REQUEST FOR PROPOSAL Integrated Administrative System


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REQUEST FOR PROPOSAL Integrated Administrative System

  1. 1. REQUEST FOR PROPOSAL Integrated Administrative System
  2. 2. 5/12/97 University at Albany Request for Proposal Table of Contents I. INTRODUCTION 4 A. Request for Proposals 4 B. About the University 4 C. Submission of Proposals and Criteria 5 II. RESPONSE INSTRUCTIONS 5 A. Vendor requirements 5 B. University Conditions 7 C. Procurement Timetable 9 D. Evaluative Criteria 9 III. VENDOR SPECIFICATIONS 9 A. General Information 9 B. Training and Support Services 11 C. License Fees and Annual Maintenance 12 D. Consulting and Implementation 13 E. Funding Option 13 IV. GENERAL SYSTEM SPECIFICATIONS 14 A. System Architecture and Design 14 B. Application Development and Design 15 C. Security Features 18 D. Audit Logging 18 E. Reporting Tools 18 F. System Upgrades 19 G. Documentation 20 H. Self Service 20 2
  3. 3. 5/12/97 University at Albany Request for Proposal I. Automated Workflow 21 V. INTEGRATED ADMINISTRATIVE SYSTEM 24 A. Financial Management 24 1. General Ledger - Requirements 25 2. General Ledger - Desirable Functions 26 3. Accounts Receivable - Requirements 29 4. Accounts Receivable - Desirable Functions 30 5. Accounts Payable - Requirements 30 6. Accounts Payable - Desirable Functions 31 7. Purchasing - Requirements 32 8. Purchasing - Desirable Functions 33 9. Property Control - Desirable Functions 34 10. Contract Tracking - Desirable Functions 35 11. Grants and Contract Administration - Desirable Functions 35 B. Human Resources Management 36 1. Personnel Administration - Requirements 36 2. Personnel Administration - Desirable Functions 37 3. Benefits Administration - Requirements 39 4. Benefits Administration - Desirable Functions 39 5. Position Management - Requirements 40 6. Position Management - Desirable Functions 40 7. Payroll - Desirable Functions 40 8. Time and Attendance - Desirable Functions 41 C. Student Administration 42 1. Recruitment and Admissions - Requirements 42 2. Recruitment and Admissions - Desirable Functions 43 3. General Student Information - Requirements 44 4. General Student Information - Desirable Functions 45 5. Course Offerings and Registration - Requirements 46 6. Course Offerings and Registration - Desirable Functions 48 7. Transfer Articulation, Advising, and Degree Audit - Requirements 50 8. Transfer Articulation, Advising and Degree Audit - Desirable Functions 51 9. Financial Aid/Student Accounts/Bursar - Requirements 52 a) General 52 b) Tracking 53 c) Budgeting 54 d) Needs Analysis 54 e) Packaging 55 f) Disbursement 56 g) History and Transcripts 57 h) Funds Management and Regulations Compliance 57 i) Receivables and Invoicing 58 j) Financial Aid Posting 59 k) Refunds 59 l) Cashiering 60 m) Student Accounts General 61 n) Revenue Accounting 61 10. Financial Aid/Student Accounts/Bursar - Desirable Functions 61 3
  4. 4. 5/12/97 University at Albany Request for Proposal I. Introduction A. Request for Proposals The University at Albany, State University of New York, is seeking an enterprise- wide solution to replace our current administrative systems and to improve the delivery of service to our students, faculty, and staff through workflow and web enabled access. Our intent is to move from the typical mainframe environment to the client/server technology. We are seeking an integrated software solution that will encompass Financial Management, including Grants and Contract Administration, Human Resources Management, and Student Administration. The enterprise-wide solution that we are seeking will in time allow us to manage all of our operations: State Appropriations, Research Foundation (Grants and Contracts), University Auxiliary Services (Non-Profit Food Service Provider), and the University at Albany Foundation (Advancement and Development). B. About the University The University at Albany is the senior campus of the SUNY system, the largest public higher education system in the nation. As one of four university centers in that system, Albany offers undergraduate and graduate education in a broad range of academic fields at the bachelor’s, master’s, and doctoral degree levels. Albany, the largest of 15 colleges in the Capital Region, enrolls approximately 17,000 students including over 5,000 graduate students. As a university center, Albany provides service, counsel, and administrative support for the University Research Community. The main campus, designed by noted architect Edward Durell Stone and completed in the mid 1960’s, is located on the west side of the city. In addition to the classrooms and laboratories on the academic podium of the main campus, there are the University Library and the Performing Arts Center. There are four residence quadrangles on the main campus, each housing approximately 1,200 students. The schools of the Rockefeller College of Public Affairs and Policy are located on the older, downtown campus. The downtown campus also includes residential, instructional, clinical, and research facilities. The School of Public Health is located at our third campus in Rensselear. C. 4
  5. 5. 5/12/97 University at Albany Request for Proposal Submission of Proposals and Criteria Vendors wishing to respond should do so according to the instructions provided. Only vendors that meet the minimum requirements of the RFP and show the ability to meet our integrated administrative system needs will be considered. The evaluative criteria will include vendor responses to sections III, IV and V. II. Response Instructions A. Vendor requirements 1. Submission of proposals All questions shall be answered point-by-point in the order in which they appear in the RFP. Each response should be identified by section and line number. To aid in the evaluation process, all proposals are to be submitted in the following sequence: Letter of Transmittal Executive Summary Vendor Proposal Non Disclosure Statement(s) for one complete set of documentation and/or user manuals for each module Vendor Contracts (Licensing, Maintenance Agreement, etc.) 2. All requests for clarification and questions regarding the technical aspects and requirements of this RFP must be made in writing by 5/28/97 to: Ms. Marybeth Salmon Director, University Business Systems AD-B20 The University at Albany State University of New York 1400 Washington Avenue Albany, New York 12222 Telephone: (518) 442-3760 Fax Number: (518) 442-2592 5
  6. 6. 5/12/97 University at Albany Request for Proposal All questions regarding New York State or SUNY purchasing and contract guidelines should be directed to: Mr. Edward Kane Associate Director, Institutional Services Indian Quad - B7 The University at Albany State University of New York 1400 Washington Avenue Albany, New York 12222 Telephone: (518) 442-3234 Fax Number: (518) 442-3235 3. Delivery of Responses An original and six (6) copies of the proposal shall be delivered by 2:30 p.m. on 6/23/97 to the following location: Mr. Edward Kane Associate Director, Institutional Services Indian Quad - B7 The University at Albany State University of New York 1400 Washington Avenue Albany, New York 12222 Proposals received after this date and time will be considered late and will be rejected. All seven (7) proposals must be signed by an authorized representative of the vendor and acknowledged by a Notary Public. Proposals should describe the most favorable terms and shall remain firm for 120 days from the bid opening date. Proposals should be submitted exclusive of all Federal, State, and local taxes. B. 6
  7. 7. 5/12/97 University at Albany Request for Proposal University Conditions 1. The University at Albany will not be liable for any costs incurred by respondents in the preparation and production of a proposal or the costs of any services performed prior to receiving approval of the agreement from New York State. All proposals, and materials submitted in conjunction with the proposals, shall become the property of the University at Albany for use as deemed appropriate, respecting all copyrights. 2. The University at Albany reserves the right to modify the requirements of this RFP after its release. All Vendors will receive written notification of any modifications to the requirements of this RFP. If any modifications make compliance with the original Procurement Timetable impractical, the University at Albany will adjust the timetable accordingly. 3. Vendors who submit a proposal in response to this RFP may be required to give an oral presentation or an on-site demonstration to the University at Albany. This shall provide an opportunity for the Vendor to clarify or elaborate on the proposal, but shall in no way change the original proposal. The University at Albany shall schedule the time and location. In addition, the University may wish to arrange for on-site visits to the Vendor location. 4. The University at Albany reserves the right to only accept proposals that show evidence of a single vendor involvement in the conceptual design and development of an integrated administrative system. 5. By submitting a proposal, the vendor agrees that s/he will not make any claims for or have any right to damages because of any misinterpretation or misunderstanding of the specifications or because of any misinformation or lack of information. 6. The successful vendor will be notified by the Issuing Officer by telephone and confirmed by letter. A contract will then be negotiated with the successful vendor. The contract will, among other provisions, incorporate at least this RFP and the successful vendor’s proposal. 7. The University at Albany reserves the following prerogatives: • To accept or reject any or all proposals in part or entirety. • To correct any arithmetic errors in the proposals. • To waive or modify irregularities in proposals received after notification to the vendor. • To change any dates specified for the review and selection process. • To negotiate a payment schedule as part of the award of the contract. • To request additional information or written clarification of vendor response. 1. The term of the Agreement shall begin on or about 9/1/97. 7
