HomeMy WebLinkAboutSumtotal Systems LLC; 2022-11-29;
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AGREEMENT FOR WORKFORCE MANAGEMENT SYSTEM UPGRADE SERVICES
SUMTOTAL SYSTEMS, LLC
THIS AGREEMENT is made and entered into as of the ______________ day of
_________________________, 2022, by and between the CITY OF CARLSBAD, a municipal
corporation, ("City"), and Sumtotal Systems LLC ("Contractor").
RECITALS
A. City requires the professional services of a software solutions provider that is
experienced in upgrading the Sumtotal Workforce Management System.
B. Contractor has the necessary experience in providing professional services and
advice related to upgrading the Sumtotal Workforce Management System.
C. Contractor has submitted a proposal to City and has affirmed its willingness and
ability to perform such work.
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1. SCOPE OF WORK
City retains Contractor to perform, and Contractor agrees to render, those services (the
"Services") that are defined in attached Exhibit "A", which is incorporated by this reference in
accordance with this Agreement’s terms and conditions.
2. STANDARD OF PERFORMANCE
While performing the Services, Contractor will exercise the reasonable professional care and skill
customarily exercised by reputable members of Contractor's profession practicing in the
Metropolitan Southern California Area, and will use reasonable diligence and best judgment while
exercising its professional skill and expertise.
3. TERM
The term of this Agreement will be effective for a period of one year from the date first above
written.
4. TIME IS OF THE ESSENCE
Time is of the essence for each and every provision of this Agreement.
5. COMPENSATION
The total fee payable for the Services to be performed during the initial Agreement term will be
eighty-nine thousand seventy-seven dollars and fifty cents ($89,077.50). No other compensation
for the Services will be allowed except for items covered by subsequent amendments to this
Agreement. The City reserves the right to withhold a ten percent (10%) retention until City has
accepted the work and/or Services specified in Exhibit "A".
Incremental payments, if applicable, should be made as outlined in attached Exhibit "A".
6. STATUS OF CONTRACTOR
Contractor will perform the Services in Contractor's own way as an independent contractor and
in pursuit of Contractor's independent calling, and not as an employee of City. Contractor will be
under control of City only as to the result to be accomplished, but will consult with City as
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necessary. The persons used by Contractor to provide services under this Agreement will not be
considered employees of City for any purposes.
The payment made to Contractor pursuant to the Agreement will be the full and complete
compensation to which Contractor is entitled. City will not make any federal or state tax
withholdings on behalf of Contractor or its agents, employees or subcontractors. City will not be
required to pay any workers' compensation insurance or unemployment contributions on behalf
of Contractor or its employees or subcontractors. Contractor agrees to indemnify City within thirty
(30) days for any tax, retirement contribution, social security, overtime payment, unemployment
payment or workers' compensation payment which City may be required to make on behalf of
Contractor or any agent, employee, or subcontractor of Contractor for work done under this
Agreement. At the City’s election, City may deduct the indemnification amount from any balance
owing to Contractor.
7. SUBCONTRACTING
Contractor will not subcontract any portion of the Services without prior written approval of City.
If Contractor subcontracts any of the Services, Contractor will be fully responsible to City for the
acts and omissions of Contractor's subcontractor and of the persons either directly or indirectly
employed by the subcontractor, as Contractor is for the acts and omissions of persons directly
employed by Contractor. Nothing contained in this Agreement will create any contractual
relationship between any subcontractor of Contractor and City. Contractor will be responsible for
payment of subcontractors. Contractor will bind every subcontractor and every subcontractor of
a subcontractor by the terms of this Agreement applicable to Contractor's work unless specifically
noted to the contrary in the subcontract and approved in writing by City.
8. OTHER CONTRACTORS
The City reserves the right to employ other Contractors in connection with the Services.
9. INDEMNIFICATION
Contractor agrees to indemnify and hold harmless the City and its officers, officials, employees
and volunteers from and against all claims, damages, losses and expenses including attorneys
fees directly arising out of the performance of the work described herein caused by any gross
negligence, recklessness, or willful misconduct of the Contractor, any subcontractor, anyone
directly or indirectly employed by any of them or anyone for whose acts any of them may be liable.
The parties expressly agree that any payment, attorney’s fee, costs or expense City incurs or
makes to or on behalf of an injured employee under the City’s self-administered workers’
compensation is included as a loss, expense or cost for the purposes of this section, and that this
section will survive the expiration or early termination of this Agreement.
10. INSURANCE
Contractor will obtain and maintain for the duration of the Agreement and any and all
amendments, insurance against claims for injuries to persons or damage to property which may
arise out of or in connection with performance of the services by Contractor or Contractor’s
agents, representatives, employees or subcontractors. The insurance will be obtained from an
insurance carrier admitted and authorized to do business in the State of California. The insurance
carrier is required to have a current Best's Key Rating of not less than "A-:VII"; OR with a surplus
line insurer on the State of California’s List of Approved Surplus Line Insurers (LASLI) with a rating
in the latest Best’s Key Rating Guide of at least “A:X”; OR an alien non-admitted insurer listed by
the National Association of Insurance Commissioners (NAIC) latest quarterly listings report.
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10.1 Coverage and Limits.
Contractor will maintain the types of coverage and minimum limits indicated below, unless the
Risk Manager or City Manager approves a lower amount. These minimum amounts of coverage
will not constitute any limitations or cap on Contractor's indemnification obligations under this
Agreement. City, its officers, agents and employees make no representation that the limits of the
insurance specified to be carried by Contractor pursuant to this Agreement are adequate to
protect Contractor. If Contractor believes that any required insurance coverage is inadequate,
Contractor will obtain such additional insurance coverage, as Contractor deems adequate, at
Contractor's sole expense. The full limits available to the named insured shall also be available
and applicable to the City as an additional insured.
