (5) years Contractor or Contractor Related Entities have not:

a. been indicted or convicted of a crime involving moral turpitude or business honesty or integrity in any jurisdiction;

b. been suspended, debarred or otherwise disqualified from entering into any contract with any governmental agency;

c. had any business license or professional license suspended or revoked;

d. had any sanction or finding of fact imposed as a result of a judicial or administrative proceeding related to fraud, extortion, bribery, bid rigging, embezzlement, misrepresentation or anti-trust; and

e. been, and is not currently, the subject of a criminal investigation by any federal, state or local prosecuting or investigative agency and/or civil anti-trust investigation by any federal, state or local prosecuting or investigative agency.

If Contractor cannot so certify to the above, then it must submit along with its bid, proposal or contract a written explanation of why such certification cannot be made and the Commission will determine whether a contract may be entered into with the Contractor. The Contractor’s obligation pursuant to this certification is ongoing from and after the effective date of the contract through the termination date thereof. Accordingly, the Contractor shall have an obligation to immediately notify the Commission in writing if at


Page 3 of 4

any time during the term of the contract if becomes aware of any event which would cause the Contractor’s certification or explanation to change. Contractor acknowledges that the Commission may, in its sole discretion, terminate the contract for cause if it learns that any of the certifications made herein are currently false due to intervening factual circumstances or were false or should have been known to be false when entering into the contract.

6. Contractor shall comply with the requirements of the Lobbying Disclosure Act (65 Pa.C.S. §13A01 et seq.) regardless of the method of award. If this contract was awarded on a Non-bid Basis, Contractor must also comply with the requirements of the Section 1641 of the Pennsylvania Election Code (25 P.S. §3260a).

7. When Contractor has reason to believe that any breach of ethical standards as set forth in law, Commission Policy 3.10, Code of Conduct, or these Contractor Integrity Provisions has occurred or may occur, including but not limited to contact by a Commission officer or employee which, if acted upon, would violate such ethical standards, Contractor shall immediately notify the Commission contracting officer or the Chief Compliance Officer in writing.

8. Contractor, by submission of its bid or proposal and/or execution of this contract and by the submission of any bills, invoices or requests for payment pursuant to the contract, certifies and represents that it has not violated any of these Contractor Integrity Provisions in connection with the submission of the bid or proposal, during any contract negotiations or during the term of the contract, to include any extensions thereof. Contractor shall immediately notify the Commission in writing of any actions for occurrences that would result in a violation of these Contractor Integrity Provisions. Contractor agrees to reimburse the Commission for the reasonable costs of investigation incurred by the Chief Compliance Officer for investigations of the Contractor’s compliance with the terms of this or any other agreement between the Contractor and the Commission that results in the suspension or debarment of the Contractor. Contractor shall not be responsible for investigative costs for investigations that do not result in the Contractor’s suspension or debarment.

9. Contractor shall cooperate with the Chief Compliance Officer in investigating any alleged Commission agency or employee breach of ethical standards and any alleged Contractor non-compliance with these Contractor Integrity Provisions. Contractor agrees to make identified Contractor employees available for interviews at reasonable times and places. Contractor, upon the inquiry or request of the Chief Compliance Officer, shall provide, or if appropriate, make promptly available for inspection or copying, any information of any type or form deemed relevant by the Chief Compliance Officer to Contractor's integrity and compliance with these provisions. Such information may include, but shall not be limited to, Contractor's business or financial records, documents or files of any type or form that refer to or concern this contract. Contractor shall incorporate this paragraph in any agreement, contract or subcontract it enters into in the course of the performance of this contract/agreement solely for the purpose of obtaining subcontractor compliance with this provision. The incorporation of this provision in a subcontract shall not create privity of contract between the Commission and any such subcontractor, and no third party beneficiaries shall be created thereby.


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10. For violation of any of these Contractor Integrity Provisions, the Commission may terminate this and any other contract with Contractor, claim liquidated damages in an amount equal to the value of anything received in breach of these Provisions, claim damages for all additional costs and expenses incurred in obtaining another contractor to complete performance under this contract, and debar and suspend Contractor from doing business with the Commonwealth. These rights and remedies are cumulative, and the use or non-use of any one shall not preclude the use of all or any other. These rights and remedies are in addition to those the Commission may have under law, statute, regulation, or otherwise.

Pennsylvania Turnpike Commission (PTC) Human Capital Management Solution RFP #: 17-10360-7998

Appendix B

Proposer Questions Form

Pennsylvania Turnpike Commission (PTC) Human Capital Management Solution RFP #: 17-10360-7998

Page 1 of 1 Appendix B: Proposer Questions Form

Proposer Questions

Pennsylvania Turnpike Commission (PTC) RFP #: 17-10360-7998

Proposer Name: # Page Section Section Description Proposer Question Commission Response

1.

2.

3.

4.

5.

6.

Rev. 6/10/16

APPENDIX C – PROPOSAL COVER SHEET Pennsylvania Turnpike Commission


RFP #17-10360-7998

Enclosed in three separately sealed submittals is the proposal for the Proposer identified below for the above referenced RFP:

Proposer Information: Proposer Company Name Proposer Mailing Address

Proposer Website Proposer Contact Person/Title

Contact Person’s Phone Number Contact Person’s Fax Number Contact Person’s Email Address Proposer Federal ID Number Location of Headquarters Location of Office(s) Performing the Work

Listing of all Pennsylvania Offices and Total Number of Pennsylvania Employees

Technical Submittal Diverse Business Participation Submittal Cost Submittal

Signature Signature of an official authorized to bind the Proposer to the provisions contained in the Proposer’s proposal: _____________________________________ Print Name

Title

An official authorized to bind the Proposer to its provisions must sign the proposal. If the official signs this Proposal Cover Sheet and the Proposal Cover Sheet is attached to the proposal, the requirement will be met.

Submittals Enclosed and Separately Sealed:

Appendix D

09/07/2017 RFP #17-10360-7998

INSURANCE SPECIFICATION “D” MINIMUM INSURANCE REQUIREMENTS The Pennsylvania Turnpike Commission Before starting any work and until completion and final payment is made for the work, or final acceptance of the work, the Proposer will provide and maintain the following minimum levels of insurance at Proposer’s own expense. The cost of the required insurance shall be included in the Proposer’s cost proposal and no adjustment shall be made to the contract price on account of such costs. Proposer shall furnish Certificates of Insurance showing the effective date of coverage as outlined below. No work may be performed until the required evidence of Insurance is provided in accordance with the terms of the contract. Proposer shall be responsible for ensuring that all Sub-contractors hired by the Proposer are properly insured. Proposer shall not permit any such Sub-contractors to start work until such evidence has been provided to the Proposer.

a) All insurance shall be procured from insurers permitted to do business in the State in which the project is taking place and having an A.M. Best Rating of at least “A-, Class VIII”.

b) Proposer shall not have a Self-Insured Retention (SIR) on any policy greater than

$50,000, which is the responsibility of the Proposer. If Proposer’s policy(ies) has a Self-Insured Retention exceeding this amount, approval must be received from the Commission prior to starting work. In the event any policy includes an SIR, the Proposer is responsible for payment within the SIR of their policy(ies) and the Additional Insured requirements specified herein shall be offered within the SIR amount(s).

c) All insurance required herein, except for Professional Liability Insurance, shall be

written on an “occurrence” basis.

d) The Proposer’s insurance carrier(s) shall agree to provide at least thirty (30) days prior written notice to the Commission in the event coverage is canceled or non-renewed, unless cancellation is for non-payment of premium. In the event of cancellation or non-renewal of coverage(s) for any reason, it is the Proposer’s responsibility to replace coverage to comply with the Contract requirements so there is no lapse of coverage for any time period.

If the insurance carriers will not issue or endorse their policy(s) to comply with the above it is the responsibility of the Proposer to report any notice of cancellation or non-renewal at least thirty (30) days prior to the effective date of this notice.

e) Proposer shall provide the Commission with Certificates of Insurance, showing the

insurance coverages listed below, ten days prior to the start of work of this Project and thereafter upon renewal or replacement of each coverage. The Proposer shall not begin any work until the Commission has reviewed and approved the Certificate of Insurance.

Failure of the Commission to demand such certificate or other evidence of full compliance with these insurance requirements or failure of the Commission to identify a deficiency from evidence that is provided shall not be construed as a waiver of Proposer's obligation to maintain such insurance.

Appendix D

09/07/2017 RFP #17-10360-7998

INSURANCE SPECIFICATION “D” MINIMUM INSURANCE REQUIREMENTS The Pennsylvania Turnpike Commission

Upon completion of the contract, an additional certificate(s) of insurance evidencing coverage shall be provided to the Commission with final application for payment.

f) The Commission, and its Commissioners, officers, employees and agents shall be

added as ADDITIONAL INSUREDS on all required liability policies (except Workers’ Compensation and Professional Liability) for ongoing operations and completed operations on a primary noncontributory basis.

There shall be no “Insured versus Insured Exclusion” on any policies; all policies will provide for “cross liability coverage”.

g) Waiver of Rights of Subrogation: Proposer shall waive all rights of recovery

against the Commission and all the additional insureds for loss or damage covered by any of the required insurance (except Professional Liability).

h) The amount of insurance in the required coverages shall not be construed to be a

limitation of the liability on the part of the Proposer.

i) The carrying of insurance described below shall in no way be interpreted as relieving the Proposer of any responsibility or liability under the contract.

j) Any type of insurance or any increase in limits of liability not required by the Commission but which the Proposer requires for its own protection or on account of statute shall be its own responsibility and at its own expense.

k) Proposer shall promptly notify the Commission and the appropriate insurance

company(ies) in writing of any accident(s) as well as any claim, suit or process received by the insured Proposer arising in the course of operations under the contract. The Proposer shall forward such documents received to its insurance company(ies), as soon as practicable, or as required by its insurance policy(ies).

REQUIRED COVERAGES - the following may be provided through a combination of primary and excess policies in order to meet the minimum limits set forth below:

1. Workers’ Compensation and Employer’s Liability:

Provided in the State in which the work is to be performed and elsewhere as may be required and shall include:

a) Workers’ Compensation Coverage: Statutory Requirements

b) Employers Liability Limits not less than:

Bodily Injury by Accident: $500,000 Each Accident Bodily Injury by Disease: $500,000 Each Employee Bodily Injury by Disease: $500,000 Policy Limit

c) Includes sole proprietorships and officers of corporation who will be performing the

work.

Appendix D

09/07/2017 RFP #17-10360-7998


2. Commercial General Liability:

Provided on standard ISO forms or an equivalent form including Premises - Operations, Independent Proposers, Products/Completed Operations, Broad Form Property Damage, Contractual Liability, and Personal Injury and Advertising Injury. a) Occurrence Form with the following limits:

(1) General Aggregate: $2,000,000 (2) Products/Completed Operations

Aggregate: $2,000,000 (3) Each Occurrence: $1,000,000 (4) Personal and Advertising Injury: $1,000,000

3. Automobile Liability:

a) Coverage to include All Owned, Hired and Non-Owned Vehicles (or “Any Auto”). If Proposer does not have any Owned Vehicles, Proposer is still required to maintain coverage for Hired and Non-Owned Vehicles as either a stand-alone policy or endorsed onto the Commercial General Liability policy above

b) Per Accident Combined Single Limit $1,000,000 4. Commercial Umbrella Liability:

a) Policy(ies) to apply on a Following Form Basis of the following: (1) Commercial General Liability, (2) Automobile Liability, and (3) Employers Liability Coverage.

b) Minimum Limits of Liability

Occurrence Limit: $4,000,000 Aggregate Limit (where applicable): $4,000,000

5. Professional Liability:

a) The definition of “Covered Services” shall include the services required in the scope of this contract.

b) Minimum Limits of Liability:

Per Claim: $5,000,000 Aggregate: $5,000,000

c) If the policy is issued on a claims-made form, the following requirements will apply:

1. The retroactive date must be on or before the start of work under this contract;

2. The Proposer must purchase “tail coverage/an extended reporting period” or maintain coverage for a period of three (3) years after the completion of their work/final payment.

6. Network Security and Privacy Liability:

a) Proposer shall maintain the following coverage including but not limited to: (1) Network Security Liability for third party liability arising out of hacking,

Appendix D

09/07/2017 RFP #17-10360-7998


network system intrusions, unauthorized access/use to data or systems, distribution of malicious code, denial of service and cyber extortion.

(2) Privacy Liability for third party liability arising out of breach of privacy, inclusive of confidential and proprietary business information, HIPAA violations and other breaches of personally identifiable information and /or protected health information that may arise from their work with this contract.

b) Minimum Limits of Liability (including Payment Card Information (PCI) Loss:

Per Claim: $5,000,000 Aggregate: $5,000,000

c) Privacy Breach notification and Credit Monitoring: $2,000,000 Per Occurrence

7. Crime Insurance: a) Include the Employee Theft and Theft, Disappearance and Destruction coverage

parts. The Employee Theft Coverage part shall include the Clients’ Property Endorsement (ISO Form CR 04 01, or its equivalent).

b) Minimum Limits of Liability: Per Occurrence: $1,000,000

Page 1 of 5 July 2014

APPENDIX E Pennsylvania Turnpike Commission DIVERSE BUSINESS (DB) REQUIREMENTS

Diverse Business Participation. The Commission is committed to Diverse Business (DB) participation on competitive contracting opportunities. Firms or entities that have not previously performed work or provided services to the Commission are encouraged to respond to the solicitations. RFPs may include DB participation as part of the criteria for the evaluation of proposals, and the Commission may consider DB participation as a selection factor.

Minimum Participation Level (MPL). The minimum participation level (MPL) for the inclusion of DBs will be established in the RFP/advertisement as a percentage.

(a) General Requirements. Section 303 of Title 74 of the Pennsylvania Consolidated Statutes, 74 Pa.C.S. § 303, requires proposer on contracts funded pursuant to the provisions of Title 74 (Transportation) and 75 (Vehicle Code) administered and issued by the Commission to make Good Faith Efforts to solicit subonsultants that are Diverse Businesses (DBs) as defined in Section 303. The DB requirements of Section 303 apply to this contract.

Section 303 requires proposers to make Good Faith Efforts, as described below, to solicit subconsultants that are DBs during the proposal process to maximize participation of DBs in competitive contracting opportunities.

The Commission is committed to participation by DBs and will enforce the requirements of Section 303 and this section. Failure to make Good Faith Efforts and demonstrate such Good Faith Efforts in the solicitation of subconsultants may result in the proposer being declared ineligible for the contract.

Proposers shall document and submit to the Commission all Good Faith Efforts, as described in this section, to solicit subconsultants that are DBs during the solicitation process.

Proposers are encouraged to utilize and give consideration to consultants offering to utilize DBs in the selection and award of contracts.

Proposers shall not discriminate on the basis of gender, race, creed or color in the award and performance of contracts in accordance with 62 Pa.C.S. §3701.

Failure to comply with the requirements of Section 303 or this specification may result in the imposition of sanctions as appropriate under section 531 of the Procurement Code, 62 Pa.C.S.§ 531 relating to debarment and suspension.

The Commission’s Director of the Office of Diversity and Inclusion, or designee, is designated the Responsible Official who shall supervise the DB program and ensure that the Commission complies with the DB program.

(b) Definitions. The following definitions apply to terms used in this specification:

1. Disadvantaged Business – A business that is owned or controlled by a majority of persons, not limited to members of minority groups, who are subject to racial, social, ethnic prejudice or cultural bias.

2. Diverse Business – A disadvantaged business, minority-owned or women-owned business or

service-disabled veteran-owned or veteran-owned small business that has been certified by a third-party certifying organization.

3. Minority-owned Business – A business owned and controlled by a majority of individuals

who are African Americans, Hispanic Americans, Native Americans, Asian Americans, Alaskans or Pacific Islanders.

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4. Professional Services – An industry of infrequent, technical or unique functions performed by independent contractors or consultants whose occupation is the rendering of the services, including: (1) design professional services as defined in 62 Pa.C.S.§ 901 (relating to definitions); (2) legal services; (3) advertising or public relations services; (4) accounting, auditing or actuarial services; (5) security consultant services; (6) computer and information technology services; and (7) insurance underwriting services.

5. Pro Forma Effort-The act of completing a form or document identifying efforts to solicit DBs

for a project in order to satisfy criteria with little or no expectation that the DBs contacted or identified will perform any of the work.

6. Service-Disabled Veteran-Owned Small Business – A business in the United States which is

independently owned and controlled by a service-disabled veteran(s), not dominant in its field of operation, and employs 100 or fewer employees.

7. Subconsultant- Any individual, partnership, firm, or corporation entering into a contract with the prime consultant for work under the contract, including those providing professional and other services.

8. Third-party Certifying Organization – An organization that certifies a small business,

minority-owned business, women-owned business or veteran-owned small business as a diverse business. The term includes: (1) the National Minority Supplier Development Council; (2) the Women’s Business Development Enterprise National Council; (3) the Small Business Administration; (4) The Department of Veteran Affairs; (5) the Pennsylvania Unified Certification Program.

9. Veteran-owned Small Business –A small business owned and controlled by a veteran or

veterans. 10. Women-Owned Business – A business owned and controlled by a majority of individuals who

are women.

(c) Actions Required by Proposer during the procurement/consultant selection phase

1. Submission Requirements – Consultant Responsiveness.

a. Minimum Participation Level (MPL) Documentation - If the documentation submitted with the proposal demonstrates that the proposer has identified DBs sufficient to meet the MPL established for this contract, the proposer will be deemed to have satisfied the DB requirement during this phase. The proposer is required to provide the business name and business address of each DB and supporting documentation that includes proof of certification. If the consultant’s proposal demonstrates the consultant’s inability to meet the MPL established for this contract, the proposer shall demonstrate Good Faith Efforts with its proposal. Failure to submit the required documentation demonstrating Good Faith Efforts as further described below with the proposal may result in a rejection of the proposal.

b. If no MPL has been established for this contract, the proposer is required to either provide a statement of intent that it will self-perform 100% of the work for the agreement, or demonstrate Good Faith Efforts to solicit subconsultants that are DBs. In either case documentation shall be provided with the proposal.

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Failure to submit the required information identified above with the proposal may result in a rejection of the proposal.

2. Good Faith Effort Requirements: The documentation of Good Faith Efforts must include the

business name and business address of each DB considered. Supporting documentation must also include proof of certification and any explanation of Good Faith Efforts the proposer would like the Commission to consider. Any services to be performed by a DB are required to be readily identifiable to the agreement. Good Faith efforts are demonstrated by seeking out DB participation in the project given all relevant circumstances. The Commission requires the proposer to demonstrate more than Pro Forma Efforts. Evidence of Good Faith Efforts includes, but is not limited to:

a. Consultant solicits through all reasonable and available means the interest of all certified DBs with the capacity to perform the scope of work set forth in the agreement.

b. The proposer must provide written notification at least 5 business days before proposals are due to allow the DBs to respond to the solicitation.

c. The proposer must determine with certainty if DBs are interested by taking appropriate steps to follow up initial solicitations.

d. The proposer must make efforts to select portions of the work to be performed by DBs to includes, where appropriate, breaking out contract work into economically feasible units to facilitate DB participation;

e. It is the proposer’s responsibility to make a portion of the work available to DBs and, to select those portions of the work, so as to facilitate DB participation.

f. The proposer shall provide evidence of such negotiations that include the names, addresses, and telephone numbers of DBs considered; A description of the information provided regarding the required work and services for the work selected for subconsultants; and evidence as to why additional agreements could not be reached for DBs to perform the work.

g. Proposers cannot reject or withhold solicitation of DBs as being unqualified without sound reasons based on a thorough investigation of their capabilities.

h. The DB’s standing within its industry, membership in specific groups, organizations or associations and political or social affiliations (for example union v. non-union employee status) are not legitimate causes for the rejection or non-solicitation of proposals in the proposer’s efforts to meet the Good Faith Efforts requirement.

i. Efforts to assist interested DBs in obtaining bonding, lines of credit or insurance. 3. Actions Taken by the Commission. As part of the proposal review process, the

Commission will review the submissions to determine whether the proposer has complied with Section 303 and this requirement in the selection of DB subconsultants. The Commission will determine whether the proposer has either met the MPL or provided acceptable documentation as noted above. The Commission reserves the right to contact proposers for clarification during the review and negotiation process. If the Commission determines that the proposer has failed to either meet the MPL or provide acceptable documentation as noted above, the proposal may be rejected.

(d) Consultant Requirements During Performance of Services.

1. Replacement of a DB Subconsultant. Consultant must continue good faith efforts through

completion of the contract. The obligation to make Good Faith Efforts to solicit subconsultants for any type of service extends to additional work required for any service which is identified to be performed by a DB. If at any time during the performance of the work, it becomes necessary to replace or add a subconsultant that is a DB, the consultant, as appropriate, shall immediately notify the Commission and seek approval in

Page 4 of 5

writing in accordance with the Agreement of the need to replace the DB, which notice shall include the reasons for the replacement. If a prime consultant who originally indicated that it would self-perform all work subsequently decides to use a subconsultant for any work under the contract, the consultant must submit documentation of all Good Faith Efforts as to the work for which a subconsultant is obtained.

2. Records. Maintain project records as are necessary to evaluate DB compliance and as

necessary to perform the reporting function addressed below. Maintain all records for a period of 3 years following acceptance of final payment. Make these records available for inspection by the Commission, its designees or agents. These records should indicate:

2.a. The number of DB and non-DB subconsultants and the type of services performed on or

incorporated in this project. 2.b. The progress and efforts made in seeking out DB subconsultant organizations and

individual DB consultants for work on this project to increase the amount of DB participation and/or to maintain the commitments made at the time of the proposal to DBs.

2.c. Documentation of all correspondence, contacts, telephone calls, and other contacts made

to obtain the service of DBs on this project.

3. Reports. Maintain monthly reports and submit reports as required by the Commission concerning those contracts and other business executed with DBs with respect to the records referred to in subsection (e)2. above in such form and manner as prescribed by the Commission. At a minimum, the Reports shall contain the following:

3.a The number of Contracts with DBs noting the type of services provided, including the execution date of each contract.

3.b The amounts paid to each DB during the month, the dates of payment, and the overall

amounts paid to date. If no payments are made to a DB during the month, enter a zero ($0) payment. 3.c Upon request and upon completion of individual DB firm's work, submit paid invoices or

a certification attesting to the actual amount paid. In the event the actual amount paid is less than the award amount, a complete explanation of difference is required.

4. Subconsultant Contracts

4.a. Subcontracts with DB firms will not contain provisions waiving legal rights or remedies provided by laws or regulations of the Federal Government or the Commonwealth of Pennsylvania or the Commission through contract provisions or regulations.

4.b. Prime consultant will not impose provisions on DB subconsultants that are more onerous

or restrictive than the terms of the prime's contract with non-DBs.

4.c. Executed copies of subcontracts/purchase orders are to be received by the Commission before the commencement of work by the DB.

5. Payments to DB Subconsultants. Payments to DBs are to be made in accordance with the

prompt payment requirements of Chapter 39, Subchapter D of the Procurement Code, 62 Pa.C.S. §3931 et seq. Performance of services by a DB subcon sultant in accordance with the terms of the contract entitles the subconsultant to payment.

Page 5 of 5

(e) Actions to be Taken by Commission After Performance of Services. Following completion of

the Consultant’s services, the Director of the Commission’s Office of Diversity and Inclusion or his/her designee will review the overall DB participation to assess the Consultant’s compliance with Section 303 and this contract. Appropriate sanctions may be imposed under 62 Pa.C.S. § 531 (relating to debarment or suspension) for a Consultant’s failure to comply with Section 303 and the requirements of the contract.

APPENDIX F – COMMISSION BUSINESS EVENTS CALENDAR

Page 1 of 2

The following calendar provides estimated dates in any given year that would be inconvenient for testing or implementation of HCM modules. Proposed project plans should to take these into consideration.

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Oct

Nov

Dec

Employment & Staffing *Mid-Apr thru mid-Jun

Payroll *Oct thru Feb (busiest) *Apr thru Jul (2nd busiest)

Benefits *Mar thru Aug *Nov thru Dec

Insurance *Sep thru Mar

Compensation & Leave *Mar thru Sep

IT *Oct thru mid-Jan This item denotes IT year-end HCM activity only.

APPENDIX F – COMMISSION BUSINESS EVENTS CALENDAR

Page 2 of 2

The following calendar provides estimated dates in any given year that would be inconvenient for testing or implementation of HCM modules. Proposed project plans should to take these into consideration.

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Oct

Nov

Dec

Employment & Staffing *Mid-Apr thru mid-Jun

Payroll *Oct thru Feb (busiest) *Apr thru Jul (2nd busiest)

Benefits *Mar thru Aug *Nov thru Dec

Insurance *Sep thru Mar

Compensation & Leave *Mar thru Sep

IT *Oct thru mid-Jan This item denotes IT year-end HCM activity only.

APPENDIX G – EXISTING SAP LANDSCAPE DIAGRAM

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This appendix provides the Proposer with details on the SAP interface and integration points.

APPENDIX H – SERVICE LEVELS

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The following performance metrics are anticipated to be used by Commission management to monitor business performance.

Performance Metric

Performance Target Metric Definition Performance

Standard Frequency of Review

Service Credit Due to Failure

Application Availability

System is online and

available for all functions 7 days a week, 24 hours per

day

System is defined as all hardware, software and application software that enables the day-to-day operation of the Commission’s HR. System is available 7 days per week, 24 hours per day. Periodic scheduled downtime for maintenance will be coordinated with the Commission and will be excused from this Standard.

Minimum monthly uptime performance

during Core Business Hours of Monday through

Friday (6:00 AM – 8:00 PM Eastern Time) of 99.5%.

Minimum monthly uptime performance

during non-core business hours of

99.0%.

Continual TBD during contract

finalization

Application Response

Times

Effective system

response time of all

application transactions

All application transactions measured based upon average response time for the month during Core Business Hours. Specifics will be to measure internal response times excluding any network response times.

