21-0302_TYLER TECHNOLOGIES, INC._Agenda Report_F1aCity of San Juan Capistrano
Agenda Report
TO: Honorable Mayor and Members of the City Council
FROM: Benjamin Siegel, City Manager
SUBMITTED BY: Ken Al-Imam, Chief Financial Officer
PREPARED BY: Michelle Short, Finance Manager
DATE: March 2, 2021
SUBJECT: Second Quarter Financial Report for the Period Ended December
31, 2020, and Proposed Budget Adjustments; Agreement with Tyler
Technologies, Inc. for a Finance-Human Resources System; and
Appropriation of Funds
RECOMMENDATIONS:
1.Receive and file the Fiscal Year 2020-21 Second Quarter Financial Report;
2.Approve proposed adjustments (Attachment 5) to the City’s operating and capital
improvement program budgets;
3.Approve and authorize the City Manager to execute an agreement with Tyler
Technology, Inc. to provide services to implement, support and maintain a
Finance-Human Resources system; and,
4. Appropriate $648,000 from the Facilities Operation Fund to upgrade the City’s
Finance-Human Resources system.
EXECUTIVE SUMMARY:
The second quarter financial report provides the City Council with an analysis of the
financial activity of the City from the start of the fiscal year to the end of that quarter. Year
to date activity of the General Fund through December 31, 2020, shows expenditures
exceeding revenues by $1.8 million. For the same period of the previous fiscal year,
expenditures exceeded revenues by $3.3 million. The more favorable performance of the
General Fund in the current fiscal year is a result of actual revenues coming in higher
than projected and City Council action in June 2020 to reduce personnel expenditures in
response to the anticipated fiscal impacts of the COVID-19 pandemic.
3/2/2021
F1a
City Council Agenda Report
March 2, 2021
Page 2 of 12
Proposed budget adjustments for the General Fund would increase budgeted revenues
by $1.8 million and increase budgeted expenditures by $294,190. The spendable fund
balance of the General Fund as of the end of Fiscal Year 2020-21 is projected to be $21.7
million, primarily as the result of budget savings associated with the prior fiscal year,
Fiscal Year 2019-20, and the aforementioned increase in projected revenues.
DISCUSSION/ANALYSIS:
General Fund Revenues
With 50% of the fiscal year complete, General Fund revenues (including transfers from
other funds) are at $11.9 million, 41% of the amended budget. This represents
approximately $1.1 million (10%) more than that for the same period of the prior fiscal
year. The increase is primarily due to increased tax revenues and revenues associated
with higher than expected engineering and building permit activity. Total General Fund
revenues for the entire 2020-21 Fiscal Year are projected to be $31.1 million.
Information about significant revenues of the City’s General Fund is as follows
(accompanied by the percentage that each revenue classification bears to total revenues
of the General Fund, including transfers from other funds):
Property Taxes (38% of General Fund revenues) – Property taxes are the single
largest funding source for General Fund operations. The County remits property taxes to
the City in April and December. Year to date property tax revenue received through the
end of the second quarter was 12% more than that for the same period for Fiscal Year
2019-20. Recently, the County posted to its website the amount of secured and
unsecured property taxes that will be levied for Fiscal Year 2020-21 based on the
assessed valuation of properties as of January 1, 2020. After taking into account the City’s
historical rate of same-year property tax collection, a budget adjustment has been
proposed to increase property tax revenue by $113,860.
Sales Tax (29%) – The second largest funding source for the General Fund is sales tax
revenue. Sales tax revenue distributed to the City in the second quarter of Fiscal Year
Description
Actual
Through
December
2019
Adopted
Budget
2020/21
Amended (1)
Budget
2020/21
Actual
Through
December
2020
Percent
Realized
2020/21
Revised (2)
Projections
2020/21
Property Taxes 3,864,147$ 11,787,000$ 11,787,000$ 4,327,091$ 37%11,900,860$
Sales Tax 2,933,251 7,938,000 7,938,000 3,135,173 39%9,167,000
Other Taxes and Franchise Fees 749,032 2,861,000 2,861,000 1,088,889 38%2,861,000
Revenue from Other Agencies 383,750 1,161,000 1,161,000 435,461 38%1,316,000
Licenses, Fees and Permits 1,372,515 2,410,000 2,410,000 1,714,975 71%2,618,000
Current Services 332,847 841,000 841,000 276,354 33%841,000
Interest and Rents 402,343 450,000 450,000 97,671 22%450,000
Fines and Forfeitures 358,417 977,000 977,000 315,240 32%977,000
Other Revenue 23,216 112,000 112,000 61,698 55%112,000
Transfers In 424,030 750,000 829,420 444,212 54%861,455
REVENUE TOTAL 10,843,548$ 29,287,000$ 29,366,420$ 11,896,764$ 41%31,104,315$
(1) Includes City Council approved adjustments between July 1, 2020, and December 31, 2020.
General Fund Revenue Summary
(2) This column reflects the impact of proposed second quarter adjustments.
City Council Agenda Report
March 2, 2021
Page 3 of 12
2020-21 is generally based on actual merchant sales that took place in the period from
July through September of 2020. Year to date sales tax revenue received through the
end of the second quarter of Fiscal Year 2020-21 was 7% more than that for the same
period in Fiscal Year 2019-20 primarily due to the late receipt of sales tax due in Fiscal
Year 2019-20 that had been delayed by the State’s relief program to support businesses
during the COVID-19 public health crisis. After adjusting for these delayed payments,
actual sales were 4% higher than that for the second quarter of the prior fiscal year. This
compares to a 1.7% decline for all of Orange County for the same period. General
consumer retailers, especially electronic/appliance stores and auto dealers showed
moderate growth. Although sales taxes from restaurants in the city declined 17% from the
same quarter in 2019, that decline was offset by an increase in internet purchases and a
widening of those internet retailers that are subject to the payment of California sales tax
as the result of recent changes in state law. Based on the City’s sales tax consultant’s
projections, staff is proposing a $1.2 million increase in estimated sales tax for the current
fiscal year.
Other Taxes and Franchise Fees (9%) – This category includes real property transfer
taxes, business license taxes, transient occupancy taxes, and franchise fees. Business
license taxes are at 22% of the City’s Fiscal Year 2020-21 budget, which is 15% more
than the amount collected in the same period of the prior fiscal year. The City receives
the bulk of its business license revenue during the months of January and February. Real
property transfer taxes through December 2020 are approximately $112,000, or 79%,
higher than prior year amounts for the same quarter. Transient occupancy tax is 4%, or
$11,000, lower than the amount collected in the same period of the prior year. The City’s
franchise fee revenue collected through December 2020 is higher than the amount
collected in the same quarter of the previous year by approximately $233,000, due to the
receipt of certain solid waste franchise fees that are paid on an annual basis under terms
of the new solid waste franchise agreement that was negotiated in 2020.
Revenue from Other Agencies (4%) – This category includes federal, state, and local
grant revenues, as well as funds received from the County of Orange for landfill host fees
in accordance with the City’s landfill mitigation agreement. The City receives host landfill
fees from the County on a quarterly basis. Revenue collected through December 2020
is as expected at 52% of the estimated amount.
Licenses, Fees and Permits (8%) – This category consists largely of fees charged to
process building permits and fees collected to finance engineering and planning division
reviews of development projects. This category also accounts for revenue from City-
sponsored events, community services programs and other fees. Building permit
revenues are at 69% of the amended annual budget, an increase of 10% over the same
period of the prior fiscal year. Based on updated projections of development activity, staff
is proposing an increase of $254,000 in additional building permit and other fee revenue
not previously contemplated in the revenue projections for Fiscal Year 2020-21.
Community Services program revenue received through December is 56% lower than the
amount received for the same period of the prior fiscal year due to limited recreational
class offerings, rentals, and special event revenues as a result of COVID-19. Accordingly,
staff is proposing a $46,000 reduction in estimated revenue for Community Services
revenues. The City also receives other license, fee and permit revenues including student
City Council Agenda Report
March 2, 2021
Page 4 of 12
mitigation fees, neighborhood parking permits, commercial filming permit fees,
photography permit fees and National Pollutant Discharge Elimination System (NPDES)
permit fees.
Current Services (3%) – This category consists of revenue from other funds for their
share of General Fund overhead costs. These charges are based on each fund’s
percentage of budgeted full-time salaries. Actual revenue through December 2020 is 17%
less than the amount received for the same period of the prior fiscal year due to variations
in the amount of full-time salaries budgeted for other funds.
Interest and Rents (1%) – This category accounts for revenue generated from the
investment of City funds and the renting of City properties. Revenue through December
2020 is 76% lower than the amount recognized for the same period of the prior fiscal year.
It is important to note that the decrease in investment revenue is primarily due to a change
in the market value of the City’s investment portfolio. When interest rates are low, the
market value of municipal investments falls. Such market value changes are temporary
for investments that are held to maturity and these changes reverse direction as
investments approach their respective maturity dates. Therefore, staff is not
recommending an adjustment to the Fiscal Year 2020-21 investment revenue projection.
Rental income is also lower than the amount that was collected during the same period
of the prior fiscal year due to the impact of COVID-19 on parks, facilities and field rentals.
Fines and Forfeitures (3%) – These revenues are remitted to the City from the County
and State for vehicle code violations, parking fines and Proposition 172 (½ cent sales tax)
funds dedicated to public safety. These revenues lag slightly behind those activities that
generate the revenue. Revenues through December 2020 are 32% of the amount
budgeted (12% lower than the amount collected in the same period of the prior fiscal year)
primarily due to a reduction in the number of parking and vehicle code fines that were
imposed.
Other Revenue (less than 1%) – These one-time revenues include miscellaneous
receipts for sales of City property, damage to City property, community donations and
various reimbursements. These revenues fluctuate from year to year.
Transfers In (3%) – Transfers In represent amounts received from other funds of the City
to reimburse the General Fund for costs paid by the General Fund that meet the eligibility
requirements associated with other funds. For Fiscal Year 2020-21, such reimbursement
primarily related to costs paid by the General Fund for public safety, senior mobility
transportation, street maintenance and the trolley program. Revenues through December
2020 are at 54% of the amount budgeted for the entire fiscal year.
General Fund Expenditures
With 50% of the fiscal year complete, General Fund expenditures (including transfers to
other funds) are at 42% of the amended budget. Nondepartmental expenditures reflect
the final $500,000 Riding Park consent decree payment that was issued in July 2020.
Expenditure budget adjustments proposed for the General Fund are listed in Attachment
5.
City Council Agenda Report
March 2, 2021
Page 5 of 12
Fund Balance of the General Fund
The spendable fund balance of the General Fund as of the end of Fiscal Year 2020-21 is
projected to be $21.7 million.
A summary of the funding sources appropriated for General Fund financial activity for
Fiscal Year 2020-21 is set forth below:
Water Operations Funds (Funds 60, 61 and Fund 66)
By the end of the second quarter of Fiscal Year 2020-21, year to date revenues of the
Water Operations Funds were at 60% of the amended annual budget and year to date
expenses were at 51% of the amended annual budget. Commodity sales revenue was
6% higher through December 2020 than the amount received for the same six-month
period last year. Ground Water Recovery Plant (GWRP) production through December
was 816 acre feet, 23% lower than the production that was expected for that period. The
reduced production is necessary so that certain repairs and maintenance activities can
be performed for the GWRP and its feeder wells. A budget increase of $505,820 is
Description
Actual
Through
December
2019
Adopted
Budget
2020/21
Amended (1)
Budget
2020/21
Actual
Through
December
2020
Percent
Realized
2020/21
Revised (2)
Projections
2020/21
City Council 52,694$ 142,915$ 142,740$ 60,546$ 42%142,740$
City Manager 746,328 1,741,140 1,737,085 823,965 47%1,763,195
City Attorney 273,907 706,000 706,895 159,428 23%719,735
City Clerk 304,346 528,600 520,115 238,820 46%520,115
Finance 753,219 1,560,355 1,540,575 671,933 44%1,540,575
Public Safety 5,458,038 11,621,710 11,621,560 5,561,039 48%11,322,560
Community Services 1,086,313 2,064,110 2,104,350 1,051,872 50%2,117,385
Development Services 1,282,327 2,971,845 3,041,105 1,405,398 46%3,193,585
Public Works/Utilities 3,292,426 7,869,630 8,082,255 2,888,282 36%8,470,980
Transfers Out 385,922 2,374,585 3,002,887 382,585 13%3,002,887
Non-Departmental 500,000 - 500,000 500,000 100%500,000
EXPENDITURE TOTAL 14,135,520$ 31,580,890$ 32,999,567$ 13,743,868$ 42%33,293,757$
(1) Includes City Council approved adjustments between July 1, 2020, and December 31, 2020.
General Fund Expenditure Summary
(2) This column reflects the impact of proposed second quarter adjustments.
Description
Actual
Through
December
2019
Adopted
Budget
2020/21
Amended
Budget
2020/21
Actual
Through
December
2020
Percent
Realized
2020/21
Revised
Projections
2020/21
Revenues $ 10,843,548 $ 29,287,000 $ 29,366,420 $ 11,896,764 41% $ 31,104,315
Carryover of unexpended prior appropriations 792,695 792,695
Funding water quality projects from prior year revenues 2,593,302 2,593,302
Total revenues $ 10,843,548 $ 29,287,000 $ 32,752,417 $ 11,896,764 $ 34,490,312
Expenditures 14,135,520 31,580,890 32,999,567 13,743,868 42% 33,293,757
Revenues over (under) expenditures $ (3,291,972) $ (2,293,890) $ (247,150) $ (1,847,104) $ 1,196,555
Spendable fund balance, July 1 $ 17,876,088 $ 18,390,126 $ 20,408,985 $ 20,408,985 $ 20,408,985
Revenues over/(under) expenditures (3,291,972) (2,293,890) (247,150) (1,847,104) 1,196,555
Adjustment for restricted fund balance 25,484 100,676 100,676 100,676
Spendable fund balance, end of period $ 14,609,600 $ 16,096,236 $ 20,262,511 $ 18,662,557 $ 21,706,216
General Fund Summary
City Council Agenda Report
March 2, 2021
Page 6 of 12
proposed to accommodate 713 additional acre-feet of imported water that must be
purchased to replace the water that won’t be produced by the GWRP during this period.
The cost to purchase this additional amount of imported water will be partially offset by
$284,690 in reduced GWRP operating expenses, including the cost of chemicals.
Revised estimates for the expenses of the Water Operations Funds for the entirety of
Fiscal Year 2020-21 are projected to be $282,560 more than the amount reflected in the
existing amended budget. Expense budget adjustments proposed for the Water
Operations Funds are listed in Attachment 5.
The excess of revenues over expenses across all cost centers of the Water Operations
Funds is projected to be $2.8 million for Fiscal Year 2020-21. After $2.6 million of
transfers to the Water Capital Replacement Fund, the available fund balance of the Water
Operations Funds is projected to be $5.6 million as of the end of Fiscal Year 2020-21. In
addition, the Water Operations Funds hold $1.8 in a rate stabilization reserve which can
be accessed at any time by City Council for the payment of operating expenses of the
Water Operations Funds.
Sewer Operations Fund (Fund 70)
Revenues and expenses of the Sewer Operations Fund are on track at 50% and 46% of
the amended budget, respectively. For Fiscal Year 2020-21, approximately $2.0 million
of the Sewer Operations Fund’s available fund balance will be used to fund capital
projects. The Sewer Operations Fund’s available fund balance is expected to be $2.3
million at the end of Fiscal Year 2020-21.
Description
Actual
Through
December
2019
Budget
Update
2020/21
Amended (1)
Budget
2020/21
Actual
Through
December
2020
Percent
Realized
2020/21
Revised (2)
Projections
2020/21
Available Fund Balance, July 1 2,516,300$ 2,228,237$ 5,382,100$ 5,382,100$ 5,382,100$
Revenues
Water Commodity Charges 9,492,677$ 15,520,000$ 15,520,000$ 10,059,473$ 65%15,520,000$
Customer Services Charges 2,678,834 5,335,000 5,335,000 2,679,228 50%5,335,000
Other Water Service Revenues 339,793 396,000 396,450 217,429 55%396,450
Property Taxes-General 666,255 1,359,000 1,359,000 738,197 54%1,359,000
MWD Grant @ $250/af 196,100 550,000 550,000 166,775 30%550,000
Investment Interest 53,347 41,000 41,000 5,665 14%41,000
REVENUE TOTAL 13,427,006$ 23,201,000$ 23,201,450$ 13,866,767$ 60%23,201,450$
Expenses
Source of Supply 3,792,462$ 8,883,489$ 8,868,729$ 4,121,279$ 46%8,845,229$
Maintenance & Operations 2,036,162 5,541,931 5,646,631 2,091,273 37%5,891,261
General & Administrative 546,750 1,160,065 1,153,870 470,967 41%1,153,870
Legal 133,428 151,630 190,580 45,972 24%252,010
Debt Service 3,569,827 4,238,740 4,238,740 3,618,748 85%4,238,740
EXPENSE TOTAL 10,078,629$ 19,975,855$ 20,098,550$ 10,348,239$ 51%20,381,110$
Revenues Over/(Under) Expenses before Capital
Project Funding and Sewer Loan Repayment 3,348,377 3,225,145 3,102,900 3,518,528 2,820,340
Transfers to Capital Project Funds (1,299,820) (2,800,000) (2,800,000) (1,400,000) 50%(2,600,000)
Net Increase (Decrease) in Available Fund Balance 1,396,650 425,145 302,900 2,118,528 220,340
Total Available Fund Balance 3,912,950$ 2,653,382$ 5,685,000$ 7,500,628$ 5,602,440$
(1) Includes City Council approved adjustments between July 1, 2020, and December 31, 2020.