  8. 8. 5/12/97 University at Albany Request for Proposal 2. Vendors may be requested to provide evidence that the award of the Agreement will not result in a conflict of interest with regard either to other work performed by the Vendor or to potential conflict of interest among specific vendor staff. 3. The University at Albany reserves the right to approve or reject all vendor staff assigned to this project. 4. The Agreement, if awarded, shall be governed and construed in accordance with the laws of New York State, which include but are not limited to the items identified in the Standard Contract Clauses State University of New York, which is contained in Exhibit A and A-1. 5. Vendors agree to provide evidence of appropriate insurance protection. Appropriate insurance protection shall be deemed to be the coverage outlined in Contractor’s Compensation and Liability Insurance, as stated below. CONTRACTOR’S COMPENSATION AND LIABILITY INSURANCE Contractor shall, at all times, at its own expense, obtain and carry comprehensive liability insurance, property damage insurance and Workers’ Compensation insurance of adequate amounts, naming the State of New York, and State University of New York as additional insureds. Contractor shall keep such insurance in force for the duration and term of this agreement. The insurance required, shall be obtained from insurance company(ies) licensed to do business in the State of New York and shall have as minimum limits of insurance: TYPE DOLLAR LIMITS Contractors Liability (including protective $1,000,000 combined (bodily injury and property & Contractual Liability damage) single limit-each occurrence $2,000,000 aggregate Automobile Liability (owned and $1,000,000 CSL - each occurrence non-owned vehicles) Workers Compensation and Disability New York Statutory Benefits Owners Protective Liability Policy in the $1,000,000 combined (bodily injury and property name of the State of New York, State damage) single limit-each occurrence $2,000,000 University of New York aggregate CERTIFICATE OF INSURANCE All Certificates of Insurance or Evidence of Insurance must contain a thirty (30) day written notice of any cancellation, change, or termination of coverage. 8
  9. 9. 5/12/97 University at Albany Request for Proposal C. Procurement Timetable Target Dates RFP Release Date 5/12/97 Written Questions Due 5/28/97 Responses to Vendors’ Questions 6/09/97 All Vendor Responses Due By 6/23/97 University’s Recommendation of Vendor 7/07/97 Agreement Signed by University and Vendor 7/31/97 Approval of Agreement by State of New York 9/01/97 D. Evaluative Criteria Only vendors that show evidence of ability to meet the integrated administrative system needs described in this RFP will be considered. Proposals from such vendors will then be evaluated on the basis of the following criteria, taken together: 40% Vendor responses to the General System Specifications in Section IV. 35% Vendor’s ability to provide the Desirable Functions stated in Section V. 10% Vendor’s ability to provide training and support type services. 10% The qualifications and reliability of the vendor. 5% Costs. III. Vendor Specifications A. General Information 1. Provide company name and headquarter location. Provide length of time in the software business and how many employees you currently have. 2. Provide a breakdown of your employees by function, i.e., development, support, sales, administrative, etc. 3. Provide audited financial statements for the past five years. 4. Date of sale of your first client/server application software. 5. Describe the application modules currently available in the client/server environment. 9
  10. 10. 5/12/97 University at Albany Request for Proposal 6. Number of client/server customers you have in total. 7. Number of client/server customers you have in production. 8. Provide the following information for at least five higher education customers with 1,000 employees or more that are in production with your client/server products: • Name of organization. • City and state. • Contact name. • Contact phone number. • Products installed. • Server platform. • RDBMS. • Number of employees. 1. Please provide the following information for at least five higher education customers that have dropped maintenance and/or stopped their implementations of either your legacy or client/server products: • Name of organization. • City and state. • Contact name. • Contact phone number. • Reason for dropping maintenance and/or stopping the project. 1. Formal user groups: • Does a formal user group exist for your products on a national level? • Does the group hold meetings on an annual basis? • How many attendees? • Do formal user groups exist on a regional level? • In which regions do they exist? • To which regional user group would we belong? • Do the user groups (national and regional) operate independently from your company? 1. Is there regular communication with your customers? If so, please describe. B. 10
  11. 11. 5/12/97 University at Albany Request for Proposal Training and Support Services 1. Do you provide user training? Please describe. 2. Do you provide technical training? Please describe. 3. Please provide a current training course catalog showing which classes are offered and where they will be held. 4. How much training is included with the software license? 5. If additional training is available, what is the cost? 6. Is the training based on units? Please define a training unit. 7. What is the average number of attendees in your classes? 8. How much of the typical training class is hands-on? 9. Training locations: • Where are your training centers? • At which training center would we be trained? • Do you provide on-site training? • Do you offer Computer Based Training? 1. Hotline Support: • Do you provide telephone hotline support? Please describe. • What are the hours of operation of the hotline? • Are there costs for using the hotline? • What is the experience level of the hotline staff? • Do you offer Internet access to your hotline support? • Do you monitor the performance of the hotline staff? Please describe. • Do you have a problem escalation procedure? Please describe. • What is the hotline response time? C. 11
  12. 12. 5/12/97 University at Albany Request for Proposal License Fees and Annual Maintenance 1. Please provide a schedule of your license fees by application module. • Clearly indicate which modules are bundled and which are dependent upon other modules, i.e. in order to utilize module A, we will need module B. 1. Please define the basis of the license fees for each module. 2. What exactly does the license fee include? • Documentation? How many sets? What is the cost for additional sets? • Installation services? How many days? What are the costs for additional days? Are travel and expenses included? 1. Please describe any available discounts including discounts for additional University at Albany entities which may purchase modules in the future. 2. Is a separate license needed for a development and testing environment? Please provide details. 3. As part of the license agreement will an individual be dedicated to our account who will be our primary point of contact throughout the various phases: installation, training, implementation and on-going maintenance. If so, please describe the types of services this individual will provide. 4. Please explain in detail the annual maintenance program. • What does the maintenance program include? • What is the cost and the basis for the cost? 1. Describe the process by which an institution becomes a beta site. Are there any financial benefits to the institution for being a beta site? 2. If an agreement between the University at Albany and the vendor is executed and other SUNY institutions subsequently sign with the same vendor would that institution receive a discount on the cost of the software and will the vendor provide financial compensation to the University at Albany? D. 12
  13. 13. 5/12/97 University at Albany Request for Proposal Consulting and Implementation 1. Do you provide consulting services? Please describe. What are the costs associated with your consulting services? 2. We may be interested in implementation services to assist us in the following: • fit analyses. • data mapping. • customizations. • performance tuning. • detailed functional reviews. • upgrades. • other forms of on-going project assistance. Do you provide these type of services? Please describe services and associated costs. 1. How many full-time, or full-time equivalent (FTE) programmers, trained in the language of the vendor’s product, will the University have to hire in order to implement the vendor’s enterprise-wide integrated administrative system? For how long a period of time? 2. How many full-time, or full-time equivalent (FTE) programmers, trained in the language of the vendor’s product, will the University have to hire in order to ensure that the vendor’s integrated administrative system will be maintained? 3. Are there other types of employees such as operators, communication specialists, etc. that the University will have to hire? How many FTE and for what period of time? E. Funding Option 1. The University is interested in creative concepts for financing this project. Vendors are encouraged to submit financing proposals to minimize the cost of this system to the University. The University will consider the feasibility and comparable advantage of all proposals submitted as well as financing through the Certificate of Participation (COPS) program available to all New York State agencies or releasing a separate Request For Proposal for financing. Vendors may consider financing as a proposal option and as such, the University reserves the right to withhold consideration of this item. IV. 13