Internal response times for the Core Business Hours as

follows: 90% of monthly transactions in <0

.75 seconds. 95% of monthly

transactions in < 1.5 seconds.

98% of monthly transactions in <3.5

seconds. 100% of monthly transactions in < 20

seconds.

Weekly or dictated by failure(s)

TBD during contract

finalization


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Performance Metric




Critical

Application Response

Times

Expedited response time

for mission critical

transactions

Some business transactions are more time sensitive than others and require immediate response( ie Payroll). Vendors should detail how a joint Tiger team will work effectively to resolve issues that surface for the identified time sensitive transactions. The approach should address resolution of the issue in a minimum amount of time.

The Commission will identify these

and the expectations during

contract negotiation.


TBD during contract

finalization

Data Network Response Time

Response time from Service

Provider to The

Commission Network Entrance (switch). Service

Provider will provide a dedicated

line.

Specific timing of all transactions from Service Provider’s operation switch to The Commission site switch during Availability period (as defined below).

99.8% of all monthly

transactions performed in a 0.5 second response

time or less.


TBD during contract

finalization

Data Network Availability

Network of Service

Provider to The

Commission Network (Switch)

Availability. This metric assumes the

Service Provider will utilize a fail-over design.

Availability of Service Provider’s operation switch to The Commission site switch. Network is available 7 days a week, 24 hours per day. Availability excludes scheduled downtime for maintenance.

Available a minimum of 99.5% of the time during

Core Business Hours and 99.0% of

the time during non-Core Business

Hours.


TBD during contract

finalization


Page 3 of 5

Performance Metric




System

unavailability Notification

< 2 hours

The selected Contractor must notify the Commission of any system unavailability within two (2) hours of discovering or receiving notice of system unavailability.

Time from discovering or

receiving notice of system

unavailability until notification is sent

to the The Commission.

Continual TBD during contract

finalization

Addition of Users

Three (3) business days

Additions of new users (This SLA is exempt if the Solution provides the Commission access to perform account management (additions, deletions, changes, etc.)

Time from request for account addition

until the time account is created and notification is

received

Continual N/A

System Change Request

Two (2) business days

Upon receipt of request for System Change Request/Content update from the Commission the Contractor shall provide the Commission with a work plan for executing the System Change Request/Content update.

Time from request for a System

Change Request/Content update until the

time work plan is received.

Continual N/A

Problem Circumvention or Resolution

Time

1-Urgent Priority within 2 hours 2-High Priority within 1 calendar day 3-Standard Priority within 1 week 4-Low Priority within 1 month

The time required for circumvention or solution after reporting a problem.

Time from problem/incident is reported until the

problem is resolved or circumvented

Continual N/A


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Performance Metric




Solution Support

Availability

95% availability during core

hours

Percentage of time that supports requests made via phone, voicemail, email, chat etc. Are answered by live agent during core hours of Monday through Friday, 6:00 AM – 8:00 PM Eastern Time (EST or EDT as applicable).

Total number of calls answered by live agent / Total

calls

Continual N/A

Support response time

Within 30 minutes

during core hours

Any support request not answered by a live agent (ex. phone, voicemail, email, chat, etc.) Must be responded to within 30 minutes by a live agent during Core Hours of Monday through Friday, 6:00 AM – 8:00 PM Eastern Time (EST or EDT as applicable).

Time from initial contact until a

response is received.

Continual N/A

Root Cause Analysis

Proposer must prepare Root Cause Analysis Report for all incidents including: financial and customer service impact, mitigation steps, prevention strategies and any outstanding issues.

Root cause analysis reports are due to the Commission: Within 1 business day for P1 incidents ; Within 3 business days for P2 incidents; Within 5 business days for P3 incidents

Proposer must brief the Commission to

discuss the incident, its causes and

corrective actions as soon as

reasonably possible after the root cause analysis report has

been created.

Continual N/A

# and Age of Service Desk

Tickets Created and Closed per Month by Priority

Receipt and tracking

Service Desk will be available 24/7/365 to receive and respond to user issues and requests

Provider will track # of incidents by priority, change

requests and service requests created and

report upon their open and closed age

each month.

Weekly N/A


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Service Credit. Shall mean an amount equal to the pro-rata annual recurring service charges (i.e., all annual recurring charges) for one (1) day of Service. Problem Circumvention or Resolution Time Priorities 1-Urgent Priority – Hosted system or major functionality of system is not available or operational for all users 2-High Priority - Hosted system or major functionality of system is not available or operational for multiple users, or a major function not available for a single user. 3-Standard Priority – Minor function of hosted system is not operational for multiple users but all other functionality is available and operational for users 4-Low Priority - Minor function of hosted system is not operational for single user, but all other functionality is available and operational for users

APPENDIX I – CURRENT INTERFACES

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This appendix provides the Proposer with information about some of the anticipated system interfaces that must be provided by the successful Proposer. Existing interfaces that the successful Proposer will be expected to run include interfaces with health insurance providers, state agencies, MS-Dynamics platform, and the PTC’s on-premises SAP solution. The interfaces described below shall not be considered a complete list or description. It is for information purposes only. Interface Description Data From Data To Interface Type Frequency

Fare Coll Employee Actions Extract

The PTC pulls this in-house report to determine the Fare Collection Employees’ statuses. SAP SAP Batch – Automated

Batch – Manual Monthly

HCM Extract to OnBase

The PTC uses this extract to send personnel documentation, such as W-4 elections, a change in family status, or appraisals.

SAP OnBase Batch – Automated Batch – Manual As Needed

HCM Extract to Active Directory (LDAP)

The PTC uses this extract to establish employees in the LDAP system to make sure employees’ permissions are set up.

SAP Active Directory Batch – Automated Daily

Employee Photos During orientation, new employees’ photos are taken and then stored in SAP. PTC Camera SAP Batch – Manual Bi-weekly

Office of Administration (OA) Financial Disclosure Interface

Personnel financial data and statuses are sent from the PTC to the OA. SAP OA Batch – Automated Weekly

PennWATCH The PTC provides budget information to PennWATCH. SAP PennWATCH Batch – Automated Monthly

Monthly Local Wage Tax Report

The PTC provides a local wage tax report each month to the state. This occurs at the end of each month.

SAP PA Department of Revenue

Manual Report Process Monthly

Annual Local Wage Tax Report

The PTC provides a local wage tax report each year to the state. This occurs at the end of each State FY.

SAP PA Department of Revenue

Manual Report Process Annually


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Union Dues Interface Unions send the PTC files identifying individuals’ owed dues that are to be extracted from Payroll.

Union SAP Manual Report Process Bi-weekly

ADP Paycheck and Statement Interface

The PTC interfaces employee checks to ADP for payment advices and statements. SAP ADP Manual Report

Process Bi-weekly

Payroll ACH File Submission to Bank

The PTC sends electronic deposit payroll checks and information to the bank used by PTC to distribute as direct deposits.

SAP PTC Bank Manual Report Process Bi-weekly

Positive Payfile Transaction for PTC

The PTC sends check information to the PTC’s bank to verify checks submitted to PTC employees’ banks.

SAP PTC Bank Manual Report Process Bi-weekly

Deferred Compensation Interface

The PTC sends deferred contribution amounts through the Deferred Compensation interface. This interface captures the savings account as an outbound record.

SAP 457 Account Manual Report Process Bi-weekly

Deferred Comp Import Program

The PTC receives a report of the amounts that employees have elected to take out of their payroll toward Deferred Compensation.

457 Account SAP Manual Report Process

Bi-weekly

State Employee Retirement System (SERS) Interface

PTC retirement information, such as payments, is sent from the PTC to the state’s employee retirement system.

SAP SERS Manual Report Process Bi-weekly

State Employee Combined Appeal (SECA) Interface

The PTC sends information on employee’s charitable contributions to SECA. SAP SECA Batch – Automated Bi-weekly

Bi-weekly SECA Deductions Interface

The PTC reports employee paycheck deductions to SECA. SAP SECA Batch - Automated Bi-weekly

AFLAC Interface The PTC sends flexible spending payment information to AFLAC. SAP AFLAC

Insurance Manual Report Process Bi-weekly

MetLife Life Insurance

The PTC sends life insurance enrollment information to MetLife. SAP MetLife Life

Insurance Manual Report Process Weekly


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Vision Interface (Davis)

The PTC sends vision insurance enrollment information to Davis Vision. SAP Davis Vision Manual Report

Process Weekly

Medical Interface (Highmark)

The PTC sends health insurance enrollment information to Highmark. SAP Highmark Manual Report

Process Weekly

Prescription Interface (Aetna)

The PTC sends prescription insurance enrollment information to Aetna. SAP Aetna Manual Report

Process Weekly

Dental Interface (UCCI)

The PTC sends dental insurance enrollment information to United Concordia (UCCI). SAP UCCI Manual Report

Process Weekly

PennDOT Driver’s License Interface

Employees’ driver’s license information is sent from the PTC to PennDOT. SAP PennDOT Batch – Automated Monthly

PennDOT Driver’s License Interface

PennDOT returns the PTC’s information request with the status of employees’ drivers’ licenses, such as any driving restrictions.

PennDOT SAP Batch – Automated Monthly

Performance Evaluations

The PTC uses this extract to place performance evaluations in employee personnel files stored in OnBase.

SAP OnBase Batch - Manual

Yearly for annual review On-demand for interim and intro

APPENDIX J – COMMISSION RETENTION SCHEDULE

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RecordClass Code RecordClass Name / Description

Retention Periods On-Site Off-Site Total

Human Resources - Benefits

HB100

Benefit Administration Records related to the general management and administration of corporate benefit plans. Includes plan-related and Vendor correspondence and general employee communication. See HB110 for Retirement Plan. Examples Include: Benefit Analysis, Benefit Claims Administration, Correspondence ACT (Activity) Event: The date the record was created.

2 4 6

HB110

Benefit Administration Retirement Plan Administration Records related to the management and administration of corporate employee retirement programs. Contains trust reconciliations, 5500’s, annual audit papers, annual validation reports and correspondence. Examples Include: 5500 Forms, Annual Audit Workpapers, Annual Validation Report, Correspondence, Trust Reconciliation ACT (Activity) Event: The date the record was created.

2 4 6

HB130

Benefit Enrollment and Participation Disability Benefits Records related to the continuing benefits distributed under commission-sponsored disability. Examples Include: Applications, Correspondence with Physician, Disability Review Information, Doctor’s Statement, Long-Term Benefit Calculation ACT (Activity) Event: The date the record was created.

2 4 6

HB140

Benefit Enrollment and Participation Loan Applications Records related to money borrowed by an employee against their retirement plan. Examples Include: Correspondence, Loan Application ACT (Activity) Event: The date the loan is paid off.

ACT+2 4 ACT+6


Page 2 of 5

HB150

Benefit Plan Texts and Amendments Records related to Commission-sponsored benefit plans. Includes insurance pension, disability, vacation, entitlements, educational assistance, savings plans and any seniority or merit systems. Examples Include: Amendments, Plan Documentation ACT (Activity) Event: The date the record was created.

IND 0 IND

HB160

Benefit Plan Analysis and Reporting Records related to the analysis and reporting of benefit plan medical and drug utilization. Includes prescription reports, COBRA reports, and related analysis. Examples Include: COBRA Reports, Prescription Utilization Reports ACT (Activity) Event: The date the record was created.

2 4 6

Human Resources - Benefits

HE100

Compensation Planning Records documenting the determination and monitoring of salary structures, incentive programs, job classification and placement, allowances, etc. Includes payscales, salary surveys, and other salary administration functions. Examples Include: College Recruiting Starting Salary Guidelines, Job Evaluation Documents, Wage and Benefit Surveys ACT (Activity) Event: The date the record was created.

5 0 5

HE120

Employee Recruitment and Selection Drug and Alcohol Testing Record related to drug and alcohol screenings required by all individuals applying for position at the PTC. Examples Include: Chain of Custody Form Test Results ACT (Activity) Event: The end of the calendar year in which the record was created.

ACT+1 0 ACT+1


Page 3 of 5

HE130

Employee Recruitment and Selection Rejected Record related to personnel requests, job application testing, advertising, position descriptions, interviews, etc. Applicants include employees who apply for open positions. Examples Include: Applications, Candidate Evaluations, Help wanted Ads, Job Posting, Personnel Requisitions, Resumes ACT (Activity) Event: The date the record was created.

2 0 2

HE140

Employee Recruitment and Selection Skills Assessment Records related to the testing of an applicant’s skillset. Examples Include: Test Results ACT (Activity) Event: The date that the record was created.

3 0 3

HE150

Employee Situations Non-Union Employee Situations Non-Union Records related to employee concerns, complaints employee assistance programs, referrals and disciplinary records. See EO140 for Employee Investigations and HE230 for Labor Grievances. Examples Include: Disciplinary Records and Manager Notes ACT (Activity) Event: The date that the record was created.

3 2 5

HE160

Immigration and Naturalization Records and correspondence related to immigration and naturalization of employees transferring to and from Company facilities. Includes federal Form I-9 which certifies employee identity and eligibility as a US citizen. Examples include: Form 1-9 ACT (Activity) Event: The end of the calendar year in which the employee leaves the employment.

ACT+3 0 ACT+3

HE170

Job Descriptions Record related to job descriptions Examples Include: Job Descriptions ACT (Activity) Event: The date that the job description is superseded.

ACT+1 9 ACT+10


Page 4 of 5

HE180

Personnel Files Records regarding employees beginning with their initials hire. Includes hiring promotion, performance appraisals transfers, etc. These records provide a history of employment. Examples Include: Address Changes, Applications, College Transcripts, Continuing Education Records, Employee Agreements, Letter of Acceptance, Performance Appraisals, References, and Resumes. ACT (Activity) Event: The end of the calendar year in which the employee leaves employment.

IND 0 IND

HE200

Organization Charts Records showing the structure of the organization including the positions, titles and employee names. Examples Include: Organization Charts (Commission-wide), Organization Charts (Departmental) ACT (Activity) Event: The date that the record was created.

SUP 0 SUP

HE210

Labor Relations Labor Unit Bargaining Relationship Records applicable to the Bargaining Unit relationship. Includes seniority listings, bulletins, notes of meetings with locals, etc. Examples Include: Bulletins, Meeting Minutes, Seniority Listings ACT (Activity) Event: The date that the record was created.

IND 0 IND

HE220

Labor Relations Labor Contracts and Agreements Records related to agreements between the Commission and labor unions. Includes labor union contracts, contract negotiations and collective bargaining agreements. Examples Include: Collective Bargaining Agreements, Contract Negotiations, Labor Union Contracts ACT (Activity) Event: The date that the record was created.

IND 0 IND

HE230

Labor Relations Labor Grievances – Human Resources (Step 2) Records related to grievances field by labor union employees against the PTC. These are grievances

3 7 10


Page 5 of 5

that cannot be resolved within the originating department and as a result are escalated to Human Resources. Includes grievances, correspondence and supporting documents. See LR100 for labor grievances handled at the departmental level and LE110 for labor grievances handled by the legal department. Examples Include: Correspondence, Labor Grievances, Supporting Documents ACT (Activity) Event: The end of the calendar year in which the record was created.

Human Resources - Training

HT100

Training and Development Programs Records related to the development and operation of Commission-sponsored training programs and seminars. Includes seminars, education assistance, management and supervision development, job progression, drug and alcohol awareness. See EO130 for Sexual Harassment Training. Examples Include: Course Evaluation Summaries, Course Manuals, Course Schedules ACT (Activity) Event: The date the program is superseded or is no longer available to employees.

ACT+3 0 ACT+3

HT110

Training Attendance and Certification Records which document the attendance at Commission and Vendor-sponsored training programs and seminars. Includes attendance and completion records. Includes records related to certification for individuals to perform certain tasks. Examples Include: Course Sign-In Sheets, Employee Training Requirements/Record ACT (Activity) Event: The date the program is superseded or is no longer available to employees.

ACT+3 0 ACT+3

PENNSYLVANNIA TURNPIKE COMMISSION

Human Capital Management Solution Procurement RFP NUMBER 17-10360-7998

WORKBOOK 1

TECHNICAL SUBMITTAL

[INSERT PROPOSER NAME]

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TABLE OF CONTENTS 1. Executive Summary .............................................................................................................................. 5

2. Solution Overview ................................................................................................................................ 5

2.1. Proposer Narrative of Solution Overview ..................................................................................... 5

2.2. Proposer Narrative of Technical Approach................................................................................... 5

2.3. Implementation Approach............................................................................................................. 6

2.3.1. Implementation Approach ..................................................................................................... 6

2.3.2. Relationship Management & Governance ............................................................................ 6

2.4. Solution Strategic Direction .......................................................................................................... 6

2.5. Key Assumptions and Dependencies ............................................................................................ 6

3. Proposer Organization Background and Qualifications: ....................................................................... 6

3.1. General Corporate Information ..................................................................................................... 6

3.1.1. General Office Information ................................................................................................... 7

3.1.2. Contracting Entity ................................................................................................................. 7

3.1.3. Key Proposal Contacts .......................................................................................................... 7

3.1.4. Number of Employees .......................................................................................................... 7

3.1.5. Corporate Financials and Stock Information ........................................................................ 7

3.1.6. General Experience ............................................................................................................... 8

3.1.7. Public Sector Industry Experience ........................................................................................ 8

3.1.8. Private Sector Industry Experience ....................................................................................... 9

3.1.9. License and Insurance ........................................................................................................... 9

3.2. Subcontractors ............................................................................................................................. 10

3.3. History of Proposer Organizational Experience ......................................................................... 11

3.4. Client References - Implementation ........................................................................................... 11

3.5. Client References – Hosting Support .......................................................................................... 12

3.6. Team Overview ........................................................................................................................... 13

4. Requirements Matrix .......................................................................................................................... 14

4.1. Requirements Matrix Overview .................................................................................................. 14

4.1.1. Yes - Standard ..................................................................................................................... 14

4.1.2. Yes - Configurable .............................................................................................................. 14

4.1.3. Yes - Custom ....................................................................................................................... 14

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4.1.4. Yes - Future ......................................................................................................................... 15

4.1.5. No - Not Available/Not Proposing ...................................................................................... 15

4.2. Requirements Matrix – Priority Capabilities .............................................................................. 16

4.2.1. General Solution Requirements .......................................................................................... 16

4.2.2. General Technical Requirements ........................................................................................ 18

4.2.3. General Reporting Requirements ........................................................................................ 36

4.2.4. Learning Management Requirements ................................................................................. 38

4.2.5. Performance Management Requirements ........................................................................... 62

4.2.6. Recruiting/Onboarding ........................................................................................................ 72

4.3. Requirements Matrix – Optional Capabilities............................................................................. 85

4.3.1. Employee Lifecycle Support Requirements ........................................................................ 85

4.3.2. Time Entry Processing & Approval Requirements ............................................................. 89

4.3.3. Payroll Processing Requirements ...................................................................................... 100

4.3.4. Employee Benefit Requirements ...................................................................................... 111

4.3.5. Leave of Absence, Name Change, Dependent Change Requirements ............................. 120

4.3.6. Grievances & Union Bids Requirements .......................................................................... 121

5. Transition Overview and Plan........................................................................................................... 124

5.1. Transition Approach ................................................................................................................. 124

5.1.1. Key Objectives .................................................................................................................. 124

5.1.2. Critical Success Factors .................................................................................................... 124

5.2. Planning Considerations ........................................................................................................... 124

5.2.1. Key Business Events ......................................................................................................... 124

5.2.2. High Level Assumptions ................................................................................................... 124

5.2.3. Transition Work Streams .................................................................................................. 124

5.2.4. Risk Management ............................................................................................................. 125

5.2.5. Project Management ......................................................................................................... 125

5.3. Transition Staffing .................................................................................................................... 125

5.3.1. Commission Staffing......................................................................................................... 125

5.4. Transition Plan Narrative .......................................................................................................... 127

5.5. Transition Plan .......................................................................................................................... 127

5.6. Transition Phasing of Go-Live Dates ........................................................................................ 127

5.6.1. Phasing Strategy ................................................................................................................ 127

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5.6.2. Stage Gate Acceptance ...................................................................................................... 127

5.7. Transition Services Not Fully Provided by the Proposer .......................................................... 128

5.8. Strategic Direction .................................................................................................................... 128

6. Governance and Relationship Management...................................................................................... 128

6.1. Governance Overview............................................................................................................... 128

6.1.1. Reports .............................................................................................................................. 128

6.1.2. Service Reviews ................................................................................................................ 128

6.2. Governance Staffing ................................................................................................................. 128

6.2.1. Key Roles and Responsibilities ......................................................................................... 129

6.2.2. Proposer Staffing............................................................................................................... 129

6.2.3. Commission Staffing......................................................................................................... 129

6.3. Solution Enhancements ............................................................................................................. 129

6.3.1. Solution Enhancement Process ......................................................................................... 129

6.3.2. Solution User Groups ........................................................................................................ 129

6.4. Critical Issues Management ...................................................................................................... 129

6.4.1. Issue Determination .......................................................................................................... 129

6.4.3. Root Cause Analysis Process ............................................................................................ 130

6.4.4. Issue Escalation and Notification ...................................................................................... 130

6.4.5. Issue Tracking ................................................................................................................... 130

6.5. Strategic and Business Change Management ........................................................................... 130

6.5.1. Change Determination ...................................................................................................... 130

6.5.2. Change Escalation and Notification .................................................................................. 130

6.5.3. Change Tracking ............................................................................................................... 130

6.5.4. Change Management......................................................................................................... 131

6.6. Compliance Management ......................................................................................................... 131

6.7. Communications Management ................................................................................................. 131

6.7.1. Communications with Stakeholders .................................................................................. 131

6.7.2. New Business Requirements ............................................................................................. 131

6.7.3. Internal Communication Coordination ............................................................................. 131

6.7.4. Partnership Alignment ...................................................................................................... 131

6.7.5. Third Party Communication .............................................................................................. 132

TRUCTIONS TO POTENTIAL PROPOSERS

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Workbook 1, Technical Submittal, is organized into six sections. These sections include: 1. Executive Summary 2. Solution Overview 3. Proposer Organization Background and Qualifications 4. Response to Technical and Functional Requirements 5. Transition Overview and Plan 6. Governance and Relationship Management

Please answer in the “Proposer Response” sections. Refer to the RFP for additional detail regarding the information required in this workbook. Note: Do NOT include any references to pricing in Workbook 1.

1. Executive Summary Instructions: This section is limited to 10 pages.

Company Name:

Proposer Response:

2. Solution Overview 2.1. Proposer Narrative of Solution Overview Instructions: The Proposer should provide a solution narrative that describes the overall solution to ensure that the Commission can visualize how this solution will be delivered. The descriptions should contain sufficient detail for the Commission to understand the overall approach, commitments and timeframe associated with the Proposer’s solution. Proposer Response: 2.2. Proposer Narrative of Technical Approach Instructions: The Proposer should provide a solution narrative and strategy that will describe in sufficient detail the technical solution for the delivery and support of required solution model, to include all required system interfaces. Proposer Response:

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2.3. Implementation Approach

2.3.1. Implementation Approach Instructions: The Proposer should provide an implementation narrative and strategy that will describe in sufficient detail the approach that will support these required implementation services. Proposer Response:

2.3.2. Relationship Management & Governance Instructions: The Proposer should provide a governance strategy summary that will support these required services. Proposer Response:

2.4. Solution Strategic Direction Instructions: The Proposer should describe its company’s strategic direction of its solution and the implications of that strategy for the Commission. Proposer Response:

2.5. Key Assumptions and Dependencies Instructions: The Proposer must identify key assumptions and dependencies on which it has based its proposal including any Commission’s personnel, financial, or operational retained responsibilities. The impact on schedule or functionality (including service levels) of any of the Proposer’s assumptions must be clearly specified. If no impacts are specified, then state “no impact.” Proposer Response:

3. Proposer Organization Background and Qualifications: Instructions: Proposers shall provide responses in the “Response” column in the tables below. 3.1. General Corporate Information Proposer Response:

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Proposer Element Response

3.1.1. General Office Information a. Service Provider Name b. Corporate Address Information c. Country of Primary Office d. Describe the current or proposed

location where services will be provided or from which the contract will be managed.

3.1.2. Contracting Entity a. Please indicate, if different from

3.1.1.a, the proposed contracting entity of your organization for your relationship with PTC.

b. What is your relationship to the entity listed in 3.1.1.a?

3.1.3. Key Proposal Contacts a. Key Contact Info (Please provide Name, Title, Telephone, Email address)

3.1.4. Number of Employees a. Overall 3.1.5. Corporate Financials and Stock Information a. Provide a copy of your firm’s

financial statements for the last three (3) years – 2014, 2015, 2016. If unable to meet these requirements, explain why you cannot. Tax returns may be substituted for financial statements.

b. What is the distribution of your firm’s annual sales revenue over the last two (2) years across Federal, State, Local government and commercial accounts?

c. Market Capitalization (in $ millions) d. Year Established e. Public or Private f. Stock Symbol and Stock Exchanges

(if applicable)

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Proposer Element Response

g. Attach annual audited financial report for most recent 2 years

h. For each of the last two (2) years, list your top five (5) customers by revenue.

i. Provide the value of your firm’s mobile cashless tolling accounts for the last two (2) years.

j. Has your firm ever been terminated for poor performance on a contract awarded to you? If yes, explain.

k. Are there any judgment, claims, arbitration proceedings, suits pending, or outstanding against your firms? If yes, explain.

l. Has your firm ever filed any lawsuits, submitted claims or been involved in any litigation with regard to your contract activity within the last ten (10) years? If yes, explain.

m. Has your firm ever been debarred in any state? If yes, explain.

n. Web Site addresses 3.1.6. General Experience a. Please describe 3 clients with similar

size and complexity to the Commission.