Water Operations Funds Summary
(2) This column reflects the impact of proposed second quarter adjustments.
City Council Agenda Report
March 2, 2021
Page 7 of 12
Capital Improvement Program
The Capital Improvement Program budget includes $15.6 million of new funding
appropriated in the Fiscal Year 2020-21 budget, $18.1 million of carryover funding for
uncompleted projects from prior years, and $525,000 of new funding appropriated by the
City Council between July 1 and December 31, 2020, for a total Fiscal Year 2020-21
amended budget of $34.2 million. For the first half of Fiscal Year 2020-21, capital project
expenditures totaled $4.8 million (14% of the amended budget) and an additional $2.9
million (8% of the amended budget) is under contract (encumbered) for work currently
underway, for a total amount spent or encumbered to date of $7.7 million (22% of the
amended budget). The City’s capital project funding activity (revenues and expenditures)
projected for the entirety of Fiscal Year 2020-21 is as follows:
Description
Actual
Through
December
2019
Budget
Update
2020/21
Amended (1)
Budget
2020/21
Actual
Through
December
2020
Percent
Realized
2020/21
Revised (2)
Projections
2020/21
Available Fund Balance, July 1 4,359,740$ 6,394,053$ 4,114,116$ 4,114,116$ 4,114,116$
Revenues
Sewer Service Charges 1,911,001$ 3,800,000$ 3,800,000$ 1,906,534$ 50%3,800,000$
Investment Interest 45,439 30,000 30,000 (1,301) -4%30,000
REVENUE TOTAL 2,283,463$ 3,830,000$ 3,830,000$ 1,905,233$ 50%3,830,000$
Expenses
Maintenance & Operations 1,484,506$ 3,247,369$ 3,425,179$ 1,559,568$ 46%3,425,179$
General & Administrative 98,148 194,620 194,620 97,311 50%194,620
EXPENSE TOTAL 1,582,654$ 3,441,989$ 3,619,799$ 1,656,879$ 46%3,619,799$
Revenues Over/(Under) Expenses - before capital 700,809 388,011 210,201 248,354 210,201
Transfer Out-Capital Replacement Fund (750,000) (1,995,000) (1,995,000) (997,500) 50%(1,995,000)
Revenues Over/(Under) Expenses - after capital (49,191) (1,606,989) (1,784,799) (749,146) (1,784,799)
Available Fund Balance, End of Period 4,310,549$ 4,787,064$ 2,329,317$ 3,364,970$ 2,329,317$
(1) Includes City Council approved adjustments between July 1, 2020, and December 31, 2020.
Sewer Operations Fund Summary
(2) This column reflects the impact of proposed second quarter adjustments.
City Council Agenda Report
March 2, 2021
Page 8 of 12
Tyler Munis Finance-Human Resources System
Over the past five years, several projects have been completed to address necessary
upgrades to the City’s information technology (IT) environment to ensure continued
stability, security and functionality. In 2017, the City’s IT contractor performed a
network/software assessment to assess issues and challenges that needed immediate
attention. Most critical was the need to stabilize the City’s IT network and server
infrastructure which was experiencing frequent outages and other issues. As a result, the
on-premises hardware was replaced with a virtual server and backup services in a secure
cloud-based environment.
Once the network and server critical needs were addressed, staff and the contractor
moved on to long-term technology planning by performing a comprehensive review of the
City’s IT systems. Based on the results of this analysis, the City has maintained a steady
effort to upgrade many of the critical IT systems based on availability of funding and
personnel resources to oversee the work. Over the past three years, IT-related
accomplishments include the following:
• Establishment of a computer equipment replacement program
• Disaster and ransomware recovery policies
• Fiber redundant internet connectivity
• Upgraded new phone system
Description
Beginning
Fund
Balance
07/01/20
Revenues
FY 2020/21
Project
Funding
FY 2020/21
Operating
Expenses &
Transfers
from (to)
Other Funds
FY 2020/21
Ending Capital
Reserve
(Projected)
06/30/21
General Fund*n/a n/a (2,593,302)$ -$ n/a
RMRA (SB-1) Fund 1,287,200 547,200 (1,741,650) - 92,750
Systems Development Fund 1,005,595 600,000 (1,146,743) - 458,852
Park and Recreation Fund 2,919,157 977,000 (1,046,871) - 2,849,286
Drainage Fund (260,514) 37,000.000 - - (223,514)
Agricultural Preservation Fees Fund 163,272 56,000 - - 219,272
Gas Tax Fund 951,534 796,500 (1,454,767) (350,000) (56,733)
CCFP Fund 9,521,282 919,000 (2,573,722) - 7,866,560
Measure M Fund 909,956 582,000 (1,612,680) - (120,724)
Open Space Fund 1,098,475 10,000 (1,024,705) - 83,770
Community Facilities District Bond Funds 1,383,864 20,000 (1,372,152) - 31,712
Successor Agency Non-Housing Bond Funds 23,477 10,000 - - 33,477
Water CIP Funds 5,874,571 2,214,000 (7,115,716) 2,000,000 2,972,855
Non-Potable Water CIP Fund 1,664,893 181,000 (1,061,730) 600,000 1,384,163
Facilities Operations*n/a n/a (760,736) - n/a
Sewer Funds 6,685,240 1,336,000 (8,360,101) 1,995,000 1,656,139
Grant Funds (260,685) 2,524,000 (2,334,000) (190,000) (260,685)
TOTALS $ 32,967,318 $ 10,809,700 $ (34,198,875) $ 4,055,000 $ 16,987,181
Capital Improvement Projects Revised Fund Budgets - Fiscal Year 2020-21
*Projects in these funds are funded by annual appropriations rather than by means of designated reserves.
City Council Agenda Report
March 2, 2021
Page 9 of 12
• Migrating to Office 365 email system (cloud-based email)
• Upgraded network architecture
• Upgraded server architecture
The next phase of important projects and upgrades involves the department-specific
software of the City. Starting with the Finance-Human Resources system, the City is now
in a position to acquire secure cloud-based systems for the departments that will enhance
department workflows and functionality.
The City’s Finance-Human Resources system (Finance-HR system) is critical to
organizational efficiency. This is an integrated system of IT software that maintains
confidential employee information, processes payroll, provides for the payment of all City
expenditures, and keeps track of all financial transactions including all revenues received
and expenditures paid so that budget-actual financial reports can be produced to allow
administrative staff to responsibly manage City resources.
The system currently in use, Gemstone (GEMS), was purchased twelve years ago as the
result of being the lowest cost system available at that time. Although functional, this
system no longer reflects current technology, with limited integration between the finance
side of the system and the human resources side of the system.
In addition, the Finance-HR system currently in use is dependent upon on-premises
hardware to which any upgrades must be downloaded and tested on a frequent basis.
This is a less secure environment then using secure cloud-based software for which the
software company is then responsible for upgrading, maintaining and testing for all users
of the software on a more or less continuous basis.
For these reasons, staff has been exploring options to procure a new system and recently
conducted a competitive procurement process to identify vendors and products available
in this specialized marketplace. The competitive process involved the issuance of a
request for proposal, the checking of references and an intensive series of interviews for
the top three proposers that required each firm to demonstrate in a live setting the
functionality of their software in accordance with a detailed script designed by staff to
observe the performance of critical system applications.
This effort clearly identified Tyler Munis (Tyler) as the system best positioned to meet the
City’s financial and human resources IT processing needs for at least the next ten years.
Although not a consideration in the selection process, Tyler is also one of the largest
providers of finance-related software to municipalities. This means that their system has
been well tested to meet the needs of the local government community and that there is
a large user group that will be an additional resource to the City.
One of the benefits of the Tyler system is reduced dependency on paper. One example
of this is that the City is still using paper time sheets that are physically signed and then
entered into the GEMS system as part of a manual process. The Tyler system would
automate this process using virtually paperless technology by which all approvals are
securely entered and tracked as a core part of the workflow.
City Council Agenda Report
March 2, 2021
Page 10 of 12
Another example is the way that the City processes vendor invoices for payment, which
is also paper-dependent. Like timesheet processing, vendor invoice processing will
become paperless with approvals securely tracked in the system. In addition to being
more efficient, this will reduce the risk of misplaced invoices and help identify delayed
processing of vendor invoices in a timely manner to ensure the continuity of vendor
services.
An important consideration in selecting Tyler as the best option for recommendation to
the Council was the security of its customer-facing cloud-based software. As one of the
largest providers of municipal accounting software in the nation, Tyler has implemented
extremely robust security protocols to protect the programming and data of its customers.
As hackers become increasingly more adept at circumventing local security firewalls,
often holding accessed municipal data for ransom, municipalities are increasingly turning
to the enhanced security of cloud-based software that leverages the critical mass of
national providers of cloud-based services, thereby benefiting from the resources devoted
by those providers to provide multiple layers of security to reduce the risk of such
breaches.
Typically, when a new IT system is purchased, certain costs are incurred over a two to
three year period to properly implement the system. These costs include the cost to
acquire the software and to receive services from the software provider to assist in the
implementation and train City personnel. The proposal provided by Tyler quoted a cost of
$772,000 for software implementation/training services. As the result of a lengthy
negotiation process, the City Finance-HR implementation team, which included the
Human Resources/Risk Manager, Finance Director and the contract Information
Technology Manager, were successful in reducing this implementation/training cost from
$772,000 to $262,000, with City staff taking an increased role in the implementation effort.
Another component of the cost of the new system is the annual cloud-based software-as-
a-service (SaaS) fee. Tyler’s initial proposal required that this fee be $131,000 per year.
After further negotiation, Tyler reduced the cost of this annual fee from $131,000 per year
to $99,000 per year. Over half of this annual cost will be funded from $55,000 of funding
that is currently budgeted for the existing (GEMS) system annual maintenance fee.
Staff recommends that the funds to acquire this critical IT system be paid from the City’s
Facilities Operation Fund. This fund currently has $1.8 million in its available fund
balance. The fund balance of the Facilities Operation Fund has accumulated over the
years primarily as the result of payments from the General Fund to cover facility operation
expenses and to provide funds for capital replacement. Generally, the funds provided
annually for capital replacement are sufficient to meet the annual capital replacement
needs of the City. The unexpended funds currently residing in the fund are the result of
an accumulation of operational savings and capital replacement funding that was excess
of the City’s annual capital expenditures. After the cost of the proposed Tyler system has
been accounted for in this fund, the Facilities Operation Fund is expected to have
sufficient remaining funds to continue to meet the capital replacement needs of the City.
As a part of the Fiscal Year 2021-22 budget, staff plans to provide to the City Council a
recommendation as to how the remaining funds of the Facilities Operation Fund could be
utilized.
City Council Agenda Report
March 2, 2021
Page 11 of 12
Staff further recommends that the Facilities Operation Fund be used to cover the cost of
any temporary staffing that might be needed during the implementation period, and the
cost of the annual Tyler SaaS fee that is due during the period of implementation, which
is expected to take two to three years. During the implementation period, the General
Fund of the City would continue to bear the cost of the GEMS annual fee ($55,000), since
GEMS software would continue to be used to run Finance-HR operations until the Tyler
system goes live, at which point the General Fund would commence payment of the Tyler
SaaS fee and will no longer pay the GEMS annual fee.
The total amount proposed to be appropriated from the Facilities Operation Fund (Fund
81) is set forth below:
At Attachment 9, staff has provided the proposed agreement with Tyler to provide the IT
services described above. This agreement reflects significant protections for the City that
were added by staff and the City Attorney to ensure that City interests are protected during
the term of the agreement. The agreement is a ten-year agreement to provide SaaS
services, with pricing for the annual SaaS fee locked in. For the first five years of the
agreement, the annual SaaS fee would be $99,000 per year. For years six through ten,
the annual SaaS fee would be $105,000 per year.
FISCAL IMPACT:
As a result of the above summarized analysis of the City’s financial activity to date, staff
is recommending that the City Council approve the list of proposed budget amendments
identified in Attachment 5. The cost of the City’s upgraded Finance-HR system is set forth
above.
ENVIRONMENTAL IMPACT:
Not applicable.
PRIOR CITY COUNCIL REVIEW:
• On January 19, 2021, City Council received the First Quarter Financial Report for
the Period from July 1, 2020, through September 30, 2020; and, approved budget
adjustments to the Operating and Capital Budgets.
• On June 16, 2020, the City Council approved the Fiscal Year 2020-21 Operating
and Capital Improvement Budgets.
Cost of implementation (per contract)$262,000
10% contingency, if needed 26,000
Three years of annual fee (during 300,000
implementation of software)
Temp staffing, if needed 60,000
Total Fund 81 appropriation $648,000
City Council Agenda Report
March 2, 2021
Page 12 of 12
COMMISSION/COMMITTEE/BOARD REVIEW AND RECOMMENDATIONS:
This item does not go through the Commission/Committee review process.
NOTIFICATION:
Tyler Technologies, Inc.
ATTACHMENTS:
Attachment 1 - Reserve Balances by Fund
Attachment 2 - Revenue and Transfers In by Fund – Budget to Actual
Attachment 3 - Operating Expenditures and Transfers Out by Fund and Activity - Budget
to Actual
Attachment 4 - CIP Expenditure Summary by Project Category and Fund Source
Attachment 5 - Proposed Budget Adjustments
Attachment 6 - Revenue Adjustment Summary
Attachment 7 - Expenditure Adjustment Summary
Attachment 8 - Administrative Budget Transfers – July 1, 2020 through
December 31, 2020
Attachment 9 - Agreement – Tyler Technologies, Inc.
Actual Projected
Beginning Operating CIP Transfers Transfers Ending
Balance Revenues Expenditures Expenditures In Out Balance
7/1/2020 (1)FY 2021 FY 2021 FY 2021 FY 2021 FY 2021 Adjustments 6/30/2021
GENERAL FUNDS
General Fund
Unassigned 6,727,985$ 30,242,860$ (29,397,499)$ -$ 861,455$ (409,585)$ (400,000)$ 7,625,216$
Assigned - Continuing Appropriations (2)792,695 - (792,695) - - - - -
Reserve - Consent Decree Water Quality Projects 2,739,302 - - - - (2,593,302) - 146,000
Reserve - Tuition Reimbursement Program 35,000 - - - - - - 35,000
Reserve - Cash Flow 5,000,000 - - - - - - 5,000,000
Reserve - Economic Uncertainty 7,500,000 - - - - - - 7,500,000
Reserve - Contingency 1,000,000 - - - - - - 1,000,000
Reserve - Stonehill Widening Project - - - - - - 400,000 400,000
Restricted - LED Street Light Conversion Project 47,477 - (47,477) - - - - -
Non-Spendable-Prepaids 53,199 - (53,199) - - - - -
Total General Fund 23,895,658 30,242,860 (30,290,870) - 861,455 (3,002,887) - 21,706,216
Parking Maintenance Fund
Assigned-Parking Maintenance 155,151 76,900 (183,749) - 102,435 - - 150,737
Non-Spendable-Prepaids 4,106 - (4,106) - - - - -
Total Parking Maintenance Fund 159,257 76,900 (187,855) - 102,435 - - 150,737
Successor Agency to the CRA/Housing
Authority Administration Fund
Unassigned 185,748 271,355 (274,420) - - - - 182,683
Farm Operations Fund
Assigned-Farm Operations 680,400 136,000 (82,865) - - - - 733,535
Eastern Open Space Fund
Assigned-Eastern Open Space Operations (2,004,097) 325,665 (514,182) - - - - (2,192,614)
Assigned-Continuing Appropriations (2)20,640 - (20,640) - - - - -
Non-Spendable-Prepaids 3,000 - (3,000) - - - - -
Total Eastern Open Space Fund (1,980,457) 325,665 (537,822) - - - - (2,192,614)
GENERAL FUNDS - TOTAL 22,940,606$ 31,052,780$ (31,373,832)$ -$ 963,890$ (3,002,887)$ -$ 20,580,557$
Special Revenue Funds
C&D Forfeited Bonds Fund
Restricted-Recycling Programs 1,090,741$ 25,000$ (55,010)$ -$ -$ -$ -$ 1,060,731$
Road Maintenance and Rehabilitation Account (RMRA)
Restricted-Streets and Roads Capital Projects 1,287,200 547,200 - (1,741,650) - - - 92,750
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
RESERVE BALANCES BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
ATTACHMENT 1 - Page 1 of 6
Actual Projected
Beginning Operating CIP Transfers Transfers Ending
Balance Revenues Expenditures Expenditures In Out Balance
7/1/2020 (1)FY 2021 FY 2021 FY 2021 FY 2021 FY 2021 Adjustments 6/30/2021
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
RESERVE BALANCES BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Certified Access Specialist Program (C.A.S.P.)