  14. 14. 5/12/97 University at Albany Request for Proposal General System Specifications Our institution will be expecting general consistency for all of its application functions and improved business services in the new integrated system. Please respond to each of the questions below. A. System Architecture and Design 1. Is your system Year 2000 Compliant? • Please respond based on the language provided below by our State University Counsel: All responses in which computer technology is involved should indicate whether each item of computer hardware, software, data repositories and firmware (herein referred to as “Product”) is Year 2000 Compliant, as defined in 48 CFR 39.002 and 48 CFR 39.106 and any efforts currently underway to provide this capability. The approach taken to make project year 2000 compliant must be defined, including the format in which the Products exchange date/time data with any other product. “Year 2000 Compliant” is hereby defined as: “Information technology that accurately processes date/time data (including, but not limited to, calculating, comparing, and sequencing) from, into, and between the twentieth and twenty-first centuries, and the years 1999 and 2000 and leap year calculations. Furthermore, Year 2000 compliant information technology, when used in combination with other information technology, shall accurately process date/time data if the other technology properly exchanges date/time data with it.” (see 48 CFR 39.002 and 48 CFR 39.106) 1. Was your system designed for a client/server architecture? If so, which tier? 2. We are seeking an open systems architecture, compatible with a variety of relational databases, and the ability to run on multiple platforms. Please describe the hardware platforms, operating systems and database management systems that the integrated administrative system will run on. Please indicate the version numbers. 3. Is there any hardware which is necessary/strongly recommended to make the software operate at its greatest level of proficiency? 4. Does your system provide the ability to move from one technical platform and/or data base management system without complex software or data conversions? 5. Do you consider your system to be ODBC compliant? 14
  15. 15. 5/12/97 University at Albany Request for Proposal 6. Does your system use a true (SQL) relational model? If so, please include entity relationship diagrams and other appropriate database design documentation with your response. 7. Does your system use flat files (non-relational databases) in any way? If it does, how are they used? 8. Is your database normalized? If so, to what form is it normalized? 9. Does the system operate using an industry standard graphical user interface such as Microsoft Windows? Which version(s)? 10. Do all of the on-line functions have the same “look and feel”? 11. What client machines does your system operate on? What size client machine is required? Does your system support the use of a Network Computer? 12. Does the system fully integrate with other desktop tools using Dynamic Data Exchange (DDE) or Object Linking and Embedding (OLE), such as EXCEL, WORD, or LOTUS ? 13. Does the system support imaging of documents (e.g. resumes, transcripts, photos)? Please explain. 14. Does the system interface with a MAPI compliant mail package? 15. Does your system provide EDI and EFT capability? 16. Does the system provide the capability to view and update multiple on-line components of the enterprise-wide system, i.e. student, human resources, financial aid information? Are there separate logons to these components? 17. Does your software provide the flexibility to interface with other software in the event the institution has a need for shadow systems and/or a crosswalk to other agency systems? B. Application Development and Design 1. Was your system conceptually designed to provide an integrated enterprise-wide software solution? 2. What tools were used and are being used to develop your system? Please describe them. 15
  16. 16. 5/12/97 University at Albany Request for Proposal 3. Do the tools allow non-programmers to modify menus? Please explain. 4. Do the tools allow non-programmers to modify panels? Please explain. 5. Do the tools allow non-programmers to add entirely new data elements to the database (as opposed to using pre-defined data elements set up by the vendor)? Please explain. 6. Do the tools allow non-programmers to add, modify, and/or delete edits to data elements quickly and easily? Please explain. 7. Do you utilize an active data dictionary? Please describe how your data dictionary functions. 8. Is your system designed around a modular approach, that is, can one product be acquired initially, then another added later? 9. Are your modules fully integrated? 10. Are there any restrictions on the number of transactions, accounts, students, employees, courses, amount of history, etc. in your system? 11. Does your system use effective-dating of information throughout the system? Is there an option to turn effective-dating on or off? Please describe the features of effective- dating. 12. Can users enter future-dated information and have the system automatically take the appropriate action on the specified date? 13. Can users access data which accurately shows what our institution looked like in previous years? 14. Can current, future, and historical data be viewed and updated on-line from the same panels? 15. Is history unlimited for all data? 16. Is there a facility to archive data? If yes, please describe the process and how the data can be reactivated? 17. Can all data be updated real-time? 18. Can a user access information using any partial search criteria? For example, a partial name, department number, catalog number, etc. Please describe. 16
  17. 17. 5/12/97 University at Albany Request for Proposal 19. Please describe all the options that your system allows for data transactions to be entered, either on-line or as batch updates. 20. Do you provide batch totaling? 21. Describe the editing capabilities of the system that are applied on-line at the point of information entry. • Do you provide validation edits for data input (field range controls, numeric checks, date ranges, etc.)? • Can customized edits, including relational edits, be implemented? 1. Describe the features of the system that make it easy to use by staff and line managers (little use of codes, On-line Help, graphic capability, etc.). • Name or number list searches? • Tools that simplify reorganizations and the report maintenance associated with reorganizations? • User customization of error or warning messages on-line? • User-defined error messages? • Is Help on-line? Please describe its capabilities. • Does your on-line Help use standard Windows conventions? • Is on-line Help context sensitive? • Are your Help screens user definable? Please describe. • Is field-level Help provided on-line? • Is full-page Help available on-line? 1. Does the system offer an interface to a voice response system? Can it interface to the Periphonics product? Please provide details. 2. Is there a facility to migrate data from our existing systems through an automated data conversion process? 3. Does your system have the ability to verify and authenticate accuracy of mailing and distribution labels for purposes of conforming with requirements necessary to qualify for postal discounts and automated mail coding (AKA address scrubbing)? 4. Can specific business processes be implemented as decentralized and/or centralized operations? 5. Describe how your software streamlines data collection procedures (entering data once, at its source) and provides support for decentralized data entry. 6. Does your system provide version control? 7. Does your system provide the capability to generate upper/lower case names and addresses regardless of how the data is stored in the database? How is this done? 17
  18. 18. 5/12/97 University at Albany Request for Proposal C. Security Features 1. Do you provide multiple levels of security, i.e. at the function, operator, college, campus level? Can security be set at the field level for highly sensitive data? Please describe your security features in detail. 2. Do you provide multiple-level password protection, e.g., allowing users to only view or change data? Please describe. 3. Does your security control access to any and all report tools? 4. Can multiple users access and/or update records at the same time? If so, how do you prevent record locking? 5. How does the system protect data integrity if multiple users are changing the same record simultaneously? D. Audit Logging 1. Do you maintain a detailed activity/error message tracking log? Please describe. 2. Can audit logging be controlled at the data element level? Please describe. E. Reporting Tools 1. What reporting tools are provided with your system? If there are third party tools, what are they and do they come bundled with your system? 2. Are the reporting tools powerful enough for unsophisticated users to quickly and easily develop reports? Please describe. 3. Does your standard security prevent unauthorized access to your database(s) from the report tools? Please describe. 4. Do the reporting tools access information simultaneously from all of the database tables? 5. Do the reporting tools access information directly from your database(s), or is data first extracted from the DBMS database into a separate file for reporting purposes? Does your system have some type of “data warehousing” function? Please describe. 18