3.1.7. Public Sector Industry Experience a. Please complete the table below

describing your firms experience in providing to public sector clients:

Industry Experience Public sector client(s), years of service

• Comprehensive HCM business

systems support

• Comprehensive implementation/integration of HCM solutions

• Hosting of comprehensive HCM solutions

• Recruiting/Onboarding Solutions • Learning Management Solutions

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• Performance Management Solutions • Comprehensive Payroll and

Taxation support for state, county and local jurisdictions in Pennsylvania.

3.1.8. Private Sector Industry Experience a. Please complete the table below

describing your firms experience with private sector clients:

Industry Experience Private sector client(s), years of service

• Comprehensive HCM business

systems support

• Comprehensive implementation/integration of HCM solutions

• Hosting of comprehensive HCM solutions

• Recruiting/Onboarding Solutions • Learning Management Solutions • Performance Management Solutions • Comprehensive Payroll and

Taxation support for state, county and local jurisdictions in Pennsylvania.

3.1.9. License and Insurance

a. List documentation of any applicable Pennsylvania licensure requirements (or any specific credentials required) required to do business in Pennsylvania and attach copies at end of Workbook 1.

3.1.10. Other Information

a. What risk mitigation strategies does your firm have in place to prevent growing too quickly without the appropriate level of attention to quality?

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3.2. Subcontractors Instructions: If subcontractors are to be used, fill out the table below providing basic information. If no subcontractors are used, add text to indicate this. Complete one of these tables for each subcontractor used. Proposer Response:

Subcontractor #1 Response

a. Organization Name b. Contact information including

Address, Phone Number, Contact Person, email address, etc.

c. Briefly describe the subcontractors’ organizational capacity and qualifications.

d. Briefly describe what role this organization or individual has in the overall project.











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3.3. History of Proposer Organizational Experience Instructions: The Proposer should briefly describe the history of the Proposer’s organization, especially regarding skills pertinent to the specific work required by the RFP and any special or unique characteristics of the organization which would make it especially qualified to perform the required work activities. The Proposer should discuss the organization’s presence in and commitment to the Commonwealth of Pennsylvania. Include similar information for any subcontractors. Proposer Response:

3.4. Client References - Implementation Instructions: The Proposer should provide a description of five implementation projects that occurred within the past three years which reflect experience and expertise needed in performing the functions described in this RFP. Only include projects of similar scope and size. Proposer Response:

Project #1 Response

a. Contact Information – including Company/Organization Name, Contact Person and Telephone number

b. Briefly describe the size and scope of the project

c. Date of Project (beginning and end)

Project #2 Response




Project #3 Response


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Project #4 Response




Project #5 Response




3.5. Client References – Hosting Support Instructions: Please include reference data for up to three (3) organizations for which your company is currently delivering hosting support for similar services as requested in the RFP, and one (1) organization that is a completed project. Proposer Response:

Reference #1 Response

a. Please provide the name, address, and contact information.

b. Please provide a brief description of services for the referenced organization.

c. Please state the status of the services (in process, completed, etc.) provided to the contact.

d. Please describe how the reference organization compares with the Commission in terms of size, geographic reach and scope of services being requested.

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e. Please describe the solution (software name, version, etc.) provided to the client.

Reference #2 Response a. Please provide the name, address, and

contact information.






a. Please provide the name, address, and contact information.





3.6. Team Overview Instructions: The Proposer shall include an overview of its proposed team. The Proposer should provide an organization chart and list by role the proposed staff, expected time obligation, and duration of their individual engagement. The Proposer should provide the background and experience, current professional licenses and geographic location of the proposed staff as well.

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Please include resumes for proposed staff. While these resumes do not count towards any stated page limitations, resumes should not exceed two (2) pages in length. Proposer Response:

4. Requirements Matrix 4.1. Requirements Matrix Overview Instructions: All sections within 4.2 Priority Capabilities Requirements Matrix must be completed by the Proposer for the proposal to be considered. In this section, all Proposer responses should be provided in Section 4.2 and Section 4.3, as applicable. Commission Supplied Columns All requirements in this document contain three elements of Commission supplied information: a unique identifier, description, and the business need. Proposers shall not change contents of these columns. The Commission has identified requirements as “Mandatory”, “Highly Desirable”, or “Desirable”. “Mandatory” requirements are imperative with the proposed solution. “Highly Desirable” requirements are those that the Commission wishes to leverage but are not critical with the proposed solution, and “Desirable” requirements are functions that the Commission would like to be able perform, but are not critical to its business processes. Delivery Method Column The Proposer should complete the delivery method column by using “Yes - Standard”, “Yes - Configurable”, “Yes - Custom”, “Yes - Future”, or “No - Not Available/Not Proposing” (as defined below) to indicate how the requirement will be delivered.

4.1.1. Yes - Standard The Proposer should use the “Yes - Standard” designation if the Feature/Function is inherent in the proposed proposer solution. This should not include items where the solution does exist, but only through special configuration.

4.1.2. Yes - Configurable The Proposer should use a “Yes - Configurable” designation if the Feature/Function is available in the proposed proposer solution, but requires the Commission’s amount of work in order to prepare for implementation. This would include, but is not limited to rules engines, special forms, certain workflow, etc.

4.1.3. Yes - Custom The Proposer should use the “Yes - Custom” designation if the Feature/Function can be provided with custom modifications. For every requirement marked as custom, the Respondent must provide estimated hours and average billing rate or flat cost for the

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software modification in Workbook 3 – Cost Submittal. The costs should be entered with the requirement number clearly indicated for traceability.

4.1.4. Yes - Future The Proposer should use the “Yes - Future” designation if the Feature/Function will be available in a future release within the next 12 months. Additionally, the anticipated delivery date, version, and service release information should be added in the comment area. This designation may also be used to indicate commercial off-the-shelf (COTS) applications that the proposer intends to acquire to fulfill the requirement.

4.1.5. No - Not Available/Not Proposing The Proposer should use the “No - Not Available/Not Proposing” designation if the Feature/Function is not being proposed by the Proposer. Provide brief description of why this functionality was not proposed.

Comments Column For all delivery method responses other than standard (e.g., Yes - Future, Yes - Custom, or No - Not Available / Not Proposing) Proposers may provide a brief explanation. Free form text can be entered into this column.

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4.2. Requirements Matrix – Priority Capabilities

4.2.1. General Solution Requirements The “Business Need” column will need to be reviewed by the PTC (Mandatory vs. Highly Desirable vs. Desirable).

General Requirements ID Description Business Need Delivery Method Comments

GS-001 The solution shall support the ability to group email notifications by task type and email recipient for mass notifications. Mandatory

GS-002 The solution shall support the ability to return the user to the homepage (dashboard) when they complete a process in the expectations setting or final evaluation process and they are not the owner for the next stage.

Mandatory

Integration

ID Description Business Need Delivery Method Comments

GS-003 The solution shall support the ability to integrate data from third party software to Training Event Management (TEM). Mandatory

GS-004 The solution shall support providing data from the third party software to other stakeholders using standard, generally accepted interface protocols. Mandatory

GS-005 The solution shall support real-time integration with the main TEM home page for performance tasks. Mandatory

GS-006 The solution shall support full integration of PTC specific fields that are populated through the integration from the TEM. Mandatory

GS-007 The solution shall support automatic initiation of employees into an evaluation plan (expectations setting stage) when the employee meets eligibility requirements for that evaluation plan and plan year.

Mandatory

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GS-008

The solution shall support automatic administrative closeout of employees from an evaluation after a pre-established number of days following the employee's last day worked or the end of the evaluation plan year.

Mandatory

GS-009

The solution shall support seamless process integration between all stages in the Performance Expectation (Goal Setting) and Final Evaluation processes, including moving the evaluation to the next owner and from the Performance Expectation to Final Evaluation process once the Performance Expectation process is completed, without requiring an administrator to complete.

Mandatory

GS-010 The solution shall support automatically moving an evaluation past a set stage if there is no owner for the stage (e.g., skip the second-level review stage if there is no second-level reviewer).

Mandatory

Mobility Capabilities


GS-011

The solution shall support mobile accessibility (e.g., smartphones, tablets), providing access to complete key processes (e.g., update personal information, complete forms, recruiting and hiring, performance management) using mobile devices.

Mandatory

GS-012 The solution shall support a mobile app that is device agnostic (e.g., supports iOS and Android mobile devices). Mandatory

Delegation Capabilities


GS-013 The solution shall support the ability to delegate a task for multiple employees at one time. Mandatory

GS-014 The solution shall support the ability to delegate an entire process (including the ability to delegate for multiple employees). Mandatory

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GS-015 The solution shall support the ability to delegate entire access (excluding administrator rights). Mandatory

4.2.2. General Technical Requirements Remote Hosting

ID Requirement Description Business Need Delivery Method Comments

TR-001 The solution shall supply all hosting equipment (hardware and software) required for performance of the solution. Mandatory

TR-002

The solution will be operational on a 24 x 7 basis with a 99.5% availability. All scheduled maintenance must take place between the hours of 12:00 AM and 5:00 AM. Advance notification of a minimum 7 business days must be provided for scheduled maintenances.

Mandatory

TR-003

The solution will include a full disaster recovery (DR) site with all the capabilities of the Primary site; utilizing a completely independent infrastructure, stack and geographically separated by a minimum of one hundred miles from the primary site. Both sites must be within the Continental United States.

Mandatory

TR-004

The solution will provide daily, weekly, monthly and annual backups, including a minimum of 30 days’ worth of backups will be available and appropriately restored upon the PTC’s requests for disaster and error recovery.

Mandatory

TR-005 The solution will be based on a maximum production data loss (Recovery Point Objective – RPO) of 12 hours or less; less is desirable and will be considered more favorably.

Mandatory

TR-006 The solution will be based on a maximum production recovery time (Recovery Time Objective – RTO) of 18 hours or less; less is desirable and will be considered more favorably.

Mandatory

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TR-007 The solution vendor will perform full DR site test once per year – full testing not to exceed 4 hours per year. Results will be signed off by the PTC. Full testing will not take place in the production environment.

Mandatory

TR-008

The solution vendor will be able provide a breakdown of response times (e.g., by application, network, database) and provide recurring reports and dashboards showing average response times. Frequency of reports is to be determined by PTC.

Mandatory

TR-009

The solution will not experience outages or degraded performance resulting from background processes (e.g., batch, system, payroll processing) and shall not interfere with user driven online transaction processing (OLTP). The vendor should be able to provide, to the best of their ability, a level of quantification for testing purposes.

Mandatory

TR-010

The solution must support the following (at minimum): - 1,000 non-active employees (retirees) - 3,000 active employees with ESS access - Including 1000 PC/workflow approval users - 5,000 new applicant profiles annually - 500 concurrent solution users

Mandatory

TR-011 The solution will not have any single point of failure (e.g., software, hardware, data center, role). Mandatory

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TR-012 The solution shall provide capability that is in line with PTC data retention standards and procedures. These processes and procedures can be accessed at: https://pol.paturnpike.com/api/PolicyLetters/4070274/

Mandatory

TR-013

The vendor shall promptly return to the PTC all its Confidential Information (and all copies of this information) that is in the vendors possession or control at the expiration or termination of work based on written request of the PTC.

Mandatory

Technical Environments – Architecture


TR-014

Users are located throughout the State and will need the ability to access the solution from various points, including their local offices, town libraries, and their homes. The solution must be able to support this level of remote access, including public-facing HTTPS for end users.

Mandatory

TR-015

The solution must support HTML 5 compliant browser and maintain compatibility with all previous versions of HTML 5 compliant browsers. All mainstream browsers, including Safari, Chrome, IE and Firefox, will be supported.

Mandatory

TR-016 The solution has the ability to utilize locally installed and network printers and drive volumes. Mandatory

TR-017 The solution will allow PTC scheduling of batch processes as necessary to run based on PTC requirements. Mandatory

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TR-018 The solution will provide a user interface to manage all job queues. Mandatory

Working Environments


TR-019

The solution will include the capability to provide solution environments including, but not limited to: - Production - Dev - QA - Training - Sandbox (potentially multiple instances on demand)

Mandatory

TR-020 The solution shall support an SDLC structure and a hierarchy of changes. Mandatory

TR-021

The solution must be able to run in-sync with our existing SAP environments, this includes: 1. DEV 2. QA 3. Production 4. Training 5. Sandbox systems (3)

Mandatory

TR-022

The solution must be able to run in-sync with our existing MS-Dynamics environments this includes: 1. DEV 2. QA 3. Production 4. Sandbox

Mandatory

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TR-023 The QA performance environment will match the Production performance environment. Mandatory

Working Environments – Accessibility


TR-024 The solution must be ADA (Americans with Disabilities Act), 508-compliant. Mandatory

TR-025 The solution will work with leading screen readers (e.g., JAWS, Window-Eyes) and will be compatible with commonly-used speech recognition programs (e.g., Dragon Dictate).

Mandatory

TR-026 The solution will allow users to be able to complete all functions with a mouse click, through keyboard commands or through a touchpad. Mandatory

TR-027 The solution will accessible without specialized modification or work-around (e.g., interfaces between modules, ability to log into one module to access another).

Mandatory

Portal Access

ID Requirement Description Business Need Delivery Method Comments TR-028 The solution will visually identify any hyperlinks. Mandatory

TR-029 The solution will present a user-friendly access point (portal) to applicants, retired, current and former PTC employees. Mandatory

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TR-030

The solution will present a primary landing page for applicants, retired, current and former PTC employees that will direct individuals to their specific section. Examples of this landing page's functionality could include: - Header - Navigation Tabs - Current User drop-down - Message area - Helpful links

Mandatory

TR-031 The solution will present a footer section at the bottom of the Log In page and contain informational links (e.g., internet privacy policy, accessibility statement, E-verify website for applicants section).

Mandatory

TR-032

The solution will provide a timeout feature that logs a user out of the portal when there is no activity by that user for a configurable amount of time, as determined by the user role. The administrative user will be able to configure the session time out.

Mandatory

TR-033 The solution will support single sign on (SSO) authentication for active PTC employees. The system must be compatible with ADFS, SAML 3.0, and Kerberos.

Mandatory

Security


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TR-034

The solution will provide an authentication process for applicants, retirees, and former PTC employees to provide access and entry into the system that includes: - Multi factor authentication - User must be logging in with a supported browser - System must be compatible with ADFS, SAML 3.0, or Kerberos - Ability to enforce password changes on a system configurable timeframe. - Require strong passwords that include 3 out of 4 of the following characteristics: - The password includes 8 or more characters, - The password includes a mix of uppercase/lowercase letters, - The password includes a number, - The password includes a special character.

Mandatory

TR-035 The solution will have the ability to allow employees access to self-service functionality even during inactive employment status. Mandatory

TR-036

The solution will conform to PTC Security Standards and shall comply with Federal and State security and privacy laws. The vendor is responsible for ensuring compliance with all PTC policies as they are revised.

Mandatory

TR-037 All external (Internet) and internal (Intranet) communications between users and the application outside the data center must be encrypted, including in-flight encryption.

Mandatory

TR-038 The solution will be in compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA), specifically the Privacy and Security Rules at 45 C.F.R Part 160 and 164, subparts A, C, and E.

Mandatory

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TR-039 The solution shall support automated export of the application audit log into the log management solution (e.g., LogRhythm). Mandatory

TR-040

The solution will have the ability to allow authorized users to have access to a log of security activity to determine users that have signed on and off the solution, as well as unsuccessful attempts to sign on to the solution.

Mandatory

TR-041 The solution will track user access within the system and capture the results to the nearest second in an audit log. Mandatory

TR-042 The solution will have the ability to configure PTC-defined limitations on the size of file attachments. Mandatory

TR-043 The solution will have the ability to mask or scrub production environment data when moved to other environments. Mandatory

TR-044 The solution will have the ability to mask at the field level in all environments based on security permissions. Mandatory

TR-045 The solution will provide user-level security options to control access to sensitive information for import and export capabilities. Mandatory

TR-046 The solution will have the ability to limit access to stored data based on user permissions. Mandatory

TR-047 The solution has the ability to support file, record, and field level security. Mandatory

TR-048 The solution has the ability to provide document-level security (e.g., prevent printing or redistribution of an exported document). Mandatory

TR-049 The solution has the ability to allow any user with the proper security to be able to print event information or event audit trail information. Mandatory

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TR-050 The solution will allow administrative users to determine what permissions a user has at the user level (effective permissions). Mandatory

TR-051 The solution has the ability to assign users different levels of security by module. Mandatory

TR-052 The solution has the ability to assign a user multiple security roles concurrently. Mandatory

TR-053 The solution has the ability to restrict management of user accounts, system parameters, business rules and lookup tables to those individuals who are assigned the proper permissions within the solution.

Mandatory

TR-054 The vendor must follow the deliverable review process and acceptance procedure outlined in this procurement. Mandatory

TR-055

The vendor shall provide written proof that all data centers and applications adhere to security best practices and standards, examples may include (CSF, HIPAA security, NIST, ISO 27000 Series, BS10012 FedRAMP certified, SOC I and SOC II compliant, FISMA Level 3). The vendor shall provide this information annually no later than 45 days after the close of the Commission’s fiscal year.

Mandatory

TR-056 The solution will require credentials (in-flight and at-rest data encryption) to view personally identifiable information (PII) (e.g., SSN). Mandatory

TR-057 The solution will have the ability to allow an audit trail to record the user ID and IP address with each incident/unit history. Mandatory

TR-058 The solution will have the ability to allow users with the appropriate permissions to search and sort the audit trail by multiple criteria. Mandatory

TR-059 The solution must support encryption for data that is in transit. Mandatory

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TR-060

The vendor shall conduct a third party independent security/vulnerability assessment and share the results with PTC on an annual basis. The vendor shall agree to third party application and vulnerability security scans on an agreed upon schedule and shall comply with PTC directions/resolutions to remediate the results of the security/vulnerability assessment to align with the standards of the PTC.

Mandatory

Data Storage and Retrieval


TR-061 The solution will provide a data dictionary that is accessible via hover-over, right-click, or similar functionality. Mandatory

TR-062 The solution will not use the SSN as a primary key in any database tables. Mandatory

TR-063 The vendor shall be solely responsible for all data storage required. The solution will have the ability to access data files at the same time without collision or file/record/field locking problems.

Mandatory

Document Image Capture and Storage


TR-064 The solution will have the ability to attach/upload documents, and once uploaded these documents will not be editable. Mandatory

TR-065 The solution must scan images and documents for malicious content before loading them into the PTC system. Mandatory

TR-0656 The solution will have the ability to allow users to view documents from a control within the application. Mandatory

TR-067 The solution will have the ability to upload documents from multiple sources, locations, and devices. Mandatory

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TR-068 The solution will have the ability to index documents based on multiple data elements. Mandatory

TR-069 The solution will have the ability to allow users to see a list of all documents associated with a specific record or group of records. Mandatory

TR-070 The solution will have the ability to allow users to retrieve and print stored documents on demand. Mandatory

TR-071 The solution will have the ability to limit access to stored document types based on user permissions. Mandatory

Data Storage/Warehousing


TR-072 The solution will have the ability to schedule extracts of all data stored in the new solution on a daily (24-hour) basis. Mandatory

TR-073 The solution will have the ability to allow users to view historical data. Mandatory

TR-074 The solution will have the ability to allow users to query data based on multiple criteria. Mandatory

TR-075 The solution will have the ability to allow users to run reports based on standard and ad hoc queries. Mandatory

TR-076 The solution will have the ability to run scheduled reports. Mandatory

TR-077 The solution will have the ability to be updated via a scheduled process. Mandatory

Data Archive ID Requirement Description Business Need Delivery Method Comments

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TR-078 The solution must be able to archive records that meet select criteria as configured by administrator (e.g., data older than 7 years). Mandatory

TR-079 The archived data must be accessible and retrievable. Mandatory TR-080 The solution must support encryption of archived data. Mandatory

Reporting


TR-081 The solution will have the ability to provide a complement of standard reports. Mandatory

TR-082 The solution will provide the ability to modify existing standard reports. Mandatory

TR-083 The solution will have the ability to provide an ad-hoc reporting environment, including current and historical data for all modules that is Open Database Connectivity (ODBC) compliant.

Mandatory

TR-084 The solution will have the ability to provide customizable audit reports. Mandatory

TR-085 The solution will have the ability to provide configurable exception reports. Mandatory

TR-086

The solution will have the ability to produce error and performance reports for statistical analysis, potential training and quality assurance and perform preventative maintenance in order to minimize and predict system problems and initiate appropriate action. The vendor is responsible for monitoring the reports and sharing the analysis of the reports with the Commission.

Mandatory

TR-087 The solution will have the ability to generate scheduled PTC reports and outputs and make them available electronically to authorized users as required by the agreed upon job schedules.

Mandatory

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TR-088 The solution will have the ability for all reports and outputs to be via locally-routed print files, flat files (e.g., XML, MS Word, MS Excel, CSV) or PDFs and transmitted electronically (e.g., MS Office 365).

Mandatory

TR-089 Solution forms/letters and boilerplate documents will be designed such that variable data will be supplied from the application at run time. Mandatory

TR-090 The solution will have the ability to image outgoing letters and reports (e.g., JPEG, PDF). Mandatory

TR-091 The solution will have the ability to conduct ad hoc reporting, including current and historical data for all modules. Mandatory

TR-092 The solution will have the ability to provide users with a user-friendly report generator. Mandatory

TR-093 The solution will have the ability to allow users to build customized reports. Mandatory

TR-094 The solution will have the ability to provide query capabilities for leave and accrual balances. Mandatory

Interfaces


TR-095 The solution will have the ability to import and export data from (or to) standard file formats including but not limited to XML, Microsoft Word, Microsoft Excel, and Microsoft Access.

Mandatory

TR-096 The solution must be able to support email interfaces, including forced TLS. Mandatory

TR-097 The solution will have the ability to accept and send data feeds including updates of employee related data elements to and from internal and/or external systems in accordance with PTC security standards.

Mandatory

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TR-098 The solution vendor must allow the PTC to pull data from its sources. Mandatory

TR-099 The solution will have the ability to create and submit data files to PTC interfaces including but not limited to standard API, EDI, middleware, and/or SAP.

Mandatory

TR-100

The solution must be able to run all of existing interfaces including, but not limited to (See RFP Interfaces for current interfaces): - Health insurance providers - State agencies - MS-Dynamics platform - On-premise SAP system

Mandatory

TR-101 The solution must support SFTP interface protocol and provide an efficient process for the addition of new or modified interfaces. Mandatory

TR-102 The solution must integrate with the PTC's existing financial SAP on-Premise application. Mandatory

TR-103 The solution must maintain compatibility with the current financial SAP on-Premise application. Mandatory

TR-104 The solution must be able to support PGP encryption. Mandatory

Testing ID Requirement Description Business Need Delivery Method Comments

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TR-105

Testing will be done in accordance with PTC standards (e.g., those involved in developing cannot participate in QA testing, the vendor will use PTC QA test script and development unit test script templates, business requirements will be mapped to each script, during QA testing all defects will be logged using HPQC, role-based testing will be included in the QA/integration testing).

Mandatory

TR-106 Testing will be done in an environment other than the production environment, including a QA environment that is controlled by PTC.

Mandatory

TR-107 Integration testing will be done in a QA environment only. Mandatory

TR-108 The solution will provide the ability to do on-demand refreshes from the Production environment and have sufficient capacity to accommodate all production data.

Mandatory

Solution Training

ID Requirement Description Business Need Delivery Method Comments TR-109 The vendor will offer a suite of online training modules. Mandatory

TR-110 The vendor will offer in person for super users, IT and train the trainer training sessions. Mandatory

TR-111 The vendor will offer recorded training sessions. Mandatory

TR-112 The vendor will offer training materials/documentation customized for the business processes. Highly Desirable

TR-113 The solution shall support content sensitive help. Mandatory

TR-114 The vendor will provide training material/documentation in a user friendly editable format (e.g., Microsoft) Highly Desirable

Data Conversion and Migration ID Requirement Description Business Need Delivery Method Comments

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TR-115 The vendor must be responsible for all data conversion and migration from all feeding sources (e.g., SAP, OnBase, SHARP) according to the proposer's plan in the RFP response.

Mandatory

Implementation and Transition


TR-116

The vendor must create an Implementation Plan, which includes the following: - Approach - Critical tasks - Description of tools, equipment, materials - Process to verify implementation success - Resource loading

Mandatory

TR-117 The vendor must deliver the components of a implementation plan as defined in Section IV-4 of the RFP. Mandatory

Support and Maintenance


TR-118 The solution shall support a calendar and schedule of vendor upgrades that can be reviewed and approved by PTC. Mandatory

TR-119 As part of the maintenance agreement, the successful bidder will make all product releases and upgrades available to the PTC at no additional charge.

Mandatory

TR-120 The solution will have the "built-in" capability to provide remote support tools to access the application. Mandatory

TR-121 The vendor will offer software application support during planned upgrades, after typical operating hours (7:00am-5:00pm EST, Monday through Friday).

Mandatory

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TR-122 The solution will allow authorized users to configure dates on which system updates cannot occur. Mandatory

TR-123

The vendor must notify the System Administrator regarding which releases of third-party software (e.g., JAVA virtual machine, Internet Explorer, Mozilla, Safari) are known to create problems with the current version of the vendor software within 24 hours of the update announcement.

Mandatory

TR-124 The vendor solution must be compatible with current versions of third-party software (e.g., JAVA virtual marching, Internet Explorer, Mozilla, Safari).

Mandatory

TR-125

The vendor will be available to support the PTC within 24 hours of PTC identifying the issue to assign severity level to solution issues. The vendor must commit to continuously working with PTC until the issue has been resolved.

Mandatory

TR-126

The vendor, at a minimum, will adhere to the following standards for issue resolution and security incidents: - Severity Level 1, system is down. Attention required immediately, maximum 30 minute response time, with updates when progress is made not to exceed every hour. - Severity Level 2, major functionality of the system is impacted. Maximum of 1 hour response time, with updates when progress is made not to exceed 4 hours. - Severity Level 3, non-mission critical processes are impacted. Maximum of 8 hour response time, with updates when progress is made not to exceed 8 hours.