10.1.1 Commercial General Liability (CGL) Insurance. Insurance written on an
“occurrence” basis, including personal & advertising injury, with limits no less than $2,000,000 per
occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply
separately to this project/location or the general aggregate limit shall be twice the required
occurrence limit.
10.1.2 Automobile Liability. (if the use of an automobile is involved for Contractor's work
for City). $1,000,000 combined single-limit per accident for bodily injury and property damage.
10.1.3 Workers' Compensation and Employer's Liability. Workers' Compensation limits as
required by the California Labor Code. Workers' Compensation will not be required if Contractor
has no employees and provides, to City's satisfaction, a declaration stating this.
10.1.4 Professional Liability. Errors and omissions liability appropriate to Contractor’s
profession with limits of not less than $1,000,000 per claim. Coverage must be maintained for a
period of five years following the date of completion of the work.
10.2 Additional Provisions. Contractor will ensure that the policies of insurance required under
this Agreement contain, or are endorsed to contain, the following provisions:
10.2.1 The City will be named as an additional insured on Commercial General Liability
which shall provide primary coverage to the City.
10.2.2 Contractor will obtain occurrence coverage, excluding Professional Liability, which
will be written as claims-made coverage.
10.2.3 This insurance will be in force during the life of the Agreement and any extensions
of it and will not be canceled without thirty (30) days prior written notice to City sent by certified
mail pursuant to the Notice provisions of this Agreement.
10.3 Providing Certificates of Insurance and Endorsements. Prior to City's execution
of this Agreement, Contractor will furnish certificates of insurance and endorsements to City.
10.4 Failure to Maintain Coverage. If Contractor fails to maintain any of these insurance
coverages, then City will have the option to declare Contractor in breach, or may purchase
replacement insurance or pay the premiums that are due on existing policies in order to maintain
the required coverages. Contractor is responsible for any payments made by City to obtain or
maintain insurance and City may collect these payments from Contractor or deduct the amount
paid from any sums due Contractor under this Agreement.
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10.5 Submission of Insurance Policies. City reserves the right to require, at any time, complete
and certified copies of any or all required insurance policies and endorsements.
11. BUSINESS LICENSE
Contractor will obtain and maintain a City of Carlsbad Business License for the term of the
Agreement, as may be amended from time-to-time.
12. ACCOUNTING RECORDS
Contractor will maintain complete and accurate records with respect to costs incurred under this
Agreement. All records will be clearly identifiable. Contractor will allow a representative of City
during normal business hours to examine, audit, and make transcripts or copies of records and
any other documents created pursuant to this Agreement. Contractor will allow inspection of all
work, data, documents, proceedings, and activities related to the Agreement for a period of three
(3) years from the date of final payment under this Agreement.
13. OWNERSHIP OF DOCUMENTS
All work product produced by Contractor or its agents, employees, and subcontractors pursuant
to this Agreement is the property of City. In the event this Agreement is terminated, all work
product produced by Contractor or its agents, employees and subcontractors pursuant to this
Agreement will be delivered at once to City. Contractor will have the right to make one (1) copy
of the work product for Contractor’s records.
14. COPYRIGHTS
Contractor agrees that all copyrights that arise from the services will be vested in City and
Contractor relinquishes all claims to the copyrights in favor of City.
15. NOTICES
The name of the persons who are authorized to give written notice or to receive written notice on
behalf of City and on behalf of Contractor under this Agreement.
For City For Contractor
Name Maria Callander Name Ron Jones
Title IT Director Title Director of Customer Success
Department IT Address 2850 NW 43rd Street - Suite #150
City of Carlsbad Gainesville, FL - 32606 USA
Address 1635 Faraday Ave Phone No. 702-419-1148
Carlsbad, CA 92008 Email ron.jones@sumtotalsystems.com
Phone No. 442.339.2454
Each party will notify the other immediately of any changes of address that would require any
notice or delivery to be directed to another address.
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16. CONFLICT OF INTEREST
Contractor shall file a Conflict of Interest Statement with the City Clerk in accordance with the
requirements of the City of Carlsbad Conflict of Interest Code. The Contractor shall report
investments or interests in all categories.
Yes No
17. GENERAL COMPLIANCE WITH LAWS
Contractor will keep fully informed of federal, state and local laws and ordinances and regulations
which in any manner affect those employed by Contractor, or in any way affect the performance
of the Services by Contractor. Contractor will at all times observe and comply with these laws,
ordinances, and regulations and will be responsible for the compliance of Contractor's services
with all applicable laws, ordinances and regulations.
Contractor will be aware of the requirements of the Immigration Reform and Control Act of 1986
and will comply with those requirements, including, but not limited to, verifying the eligibility for
employment of all agents, employees, subcontractors and consultants whose services are
required by this Agreement.
18. DISCRIMINATION AND HARASSMENT PROHIBITED
Contractor will comply with all applicable local, state and federal laws and regulations prohibiting
discrimination and harassment.
19. DISPUTE RESOLUTION
If a dispute should arise regarding the performance of the Services the following procedure will
be used to resolve any questions of fact or interpretation not otherwise settled by agreement
between the parties. Representatives of Contractor or City will reduce such questions, and their
respective views, to writing. A copy of such documented dispute will be forwarded to both parties
involved along with recommended methods of resolution, which would be of benefit to both
parties. The representative receiving the letter will reply to the letter along with a recommended
method of resolution within ten (10) business days. If the resolution thus obtained is unsatisfactory
to the aggrieved party, a letter outlining the disputes will be forwarded to the City Manager. The
City Manager will consider the facts and solutions recommended by each party and may then opt
to direct a solution to the problem. In such cases, the action of the City Manager will be binding
upon the parties involved, although nothing in this procedure will prohibit the parties from seeking
remedies available to them at law.