  19. 19. 5/12/97 University at Albany Request for Proposal 6. Can users quickly and easily develop comparative reports by selecting data from a current year or other period and from a past year or other period? 7. Can a user specify whether a report (ad hoc or standard) should be executed on-line or in batch mode? 8. Do your queries show run selection criteria on the reports (periods, ranges, etc.)? 9. Can you specify that queries/reports be run on a deferred basis? 10. What standard reports are provided with your system? 11. Please provide samples of your standard reports. 12. Can reports be viewed on-line? 13. Can routine processes be scheduled to be run automatically? Please describe. 14. Are ASCII data file transfers possible via an import/export capability? 15. Do you provide graphics capabilities such as line graphs, bar graphs, charts, etc.? 16. Can your system seamlessly transfer information to and from packages such as Lotus, Word, Excel, and Access? F. System Upgrades 1. How are upgrades/enhancements applied? Does your system include an automated function to apply upgrades/enhancements? 2. What happens to customizations when a new release is applied? 3. Is the system updated based on government mandates, e.g. federal Financial Aid requirements, as well as user requests? 4. What are the upcoming enhancements planned for the next 12 months? G. 19
  20. 20. 5/12/97 University at Albany Request for Proposal Documentation 1. Is user documentation provided? Please describe. 2. Is your user documentation on-line? Please describe. 3. Is system documentation provided? Please describe. 4. Is documentation provided in both printed and machine readable form? H. Self Service 1. Describe how you have incorporated self service into your system. 2. Describe what you have incorporated to support employees, students, faculty, and staff self service strategies, i.e. World Wide Web, IVR, Kiosk, etc. 3. What items are recorded in the audit trail of data entered via self service? 4. Describe how your self service will benefit our employees, students, faculty, and administrators without sacrificing security. Please include WWW, IVR and Kiosk payment processing in your description. 5. What hardware/software resources are required for a client workstation to run self service? 6. Please acknowledge which of the following items your system supports and any additional hardware/software tools required: • Scanning a typed student application or a resume. • Fax-in of a student application or a resume. • Receipt of a resume via the institutional E-mail product. • Receipt of an application via the WWW and updating applicant data. • Receipt of prospect request via the WWW updating the prospect file. • A kiosk that allows a prospective employee to key in their application on-line. 1. Describe how our institution can use the system to rollout self service and provide the same level of functionality to users with PC workstations. 2. Describe the tasks required to create a self service module for our employees, students, faculty and administrators. 3. Describe how the system allows this functionality to be accessible from the desktop or other device, and how the system maintains data integrity. 20
  21. 21. 5/12/97 University at Albany Request for Proposal 4. Describe which self service components of the system clients have implemented. I. Automated Workflow 1. Describe the approach you have taken to incorporate workflow automation. 2. How many clients are currently using workflow automation technology, and how is it being used? 3. Does the system use proprietary or commercially available workflow automation components? 4. Does your system provide imbedded workflow, i.e. integrated workflow with a full workflow toolset? • What type of on-line form functionality is provided? • Can report generation be exception-driven? What are the capabilities for this? • What tools exist for automatically notifying a manager responsible for a department or project that their budget has been exceeded? • Can reports and statements be distributed electronically to the individual responsible for the area being reported on? How is this done? • Does the application support electronic notification to local users of paid items and unpaid items that need approval? • Can the system generate electronic notifications of hire to departments and letters of offer to candidates? • Can the system support the new employee and/or new student orientation process, automatically matching and scheduling new employees/students to orientation sessions and tracking orientation attendance? • Can positions be routed for editing and approval? Does the system support electronic notification to unlimited parties? • Does the system allow local authorized users to post staff positions electronically, while automatically generating posting number and notifying appropriate parties of status and actions? How does it verify approval/availability status first? • How does the system provide for automated personnel action forms and forms routing capability that allows authorized users centrally and in the local units to update personnel records electronically? • How does the system support the reengineering of personnel or student data changes by allowing employees and students to update their own records for appropriate data items (e.g., address)? • Can student status changes be captured on-line and routed for information purposes and approval? • Can time and attendance information be routed for approval? 21
  22. 22. 5/12/97 University at Albany Request for Proposal • Does the system process employee pay adjustments on-line, including retroactive adjustments, redistribution of charges, check cancellations, etc., allowing for routing and authorization under certain circumstances? • Does your system have a function which automatically establishes a tickler/diary for such items as proposed return from leave of absence, performance review, notification of academic probation, etc.? Please describe how this is accomplished. • Can changes to certain budget line items trigger messages to the user? Can these changes be suspended until the budget change is routed and approved? 1. Does the application provide flexible and powerful workflow and routing capability to support transaction review and authorization at both local and central levels. Can workflow rules be tailored to local needs and business requirements? Explain. • What triggers the automatic generation of messages? • How many items can be evaluated when generating a message? • Can the items come from different databases? • Can the generated messages be sent to multiple recipients? • Can some of the messages be FYI? • Can some of the messages require action? • Can the messages contain data from multiple databases? • Can priority be set on automatic generation of messages? • How will the user find the current status of a transaction? • Can the user display the history of the transaction? • Does the system store “receipt’ information for generated messages? 1. Do you provide stable and fully documented API access into the modules both for data access and for business event notification? Are the APIs open and comprehensive? Are they callable from C or C++ languages? 2. Are full workflow/notification capabilities for routing and business authorizations provided? Are these based on business rules that can be customized for different local organizational policies? • Can default business rules, field values, routing information, etc., be applied for a given user and can these be associated with group profiles for local organizational units? 1. Does the system provide or would it be compatible with a Web technology desktop? If you provide one, please describe any security and performance information available. 2. What routing control mechanisms are available and how are they configured? • Do you provide defaults from user or group profiles? • How does one dynamically manage or alter routing? • Are status and notification mechanisms available? 22
  23. 23. 5/12/97 University at Albany Request for Proposal • How does the system support the activity of having on-line approval of a transaction, for either a "release" or “override” by multiple users? 1. Can processes and data definitions be redesigned with workflow tools to automatically generate a significant portion of the program logic from the business models? 2. Please describe how your system enables the user to not only design and message processes, but also to use workflow automation to result in system-generated, as compared to manual-generated transactions to the database. V. 23
  24. 24. 5/12/97 University at Albany Request for Proposal Integrated Administrative System A. Financial Management The integrated administrative system will need the following functions related to financial management for the public sector. The following terms have the meaning specified unless the context clearly requires otherwise. Fund Represents a type of resource, the highest level of classification (e.g. State, Dormitory, Research Foundation). Cost Center Classification or aggregation of related activity based on an overall purpose (e.g. Instruction, Academic Related, Student Services, Institutional Support Services, Auxiliary Enterprises). Function Classification or aggregation by specific type of activity and common purpose (e.g. Maintenance & Operations, General Administration, General Institutional Services are all functions under the cost center Institutional Support Services). Account Budgetary unit representing discrete cost centers used to control revenue and/or allocation and expenditures. Object (of expenditure) The lowest level of classification. Represents type of expense category (e.g. salaries, supplies, equipment). Division There are six groupings of units we consider divisions. These are President, Academic Affairs, Finance & Business, Research & Graduate Studies, Student Affairs and University Advancement. Organizational Area A subset of a Division (e.g. in the Division of Academic Affairs are the following organizational areas: Academic Support Units, Information Systems & Technology, College of Arts & Sciences, School of Business, School of Education, School of Public Health, and Rockefeller College). Department A specific unit with an organizational area (Academic Departments: Anthropology, Economics, Physics; Non- Academic Departments: Human Resources, Purchasing, Accounting). 24