Mandatory

TR-127 The solution will have the ability to allow for severity levels for support as defined by the PTC. Mandatory

TR-128 The solution shall use industry best practice and completely test and apply patches for all third-party software products before release.

Mandatory

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TR-129

If there is an emergency situation, the vendor will notify the Commission within 2 hours in advance of taking down the system. It is expected that the vendor will rollover to a backup site during any such emergency maintenance.

Mandatory

TR-130

The vendor shall limit logical and physical access to all system components and provide access only to those individuals with a business need for services provided. In addition, the selected vendor shall audit the data center annually through an independent third party auditor and the audit results shall form part of the selected vendors SSAE 16 (or similar standard) report, against industry standard controls for data security and disaster recovery, that the selected vendor shall make available to PTC upon its reasonable written request and upon Customer’s reasonable request.

Mandatory

Project Management ID Requirement Description Business Need Delivery Method Comments

TR-131

The vendor will have the ability to provide an implementation project management website, which includes a process for document sharing and collaboration between the vendor and client.

Mandatory

TR-132 The vendor shall assist the PTC with role mapping and workflow. Mandatory

TR-133 The vendor shall engage the PTC for feedback early and often, as established in the PTC-approved project management plan. Mandatory

Quality Management


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TR-134

The vendor must create Deliverable Expectation Documents (DED) for each deliverable prior to performing any deliverable-related work. DEDs should include: - Narrative and purpose of the deliverable - Major sections and proposed format of the deliverable - Deliverable acceptance criteria

Mandatory

4.2.3. General Reporting Requirements General Requirements


REP-001

The solution shall provide the ability to generate standard (canned) reports. Mandatory

REP-002

The solution shall provide the ability to configure elements of the canned reports. Mandatory

REP-003

The solution shall provide the ability to generate configurable audit reports for various business areas. Mandatory

REP-004

The solution shall provide the ability to generate configurable exception reports for various business areas. Mandatory

REP-005

The solution shall provide the ability to configure the schedules for any report (s) (i.e. pay-period, monthly, quarterly, annually). Mandatory

REP-006 The solution shall provide the ability to generate ad-hoc reports. Mandatory

REP-007

The solution shall provide the ability to configure customized reports for one-time or repeated use. Mandatory

REP-008

The solution shall provide the ability to query for data that may not be included in the reporting capability. Mandatory

REP-009

The solution shall provide dashboards with the ability to configure and filter/drill down on specific data elements. Mandatory

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REP-010

The solution shall provide a Reports Dashboard that will allow users to view Reporting statistics, schedule of reports, etc. Highly Desirable

REP-011

The solution shall provide the ability to report on all fields in the database. Mandatory

REP-012

The solution shall provide the ability to produce reports in a graphical view, when appropriate, with Security limiting capability. Mandatory

REP-013

The solution shall be compliant with Federal requirements, including but not limited to – ACA, EEOP, EEO-4, VEVRAA, EEOC-503, OSHA, Workers Compensation, FMLA, COBRA, CES, JOLTS, FLSA.

Mandatory

REP-014

The solution shall provide the ability to configure the output of any report(s) in various formats, including but not limited to: Mandatory

REP-14.01 Flat Files;

REP-14.02 EFT;

REP-14.03 Excel;

REP-14.04 Word;

REP-14.05 PDF;

REP-015

The solution shall provide workflow capability for various reporting functions, including but not limited to: Mandatory

REP-15.01 Report requests;

REP-15.02 Report runs - on schedule / off schedule;

REP-15.03 Report creation / modifications; etc.

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REP-016

The solution shall support configurable role-based security with regards to data delivery and reporting capabilities. Mandatory

REP-017

The solution shall support and display user-friendly descriptors for data elements throughout the reporting module. Mandatory

REP-018

The solution shall provide the ability to generate standardized value lists (i.e. Earning Codes groups, Job Codes, time reporting codes, etc.) to support consistency in reporting.

Mandatory

4.2.4. Learning Management Requirements General Requirement Capabilities


LM-001 The solution supports the PTC's retention schedule, including purging of documents that have expired. Highly Desirable

LM-002 The solution supports 508 (ADA) compliance. Mandatory

LM-003 The solution supports employees with multiple IDs, including concurrent (dual) employment, and distinguishes between departments.

Mandatory

LM-004

The solution supports at least 3,000 concurrent Users without experiencing performance issues, with the ability to quickly apply additional servers to the stack to increase the concurrent User capability during high peak periods.

Mandatory

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LM-005 The solution supports overlapped employment (more than one employee holding the same position; for example, second-level supervisor, supervisor, employee).

Mandatory

LM-006 The solution includes built-in intuitive navigation. Highly Desirable LM-007 The Solution shall support the interface with U-Perform. Mandatory

LM-008 The solution supports seamless user interface (UI) integration. Mandatory

LM-009 The solution supports branding by department (e.g., allow for department specific training notices). Mandatory

LM-010 The solution supports the ability for pages within the site to be set by department (e.g., catalog page). Desirable

LM-011 The solution supports branding domains based on User type (i.e., PTC employees vs. contractors). Highly Desirable

LM-012 The solution supports time zone preferences by User. Mandatory

LM-013 The solution supports hover messaging to provide additional information for each field. Desirable

LM-014

The solution supports formatting features; for example, copy, paste, spell check, font style and size, single/double spacing, grammar check, color, logo updates. Content should maintain format from source document when pasted in.

Mandatory

LM-015 The solution supports auto save functionality with the ability to adjust time period. Auto save should be separate from other talent management modules.

Mandatory

LM-016 The solution supports the ability to download and view media files (e.g., using windows media player). Mandatory

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LM-017 The solution includes system functionality HELP! Button and video capability. Highly Desirable

LM-018 The solution must support SCORM 1.2, SCORM 2004 and AICC learning content. Mandatory

Audit Tracking Capabilities ID Requirement Description Business Need Delivery Method Comments

LM-019 The solution tracks all information that is saved (before and after audit tracking that stores both the original entry and the new entry). Mandatory

LM-020 The solution maintains tracking history for view, in addition to updates. Mandatory

LM-021 The solution supports access for Users to access the applicable audit logs in a user-friendly format. Mandatory

LM-022 The solution supports compliance tracking for required training. Mandatory

LM-023 The solution includes time stamp history for course activity to track an individual's course progress. Mandatory

Integration Capabilities


LM-024 The solution supports integration of data from Training Event Management (TEM) to third party software (real-time is preferred). Mandatory

LM-025 The solution supports integration of data from third party software to TEM. Mandatory

LM-026 The solution supports providing data from the third party software to other stakeholders using standard, generally accepted interface protocols (API is preferred).

Mandatory

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LM-027 The solution supports integration of data (to/from) with other Talent Management modules (e.g., onboarding, performance, recruiting). Mandatory

LM-028 The solution supports importing data using various file formats (e.g., mass load process - Excel, text, etc. file formats). Mandatory

LM-029 The solution supports loading course information into the Learning Management System (LMS) library/catalog, even if the course is not created in LMS (two way integration) (PENS preferred).

Mandatory

LM-030 The solution supports built-in integrated web-conference-based learning sessions. Mandatory

LM-031 The solution supports and includes built-in integrated video conferencing and collaboration tools. Highly Desirable

LM-032 The solution supports integration with email and calendar scheduling applications, including integration with PTC email systems to allow automatic personalization of email.

Mandatory

Login Types and Capabilities (Ability to Access)


LM-033 The solution includes industry leading security practices for direct login and single-sign-on (SSO), encryption of data, etc. and is secured using leading certifications and encryption (e.g., SSL, TLS).

Mandatory

LM-034 The solution supports SSO from the PTC Talent Management modules as well as SSO to all other Talent Management modules. Mandatory

LM-035

The solution supports ability to create non-employee accounts; capabilities should support both the ability for administrators to create these accounts and the ability for non-employee Users to directly create through the learning system (not SSO).

Mandatory

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LM-036 The solution supports the ability for non-employees (e.g., contractors) to log-in directly to the learning system (not through SSO).

Mandatory

Reporting and Analytics Capabilities ID Requirement Description Business Need Delivery Method Comments

LM-037 The solution includes a standard reporting feature as well as the ability to create reports. Mandatory

LM-038 The solution supports reporting based on mandatory (compliance), certification and recertification requirements. Mandatory

LM-039 The solution supports notification (email) to administrators of report availability for standard User reports on regular intervals. Mandatory

LM-040 The solution includes the ability to export reports using standard formats (e.g., PDF, Excel, TXT). Mandatory

LM-041 The solution supports access to reports based on security role code. Mandatory

LM-042 The solution supports the ability to modify standard reports and save as a new report. Mandatory

LM-043 The solution supports the ability to identify course use down to division. Mandatory

LM-044 The solution supports the ability to filter and sort report information to create new views/grids. Mandatory

LM-045 The solution supports the ability to identify courses with significant revisions. Mandatory

LM-046 The solution includes graphical and textual representations of report data. Mandatory

LM-047 The solution supports the ability to track course requests and trends for development of future courses. Mandatory

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Search Capabilities ID Requirement Description Business Need Delivery Method Comments

LM-048 The solution supports a quick search feature that allows users to perform searches based on their security roles and/or their reporting structure.

Highly Desirable

LM-049

The solution supports the ability for system to identify similar courses (e.g., using key words) already included in library/catalog when a course completion is manually added to an employee's record (e.g., for course completion/training certificate outside of LMS).

Highly Desirable

LM-050 The solution supports the ability to search courses by: Course name, course type (e.g., supervisory, certification, mandatory), date, instructor, subject and method of delivery (e.g., online, classroom).

Highly Desirable

LM-051

The solution supports the ability to search for employee by: name, employee ID, manager's name, department, organization code, organization title, employee type (e.g., supervisor, sensitive), position type (e.g., law enforcement, firefighter, correctional officer), position/class title.

Highly Desirable

LM-052

The solution supports the ability to search using simple filters (e.g., course subject, mandatory training, method of course delivery) and advanced filters (e.g., keywords, full-text, partial words or phrases, date ranges).

Highly Desirable

LM-053 The solution supports the ability to search courses by job level. Highly Desirable

Security – General Capabilities

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LM-054 The solution supports the ability to assign administrator access system wide as well as ability to assign by department. Mandatory

LM-055 The solution supports setting security role (e.g., administrator, trainer, leadership, manager) by department. Mandatory

LM-056 The solution supports security role based functionality that determines HR, manager and employee roles as determined through integration of security role codes.

Mandatory

LM-057 The solution supports the ability to set security access at field/report level. Mandatory

LM-058

The solution supports the ability to control access to drill up/down capability within the entire reporting structure (e.g., ability to give managers ability to drill down, but not drill up the org structure, while giving HR the ability to drill up and down the department's entire reporting structure) based on security role.

Mandatory

LM-059

The solution supports the ability to systematically send notifications (e.g., reminders, tasks, approvals) up the reporting structure (e.g., assigned to next level) when manager position is vacant or becomes vacant.

Mandatory

LM-060 The solution supports the ability to systematically reassign notifications (e.g., reminders, tasks, approvals) when the vacant manager position is filled.

Mandatory

LM-061 The solution supports the ability to control security access to all aspects of the Learning Management System (LMS) based on the PTC's organization structure (e.g., separate department access).

Mandatory

LM-062 The solution supports electronic acknowledgement/signature of learning documents (e.g., Adobe documents). Highly Desirable

Security – PTC Administrator Capabilities


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LM-063 The solution supports standard timeout and log off limits (e.g., after a specified period of inactivity), with the ability to adjust time period.

Mandatory

LM-064 The solution supports the ability to assign department and PTC access using specific criteria (e.g., position, class, organizational unit).

Mandatory

LM-065 The solution supports the ability to develop, update and maintain all aspects for PTC course content development. Mandatory

LM-066 The solution supports the ability to create external learner (non-employee) accounts. Mandatory

LM-067 The solution supports the ability to create and run reports across PTC. Mandatory

LM-068 The solution includes access for department administrator and trainer roles as part of PTC administrators' access. Mandatory

Security – Department (Org Restricted) Administrator Capabilities


LM-069 The solution supports the ability to assign trainer access to department staff (not across PTC). Mandatory

LM-070 The solution supports the ability to mark course completed (with proof of completion). Mandatory

LM-071 The solution supports the ability to mark exam/assessment completed. Mandatory

LM-072 The solution supports the ability to access archived courses, including each version. Mandatory

LM-073 The solution supports the ability to create external learner (non-employee) accounts. Mandatory

LM-074 The solution includes access for trainer role as part of department administrator’s access. Mandatory

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Security – Department (Org Restricted) Trainer Capabilities ID Requirement Description Business Need Delivery Method Comments

LM-075 The solution supports the ability to assign access by role including non-employees for instructional purposes. Mandatory

LM-076 The solution supports the ability to develop, update and maintain all aspects for department course content development; no across PTC access, unless delegated access for a course.

Mandatory

LM-077 The solution supports the ability to post, remove, and maintain all aspects for department course management; no across PTC access, unless delegated access for a course.

Mandatory

LM-078

The solution supports the ability to control course registration: when it's available, who can enroll (employees and/or non-employees, specific classes of employees, specific departments, etc.), control how many employees can attend, maintain wait list and enroll/approve/reject/remove employees.

Mandatory

LM-079 The solution supports the ability to view all PTC training materials. Mandatory

LM-080

The solution supports the ability to create a copy of training materials from other departments, without impacting the training materials of that entity. Once the copy is created, ability to update the copy and meet the department's specific needs.

Mandatory

LM-081 The solution supports the ability to view all training records (including historical records) for active and terminated PTC employees.

Mandatory

LM-082 The solution supports the ability to make course recommendations (push to employee) based on department, organization, supervisor, etc.

Mandatory

LM-083 The solution supports the ability to change registration details for registered employees (e.g., move to different date for the same course, correct name, email).

Mandatory

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LM-084 The solution supports the ability to "trigger" retake of course if applicable and additional required training. Mandatory

LM-085 The solution includes access for manager roles as part of department trainer access. Mandatory

Security – Employee Access Capabilities


LM-086 The solution supports the ability to view course catalog/training library. Mandatory

LM-087 The solution supports the ability to register for any/all courses they are eligible to take. Mandatory

LM-088 The solution supports the ability to cancel registration if self-enrolled. Mandatory

LM-089 The solution supports the ability to take courses based on registration. Mandatory

LM-090 The solution supports the ability to track course status, progress, and grade. Mandatory

LM-091 The solution supports the ability to track certification/recertification requirements. Mandatory

LM-092 The solution supports the ability to view all training records (including historical records). Mandatory

LM-093

The solution supports the ability to view activities by category: in-progress courses (e.g., requires multiple courses to be completed based on curriculum), completed courses, development plan, recommended courses, pending courses (e.g., waiting on manager approval, course has not started).

Mandatory

LM-094 The solution supports the ability to view profile and make updates to certain fields. Mandatory

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Security – Manager Access (Reporting Structure) Capabilities ID Requirement Description Business Need Delivery Method Comments

LM-095

The solution supports the ability to complete all activities (e.g., register, remove enrollment, make course recommendations, approvals, reports) and view all learning components (e.g., profile, training records, reports, development plans, course progress).

Mandatory

LM-096 The solution supports the ability to add course completion/training certificate for training conducted outside the learning management system (e.g., conference) and maintain entries (modify, remove).

Mandatory

LM-097 The solution supports the ability to complete course registration for all eligible courses. Mandatory

LM-098 The solution supports the ability to track compliance requirements. Mandatory LM-099 The solution supports the ability to cancel registration. Mandatory LM-100 The solution supports the ability to approve course enrollment. Mandatory

LM-101 The solution supports the ability to view all training records (including historical records); once reporting relationship is removed, access to records is terminated.

Mandatory

LM-102 The solution supports the ability to made course recommendations (push to employee) for a single employee or multiple employees at once.

Mandatory

LM-103 The solution supports the ability to run reports. Mandatory

LM-104 The solution supports the ability to only drill down (no access going up) on profiles. Mandatory

LM-105 The solution includes access for employee role as part of manager access. Mandatory

Assessment, Certification and Survey Capabilities


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LM-106

The solution supports the ability to track and house multiple professional certificate designations (e.g., for multi-level certificates, recognize that one level is the pre-curser to the next level and track any recertification).

Mandatory

LM-107 The solution supports the ability to house standalone exams. Mandatory

LM-108 The solution supports the ability to tie the exam to course completion/course prerequisites. Mandatory

LM-109 The solution supports the collection and analysis of test results (e.g., overall employee pass/fail/attempts to successfully complete). Mandatory

LM-110 The solution includes an auto grade system for exams and assessments with ability to set a minimum passing score, and number of attempts allowed.

Mandatory

LM-111 The solution supports the ability to store/archive test versions (that can be tied to employee via course ID). Mandatory

LM-112 The solution supports the ability to store tests taken/certificates issued outside of the system (e.g., in person). Mandatory

LM-113 The solution creates badges for completion and milestones (e.g., completed series of courses, certification). Mandatory

LM-114 The solution transfers certificate information to accrediting body where appropriate. Mandatory

LM-115 The solution allows for printing of paper and housing an electronic certificate and training record. Mandatory

LM-116 The solution supports multiple response formats (e.g., true/false, multiple choice, text). Mandatory

LM-117 The solution supports the ability to house Q&A bank for creating tests, exercises and surveys. Mandatory

LM-118 The solution supports the ability to set parameters for tests and exercises (e.g., duration, number of attempts allowed, passing scores).

Mandatory

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LM-119 The solution supports allows for exam/assessment to be marked completed by administrator (e.g., with proof of recent certificate) moved to access section.

Mandatory

LM-120 The solution allows for exam/assessment development to evaluate employee knowledge, skill, and performance. Mandatory

LM-121 The solution supports continuing education and certification tracking, archiving and triggering for recertification. Mandatory

LM-122 The solution supports the ability for employee to view detailed results of test performance. Mandatory

LM-123 The solution supports the ability to provide pre-testing and post-testing capabilities, including ability to compare performance of pre-testing and post-testing.

Mandatory

LM-124 The solution supports the ability to set how many times an employee can take a test. Mandatory

LM-125

The solution supports the ability to develop and deploy surveys to participants/attendees of sessions; can be for pre- and post-course evaluations or can be used within a particular session to support the training process.

Mandatory

LM-126 The solution supports the ability to systematically "trigger" learning events for employees based on a "trigger" from onboarding systems. Mandatory

Course Catalog Capabilities


LM-127 The solution supports the ability to create course catalogs by PTC/department/workforce. Mandatory

LM-128 The solution supports the ability to create a course identification system to be used in conjunction with naming functionality. Mandatory

LM-129 The solution supports the ability to view by category (e.g., PTC, department, compliance, certification, specific tracks). Mandatory

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LM-130 The solution supports the ability to view specific details (at a glance) of courses (e.g., start date and time, duration of course, location). Mandatory

LM-131 The solution supports the ability to register for course directly from library/catalog. Mandatory

LM-132 The solution supports the ability to restrict what is viewed based on security role (e.g., archived courses). Mandatory

LM-133 The solution supports the ability to segregate the library into sections where a group of Users (e.g., by job category) can only access certain segregated sections versus accessing the entire library.

Mandatory

LM-134 The solution supports the ability to show course and instructor rating (based on evaluations). Mandatory

LM-135 The solution supports the ability to archive courses and track based on revision date/number. Mandatory

LM-136 The solution supports the ability to search courseware content repository. Mandatory

Course Content Development Capabilities


LM-137 The solution supports the ability to use pre-developed templates to create course content. Mandatory

LM-138 The solution supports the ability to develop, update and maintain courses and related materials (e.g., supporting documentation, templates) based on security access.

Mandatory

LM-139 The solution supports the ability to attach files, MS Word documents, PowerPoint, PDFs, etc. at the course level. Mandatory

LM-140 The solution supports the ability to post, remove and maintain course materials based on security access. Mandatory

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LM-141 The solution supports the ability to attach key words (e.g. instructor name, date, topic) to courses that can be used to match a course search in the library/catalog.

Mandatory

LM-142 The solution supports the ability to restrict access to content (e.g., who needs to access what). Mandatory

LM-143 The solution supports the ability to maintain and track multiple types of content (e.g., keep separate, combine). Mandatory

LM-145

The solution supports the ability to support and combine multiple training course types, including (at a minimum): formal classroom instruction, on-the-job training, e-learning (self-guided, time limited/controlled, etc.), webinars, and combination course (multiple course types tied together to create a single training event).

Mandatory

LM-145 The solution supports the ability to provide real-time (synchronous) and self-paced (asynchronous) web-based content. Mandatory

LM-146 The solution supports the ability to group courses/curriculum/training plans for similar course assignments (e.g., Accounting I, Accounting II and Accounting III series).

Mandatory

LM-147

The solution supports the ability to integrate video from various sources such as YouTube, create mashups and other types of content presentation sources such as slide share - key is providing a wide variety of content development options, including content sources and formats.

Mandatory

LM-148 The solution includes a built in authoring tool within the learning system. Mandatory

LM-149 The solution supports embedded links to additional/supporting training materials. Mandatory

LM-150 The solution supports the ability to pull course segments/URL of training into various courses. Mandatory

LM-151 The solution supports virtual labs. Mandatory

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LM-152

The solution supports the ability to flag course indicating that a significant revision has been made to content and those who already completed need to be retrained/retested should the ability to flag course be done at department training coordinator level and/or department trainer.

Mandatory

Course Management Capabilities


LM-153 The solution supports the ability to set course registration window with open/close dates. Mandatory

LM-154

The solution supports the ability to create and manage waitlists (including prioritizing (required course vs. optional course) automatic enrollment when seat becomes available), track registration status, number of seats still available.

Mandatory

LM-155

The solution supports the ability to move enrollment by individual employee or group of employees (e.g., move employee to different course if course is going to be cancelled rather than sending cancellations and then having employee enroll in different course).

Mandatory

LM-156 The solution supports the ability to restrict registration based on any prerequisites (e.g., prerequisite must be met in order to register for next level/training course).

Mandatory

LM-157 The solution supports the ability to restrict courses (e.g., view by all, view by job function) and registration based on specific criteria (e.g., by job function, location).

Mandatory

LM-158 The solution supports content rating and evaluation for courses and instructors. Mandatory

LM-159 The solution supports the ability to add, update, reschedule and remove courses. Mandatory

LM-160 The solution supports the ability to manage (e.g., add, update, remove) course prerequisites. Mandatory

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LM-161 The solution supports the ability to change established cut-off dates (e.g., registration deadline). Mandatory

LM-162 The solution supports the ability to assign due dates for course completion. Mandatory

LM-163 The solution supports tracking completion/test results for all courses (e.g., classroom, online, instructor-led, e-learning). Mandatory

LM-164 The solution supports the ability to select and maintain approval process for course registration. Mandatory

LM-165 The solution supports the ability to create a two-level approval process (e.g., manager and second level approval) and assign approval chain.

Mandatory

LM-166 The solution supports the ability to assign approval process by a single course or group of courses. Mandatory

LM-167 The solution supports the ability to create approval process for courses taken outside system (e.g., courses not included in catalog/library).

Mandatory

LM-168 The solution supports the ability to identify course as a mandatory (compliance) or certification requirement. Mandatory

LM-169 The solution supports the ability to setup courses (e.g., course availability (dates), create roster, course registration) based on security access.

Mandatory

LM-170 The solution supports the ability for learning activities and course enrollment to be added to employee calendar. Mandatory

LM-171 The solution supports the ability to select reason for wanting to enroll in a course (select from preset options or allow for manual entries) at time of registration.

Mandatory

LM-172

The solution supports the ability to show registration status: for example, requested (pending approval), enrolled, no show, cancelled enrollment (by employee, by manager, or department trainer), wait list.

Mandatory

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LM-173

The solution supports the ability to put the employee's registration in pending status at the time of registration, if course approval is required (e.g., this would reserve a seat for the employee for a certain number of days, and if not approved within specified time, seat is relisted and made available to other employees).

Mandatory

LM-174 The solution supports the ability to register for courses that have been recommended. Mandatory

LM-175 The solution supports the ability to notify employee when a new version of the course is created. Mandatory

LM-176 The solution supports the ability to notify employee when their course registration status has changed. Mandatory

LM-177 The solution supports the ability to generate a certificate upon course completion. Mandatory

LM-178 The solution supports the capability for employees to take notes during courses, within training. Mandatory

LM-179 The solution allows for course/training enrollment to be extended after initial enrollment criteria is met (e.g., number of days left in registration, number of available seats).

Mandatory

LM-180 The solution supports the ability to adjust course completion timeline based on extended leave. Mandatory

LM-181 The solution supports course request/approval process flow that automatically routes through the chain of command in supervisor's absence.

Mandatory

LM-182 The solution supports linking/bookmarking to learning objects. Mandatory

LM-183 The solution supports the ability for the user to pause online course and resume at later time. Mandatory

Dashboard Capabilities


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LM-184 The solution supports the ability to show (at a glance) employee activity, status, etc. (e.g., completion on the executive's/manager's home page).

Highly Desirable

LM-185 The solution supports the ability to show (at a glance) courses, assignments, due dates, etc. (e.g., employee view and manager view).

Highly Desirable

Delegation Capabilities


LM-186 The solution supports the ability to delegate development of training courses (PTC and department courses) and related materials. Mandatory

LM-187

The solution supports the ability for PTC administrator and PTC trainer to delegate training processes, employee activities and manager tasks/activities (delegation should not be restricted to only the activity/process owner).

Mandatory

LM-188 The solution supports the ability for manager to delegate employee tasks/activities (for direct reports and all employees within reporting structure).

Mandatory

LM-189

The solution supports the ability to delegate a single manager task/activity (e.g., course approval) or all manager activities at once (e.g., course approval, course enrollment, cancel registration, make course recommendations, track employee progress, assign/create development plan or activity).