20. TERMINATION
In the event of the Contractor's failure to prosecute, deliver, or perform the Services, City may
terminate this Agreement for nonperformance by notifying Contractor by certified mail of the
termination. If City decides to abandon or indefinitely postpone the work or services contemplated
by this Agreement, City may terminate this Agreement upon written notice to Contractor. Upon
notification of termination, Contractor has five (5) business days to deliver any documents owned
by City and all work in progress to City address contained in this Agreement. City will make a
determination of fact based upon the work product delivered to City and of the percentage of work
that Contractor has performed which is usable and of worth to City in having the Agreement
completed. Based upon that finding City will determine the final payment of the Agreement.
City may terminate this Agreement by tendering thirty (30) days written notice to Contractor.
Contractor may terminate this Agreement by tendering thirty (30) days written notice to City. In
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the event of termination of this Agreement by either party and upon request of City, Contractor
will assemble the work product and put it in order for proper filing and closing and deliver it to City.
Contractor will be paid for work performed to the termination date; however, the total will not
exceed the lump sum fee payable under this Agreement. City will make the final determination as
to the portions of tasks completed and the compensation to be made.
21. COVENANTS AGAINST CONTINGENT FEES
Contractor warrants that Contractor has not employed or retained any company or person, other
than a bona fide employee working for Contractor, to solicit or secure this Agreement, and that
Contractor has not paid or agreed to pay any company or person, other than a bona fide
employee, any fee, commission, percentage, brokerage fee, gift, or any other consideration
contingent upon, or resulting from, the award or making of this Agreement. For breach or violation
of this warranty, City will have the right to annul this Agreement without liability, or, in its discretion,
to deduct from the Agreement price or consideration, or otherwise recover, the full amount of the
fee, commission, percentage, brokerage fees, gift, or contingent fee.
22. CLAIMS AND LAWSUITS
By signing this Agreement, Contractor agrees that any Agreement claim submitted to City must
be asserted as part of the Agreement process as set forth in this Agreement and not in anticipation
of litigation or in conjunction with litigation. Contractor acknowledges that if a false claim is
submitted to City, it may be considered fraud and Contractor may be subject to criminal
prosecution. Contractor acknowledges that California Government Code sections 12650 et seq.,
the False Claims Act applies to this Agreement and, provides for civil penalties where a person
knowingly submits a false claim to a public entity. These provisions include false claims made
with deliberate ignorance of the false information or in reckless disregard of the truth or falsity of
information. If City seeks to recover penalties pursuant to the False Claims Act, it is entitled to
recover its litigation costs, including attorney's fees. Contractor acknowledges that the filing of a
false claim may subject Contractor to an administrative debarment proceeding as the result of
which Contractor may be prevented to act as a Contractor on any public work or improvement for
a period of up to five (5) years. Contractor acknowledges debarment by another jurisdiction is
grounds for City to terminate this Agreement.
23. JURISDICTION AND VENUE
Any action at law or in equity brought by either of the parties for the purpose of enforcing a right
or rights provided for by this Agreement will be tried in a court of competent jurisdiction in the
County of San Diego, State of California, and the parties waive all provisions of law providing for
a change of venue in these proceedings to any other county.
24. SUCCESSORS AND ASSIGNS
It is mutually understood and agreed that this Agreement will be binding upon City and Contractor
and their respective successors. Neither this Agreement nor any part of it nor any monies due or
to become due under it may be assigned by Contractor without the prior consent of City, which
shall not be unreasonably withheld.
25. ENTIRE AGREEMENT
This Agreement, together with any other written document referred to or contemplated by it, along
with the purchase order for this Agreement and its provisions, embody the entire Agreement and
understanding between the parties relating to the subject matter of it. In case of conflict, the terms
of the Agreement supersede the purchase order. Neither this Agreement nor any of its provisions
may be amended, modified, waived or discharged except in a writing signed by both parties.
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26. AUTHORITY
The individuals executing this Agreement and the instruments referenced in it on behalf of
Contractor each represent and warrant that they have the legal power, right and actual authority
to bind Contractor to the terms and conditions of this Agreement.
CONTRACTOR CITY OF CARLSBAD, a municipal
corporation of the State of California
By: By:
(sign here) Assistant City Manager
(print name/title)
ATTEST:
By:
(sign here) FAVIOLA MEDINA
City Clerk Services Manager
(print name/title)
If required by City, proper notarial acknowledgment of execution by contractor must be attached.
If a corporation, Agreement must be signed by one corporate officer from each of the following
two groups.
Group A Group B
Chairman, Secretary,
President, or Assistant Secretary,
Vice-President CFO or Assistant Treasurer
Otherwise, the corporation must attach a resolution certified by the secretary or assistant
secretary under corporate seal empowering the officer(s) signing to bind the corporation.
APPROVED AS TO FORM:
CINDIE K. McMAHON, City Attorney
BY: _____________________________
City Attorney
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GM SumTotalJim Gill
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EXHIBIT “A”
SCOPE OF SERVICES AND FEE
Introduction
The purpose of this Statement of Work (“SOW”) is to communicate the tasks and resources
required to assist City with the upgrade of selected modules in the SumTotal suite listed below.
The upgrade of the SumTotal Workforce Management system from the City’s current version to
the most current available version will be done in a customer enablement fashion, with
Contractor providing guidance and advice on configuration of system options, and the City
performing much of the hands-on configuration, giving City resources the opportunity to learn by
doing and build the familiarity needed to maintain the system after go-live.
The performance of this Statement of Work involves activities to be performed by both parties.
This SOW specifies the primary responsibilities of the City in order for the projected to be
completed in the timeframe and budget provided.
Module Summary
As part of this SOW, the following modules will be upgraded (specific details provided in the
Services Scope section below).
• SumTotal Core Platform
• SumTotal Workforce Management
Description of Implementation Services
1.1 Implementation Approach
Project Methodology
The upgrade effort under this SOW will be performed following Contractor’s TotalSuccess
methodology. This is a linear approach through the following specific project phases, with
iterative configuration and testing:
• Envision: The joint team holds a kickoff meeting to review the project scope, goals,
approach, and timeline, and the project managers prepare the initial detailed project plan
• Plan and Design: The joint team conducts consulting workshops to capture information
about the future-state process design and configuration decisions which will guide the
implementation and configuration of the application. Data requirements are developed
from this information. Desired functionality or processes to be configured after the
completion of this SOW are captured for future reference.