  25. 25. 5/12/97 University at Albany Request for Proposal Journal Entry Mechanism used to make changes to an accounts’ allocation distribution, or to move expenditures or revenues within or among accounts. The journal entry must consist of a debit and a credit and be self balancing. 1. General Ledger - Requirements a) Full integration with Accounts Payable, Accounts Receivable, and Purchasing. • Please provide a brief summary of the General Ledger’s principal features and how it is integrated with the functions stated above. • Please state what other modules are integrated with the General Ledger and briefly describe how the functions are integrated. b) Perform real-time updating of financial information. Does the system automatically update financial information for current and prior period for changes in the chart of accounts? c) General ledger accounting code structure. Please describe, including the maximum number of characters. d) Support numeric codes for chart of accounts components. • Is sequential numbering of the chart of accounts required? e) Allow on-line update of master file data with a simple method for: • Adding new accounts or cost centers. • Combining accounts or cost centers. • Deleting old accounts or cost centers f) Maintain audit trails for chart of accounts changes. Please describe. g) Ability for the chart of accounts to be functional on-line. h) Provide the ability to re-combine departments/cost centers in different ways. i) Ability to support multiple views of information separate from the standard accounting structure. j) Provide drill-down capabilities. Please describe to what level of detail. k) Ability to include many levels in a roll-up structure. How many levels does your system provide? How is the roll-up structure modified? l) Ability to permit account summarization and roll-up across dissimilar charts of accounts. Please describe. m) Support a twelve-period or optional period fiscal year. Please describe the options. n) Provide unlimited column statements for period-to-period figures and variances. o) Provide a complete audit trail report to allow users to trace the origin of all transactions included in an account balance to its source. p) Provide sub-ledgers, for items such as employee advances. q) Provide the capability for different types of journal entries. Please describe how your system can accommodate each of the following: • Automatic recurring journals. • Automatic reversal. • Type indicator, i.e. regular, allocation. • Allocation distribution. 25
  26. 26. 5/12/97 University at Albany Request for Proposal r) Ability to maintain multiple open fiscal periods. Please describe how transactions are posted to the proper fiscal period. s) Verification on the general ledger balance to the accounts payable/accounts receivable modules. t) Capability for automatic and standard journal entry posting procedures. Please describe. u) Capability to provide efficient closing processes. Please describe. v) Support various allocation methods. Please describe. w) Flexibility in the administration of allocations. Please describe. x) Ability to support entry and retention of multiple budgets per year (e.g., original and at least two revised budgets). y) Provide for the automatic rollover of the budget to the new year from the prior year’s budget amounts. z) Ability to permit budget revisions throughout the fiscal year by journal entry and/or input. aa) Ability to produce standard reports. Please itemize. bb) Ability to customize the following reports: • Chart of accounts. • Department/Cost Centers. • Financial statements. • Budget summaries. cc) Ability to use both financial and statistical data in report calculations. dd) Ability to generate variance reports, such as actual vs. budget, current year vs. prior year. ee) Ability for the same roll-up structures to be used for reporting, inquiries, and allocations. ff) Ability to produce detail and summary reports. gg) Allow for ad hoc financial reporting (i.e., any time during the month), including user defined reporting periods. Please describe the flexibility of ad hoc reporting. 2. General Ledger - Desirable Functions a) The University has identified a number of features for consideration in the new system. Please describe how your system would accommodate each of the following. • Maintain year-to-date statistical data. • Different fiscal periods by entity. • Different fiscal periods by account. • Classification of accounts into funds for internal management in groups which include: • Unrestricted. • Unrestricted-designated. • Restricted. • Endowment and similar. 26
  27. 27. 5/12/97 University at Albany Request for Proposal • Loan Funds. • Agency Funds. • Plant Funds. • Construction Funds. Are the funds self-balancing? a) The University is looking for improvements in reporting from the new system. Please respond to each of the following. • Can financial reports be customized with columns for the following: • Current period? • Same period previous year? • YTD for current period ? • YTD same period previous year? • Multiple budgets? • Forecast? • Variance in dollars by column? • Variance in percent by column? • Formulas? • What are the standard reporting hierarchies for selected reports? Can reporting hierarchies be user-defined? • Can your system generate the A-133 Report and the 990 Tax Return? • Can users define a schedule for automatic report production? Can these schedules include a specification for the location to which a particular report should be routed (i.e. the employee responsible for the entity)? • Can reports and statements be distributed electronically to the individual responsible for the area being reported on? How is this done? • Can report generation be exception-driven? What are the capabilities for this? • Are there standard modeling tools provided with the system? Please describe. a) We are seeking ways to improve and streamline many of our processes. Please respond to each of the following. • How are budgets loaded? Describe each option. • Is there the capability to automatically notify a manager that their budget has been exceeded? • Can authorized users create or modify budget data? Are edits invoked to assure budget control? Does the source production data get changed? • Can budget amounts be projected based on historical information (e.g., the system applies a factor to prior year actual or budgeted figures)? • Can budget amounts be computed with a formula? • Can budget assumptions be maintained in a comments field? Are the comments easily accessible? • Can annualized budget amounts be automatically spread over twelve months, including: 27
  28. 28. 5/12/97 University at Albany Request for Proposal • Even distribution by month? • Distribution by user-specified percentages (totaling to 100%)? • Distribution by number of operating days in month, or other fiscal periods, i.e. pay period, by quarter? • Does your system have override capabilities? Please describe each. • Can accounts be put in a deficit? • Does the system provide on-line inquiry capability to view the trial balance? • Does the system have foreign currency features? Please describe those features. • What inquiry screens are provided with the package, and what effort is involved in modifying them? • Is drill-down possible on an inquiry screen? Is drill-down possible on summary accounts viewed through an inquiry screen? • Does the system allow on-line account inquiry at summary or detail levels and: • Retrieve selected or all subaccounts for an account number? • Retrieve selected accounts over a user-specified time period? • Do account information inquiries display the following: • Account balance information? • Current period transactions in descending date sequence? • Year-to-date transactions in descending date sequence? • Please provide samples of the inquiry screens. a) Please respond to each of the general questions below. • Was the system designed for generally accepted accounting principles including compliance with FASB standards and other authoritative and adaptable to changes in authoritative and regulatory pronouncements? • Can the General Ledger utilize crosswalks from other software packages so that information doesn’t have to be re-entered? • Does the system have full integration capability with Payroll, Property Control, Student Accounts, Human Resources and Grants and Contact Administration module? Briefly describe how the functions are integrated. • Can the system maintain a history of changes for each account by user ID and transaction date? • Does the system have the ability to set up certain accounts as alpha numeric. 3. 28