Mandatory

LM-190 The solution supports the ability to time limit delegation. Mandatory

LM-191 The solution supports the ability for administrator to see all delegation assignments by department (e.g., table view), without having to select individual employee or activity.

Mandatory

Development and Career Plans Capabilities

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LM-192 The solution supports the ability for manager to create individual or group development plans with competency requirements and recommend learning, experiential, or mentoring opportunities.

Mandatory

LM-193 The solution supports the ability for employee to create development plans. Mandatory

LM-194 The solution supports the ability for manager to assign development plans to an individual employee or group of employees. Mandatory

LM-195 The solution supports the ability for managers to assign, and employees to request learning and development goals and activities. Mandatory

LM-196 The solution supports the ability to make individual development plans open-ended or time bound. Mandatory

LM-197 The solution supports the ability to track development plan progress. Mandatory

LM-198 The solution supports the ability to create certification tracks (e.g., leadership development, human resource certification, Certified Project Management, Project Management Professional).

Mandatory

LM-199 The solution supports the ability to guide employees to possible next career steps and required competencies needed. Mandatory

LM-200 The solution supports the ability to approve or acknowledge when a development plan is set, and when changes are requested or made to the plan.

Mandatory

LM-201 The solution supports the ability to allow employees to self-identify one or many career aspirations as part of their profile. Mandatory

LM-202 The solution supports the ability to systematically generate training recommendations based on job title/course history. Mandatory

LM-203 The solution supports competency models with related learning activities that produce a gap analysis (i.e., comparison of difference between current skills and skills required for a desired job position).

Mandatory

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Employee Profile Capabilities for Learning ID Requirement Description Business Need Delivery Method Comments

LM-204 The solution supports the ability to identify training needs/requirements using attributes of profile (e.g., job type). Mandatory

LM-205 The solution supports the ability to add specific fields that can be populated from TEM or manually entered (e.g., includes academic of certification information).

Mandatory

LM-206 The solution supports the ability to store/view detailed results for test performance. Mandatory

Mandatory, Compliance and Certification Capabilities


LM-207 The solution supports the ability to assign mandatory (compliance) requirements at the PTC and department code level (includes reviewing employee history to determine if compliance is needed).

Mandatory

LM-208 The solution supports the ability to assign mandatory (compliance) and certification requirements at the job (class) level (e.g., engineer, attorney, supervisor).

Mandatory

LM-209 The solution supports the ability to assign mandatory (compliance) and certification requirements at the position level (based on duties performed).

Mandatory

LM-210

The solution supports the ability for employee to maintain non-required professional certifications (e.g., if employee has CPA and it's not required for the job the employee should have the ability to build into own profile) and the system "triggers" recertification notifications/reminders.

Mandatory

LM-211

The solution supports the ability for automatic assignment of recurring mandatory (compliance) requirement and certification requirements based on employment changes (e.g., new to PTC, new to department, change in work duties).

Mandatory

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LM-212 The solution supports the ability for automatic assignment of recurring mandatory (compliance) requirement and recertifications based on employment (e.g., change in work duties, period of time).

Mandatory

LM-213 The solution supports the ability to identify PTC mandatory (compliance) requirements an employee has not taken. Mandatory

LM-214 The solution supports the ability to identify department mandatory (compliance) requirements an employee has not taken. Mandatory

LM-215 The solution supports the ability to identify certification requirements an employee has not taken. Mandatory

Notification Capabilities


LM-216 The solution supports the ability to systematically or manually send notifications, tasks, and reminders. Mandatory

LM-217 The solution supports the ability to notify course developer (user who creates course content) when course is published and available for registration.

Mandatory

LM-218 The solution supports the ability to notify employee when manager/department trainer recommends course. Mandatory

LM-219 The solution supports the ability to notify employee when training is available to specific employees/groups. Mandatory

LM-220 The solution supports the ability to notify employee when courses become available that have been identified based on development needs.

Mandatory

LM-221 The solution supports the ability to notify approver when course registration is ready for approval. Mandatory

LM-222 The solution supports the ability to notify employee and manager of course registration. Mandatory

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LM-223 The solution supports the ability to remind employee of upcoming scheduled course (specified number of days prior). Mandatory

LM-224 The solution supports the ability to notify employee if course specifics change (e.g., date change, manager/trainer moved employee to another date, location change).

Mandatory

LM-225 The solution supports the ability to notify employee when course becomes available, if employee is on wait list. Mandatory

LM-226

The solution supports the ability to notify employee/manager when registration in course has been cancelled - notify employee when cancelled by anyone other than employee, notify manager when cancelled by anyone other than manager (e.g., this includes when employee's registration is pending approval and is not approved within specified time).

Mandatory

LM-227 The solution supports the ability to notify department trainer once a course is full, when seats become available (e.g., cancellations). Mandatory

LM-228 The solution supports the ability to notify employee and manager of certification and compliance requirements (notify before due date). Mandatory

LM-229

The solution supports the ability to notify employee and manager of recertification and compliance expirations as well as sending reminders (e.g., notify prior to expiration, notify at expiration, notify after expiration).

Mandatory

LM-230 The solution supports the ability to include hyperlinks and attach files to notification (e.g., information to be studied before taking the course).

Mandatory

LM-231 The solution supports the ability to use PTC specific text for notifications, tasks and reminders. Mandatory

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LM-232 The solution supports the ability to perform actions directly from notifications. Mandatory

LM-233 The solution supports the ability to manually create reminders Mandatory

LM-234 The solution supports the ability for notifications to be sent for flagged courses (significant revision) - sent to employee and manager.

Mandatory

LM-235 The solution supports the ability to systematically trigger activities and alerts based on group or learning topic interests (e.g., through course/training requests).

Mandatory

LM-236

The solution supports the ability to create and share learning objects using social software. For example, blogs, wikis, informal discussion, chat programs, learning communities and workspaces (e.g., social media).

Mandatory

LM-237 The solution supports the ability to post training events based on trainer input. Mandatory

LM-238 The solution supports the ability to post announcements (department training coordinator or trainer access). Mandatory

LM-239 The solution supports the ability to create discussion threads to individual courses and ability for employees enrolled in course to reply.

Mandatory

LM-240 The solution supports the ability to generate mass emails for employees enrolled in a course. Mandatory

Resource Management Capabilities


LM-241 The solution includes a scheduling feature that identifies physical training locations, location features (size, equipment), shows availability and allows for reserving the space.

Mandatory

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LM-242 The solution includes a scheduling feature that allows for scheduling of trainers (using "trainer database"). Mandatory

LM-243

The solution includes a training calendar that shows all trainings offered; including filtering capability to show not just the courses the employee is enrolled in, but courses available by department and by subject.

Mandatory

LM-244

The solution includes a trainer database that includes, at a minimum: active trainers, type of availability (e.g., specific department, across departments), certifications, number of training hours provided by subject area.

Mandatory

LM-245 The solution supports validation of trainer status/credentials/subject areas (e.g., department training coordinator, PTC administrator). Mandatory

Training Transcript Capabilities


LM-246 The solution supports the ability to view training history (track Users training across department and employee IDs; cross references training completed when transferring departments).

Mandatory

LM-247 The solution supports the ability to print a certificate of completion at any time. Mandatory

LM-248 The solution supports the ability to print training transcript. Mandatory

LM-249 The solution supports the ability to access training materials after course is completed; employee who takes course should always have access to course materials.

Mandatory

4.2.5. Performance Management Requirements General Requirements


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PM-001 The solution shall support associated effective dates of position/jobs/employee/org unit transactions. Mandatory

PM-002 The solution shall support the relevant approval workflows for creating / updating positions/jobs/employees/org units. Mandatory

PM-003 The solution shall provide the ability for requesting, authorizing and creating new positions/jobs/employees/org units. Mandatory

PM-004 The solution shall maintain historical information about a position/jobs/employee/org unit on an Employee and Position basis. Mandatory

PM-005 The solution shall support the organization hierarchy and structure of the PTC including, but not limited to, position, job, employee, cost center, org unit.

Mandatory

PM-006 The solution shall provide the ability to perform position/job/employee/org unit control related transactions including, but not limited to, the following examples:

Mandatory

PM-06.01 Add or delete positions/jobs/employees/org units;

PM-06.02 Reclassify positions/jobs/employees/org units;

PM-06.03 Change job title;

PM-06.04 Transfer positions/jobs/employees/org units;

PM-06.05 Update locations / Departments;

PM-06.06 Freeze or unfreeze positions/jobs/employees/org units; etc.

PM-007 The solution shall support position funding on a department basis. Mandatory

PM-008 The solution shall track single or multiple funding sources for each position, job, employee, and org unit. Mandatory

PM-009 The solution shall provide the ability to maintain and manage employee information, including not limited to: Mandatory

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PM-09.01 Employee demographic data elements;

PM-09.02 Name;

PM-09.03 SSN;

PM-09.04 Employee ID;

PM-09.05 Department ID;

PM-09.06 Classification and compensation;

PM-09.07 Job Family;

PM-09.08 Salary Details; etc.

PM-010 The solution shall support start / end dates to be applied to positions/jobs/employees. Mandatory

PM-011 The solution shall provide the ability to calculate position/job headcount based upon a configurable set of rules. Mandatory

PM-012 The solution shall generate and maintain a unique identifier for each position, job, employee, and org unit. Mandatory

PM-013 The solution shall track position, job, employee and org unit budgeted cost. Mandatory

PM-014

The solution shall track various position-specific characteristics including, but not limited to: (job classification, position title, work schedule, skills, training, and certification requirements, recommended skills / trainings, etc.).

Mandatory

PM-14.01 Schedule requirements;

PM-14.02 Certification requirements;

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PM-14.03 Recommended skills / trainings; etc.

PM-015 The solution shall calculate total personnel services costs (i.e., medical costs, location based pay etc.) by configurable user-defined factors.

Mandatory

PM-016 The solution shall support notifications to managers when a position/job/org unit has been created. Mandatory

Position Classification


PM-017 The solution shall have the ability to maintain and manage job classification information, including but not limited to: Mandatory

PM-17.01 Job title;

PM-17.02 Job type or Job Family;

PM-17.03 Equal Employment Opportunity (EEO) category;

PM-17.04 Fair Labor Standards Act (FLSA) status;

PM-17.05 Overtime code;

PM-17.06 Salary Table;

PM-17.07 Salary Grade;

PM-17.08 Job description;

PM-17.09 Market Adjustment Information; etc.

PM-018 The solution shall allow users to differentiate between compensation elements that affect to retirement calculations and those that do not. Mandatory

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PM-019 The solution shall maintain historical compensation data based on employee, job, department, etc. Mandatory

PM-020 The solution shall allow users to freeze employees into particular pay grades with supporting reason. Mandatory

PM-021 The solution shall provide the ability to apply a pay freeze on a group basis based on a configurable set of parameters (i.e., job family, union code, etc.).

Mandatory

PM-022 The solution shall generate internal and external notifications to relevant individuals when classifications reviews are completed and a final decision has been made.

Mandatory

PM-023 The solution shall track requests for classification review including but limited to: dates, types, requestors / submitters, etc. Mandatory

PM-024 The solution shall support job evaluation tracking system. Mandatory PM-025 The solution shall interface with a third party job evaluation system. Mandatory

PM-026 The solution shall generate reminders for requests for classification reviews. Mandatory

PM-027 The solution shall support reporting capabilities for classification review requests. Mandatory

PM-028 The solution shall support a configurable routing mechanism for various workflow activities, approvals, etc. Mandatory

PM-029 The solution shall support configurable text for external notifications. Mandatory

Employee Salary


PM-030 The solution shall allow users to record Market Study data when appropriate. Mandatory

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PM-031 The solution shall allow linking of market studies to the job code once the study has been complete. Mandatory

PM-032 The solution shall allow the importing of external market data for classification purposes. Mandatory

PM-033 The solution shall allow for multiple salary increases / adjustments to be applied on the same date. Mandatory

PM-034 The solution shall allow users to manual set an employee's pay when their salary will not correspond with their job in a typical Salary Schedule.

Mandatory

PM-035 The solution shall allow users to manually select a Salary that is higher / lower than the default Salary Schedule based on their Job. Mandatory

PM-036 The solution shall support a configurable salary schedule based on job type / classification. Mandatory

PM-037 The solution shall support the salary schedules for each bargaining unit, and facilitate the revision of these salary schedules based on bargaining unit changes.

Mandatory

Other Compensation


PM-038 The solution shall support a configurable set of additional pay (stipends, allowances, etc.) that relate to certain job, position, employee and org unit types.

Mandatory

PM-039 The solution shall track salary increases by job, position, employee, org unit and type of increase (e.g., cost of living allowances (COLA), merit).

Mandatory

PM-040 The solution shall track incentive pay by job, position, employee, org unit and type of incentive. Mandatory

PM-041 The solution shall track allowances pay by job, position, employee, org unit and type of allowances. Mandatory

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PM-042 The solution shall support automatic pay increases when pre-defined checkpoints are met (For example, probationary period). Mandatory

PM-043 The solution shall allow users to override automatic pay increases with proper levels of approval. Mandatory

PM-044 The solution shall support the Deferred compensation processes. Mandatory

PM-045 The solution shall support a configurable set of authorized Deferred compensation types. Mandatory

PM-046 The solution shall track Deferred compensation by employee and type. Mandatory

PM-047 The solution shall support one-time payments with supporting reason. Mandatory

PM-048 The solution shall maintain tracking history for view, in addition to updates. Mandatory

PM-049 The solution shall support access for Users to access the applicable audit logs in user-friendly format. Mandatory

Performance Management - Performance Expectations Process Capabilities ID Requirement Description Business Need Delivery

Method Comments

PM-050 The solution shall support the ability to cascade performance expectations based off combination of Department, Organization Code, and Class Code.

Mandatory

PM-051 The solution shall support the ability to cascade performance expectations based off of direct reports without requiring the manager to have the expectation as one of their job expectations.

Mandatory

PM-052 The solution shall support the ability to copy expectations for one employee to another employee. Mandatory

PM-053 The solution shall support the ability for manager to determine order of performance expectations (in the order entered or by sorting) prior to submitting to employee.

Mandatory

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PM-054 The solution shall support automatic notifications to employees who have not submitted a performance evaluation. Highly Desirable

PM-055 The solution shall support automatic notifications to a supervisor when an employee's performance evaluation is ready for the supervisor's review.

Mandatory

PM-056 The solution shall support the ability to control when fields/sections are collapsible. Mandatory

PM-057 The solution shall support employee coaching action plans for whom a disciplinary action was taken. Highly Desirable

PM-058 The solution shall support coaching plan follow-up notifications to supervisors whose employees have received a disciplinary action. Highly Desirable

PM-059 The system shall support email notifications to employees with performance evaluations in lieu of letter notifications. Mandatory

Performance Management - Performance Evaluations, Security Capabilities ID Requirement Description Business Need Delivery

Method Comments

PM-060

The solution shall support the ability for managers to access and complete performance evaluations for a user defined period (e.g., 30-days) for employees who transfer to a new reporting structure and manager (unless the manager changes only as a result of lateral appointment) or the employee separates from the PTC.

Mandatory

PM-061 The solution shall support the ability for HR role Users to access performance expectations and evaluations ("in progress" and "completed") for terminated employees.

Mandatory

PM-062 The solution shall support the ability of the supervisor to set a discretionary salary based on an established range automatically generated from performance evaluations.

Mandatory

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PM-063 The system shall support generating notifications, such as letters, to employees to inform them of salary increases. Mandatory

Performance Management - Performance Evaluations, Administrator Security Capabilities


PM-064 The solution shall support the ability to assign administrator access by department. Mandatory

PM-065 The solution shall support the ability to assign administrator to move employees between performance evaluation steps. Mandatory

PM-066 The solution shall support the ability to assign administrator to navigate on behalf of employees and managers. Mandatory

PM-067 The solution shall support the ability to assign administrator to control and update access to the expectations (competency) library by department, while allowing PTC view access.

Mandatory

PM-068 The solution shall support the ability to assign administrator to assign delegations for employees and managers. Mandatory

PM-069 The solution shall support the ability to assign administrator to access audit logs. Mandatory

PM-070

The solution shall support the ability to assign administrator to assign Users specific security access (e.g., HR, Manager, Employee, Second Level Manager, Other) for accessing and updating appropriate content based on their role (e.g., rating, comments, manager's notes) within the evaluation form.

Mandatory

PM-071 The solution shall support the ability for administrator to view status of employees' evaluations (e.g., Not started, completed, under supervisor review).

Mandatory

PM-072 The solution shall support the ability to report status of PTC employees' evaluations. Mandatory

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PM-073 The solution shall support the ability for administrators to designate which manager will complete an employee's evaluation. Mandatory

PM-074 The system shall support the ability for HR to close out performance evaluations at any point during the performance evaluation process for terminating employees.

Mandatory

Performance Management - Evaluation Process Capabilities


PM-075 The solution shall support the ability to support quarterly reviews (or others), corrective action plans (performance improvement) and extensions within the evaluation plan year, by employee.

Mandatory

PM-076

The solution shall support the ability to conduct multiple evaluations within one evaluation plan year for each employee, if the employee meets multiple eligibility criteria (e.g., dually employed, receives a new appointment); when this occurs the data related to the separate evaluations must be separated out by eligibility trigger (e.g. position information, manager information, expectations).

Mandatory

PM-077 The solution shall support the ability to request evaluation feedback from users. Mandatory

Performance Management - Evaluation Form Design Capabilities


PM-075 The solution shall support the ability to support quarterly reviews (or others), corrective action plans (performance improvement) and extensions within the evaluation plan year, by employee.

Mandatory

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PM-076

The solution shall support the ability to conduct multiple evaluations within one evaluation plan year for each employee, if the employee meets multiple eligibility criteria (e.g., dually employed, receives a new appointment); when this occurs the data related to the separate evaluations must be separated out by eligibility trigger (e.g. position information, manager information, expectations).

Mandatory

PM-077 The solution shall support the ability to request evaluation feedback from users. Mandatory

4.2.6. Recruiting/Onboarding General Requirements


RHS-001

The solution shall support a robust and configurable workflow engine that will support the admin users in completing the many tasks required during the recruiting and hiring processes.

Mandatory

RHS-002

The solution shall support separate configurable workflows for recruiting, hiring, separations, and onboarding.

Mandatory

RHS-003

The solution shall support configurable approval workflow functionality that can be modified for the different processes included in the recruiting module.

Mandatory

RHS-004

The solution shall deliver content management capacities where PTC can brand, in addition to managing/maintaining applicant specific information, in a clear, organized and intuitive manner throughout the PTC's employment / recruiting portal.

Mandatory

RHS-005

The solution shall support an automated process for updating relevant admin users as job openings progress through the various phases of the recruiting and hiring processes.

Mandatory

RHS-006

The solution shall support a dashboard with requisition information specified by admin users.

Mandatory

RHS-007

The solution shall support the manual generation of alerts / notifications at various stages throughout the recruiting and hiring processes.

Mandatory

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RHS-008

The solution shall allow admin users to select one or many preferred forms of receiving alerts / notifications.

Mandatory

RHS-009

The system shall support real-time dashboards for workers to display and organize to-do tasks that are either manually or automatically populated based on the admin user's role and responsibilities.

Mandatory

RHS-010

The solution shall automate the Employee Record process by leveraging any relevant existing information in the Applicant Profile and / or application.

Mandatory

RHS-011

The solution shall have the ability to integrate with 3rd party solutions for skills testing or other screening.

Mandatory

RHS-012

The solution shall provide the ability to manually enter test results into an applicant’s record pre/post screening.

Mandatory

RHS-013

The solution shall allow the tracking of testing requirements (e.g., drug or alcohol testing, background checks), scheduling of testing, and tracking of results and completion notices from third party vendors.

Mandatory

RHS-014

The solution shall allow admin users to set proxies. Mandatory

RHS-015

The solution shall support the use of proxies by authorized admin users throughout the application process.

Mandatory

RHS-016

The solution shall maintain a repository of relevant job details / job descriptions.

Mandatory

RHS-017

The solution shall support interface capabilities with common interface technology, including but not limited to: JSON, CSS, SOAP, etc.

Mandatory

RHS-018

The solution shall be configurable immediately notify applicants when they do not meet the eligibility parameters for job openings.

Mandatory

RHS-019

The solution shall support email correspondence to applicants to notify the of their application status.

Mandatory

RHS-020

The solution shall provide content-specific Help on-screen. Mandatory

RHS-021

The solution shall comply with federal/state web accessibility policies/standards.

Mandatory

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Recruiting


RHS-022

The solution shall allow admin users to create and delete job openings.

Mandatory

RHS-023

The solution shall automatically generate a unique identifier (requisition #) for a the job opening

Mandatory

RHS-024

The solution shall support a single portal for job postings but allow admin users to distinguish between Internal / External postings based on configurable parameters.

Mandatory

RHS-025

The solution shall allow admin users to post job openings on third party external careers sites with whom the PTC has an agreement.

Mandatory

RHS-026

The solution shall allow admin users to capture and update the relevant statuses of job openings, including but not limited to: Open, Closed, Filled, Vacant, Under Review, etc.

Mandatory

RHS-027

The solution shall allow admin users to record the relevant dates related to a job opening, including but not limited to: Posting Date, Open / Close By Date, etc.

Mandatory

RHS-028

The solution shall visually identify application deadlines and expiration dates of the job posting.

Mandatory

RHS-029

The solution shall allow admin users to configure job postings with defined open / close dates or 'open until filled' designation.

Mandatory

RHS-030

The solution shall systematically remove a job opening from internal / external job portals when the status of the job opening is filled, closed, expired, etc.

Mandatory

RHS-031

The solution shall allow admin users to view and sort requisitions by application deadline.

Mandatory

RHS-032

The solution shall allow admin users to repost positions after the initial expiration date and indicate a new application deadline.

Mandatory

RHS-033

The solution shall allow admin users to designate different types of job openings, including but not limited to: promotions, internal postings, external postings, etc.

Mandatory

RHS-034

The solution shall support job opening templates based on their Job Category / Classification.

Mandatory

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RHS-035

The solution shall be configurable to allow admin users to classify job openings into a specific Job Category / Classification, including but not limited to: Internship, Paid/Unpaid, Classified/Competitive, Non-Classified/Exempt, Temporary, etc.

Mandatory

RHS-036

The solution shall allow admin users to post applications specific to a posted job opening.

Mandatory

RHS-037

The solution shall allow admin users to include a general job application for a posted job opening.

Mandatory

RHS-038

The solution shall allow admin users to post various information related to job openings, including but not limited to: EEO, Job Description, Minimum Qualifications, Overview, Preferred Qualifications, Tax, Who May Apply, Work Conditions, etc.

Mandatory

RHS-039

The solution shall allow admin users to post various data elements related to job openings, including but not limited to: posting date, position number, department, job type (classified, limited, exempt, temporary, intern, interim), shift, hourly rate, pay grade, application deadline, etc.

Mandatory

RHS-040

The solution shall allow admin users to configure multi-leveled positions within one job opening.

Mandatory

RHS-041

The solution shall allow admin users to configure multi-location positions within one job opening.

Mandatory

RHS-042

The solution shall allow admin users to add fields to job openings to include position specific data / fields on a configurable basis.

Mandatory

RHS-043

The solution shall allow admin users to update description formatting capabilities. Example, the use of Rich Text Formatting, paste text from other documents.

Mandatory

RHS-044

The solution shall systematically populate job opening descriptions from existing job openings when indicated by the admin user.

Mandatory

RHS-045

The solution shall allow admin users to configure parameters for job openings with regards to who is eligible to apply.

Mandatory

RHS-046

The solution shall allow admin users to specify minimum eligibility parameters for applying for a position.

Mandatory

RHS-047

The solution shall allow admin users to restrict applications to only eligible groups.

Mandatory

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RHS-048

The solution shall maintain and display a history of minimum qualifications for job openings.

Mandatory

RHS-049

The solution shall support configurable functionality that will allow admin users to determine the scenarios when only single or multiple simultaneous application submissions are permissible.

Mandatory

RHS-050

The solution shall allow admin users to configure data elements that are required / not required on the application on a position basis.

Mandatory

RHS-051

The solution shall allow admin users to include the required information from each job code in the related job posting in an automated fashion.

Mandatory

RHS-052

The solution shall allow for admin users to easily configure the display and mandatory / not required designations of data elements throughout the applicant-facing pages.

Mandatory

RHS-053

The solution shall support application screening questions, such as asking what the applicant’s salary requirements are.

Mandatory

RHS-054

The solution shall maintain history of updates made to data elements in the job opening and allow admin users to designate these updates in the job posting.

Mandatory

RHS-055

The solution shall allow admin users and participants to identify active/available job openings that match the parameters of eligible participants. Every job opening is checked for potential matches before it is posted.

Mandatory

RHS-056

The solution shall allow admin users to share and recommend job postings and shall support employee referrals.

Mandatory

RHS-057

The solution shall be able to display internal job postings within employee self‐service.

Mandatory

RHS-058

The solution shall allow employees to respond and apply to internal job postings within employee self‐service.

Mandatory

RHS-059

The system shall maintain a configurable set of rules that restrict specific active PTC employees from applying to positions they not eligible for based on their employee profile.

Mandatory

RHS-060

The solution shall allow current employees to create external Applicant Profiles, with the capability to indicate if they are active employees.

Mandatory

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RHS-061

The solution shall allow applicants to create and manage Accounts Profiles to access and monitor the PTC's career opportunity website.

Mandatory

RHS-062

The solution shall capture various information related to the applicant in their Applicant Profile, including but not limited to: name, contact information, employment interests, address, etc.

Mandatory

RHS-063

The solution shall automatically save updates to applicant Account Profiles.

Mandatory

RHS-064

The solution shall allow applicants to upload and update resumes and other documents to their Applicant Profile.