Restricted-CASP program 30,168 - (8,700) - - - - 21,468
Systems Development/Ord. 211 Fund
Restricted-Streets and Roads Capital Projects 1,005,595 600,000 - (1,146,743) - - - 458,852
Park and Recreation Fund
Restricted-Parks and Recreation Capital Projects 2,919,157 977,000 - (1,046,871) - - - 2,849,286
Drainage Fund
Restricted-Storm Drain Capital Projects (260,514) 37,000 - - - - - (223,514)
Agricultural Preservation Fund
Restricted-Agricultural Preservation Projects 163,272 56,000 - - - - - 219,272
Landscape Maintenance Fund
Restricted-Landscape Maintenance 299,159 140,000 (171,065) - - - - 268,094
CDBG/HOME Fund
Restricted-Housing Rehabilitation for Low and Moderate Income Housing Persons 809,630 144,000 (536,415) - - - - 417,215
Gas Tax Fund
Restricted-Street Rehabilitation and Maintenance 951,534 796,500 - (1,454,767) - (350,000) - (56,733)
CCFP Fund
Developer Contributions for Specific Projects 746,522 - - (337,185) - - - 409,337
Restricted-Streets and Roads Capital Projects 8,774,760 919,000 - (2,236,537) - - - 7,457,223
Total CCFP Fund 9,521,282 919,000 - (2,573,722) - - - 7,866,560
S.O.N.G.S. Fund
Restricted-Emergency Preparedness - 217,445 (214,329) - - - - 3,116
AQMD Fund
Restricted-Mobile Source Emissions Reduction Programs 355,192 48,000 (5,000) - - (35,000) - 363,192
Measure M Fund
Restricted-Streets and Roads Capital Projects 909,956 582,000 - (1,612,680) - - - (120,724)
Housing In-Lieu Fee Fund
Restricted-Affordable Housing 5,614,725 1,343,000 (4,800,000) - - - - 2,157,725
Local Law Enforcement Grants Fund
Restricted-Law Enforcement - 150,000 - - - (150,000) - -
Street and Highways Grant Fund
Restricted-Capital Projects (260,685) 2,524,000 - (2,334,000) - (190,000) - (260,685) ATTACHMENT 1 - Page 2 of 6
Actual Projected
Beginning Operating CIP Transfers Transfers Ending
Balance Revenues Expenditures Expenditures In Out Balance
7/1/2020 (1)FY 2021 FY 2021 FY 2021 FY 2021 FY 2021 Adjustments 6/30/2021
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
RESERVE BALANCES BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Other Grants Fund
Restricted-CARES Act - 557,335 (404,065) - - (153,270) - -
Historic Dedication Fund
Restricted - Historic Dedication - - - - - - - -
Developer Deposits Fund
Developer Contributions for Specific Projects - 477,775 (477,775) - - - - -
SPECIAL REVENUE FUNDS - TOTAL 24,436,413$ 10,141,255$ (6,672,359)$ (11,910,433)$ -$ (878,270)$ -$ 15,116,606$
Debt Service Fund
Debt Service Fund
Restricted-Debt Service 3,738,411$ 1,873,510$ (2,180,660)$ -$ 307,150$ -$ -$ 3,738,411$
Capital Improvement Funds
General City Projects Fund
Assigned - Capital Projects -$ -$ -$ (2,593,302)$ 2,593,302$ -$ -$ -$
Open Space Bond Projects Fund
Restricted - Open Space Capital Projects 1,098,475 10,000 - (1,024,705) - - - 83,770
Community Facilities District Bonds Fund
Restricted - Community Facilities Projects 1,383,864 20,000 - (1,372,152) - - - 31,712
Successor Agency Non-Housing Bonds Fund
Restricted - Downtown Projects 23,477 10,000 - - - - - 33,477
CAPITAL PROJECTS FUNDS - TOTAL 2,505,816$ 40,000$ -$ (4,990,159)$ 2,593,302$ -$ -$ 148,959$
GENERAL GOVERNMENTAL FUNDS - TOTAL 53,621,246$ 43,107,545$ (40,226,851)$ (16,900,592)$ 3,864,342$ (3,881,157)$ -$ 39,584,533$
ENTERPRISE FUNDS
Water Enterprise Funds
Domestic Water Operations Fund
Unrestricted Net Position-Available 4,339,551$ 20,837,000$ (15,405,179)$ -$ 450$ (4,870,740)$ -$ 4,901,082$
Unrestricted Net Position-Cont. Appropriations (2)132,965 - (132,965) - - - - -
Unrestricted Net Position-Drought Penalty Reserve 318,963 - (82,060) - - - - 236,903
Unrestricted Net Position-Rate Stabilization Reserve 1,796,425 - - - - - - 1,796,425
Unrestricted Net Position - Pension & OPEB Liabilities (4)(5,105,597) - - - - - - (5,105,597)
Investment in Capital Assets 46,262,101 - - - - - - 46,262,101
Total Domestic Water Operations Fund 47,744,408 20,837,000 (15,620,204) - 450 (4,870,740) - 48,090,914 ATTACHMENT 1 - Page 3 of 6
Actual Projected
Beginning Operating CIP Transfers Transfers Ending
Balance Revenues Expenditures Expenditures In Out Balance
7/1/2020 (1)FY 2021 FY 2021 FY 2021 FY 2021 FY 2021 Adjustments 6/30/2021
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
RESERVE BALANCES BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Water Debt Service Fund
Unrestricted Net Position-Available 461,248 1,368,000 (4,238,740) - 2,870,740 - - 461,248
Unrestricted Net Position - Outstanding Long-Term Debt (22,338,486) - - - - - - (22,338,486)
Total Water Debt Service Fund (21,877,238) 1,368,000 (4,238,740) - 2,870,740 - - (21,877,238)
Non-Potable Water Operations Fund
Unrestricted Net Position-Available 129,373 996,000 (522,166) - - (600,000) - 3,207
Unrestricted Net Position - Pension & OPEB Liabilities (4)(210,367) - - - - - - (210,367)
Total Non-Potable Water Operations Fund (80,994) 996,000 (522,166) - - (600,000) - (207,160)
Domestic Water Capital Replacement Fund
Unrestricted Net Position-Available 4,975,372 12,000 - (6,105,013) 2,000,000 - - 882,359
Domestic Water Capital Improvement Fund
Unrestricted Net Position-Available 899,199 2,202,000 - (1,010,703) - - - 2,090,496
Non-Potable Water Capital Improvement Fund
Unrestricted Net Position-Available 1,664,893 181,000 - (1,061,730) 600,000 - - 1,384,163
WATER ENTERPRISE FUNDS - TOTAL 33,325,641$ 25,596,000$ (20,381,110)$ (8,177,446)$ 5,471,190$ (5,470,740)$ -$ 30,363,535$
Sewer Enterprise Funds
Sewer Enterprise Operations Fund
Unrestricted Net Position-Available 4,112,471$ 3,830,000$ (3,618,154)$ -$ -$ (1,995,000)$ -$ 2,329,317$
Unrestricted Net Position-Cont. Appropriations (2)1,645 - (1,645) - - - - -
Unrestricted Net Position - Pension & OPEB Liabilities (4)(265,180) - - - - - - (265,180)
Investment in Capital Assets 19,115,252 - - - - - - 19,115,252
Total Sewer Operations Fund 22,964,188 3,830,000 (3,619,799) - - (1,995,000) - 21,179,389
Sewer Capital Replacement Fund
Unrestricted Net Position-Available 3,525,432 15,000 - (4,867,693) 1,995,000 - - 667,739
Sewer Capital Improvement Fund
Unrestricted Net Position-Available 3,159,807 1,321,000 - (3,492,408) - - - 988,399
Unrestricted Net Position-Loans to CRA (noncurrent portion)2,069 - - - - - - 2,069
Total Sewer Capital Improvement Fund 3,161,876 1,321,000 - (3,492,408) - - - 990,468
SEWER ENTERPRISE FUNDS - TOTAL 29,651,497$ 5,166,000$ (3,619,799)$ (8,360,101)$ 1,995,000$ (1,995,000)$ -$ 22,837,597$ ATTACHMENT 1 - Page 4 of 6
Actual Projected
Beginning Operating CIP Transfers Transfers Ending
Balance Revenues Expenditures Expenditures In Out Balance
7/1/2020 (1)FY 2021 FY 2021 FY 2021 FY 2021 FY 2021 Adjustments 6/30/2021
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
RESERVE BALANCES BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
SJC HOUSING AUTHORITY
Housing Authority Administration Fund
Unrestricted Net Position-Available 1,298,062$ 24,100$ (56,600)$ -$ -$ -$ -$ 1,265,562
Non-Spendable - Noncurrent Receivables 5,146,099 - - - - - - 5,146,099
Investment in Capital Assets 4,311,626 - - - - - - 4,311,626
Total Housing Authority Administration Fund 10,755,787 24,100 (56,600) - - - - 10,723,287
Little Hollywood Rental Housing Fund
Unrestricted Net Position-Available 589,887 230,100 (274,840) - - - - 545,147
Successor Agency Housing Bonds Fund
Restricted Net Assets-Affordable Housing Projects 6,138,353 30,000 - - - - - 6,168,353
Non-Spendable - Noncurrent Receivables 1,051,945 - - - - - - 1,051,945
Total Housing Authority Administration Fund 7,190,298 30,000 - - - - - 7,220,298
SJC HOUSING AUTHORITY - TOTAL 18,535,972$ 284,200$ (331,440)$ -$ -$ -$ -$ 18,488,732$
ENTERPRISE FUNDS - TOTAL 81,513,110$ 31,046,200$ (24,332,349)$ (16,537,547)$ 7,466,190$ (7,465,740)$ -$ 71,689,864$
INTERNAL SERVICE FUNDS
Insurance and Benefits Fund
Unrestricted Net Position-Available 795,029$ 6,954,620$ (4,843,560)$ -$ -$ -$ -$ 2,906,089$
Noncurrent Assets-Prepaids & Deferred Outflows 2,111,060 - (2,111,060) - - - - -
Total Insurance and Benefits Fund 2,906,089 6,954,620 (6,954,620) - - - - 2,906,089
Facilities Operations Fund
Unrestricted Net Position-Available (3)2,907,417 2,500,450 (2,829,118) (321,621) 16,365 - - 2,273,494
Unrestricted Net Position-Cont. Appropriations (2)4,525 - (4,525) (439,115) - - - (439,115)
Unrestricted Net Position - Pension & OPEB Liabilities (4)(437,298) - - - - - - (437,298)
Noncurrent Assets-Prepaids 126,207 - (126,207) - - - - -
Investment in Capital Assets 2,107,265 - - - - - - 2,107,265
Total Facilities Operations Fund 4,708,116 2,500,450 (2,959,850) (760,736) 16,365 - - 3,504,345
INTERNAL SERVICE FUNDS - TOTAL 7,614,205$ 9,455,070$ (9,914,470)$ (760,736)$ 16,365$ -$ -$ 6,410,434$
ALL FUNDS - TOTAL 142,748,560$ 83,608,815$ (74,473,670)$ (34,198,875)$ 11,346,897$ (11,346,897)$ -$ 117,684,830$ ATTACHMENT 1 - Page 5 of 6
Actual Projected
Beginning Operating CIP Transfers Transfers Ending
Balance Revenues Expenditures Expenditures In Out Balance
7/1/2020 (1)FY 2021 FY 2021 FY 2021 FY 2021 FY 2021 Adjustments 6/30/2021
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
RESERVE BALANCES BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Notes:
(4) The City is required by the Governmental Accounting Standards Board (GASB) to report the unfunded actuarial liability (UAAL) for its pension plans (GASB Statement No. 68) and other-post employment benefits (GASB
Statement No. 75). The City's General Fund (and other governmental funds) do not reflect such an amount in this schedule because this accounting and reporting standard is only applicable to the City's Enterprise and
Internal Service Funds. The City's governmental funds' (i.e. General Fund, Capital Projects Funds, and Special Revenue Funds) portion of the City's total UUAL as of December 31, 2019 (date of actuarial valuation) was
approximately $18.8 million for the City's pension plans and was approximately $3.0 million for the other post employment benefit plan as of July 1, 2019 (date of the actuarial valuation).
(1) Beginning fund balances are based on unaudited balances as of June 30, 2020.
(2) Amounts reported as "Continuing Appropriations" at July 1, 2020 include the carryovers from the Fiscal Year 2019-20 Operating and Capital Budget into the Fiscal Year 2020-21 Amended Budget. Operating Budget
Carryovers were approved by the City Council on November 7, 2020.