  29. 29. 5/12/97 University at Albany Request for Proposal Accounts Receivable - Requirements a) Full integration with the General Ledger and Accounts Payable modules. b) Allow retrieval of account information by: • Name. • Organization. • Invoice number. • Any other fields? c) Ability to display details of account activity, i.e. cash receipts, credit memos, credit history, debit memos, invoices, and orders, including the dates. d) Provide entry of batch control item counts and dollar totals. e) Ability to handle EDI payment transactions. f) Ability to accept pre-payments. g) Permit payments received to be applied “to an undistributed account” if the invoice number is not known at the time of cash application. h) Ability to automatically adjust (when applying cash) any open balances that are less than a user-specified amount. i) Provide for entry of user-definable adjustment codes. j) Ability to handle multiple lock boxes from multiple banks. k) Permit the application of a payment to multiple accounts. l) Ability to automatically apply the check amount to the account on a balance-forward basis to the oldest open items when invoice number is not specified. m) Ability to generate refunds in check or electronic format. n) Provide an aging function. Please describe. o) Ability for partial payment of an invoice, leaving the invoice open with a remaining balance. p) Ability to print statements ad hoc and in batch. q) Permit an account to be flagged for no future business. r) Ability to generate a daily, weekly, and monthly detailed cash deposit report. s) Ability to provide an aged accounts receivable report. Please define the contents of the report. t) Ability to print a bank reconciliation report for each bank account, sorted by bank and deposit date. u) Ability to produce an accounts receivable listing based on ad hoc parameters. Please describe. v) Ability to print a monthly activity summary. Please define the contents of the summary. w) Ability to reproduce statements. x) Ability to generate dunning letters. 29
  30. 30. 5/12/97 University at Albany Request for Proposal 4. Accounts Receivable - Desirable Functions a) The University is seeking additional features in the new system. Please respond to the following. 1) Please describe your billing system. How integrated is it with your AR system? Is the system capable of generating differing style bills, drawing from different data sources? Does your system provide automatic billing cycles? 2) Can the system utilize crosswalks from other software packages so that information doesn’t have to be re-entered? 3) Are data fields provided for recording anticipated payment date and free format notes? 4) How does the system handle returned checks? Please describe. 5) Can ad hoc reports be generated? Please describe by providing examples of ad hoc reports that can be generated. 6) How are credit balances maintained? 5. Accounts Payable - Requirements a) Full Accounts Payable module integration with the General Ledger, Accounts Receivable, and Purchasing modules. b) Ability to encumber funds in future accounting periods. c) Provide vendor inquiry. Please describe. d) Maintain voucher status information which includes: • Open. • Authorized. • Paid. e) Provide batch control and automatic batch balancing during voucher entry. f) Allow vouchers to be adjusted and edited. g) Ability to automatically assign voucher numbers. h) Retain data for 12 months. Please indicate the maximum. i) Ability for manually prepared checks to be issued on line. j) Ability for on-line voucher inquiry for both open (unpaid) and paid items. k) Ability to hold individual payments until the next check run and/or until released by the user. (Held by invoice number and/or vendor?) l) Allow partial payment of invoices. m) Ability to assign check numbers automatically. n) Ability to print check number on checks. o) Maintain check numbers by bank account. p) Track all voided checks by bank account. q) Allow for reprinting of checks. r) Ability for multiple invoices for a single vendor to be paid on one check with supporting detail on check stub or remittance advice. 30
  31. 31. 5/12/97 University at Albany Request for Proposal s) Provide check reconciliation capabilities. Please describe. t) Ability to void and stop payment of checks. Expenses should be reversed appropriately. u) Capability to system generate IRS 1099 forms and reports. v) Ability to handle EDI payment transactions. w) Does the system provide the following standard reports in user-specified formats: • Accounts payable register? • Voucher listing? • Check register showing all checks? • Automatic checks and voids? • Voucher distribution by account number? 6. Accounts Payable - Desirable Functions a) The University is interested in the following additional features. Please describe how your system could accommodate these features. 1) Allow users to voucher invoices at remote locations with release of payment in the Accounts Payable Office. 2) Please describe the relevant, standard accounts payable inquiry screens provided in your system. Are customized queries supported by your software? 3) Does the system impose any limits on the number of concurrent users? 4) Are there any limitations to the vendor master file size of data fields? 5) Does your system provide the following vendor-related data fields on your on- line screens? • Contact name. • Phone number. • Facsimile number. • Vendor payment terms code. • Vendor classification code (are these user-definable?). 6) Does the system provide vendor inquiry request based upon: • Vendor number? • Vendor name? • Partial vendor name? • Vendor classification? • Preferred vendor list? • Commodity? 7) Does the system provide on-line inquiry to the voucher file by: • Vendor Name? • Account? • Fund? • Transaction Date, and/or Category? 8) Does the user have the option to override the accounting period at voucher entry? 31
  32. 32. 5/12/97 University at Albany Request for Proposal 9) Can the system support: • Expense account distribution at time of data entry? • Account distribution by pre-defined default entry? • Ensure full expense amount is distributed? 10) Can voucher due date be calculated based upon default or manual entry? 11) Can the due date be adjusted during voucher entry? 12) Does the system permit a selection of invoices for payment? Please describe. 13) Does the system provide for automatic payment scheduling. 14) Can vendor debit and credit memos be applied to the vendor invoices? 15) Can the user customize checks? 16) Does the system support multiple checking accounts? 17) Does it permit a user to enter G/L account and amount for discounts taken, taxes and other? 18) Does the system have the capability to re-code payments to include in 1099 reporting? 19) Does the system provide the following standard reports in user-specified formats: • Open P.O.’s and requisitions? • Cumulative detail of expenses for the fiscal year by account? 20) Please itemize the standard reports delivered with your system. What facilities are available to create customized reports? 21) Does the system provide full integration capability with a Payroll, Property Control, and/or Grants and Contract Administration module? Please describe how these modules are integrated with the Accounts Payable module. 22) Can the system utilize crosswalks from other software packages so that information doesn’t have to be re-entered? 23) Does the system provide a batch review and approval/release prior to disbursement. 24) Does the system have the ability to enter the following invoice voucher data? • Invoice date. • Quantity. • Tax (including sales). • Freight. 7. Purchasing - Requirements a) Ability to create a purchase order. b) Maintain historical record of purchase orders and changes. c) Track purchase orders by date, vendor, account/grant, buyer, contract number, character object, commodity code and category code. d) System and manual assignment of purchase order number. e) Ability to edit and insert information for item descriptions without having to erase existing information. 32
  33. 33. 5/12/97 University at Albany Request for Proposal f) Full Purchasing module integration with the General Ledger and Accounts Payable modules. g) Ability to handle all purchasing transactions on-line. h) Ability to automatically calculate total cost on purchase orders based on unit price and quantity ordered. i) Capability to reject duplicate orders. What are the edits that prevent this duplication? 8. Purchasing - Desirable Functions a) Listed below are features the University is seeking in a new system. Please describe how your system would accommodate each of the following. 1) Automatic Property Control System interface with Purchasing, Accounts Payable and Receiving modules. 2) Ability to sort data on batch reports. 3) Integrated Requisitioning/Purchase Order/Receiving/Accounts Payable/Property Control modules. 4) Create and track purchase order changes. 5) Suspend, cancel or close purchase orders. 6) Provide a note section (in free form) on purchase order and purchase requisitions. 7) Ability to track purchase requisitions by account or requisition number. 8) Ability to control document access and levels of inquiry. 9) Routing capabilities of purchase requisitions to multiple locations. 10) Inquiry of account balances and transactions. 11) Inquiry of account transactions by account number, requisition number and purchase order number. 12) On-line creation of a requisition which automatically encumbers the estimated amount of the order. 13) Encumber funds from same purchase requisition and purchase order to multiple accounts. 14) 1099 field on purchase order. 15) Provide for manual entry of total cost on purchase order without unit price or quantity specified. 16) Capability for on-line access to details of outstanding orders and a status check of all open and closed orders. 17) On line vendor file that provides, at a minimum: commodity information, name, address, contact person, federal identification number, business category designation, phone and fax number, a free form memo field, etc. 18) Vendor inquiry by name, vendor number, zip code and commodity. 19) Access supplier price list/catalogs with description on CD ROM and computer disk. 9. 33