Mandatory

RHS-065

The solution shall maintain a document register on a Applicant Profile basis for applicants to view and access their uploaded documents.

Mandatory

RHS-066

The solution shall allow applicants to view their prior applications to job openings regardless of the status of the job opening, even if the posting is no longer listed on the website.

Mandatory

RHS-067

The solution shall maintain and display the applicant's historical information related to applications in all statuses and any employment history with regards to the PTC.

Mandatory

RHS-068

The solution shall capture various preference / qualification information for applicants in their Applicant Profile, including but not limited to: educational qualifications, location / position preferences, etc.

Mandatory

RHS-069

The solution shall allow applicants to identify specific characteristics of job openings or specific job openings to receive notifications on.

Mandatory

RHS-070

The solution shall allow the job posting link (URL) of a specific job posting posted on external sites to bring applicants to the actual job posting instead of the applicant/careers page.

Mandatory

RHS-071

The solution shall maintain history of each job opening and each applicant record linked to the job opening for a configurable amount of time.

Mandatory

RHS-072

The solution shall allow applicants to perform a job search based on several parameters, including but not limited to: department, posting title, job family, location, requisition #, pay grade, deadline, etc.

Mandatory

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RHS-073

The solution shall allow admin users to search by all active job openings that are not in 'Offer' status based on specific set of criteria such as location or pay grade.

Mandatory

RHS-074

The solution shall allow applicants to view a job opening from the search function without losing their place in their search.

Mandatory

RHS-075

The solution shall automatically validate the employee ID of an applicant when this is required and / or provided for the job opening.

Mandatory

RHS-076

The solution shall guide the applicant through the application process to reduce redundant and incomplete applications including but not limited to: checklists, workflow, on-screen reminders, etc.

Mandatory

RHS-077

The solution shall maintain data edits throughout the application and will not allow applicants to move forward without addressing the missing information.

Mandatory

RHS-078

The solution shall allow admin users to view only but not take actions that are out of sequence of the official application process.

Mandatory

RHS-079

The solution shall allow applicants to create 'draft' applications and save to their Applicant Profile and leverage this application to expedite the application process for job openings.

Mandatory

RHS-080

The solution shall allow applicants to save progress intermittently throughout the application process.

Mandatory

RHS-081

The solution shall allow applicants to identify the specific level and / or location to which they are applying when the job opening presents more than one option for these parameters.

Mandatory

RHS-082

The solution shall require validations for forms of communication (i.e., emails).

Mandatory

RHS-083

The solution shall require a minimum of (1) e-mail to be maintained (i.e., primary email).

Mandatory

RHS-084

The solution shall capture various categories of information as defined by the PTC on the application, including but not limited to: Education information, work history, training & certifications, languages, references, etc.

Mandatory

RHS-085

The solution shall capture various information related to the applicant's prior work experience, including but not limited to: employer, supervisor contact information, duties, reason for leaving, etc.

Mandatory

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RHS-086

The solution shall capture various information related to the applicant's references for employment, including but not limited to: contact information, contact preference, etc.

Mandatory

RHS-087

The solution shall allow applicants to parse their resume and / or other relevant documents / information from external sources.

Mandatory

RHS-088

The solution shall allow applicants to attach more than one document to a single application and identify the type of document from a pre-defined list.

Mandatory

RHS-089

The solution shall allow applicants to review attachments or upload documents throughout the application process.

Mandatory

RHS-090

The solution shall allow applicants to review attachments or upload documents throughout the application process that can be saved by specific category (e.g., Resume, veterans’ preference, cover letter, references, etc.) and in a standard format to include Word, Excel, PDF, PowerPoint, HTML, Text, and WordPerfect. Each file is given a specific name assigned by the applicant.

Mandatory

RHS-091

The solution shall notify applicants of missing document(s) if they select the option to load a document, but fail to do so.

Mandatory

RHS-092

The solution shall provide a “system of record” so that once an applicant submits an application, resume or other documentation that record cannot be altered after application submission unless otherwise specified. - The solution shall track all information that is saved (before and after audit tracking that stores both the original entry and the new entry). - The solution shall maintain tracking history for view, in addition to updates. - The solution shall support PTC admin user access to applicable audit logs in a admin user‐friendly format.

Mandatory

RHS-093

The solution shall require that questionnaires be completed, including requiring all questions to be answered.

Mandatory

RHS-094

The solution shall capture, transfer and report Equal Employment Opportunity (EEO) or other voluntary information as part of any state or federal requirement.

Mandatory

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RHS-095

The solution shall support a configurable Terms & Conditions page when the applicant submits an application.

Mandatory

RHS-096

The solution shall require online applicants to certify that all information they entered is correct and complete to the best of their knowledge.

Mandatory

RHS-097

The solution shall allow applicants to generate their completed applications in an easily consumable fashion.

Mandatory

RHS-098

The solution shall allow admin users to view completed applications in an easily consumable fashion.

Mandatory

RHS-099

The solution shall allow applicants to view their application status in real-time.

Mandatory

RHS-100

The solution shall not allow applications to be submitted to job openings that are not active on the website.

Mandatory

RHS-101

The solution shall allow admin users to add applicants to a job opening after the posting has been closed.

Mandatory

RHS-102

The solution shall allow the application to be easily configured to include sections specific to gathering applicant information required by PTC regulatory requirements and/or policies.

Mandatory

RHS-103

The solution shall allow admin users to maintain a talent pool that includes applicants and potential applicants to job postings.

Mandatory

RHS-104

The solution shall allow admin users to create and maintain and track a talent pipeline of applicants and potential applicants that meet specific criteria for job openings.

Mandatory

RHS-105

The solution shall provide the ability to conduct and record targeted marketing, job outreach, etc.

Mandatory

RHS-106

The solution shall support configurable dashboards with various data analytics to support targeted recruitment efforts conducted by the PTC.

Mandatory

RHS-107

The solution shall provide the admin user the ability to manage and leverage the applicant pool to quickly identify applicants for screening.

Mandatory

RHS-108

The solution shall support the consent process for the scenarios when the PTC would like to submit an application to a job opening on behalf of an applicant.

Mandatory

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RHS-109

The solution shall allow applicants to access their applicant profiles for a minimum of 18 months.

Mandatory

RHS-110

The solution shall include a mechanism to limit individuals to one applicant profile.

Highly Desirable

Hiring


RHS-111

The solution shall notify hiring managers of applicants that are ready for review for a particular job opening and easily display the applicants' relevant information pertaining to this position to which they are applying.

Mandatory

RHS-112

The solution shall maintain specific statuses throughout the application process for applicants for positions and display this status to the admin user and applicants in an easily consumable way, including but not limited to: applied, screened, routed, rejected, etc.

Mandatory

RHS-113

The solution shall support the admin user in completing the necessary steps during the screening / hiring process and automatically update the status of the steps as they are addressed.

Mandatory

RHS-114

The solution shall allow admin users to merge applicant records and identify which application record is the accurate record.

Mandatory

RHS-115

The solution shall flag applicants that meet the minimum job qualification requirements.

Mandatory

RHS-116

The solution shall be configurable to indicate if an applicant is eligible or ineligible based on a set of parameters for the applied level.

Mandatory

RHS-117

The solution shall flag applicants that meet the criteria for 'mandatory interviewees' based on a set of pre-defined business rules and record the time period under which the applicant meets this criteria.

Mandatory

RHS-118

The solution shall allow admin users to configure a minimum set of screening parameters for each job opening, including but not limited to: education, experience, etc.

Mandatory

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RHS-119

The solution shall allow admin users to configure non-essential but preferable set of screening parameters that may vary for each job opening.

Mandatory

RHS-120

The solution shall allow admin users to configure multi-level screening and/or singular level screening parameters for job openings.

Mandatory

RHS-121

The solution shall provide flexible screening configuration where the client can change/update screening levels, question definitions seamlessly without impact to currently open job postings and/or applicants.

Mandatory

RHS-122

The solution shall flag applicants when they meet specific criteria regarding prior work experience.

Mandatory

RHS-123

The solution shall notify admin users when specific characteristics about the applicant are known to the system, including but not limited to: Prior employment with the PTC, etc.

Mandatory

RHS-124

The solution shall allow admin users to easily view an applicant's relevant details pertaining to the job opening they have applied to, including but not limited to: questionnaire responses, minimum qualifications, screening results, etc.

Mandatory

RHS-125

The solution shall allow admin users to override screening / scoring assessments with the appropriate approval levels.

Mandatory

RHS-126

The solution shall automate the process for initial screening of applicants based on minimum parameters.

Mandatory

RHS-127

The solution shall allow admin users to waive qualifications which exclude a person with a disability who is otherwise qualified.

Mandatory

RHS-128

The solution shall allow admin users to create and maintain interview records on an applicant and job opening basis.

Mandatory

RHS-129

The solution shall allow admin users to record relevant logistical information related to the Interview, including but not limited to: scheduled date, interview date, attendees, etc.

Mandatory

RHS-130

The solution shall allow admin users to attach documents to the interview record.

Mandatory

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RHS-131

The solution shall allow admin users to record relevant findings related to the interview, including but not limited to: discussions, feedback, questions, etc.

Mandatory

RHS-132

The solution shall allow admin users to record any anecdotal information in rich text field related to the applicant, and have this information follow the applicant record.

Mandatory

RHS-133

The solution shall allow admin users to set an expiration date on the mandatory interview rights.

Mandatory

RHS-134

The solution shall allow admin users to offer the position for a job opening at different points throughout the hiring process.

Mandatory

RHS-135

The solution shall allow admin users to easily move applications between different job offers.

Mandatory

RHS-136

The solution shall support the admin user in completing the pre-offer tasks, including but not limited to: checklists, task notifications, etc.

Mandatory

RHS-137

The solution shall allow admin users to update a limited amount of logistical details after the original offer has been presented and accepted by the applicant.

Mandatory

RHS-138

The solution shall allow applicants to accept or reject job offerings online.

Mandatory

RHS-139

The solution shall allow admin users to record any incumbents to the position that is being filled by the job opening. This should not be viewable to applicants.

Mandatory

RHS-140

The solution shall allow admin users to record the hiring candidates directly into non-classified positions when recruitment is authorized outside the system.

Mandatory

Onboarding


RHS-141

The solution shall support the ability to create specific onboarding activities for all employees and for specific groups of employees (e.g., by department) or create individual plans for individuals.

Mandatory

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RHS-142

The solution shall support the creation of checklists with specific timelines for each new hire to complete key activities (e.g., Insurance enrollment, retirement option, retirement, position description review, performance expectations).

Mandatory

RHS-143

The solution shall allow admin users to require onboarding documents (template and customized) by position type.

Mandatory

RHS-144

The solution shall support the ability to upload and index all onboarding forms and related employee documents into a document management system.

Mandatory

RHS-145

The solution shall support the ability for appropriate users to be able to access all documents in the document management system based on role and authorization structure.

Mandatory

RHS-146

The solution shall support the ability to send email correspondence to new hires for onboarding tasks that must be completed within a set time period and for past due tasks (e.g., required training, deadlines for insurance enrollment, retirement election, etc.).

Mandatory

RHS-147

The solution shall support notifications (e.g., email, alerts) to admin users when a new hire onboarding task (e.g., required training, insurance enrollment, retirement election, etc.) is past due.

Mandatory

RHS-148

The solution shall support the ability to maintain identification and employment authorization documentation and alerts HR of the expiration of date sensitive required documents.

Mandatory

RHS-149

The solution shall support integration of position data from SHARP, including pre-populating data gathered as part of the onboarding process into SHARP to avoid re-entry of data (e.g., position information, home address, emergency contact information, etc.).

Mandatory

RHS-150

The solution shall support integration of data (to/from) with other talent modules (e.g., Learning Management).

Mandatory

RHS-151

The solution shall support integration of new hire forms, training course validations, deferred compensation and retirement elections processes and policies (e.g., security agreement, oath of loyalty, employee handbook) into the onboarding process.

Mandatory

RHS-152

The solution shall integrate onboarding training requirements with Learning Management modules.

Mandatory

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RHS-153

The solution supports enrolling new hires in PTC required training. Highly Desirable

RHS-154

The solution supports enrolling employees in role-specific training. Highly Desirable

Recruiting, Hiring, and Separations Tech Capabilities


RHS-155

The solution will be platform- and device-agnostic (e.g., supports iOS and Android mobile devices).

Mandatory

RHS-156

The solution will allow users to generate, maintain, store Applications on a job opening basis.

Mandatory

RHS-157

The solution will retain applicant profiles for a minimum of 5 years. Mandatory

RHS-158

The solution will allow authorized users (security teams) to configure the security access profiles based on roles.

Mandatory

4.3. Requirements Matrix – Optional Capabilities 4.3.1. Employee Lifecycle Support Requirements General Requirements


ED-001 The solution shall maintain a history of all Personnel Action Requests and allow them to be searched and viewed in their native format for a configurable time period.

Mandatory

ED-002 The solution shall link Personnel Action Requests to configurable data element(s) included on the Personnel Action Requests for searching and reporting purposes.

Mandatory

ED-003 The solution shall allow admin users to complete Personnel Action Requests drafts online. Highly Desirable

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ED-004 The solution shall automatically update job data information from an approved Personnel Action Requests, when appropriate. Highly Desirable

ED-005 The solution shall allow admin users to generate historical or currently open Personnel Action Requests on-demand. Highly Desirable

ED-006 The solution shall support a configurable list of the different types of Personnel Action Requests, including but not limited to: Mandatory

ED-06.01 New hire;

ED-06.02 New hire - Summer;

ED-06.03 Re-hire - Reinstate;

ED-06.04 Re-hire - Annuitant;

ED-06.05 Vacancy - Union Bids;

ED-06.06 Vacancy - Promotion;

ED-06.07 Vacancy - Demotion: Voluntary;

ED-06.08 Vacancy - Demotion: Disciplinary;

ED-06.09 Termination - Discharge, Resign;

ED-06.10 Retirement;

ED-06.11 Deceased Retiree;

ED-06.12 Temporary Assignment (Detail);

ED-06.13 Transfer;

ED-06.14 Leave Of Absence (LOA): Paid;

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ED-06.15 Leave Of Absence (LOA): Unpaid;

ED-06.16 Worker's Comp Denied;

ED-06.17 Return from LOA;

ED-06.18 Reclassification - Mgmt;

ED-06.19 Reclassification - Union;

ED-06.20 Position title change (non-promotion);

ED-06.21 Salary Adjustment;

ED-06.22 Change in Pay: Step Increases;

ED-06.23 Mgmt Disciplines;

ED-06.24 Family Status Change;

ED-06.25 Change of Emergency Contacts;

ED-06.26 Change of Address/Phone;

ED-06.27 Contractor Onboarding;

ED-06.28 Contractor Termination;

ED-06.29 Contractor Reinstate; etc.

ED-007 The solution shall support the unique workflow processes required for the different types of Personnel Action Requests. Mandatory

ED-008 The solution shall support data elements on Personnel Action Requests that are dynamic to the particular type of Personnel Action Requests.

Mandatory

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ED-009 The solution shall support the relevant data elements that are included in the Personnel Action Requests, including but not limited to:

Mandatory

ED-09.01 Effective Date;

ED-09.02 Employee ID;

ED-09.03 Action Reason;

ED-09.04 Position:

ED-09.05 Requestor;

ED-09.06 Employee Name; etc.

ED-010

The solution shall trigger the relevant alerts / notifications when Personnel Action Requests have been approved / denied (e.g., IT established network access and sets up workstation, Payroll set-up, Benefits enrollment, equipment issued).

Mandatory

ED-011 The solution shall support Personnel Action Requests that have retro-active or prospective effective dates. Mandatory

ED-012 The solution shall support the relevant approval / denial workflows for the different types of Personnel Action Requests. Mandatory

ED-013 The solution shall display the status and status date of the Personnel Action Requests (i.e., Under Review, Submitted, etc.) to authorized admin users.

Mandatory

ED-014 The solution shall support a worker dashboard displaying the Personnel Action Request (s) that the admin user is assigned to and their status and status date.

Mandatory

ED-015 The solution shall automate the process of pre-filling Personnel Action Requests data elements with regards to job details, position detail, employee data, etc.

Mandatory

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ED-016 The solution shall provide data edits with regards to the required information for the specific Personnel Action Requests at configurable levels of submission.

Mandatory

ED-017 The solution shall document uploads for relevant Personnel Action Requests (e.g., retirement, new hire, etc.). Mandatory

ED-018 The solution shall interface with a third party resource platform. Mandatory

4.3.2. Time Entry Processing & Approval Requirements General Capability Requirements


T&L - 001

The solution shall support an automated process of reconciling timesheets to contractor invoices. Desirable

T&L - 002

The solution shall support the various shift rules that apply during the Daylight Savings Time scenarios. Desirable

T&L - 003

The solution shall support a multitude of configurable shift differentials based on the work schedule of the employee, this includes but is not limited to:

Desirable

T&L - 003.01 Weekend Schedules;

T&L - 003.02 Split Shifts;

T&L - 003.03 1st, 2nd, 3rd Shifts;

T&L - 003.04 Exclusion of specific overtime categories; etc.

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T&L - 004

The solution shall support configurable sets of shift differential eligibility rules (For instance, rules for weekend schedules, split shifts, 2nd shifts, exclusion of specific overtime categories, etc.).

Desirable

T&L - 005

The solution shall provide the ability to add shift differential and weekend differential to hourly rate before overtime is computed. Mandatory

T&L - 006

The solution shall provide the ability to define additional comp rates for payment of designated and/or defined rates. Mandatory

T&L - 007

The solution shall allow exceptions to be handled on an individual basis so to not reject all time for everyone in a particular Pay Group is only one entry is incorrect.

Mandatory

T&L - 008 The solution shall generate unique payrun IDs for each payroll cycle. Mandatory

T&L - 009

The solution shall provide the ability to capture various types of time from a configurable list, including but not limited to: Mandatory

T&L - 009.01 Holiday;

T&L - 009.02 Overtime;

T&L - 009.03 Hourly;

T&L - 009.04 Personal Time Off; etc.

Highly Desirable

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T&L - 010

The solution shall support different pay-out rules for comp time and Leave for terminated employees.

T&L - 011

The solution shall support different comp time and Leave reinstatement for re-hired employees. Mandatory

T&L - 012

The solution shall track the time records from those who are paid through payroll and those are not. Desirable

T&L - 013 The solution shall restrict unpaid sabbaticals to one per fiscal year. Desirable

T&L - 014

The solution shall support approved higher assignment pay and relevant automatic compensation calculations. Mandatory

T&L -

015 The solution shall support holiday eligibility business rules based on classification. Mandatory

T&L - 016

The solution shall calculate holiday pay / hours based on pre-defined criteria. Highly Desirable

T&L - 017

The solution shall maintain a configurable list of Federal / State / etc. holiday designations. Desirable

T&L - 018

The solution shall allow authorized users to update the list of authorized holidays and define the compensation for each category of holiday (i.e. Premium, Straight, Comp Time, etc.).

Mandatory

T&L - 019

The solution shall support a configurable set of business rules regarding daily, weekly, bi-weekly limits for meetings on an attendance and hour’s basis.

Desirable

T&L - 020

The solution shall provide the ability to round time at configurable levels (e.g., half hour, quarter hour, etc.) but maintaining the actual values for reporting purposes.

Desirable

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T&L - 021

The solution shall support special time reporting code to define codes that are not paid at employees hourly rate. Desirable

T&L - 022

The solution shall allow appropriate users to view the status of timesheets for their assigned employees within the specific pay period.

Mandatory

T&L - 023

The solution shall support several different structures of work schedules based on classification. Desirable

T&L - 024

The solution shall provide configurability for any different variation for work-type schedules, including but not limited to: (4/10's; 5/8's; 3/12's, 4/9's; 24 -hour; etc.).

Highly Desirable

T&L - 024.01 4/10s;

T&L - 024.02 5/8s;

T&L - 024.03 3/12s;

T&L - 024.04 4/9s;

T&L - 024.05 24-hours; etc.

T&L - 025

The solution shall automatically generate work schedules for new employees based on their job type / classification when appropriate. Desirable

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T&L - 026

The solution shall allow work schedules to be adjusted for pre-defined scenarios. Desirable

T&L - 027

The solution shall allow work schedules to be updated with proper levels of approval. Desirable

T&L - 028

The solution shall allow users to set certain parameters for work schedules (e.g., start / end dates, temporary / permanent designation, etc.).

Desirable

T&L - 029

The solution shall provide the ability to schedule employees to multiple shifts and apply the appropriate pay rate per pay differentials.

Desirable

T&L - 030

The solution shall have the ability to accommodate an unlimited number of user-defined shifts, where variables include (but are not limited to) the following: location, schedule pattern, length of day.

Desirable

T&L - 031

The solution shall have the ability to set default shift patterns to be repeated or rolled forward to future weeks. Desirable

T&L - 032

The solution shall support several configurable comp time accrual calculations for both exempt and non-exempt employees. Desirable

T&L - 033 The solution shall track all overtime activity (usage, lost, accrual). Desirable

T&L - 034

The solution shall support 4 comp time buckets: Prior Year Contract, Prior Year Holiday, Current Year Contract, Current Year Holiday.

Desirable

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T&L - 035

The solution shall support comp time to be substituted for overtime hours when OT work is paid by funds other than PTC tax funds. Desirable

T&L - 036

The solution shall support maximum limits for compensatory time accrual per employee plans (rolling 48 hours, rolling 80 hours, etc.). Desirable

T&L -

037 The solution shall support comp time off taken in increments of 0.5 hours. Mandatory

T&L - 038

The solution shall allow employees to request comp time in lieu of overtime cash. Desirable

T&L - 039

The solution shall allow appropriate Supervisors to approve / deny comp time to be rewarded in lieu of overtime cash. Desirable

T&L - 040 The solution shall track all comp time activity (usage, lost, accrual). Desirable

T&L - 041

The solution shall support the Comp Time Pay-Out rules for terminated employees. Desirable

T&L - 042

The solution shall support a hierarchy for applying compensatory time earning codes in the scenarios where business rules overlap. Desirable

T&L - 043

The solution shall support several configurable overtime accrual calculations. Desirable

T&L - 044

The solution shall support several different overtime categories by which overtime calculation logic will be based. Desirable

T&L - 045

The solution shall support overtime calculation logic that can charge multiple department IDs for overtime when an employee charges time against multiple departments.

Desirable

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T&L - 046

The solution shall track when overtime hours were worked, distinguishing before / after regularly scheduled hours. Highly Desirable

T&L - 047 The solution shall support logic to align job codes with job family. Highly Desirable

T&L-048

The solution shall allow supervisors to designate individuals outside of their current organizational structure to approve time, and support configurable time frames for this functionality.

Desirable

T&L - 049 The solution shall support pre-defined ranges for time. Desirable

T&L - 050

The solution shall support the ability to pay overtime as determined by the union contracts, paying at a higher premium rate than Fair Labor Standards Act (FLSA).

Mandatory

T&L - 051

The solution shall support the ability to create a master file interface for editing of time reporting data. Desirable

Time Entry Requirements


T&L - 052

The solution shall allow users to make retro- adjustments to timesheets with proper approval. Mandatory

T&L - 053 The solution shall track all retro- adjustments made to timesheets. Mandatory

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T&L - 054

The solution shall support corrections to be made on the timesheet prior to processing and maintain an audit trail of updates. Mandatory

T&L - 055

The solution shall allow users to view corrections made to timesheets in an aggregate view. Mandatory

T&L - 056 The solution shall support the ability to do record-only adjustments. Mandatory

T&L - 057

The solution shall notify the relevant users when specific corrections are made to timesheets. Mandatory

T&L - 058

The solution shall support a unique identifier for time records that originated and were submitted in an external system. Desirable

T&L - 059

The solution shall support the necessary interface capabilities to consume time entries from external sources where employees / non-employees have no access to the application.

Desirable

T&L - 060

The solution shall automatically alert the user when attempting to charge Leave that does not accurately reflect available balance. Mandatory

T&L - 061

The solution shall allow users to enter time exactly on a department basis (For example, one to one or one to many). Mandatory

T&L - 062

The solution shall not allow sick leave to be charged if absent on a holiday. Desirable

T&L - 063

The solution shall support ability for employees to track Program, Department ID, Fund, Class and Project ID. Mandatory

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T&L - 064

The solution shall support the ability to add a comment to a line entry. Mandatory

T&L - 065

The solution shall provide the ability to charge time to multiple facilities / locations. Mandatory

T&L - 066

The solution shall allow users to identify the shift they worked from a list of existing shifts. Highly Desirable

T&L - 067

The solution shall support approved delegates / proxies to enter / modify time on behalf of an employee. Mandatory

T&L - 068

The solution shall support pre-population of timesheets based on recent entries. Desirable

T&L - 069

The solution shall notify the relevant users when no time has been entered by a specified time. Highly Desirable

T&L - 070 The solution shall support Self-Help for Time Entry. Desirable

Time Approval Requirements ID Requirement Description Business Need Delivery Method Comments

T&L - 071 The solution shall support automatic routing of timesheet approvals. Desirable

T&L - 072

The solution shall support the ability to route timesheet approvals manually. Desirable

Desirable

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T&L - 073

The solution shall allow users to document comments with regard to why a timesheet was not approved.

T&L - 074

The solution shall allow user to route timesheets back to submitter to make necessary updates. Desirable

T&L - 075

The solution shall allow for pre-defined delegates submit and view timesheets prior to approval and processing. Mandatory

T&L - 076

The solution shall support a unique approval workflow for chart field-only changes to employee timesheets. Desirable

T&L - 077

The solution shall allow timesheets to be approved on an individual or pay group basis. Mandatory

T&L - 078

The solution shall provide edit reports/messages after time input that will capture user-defined deviations such as excessive overtime or zero hours for active employees.

Mandatory

T&L - 079

The solution shall support the submittal of timesheet data to multiple managers for review, edit and approval in instances where employee has worked for multiple managers / departments.