(3) Available reserves for capital replacement.ATTACHMENT 1 - Page 6 of 6
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
GENERAL FUNDS
General Fund
Property Tax 7,806,000$ 7,806,000$ 4,327,091$ 55%7,919,860$ 113,860$ 3,864,147$ 12%
In-Lieu Vehicle License Fees 3,981,000 3,981,000 - 0%3,981,000 - - **
TOTAL 11,787,000 11,787,000 4,327,091 37%11,900,860 113,860 3,864,147 12%
Sales Taxes
Sales Tax 7,938,000 7,938,000 3,135,173 39%9,167,000 1,229,000 2,933,251 7%
TOTAL 7,938,000 7,938,000 3,135,173 39%9,167,000 1,229,000 2,933,251 7%
Other Taxes
Real Property Transfer Tax 275,000 275,000 253,523 92%275,000 - 141,456 79%
Business License Taxes 217,000 217,000 47,436 22%217,000 - 41,216 15%
Transient Occupancy Tax - 10%898,000 898,000 268,714 30%898,000 - 279,704 -4%
Franchise Fees 1,471,000 1,471,000 519,216 35%1,471,000 - 286,656 81%
TOTAL 2,861,000 2,861,000 1,088,889 38%2,861,000 - 749,032 45%
Intergovernmental
Landfill Host Fees 800,000 800,000 412,648 52%800,000 - 314,239 31%
WDA Shared Revenues 108,000 108,000 - 0%108,000 - **
Vehicle License Fees (VLF)16,000 16,000 - 0%16,000 - - **
Grants 237,000 237,000 22,813 10%392,000 155,000 69,511 -67%
TOTAL 1,161,000 1,161,000 435,461 38%1,316,000 155,000 383,750 13%
Licenses, Fees and Permits
Planning Permits 70,000 70,000 34,445 49%70,000 - 32,326 7%
Engineering Permits 723,000 723,000 688,170 95%723,000 - 231,946 197%
Building and Grading Permits 1,091,000 1,091,000 753,992 69%1,248,000 157,000 688,103 10%
Other Fees and Permits 321,000 321,000 159,652 50%418,000 97,000 269,102 -41%
Community Service Program Fees 188,000 188,000 60,994 32%142,000 (46,000) 139,094 -56%
Neighborhood Parking Permits 12,000 12,000 9,922 83%12,000 - 11,183 -11%
Weed Abatement 5,000 5,000 7,680 154%5,000 - 581 1222%
Miscellaneous Permits - - 120 **- - 180 -33%
TOTAL 2,410,000 2,410,000 1,714,975 71%2,618,000 208,000 1,372,515 25%
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 1 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Current Services
Charges to Successor Agency - - 3,756 **- - 10,121 -63%
Charges to Other Funds 150,000 150,000 71,667 48%150,000 - 83,104 -14%
Charges to Utility Enterprise Funds 426,000 426,000 124,393 29%426,000 - 166,831 -25%
Developer Deposit Charges 168,000 168,000 42,560 25%168,000 - 43,787 -3%
CIP Administration Charges 97,000 97,000 33,978 35%97,000 - 29,004 17%
TOTAL 841,000 841,000 276,354 33%841,000 - 332,847 -17%
Interest and Rentals
Community Facility Rental 170,000 170,000 7,670 5%170,000 - 110,351 -93%
Park Rental 24,000 24,000 - 0%24,000 - 11,175 -100%
Athletic Field Rental 45,000 45,000 4,710 10%45,000 - 9,650 -51%
Commercial Property Rental 123,000 123,000 55,251 45%123,000 - 57,592 -4%
Investment and Other Interest 88,000 88,000 30,040 34%88,000 - 213,575 -86%
TOTAL 450,000 450,000 97,671 22%450,000 - 402,343 -76%
Fines and Forfeitures
Parking Fines 574,000 574,000 152,998 27%574,000 - 201,066 -24%
Vehicle Code Fines 138,000 138,000 21,996 16%138,000 - 54,463 -60%
Public Safety (sales tax)263,000 263,000 126,198 48%263,000 - 102,648 23%
Other Fines & Forfeitures 2,000 2,000 14,048 702%2,000 - 240 5753%
TOTAL 977,000 977,000 315,240 32%977,000 - 358,417 -12%
Other Revenue
Other Reimbursements 38,000 38,000 10,877 29%38,000 - 4,841 125%
Mandated Cost Reimbursement 19,000 19,000 - 0%19,000 - 1,867 -100%
Damage To City Property - - - 0%- - 10,447 -100%
Donations - - - 0%- - 2,475 -100%
Edison Monitoring Revenue 50,000 50,000 50,000 100%50,000 - - **
Miscellaneous Revenue 5,000 5,000 821 16%5,000 - 3,586 -77%
TOTAL 112,000 112,000 61,698 55%112,000 - 23,216 166%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 2 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Transfers In
C&D Fund 25,000 25,000 - -
Gas Tax Fund 350,000 350,000 175,000 50%350,000 - 175,000 0%
AQMD Fund 35,000 35,000 263 1%35,000 - 15,545 -98%
Local Law Enforcement Grants Fund 150,000 150,000 132,502 88%150,000 - 129,237 3%
Street and Highways Grants Fund 190,000 190,000 - 0%190,000 - 104,248 -100%
Other Grants Fund - CARES Act - 79,420 136,447 **136,455 57,035 - **
TOTAL 750,000 829,420 444,212 54%861,455 57,035 424,030 5%
Total General Fund 29,287,000 29,366,420 11,896,764 41%31,104,315 1,762,895 10,843,548 10%
Other General Funds
Parking Maintenance Fund
Parking Meter Fees & Permits 76,900 76,900 54,731 71%76,900 - 196,328 -72%
Transfers In - General Fund 102,435 102,435 51,218 50%102,435 - 45,648 12%
TOTAL 179,335 179,335 105,949 59%179,335 - 241,976 -56%
SACRA/SJCHA Administration Fund
Reimbursement from SACRA/SJCHA 191,355 191,355 87,261 46%191,355 - 107,876 -19%
Commercial Property Rental 78,000 78,000 39,000 50%78,000 - 39,000 0%
Investment Interest 2,000 2,000 (42) -2%2,000 - 2,386 -102%
Other Reimbursements - - 26 **- - - **
TOTAL 271,355 271,355 126,245 47%271,355 - 149,262 -15%
Farm Operations Fund
Commercial Property Rental 136,000 136,000 86,577 64%138,000 2,000 61,638 40%
Eastern Open Space Fund
Riding Park Rental 240,000 240,000 120,000 50%240,000 - 121,553 -1%
Insurance Reimbursement for Coastkeeper Litigation - - - **80,980 80,980 - **
Other Reimbursements - 4,685 - **4,685 - - **
Total Eastern Open Space Fund 240,000 244,685 120,000 49%325,665 80,980 121,553 -1%
GENERAL FUNDS - TOTAL 30,113,690$ 30,197,795$ 12,335,535$ 41%32,016,670$ 1,845,875$ 11,417,977$ 8%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 3 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
SPECIAL REVENUE FUNDS
C&D Forfeited Bonds Fund
Forfeited C&D Bonds 25,000$ 25,000$ (5,008)$ -20%25,000$ -$ 17,220$ -129%
Road Maintenance and Rehabilitation Account (RMRA)
SB-1 Funding 547,200 547,200 225,159 41%547,200 - 235,393 -4%
Investment Interest - - (1,436) 0%- - 8,708 -116%
Total RMRA Fund 547,200 547,200 223,723 41%547,200 - 244,101 -8%
C.A.S.P. Program Fund
SB 1186 Fees - - 143 **- - 862 -83%
Systems Development Fund
System Development Tax 577,000 577,000 209,451 36%577,000 - 211,187 -1%
Development Fees 17,000 17,000 2,430 14%17,000 - 2,525 -4%
Investment Interest 6,000 6,000 (212) -4%6,000 - 11,282 -102%
Total Systems Development Fund 600,000 600,000 211,669 35%600,000 - 224,994 -6%
Park and Recreation Fees
Park/Recreation Fees 966,000 966,000 652,500 **966,000 - - **
Developer Contribution - - - 0%- - 2,000,000 -100%
Investment Interest 11,000 11,000 496 5%11,000 - 18,622 -97%
Total Park and Recreation Fees 977,000 977,000 652,996 **977,000 - 2,018,622 -68%
Drainage Fund
Drainage Fees 37,000 37,000 3,449 **37,000 - - **
Grants - - - **- - - **
Total Drainage Fund 37,000 37,000 3,449 **37,000 - - **
Agricultural Preservation Fund
Agricultural Preservation Fees 54,000 54,000 61,500 114%54,000 - 24,500 151%
Investment Interest 2,000 2,000 80 4%2,000 - 1,513 -95%
Total Agricultural Preservation Fund 56,000 56,000 61,580 110%56,000 - 26,013 137%
Landscape Maintenance Fund
Current Assessments 140,000 140,000 76,057 54%140,000 - 73,340 4%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 4 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
CDBG/HOME Fund
Program Income 140,000 140,000 35,000 25%140,000 - 50,267 -30%
Investment Interest 4,000 4,000 (68) -2%4,000 - 8,367 -101%
Miscellaneous Revenue - - - 0%- - 46 -100%
Total CDBG/HOME Fund 144,000 144,000 34,932 24%144,000 - 58,680 -40%
Gas Tax Fund
Gas Tax Revenue 790,500 790,500 369,288 47%790,500 - 395,388 -7%
Investment Interest 6,000 6,000 16 0%6,000 - 8,910 -100%
Total Gas Tax Fund 796,500 796,500 369,304 46%796,500 - 404,298 -9%
CCFP Fund
Circulation Fees 863,000 863,000 456,600 **863,000 - 7,387 6081%
Investment Interest 56,000 56,000 635 1%56,000 - 111,481 -99%
Other Interest - - - **- - - **
Loan Repayments from Measure M Fund - - - **- - - **
Total CCFP Fund 919,000 919,000 457,235 50%919,000 - 118,868 285%
S.O.N.G.S. Fund
State S.O.N.G.S Reimbursement 150,000 217,445 215,834 99%217,445 - 209,293 3%
AQMD Fund
State AQMD/AB2766 Fees 45,000 45,000 12,136 27%45,000 - 11,943 2%
Investment Interest 3,000 3,000 33 1%3,000 - 3,713 -99%
Total AQMD Fund 48,000 48,000 12,169 25%48,000 - 15,656 -22%
Measure M Fund
Local Turnback 579,000 579,000 240,959 42% 579,000 - 253,645 -5%
Investment Interest 3,000 3,000 140 5%3,000 - 3,741 -96%
Transfer from General Fund - - - **- - - **
Total Measure M Fund 582,000 582,000 241,099 41%582,000 - 257,386 -6%
Housing In-Lieu Fee Fund
Housing In-Lieu Fees 1,320,000 1,320,000 - **1,320,000 - - **
Investment Interest 23,000 23,000 (6,468) -28%23,000 - 63,967 -110%
Total Housing In-Lieu Fund 1,343,000 1,343,000 (6,468) 0%1,343,000 - 63,967 -110%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 5 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Law Enforcement Grants Fund
State Grant (COPS)150,000 150,000 132,502 88%150,000 - 129,237 3%
Street and Highways Grant Fund
Grants 2,524,000 2,524,000 - **2,524,000 - - **
Other Grants Fund
Grants - 448,423 557,335 **557,335 108,912 - **
Investment Interest - - 2,824 **- - - **
Total Other Grants Fund - 448,423 560,159 **557,335 108,912 - **
HISTORIC DEDICATION FUND
Historic Depiction In Lieu Fee -$ -$ 12,730$ **-$ -$ -$ **
Investment Interest - - 2 **- - - **
Total Historic Dedicaton Fund -$ -$ 12,732$ -$ -$ -$ -$ **
Developer Deposits Fund
Developer Deposits 484,925 477,775 435,146 91%477,775 - 785,655 -45%
SPECIAL REVENUE FUNDS - TOTAL 9,523,625$ 10,032,343$ 3,689,253$ 37%10,141,255$ 108,912$ 4,648,192$ -21%
DEBT SERVICE FUND
Property Tax Levy 1,861,510$ 1,861,510$ 994,484$ 53%1,861,510$ -$ 995,905$ 0%
Investment Interest 12,000 12,000 (3,535) -29%12,000 - 27,084 -113%
Transfers In - General Fund 307,150 307,150 300,625 98%307,150 - 300,205 0%
Total Debt Service Fund 2,180,660$ 2,180,660$ 1,291,574$ 59%2,180,660$ -$ 1,323,194$ -2%
CAPITAL IMPROVEMENT PROJECT (CIP) FUNDS
Capital Projects Fund
Transfers In-General Fund 1,965,000 2,593,302 30,742 1%2,593,302 - 40,069 -23%
Open Space Bonds Fund
Investment Interest 10,000 10,000 (86) -1%10,000 - 12,515 -101%
Community Facilities District Bonds Fund
Investment Interest 20,000 20,000 (367) -2%20,000 - 21,321 -102%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 6 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Successor Agency Non-Housing Bonds Fund
Investment Interest 10,000 10,000 (6) 0%10,000 - 16,792 -100%
CAPITAL IMPROVEMENT PROJECT FUNDS - TOTAL 2,005,000$ 2,633,302$ 30,283$ 1%2,633,302$ -$ 90,697$ -67%
GOVERNMENTAL FUNDS - TOTAL 43,822,975$ 45,044,100$ 17,359,377$ 39%46,971,887$ 1,954,787$ 17,480,060$ -1%
ENTERPRISE FUNDS
Domestic Water Operations Fund
Water Commodity Charges 14,600,000$ 14,600,000$ 9,426,118$ 65%14,600,000$ -$ 8,858,383$ 6%
Customer Services Charges 5,263,000 5,263,000 2,635,671 50%5,263,000 - 2,633,468 0%
MWD Grant @ $250/af 550,000 550,000 166,775 30%550,000 - 196,100 -15%
Investment Interest 30,000 30,000 3,708 12%30,000 - 41,001 -91%
Other Water Service Revenues 394,000 394,000 217,429 55%394,000 - 339,793 -36%
Transfers In-CARES Act - 450 449 100%450 - - **
Total Domestic Water Operations Fund 20,837,000 20,837,450 12,450,150 60%20,837,450 - 12,068,745 3%
Water Debt Service Fund
Property Taxes-General 1,359,000 1,359,000 738,197 54%1,359,000 - 666,255 11%
Investment Interest 9,000 9,000 1,428 16%9,000 - 7,291 -80%
Transfers In-Water Operations Fund 2,870,740 2,870,740 1,435,370 50%2,870,740 - 1,476,195 -3%
Total Water Debt Service Fund 4,238,740 4,238,740 2,174,995 51%4,238,740 - 2,149,741 1%
Domestic Water Capital Replacement Fund
Investment Interest 12,000 12,000 1,474 12%12,000 - 41,747 -96%
Transfers In-Water Operations Fund 2,000,000 2,000,000 1,000,000 50%2,000,000 - 1,000,000 0%
Total Domestic Water Capital Replacement Fund 2,012,000 2,012,000 1,001,474 50%2,012,000 - 1,041,747 -4%
Domestic Water Capital Improvement Fund
Capital Improvement Charges 614,000 614,000 232,800 38%614,000 - 11,915 1854%
Capacity Charges 799,000 799,000 302,437 38%799,000 - 15,597 1839%
Storage Fees 774,000 774,000 278,386 36%774,000 - 17,635 1479%
Investment Interest 15,000 15,000 59 0%15,000 - 14,764 -100%
Total Domestic Water Capital Improvement Fund 2,202,000 2,202,000 813,682 37%2,202,000 - 59,911 1258%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 7 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
Non-Potable Water Capital Improvement Fund
Water Capacity Charge 180,000 180,000 47,258 26%180,000 - - **
Investment Interest 1,000 1,000 650 65%1,000 - 14,954 -96%
Grants - - 10,881 **- - - **
Transfers In - Non-Potable Water Operations Fund 800,000 800,000 400,000 50%600,000 (200,000) 299,820 33%
Total Non-Potable Water Capital Improvement Fund 981,000 981,000 458,789 47%781,000 (200,000) 314,774 46%
Non-Potable Water Operations Fund
Water Commodity Charges 920,000 920,000 633,355 69%920,000 - 634,294 0%
Customer Services Charges 72,000 72,000 43,557 60%72,000 - 45,366 -4%
Investment Interest 2,000 2,000 80 4%2,000 - 5,055 -98%
Other Water Service Revenues 2,000 2,000 - 0%2,000 - - **
Total Non-Potable Water Operations Fund 996,000 996,000 676,992 68%996,000 - 684,715 -1%
WATER ENTERPRISE FUNDS - TOTAL 31,266,740$ 31,267,190$ 17,576,082$ 56%31,067,190$ (200,000)$ 16,319,633$ 8%
Sewer Enterprise Operations Fund
Sewer Service Charges 3,800,000$ 3,800,000$ 1,906,534$ 50%3,800,000$ -$ 1,911,001$ 0%
Investment Interest 30,000 30,000 (1,301) -4%30,000 - 45,439 -103%
Other Interest - - - 0%- - 1,069 -100%