• Configure and Integrate: Contractor implements the application environments and
assists City with upgrade/importation of City data, configuration of processes, rules, and
content, and setup of ongoing data integration with external system(s). City will conduct
simple unit testing during the configuration effort.
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• Test and Validate: City conducts structured validation of data and configuration, and
teams manage and resolve issues. Configuration is adjusted based on feedback from
testers. Teams complete knowledge transfer and training for system administrators to
prepare them for ownership of the system after Go Live.
• Deploy: Final configuration is deployed to the production environment and City team is
transitioned from Professional Services to Contractor on-site managed services team.
City assumes ownership and maintenance of their configured site(s).
Project Governance
Project Management is critical to the success of this project. As the primary point of contact, the
Project Managers are responsible for coordinating the resources and activities of their teams and
involving the correct resources to address the technical and functional questions and issues that
arise throughout the project. They are also responsible for overseeing communication, planning,
risk management, and budget planning – all critical elements that significantly contribute to the
success of the project. Project Management is a joint responsibility of both parties.
The project management methodology will include weekly project status meetings involving the
project teams (project managers from both parties at a minimum and other technical/functional
team members as appropriate) and monthly (or as needed) Governance Committee meetings
which will involve the executive sponsors and key decision makers from each party. These
meetings will allow participants to review the overall project progress, identified project risks,
risk responses, and any critical issues escalated to the committee for resolution.
Contractor will provide project management for the entire project, including:
• Jointly developing the project plan with the City’s Project Manager based on the
standard Contractor methodology and a draft prepared by the Contractor’s Project
Manager
o This may be done onsite in a multi-day workshop, as jointly determined by the
parties
• Identifying, tracking and managing issues, risks and action items
• Managing and coordinating documents and deliverables
• Providing weekly status reports and conducting weekly status calls
• Coordinating Contractor resources
• Managing the project budget and scope
• Maintaining the issues log
• Scheduling and leading governance calls with the representatives from both
organizations’ management
City will provide project management with responsibility for City resources and deliverables,
including:
• Developing the project plan with Contractor’s Project Manager
• Managing City tasks, resources, and timelines in coordination with Contractor project
plan
• Coordinating City deliverables and action items on schedule
• Ensuring participation of full City team and decision makers in kickoff call and project
plan review
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• Completing project onboarding activities (e.g. training, etc.) prior to kickoff meeting
• Creating and conducting an appropriate change management plan for administrators
and users to ensure successful transition and adoption of the new system
1.2 Implementation Activities
The following is a description of the activities to be performed by Contractor and City resources.
1.2.1 Project Management
Contractor Activities
• The Contractor’s Project Manager serves as the primary point of contact for the
duration of this project, will complete the project setup and closure tasks, and will
assign and coordinate all Contractor resource activities for the project while
maintaining schedules, and budgets.
• The Contractor’s Project Manager (PM) will also complete project planning,
project kickoff preparation activities, as well as participate in Go Live readiness
and preparation as part of the official Countdown to Go Live (CTGL) process.
City Activities
• The City’s Project Manager serves as the primary point of contact for the duration
of this project and will assign and coordinate all City resource activities for the
project while maintaining schedules, and budgets.
• The City’s Project Manager will also work with Contractor to coordinate project
Kickoff and planning activities as well as participate in Go Live readiness and
preparation as part of the Countdown to Go Live (CTGL) process
1.2.2 Contractor Infrastructure and Environment Validation
Contractor Activities
• Create an upgrade QA environment on Contractor infrastructure to house the
upgraded database, latest version of the application environment and upgraded
City custom components. This environment will facilitate custom component
migration to the latest version, and Contractor development unit and smoke
testing of the upgraded City system. This environment will be used to validate
any custom development remediation measures taken.
• Create an upgrade UAT environment on Contractor Infrastructure to house the
upgraded database, latest version of the application environment and upgraded
City custom components. This environment will facilitate custom component
migration to the latest version, Contractor SME unit and smoke testing of the
upgraded City system, and validation of any custom development remediation
measures taken.
• Create Stage and Pre-Production (to become Production) environments. These
environments will be the upgrade environments that will replace the existing
version’s Stage and Production environments. The Stage environment will be
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used to stage promotion of City custom components to the Pre-Production
environment. The Pre-Production environment will facilitate UAT testing and will
be used for Parallel Testing prior to the upgrade production cutover. This is to
ensure that all configuration, core application and custom components are
validated and exercised in the Pre-Production environment prior to the upgrade
Go Live cutover
City Activities
• Perform testing/validation of the Stage and Pre-Production environments to
ensure all required functionality is available and working properly
• Report any issues to Contractor, including relevant use cases, observed
behavior, expected behavior, screenshots where appropriate, and steps to
reproduce the issue
• Perform basic triage
• Provide Pre-Production Environment Signoff certifying the system has been
thoroughly tested and all Go Live Blockers have been addressed in preparation
for Go Live
1.2.3 Database Upgrade
Contractor Activities
• Perform the Database Upgrade and deploy to Contractor hosted upgraded
environment(s)
• Diagnose and remediate any data related issues that emanate from the upgrade
process
City Activities
• Validate upgraded data upon release of Pre-Production environment
• Assist with completion of assigned configuration tasks following Dry Run
• Document configuration and validation activities following Dry Run to assist with
Go Live planning
1.2.4 Custom Component Upgrade
Contractor Activities
• Upgrade City custom components to be compatible with the latest version of
SumTotal Workforce Management and conform to the standards of the latest
version of SumTotal Workforce Management.
• Validate upgraded custom rules by executing a subset of test cases
City Activities
• Provide initial use cases for unit testing of the upgraded rules, using Contractor-
provided testing template.