Highly Desirable

T&L - 080

The solution shall support the review of timesheet data on the detail and summary levels. Mandatory

T&L - 081

The solution shall support e-signatures for all levels of approvals and submissions of time sheets. Mandatory

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T&L - 082

The solution shall notify managers when timesheets have been approved. Desirable

Reporting


T&L - 083

The solution shall support the generation of the following reports, including but not limited to: Mandatory

T&L - 083.01 Turn-around Report

T&L - 083.02 Time Not Entered

T&L - 083.03 Time by Earnings Code

T&L - 083.04 Time & Leave Record

T&L - 083.05 Time on the Job

T&L - 083.06 Daily Time Record by individual & project

T&L - 083.07 Holiday Pay

T&L - 083.08 Absence History

T&L - 083.09 Unapproved Time

T&L - 083.10 Unsubmitted Time

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T&L - 083.11 Overtime Pay

T&L - 083.12 Leave Without Pay

T&L - 083.13 Employee Listing

T&L - 083.14 Personal Leave Date

T&L - 083.15 Pay group Listing

T&L - 083.16 Leave Accrual – Adjustments

T&L - 083.17 Medicare Cost Report

T&L - 084

The solution shall support a configurable reports generator that will allow users to easily run reports with several variables to support the day-to-day functions of the HR staff.

Mandatory

4.3.3. Payroll Processing Requirements General Requirements


PR-001 The solution shall support the ability to automatically produce direct deposit electronic files for banks. Mandatory

PR-002 The solution shall support the ability to accommodate direct deposit to multiple banking institutions. Mandatory

PR-003 The solution shall support the ability to accommodate direct deposit of paychecks through electronic fund transfer (EFT). Mandatory

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PR-004 The solution shall support the ability to store/define employee bank information for validation with ePay Employee Self Service (ESS) functionality.

Mandatory

PR-005 The solution shall support the ability to define on-line check pdf view and print options. Mandatory

PR-006 The solution shall support the ability to define if $0 and/or negative checks should be available through ESS view. Desirable

PR-007 The solution shall support the ability for employees to add/change & update their designated direct deposit distribution via ESS. Mandatory

PR-008 The solution shall provide the capability to suppress pay statement print options, within ESS. Desirable

PR-009 The solution shall support the ability to view employees' paycheck and paycheck history on Employee Self Service (ESS). Mandatory

PR-010 The solution shall provide the ability to define a configurable amount of time for employees to be able to view online pay statements. Mandatory

PR-011 The solution shall ensure that ESS will allow a configurable amount of direct deposit accounts. Mandatory

PR-012 The solution shall support the ability to view historical leave & comp balances on pay statements. Mandatory

PR-013 The solution shall support the ability for employees' comp time, annual, sick, personal leave balances to be available on Employee Self Service (ESS).

Mandatory

PR-014 The solution shall support the ability to mask employees direct deposit account numbers on Employee Self Service (ESS) view. Mandatory

PR-015 The solution shall support configurable view options for employees to view their deductions. Desirable

PR-016 The solution shall provide the workflow notification & approval required of payroll for all ESS pay changes. Desirable

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PR-017 The solution shall allow users to access and update required Local, State and Federal W4 tax forms through ESS. Desirable

PR-018 The solution shall allow users to view their W-2 forms through ESS. Mandatory

PR-019 The solution shall allow users to modify any instructional text on ESS pages, where required. Desirable

PR-020 The solution shall provide the relevant notifications when Federal, State and Local Forms / Tax Information are updated. Desirable

PR-021 The solution shall allow users to view all leave-type balances on the ESS portal. Mandatory

PR-022 The solution shall allow users to view comp time balances on the ESS portal. Mandatory

PR-023 The solution shall support the ability to adjust/update employee tax balances prior to W2 and year-end processing. Mandatory

PR-024 The solution shall support the ability to allow termed employees access to view on-line paycheck for a configurable period of time after termination.

Desirable

PR-025 The solution shall support the ability to allow terminated employees access to update name & address for a configurable period after term date.

Desirable

PR-026 The solution shall allow users to define expense reimbursement as either taxable and/or non-taxable. Desirable

PR-027 The solution shall support a configurable set of eligible expenses. Desirable PR-028 The solution shall allow users to submit expense requests. Desirable

PR-029 The solution shall support the approval processes for expense reimbursements. Desirable

PR-030 The solution shall allow Payroll Workers to maintain & set-up Federal, State, and Local garnishment. Mandatory

PR-031 The solution shall support gross-to-net calculations per pay period or other pre-defined set of time. Mandatory

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PR-032 The solution shall support perform automated payroll reconciliation every payroll period. Mandatory

PR-033 The solution shall support an unlimited number of user-defined pay / earning codes. Mandatory

PR-034 The solution shall provide the ability to perform time and rate calculations and flat-amount payments. Mandatory

PR-036 The solution shall support the ability to accommodate an infinite number of employees, departments, jobs, shifts, pay rules, and other user-defined variables.

Mandatory

PR-037 The solution shall support the ability to update pay rules and set effective date as desired (including retroactive, immediate/real-time, next payroll, and any other future date).

Desirable

PR-038 The solution shall support the ability to designate whether compensation is taxable or non-taxable or considered earnable compensation for retirement purposes.

Mandatory

PR-039 The solution shall support different payment rules based on the employee job type / classification Highly Desirable

PR-040 The solution shall support different pay periods, including but not limited to; (Weekly, Bi-weekly, monthly, quarterly, annually, 26 vs 27 Pay periods, etc.)

Mandatory

PR-040.01 Weekly;

PR-040.02 Bi-Weekly;

PR-040.03 Monthly;

PR-040.04 Quarterly;

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PR-040.05 Annually;

PR-040.06 26 vs 27 Pay periods; etc.

PR-041 The solution shall support various pay calculations (e.g., hourly, weekly, etc.). Mandatory

PR-042 The solution shall support an unlimited amount of incentive pay types. Mandatory

PR-043 The solution shall support incentive pay as a one-time payment or extended payments over multiple pay-periods. Mandatory

PR-044 The solution shall support additional pay calculations based on a pre-defined set of business rules and criteria. Mandatory

PR-045 The solution shall automate the process of paying the same designated Additional Pay amount based on position / job. Mandatory

PR-046 The solution shall provide the ability to pay employees a daily per-diem rate. Mandatory

PR-047 The solution shall provide the ability to tie & process multiple pay groups together and process as "one" group. Mandatory

PR-048 The solution shall provide the ability to issue one check for employees working multiple jobs and accordance with the employee's primary pay group.

Mandatory

PR-049 The solution shall support a default pay group, benefit program & earnings program and associate to the appropriate job record. Mandatory

PR-050 The solution shall support a configurable reports engine to allow users to easily configure reports and views. Mandatory

PR-051 The solution shall support one-time payments with supporting reason. Mandatory

PR-052 The solution shall support education / tuition reimbursements to employees based on configurable business rules. Mandatory

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PR-053 The solution shall support configurable tax rules for PA local and municipality taxes, including but not limited to local income taxes and local service taxes.

Mandatory

Payroll Processing


PR-054 The solution shall provide the ability to print off-cycle checks on-demand. Mandatory

PR-055 The solution shall provide the ability for processing of off-cycle cost distribution through to the general ledger, as designated, for all off-cycle checks.

Mandatory

PR-056 The solution shall support off-cycle Payroll Journal entries. Mandatory

PR-057 The solution shall support the ability to process & deduct travel advances with defined goal amounts and balances. Desirable

PR-058 The solution shall support the ability to process civil union benefit deductions as non-taxable for PA tax withholding. Desirable

PR-059 The solution shall support the ability to run paycheck reversals when a system-generated check is incorrect and has not been cashed or deposited.

Mandatory

PR-060 The solution shall support the ability to reverse associated cost distribution & general ledger entries for check reversals and/or voided checks.

Mandatory

PR-061 The solution shall support the ability to view and print payroll error messages. Mandatory

PR-062 The solution shall support the ability to issue salary advances and advances for hours worked, with appropriate levels of approval. Desirable

PR-063 The solution shall provide the process to create pay calendars. Mandatory

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PR-064 The solution shall support the ability to process multiple pay calendars together with one ID. Mandatory

PR-065 The solution shall support the ability for deductions to be withheld on one paycheck for employees with multiple jobs. Mandatory

PR-066 The solution shall support the ability to create pay sheets for all employees, regardless of employee status types. Mandatory

PR-067 The solution shall support the ability to pay New Hires and Rehires when hired with effective dates within current pay period being processed.

Mandatory

PR-068 The solution shall support the ability to sort pay sheets by Department then Employee Name Mandatory

PR-069 The solution shall support the ability to create timesheets & pay sheets for temporary and/payroll contract employees. Desirable

PR-070 The solution shall support the ability for employee's to update W4 tax data based on residence and work state. Desirable

PR-071 The solution shall provide the ability to automatically charge mid-pay period transfers between old/new departments. Mandatory

PR-072 The solution shall support the ability to process payment of non-employee expenses through payroll (i.e. taxable fringe, etc.). Mandatory

PR-073 The solution shall support the ability to create an electronic transmittal file to transfer payroll funds directly into an employee's bank account.

Desirable

PR-074 The solution shall support the ability to create & calculate an on-line check & send a check file to Treasurer's Office for printing of off-cycle, on-demand or final checks.

Desirable

PR-075 The solution shall support the ability to review & adjust employee FYTD level balances, by position and keep in sync with delivered balances and adjustments by FY.

Desirable

PR-076 The solution shall support the ability to maintain FYTD balances by employee & position. Desirable

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PR-077 The solution shall support the ability to process and properly tax any awards given to an employee and/or groups of employees. Mandatory

PR-078 The solution shall support the ability to load reported time as defined by the pay calendars & by pay groups. Mandatory

PR-079 The solution shall define check number using 10 digits and direct deposit advices with 15 digits. Desirable

PR-080 The solution shall allow users to review and modify time reporting transactions. Mandatory

PR-081 The solution shall support the ability to pay overtime as determined by the union contracts, paying at a higher premium rate than Fair Labor Standards Act (FLSA).

Mandatory

PR-082 The solution shall support the ability to allow retro job changes for current pay period (after pay sheet creation) to auto update employees' pay sheet prior to calculation of the current pay cycle.

Mandatory

PR-083 The solution shall provide an auto adjust check date when date falls on a weekend or a holiday. Desirable

PR-084 The solution shall support the ability to define & identify fiscal q-t-d and y-t-d calendars. Desirable

PR-085 The solution shall support the ability to create on-line pay calendars in accordance with defined pay periods and/or pay groups. Mandatory

PR-086 The solution shall support the ability to use one (1) program consisting of all earnings types. Mandatory

PR-087 The solution shall support the ability to make on-line immediate corrections to help eliminate the number of off-cycle checks. Mandatory

PR-088 The solution shall allow exceptions to be handled on an individual basis so to not reject all time for everyone in a particular Pay Group is only one entry is incorrect.

Mandatory

PR-089 The solution shall generate unique payrun IDs for each payroll cycle. Desirable

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PR-090 The solution shall support one-time payments with supporting reason. Mandatory

Deductions

ID Requirement Description Business Need Delivery Method Comments PR-091 The solution shall support pre-defined list of deductions. Mandatory

PR-092 The solution shall provide the ability to suppress designated voluntary deductions. Mandatory

PR-093 The solution shall provide the ability to process deductions not taken when employees are on an unpaid leave of absence or insufficient net pay.

Mandatory

PR-094 The solution shall provide the ability to deduct payroll/benefit deductions using 26 pay periods vs. 27 pay periods. Mandatory

PR-095 The solution shall allow user to update the list of voluntary deduction with proper approval. Desirable

Extracts/Reports/Interfaces


PR-096 The solution shall support the ability to generate an electronic ACH file for payment of daily tax expenses. Mandatory

PR-097 The solution shall support the ability to upload time to pay sheets/paylines via an excel spreadsheet. Mandatory

PR-098 The solution shall include the relevant admin % Fee within the retirement extract file for the third party retirement vendor. Mandatory

PR-099 The solution shall support the ability to post negative amounts (voided checks, check reversals, etc.) on retirement extract. Mandatory

PR-100 The solution shall support the ability to provide file to payroll for processing of expense advance payback through payroll. Desirable

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PR-101 The solution shall provide the ability to create and transmit Positive Pay Files to Banks in a standard format to support the validation of checks being cashed by employees.

Mandatory

PR-102 The solution shall support the ability to provide interface of 457 deductions to the third party retirement vendor. Mandatory

PR-103 The solution shall support the necessary interfaces with the General Ledger, including the posting of HR Accounting lines. Mandatory

PR-104 The solution shall create extract by department with selected information on job codes. Mandatory

PR-105 The solution shall create cost distribution detail information to an archive database used for reporting. Mandatory

PR-106 The solution shall create check reconciliation for Treasurer's Office. Desirable

PR-107 The solution shall create report of employee deductions taken for those in retirement plans. Mandatory

PR-108 The solution shall support the ability to create a master file interface for editing of time reporting data. Mandatory

PR-109

The solution shall support the ability to create a file of travel related advance issued through Treasurer's Office which loads the employees' general deduction record with deduction amount, goal amount and goal balance.

Desirable

PR-110 The solution shall support the ability to load prior 6 months of expense history to validate expenses previously paid. Desirable

PR-111 The solution shall support the data mapping between the General Ledger and Payroll. Mandatory

PR-112 The solution shall create Census Data Extract. Mandatory Tax Reporting


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PR-113 The solution shall Identify the PTC as "Federal Unemployment Tax" (FUT) Exempt. Mandatory

PR-114 The solution shall define company setup for non-employees with 1099 processing. Mandatory

PR-115 The solution shall support the ability to define and withhold the state taxes for other states (single and multiple). Desirable

PR-116 The solution shall allow employees to record their work locations within a tax jurisdiction other than Pennsylvania. Desirable

PR-117 The solution shall support the ability to set up employee W4 tax data for federal, state, and local taxes based on employees' residence and/or work state.

Desirable

PR-118 The solution shall provide the ability to automatically process quarterly federal and state tax reports. Mandatory

PR-119 The solution shall provide the ability to automatically process quarterly local tax reports. Mandatory

PR-120 The solution shall support the ability to process annual W2 tax forms and associated federal, state and local tax reports. Mandatory

PR-121 The solution shall support the ability to create W2 file with the desired address set by the employee. Mandatory

PR-122 The solution shall support the ability to pay and tax non-resident alien employees accordingly. Mandatory

PR-123 The solution shall support the ability to generate quarterly state tax reports & electronic file for states, other than Pennsylvania, in which employees have worked.

Desirable

PR-124 The solution shall support the ability to generate reconciliation reports to identify taxable vs. non-taxable income. Mandatory

PR-125 The solution shall support the ability to summarize total FICA/FED/STATE taxes for payments to designated taxing authorities.

Mandatory

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PR-126 The solution shall support the ability to produce quarterly unemployment Income extracts. Mandatory

PR-127 The solution shall support the ability to report Health Assessment Amount on quarterly unemployment income tax reports. Desirable

PR-128 The solution shall support the ability to report QTD employee wage information, for any designated state and/or states, where required. Mandatory

PR-129 The solution shall provide the ability for the PTC as employer, to produce quarter-to-date report of taxes withheld, taxable wages, imputed income, benefit costs.

Mandatory

PR-130 The solution shall support the ability to indicate status of Debt Set off transaction. Desirable

PR-131 The solution shall support the ability to generate required tax reports for employees registered as a non-resident alien. Mandatory

PR-132 The solution shall support the ability to generate quarterly 941 reports for electronic tax filing. Mandatory

4.3.4. Employee Benefit Requirements General Requirements


EB-001 The solution shall support tax / non-tax status for employees based on pre-defined business rules. Mandatory

EB-002

The solution shall provide the ability to configure language associated with online communications with regards to Benefits Management, including but not limited to alerts / notifications, e-mails, letters, etc.

Highly Desirable

EB-003 The solution shall provide the ability to generate automated and manual online communications throughout Benefits Management processes (i.e. e-mails, alerts, ticklers, etc.).

Mandatory

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EB-004

The solution shall provide the ability for authorized users to commit data to record with effective dates (retro and prospective) that will pre-populate at configurable points throughout the Employee Record.

Mandatory

EB-005 The solution shall provide the ability to manually override any pre-defined Benefits Management business rules with appropriate levels of authority and supporting reasons.

Mandatory

EB-006 The solution shall support a configurable and unlimited amount of eligibility rules for Benefit Plans, including but not limited to: Mandatory

EB-06.01 Medical;

EB-06.02 Dental;

EB-06.03 Vision;

EB-06.04 Long term disability;

EB-06.05 Short term disability;

EB-06.06 Prescription;

EB-06.07 Retirement Plans;

EB-06.08 Life Insurance;

EB-06.09 Accidental death;

EB-06.10 Leaves (sick, annual, personal, etc.); etc.

EB-007 The solution shall support pre-defined default standard benefit enrollments based upon employee type / position. Mandatory

EB-008 The solution shall support a configurable and unlimited amount of waiting period eligibility rules for new employees. Mandatory

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EB-009

The solution shall support the comprehensive set of Benefit Plans that the PTC provides its eligible employees, including but not limited to: Medical, Dental, Life Insurance, Long Term Disability, etc.

Mandatory

EB-010 The solution shall support current and historical benefit costs, including but not limited to employer cost, employee cost, and total premiums/contributions, etc.

Mandatory

EB-011 The solution shall support benefits enrollments and coverage details in a tiered structured approach (i.e., Single, Married, Domestic Partner, Dependent, etc.).

Mandatory

EB-012 The solution shall track various data elements including but not limited to: Mandatory

EB-12.01 Coverage effective dates;

EB-12.02 Coverage history;

EB-12.03 Name change history (at least three);

EB-12.04 Dependent information;

EB-12.05 Beneficiary information;

EB-12.06 Grandfathered pension eligibility and participation;

EB-12.07

Social security numbers for employees and their dependents; and

EB-12.08 Years of service for all participants.

EB-013 The solution shall support the generation of various forms / letters that are required during the benefits enrollment processes. Mandatory

EB-014 The solution shall provide the ability to configure the forms, letters, notices, and other documents that can be generated. Mandatory

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EB-015 The solution shall automatically re-determine the benefits for which the employee is eligible based upon any employee status change (i.e. part-time to full-time designations, promotions, etc.).

Mandatory

EB-016 The solution shall accommodate HIPAA compliance rules and regulations for maintaining health-related information. Mandatory

EB-017 The solution shall accommodate COBRA compliance rules and regulations. Mandatory

EB-018 The solution shall support the COBRA processes when an employee's coverage is terminated due to a COBRA qualifying event.

Mandatory

EB-019 The solution shall accommodate Affordable Care Act compliance rules and regulations. Mandatory

EB-020 The solution shall track beneficiary(ies) information, including but not limited to: Mandatory

EB-20.01 Name;

EB-20.02 Gender;

EB-20.03 Date of birth;

EB-20.04 Effective Date;

EB-20.05 Address;

EB-20.06 Social security number;

EB-20.07

Relation of / to primary beneficiary, i.e. dependent child, spouse, child, domestic partner or user defined; etc.

EB-021 The solution shall allow employees to view the benefits - related following information through Employee Self Service (ESS), including but not limited to:

Mandatory

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EB-21.01 Current benefits

EB-21.02 Summary plan descriptions;

EB-21.03 Benefit forms;

EB-21.04 Benefit summary;

EB-21.05 Carrier information; etc.

EB-022 The solution shall support Leave reinstatement for eligible re-hired employees based on pre-defined rules. Mandatory

EB-023 The solution shall restrict unpaid sabbaticals to one rolling 12-month period. Highly Desirable

EB-024 The solution shall support different configurable and unlimited pay-out rules for "other leave time" for terminated employees based on the type of termination.

Mandatory

EB-025 The solution shall support the PTC's Deferred Compensation Plan, including the ability to interface with third party systems for Deferred Compensation.

Mandatory

EB-026 The solution shall support a configurable set of business rules for the PTC's Deferred Compensation Plan. Mandatory

EB-027 The solution shall track an employee's contributions and relevant details with respect to their Deferred Compensation Plan. Mandatory

EB-028 The solution shall support the automatic calculation logic for worker's comp (e.g., wellness, retiree benefits). Mandatory

EB-029 The solution shall provide the ability to pre-load sick leave to employees based on configurable business rules. Mandatory

EB-031 The solution shall provide a configurable view for users to view employees' benefits that have been awarded to them within a configurable amount of time.

Mandatory

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Enrollment


EB-032

The solution shall allow users to open / close the Benefits Enrollment capability outside or during Open Enrollment under pre-defined circumstances (i.e. Employee reports life event, Employee incorrectly completes information).

Mandatory

EB-033 The solution shall allow employees to report qualifying Life Events throughout the year to trigger a request to open the Benefits Enrollment capability.

Mandatory

EB-034 The solution shall provide the ability to upload and track documents to support / confirm qualifying Life Event requests. Mandatory

EB-035 The solution shall allow users to approve / deny the reported Qualifying Life Event to open the Benefits Enrollment capability. Mandatory

EB-036 The solution shall generate notifications to employees when their Life Event requests have been confirmed / denied. Mandatory

EB-037 The solution shall support a configurable Open Enrollment Period that will be supported by authorized users. Mandatory

EB-038 The solution shall allow authorized users to manually complete / record the Benefits Enrollment process for employees who do not elect to enroll in Benefits through the solution.

Mandatory

EB-039 The solution shall allow employees to complete the benefits enrollment process for the benefits for which they are qualified through the solution.

Mandatory

EB-040 The solution shall support retroactive / prospective Benefit Plan Enrollments based on qualifying events. Mandatory

EB-041 The solution shall administer rollover of benefit plan information to the next calendar/fiscal year when appropriate (Health, Dental, etc.). Mandatory

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EB-042 The solution shall authorize employees to enroll in benefits based on the employee's residential county. Mandatory

EB-043 The solution shall authorize employees to enroll in benefits based on a pre - configured number of hours. Mandatory

Premiums/Deductions


EB-044 The solution shall support premium calculation logic based on user-defined business rules. Mandatory

EB-045 The solution shall support premium and / or deduction amounts for multiple benefit plans including (but not limited to): Mandatory

EB-45.01 Health Insurance;

EB-45.02 Dental Insurance;

EB-45.03 Vision Insurance;

EB-45.04 Accidental death Insurance;

EB-45.05 Life Insurance;

EB-45.06 Long term disability;

EB-45.07 Short term disability;

EB-45.08 Flex Spending;

EB-45.09 Retirement Plans;

EB-45.10 Deferred Comp;

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EB-046 The solution shall support retro-active / prospective premium calculation logic for retroactive qualifying Life Events. Mandatory

EB-047 The solution shall allow users to start, pend, or stop any deductions when appropriate. Mandatory

EB-048 The solution shall allow users to adjust benefit deductions with supporting reasons. Mandatory

EB-049 The solution shall automatically produce payroll deductions based on benefit plan enrollments. Mandatory

EB-050 The solution shall automatically adjust payroll to calculate the proper pay adjustments and deductions when retroactive / prospective benefit plan enrollment takes place.

Mandatory

EB-051 The solution shall notify employees of pending benefit deductions that will occur during the next payroll period, if funds available during current period are insufficient.

Mandatory

EB-052 The solution shall provide the ability to bill employees and retirees separate from the payroll system to address exception scenarios. Mandatory

EB-053 The solution shall support configurable employee, retiree / employer share calculation logic based on benefit type and employee type (e.g., wellness).

Mandatory

Vendor/Benefit Plan Information


EB-054 The solution shall support the ability to generate enrollment / disenrollment and enrollee information change extracts in the appropriate formats to transmit with Providers.

Mandatory

EB-055 The solution shall support the ability to generate invoices to pay premiums. Mandatory

EB-056 The solution shall track the following data elements for Benefit Providers, including but not limited to: Mandatory

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EB-56.01 Provider Name / ID;

EB-56.02 Full name;

EB-56.03 Address;

EB-56.04 Primary Contact Information;

EB-56.05 Billing / Location Information;

EB-56.06 Contract period; etc.

EB-057 The solution shall track the following data elements for Benefit Plans, including but not limited to: Mandatory

EB-57.01 Plan Type;

EB-57.02 Plan name/number;

EB-57.03 Group ID;

EB-57.04 Plan Details;

EB-57.05 Effective Date / Termination Date logic;

EB-57.06 Level of coverage (e.g., life insurance); etc.

EB-058 The system shall support benefit plan end dating. Mandatory

EB-059 The system shall support benefit plan end date notifications, including but not limited to alerts/notifications and emails. Mandatory

EB-060 The system shall support tracking items on loan. Mandatory

EB-061 The system shall support notifications, such as alerts and emails, for separating employees with items on loan. Mandatory

EB-062 The system shall support Service now interfaces for items on loan. Desirable

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4.3.5. Leave of Absence, Name Change, Dependent Change Requirements General Requirements

ID Requirement Description Business Need Delivery Method Comments Leave -

001 The solution shall meet the federal compliance standards for Family and Medical Leave Act (FMLA) and track all FMLA Activity. Mandatory

Leave -002

The solution shall support different Leave accrual calculation logic based on job type / classification, duration of employment, etc. Mandatory

Leave -003 The solution shall support configurable limits to negative leave. Mandatory

Leave -004

The solution shall support the Leave logic with regard to one-off scenarios including facility closings, Emergency situations, etc. Mandatory

Leave -006

The solution shall support seniority-based, standard accrual rates and accrual caps. Mandatory

Leave -007 The solution shall allow re-hires to begin using leave immediately. Highly Desirable

Leave -008

The solution shall allow for certain types of leave, tuition reimbursement, work schedules, disability, etc. to not be applied to probationary employees.