Total Sewer Enterprise Operations Fund 3,830,000 3,830,000 1,905,233 50%3,830,000 - 2,283,463 -17%
Sewer Capital Replacement Fund
Investment Interest 15,000 15,000 1,508 10%15,000 - 31,327 -95%
Transfers In - Sewer Operations Fund 1,995,000 1,995,000 997,500 50%1,995,000 - 750,000 33%
Total Sewer Capital Replacement Fund 2,010,000 2,010,000 999,008 50%2,010,000 - 781,327 28%
Sewer Capital Improvement Fund
Sewer Connection Fees 1,296,000 1,296,000 337,866 26%721,000 - 74,277 355%
Investment Interest 25,000 25,000 572 2%25,000 - 35,182 -98%
Other Interest - - 325 **- - 1,620 -80%
Total Sewer Capital Improvement Fund 1,321,000 1,321,000 338,763 26%1,321,000 - 437,033 -22%
SEWER ENTERPRISE FUNDS - TOTAL 7,161,000$ 7,161,000$ 3,243,004$ 45%7,161,000$ -$ 3,501,823$ -7%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 8 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
SJC HOUSING AUTHORITY FUNDS
Housing Authority Administration Fund
Rental Income 4,100$ 4,100$ 2,046$ 50%4,100$ -$ 2,046$ **
Investment Interest 20,000 20,000 (704) -4%20,000 - 11,882 -106%
Interest from Outstanding Loans Receivable - - 78,813 **- - 76,594 3%
Total Housing Authority Administration Fund 24,100 24,100 80,155 333%24,100 - 90,522 -11%
Little Hollywood Rental Housing Fund
Rental Income 230,000 230,000 108,394 47%230,000 - 90,455 20%
Miscellaneous Revenue 100 100 75 75%100 - 50 50%
Total Little Hollywood Rental Housing Fund 230,100 230,100 108,469 47%230,100 - 90,505 20%
Successor Agency Housing Bonds Fund
Investment Interest 30,000 30,000 (4,946) -16%30,000 - 63,749 100%
Interest from Outstanding Loans Receivable - - 15,123 **- - 15,123 100%
Total Successor Agency Housing Bonds Fund 30,000 30,000 10,178 34%30,000 - 78,872 -87%
SJC HOUSING AUTHORITY FUNDS - TOTAL 284,200$ 284,200$ 198,802$ 70% 284,200$ - 259,898$ -24%
ENTERPRISE FUNDS - TOTAL 38,711,940$ 38,712,390$ 21,017,888$ 54% 38,512,390$ (200,000)$ 20,081,354$ 5%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 9 of 10
Proposed Increase or
Budget Amended Percent Revised Increase Prior Year Decrease
Description Update Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE & TRANSFERS IN BY FUND
JULY 1, 2020 THROUGH JUNE 30, 2021
INTERNAL SERVICE FUNDS
Insurance and Benefits Fund
Health Insurance Charges 1,950,000$ 1,950,000$ 766,101$ 39%1,950,000$ -$ 742,454$ 3%
Worker's Compensation Charges 250,000 292,190 116,186 40%292,190 - 110,554 5%
General Liability Charges 1,236,000 1,250,430 617,750 49%1,250,430 - 601,000 3%
Other Benefit Charges 235,000 235,000 85,364 36%235,000 - 95,740 -11%
Bilingual Pay Charges 16,000 16,000 9,485 59%16,000 - 10,638 -11%
Retirement Charges 3,211,000 3,211,000 1,191,794 37%3,211,000 - 1,259,282 -5%
Investment Interest - - (1,223) 0%- - 10,668 111%
Total Insurance and Benefits Fund 6,898,000 6,954,620 2,785,458 40%6,954,620 - 2,830,337 -2%**
Facilities Operations Fund
Allocated Charges 2,480,450 2,480,450 1,240,307 50%2,480,450 - 1,184,867 5%
Investment Interest 20,000 20,000 (12) 0%20,000 - 34,462 -100%
Other Reimbursements - - 20,750 **- - - **
Transfers In - 1,365 16,364 **16,365 15,000 - **
Total Facilities Operations Fund 2,500,450 2,501,815 1,277,409 51%2,516,815 15,000 1,219,329 5%
INTERNAL SERVICES FUNDS - TOTAL 9,398,450$ 9,456,435$ 4,062,867$ 43% 9,471,435$ 15,000$ 4,049,666$ 0%
TOTAL REVENUES & TRANSFERS IN 91,933,365$ 93,212,925$ 42,440,132$ 46% 94,955,712$ 1,769,787$ 41,611,080$ 2%
(1) - Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 2 - Page 10 of 10
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
GENERAL FUNDS
General Fund
GENERAL GOVERNMENT
Legislation:
City Council 142,915$ 142,740$ 60,546$ 42%142,740$ - 52,694$ 15%
City Manager:
Administration 1,342,495 1,328,260 556,277 42%1,336,370 8,110 587,154 -5%
Human Resources 383,145 388,710 266,724 69%406,710 18,000 159,174 68%
Housing 15,500 20,115 964 **20,115 - - **
City Attorney:
General Services 706,000 706,455 146,149 21%706,455 - 190,898 -23%
Litigation - 440 13,279 3018%13,280 12,840 83,009 -84%
City Clerk 528,600 520,115 238,820 46%520,115 - 304,346 -22%
Finance:
Administration 624,845 617,655 345,084 56%617,655 - 348,001 -1%
Finance 725,310 715,065 242,144 34%715,065 - 352,590 -31%
Business License 116,725 115,525 24,726 21%115,525 - 28,682 -14%
Customer Service 93,475 92,330 59,979 65%92,330 - 23,946 150%
GENERAL GOVERNMENT - TOTAL 4,679,010 4,647,410 1,954,692 42%4,686,360 38,950 2,130,494 -8%
PUBLIC SAFETY
Law Enforcement - OCSD Contract 10,770,185 10,770,185 5,394,669 50%10,770,185 - 5,224,705 3%
Law Enforcement - Other Costs 258,715 258,565 89,148 34%258,565 - 79,164 13%
Public Safety Contract Services 569,900 569,900 76,160 13%265,900 (304,000) 146,849 -48%
A.S.A.P. Volunteer Program 14,200 14,200 662 5%19,200 5,000 5,671 -88%
Emergency Preparedness 8,710 8,710 400 5%8,710 - 1,649 -76%
PUBLIC SAFETY - TOTAL 11,621,710 11,621,560 5,561,039 48%11,322,560 (299,000) 5,458,038 2%
COMMUNITY SERVICES
Administration 831,005 851,030 474,751 56%864,065 13,035 342,727 39%
Facility Operations 222,405 229,765 123,227 54%229,765 - 130,015 -5%
Special Events 169,920 181,565 93,514 52%181,565 - 143,048 -35%
Class Programs 105,220 104,940 29,065 28%104,940 - 48,783 -40%
Athletic Programs 76,330 74,790 32,809 44%74,790 - 41,308 -21%
Youth Programs 95,590 95,100 36,736 39%95,100 - 46,623 -21%
Senior Citizens Services 61,690 61,505 5,961 10%61,505 - 56,598 -89%
Community Center Operations 325,955 330,240 170,745 52%330,240 - 180,232 -5%
Gymnasium Operations 175,995 175,415 85,064 48%175,415 - 96,979 -12%
Park Maintenance - - - 0%- - **
COMMUNITY SERVICES - TOTAL 2,064,110 2,104,350 1,051,872 50%2,117,385 13,035 1,086,313 -3%
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 1 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
DEVELOPMENT SERVICES
Administration 838,790 831,550 423,677 51%831,550 - 405,583 4%
Commissions Boards Committees 3,600 3,600 - 0%3,600 - 45 100%
Planning Services 874,225 937,940 401,948 43%1,047,940 110,000 348,225 15%
Permit Services:
Building Permit Services 439,030 463,365 208,437 45%505,845 42,480 191,228 9%
Environmental Permit Services 10,060 9,795 4,306 44%9,795 - 5,594 -23%
Building Inspection Services 431,065 425,330 185,253 44%425,330 - 171,980 8%
Code Enforcement 375,075 369,525 181,777 49%369,525 - 159,672 14%
DEVELOPMENT SERVICES - TOTAL 2,971,845 3,041,105 1,405,398 46%3,193,585 152,480 1,282,327 10%
PUBLIC WORKS/UTILITIES
Administration 1,226,565 1,216,960 568,044 47%1,216,960 - 553,016 3%
Animal Control - - 43,726 **304,000 304,000
Planning Services 60,095 59,205 23,219 39%59,205 - 16,773.000 100%
Engineering:
General Engineering 458,145 524,560 292,168 56%524,560 - 369,367 -21%
Development Engineering 581,170 608,935 134,277 22%608,935 - 168,277 -20%
Traffic Engineering 292,050 290,925 67,769 23%290,925 - 90,477 -25%
Engineering Inspection Services 110,200 109,005 60,833 56%109,005 - 74,079 -18%
Maintenance and Support:
Building/Facility Operations 14,250 14,250 2,119 15%14,250 - 1,884 12%
General Maintenance 716,680 724,135 309,316 43%736,935 12,800 326,812 -5%
Special Event Support 91,565 94,180 28,868 31%94,180 - 30,838 -6%
Weed Abatement 154,935 154,850 14,969 10%154,850 - 44,079 -66%
Streets and Traffic:
Street Maintenance 425,620 510,400 81,929 16%510,400 - 114,953 -29%
Street Cleaning 155,410 153,895 48,376 31%153,895 - 45,357 **
Street Lighting 169,935 170,135 69,247 41%219,135 49,000 40,078 73%
Traffic Control 161,495 160,970 109,939 68%160,970 - 83,388 32%
Storm and Winter Preparation 70,000 70,000 44,423 63%70,000 - 45,363 -2%
Parks and Open Space:
Parkways, Medians, & Landscaping 431,495 445,270 168,007 38%445,270 - 164,896 2%
Park Maintenance 978,100 978,635 390,418 40%1,001,560 22,925 479,586 -19%
Open Space Maintenance 68,500 68,500 12,401 18%68,500 - 49,867 -75%
Trail Maintenance 150,105 150,105 48,527 32%150,105 - 85,117 -43%
Parking Maintenance 28,885 30,400 8,502 28%30,400 - 8,166 4%
Sports Park Maintenance 482,430 482,225 227,480 47%482,225 - 194,219 17%
Environmental:
NPDES/Water Quality 536,790 535,460 78,737 15%535,460 - 100,636 -22%
Trash/Recycling 67,215 90,880 22,385 25%90,880 - 48,921 -54%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 2 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
Storm Drain Maintenance:
General Services 30,225 30,005 1,448 5%30,005 - 9,183 -84%
System Maintenance 400,760 401,380 29,388 7%401,380 - 141,865 -79%
Emergencies & After Hours Response 7,010 6,990 1,767 25%6,990 - 5,229 -66%
PUBLIC WORKS/UTILITIES - TOTAL 7,869,630 8,082,255 2,888,282 36%8,470,980 388,725 3,292,426 -12%
NON-DEPARTMENTAL
Settlement Payments - 500,000 500,000 100%500,000 - 500,000 100%
Contribution to Stonehill Widening Project - - - **- - - **
Interest on Loan from CCFP Fund to Measure M Fund - - - **- - - **
NON-DEPARTMENTAL - TOTAL - 500,000 500,000 100%500,000 - 500,000 0%
TRANSFERS OUT
To Parking Maintenance Fund 102,435 102,435 51,218 50%102,435 - 45,648 12%
To Debt Service Fund 307,150 307,150 300,625 98%307,150 - 300,205 0%
To Capital Projects Fund 1,965,000 2,593,302 30,742 1%2,593,302 - 40,069 100%
TRANSFERS OUT - TOTAL 2,374,585 3,002,887 382,585 13%3,002,887 - 385,922 -1%
GENERAL FUND - TOTAL 31,580,890 32,999,567 13,743,868 42%33,293,757 294,190 14,135,520 -3%
Parking Maintenance Fund
Finance-Parking Administration 104,495 104,355 30,627 29%104,355 - 96,313 -68%
Public Works-Parking Maintenance 73,415 73,415 28,343 39%82,375 8,960 37,679 -25%
Utilities-Field Customer Service 1,425 1,125 - 0%1,125 - 2,808 -100%
Total Parking Maintenance Fund 179,335 178,895 58,970 33%187,855 8,960 136,800 -57%
SACRA/Housing Authority Administration Fund
City Manager 23,265 21,100 36,805 174%63,100 42,000 41,218 -11%
City Attorney (for former Successor Agency properties)35,000 39,360 35,044 89%44,360 5,000 27,907 26%
City Clerk 6,975 6,735 2,943 44%6,735 - 3,712 -21%
Finance 76,880 74,535 35,050 47%74,535 - 45,641 -23%
Development Services-Housing 75,815 74,600 37,842 51%74,600 - 30,327 25%
Public Works-Lower Rosan Ranch Property Maintenance 10,000 10,000 1,088 11%11,090 1,090 42,241 -97%
Total SACRA/SJCHA Administration Fund 227,935 226,330 148,772 66%274,420 48,090 191,046 -22%
Farm Operations Fund
Farm Management/Operations 71,510 71,510 7,374 **71,510 - 414 1681%
Recycled Water-Well Maintenance 1,365 6,355 144 **11,355 5,000 - **
Total Farm Operations Fund 72,875 77,865 7,518 **82,865 5,000 414 1716%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 3 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
Eastern Open Space Fund
City Manager's Office 44,155 46,825 6,446 14%46,825 - 83,111 -92%
Legal Costs:
General Legal Services 10,000 27,970 100,589 360%137,970 110,000 2,591 3782%
Litigation - 4,685 85,663 1828%85,665 80,980 216,095 -60%
Facility Lease Pursuant to Settlement Agreement 36,000 36,000 18,000 50%36,000 - 21,000 **
Parks and Open Space-Maintenance (Public Works)241,162 221,162 59,163 27%231,362 10,200 76,525 -23%
Total Eastern Open Space Fund 331,317 336,642 269,861 80%537,822 201,180 399,322 -32%
TOTAL GENERAL FUNDS 32,392,352$ 33,819,299$ 14,228,989$ 42%34,376,719$ 557,420$ 14,863,102$ **
SPECIAL REVENUE FUNDS
C&D Forfeited Bonds Fund
Development Services - Administration of Forfeited C&D Deposits 21,615$ 21,310$ 12,825$ 60%21,310$ -$ 4,235$ 100%
Public Works/Utilities - Recycling Programs 2,400 2,400 4,525 189%8,700 6,300 1,579 187%
Transfers Out - General Fund 25,000 25,000 - 0%25,000 - - **
Total C&D Forfeited Bonds Fund 49,015 48,710 17,350 36%55,010 6,300 5,814 198%
C.A.S.P. Program Fund
Development Services - Certified Access Specialist Program (CASP)8,700 8,700 750 9%8,700 - 195 285%
Landscape Maintenance Fund
Medians and Landscape Maintenance 171,490 171,065 54,494 32%171,065 - 58,380 -7%
CDBG/HOME Fund
Housing Administration 480,840 536,415 97,488 18%536,415 - 7,031 1287%
Gas Tax Fund
Transfer Out - General Fund for street maintenance 350,000 350,000 175,000 50%350,000 - 175,000 **
S.O.N.G.S. Fund
Emergency Preparedness 148,389 214,329 66,324 **214,329 - 79,434 -17%
AQMD Fund
Community Services:
Electric Golf Cart - - - 0%- - 11,593 100%
Public Safety:
Law Enforcement (Mounted Police Unit)5,000 5,000 - **5,000 - **
Transfer Out - General Fund for Senior Mobility Transportation Grant Match 14,000 14,000 263 2%14,000 - 3,962 -93%
Transfer Out - General Fund for Trolley Program 21,000 21,000 - 0%21,000 - 11,583 -100%
Total AQMD Fund 40,000 40,000 263 1%40,000 - 27,138 -99%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 4 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
Housing In-Lieu Fund
Loan to C&C Development for the development of the Groves site - 4,800,000 4,800,000 **4,800,000 - - **
Law Enforcement Grants Fund
Transfer Out - General Fund for public safety 150,000 150,000 132,502 88%150,000 - 129,237 3%
Street and Highways Grant Fund
Transfer Out - General Fund (for Trolley Program)190,000 190,000 - 0%190,000 - 104,248 -100%
Other Grants Fund
Community Support - 448,423 406,900 91%404,065 (44,358) - **
Transfer Out - General Fund (for CARES Act)- 79,420 136,447 172%136,455 57,035 - **
Transfer Out - Water Operations Fund(for CARES Act)- 450 449 100%450 - - **
Transfer Out - Facilities Fund (for CARES Act)- 1,365 16,364 1199%16,365 15,000 - **
- 529,658 560,160 106%557,335 27,677 - 0%