  34. 34. 5/12/97 University at Albany Request for Proposal Property Control - Desirable Functions a) The University maintains a computerized Property Control System (PCS) which contains information such as description, asset tag number, acquisition date, cost, etc. for University equipment purchased through several sources of funding. Please describe any Property Control program you would be able to provide including the following functions/features: 1) Can the system generate group record transactions? Please describe how your system would handle these transactions as well as define how these transactions could be defined (i.e. account number, location, user-defined, etc.). 2) How does the system track physical characteristics of an asset (e.g. location, serial number, asset number, etc.)? Please explain. 3) Does the system allow individual components of assets to be separately identified? Please explain. 4) What does the system retain (i.e. date of purchase, location, acquisition cost, etc.)? Please describe. 5) Does the system automatically calculate cost replacement? Please describe. 6) Can the system produce a schedule for equipment replacement? Please describe. 7) Can the system track and report on assets that are insured, on loan, located off campus, stolen, and/or unaccountable? Please explain. 8) Can the system track and report on assets that are surplus? Please describe. 9) Can an asset be split over multiple funding sources? Please describe. 10) Can asset(s) be flagged (single or group) for surplus based on operator-defined criteria? Please explain. 11) Can asset(s) be deleted if entered incorrectly? Can asset(s) be reentered if deleted in error? Please explain. 12) Describe the audit trail the system provides for each transaction. 13) Does the system automatically transfer data from the Purchase Order System without re-keying data? Please describe. 14) Can a user create an asset with detailed information directly from Accounts Payable to an Property Control System without re-keying data? Please explain. 15) Describe in detail the report function of the Property Control System, including but not limited to type(s) of report (e.g. summary, physical inventory, etc.), frequency (e.g. annual, bi-weekly, monthly, etc.), criteria needed (e.g. user-defined, restricted structure, etc.) and time (e.g. real-time, historical, etc.). 16) Can reports be generated using a user-defined date? Please explain. 17) Does the system have a physical inventory module that includes bar code scanning and/or printing technology? Please explain. 18) Does the system allow uploading/downloading of data to other electronic reporting structures? Please describe. 34
  35. 35. 5/12/97 University at Albany Request for Proposal 19) Does the system allow the interface of the bar code technology to any vendor equipment? Please explain. 20) Does the system support a reconciliation of physical inventory against data in the system automatically generating exception reports? Please explain. 21) Does the system allow for manual entry of bar code asset tag numbers? Please explain. 22) Does the system support a series of user-defined ownership codes? Please explain. 10. Contract Tracking - Desirable Functions a) The University maintains a computerized system for recording and tracking all negotiable instruments (i.e. contacts, leases, agreements, etc.) which contains information such as vendor, contract dates, account/grant number, campus contact, dollar value, etc. from several University funding sources. Please describe any Contract Tracking System you would be able to provide including the following functions/features: 1) Provide reports based on all elements in the system including type of agreement, number of agreements, department, vendor, ending date, etc. Please describe your system and include the elements available in the entry and query process. 2) Automatic generation of renewal notices forty-five days in advance of expiration. Please describe. 3) Automatic notification on multi-year contracts that need encumbrance for new fiscal year. Please describe. 4) Does your system interface with a Purchasing System? Please explain. 11. Grants and Contract Administration - Desirable Functions a) The Office of Research is designated by the University at Albany and the Research Foundation of SUNY to submit proposals and accept awards for sponsored research projects on behalf of the University faculty and staff. The Office performs an array of “pre” and “post” award duties. The administrative staff of the Office negotiate grant and contract terms and conditions, executes agreements, and issues subcontracts and miscellaneous agreements in support of sponsored projects. In its support of sponsored projects, the Office assures that all projects adhere to campus and governmental regulations and policies. Once an award is received, the Office establishes accounts, issues project abstracts (summaries of fiscal and reporting data), tracks terminating accounts for payroll needs, subcontracts, and processes amendments as required. Staff review accounts, determine cost sharing requirements, process contracts, and identify reporting requirements for projects. The Office establishes and maintains internal awards (e.g. incentive, matching accounts) and generates statistical reports on campus sponsored project activity. Please describe any 35
  36. 36. 5/12/97 University at Albany Request for Proposal Grants and Contract Administration System you would be able to provide including the following functions/features. 1) Ability to track: • Payroll terminations. • Subawards. • Advance Supplements. • Renewals. • Sponsor terms and conditions. • Cost sharing requirements. • Cash in excess of budget. • Deficits. 2) Ability to electronically submit applications, submit reports, receive award notifications, and process remittances. 3) Ability to handle multiple sponsors. 4) Ability to track physical space assigned to grant activities. 5) Ability to produce templates of business rules by various levels (sponsor and grant). 6) Ability to calculate cost sharing and differentiate between matching and in-kind contributions. 7) Full integration capability with the General Ledger, Accounts Payable, Accounts Receivable, Purchasing and Human Resources modules. B. Human Resources Management The integrated administrative system will need the following functions related to human resources management. 1. Personnel Administration - Requirements a) Ability to track the following employee information: • Personal data (name, address, etc.). • Education, training, certifications, etc. • Job classifications. • Salary history. • Military status. • Citizenship and alien data (including Visa type, country, etc.). b) Ability to have history as well as future-dated events displayed on the same screen. c) Ability to apply global updates such as: • Organizational changes such as division, location, department, and supervisor. • Title and salary changes. • Cost-of-living increases. d) Provide attendance tracking for an employee as follows: 36
  37. 37. 5/12/97 University at Albany Request for Proposal • Earned/used/unused vacation. • Earned/used/unused sick time. • Earned/used/unused personal time. • Leave of absence. • Compensatory time. • Family sick leave (FMLA). • Workers’ Compensation. e) Maintain and track salary survey data for analysis. f) Track salary ranges, grades, and steps by effective dates. g) Ability to maintain and track conditions of termination/separation. h) Track employee turnover rates. i) Produce compliant-ready EEO reports. j) Track affirmative action plan requirements in compliance with federal and state laws. k) Track ADA discrimination charges and grievance complaints. l) Ability to track new hire data by disabilities to comply with ADA. m) Provide the capability to track disciplinary actions by: • Maintaining history of the actions. • Monitoring outcome of the actions. • Maintaining discrimination issues. • Tracking sexual harassment or discrimination cases. • Tracking the consistency of actions and/or reactions. n) Provide an interface to a word processing package to automatically produce customizable recruitment/appointment letters. 2. Personnel Administration - Desirable Functions a) The University is seeking ways to provide information through self-service. Please describe how your system can accommodate the following and any additional self- service features in your system. • Allow employees access to select records and/or data fields. • Grant employees access to records from a variety of points that include kiosks, telephone, and home computers through modems while maintaining security integrity. a) The University is looking for needed system improvements related to our student employees. Please describe how your system could accommodate each of the following. • Ability to tie a student record to their employment record to automatically verify exemption from Social Security taxes if appropriate. • Ability to administer graduate assistantships, college assistants, and college work study students with full integration to the student enrollment data and to the financial aid award data. 37
  38. 38. 5/12/97 University at Albany Request for Proposal a) The University would like the following features in the new system. Please acknowledge which of the following can be accommodated by your system. 1) Automatic generation of “request to fill” forms when position becomes vacant. 2) Ability to maintain and track an unlimited number of applicants. 3) Ability to track applicants who are also employees. 4) Ability to track employees’ prior work experience and skills inventory to allow for internal searches. 5) Ability to search for applicants by selective criteria such as experience, skills and/or education. 6) Ability to advertise over the web. 7) Ability to receive applications via the web. 8) Automatically produce job vacancy announcements. 9) Ability to track applicants by: • Personal data • Work history • Education, training, etc. • Certifications, licenses, and skills. • Military service. • EEO/Affirmative Action data. 10) Ability to track complete recruitment expenses by: • Employee. • Position. 11) Maintain applicant resume history for multiple months. Indicate maximum number of months the system accommodates. 12) Automated routing of resumes to the appropriate people/department as user- defined. 13) Ability to schedule interviews and track interview results. 14) Automatic transfer of applicant's data to the employee database upon hire. 15) Ability to track in-house training courses including descriptions, schedules, and course evaluations. 16) Ability to automatically send notices to managers/departments when performance programs are due by user-defined frequencies (anniversary date, yearly, etc.). 17) Ability to follow-up on overdue performance programs and automatically generate second notices. 18) Provide data integrity checks insuring there are no duplicate Social Security numbers. 19) Ability to input and track pseudo Social Security numbers and change that number to an actual Social Security number at a later date. 20) Ability to put future hires into the system. 21) Ability to produce organizational charts for a particular point in time, past, present and future. 22) Ability to maintain unlimited position descriptions. 23) Ability to report by department on sick leave use/abuse. 24) Monitor base salary and additional compensation such as one-time lump sum bonuses. 38