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• Perform testing of upgraded rules and inform Contractor of any corrections
required due to unexpected results.
• Participate in review of custom rules and risk analysis.
• Provide any additional use cases for any rules, tasks, batch processes, utilities or
reports that fail during validation.
• Perform required additional rule validation and identify the specific use cases for
any rules or processes that generate unexpected results during end-to-end
system testing in the City upgraded Test environment
• Perform appropriate triage of testing issues and provide Contractor with detailed
information on tests that have failed, along with actual vs. expected results.
1.2.5 Jaspersoft Reports Upgrade
Reports will be upgraded as necessary to account for database schema changes. There
will be no changes to business logic.
Contractor Activities
• Upgrade and deploy current production version Jaspersoft reports
• Provide support and assistance with validation of Jaspersoft reports.
City Activities
• Validate upgraded reports layout and data within a reasonable timeframe
• Report any issues to Contractor, including relevant use cases, observed
behavior, expected behavior, screenshots where appropriate, and steps to
reproduce the issues
• Perform basic triage
1.2.6 Clock Support
Contractor Activities
• Deploy and configure the SumTotal Workforce Management Impulse Clock
Server Component within the Contractor hosted Stage and Pre-Prod
environments.
• Validate clocks connect to the WFM server and pass swipes to the application
and DB in Contractor Staging and Preproduction environments.
• Provide assistance with clock related configuration.
• Participate in Contractor CTGL process and Dry Run, coordinate all clock and
hardware related activities with the project team and City team as relates to clock
testing and configuration.
City Activities
• Allocate an existing clock from production for WFM Upgrade testing purposes.
Contractor confirms that the City’s existing clocks are compatible with the new
version of SumTotal Workforce Management.
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• Provide necessary resource(s) to participate with the Contractor Clock
resource(s) in the testing and configuration required for the use of the latest
version, Clock Server component.
• Create and document all test, use cases and user stories required to validate the
upgraded clock deployment. Test cases must include loading of individual clock
punches and validation of each step on timesheets. Clock testing must mirror
City day-to-day use of the clock and WFM system.
• Perform appropriate triage of clock testing issues and provide Contractor with
detailed information on tests that have failed, along with actual vs. expected
results. This includes specific use case, screenshots, scope / impact of the issue,
steps to reproduce, documentation and tracking of issues, and any other relevant
data.
1.2.7 Implementation Consulting
Contractor Activities
• Assist City in planning and scheduling the upgrade project
• Attend weekly status calls.
• Environment & infrastructure requests and initial smoke testing of all
environments.
• Provide general consulting and knowledge transfer.
• Answer City questions pertaining to the upgrade project, the latest version of
SumTotal Workforce Management Software features and configuration details.
• Participate in the Countdown to Go Live Process (CTGL) to ensure Go Live
readiness. Maintain complete list of Go Live activities/assignments.
City Activities
• Assign experienced SumTotal Workforce Management Administrators to
participate in project planning, training and absorb knowledge transfer, and
ultimately take ownership of upgrade application configuration and support.
• Attend weekly status calls.
• Provide applicable business requirements.
• Define applicable testing plan including the compilation of applicable test
cases/use case scenarios.
• Document any areas/gaps where knowledge transfer has been provided.
• Participate in the Countdown to Go Live Process (CTGL) to ensure Go Live
readiness. Partner with Contractor to maintain a complete list of Go Live
activities/assignments.
• Participation in the execution of upgrade Dry Run, which includes documentation
of all steps performed that are required to ensure complete and correct upgrade
of the Sumtotal Workforce Management system, document timing of each step of
the process, coordinate with Contractor to maintain the upgrade Cutover CTGL
Checklist.
1.2.8 New Feature Setup and Training
Contractor Activities
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• Provide training to City Administrators on new features based on City-provided
list
• Advise best practices in use and configuration of new features to replace current
custom components
• Assist City in setup and configuration of new features.
City Activities
• Identify 3 experienced City Administration resources to participate in applicable
training sessions
• City Administrators to absorb knowledge transfer and take ownership of
configuration of City Stage and Pre-Production environments.
• Document any gaps in knowledge and understanding for so that necessary
topics can be covered in order to enable self-sufficiency with the ongoing support
and administration of the solution
• Provide knowledge transfer to additional City administrators/project resources as
necessary
• • Review Contractor product Release Notes and What’s New documentation in
order to determine which new features are of interest, and provide a list to
Contractor project team
1.2.9 Validation and Testing Support
Contractor Activities
• Assist City resources with running and validating batch jobs.
• Assist City resources with running and validating external interfaces.
• Provide basic unit and end-to-end testing support and guidance by Contractor
Subject Matter Expert (SME).
• Provide configuration and knowledge transfer assistance to the City for the
purposes of application testing and system validation.
• Provide testing support, guidance, best practices, and issue remediation
assistance by Contractor Subject Matter Expert (SME) for the following validation
cycles:
o 1 round of Unit Testing
▪ 1 round in Pre-Production environment – 2 week duration
• Week 1: test case execution
• Week 2: remediation and revalidation
o 1 round of UAT (User acceptance Testing)
▪ 1 round in Pre-Production environment – 3 week duration
• Weeks 1-2: test case execution
• Week 3: remediation and revalidation
o 1 round of Parallel Testing in Pre-Production Environment – 1 week
duration
City Activities
• Execute testing according to agreed upon timeline to include, but not limited to,
validation of the following:
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o All custom components
o Application testing and converted data validation
o Regression testing as applicable. Contractor will assist the City in
identifying critical areas of concern related to specific areas of change.