Developer Deposits Fund
City Manager's Office 3,075 3,075 8,840 287%3,075 - 2,044 332%
Development Services 429,150 423,250 360,925 85%423,250 - 408,139 -12%
Public Works/Utilities 52,700 51,450 30,923 60%51,450 - 61,402 -50%
Total Developer Deposits Fund 484,925 477,775 400,688 84%477,775 - 471,585 -15%
SPECIAL REVENUE FUNDS - TOTAL 2,073,359$ 6,986,994$ 5,744,859$ 82%7,550,629$ 33,977$ 1,058,257$ 443%
DEBT SERVICE FUND
2011 Judgment Obligation Bonds - Principal and Interest 303,350$ 303,350$ 298,850$ 99%303,350$ -$ 298,125$ 0%
2017 Refunding General Obligation Bonds - Principal and Interest 1,859,010 1,859,010 1,378,532 74%1,859,010 - 1,365,479 **
Measure Y Annual Audit 8,000 8,000 - 0%8,000 - 4,000 -100%
Bond Administration Costs 10,300 10,300 1,775 17%10,300 - 2,080 -15%
Total Debt Service Fund 2,180,660$ 2,180,660$ 1,679,157$ 77%2,180,660$ -$ 1,669,684$ 1%
GENERAL GOVERNMENTAL FUNDS - TOTAL 36,646,371$ 42,986,953$ 21,653,005$ 50%44,108,008$ 591,397$ 17,591,043$ 23%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 5 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
ENTERPRISE FUNDS
Domestic Water Operations
Repayment on Loan from Sewer Funds -$ -$ -$ 0%-$ -$ 651,907$ -100%
Interest on Loan from Sewer Funds - - - 0%- - 2,138 -100%
General Liability and Property Insurance 503,920 503,920 251,960 50%503,920 - 312,902 -19%
Legal Costs:
General Legal Services 50,000 50,000 3,505.0 7%110,000 60,000 5,805 -40%
Litigation - 335 1,764 527%1,765 1,430 20,865 -92%
Special Counsel for Utilities Reorganization Project 101,630 140,245 40,703 29%140,245 - 106,758 100%
Utilities Department-Administration 970,840 954,090 304,637 32%954,090 - 447,083 -32%
Finance:
Customer Service 644,450 638,255 213,159 33%638,255 - 228,248 -7%
Engineering:
General Engineering 286,005 280,345 97,656 35%786,165 505,820 79,835 22%
Development Engineering 111,080 107,835 45,966 43%107,835 - 46,188 0%
Engineering Inspection Services 184,300 180,965 - 0%180,965 - 77,626 -100%
General Services 1,286,160 1,349,045 758,935 56%1,340,945 (8,100) 652,986 16%
Water Conservation 192,170 198,880 29,203 15%115,085 (83,795) 32,658 -11%
Field Customer Service 143,705 141,370 64,087 45%141,370 - 62,529 2%
Strategic Planning 374,835 379,545 78,502 21%210,250 (169,295) 17,739 343%
Regulatory Compliance 45,000 45,000 - 0%45,000 - 43,435 -100%
Import Water Supply 5,843,308 5,843,308 2,991,572 51%5,843,308 - 2,636,290 13%
Distribution & Pumping 229,375 228,135 103,512 45%228,135 - 96,667 7%
System Water Quality 501,491 494,776 217,864 44%494,776 - 162,144 34%
Cross & Backflow Connection 31,005 30,130 1,670 6%30,130 - 14,564 -89%
System Maintenance 792,820 865,730 246,824 29%865,730 - 123,883 99%
Well Maintenance 50,555 50,555 13,954 28%27,055 (23,500) 13,316 5%
Reservoir Maintenance 71,435 71,235 23,949 34%71,235 - 32,188 -26%
Preventative Maintenance 56,850 56,850 14,719 26%56,850 - 17,246 -15%
Booster & Facilities Maintenance 71,865 71,865 29,437 41%71,865 - 13,040 126%
Emergency & After-Hours Response 80,140 79,660 25,628 32%79,660 - 32,935 -22%
Groundwater Recovery Plant (GWRP):
General Services 57,290 57,290 65,251 114%57,290 - 37,747 73%
Regulatory Compliance 3,300 3,300 1,325 **3,300 - - **
Water Quality 122,600 122,600 37,000 30%122,600 - 41,199 -10%
Plant Operations 1,909,820 1,896,475 693,678 37%1,896,475 - 695,192 0%
Well Maintenance 311,375 310,780 65,037 21%310,780 - 78,167 -17%
Reservoir Maintenance 3,500 3,500 5,288 151%3,500 - 3,432 54%
Emergencies Response 100,170 99,565 32,035 32%99,565 - 41,169 -22%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 6 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
Amounts funded by Drought Penalty Revenues:
Extra Staff Help 82,950 80,770 34,014 42%80,770 - 34,227 -1%
Meter Equipment - 1,290 96 **1,290 - - **
Transfers Out - Water Debt Service Fund 2,870,740 2,870,740 1,435,370 50%2,870,740 - 1,476,195 -3%
Transfers Out - Domestic Water Capital Replacement Fund 2,000,000 2,000,000 1,000,000 50%2,000,000 - 1,000,000 0%
Total Domestic Water Operations Fund 20,084,684 20,208,384 8,928,301 44%20,490,944 282,560 9,338,303 **
Water Debt Service Fund
2014A Water Refunding Bonds - Principal and Interest 1,685,665 1,685,665 1,436,383 85%1,685,665 - 1,417,514 1%
2017 Installment Purchase Agreement - Principal and Interest 637,600 637,600 522,000 82%637,600 - 518,240 1%
San Juan Basin Authority Lease Payment 1,905,475 1,905,475 1,658,365 87%1,905,475 - 1,628,135 2%
Bond Administration Costs 10,000 10,000 2,000 20%10,000 - 3,800 -47%
Total Water Debt Service Fund 4,238,740 4,238,740 3,618,748 **4,238,740 - 3,567,689 1%
Non-Potable Water Operations Fund
General Liability Insurance 2,825 2,825 1,413 50%2,825 - 1,165 21%
Finance - Customer Service 8,870 8,870 4,435 50%8,870 - 4,435 **
Engineering:
General Engineering 11,975 11,750 20,738 176%11,750 - 17,126 21%
Development Engineering 27,905 27,340 14,006 51%27,340 - 15,425 -9%
Engineering Inspection Services - - - **- - - **
General Services 1,500 1,500 - **1,500 - - **
Strategic Planning 14,965 14,960 - 0%14,960 - 26,143 -100%
Regulatory Compliance - - - **- - - **
Import Water Supply 334,321 334,321 175,731 53%334,321 - 199,701 -12%
Cross & Backflow Connection 32,860 32,860 220 1%32,860 - 15,343 -99%
System Maintenance 12,135 11,940 3,558 30%11,940 - 7,340 -52%
Well Maintenance 75,815 75,800 16,459 22%75,800 - 14,061 17%
Transfer Out - Non-Potable Water Capital Projects Fund 800,000 800,000 400,000 50%600,000 (200,000) 299,820 33%
Total Non-Potable Water Operations Fund 1,323,171 1,322,166 636,560 48%1,122,166 (200,000) 600,559 6%
WATER ENTERPRISE FUNDS - TOTAL 25,646,595$ 25,769,290$ 13,183,609$ 51%25,851,850$ 82,560$ 13,506,551$ -2%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 7 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
Sewer Operations
General Liability Insurance 9,935$ 9,935$ 4,968$ 50%9,935$ -$ 5,805$ -14%
Finance - Customer Service 184,685 184,685 92,343 50%184,685 - 92,343 0%
Engineering:
General Engineering 48,205 47,165 50,865 108%47,165 - 25,341 101%
Engineering Inspection Services - - - **- - - **
Fats, Oils, and Grease (FOG) Inspection Program 22,000 23,645 - 0%23,645 - 1,457 100%
General Services 78,085 76,485 11,704 15%76,485 - 42,142 -72%
Strategic Planning - - - 0%- - 3,815 -100%
Regulatory Compliance 6,800 6,800 2,848 42%6,800 - 2,625 8%
Lift Stations 60,270 59,760 16,916 28%59,760 - 14,310 18%
Plant 2,190,824 2,371,004 1,185,500 50%2,371,004 - 1,097,642 8%
System Maintenance 822,160 821,385 284,091 35%821,385 - 290,332 -2%
Emergency & After Hours Response 19,025 18,935 7,644 40%18,935 - 6,842 12%
Transfer Out - Capital Replacement Fund 1,995,000 1,995,000 997,500 50%1,995,000 - 750,000 33%
Total Sewer Enterprise Operations Fund 5,436,989 5,614,799 2,654,379 47%5,614,799 - 2,332,654 14%
SEWER ENTERPRISE FUNDS - TOTAL 5,436,989$ 5,614,799$ 2,654,379$ 47%5,614,799$ -$ 2,332,654$ 14%
SJC HOUSING AUTHORITY FUNDS
Housing Authority Administration
Housing Administration 43,940$ 43,940$ 17,878$ 41%43,940$ -$ 14,340$ 25%
Rental Subsidy Program 12,660 12,660 7,385 58%12,660 - 6,330 17%
Total Housing Authority Administration 56,600 56,600 25,263 45%56,600 - 20,670 22%
Little Hollywood Rental Housing
Little Hollywood Rental Housing Program 233,840 233,840 155,630 67%274,840 41,000$ 118,541 31%
Successor Agency Housing Bonds Fund
Affordable Housing Projects - - - **- - - **
SJC HOUSING AUTHORITY FUNDS - TOTAL 290,440$ 290,440$ 180,893$ 62%331,440$ 41,000$ 139,211$ 30%
ENTERPRISE FUNDS - TOTAL 31,374,024$ 31,674,529$ 16,018,881$ 51%31,798,089$ 123,560$ 15,978,416$ 0%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 8 of 9
Proposed Increase or
Adopted Amended Percent Revised Increase Prior Year Decrease
Description Budget Budget (1)YTD Actual Realized Projection (Decrease)YTD Actual From P/Y
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
OPERATING EXPENDITURES & TRANSFERS OUT BY FUND AND ACTIVITY
JULY 1, 2020 THROUGH JUNE 30, 2021
INTERNAL SERVICE FUNDS
Insurance and Benefits
Personnel Benefits and Insurance 5,662,000$ 5,704,190$ 2,342,700$ 41%5,704,190$ - 2,348,275$ 0%
General Liability and Property Insurance 1,236,000 1,250,430 1,217,306 97%1,250,430 - 909,828 34%
Total Insurance and Benefits Fund 6,898,000 6,954,620 3,560,006 51%6,954,620 - 3,258,103 9%
Facilities Operations
Business Services 33,700 33,700 15,733 47%33,700 - 12,858 22%
Information Technology 1,250,165 1,248,030 262,587 21%1,248,030 - 448,069 -41%
Facilities Maintenance 1,154,455 1,197,465 354,840 30%1,255,320 57,855 341,181 4%
Fleet Acquisition & Maintenance 419,250 422,800 88,900 21%422,800 - 135,326 -34%
Total Facilities Operations 2,857,570 2,901,995 722,060 25%2,959,850 57,855 937,434 -23%
INTERNAL SERVICE FUNDS - TOTAL 9,755,570$ 9,856,615$ 4,282,066$ 43%9,914,470$ 57,855 4,195,537$ 2%
TOTAL EXPENDITURES & TRANSFERS OUT 77,775,965$ 84,518,097$ 41,953,952$ 50%85,820,567$ 772,812$ 37,764,996$ 11%
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 3 - Page 9 of 9
Project
No.Description
Adopted
Budget
Amended
Budget(1)
YTD
Actual
Percent
Realized
Proposed Second
Quarter
Adjustments
Revised
Budget
Transportation
07117 I-5 at San Juan Creek Road Underpass Improvements 270,920$ 1,371,667$ 3,603$ 0%-$ 1,371,667$
08102 Pavement Management Program 95,000 95,000 - 0%- 95,000
14103 Camino Las Ramblas and I-5 Northbound Traffic Signal Modification - 291,440 - 0%- 291,440
14106 Verdugo Street Beautification Project - 3,923 9,125 233%- 3,923
14107 Ortega Highway Widening Project (managed by Caltrans)2,334,000 2,671,185 396 0%- 2,671,185
16102 Del Obispo Widening - Via de La Paz - 14,930 - 0%- 14,930
16104 Left Turn Lane at Del Taco - 7,246 - 0%- 7,246
18101 Capistrano Villas I, II, and III Pavement Rehabilitation - 21,190 - 0%- 21,190
19101 Meredith Canyon Street Pavement Rehabilitation 1,458,000 4,058,650 3,163,919 78%- 4,058,650
19102 Camino Capistrano Pavement Rehabilitation (Aeropuerto to Costco)550,000 1,142,820 1,494 0%- 1,142,820
19103 Audible Pedestrian Signals - 40,459 - 0%- 40,459
19104 Traffic Signal Cabinet Upgrades - Fiscal Year 2018/19 - 130,701 6,161 5%- 130,701
20101 Traffic Signal Cabinet Upgrades - Fiscal Year 2019/20 - 123,351 1,193 1%- 123,351
20102 Public Right-of-Way ADA Implementation Plan 72,500 97,500 - 0%- 97,500
20205 Ortega Highway/Del Obispo Gateway Landscape - 468,711 37,084 8%- 468,711
21104 Traffic Signal Cabinet Upgrades 20/21 260,000 260,000 1,884 1%- 260,000
21103 Stonehill Dr Traffic Signal at Lower Rosan 558,500 558,500 - 0%- 558,500
Total Transportation 5,598,920$ 11,357,273$ 3,224,859$ 28%-$ 11,357,273$
Parks and Open Space
07204 Citywide Trail Improvements 75,000$ 109,897$ -$ 0%-$ 109,897$
09209 Northwest Open Space Community Park - 1,808,302 461,639 26%- 1,808,302
17202 Eastern Open Space Trails A and A-1 - 206,565 - 0%- 206,565
18201 Cook La Novia Park Picnic Area Enhancements (115,000) 50,949 - 0%- 50,949
20202 Arizona Crossing Removal 365,000 406,888 11,908 3%- 406,888
20203 Stream Bank Restoration 1,600,000 1,621,414 18,834 1%- 1,621,414
20204 Ramos Street Parking Lot Expansion - 274,311 254,925 93%- 274,311
21201 Skateboard Park - 524,993 - 0%- 524,993
Total Parks and Open Space 1,925,000$ 5,003,319$ 747,306$ 15%-$ 5,003,319$
Buildings and Facilities
15306 ADA Self Evaluation and Transition Plan 152,000$ 735,736$ 2,788$ 0%-$ 735,736$
Total Buildings and Facilities 152,000$ 735,736$ 2,788$ 0%-$ 735,736$
Drainage
20501 Confined Animal Feeding Operations (CAFO) Stormwater -$ 565,000$ -$ 0%-$ 565,000$
Total Drainage -$ 565,000$ -$ 0%-$ 565,000$
CITY OF SAN JUAN CAPISTRANO
CAPITAL IMPROVEMENT PROJECTS (CIP)
JULY 1, 2020 THROUGH JUNE 30, 2021
FY 2020/21
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 4 - Page 1 of 3
Project
No.Description
Adopted
Budget
Amended
Budget(1)
YTD
Actual
Percent
Realized
Proposed Second
Quarter
Adjustments
Revised
Budget
CITY OF SAN JUAN CAPISTRANO
CAPITAL IMPROVEMENT PROJECTS (CIP)
JULY 1, 2020 THROUGH JUNE 30, 2021
FY 2020/21
Domestic Water
07803 Terminal Reservoir No. 3 -$ 45,470$ -$ 0%-$ 45,470$
07811 760S Reservoir - 65,015 - 0%- 65,015
08801 Joint Regional Water Supply System (JRWSS) Joint Transmission Line - 546,715 65,490 12%- 546,715
16804 Water Master Plan Study - 100,000 - 0%- 100,000
17801 San Juan Hills Greens Cathodic Protection System - 350,888 174,439 50%- 350,888
17802 760S Zone Pump Station Discharge Line Replacement 800,000 965,000 - 0%- 965,000
17803 Valve Insertion Program 200,000 485,375 17,407 4%- 485,375
17806 Water Facility Control Systems 200,000 924,637 - 0%- 924,637
17807 Well Facility Equipment Replacement Program 135,000 200,981 41,884 21%- 200,981
19803 GWRP Clear Well Replacement - 350,000 3,639.000 1%- 350,000
19804 Pump Station Component Replacements 460,000 1,225,240 59,738 5%- 1,225,240
19805 Eastern Transmission System Repairs 200,000 675,000 - 0%- 675,000
20801 System Repairs and Upgrade of Appurtenances 1,000,000 1,099,190 19,441 2%- 1,099,190
20802 Safety Access Stair and Platform System - 120,000 - 0%- 120,000
Total Domestic Water 2,995,000$ 7,153,511$ 382,038$ 5%-$ 7,153,511$
Non-Potable Water
17601 Trampas Canyon Recycled Water Reservoir 10,000$ 10,000$ -$ 0%-$ 10,000$
18601 Calle Arroyo Recycled Pipeline 475,000$ 475,000 - 0%- 475,000