Mandatory

Leave -009

The solution shall track all unpaid Leave and Comp Time on an employee basis (workers comp, annual sick leave, etc.). Mandatory

Leave -010

The solution shall support a calendar for PTC HR administrators to track employee's leave, schedule, and holidays. Mandatory

Leave - 011

The solution shall support notifications to PTC HR administrators when verification data is needed for an employee's leave. Mandatory

Leave - 012

The solution shall allow employees' to view their accrued leave in ESS. Mandatory

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Leave - 013

The solution shall allow users to manually enter leave time based on security permissions. Mandatory

Leave - 014

The solution shall support notifications of verification needed to employees who are out on leave that requires verification. Mandatory

Leave - 015

The solution shall support notifications to managers when an employee's Leave approval is needed (e.g., Approval for Leave extension).

Mandatory

Leave - 016

The solution shall support the ability to identify point in time leave balances for previous months/years. Mandatory

Leave - 017 The solution shall support the ability to carry over leave balances. Mandatory

Leave - 018

The solution shall support the ability to maintain a Leave Bank for employees to volunteer their annual leave for other employees. Desirable

4.3.6. Grievances & Union Bids Requirements Grievance Tracking


GTUB-001

The solution shall support tracking responses to grievances by article.

Mandatory

GTUB-002

The solution shall support tracking responses to grievances by individual.

Mandatory

GTUB-003

The solution shall support reporting grievance information, such as most grieved upon issue in a fiscal year.

Mandatory

GTUB-004

The solution shall support attaching the grievance to the grievant. Mandatory

Union Bids

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GTUB-005

The solution shall allow admin users to add information to a union bid.

Highly Desirable

GTUB-006

The solution shall allow admin users to specify a union bid's minimum eligibility requirements.

Highly Desirable

GTUB-007

The solution shall prevent users in a probationary period from applying for a bid.

Highly Desirable

GTUB-008

The solution shall support sorting union bid applicants by department and seniority.

Highly Desirable

GTUB-009

The solution shall support the ability to pull employee data into the union bid.

Highly Desirable

GTUB-010

The solution shall support flagging a union bid applicant's qualifications/disqualifications, including whether the applicant meets the union bid's minimum requirements.

Highly Desirable

GTUB-011

The solution shall track the status of individual participants who are referred to available job openings and must satisfactorily complete a working test period or return to the program.

Highly Desirable

GTUB-012

The solution shall support correspondence to individuals who've applied to a union bid.

Highly Desirable

GTUB-013

The solution shall support the ability to report on union bid results. This includes, but is not limited to, tracking responses to union bids, position and department information, etc. The information pulled will be defined by the admin user.

Highly Desirable

GTUB-014

The solution shall support notifications to admin users of closing bid trial periods.

Highly Desirable

GTUB-015

The solution shall allow admin users to record the hiring of candidates directly when non-competitive appointment is authorized.

Highly Desirable

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GTUB-016

The solution shall automate the process of assessing the parameters of recently separated employees (RIFee) against job openings prior to them being posted.

Highly Desirable

GTUB-017

The solution shall provide the capability to track the status of employees separated from PTC service with mandatory rehire rights. These rights are limited by time, number of job offers they can decline and parameters set by the employee including locations and pay grades.

Highly Desirable

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5. Transition Overview and Plan Instructions: The Transition Planning section provides proposers the opportunity to insert their responses to the questions enclosed. Note due to the nature of transition planning, Proposers shall make their answers as comprehensive as possible. This section also provides the opportunity for Proposers to provide a brief company background.

5.1. Transition Approach 5.1.1. Key Objectives Instructions: The Commission wants to transition all functionality defined in this RFP as quickly as possible while ensuring a successful outcome of the transition. Describe what you see as the key objectives of the transition.

Proposer Response:

5.1.2. Critical Success Factors Instructions: From your experience, describe what you see as the critical success factors for the transition. Where possible provide some specific experience to reflect your experience. Proposer Response:

5.2. Planning Considerations 5.2.1. Key Business Events Instructions: Describe how you will plan around the Commission’s key business events. Proposer Response:

5.2.2. High Level Assumptions Instructions: List the high level, over-arching assumptions made in your transition planning process. Proposer Response:

5.2.3. Transition Work Streams Instructions: List and describe your standard transition work streams (i.e. policy knowledge transfer, finance and accounting, system setup, account management, etc.). Proposer Response:

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5.2.4. Risk Management Instructions: Describe your risk identification and management approach for this project.

Proposer Response:

5.2.5. Project Management Instructions: Describe your project management approach for this project.

Proposer Response: 5.3. Transition Staffing

5.3.1. Commission Staffing Instructions: Identify the staffing complement and organization you expect the Commission to commit to the transition / transformation with a brief description of each role. As referenced in the RFP, while Commission will assemble a team to work with the successful Proposer to facilitate the analysis of business processes and procedures, Commission resources will be limited and that should be considered when responding to this section. There will be a Commission project manager assigned to this effort however there is no expectation that the Commission will provide any programming, clerical, administrative or training support other than what is required to effectively design and test the new capabilities.

Please provide a table of the Commission resources’ roles by project task and include required level of effort (25%, 50%, 75% or 100%) using the table format below. The tasks below are included in RFP Section IV-4. Task Project

Manager Role 1 Role 2 Role 3

1. Project Planning i. Project Work Plan

ii. Project Management Plan iii. OCM Plan

2. System Design i. Architectural Design Document

ii. Functional Design Document iii. Technical Infrastructure Document iv. Managed Procedures Document v. Configuration Management Plan

vi. Solution Accessibility Document vii. Security Documentation

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3. Project Realization i. Solution Validation Report

ii. Process Configuration Report iii. Customization Development Plan iv. Interface Plan v. Conversion and Migration Plan

vi. Conversion Validation Report vii. Data Storage, Retrieval, and Archive

Plan

viii. Solution Reporting Plan 4. Testing

i. Test Strategy ii. Test Plan

iii. Vendor Test Report iv. Business Process Demonstration Report v. Accessibility Test Report

5. System Training i. Training Plan

ii. Training Materials iii. Training Classes

6. Go-Live and Support i. Go-Live Readiness Assessment

ii. Implementation and Transition Plan iii. Final Go-Live Report iv. Support and Maintenance Plan

Proposer Response:

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5.4. Transition Plan Narrative Instructions: Provide a transition narrative that will describe in sufficient detail the overall plan to ensure that the Commission can visualize how the proposed model can be placed into service. The descriptions should contain sufficient detail for the Commission to understand the overall approach, commitments and timeframe associated with the Proposer’s transition approach. Proposer Response:

5.5. Transition Plan Instructions: Provide a Transition Plan in GANTT format (with attachments as appropriate), in Microsoft Project. The Transition Plan must detail:

• Work streams and corresponding tasks; • Resource assignments; including the roles and level-of-effort estimates for those roles you

recommend are staffed by the Commission; • Deliverables and milestones, including start and completion dates; • Work stream, task, deliverable and milestones dependencies; • Phasing of work go-live dates; • Detailed assumptions, correlated to the appropriate task line in the plan; • Required decision points, with what decision is required and when; and • Transition risks, and risk mitigation or contingency plans to be put in place accordingly.

Proposer Response:

5.6. Transition Phasing of Go-Live Dates

5.6.1. Phasing Strategy Instructions: Provide details on the logic used to determine the various phases and go-live dates of your implementation plan. Proposer Response:

5.6.2. Stage Gate Acceptance Instructions: Provide details on how the stage gate review process outlined in Section IV-5 (d.) would be met by the proposer so that additional work go lives would be allowed by the Commission.

Proposer Response:

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5.7. Transition Services Not Fully Provided by the Proposer Instructions: List any transition services required in this RFP that are not included in the Proposer’s Base Charges. Unless specific services are listed and excluded, the Commission will assume all of the required services will be provided as part of the Proposer’s proposal. Proposer Response:

5.8. Strategic Direction Instructions: Describe your long-term HCM strategic direction and the implications of that strategy for the Commission. Provide your projected capital budget for outsourcing services for the next two years and indicate where you expect such capital to be deployed (e.g., systems upgrades, training, physical assets, and staff additions). Proposer Response:

6. Governance and Relationship Management Instructions: Proposers should insert their responses to their views on effective governance functions (organization and process) as a key success factor for the solution. The core governance processes required are represented below. Specific operational definitions are included in the subsequent sections.

6.1. Governance Overview

6.1.1. Reports Instructions: Provide a listing of, and sample form, of each report intended to be delivered (operational and governance related). Proposer Response:

6.1.2. Service Reviews Instructions: Provide a sample agenda for each of the identified service reviews, indicating anticipated participating stakeholders from the Commission and Proposer. Proposer Response:

6.2. Governance Staffing Instructions: Describe the proposed Governance organization, detailing roles, responsibilities, structure and staffing levels for both your organization and the Commission.

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6.2.1. Key Roles and Responsibilities Instructions: List the key Governance staffing roles anticipated, and for each role describe the key areas of responsibility (Note: Staff resumes should not be entered here). Proposer Response:

6.2.2. Proposer Staffing Instructions: Identify the staffing resources you expect to commit to Governance. Proposer Response:

6.2.3. Commission Staffing Instructions: Identify the staffing resources you expect the Commission to commit to Governance. Proposer Response:

6.3. Solution Enhancements

6.3.1. Solution Enhancement Process Instructions: Describe the process for recommendations for solution enhancement, and its integration into the overall Governance process. Proposer Response:

6.3.2. Solution User Groups Instructions: Describe the process used to solicit feedback from solution uses, including user groups, industry meetings and periodic conferences. Proposer Response:

6.4. Critical Issues Management Instructions: A critical issue is an unforeseen issue requiring immediate management attention from both parties to resolve. Significant operational or customer/candidate satisfaction will be at risk unless addressed.

6.4.1. Issue Determination Instructions: Describe the protocol to determine a critical issue.

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Proposer Response:

6.4.3. Root Cause Analysis Process Instructions: Describe the root cause analysis process and how resultant recommendations proceed to implementation. Proposer Response:

6.4.4. Issue Escalation and Notification Instructions: Describe the escalation and notification protocols of critical issues. Proposer Response:

6.4.5. Issue Tracking Instructions: Explain the tracking, status reporting and resolution process of critical issues.

Proposer Response:

6.5. Strategic and Business Change Management Instructions: A strategic or business change would be a change, proposed by either party that would significantly alter the terms of the current agreement between the Proposer and the Commission.

6.5.1. Change Determination Instructions: Describe the protocol for the determination of a strategic change. Proposer Response:

6.5.2. Change Escalation and Notification Instructions: Describe the escalation and notification protocols of strategic changes. Proposer Response:

6.5.3. Change Tracking Instructions: Explain the tracking, status reporting and resolution process for strategic changes.

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Proposer Response:

6.5.4. Change Management Instructions: Describe your Contract Change Management process. Proposer Response:

6.6. Compliance Management Instructions: Describe your compliance management process. In particular explain how, for example, regulatory changes are implemented into the solution model. Proposer Response:

6.7. Communications Management

6.7.1. Communications with Stakeholders Instructions: Describe the communications protocol for interacting with internal Commission stakeholder groups. Proposer Response:

6.7.2. New Business Requirements Instructions: Describe the protocol for identifying new Business Requirements from the stakeholder groups. Proposer Response:

6.7.3. Internal Communication Coordination Instructions: Describe how you would intend to coordinate communication with the Commission’s internal communications. Proposer Response:

6.7.4. Partnership Alignment Instructions: Explain how you would conduct a periodic executive level partnership alignment sessions.

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Proposer Response:

6.7.5. Third Party Communication Instructions: Describe how you would coordinate communications involving third party providers and internal Commission stakeholders. Proposer Response:



WORKBOOK 2

DIVERSE BUSINESS (DB) REQUIREMENTS


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TABLE OF CONTENTS

1. Diverse Business Submission .................................................................................................................................. 3

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1. Diverse Business Submission Instructions: The Proposer must certify in this Diverse Business (DB) participation submittal that it meets the requirements set forth in the Pennsylvania Turnpike Commission’s (Commission) DB Requirements - Appendix E.

Proposer Response:



WORKBOOK 3

COST SUBMITTAL


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TABLE OF CONTENTS 1. Pricing Overview ....................................................................................................................................................... 3

1.1. Implementation Costs ........................................................................................................................................ 3

1.2. Annual Support and Subscription Fees ............................................................................................................. 4

1.3. Cost Summary ................................................................................................................................................... 4

1.4. Rate Cards ......................................................................................................................................................... 5

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1. Pricing Overview Instructions: Use the following sections to submit your financial response. The Proposer is responsible for all information contained within these sections including any and all formulas used to generate total pricing. 1.1. Implementation Costs Instructions: Each phase of the implementation has been broken into major stages with associated deliverables which must be completed before submitting draft/final deliverables for the next sequential stage gate. The stage gate implementation cost should be reflective of the work for that stage gate along with work required with the deliverable. Provide estimates for implementation aligned by each major stage described in Part IV-4 of the RFP in the table below. A narrative describing these costs may also be provided.

Implementation Costs 1. Project Planning i. Project Work Plan $

ii. Project Management Plan iii. Organizational Change Management Plan 2. System Design i. Architectural Design Document $

ii. Functional Design Document iii. Technical Infrastructure Document iv. Managed Procedures Document v. Configuration Management Plan

vi. Solution Accessibility Document vii. Security Documentation 3. Project Realization i. Solution Validation Report $

ii. Process Configuration Report iii. Customization Development Plan iv. Interface Plan v. Conversion and Migration Plan

vi. Conversion Validation Report vii. Data Storage, Retrieval, and Archive Plan

viii. Solution Reporting Plan 4. Testing i. Test Strategy $

ii. Test Plan iii. Vendor Test Report iv. Business Process Demonstration Report v. Accessibility Test Report 5. System Training i. Training Plan $

ii. Training Materials iii. Training Classes 6. Go-Live and Support

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i. Go-Live Readiness Assessment $ ii. Implementation and Transition Plan

iii. Final Go-Live Report iv. Support and Maintenance Plan

Total Implementation Cost $

For the purposes of a phased implmentation, stage costs should be repeated for each phase.

Proposer Response:

1.2. Annual Support and Subscription Fees Instructions: Provide annual support and subscription fees for the base term below. Annual fees may be prorated based on the number of months remaining after implementation. A narrative describing these fees may also be provided.

Annual Fees

Year 1 Annual Fees $ Year 2 Annual Fees $ Year 3 Annual Fees $ Year 4 Annual Fees $ Year 5 Annual Fees $ Total Annual Fees $

Proposer Response:

1.3. Cost Summary Instructions: Provide an annual summary of all costs included in this proposal.

Cost Summary Period Implementation Costs

(forecast by year) Annual Support and Subscription Fees

Annual Total

Year 1 $ $ $ Year 2 $ $ $ Year 3 $ $ $ Year 4 $ $ $ Year 5 $ $ $ Total $ $ $

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Proposer Response:

1.4. Rate Cards Instructions: The Proposer’s rate card schedules should provide the individual rates by category of resource that could be leveraged for time and material and/or projects outside the scope of this procurement.

Proposer Response:

Page 1 of 6

Addendum No. 1 RFP #17-10360-7998


Prospective Respondents: You are hereby notified of the following information in regard to the referenced RFP: REVISION

1. Replace the Calendar of Events, on page iii of the RFP in its entirety with the following:

Activity Date Time

Request for Proposals Issued October 6, 2017 N/A

Deadline for Proposers to Submit Questions via email to [email protected]

October 27, 2017 2:00 PM

Answers to Proposers questions posted to the Commission website at https://www.paturnpike.com/Procurement/Bidlist.aspx?RTYPE=O (Estimate Only)

November 14, 2017 N/A

Due Date for Proposals December 13, 2017 2:00 PM

Oral Clarifications/Presentations (If necessary) TBD TBD

Anticipated Notice to Proceed (Estimate Only) May 31, 2018 N/A

QUESTIONS AND ANSWERS Following are the answers to questions submitted in response to the above referenced RFP as of October 27, 2017. All of the questions have been listed verbatim, as received by the Pennsylvania Turnpike Commission.

mailto:[email protected]

https://www.paturnpike.com/Procurement/Bidlist.aspx?RTYPE=O

Page 2 of 6

Proposer Questions


# Page Section Section Description Proposer Question Commission Response

1. The PA Turnpike Commission (PTC) has this great looking RFP out. However, without a chance to get to meet and market to potential prime vendors, how are Black and SDBE (Small Disadvantaged Business Enterprise) firms supposed to know who to try and team or partner with on this RFP? Can there be a mandatory pre-proposal meeting and conference call for this RFP so that Black and SDBE firms can have an idea of who maybe responding as a prime vendor thus allowing the Black and SDBE firms to have an avenue to be on a team? I’d appreciate it greatly if the PTC welcomes this suggestion and create either a mandatory pre-proposal meeting or have a conference call where you can distribute a workable detailed list of firms interested in this RFp, thus allowing more ease for INCLUSION by the Black and SDBE community. Thanks for all positive considerations given to this request.

A mandatory pre-proposal meeting was not scheduled because all the information about this procurement has already been communicated through the RFP and subsequent written addendum; there are no additional details to communicate.

2. Whether companies from Outside USA can apply for this? (like,from India or Canada)

The RFP does not prohibit non-US firms from submitting proposals.

3. Whether we need to come over there for meetings?

We reserve the right to request in-person demonstrations during the proposal process. Other proposal related work may be performed offsite. A successful proposer will be expected to meet and perform work on-site during implementation as requested by the PTC and defined in the RFP.

4. "Can we perform the tasks (related to RFP) outside USA? (like, from India or Canada)"

See answer to question 3.

5. Can we submit the proposals via email? No, refer to the RFP Part I-13 – Response.

Page 3 of 6

Proposer Questions


# Page Section Section Description Proposer Question Commission Response 6. 85 4.3 Requirements Matrix – Optional

Capabilities The Commission has specified that the focus of this procurement is to expand your present capabilities in three areas: Recruiting/Onboarding, Performance Management, and Learning Management, and that these areas will be given priority over and above expanded capabilities. Can we assume expanded capabilities are defined as Optional Capabilities beginning in Section 4.3, page 85?

Yes.

7. 1 Part I-5 Type of Contract It appears the Commission is seeking both the services of a Systems Integrator (SI) as well as any licenses (including a subscription agreement where the solution is cloud based) and support for HCM software. Regardless of the selected HCM software, it is important that the Commission have the direct and ongoing business relationship with the HCM solution license provider. That is particularly applicable where a cloud based solution is provided via a subscription agreement. As such, in addition to the executing a contract with the SI, is the Commission willing to also execute a software license (or subscription agreement where the solution is cloud based) and support agreement directly with the HCM software vendor?

Yes, PTC will be willing to consider licensing and support agreements with proposed software vendors.

8. Iii Calendar of Events The current RFP schedule indicates that answers to questions will be posted on November 10. Since the answers to these questions could impact which solution an SI may propose, would the Commission grant a two week extension on the proposal due date?

The proposal deadline has been extended to December 13, 2017. See Revision #1 above.

Page 4 of 6

Proposer Questions


# Page Section Section Description Proposer Question Commission Response 9. 1 Appendix H Service Levels For solutions that are cloud based and made

available through a subscription agreement with the solution provider, certain functionality and other requirements are within the control of the cloud solution provider and are most frequently offered on the same basis to all of its subscription based clients. Thus, in order to facilitate contracting for the cloud based solutions, will the Commission allow for the SLAs in Appendix H to be negotiated and allocated between the SI contract and the cloud based solution provider’s subscription agreement?

See answer to question 7.

10. 99 Workbook 1 TR-036 Can the Commission share the security and privacy policies that the solution needs to meet?

Not at this time.

11. 99 Workbook 1 TR-034 Does the Commission have a multi-factor solution that can be leveraged for this project (Requirement TR-034)?

No.

12. 99 Workbook 1 LM-066 Does the Commission require Multi-factor authentication for both employee and non-employee access (Requirement LM-066)? Please clarify who are “non-employees”.

No, multi-factor authentication requirements are based on a person's role rather than employee status (e.g. Applicants would not be required, Contractors may be required, and HR staff with access to sensitive information would be required).

13. 27 of 33

Part IV Work Statement

5. System Training The RFP states “at a minimum 30 functional users, 10 IT users, periodic end users, and super users for future system configurations.”

How many functional users operate in each of these areas Recruiting/Onboarding Performance Management Learning Management IT

Performance Management = 4 users Learning Management = 4 Recruiting/Onboarding = 5 IT = 10

14. 27 of 33

Part IV Work Statement

5. System Training The RFP states “at a minimum 30 functional users, 10 IT users, periodic end users, and super users for future system configurations.”

Does the TPC have access to classroom facilities? If so, how many, what is their capacity and are they computer labs that can access the Internet?

Yes, the PTC has two training rooms available with computers and Internet access. One has a capacity of 12 and the other has 25.

Page 5 of 6

Proposer Questions


# Page Section Section Description Proposer Question Commission Response 15. 16 of

33 Part IV Work Statement

Objectives: The RFP states “ The Commission employs over 2,000 individuals across the state”

Page 38 of 132 states the LMS should be able to support 3,000 concurrent users. Why are the total end-user figures different?

As stated in RFP Exhibit Workbook 1 – Technical Submittal LM-004, the PTC requires the capability to support 3,000 users for Learning Management.

16. 32 of 132

Workbook 1 Solution Training The RFP states “the vendor will offer in person training for… train the trainer training sessions”

Are the trainers being referenced full time training staff or would they be functional users or other staff who need to prepared and utilized as trainers?

Some will be full-time HR training staff, and some will be SME/Super-Users utilized as trainers.

17. 39 of 132

Workbook 1, Technical Submittal

LM-011 The solution supports branding domains based on User type (i.e., PTC employees vs. contractors).

If there are contractors, how many and are there specific requirements for the modules in scope?

The requirements for concurrent users is inclusive of contractors.

18. 66 of 132


PM-021 The solution shall provide the ability to apply a pay freeze on a group basis based on a configurable set of parameters (i.e., job family, union code, etc.).

Are there any unions? If so are there any union specific requirements for the functional areas in scope?

There are 3 unions. As referenced in PM-021, there are no union specific requirements.

19. 85 of 132


Requirements Matrix – Optional Capabilities.

In this section there are questions regarding employee life cycle, time management, etc. Please confirm that this section is for software capability only and not in scope for the non-optional RFP response.

These are three RFP requirements as a priority (LMS, PM, e-Recruit) but we will consider other enhancements to our HCM system. See page 1 of 33, Section I-4 in the RFP.

20. I would like to request an extension for the HCM RFP# 17-10360-7998. NSPRP will be responding as a reseller of SAP SuccessFactors and we were just made aware of the RFP this week. In order to provide the best possible response, any additional time you can provide would be greatly appreciated.

The proposal deadline has been extended to December 13, 2017. See Revision #1 above.

Page 6 of 6

Proposer Questions


# Page Section Section Description Proposer Question Commission Response 21. Are you going to secure this with one single

solution that addresses all your priorities of Recruiting/Onboarding, Performance Management and Learning Management?

Refer to RFP Section I-4. The Commission will accept proposals that prioritize these three functional areas and optionally address transition and/or expansion of other current core human resources capabilities to a new platform.

22. Are you expecting the vendor to integrate to the existing SAP HCM Application (SAP version ERP Central Component (ECC) 6.0, enhancement (EHP) 5, Stack 14) core human resources solution?

Refer to Part IV – Work Statement Section IV-1, page 17 of 33 in the RFP which defines the options the PTC is considering.

23. What other options are you considering? See the answer to question 22.

24. 4 I-4 Problem Statement Will the commission be completing a formal software selection for the in-scope areas of Recruiting / Onboarding, Performance Management and Learning Management?

See Part III – Criteria for Selection of the RFP.

25. 4 I-4 Problem Statement When and how will the commission make a decision regarding which cloud platform to utilize for Recruiting / Onboarding, Performance Management and Learning Management?

See the Calendar of Events. The Notice to Proceed is estimated to be issued on or around May 31, 2018.

26. 4 I-4 Problem Statement Will the commission require in addition to the cloud integration resources, SAP EHP 8 technical integration resources?

SAP EHP 8 installation is not in the scope of this RFP.

27. What is your legacy system? Refer to page 1 of 33, Section I-4 of the RFP.

28. Do you want a proposal that includes the whole scope, spread out over time, or just the first phase?

Refer to the Part IV - Work Statement, Section IV-1, page 17 of 33 in the RFP.

29. Are you planning to move to HANA? PTC has no plans at this time to move to HANA but this option may be included as part of a proposal.

30. Do you have a PI solution that can be leveraged for integration?

Yes, the PTC currently utilizes the SAP PI 7.31 integration platform.

All other terms, conditions and requirements of the original RFP dated October 6, 2017 remain unchanged unless modified by this Addendum.

Page 1 of 1

Addendum No. 2 RFP #17‐10360‐7998


Prospective Respondents: You are hereby notified of the following information in regard to the referenced RFP: REVISION

1. I‐14. Proposals. To be considered, Proposers should submit a complete response to this RFP, using the format provided in PART II. Each proposal should be submitted in six (6) seven (7) hard copies of the Technical Submittal, six (6) seven (7) hard copies of the Diverse Business (DB) participation submittal, and six (6) seven (7) hard copies of the Cost Submittal. In addition to the hard copies of the proposal, two complete and exact copies of the Technical, Cost and DB submittals, along with all requested documents on CD‐ROM or Flash Drive in Microsoft Office or Microsoft Office‐compatible format. The electronic copy must be a mirror image of the hard copy. Proposer should ensure that there is no costing information in the technical submittal. The CD or Flash drive should clearly identify the Proposer and include the name and version number of the virus scanning software that was used to scan the CD or Flash drive before it was submitted. The Proposer shall present the proposal to the Contracts Administration Department only. No other distribution of proposals will be made by the Proposer. Each proposal page should be numbered for ease of reference.

All other terms, conditions and requirements of the original RFP dated October 6, 2017 and Addendum 1 dated November 14, 2017 remain unchanged unless modified by this Addendum.