o Interface and integration testing
o Webclock punch testing
o Clock validation
o File handling, batch process/runbook testing
o User Group Preferences and Security
o Accrual testing
o Workflow testing
o Initial triage of testing issues
o User Interface, and any system integration testing
o Reports
o Scheduled tasks and
o Webapps
o New features for latest available version – remediation of current version
product issues
o 1 round of Unit Testing in Pre-Production environment including
▪ Individual test cases for all specific application functionality and
custom components, including end-to-end test cases/scenarios
based on business scenarios
o 1 round of User Acceptance Testing (UAT) in Pre-Production environment
including:
▪ End-to-end test scenarios for “Day In The Life Of” (DITLO)
validation based on end user role and system access
o 1 round of Parallel Testing in Pre-Production Environment includes
▪ Prior payroll runs in upgrade environment and dual entry for
current pay period
• City will also perform the following tasks:
o Create all test cases prior and deliver them to the Contractor SME for
review 2 weeks prior to the start of the testing period
o Assist with triage by compiling failed test case examples including
use/test case details, examples of the issue (employee ID, Date Range,
timesheet/screen used, etc.), actual results vs expected results, and
steps taken to reproduce the issue.
o Maintain testing log, recording all details of pass/fail information, and
provide weekly metrics with passed/failed results.
o Provide assistance with the triage/configuration updates as necessary
o Document all changes made to Stage and Pre-Prod environments in
preparation for production rollout process.
o Provide Pre-Production Environment readiness confirmation certifying the
system has been properly configured and thoroughly tested and all Go
Live Blocker issues have been addressed in preparation for Go Live. This
will serve as acknowledgement of completion of testing with 100% Pass
or acceptable workaround in place for issues deemed as Non-Go Live
Blockers.
1.2.10 Go Live Preparation, Cutover and Hypercare Support
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Contractor Activities
• Provide upgrade Go Live cutover planning assistance, iterative planning using
the Contractor Countdown to Go Live (CTGL) process, including 1 Dry Run of the
database upgrade cutover process.
• Provide up to 6 hours of consulting over the course of 1 week for pre-Go Live
consulting support prior to upgrade cutover and release of upgraded system to
City’s users
• Provide up 12 hours of consulting over the course of 2 days for Go Live support
during production cutover.
• Up to 32 hours of remote Hypercare post-Go Live consulting support during the
initial 2 weeks, or 2 payroll cycles, in support of Administrator activities.
• Perform Transition to Customer Support process to complete the upgrade
project.
City Activities
• Provide active participation by the City Workforce Management Administrators in
the Countdown to Go-Live planning and Dry Run. This includes documenting all
steps required to successfully complete the upgrade and configuration process,
the sequence and elapsed time requirements for each step, executing the steps
in the Dry Run processes and during the Upgrade Go Live cutover.
• Complete post-Go Live configuration assignments
• Immediate post-Go Live cutover validation of converted data and upgraded
system including, but not limited to:
o Core Platform
o Webclocks
o Clocks
o Timesheets
o Interfaces and integrations, including HR Refresh and Payroll export
o Batch processes/Scheduled tasks
o End user validation (all user groups, access and security)
o File handling and automation
o Accruals
o Absence workflow
o Reports
o All other critical items and custom components
• Change management, user and administrator training, end user training, and
internal City communications
• Provide Go Live end user support
• Perform initial triage on all reported Go Live issues
• Provide timely submission of issues encountered that the City Administrator team
is not able to resolve.
• Provide Contractor with detailed information on any production issues
encountered, along with actual vs. expected results. This includes specific use
case screenshots, scope / impact of the issue, steps to reproduce, and any other
relevant data.
• Provide active participation by City WFM Administrators during Hypercare period
• Participate in Transition to Customer Support process
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1.3 Services Scope
1.3.1 Project Management
• Remote, part-time project management on average up to 4 hours per week for up
to 16 weeks
1.3.2 Contractor Infrastructure
• Environments provided by Contractor as part of the upgrade process:
o QA – Upgrade version
o UAT – Upgrade version
o Stage – Upgrade version
o Pre-Production - Upgrade version
1.3.3 Database Upgrade
• Perform the upgrade of the City database up to current release version 3 times
o Initial DB Upgrade to Pre-Production environment
o Go Live Dry Run as part of the Contractor Countdown to Go Live (CTGL)
process where Contractor and City perform a Dry Run/dress rehearsals of
the Go Live cutover process in order to identify and document all steps
and actions that must be taken in order to ensure a smooth and error free
cutover and to document the elapsed times and schedules for the cutover
process
o 1 Go Live Cutover
1.3.4 Custom Component Upgrade
• Upgrade City custom components and provide professional services in order to
deliver changes for up to twelve (12) Rules, eight (8) Tasks, six (6) Web Apps,
seven (7) Reports and other associated Custom Components. Appendix A
contains the list of Custom Components included in the scope of this SOW.
• This upgrade scope includes efforts for the upgrade of custom components listed
in Appendix A as they currently function in the current version. The defined scope
excludes any new custom component requirements or modifications of business
logic and associated configuration. If updates to City components or business
logic is required due to changing client requirements or changes in application
design or behavior, each case will be analyzed and an estimate provided.
Authorization for such work may require a change order.
1.3.5 Jaspersoft Reports Upgrade
• All Jaspersoft reports currently deployed to current Production environment will
be upgraded as part of the application upgrade. This upgrade does not include
new report requirements, changes to business logic, or training.
1.3.6 Clock Support
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• Support for SumTotal Workforce Management Impulse Clock Server Component
and clocking process
1.3.7 Implementation Consulting
• Business consultant, Technical Consultant and Subject Matter Expert will be
assigned to this project during its estimated 16-week duration. If the project
timeline is extended for any reason, additional consulting efforts may require a
change order.
1.3.8 New Feature Setup and Training
• This upgrade has been estimated as a like-to-like upgrade. The inclusion of new
features in this upgrade is intended to resolve previously identified issues in the
current WFM version, to take advantage of new features within the currently
configured business processes, and to enable deprecation of custom rules and
extensions.
• New feature deployment will take the form of 1 iteration of remote training and
configuration, and 1 iteration of initial validation assistance to confirm new overall
functionality.
• This upgrade estimate excludes any re-engineering of business processes and
workflows. If updates to City requirements, functionality or business processes is
desired, then each case will be analyzed and an estimate provided.