  39. 39. 5/12/97 University at Albany Request for Proposal 25) Ability to scan resumes for automatic processing, storage and retrieval. Please describe. 26) Ability to “look up” a person by current or prior full name, partial name or phonetic name. 27) What services do you provide in regards to Non-Resident Alien tax compliance issues? Are tables maintained by the vendor? 3. Benefits Administration - Requirements a) Ability to maintain records of benefit enrollment. b) Provide for unlimited dependents/beneficiaries for an employee. c) Ability to include all dependents and beneficiaries in benefits enrollments and processing. 4. Benefits Administration - Desirable Functions a) Although the comprehensive administration of benefits is performed by other state agencies, the University is interested in what your system provides for benefits administration. Listed below are features of interest to us. Please acknowledge which are contained in your system and any other features not listed. 1) Ability to administer all types of plans (i.e., health, life, dental, vision). 2) Maintain any number of plans. 3) Ability to establish plans by user-defined rules with effective dating. 4) Define rate, calculation, and deduction rules for each benefit program and plan combination. 5) Provide automatic eligibility checking based on user-defined rules. 6) Ability to automatically notify the participant upon completion of his or her benefits enrollment process. 7) Ability to automatically terminate employee coverage. 8) Ability to user-define the participation rules, i.e., limits and maximums. 9) Ability to automatically calculate premiums and store as payroll deductions. 10) Ability to mass update premiums or on an individual participant basis. 11) Provide automated processes for open enrollment. 12) Track and view open enrollment status on-line. 13) Ability to process multiple plan years so work can be done on open enrollments for the next year and the current year simultaneously. 14) Ability to administer COBRA with the provision to automatically produce COBRA letters. 15) Ability to define general and plan-based credits and prices based on the following: • Flat amounts. • Length of service. • Coverage base. • Age. 39
  40. 40. 5/12/97 University at Albany Request for Proposal • Sex. • Percent of salary. 16) Ability to automatically produce standard benefits reports. 5. Position Management - Requirements a) Ability to track vacant and filled positions. b) Ability for an employee to be assigned to multiple positions. c) Ability for more than one employee to be assigned to one position (job sharing). d) Provide position characteristics such as organizational areas, title code, shift and work days, and budgeted salary data. 6. Position Management - Desirable Functions a) Integration capability to human resources applications, a budget development module and the general ledger. b) Ability to apply effective dating positions and changes to positions to accommodate future transactions as well as budget modeling and development. Please explain. c) Ability to track a position by organizational area, account and cost center. d) A comment field to input an explanation when an element of a position is changed. e) A system edit to prevent changes in position values which exceed a predetermined budgetary amount. 7. Payroll - Desirable Functions a) The University’s Payroll function currently provides payroll services for the employees of the University, Union Labor, employees of the SUNY Research Foundation, student assistants, college work study students, and graduate assistants. The actual production of the state payroll checks, and end-of- year withholding statements are generated by the New York State’s Office of the State Controller. The actual production of the Research Foundation checks and end-of-year withholding statements are generated by the Research Foundation Central Office. There are varying payroll periods and pay schedules depending upon the category and the funding source of the individual. Currently we provide data to both organizations as an interface. Please describe any Payroll system you would be able to provide that can accommodate these interfaces including the following features/functions: 1) Ability to compute various overtime calculations, hourly and retroactive payments, based on user-defined business rules? 2) Maintain, control and report Work Study payments and balances by employee. 3) Ability to maintain file of direct depositors including financial institution and account number. 40
  41. 41. 5/12/97 University at Albany Request for Proposal 4) Ability to download and extract data from the Office of the State Controller payroll and year-to-date tape to: populate and update the student and Work Study records for payroll transactions, prepare non-resident alien reports, and check distribution. 5) Automatically monitor non-resident alien salary year-to-date totals for tax treaty compliance. 6) Automatically produce lists of individual employee payments of various pay types. 7) Ability to extract data from the Office of the State Controller payroll and year- to-date tape to complete various federal, state and miscellaneous inquiries. 8) Ability to calculate net paychecks. 9) Ability for employees to access specified payroll and deduction data from the system. 8. Time and Attendance - Desirable Functions a) Our current system is manual and very labor intensive. We are seeking a system function that will eliminate hand entering overtime payments and salary to be paid for all hourly employees and maintenance of leave accruals and balances. Does your system provide a module to support time and attendance? Please describe its functionality and its capability to systematically collect the data by means of a smart time clock or other mechanisms and it’s ability to do the following: 1) Collect, total and edit employee hours and wage data prior to submission to Payroll? 2) Establish different accrual categories and/or methods of accruing time? 3) Provide capability to define procedures to administer overtime, holiday, inconvenience and recall pay? 4) Ability for hourly employees to maintain time sheets on-line and send to supervisor for approval before being transmitted to payroll for payment. C. 41
  42. 42. 5/12/97 University at Albany Request for Proposal Student Administration The integrated administrative system will need the following functions to support student administration. 1. Recruitment and Admissions - Requirements a) Automatic population of prospect score information to the database from a variety of external agencies. Please describe the process and for which test scores. b) Ability to create a prospect record using only name and address/phone. c) Ability to define pre-determined sequences of contact events/time frames and manage mailings/contacts using those sequences. d) Record a prospect’s interests, such as intended major or extra-curricular activities. e) Identify miscellaneous documents received prior to application (document matching). f) Automatically send reminders to applicants to request missing supporting documents. g) Track receipt of the required support documents for a particular applicant. h) Record material requested by and sent to each prospective student. i) Maintain a list of counselor visits scheduled to each source. j) Store and retrieve information about contact people at the source, including office telephone numbers, and an indicator for the primary contact person. k) Maintain an unlimited number of contacts with each prospective student. l) Automate admission decisions for programs/types/levels with defined standards and requirements. m) Define supporting documents required for a particular program type of admissions. n) Define admission standards/requirements by program/type of student level. o) Maintain multiple admissions’ records for an individual. p) Maintain common data such as name, address, citizenship, country, medical, and visa type for multiple admissions records. q) Produce mailing lists, labels, letters, and postcards from any data element or combination of elements in the database. r) Notify applicants of admissions’ decisions in a timely manner. s) Define and generate letters for standard situations/times (acknowledgment, acceptance, etc.) t) Edit test scores for appropriate score range validation by date. u) Mix and match the results from multiple occurrences of standardized tests while also retaining the original scores by date. v) Process a one-step quick entry for an applicant within a specific program/student type. w) Produce management information and statistical reports about summary profiles on applicants and current application counts on selected criteria. x) Store free-form comments for each application. y) Automatically update the prospect module when an admissions application is received. z) Prevent the overlay of admissions data already on the system when new test scores are subsequently loaded. 42