19601 Recycled Water Service Conversions - Fiscal Year 2018/19 - 38,533 1,849 5%- 38,533
20601 Recycled Water Service Conversions - Fiscal Year 2019/20 - 110,732 - 0%- 110,732
21602 Recycled Water Master Plan 165,000 165,000 - 0%- 165,000
21601 Recycled Water Service Conversions - 2020/21 170,000 170,000 - 0%- 170,000
Total Non-Potable Water 820,000$ 969,265$ 1,849$ 0%-$ 969,265$
Sewer
07701 South Orange County Wastewater Authority (SOCWA)3,600,000$ 6,319,983$ 420,255$ 7%-$ 6,319,983$
08701 Grease Food Interceptor Program - 125,230 - 0%- 125,230
14702 Las Ramblas/Paseo Activo Slope Replacement - 502,005 - 0%- 502,005
17702 Sewer Flow Metering & SCADA Monitoring Project - 199,010 - 0%- 199,010
18701 Annual Sewer Replacement Program - Fiscal Year 2017/18 - 61,545 - 0%- 61,545
20701 Annual Sewer Replacement Program - Fiscal Year 2019/20 - 656,998 32,839 5%- 656,998
21701 Annual Sewer Replacement Program 2020/21 550,000 550,000 - 0%- 550,000
Total Sewer 4,150,000$ 8,414,771$ 453,094$ 5%-$ 8,414,771$
GRAND TOTAL 15,640,920$ 34,198,875$ 4,811,934$ 14%-$ 34,198,875$
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 4 - Page 2 of 3
Project
No.Description
Adopted
Budget
Amended
Budget(1)
YTD
Actual
Percent
Realized
Proposed Second
Quarter
Adjustments
Revised
Budget
CITY OF SAN JUAN CAPISTRANO
CAPITAL IMPROVEMENT PROJECTS (CIP)
JULY 1, 2020 THROUGH JUNE 30, 2021
FY 2020/21
Funding Source
General Fund 1,965,000$ 2,593,302$ 30,742$ 1%-$ 2,593,302$
Road Maintenance Rehabilitation Account (RMRA) (SB-1)614,000 1,741,650 1,741,650 100%- 1,741,650
Systems Development Fund 550,000 1,146,743 10,619 1%- 1,146,743
Park/Recreation Fund (40,000) 1,046,871 254,925 24%- 1,046,871
Gas Tax Fund 471,500 1,454,767 9,236 1%- 1,454,767
829,420 2,573,722 3,998 0%- 2,573,722
Measure M Turnback Fund 800,000 1,612,680 1,422,269 88%- 1,612,680
Streets & Highways Grant Fund 2,334,000 2,334,000 - 0%- 2,334,000
Open Space Fund - 1,024,705 315,070 31%- 1,024,705
Community Facilities District Bonds Fund - 1,372,152 183,654 13%- 1,372,152
Domestic Water Capital Replacement 2,775,000 6,105,013 190,192 3%- 6,105,013
Domestic Water Capital Improvement Fund 200,000 1,010,703 191,846 19%- 1,010,703
Non-Potable Water Capital Improvement Fund 840,000 1,061,730 1,849 0%- 1,061,730
Sewer Capital Replacement Fund 2,362,000 4,867,693 32,839 1%- 4,867,693
Sewer Capital Improvement Fund 1,788,000 3,492,408 420,255 12%- 3,492,408
Facilities Operations Fund 152,000 760,736 2,790 0%- 760,736
GRAND TOTAL 15,640,920$ 34,198,875$ 4,811,934$ 14%-$ 34,198,875$
CCFP Fund
(1) Includes adjustments approved by City Council between July 1 and December 31, 2020.ATTACHMENT 4 - Page 3 of 3
Revenue Expenditure
Description Adjustment Adjustment
GENERAL FUND ‐ 01
Increase budgeted property tax revenue based on actual County tax levy for Fiscal Year 2020‐21 113,860
Increase budgeted sales tax revenue, as determined by sales tax consultant (HdL, Inc.)1,229,000
City Attorney:
Adjust for actual litigation costs incurred to date 12,840
Public Works:
COVID‐19 expenditures and related CARES Act funding 26,000 26,000
Blight abatement ‐ public rights of way 4,800
Blight abatement ‐ parks 4,925
Street light knockdown repairs 49,000
Transfer animal control contract to Public Works 304,000
Development Services:
Updated projection of Fiscal Year 2020‐21 permit revenues 254,000
Local Early Action Planning (LEAP) grant for Housing Element 150,000
Increase appropriation for Housing Element contract 110,000
Temporary staffing services for the Building Division 42,480
Community Services
COVID‐19 expenditures and related CARES Act funding 13,035 13,035
Revised revenue estimates for Community Services (46,000)
Public Safety:
Transfer animal control contract to Public Works (304,000)
SDGE grant for emergency preparedness 5,000 5,000
City Manager:
COVID‐19 expenditures and related CARES Act funding 18,000 18,000
Increase budget for survey and mapping services 8,110
1,762,895 294,190
PARKING MAINTENANCE FUND
Portable restrooms and temporary fencing for Los Rios parking lot 8,960
TOTAL PARKING MAINTENANCE FUND ‐ 8,960
City of San Juan Capistrano
FY 2020/21
PROPOSED BUDGET ADJUSTMENTS
ATTACHMENT 5 - Page 1 of 3
Revenue Expenditure
Description Adjustment Adjustment
City of San Juan Capistrano
FY 2020/21
PROPOSED BUDGET ADJUSTMENTS
SACRA/HOUSING AUTHORITY ADMINISTRATION FUND
Staff time relating to the sales of Lower Rosan Ranch and downtown properties 42,000
Legal services for the sale of Lower Rosan Ranch, which will be funded from sales proceeds 5,000
Lower Rosan blight abatement 1,090
TOTAL SACRA/HOUSING AUTHORITY ADMINISTRATION FUND ‐ 48,090
FORFEITED CONSTRUCTION AND DEMOLITION (C&D) BONDS FUND
Staff time for recycling program 6,300
TOTAL FORFEITED CONSTRUCTION AND DEMOLITION (C&D) BONDS FUND ‐ 6,300
FARM OPERATIONS FUND
Water service improvements on City property and related lessee reimbursement 2,000 5,000
TOTAL FARM OPERATIONS FUND 2,000 5,000
EASTERN OPEN SPACE FUND
Vandalism repairs at Reata Park House 10,200
Adjustment of budget for legal services 110,000
Expenditures associated with Coastkeeper consent decree, offset by anticipated recoveries
(insurance, etc.)80,980 80,980
TOTAL EASTERN OPEN SPACE FUND 80,980 201,180
OTHER GRANTS FUND
Carryover of unexpended prior year County CARES Act revenue 108,912
Reclassify first quarter CARES funding to the funds that incurred the eligible costs (44,358)
Transfer to General Fund for COVID‐19 expenditures 57,035
Transfer to Facilities Fund for COVID‐19 expenditures 15,000
TOTAL OTHER GRANTS FUND 108,912 27,677
DOMESTIC WATER OPERATIONS FUND
Increase annual budget for general legal services 60,000
Cost of additional imported water due to reduced GWRP production 505,820
Reduction in GWRP operating expenses due to reduced production (284,690)
Litigation costs related to Daneshmand water rate refund class action 1,430
TOTAL DOMESTIC WATER OPERATIONS FUND ‐ 282,560
NON‐POTABLE WATER CAPITAL IMPROVEMENT FUND
Reduce CIP transfer from Non‐Potable Water Operations Fund (200,000)
TOTAL NON‐POTABLE WATER CAPITAL IMPROVEMENT FUND (200,000) ‐
ATTACHMENT 5 - Page 2 of 3
Revenue Expenditure
Description Adjustment Adjustment
City of San Juan Capistrano
FY 2020/21
PROPOSED BUDGET ADJUSTMENTS
NON‐POTABLE WATER OPERATIONS FUND
Reduce CIP transfer to Non‐Potable Water Capital Improvement Fund (200,000)
TOTAL NON‐POTABLE WATER OPERATIONS FUND ‐ (200,000)
FACILITIES OPERATIONS FUND
Modifications to KR center for reopening after COVID‐19 42,855
COVID‐19 expenditures and related CARES Act funding 15,000 15,000
TOTAL FACILITIES OPERATIONS FUND 15,000 57,855
LITTLE HOLLYWOOD RENTAL HOUSING FUND
Legal costs for a tenant matter 41,000
TOTAL LITTLE HOLLYWOOD RENTAL HOUSING FUND ‐ 41,000
GRAND TOTAL ‐ ALL FUNDS 1,769,787$ 772,812$
ATTACHMENT 5 - Page 3 of 3
Fund
Total
Previous
Quarter
Adjustments
Previously
Approved
Council Actions
(1)
Proposed
Second Quarter
Adjustments
Total Second
Quarter
Adjustments
Total
Adjustments
by Fund
Fund 1- GENERAL FUND 79,420$ -$ 1,762,895$ 1,762,895$ 1,842,315$
Fund 2- PARKING MAINTENANCE FUND - - - - -
Fund 4- SACRA/HOUSING AUTHORITY ADMINISTRATION FUND - - - - -
Fund 5- FORFEITED C&D BONDS FUND - - - - -
Fund 6- ROAD MAINTENANCE AND REHABILITATION ACCOUNT (RMRA)- - - - -
Fund 10- SYSTEMS DEVELOPMENT FUND - - - - -
Fund 11- PARK/RECREATION DEVELOPER FEES FUND - - - - -
Fund 12- DRAINAGE FUND - - - - -
Fund 13- AG PRESERVATION FEES FUND - - - - -
Fund 14- LANDSCAPE MAINTENANCE DISTRICTS FUND - - - - -
Fund 15- FARM OPERATIONS FUND - - 2,000 2,000 2,000
Fund 16- CDBG/HOME FUND - - - - -
Fund 17- GAS TAX FUND - - - - -
Fund 18- CCFP FUND - - - - -
Fund 19- EASTERN OPEN SPACE FUND 4,685 - 80,980 80,980 85,665
Fund 25- DEVELOPER DEPOSITS FUND - - - - -
Fund 30- S.O.N.G.S. FUND - - - - -
Fund 31- AQMD/AB2766 FUND - - - - -
Fund 32- MEASURE M FUND - - - - -
Fund 33- HOUSING IN-LIEU FEE FUND - - - - -
Fund 34- LAW ENFORCEMENT GRANTS FUND - - - - -
Fund 36- PARK REC AND OS PROJECT GRANTS FUND - - - - -
Fund 37- HWY, STREET, AND ROAD PROJECT GRANTS FUND - - - - -
Fund 38 - OTHER GRANTS FUND 448,423 - 108,912 108,912 557,335
Fund 40- DEBT SERVICE FUND - - - - -
Fund 50- CAPITAL PROJECTS FUND - - - - -
Fund 51- OPEN SPACE ACQ/CONSTRUCTION FUND - - - - -
Fund 52- COMMUNITY FACILITIES DISTRICT BONDS FUND - - - - -
Fund 53- SUCCESSOR AGENCY NON-HOUSING BONDS FUND - - - - -
Fund 60- WATER ENTERPRISE-OPERATIONS FUND 450 - - - 450
Fund 61- WATER ENTERPRISE-DEBT SERVICE FUND - - - - -
Fund 63- WATER ENTERPRISE-REPLACEMENT FUND - - - - -
Fund 64- WATER ENTERPRISE-CIP FUND - - - - -
Fund 65- WATER ENTERPRISE-NON-POTABLE CIP FUND - - (200,000) (200,000) (200,000)
Fund 66- WATER ENTERPRISE-NON-POTABLE OPERATIONS FUND - - - - -
Fund 70- SEWER ENTERPRISE OPERATIONS FUND - - - - -
Fund 71- SEWER REPLACEMENT CIP FUND - - - - -
Fund 72- SEWER IMPROVEMENT CIP FUND - - - - -
Fund 80- INSURANCE/BENEFITS FUND 56,620 - - - 56,620
Fund 81- FACILITIES OPERATIONS FUND 1,365 - 15,000 15,000 16,365
Fund 21 - SJCHA HOUSING ADMINISTRATION FUND - - - - -
Fund 22 - SJCHA LITTLE HOLLYWOOD RENTAL HOUSING FUND - - - - -
Fund 23 - SJCHA SUCCESSOR AGENCY HOUSING BONDS FUND - - - - -
Totals 590,963$ -$ 1,769,787$ 1,769,787$ 2,360,750$
CITY OF SAN JUAN CAPISTRANO
FY 2020/21
REVENUE ADJUSTMENTS SUMMARY
JULY 1, 2020 THROUGH JUNE 30, 2021
Second Quarter
(1) Includes adjustments approved by City Council between October 1 and December 31, 2020.
ATTACHMENT 6
Fund
Total Previous
Quarter
Adjustments
Previously
Approved
Council Actions
(1)
Proposed
Second
Quarter
Adjustments
Total Second
Quarter
Adjustments
Total
Adjustments by
Fund
Fund 1- GENERAL FUND (51,610)$ 1,470,287$ 294,190$ 1,764,477$ 1,712,867$
Fund 2- PARKING MAINTENANCE FUND (440) - 8,960 8,960 8,520
Fund 4- SACRA/SJCHA ADMINISTRATION FUND (1,605) - 48,090 48,090 46,485
Fund 5- FORFEITED C&D BONDS FUND (305) - 6,300 6,300 5,995
Fund 6- ROAD MAINTENANCE AND REHABILITATION ACCOUNT (RMRA)- 1,127,650 - 1,127,650 1,127,650
Fund 10- SYSTEMS DEVELOPMENT FUND - 596,743 - 596,743 596,743
Fund 11- PARK/RECREATION DEVELOPER FEES FUND 337,237 749,634 - 749,634 1,086,871
Fund 12- DRAINAGE FUND - - - - -
Fund 13- AG PRESERVATION FEES FUND - - - - -
Fund 14- LANDSCAPE MAINTENANCE DISTRICTS FUND (425) - - - (425)
Fund 15- FARM OPERATIONS FUND 4,990 - 5,000 5,000 9,990
Fund 16- CDBG/HOME FUND (325) 55,900 - 55,900 55,575
Fund 17- GAS TAX FUND (25,000) 1,008,267 - 1,008,267 983,267
Fund 18- CCFP FUND - 1,744,302 - 1,744,302 1,744,302
Fund 19- EASTERN OPEN SPACE FUND (15,315) 20,640 201,180 221,820 206,505
Fund 25- DEVELOPER DEPOSITS FUND - - - - -
Fund 30- S.O.N.G.S. FUND (1,505) - - - (1,505)
Fund 31- AQMD/AB2766 FUND - - - - -
Fund 32- MEASURE M FUND - 812,680 - 812,680 812,680
Fund 33- HOUSING IN-LIEU FEE FUND 4,800,000 - - - 4,800,000
Fund 34- LAW ENFORCEMENT GRANTS FUND - - - - -
Fund 36- PARK REC AND OS PROJECT GRANTS FUND - - - - -
Fund 37- HWY, STREET, AND ROAD PROJECT GRANTS FUND - - - - -
Fund 38- OTHER GRANTS FUND 529,658 - 27,677 27,677 557,335
Fund 40- DEBT SERVICE FUND - - - - -
Fund 50- CAPITAL PROJECTS FUND 524,993 - - - 524,993
Fund 51- OPEN SPACE ACQ/CONSTRUCTION FUND - 1,024,705 - 1,024,705 1,024,705
Fund 52- COMMUNITY FACILITIES DISTRICT BONDS FUND 187,756 1,184,396 - 1,184,396 1,372,152
Fund 53- SUCCESSOR AGENCY NON-HOUSING BONDS FUND - - - - -
Fund 60- WATER ENTERPRISE-OPERATIONS FUND (9,265) 132,965 282,560 415,525 406,260
Fund 61- WATER ENTERPRISE-DEBT SERVICE FUND - - - - -
Fund 63- WATER ENTERPRISE-REPLACEMENT FUND - 3,330,013 - 3,330,013 3,330,013
Fund 64- WATER ENTERPRISE-CIP FUND - 810,703 - 810,703 810,703
Fund 65- WATER ENTERPRISE-NON-POTABLE CIP FUND - 221,730 - 221,730 221,730
Fund 66- WATER ENTERPRISE-NON-POTABLE OPERATIONS FUND (1,005) - (200,000) (200,000) (201,005)
Fund 70- SEWER ENTERPRISE OPERATIONS FUND 176,165 1,645.000 - 1,645 177,810
Fund 71- SEWER REPLACEMENT CIP FUND - 2,505,693 - 2,505,693 2,505,693
Fund 72- SEWER IMPROVEMENT CIP FUND - 1,704,408 - 1,704,408 1,704,408
Fund 80- INSURANCE/BENEFITS FUND 56,620 - - - 56,620
Fund 81- FACILITIES OPERATIONS FUND 64,900 588,261 57,855 646,116 711,016
Fund 21 - SJCHA HOUSING ADMINISTRATION FUND - - - - -
Fund 22 - SJCHA LITTLE HOLLYWOOD RENTAL HOUSING FUND - - 41,000 41,000 41,000
Fund 23 - SJCHA SUCCESSOR AGENCY HOUSING BONDS FUND - - - - -
Totals 6,575,519$ 19,090,622$ 772,812$ 19,863,434$ 26,438,953$
City of San Juan Capistrano
FY 2020/21
EXPENDITURE ADJUSTMENTS SUMMARY
JULY 1, 2020 THROUGH JUNE 30, 2021
Second Quarter
(1) Includes adjustments approved by City Council between October 1 and December 31, 2020.
ATTACHMENT 7
Net
Change
Description Fund Amount to Budget
NONE
-
-
-
-
-
-
-
-
-
-
-
-
TOTAL ADMINISTRATIVE BUDGET CHANGES APPROVED DURING QUARTER -$ -$
City of San Juan Capistrano
FY 2020/21
ADMINISTRATIVE BUDGET TRANSFERS(1)
OCTOBER 1 THROUGH DECEMBER 31, 2020
(1)This schedule displays budget transfers between the operating accounts of a fund that are approved administratively. These budget transfers did not
change the total amount appropriated by City Council for any fund, unless the appropriation was offset by additional revenue that was not included in the
City's Fiscal Year 2020/21 budget.
ATTACHMENT 8
SOFTWARE AS A SERVICE AGREEMENT
This Software as a Service Agreement is made between Tyler Technologies, Inc. and Client.