1.3.9 Validation and Testing Support
• A 6-week validation support period is included in this upgrade project. If further
Contractor validation support is needed or the validation period must be
extended, a change order may be required.
• Contractor will remediate all P0 and P1 (see Table 1 in section 1.3.10) test case
failures prior to Go Live cutover. Any functionality or behavior scenarios that were
not included in the validation, will be considered out of scope for the upgrade
project and will be triaged and resolution may require a change order.
1.3.10 Go Live Preparation, Cutover and Hypercare Support
• Estimate includes 1 Dry Run (Post-UAT testing and prior to Parallel testing in
Pre-Production environment).
• 4 weeks, or 2 payroll cycles, Hypercare support
• Triage and resolution of any production issues reported to professional services
team that are found to have not been included in the validation testing may
require a change order.
• At the end of the Hypercare period, all remaining open items (barring P0 or P1
issues) will be transitioned from the upgrade Contractor Professional Services
team to the Contractor Customer Services team (see table below). Any additional
Contractor Professional Services support may require a change order. System
will not be deemed as Accepted until all open P0 and P1 issues have been
resolved.
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Priority Condition
P0 These issues will be recognized as such as they involve a service
interruption/outage where all users cannot access the environment(s).
P1 This type of issue prevents completion of a major business function. This
involves intrinsic, widespread effects.
P2 System is operational, but impaired. These problems are specific to the
individual use case being executed and are less critical in nature. There is a
workaround available and end user/business impact is minimal
P3 System is operational, but not optimal. There is a minor operational issue, or
one that is cosmetic and may or may not be remedied using an acceptable
workaround depending on client requirements. This issue may result in product
feedback and/or enhancement requests
Payment Terms
2.1 Project Fees
Professional services fees for this engagement as described in this SOW are fixed fee as shown
below. All prices provided herein are denominated in the currency of the United States of America
($ or USD).
Project Element Fixed Fee Cost ($USD)
SumTotal Workforce Management Upgrade
$89,077.50
Total $89,077.50
Actual reasonable and out-of-pocket expenses and tax are not included herein and will be
invoiced separately. If travel is required, the expenses will be limited as deemed necessary to the
implementation of this project and reimbursed at cost by City. Contractor travel standards and
practices will be applied to any travel required.
2.2 Implementation Payment Milestones
All fees will be due and payable net 30 days from the invoice date.
Milestone Description Payment
Amount
Approx
Percent
of Project
Effort
1 Execution of SOW $22,296.38 25%
2 Upon delivery of Configured Stage Environment for
testing. Subject to acceptance criteria as listed below.
$22,296.38 25%
3 Upon Completion of Dry Run in Pre-Production
environment. Subject to acceptance criteria as listed
below.
$22,296.38 25%
4 Upon Go Live Cutover. Subject to acceptance criteria
as listed below
$22,296.38 25%
Total $89,077.50 100%
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Acceptance Criteria
For the project deliverables listed above, City shall have a period of (30) business days from the
time a deliverable is made available for review (the “Acceptance Period”) to indicate Acceptance
or Non-Acceptance of the deliverable by providing written notice to Contractor (email will suffice).If
no notice is provided by the end of the Acceptance Period, then the deliverable is deemed
Accepted.
Assumptions
• All effort estimates detailed in this document are for expectation-setting purposes only
unless other specified or part of an effort-capped activity. Actual effort may vary and will
not be reported on by Contractor.
• Scheduling for professional services to be performed are based upon a first come first
served basis and will be mutually agreed upon by the parties prior to the commencement
of the Professional Services hereunder.
• Services are provided during regular business hours (8:00 a.m. to 5:00 p.m. PST), not to
exceed forty (40) hours per person per week, Monday through Friday, except legal
holidays ("Business Hours"), unless otherwise specified by Contractor. The City will
support Contractor’s holiday schedule and Contractor will support City’s holiday
schedule
• Communications and discussions related to the scope of this Statement of Work will be
conducted and completed in the English language.
• Services and documentation will be delivered following Contractor’s standard
methodologies and templates. Additional requirements to adhere to city-specific
methodologies may result in cost and schedule impact.
• City is responsible for all User Acceptance Testing (UAT) documentation (i.e. test plans,
test cases, scripts, and scenarios) and the development and the execution of all testing
in relation to UAT.
• Testing documentation and execution will include all known use cases and scenarios.
Warranty and issue resolution will be provided for use/test cases that are included in the
provided test case documentation. Remediation of undocumented issues or issues
reported after completion of testing cycles may require a change order.
• Use case / test case documentation will include all variations among different types of
users, user groups, and any segmentation categorization or definition of users.
• Testing will be performed using all browsers that will be used by City in production.
• The scope defined in this Statement of Work stands alone to be delivered without
dependency on any future functionality defined or to be added to the product roadmap.
• The project is delivered in big-bang approach (one go-live) and is based on expected
duration stated above from project start to end. If City requests additional assistance for
future phases, that effort will be agreed upon separate from this Agreement.
• Any efforts related to system performance/load testing by City is out of scope. If
required, this will be scoped and agreed upon separately between Contractor and City.
• The upgrade process does not include any reengineering of the Workforce Management
business processes. If that should become necessary for any reason, the work effort will
be estimated based on requirements at the time it becomes known. A quote will be
provided, and the work authorized via Change Order process.
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• The upgrade estimate does not include the implementation of any additional integrations
or custom rules or changes to existing integrations or custom rules beyond what is
specified in this quote and other than those necessary to conform to the updated formats
and specifications of the target version.
• The upgrade project may include enablement of new product features. If so, additional
services may need to be added.
• This upgrade project estimate is based on a 24-week project schedule. If the project
schedule exceeds this timeframe, a change order may be required.
• This upgrade does not include the deployment of a new single sign on solution.
• City’s current Active Directory external authentication is included in the scope of work for
this upgrade.
• All deliverables must be tested/validated in Test and Stage environments prior to being
deployed to Production.
• All Custom Extensions must be tested/validated in Test and Stage environment prior to
being deployed to Production.
• City accepts that where any rule or component is determined to be supported by the
WFM Core Application, then the rule or component will be deprecated from the
upgraded environment and configured within the WFM core application, even if this
requires a change to business processes.
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Appendix “A”
List of Custom Components Included in the Scope of this SOW
Component Name Component
Type
Dyn_FlexDaysTask.cmd cmd
Dyn_JLBudgetCheckingTask.cmd cmd
Dyn_JLBudgetUpdate.cmd cmd
Dyn_OrgKeyUpdate.cmd cmd
Dyn_ProjectAndActivityUpdate.cmd cmd
Dyn_TelestaffInterface.cmd cmd
Dyn_CostAccountingInterface.cmd cmd
Dyn_PRCU.cmd cmd
Dyn_CalculateOverheadRateParams.java Params
Dyn_ClearTimeSheetParams.java Params
Dyn_CreateTimeSheetParams.java Params
Dyn_MarkLastSavedTimestampParams.java Params
Dyn_OvertimeBankingParams.java Params
Dyn_WeeklyOvertimeParams.java Params
Dyn_CostAccountingInterfaceParams.java Params
Dyn_FlexDaysTaskParams.java Params
Dyn_JLBudgetCheckingTaskParams.java Params
Dyn_JLBudgetUpdateParams.java Params
Dyn_OrgKeyUpdateParams.java Params
Dyn_PrcuParams.java Params
Dyn_ProjectAndActivityUpdateParams.java Params
Dyn_TelestaffInterfaceParams.java Params
Dyn_DailyAndAnnualAccrualForecastingParams.java Params
Dyn_AccrualCascadeRule.java Rule
Dyn_CalculateOverheadRateRule.java Rule
Dyn_ClearTimeSheetRule.java Rule
Dyn_CreateTimeSheetRule.java Rule
Dyn_MarkLastSavedTimestampRule.java Rule
Dyn_OvertimeBankingRule.java Rule
Dyn_ResetAdjIndicatorForProtectedTimeRule.java Rule
Dyn_ResetENTRecordsByOneMinuteRule.java Rule
Dyn_ResetPayrollOffTimeOnShift80Rule.java Rule
Dyn_WeeklyOvertimeRule.java Rule
SetPayrollStartTimeToOriginalActualStartTimeRule.java Rule
Dyn_DailyAndAnnualAccrualForecastingRule.java Rule
CustomNamespace.Mssql.sql sql
InsertGlobalVariables.Mssql.sql Sql
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InsertLocalization.Mssql.sql sql
InsertRuleParameters.Mssql.sql sql
InsertTaskerSettings.Mssql.sql sql
QueryToolReport.Mssql.sql sql
Dyn_CostAccountingInterface.java Task
Dyn_FlexDaysTask.java Task
Dyn_JLBudgetCheckingTask.java Task
Dyn_JLBudgetUpdate.java Task
Dyn_OrgKeyUpdate.java Task
Dyn_PRCU.java Task
Dyn_ProjectAndActivityUpdate.java Task
Dyn_TelestaffInterface.java Task
Dyn_CustomPayrollVO.java Util
Dyn_TelestaffConstants.java Util
Dyn_CarlsbadInterfaceUtil.java Util
Dyn_PayrollPdateComparator.java Util
Dyn_CostAccountingVO.java Util
Dyn_JLBudgetUpdateVO.java Util
Dyn_OrgKeyUpdateVO.java Util
Dyn_PrcuVO.java Util
Dyn_ProjectActivityUpdateVO.java Util
EmailContent.java Util
EmailObject.java Util
Dyn_OvertimeBankingUtil.java Util
Dyn_WeeklyOvertimeUtil.java Util
Dyn_DailyAndAnnualAccrualForecastingUtil.java Util
ReportingAction.java Webapp
PdfUtil.java Webapp
ReportingUtil.java Webapp
activity.jsp Webapp
main.jsp Webapp
project.jsp Webapp
FMLALeaveAbsenceReport JasperReport
LeaveUsageDetailReport JasperReport
PartTimeHoursBalanceReport JasperReport
TimecardCheckReport JasperReport
UnpaidAbsenceReport JasperReport
YearlyLeaveUsageReport JasperReport
reportMessages.properties JasperReport
RuleSet.xml XML
ScheduleRuleSet.xml XML
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Administrative Services
Information Technology
1635 Faraday Ave. Carlsbad, CA ZIP code 760-602-2450 t
Memorandum
October 31, 2022
To: Geoff Patnoe, Assistant City Manager
From: Doug Kappel, IT Applications Manager
Via: Maria Callander, Director of IT
Laura Rocha, Deputy City Manager, Administrative Services
Re: Agreement for Workforce Management System Upgrade Implementation
Services SumTotal Systems, LLC
This memorandum provides an explanation of the Agreement for Workforce Management
System Upgrade Implementation Services SumTotal Systems, LLC.
Purpose of Agreement
This Agreement is for professional services to assist with upgrading the city’s SumTotal time
keeping system. The city has been using the existing version of the system since the last
upgrade which was completed in 2019. To ensure continued vendor support as well as system
stability and security, an upgrade is necessary. The new version will resolve existing bugs and
implement new functionality that will improve processes and increase the productivity of
finance payroll staff.
Budget Impact
The project and budget to upgrade for SumTotal was approved in the FY2022-23 SDTIP and is
funded through the Technology Investment Capital Fund. The cost of the upgrade is $89,077.50
but will not have an impact to the annual maintenance cost that is budget within the IT
Department’s annual operating costs.
Attachment: A - Agreement for Workforce Management System Upgrade Implementation
Services SumTotal Systems, LLC.
cc: Doug Kappel, IT Dept. Applications Manager
Brent Gerber, IT Dept. Senior Management Analyst
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