WHEREAS, Client selected Tyler to provide certain products and services set forth in the Investment
Summary, including providing Client with access to Tyler’s proprietary software products, and Tyler
desires to provide such products and services under the terms of this Agreement.
WHEREAS, Tyler and Client have negotiated a Statement of Work to define the products and services
that will be provided by Tyler pursuant to this Agreement;
NOW THEREFORE, in consideration of the foregoing and of the mutual covenants and promises set forth
in this Agreement, Tyler and Client agree as follows:
SECTION A – DEFINITIONS
• “Agreement” means this Software as a Services Agreement.
• “Business Travel Policy” means our business travel policy. A copy of our current Business Travel
Policy is attached as Schedule 1 to Exhibit B.
• “Client” means the City of San Juan Capistrano, California.
• “Data” means your data necessary to utilize the Tyler Software.
• “Data Storage Capacity” means the contracted amount of storage capacity for your Data
identified in the Investment Summary.
• “Defect” means a failure of the Tyler Software to substantially conform to the functional
descriptions set forth in our written proposal to you, the current Documentation, or their
functional equivalent. Future functionality may be updated, modified, or otherwise enhanced
through our maintenance and support services, and the governing functional descriptions for
such future functionality will be set forth in our then-current Documentation.
• “Defined Users” means the number of users that are authorized to use the SaaS Services. The
Defined Users for the Agreement are as identified in the Investment Summary.
• “Developer” means a third party who owns the intellectual property rights to Third Party
Software.
• “Documentation” means any online or written documentation related to the use or
functionality of the Tyler Software that we provide or otherwise make available to you, including
instructions, user guides, manuals and other training or self-help documentation.
• “Effective Date” means the date by which both your and our authorized representatives have
signed the Agreement.
• “Force Majeure” means an event beyond the reasonable control of you or us, including, without
limitation, governmental action, war, riot or civil commotion, fire, natural disaster, public health
emergency, or any other cause that could not with reasonable diligence be foreseen or
prevented by you or us.
• “Investment Summary” means the agreed upon cost proposal for the products and services
ATTACHMENT 9 - Page 1 of 99
attached as Exhibit A.
• “Invoicing and Payment Policy” means the invoicing and payment policy. A copy of our current
Invoicing and Payment Policy is attached as Exhibit B.
• “Phase” shall mean the particular phase/stage of implementation of the Tyler Software and
Services as set forth in the Statement of Work.
• “Project Schedule” means the schedule for the performance of the Services as set forth in the
Statement of Work.
• “SaaS Fees” means the fees for the SaaS Services identified in the Investment Summary.
• “SaaS Services” means software as a service consisting of system administration, system
management, and system monitoring activities that Tyler performs for the Tyler Software, and
includes the right to access and use the Tyler Software, receive maintenance and support on the
Tyler Software, including Downtime resolution under the terms of the SLA, and Data storage and
archiving. SaaS Services do not include support of an operating system or hardware, support
outside of our normal business hours, or training, consulting or other professional services.
• “SLA” means the service level agreement. A copy of our current SLA is attached hereto as
Exhibit C.
• “Statement of Work” means the scope of work that sets forth in detail the services to be
performed by Tyler describing how our professional services will be provided to implement the
Tyler Software, and outlining your and our roles and responsibilities in connection with that
implementation. The Statement of Work is attached as Exhibit E.
• “Support Call Process” means the support call process applicable to all of our customers who
have licensed the Tyler Software. A copy of our current Support Call Process is attached as
Schedule 1 to Exhibit C.
• “Third Party Hardware” means the third party hardware, if any, identified in the Investment
Summary.
• “Third Party Products” means the Third Party Software and Third Party Hardware.
• “Third Party Services” means the third party services, if any, identified in the Investment
Summary.
• “Third Party Software” means the third party software, if any, identified in the Investment
Summary.
• “Third Party Terms” means, if any, the end user license agreement(s) or similar terms for the
Third Party Software, as applicable and attached as Exhibit D.
• “Tyler” means Tyler Technologies, Inc., a Delaware corporation.
• “Tyler Software” means our proprietary software, including any integrations, custom
modifications, and/or other related interfaces identified in the Investment Summary and
licensed by us to you through this Agreement.
• “we”, “us”, “our” and similar terms mean Tyler.
• “you” and similar terms mean Client.
SECTION B – SAAS SERVICES
1. Rights Granted. We grant to you the non-exclusive, non-assignable limited right to use the SaaS
Services solely for your internal business purposes for the number of Defined Users only. The Tyler
Software will be made available to you according to the terms of the SLA. You acknowledge that we
have no delivery obligations and we will not ship copies of the Tyler Software as part of the SaaS
Services. You may use the SaaS Services to access updates and enhancements to the Tyler Software,
as further described in Section C(9). The foregoing notwithstanding, to the extent we have sold you
ATTACHMENT 9 - Page 2 of 99
perpetual licenses for Tyler Software, if and listed in the Investment Summary, for which you are
receiving SaaS Services, your rights to use such Tyler Software are perpetual, subject to the terms
and conditions of this Agreement including, without limitation, Section B(4). We will make any such
software available to you for download.
2. SaaS Fees. You agree to pay us the SaaS Fees. Those amounts are payable in accordance with our
Invoicing and Payment Policy. The SaaS Fees are based on the number of Defined Users and amount
of Data Storage Capacity. You may add additional users or additional data storage capacity on the
terms set forth in Section H(1). In the event you regularly and/or meaningfully exceed the Defined
Users or Data Storage Capacity, we reserve the right to charge you additional fees commensurate
with the overage(s). Tyler will give Client notice if it is within ten percent (10%) of its Data Storage
Capacity and the opportunity to increase such Data Storage Capacity or purge unneeded or
historical data. If Client exceeds the number of Defined Users inadvertently, there will be no
additional charge provided that such exceedance does not recur within the next six (6) month
period.
3. Ownership.
3.1 We retain all ownership and intellectual property rights to the SaaS Services, the Tyler Software,
and anything developed by us under this Agreement. You do not acquire under this Agreement
any license to use the Tyler Software in excess of the scope and/or duration of the SaaS Services.
3.2 The Documentation is licensed to you and may be used and copied by your employees for
internal, non-commercial reference purposes only.
3.3 You retain all ownership and intellectual property rights to the Data. You expressly recognize
that except to the extent necessary to carry out our obligations contained in this Agreement, we
do not create or endorse any Data used in connection with the SaaS Services.
4. Restrictions. You may not: (a) make the Tyler Software or Documentation resulting from the SaaS
Services available in any manner to any third party for use in the third party’s business operations;
(b) modify, make derivative works of, disassemble, reverse compile, or reverse engineer any part of
the SaaS Services; (c) access or use the SaaS Services in order to build or support, and/or assist a
third party in building or supporting, products or services competitive to us; or (d) license, sell, rent,
lease, transfer, assign, distribute, display, host, outsource, disclose, permit timesharing or service
bureau use, or otherwise commercially exploit or make the SaaS Services, Tyler Software, or
Documentation available to any third party other than as expressly permitted by this Agreement.
5. Software Warranty. We warrant that the Tyler Software will perform without Defects during the
term of this Agreement. If the Tyler Software does not perform as warranted, we will use all
reasonable efforts, consistent with industry standards, and at no cost to you, to cure the Defect in
accordance with the maintenance and support process set forth in Section C(9), below, the SLA and
our then current Support Call Process.
6. SaaS Services.
6.1 Our SaaS Services are audited at least yearly in accordance with the AICPA’s Statement on
Standards for Attestation Engagements (“SSAE”) No. 18. We have attained, and will maintain,
ATTACHMENT 9 - Page 3 of 99
SOC 1 and SOC 2 compliance, or its equivalent, for so long as you are timely paying for SaaS
Services. Upon execution of a mutually agreeable Non-Disclosure Agreement (“NDA”), we will
provide you with a summary of our compliance report(s) or its equivalent. Every year
thereafter, for so long as the NDA is in effect and in which you make a written request, we will
provide that same information.
6.2 You will be hosted on shared hardware in a Tyler data center or in a third-party data center. In
either event, databases containing your Data will be dedicated to you and inaccessible to our
other customers.
6.3 We have fully-redundant telecommunications access, electrical power, and the required
hardware to provide access to the Tyler Software in the event of a disaster or component
failure. In the event any of your Data has been lost or damaged due to an act or omission of
Tyler or its subcontractors or due to a defect in Tyler’s software, we will use best commercial
efforts to restore all the Data on servers in accordance with the architectural design’s
capabilities and with the goal of minimizing any Data loss as greatly as possible. In no case shall
the recovery point objective (“RPO”) exceed a maximum of twenty-four (24) hours from
declaration of disaster. For purposes of this subsection, RPO represents the maximum tolerable
period during which your Data may be lost, measured in relation to a disaster we declare, said
declaration will not be unreasonably withheld.
6.4 In the event we declare a disaster, our Recovery Time Objective (“RTO”) is twenty-four (24)
hours. For purposes of this subsection, RTO represents the amount of time, after we declare a
disaster, within which your access to the Tyler Software must be restored.
6.5 We conduct annual penetration testing of either the production network and/or web
application to be performed. We will maintain industry standard intrusion detection and
prevention systems to monitor malicious activity in the network and to log and block any such
activity. We will provide you with a written or electronic record of the actions taken by us in the
event that any unauthorized access to your database(s) is detected as a result of our security
protocols. We will undertake an additional security audit, on terms and timing to be mutually
agreed to by the parties, at your written request. You may not attempt to bypass or subvert
security restrictions in the SaaS Services or environments related to the Tyler Software.
Unauthorized attempts to access files, passwords or other confidential information, and
unauthorized vulnerability and penetration test scanning of our network and systems (hosted or
otherwise) is prohibited without the prior written approval of our IT Security Officer.
6.6 We test our disaster recovery plan on an annual basis. Our standard test is not client-specific.
Should you request a client-specific disaster recovery test, we will work with you to schedule
and execute such a test on a mutually agreeable schedule. At your written request, we will
provide test results to you within a commercially reasonable timeframe after receipt of the
request.
6.7 We will be responsible for importing back-up and verifying that you can log-in. You will be
responsible for running reports and testing critical processes to verify the returned Data.
6.8 We provide secure Data transmission paths between each of your workstations and our servers.
ATTACHMENT 9 - Page 4 of 99
6.9 Tyler data centers are accessible only by authorized personnel with a unique key entry. All other
visitors to Tyler data centers must be signed in and accompanied by authorized personnel.
Entry attempts to the data center are regularly audited by internal staff and external auditors to
ensure no unauthorized access.
6.10 Where applicable with respect to our applications that take or process card payment data, we
are responsible for the security of cardholder data that we possess, including functions relating
to storing, processing, and transmitting of the cardholder data and affirm that, as of the
Effective Date, we comply with applicable requirements to be considered PCI DSS compliant and
have performed the necessary steps to validate compliance with the PCI DSS. We agree to
supply the current status of our PCI DSS compliance program in the form of an official
Attestation of Compliance, which can be found at https://www.tylertech.com/about-
us/compliance, and in the event of any change in our status, will comply with applicable notice
requirements.
6.11 Upon your advance written notice, we will provide for electronic download a full back up of all
Data which is hosted on our servers within five (5) business days. We reserve the right to charge
you an administrative fee depending on the frequency of your requests.
SECTION C – OTHER PROFESSIONAL SERVICES
1. Other Professional Services. We will provide you with qualified personnel familiar with Tyler
Software to provide the Services. The fees for and quantity of Services will be as set forth in the
Investment Summary. You will receive those services as described in the Statement of Work, which
outlines roles and responsibilities in calendar and project documentation.
2. Professional Services Fees. You agree to pay us the professional services fees in the amounts set
forth in the Investment Summary. Those amounts are payable in accordance with our Invoicing and
Payment Policy. You acknowledge that the fees stated in the Investment Summary are good-faith
estimates of the amount of time and materials required for your implementation. We will bill you
the actual fees incurred based on the in-scope services provided to you. Any discrepancies in the
total values set forth in the Investment Summary will be resolved by multiplying the applicable
hourly rate by the quoted hours.
3. Project Staffing. We agree to the following regarding our personnel:
3.1 Services will be provided by our personnel in accordance with the requirements of the
Statement of Work.
3.2 As a general principal, Tyler will use reasonable efforts to maintain the continuity of its
personnel to provide a team that is knowledgeable about the requirements of the Client in
connection with carrying out the Services. In the event any of our personnel are, in your
reasonable opinion, uncooperative, inept, incompetent, or otherwise do not conform to the
warranties herein, we will be given an opportunity to correct the deficiency. In the event the
deficiency persists, you may request via written request to us, the removal of the personnel in
question. We will work towards a mutually agreeable remedy in the event of a change in
personnel, including managing the effect upon the timelines and milestones set forth in the
Statement of Work and the Project Schedule. The replacement personnel will be timely
ATTACHMENT 9 - Page 5 of 99
assigned. Replacement personnel shall, at no additional cost to you, devote sufficient time to
becoming familiar with the project before delivering services to you.
3.3 We will make commercially reasonable efforts not to remove our personnel during your
implementation. If we determine such a removal is necessary, we will replace and assign a
replacement as soon as reasonably possible.
4. Additional Services. The Investment Summary contains, and the Statement of Work describes, the
scope of services and related costs (including programming and/or interface estimates, if and as
applicable) required for the project based on our understanding of the specifications you supplied.
If additional work is required beyond the scope as described herein, or if you request additional
services, we will provide you with an addendum or change order, as applicable, outlining the costs
for the additional work and any impact on the Project Schedule. The price quotes in the addendum
or change order will be valid for thirty (30) days from the date of the quote.
5. Cancellation. If travel is required, we will make all reasonable efforts to schedule travel for our
personnel, including arranging travel reservations, at least two (2) weeks in advance of
commitments. Therefore, if you repeatedly, with “repeatedly” understood to mean more than one
time in a calendar year, cancel mutually scheduled services less than two (2) weeks in advance
(other than for Force Majeure or breach by us), you will be liable for all (a) non-refundable expenses
incurred by us on your behalf, and (b) daily fees associated with cancelled professional services if we
are unable to reassign our personnel. We will make all reasonable efforts to reassign personnel in
the event you cancel within two (2) weeks of scheduled commitments.
6. Services Warranty. We will perform the services in a professional, workmanlike manner, consistent
with industry standards and the requirements set forth in the Statement of Work. We further agree
at all times to maintain an adequate staff of experienced and qualified employees for efficient
performance under this Agreement. In the event we provide services that do not conform to this
warranty, we will re-perform such services at no additional cost to you.
7. Covenants of Tyler.
7.1 Tyler agrees that all persons working for or on behalf of Tyler whose duties bring them upon the
Client’s premises shall obey the rules and regulations that are established by the Client and
communicated to Tyler in advance of the Effective Date and shall comply with the reasonable
directions of the Client’s officers.
7.2 Tyler agrees that, in the event of an accident caused by Tyler, Tyler will timely notify the Client’s
contact person and thereafter, if requested, furnish a full written report of such accident.
7.3 Tyler shall perform the services contemplated in the Agreement without interfering in any way
with the activities of the Client’s staff or visitors, except as reasonably necessary to perform the
requirements of this Agreement.
7.4 Tyler and its employees or agents shall have the right to use only those facilities of the Client
that are reasonably necessary to perform services under this Agreement and shall have no right
to access any other facilities of the Client. The Client shall also extend parking privileges to
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properly identified members of Tyler's full-time staff on the same basis as they are extended to
the Client’s staff
8. Site Access and Requirements. Subject to coordination with the City Project Manager, At no cost to
us, you agree to provide us with full and free access to your personnel, facilities, and equipment as
may be reasonably necessary for us to provide implementation services, subject to any reasonable
security protocols or other written policies provided to us as of the Effective Date, and thereafter as
mutually agreed to by you and us.
9. Background Checks. For at least the past twelve (12) years, all of our employees have undergone
criminal background checks prior to hire. All employees sign our confidentiality agreement and
security policies.
10. Client Assistance. You acknowledge that the implementation of the Tyler Software is a cooperative
process requiring the time and resources of your personnel. You agree to use all reasonable efforts
to cooperate with and assist us as may be reasonably required to meet the agreed upon project
deadlines and other milestones for implementation as agreed to in the Project Schedule. This
cooperation includes at least working with us to schedule the implementation-related services
outlined in this Agreement and the Statement of Work. We will not be liable for failure to meet any
deadlines and milestones when such failure is due to Force Majeure or to the failure by your
personnel to provide such cooperation and assistance (either through action or omission).
Notwithstanding the foregoing, in the event that your personnel have not provided cooperation or
information necessary for Tyler to timely perform the Services, Tyler will give prompt written notice
of such failure and the expected impact on the Project Schedule to you so that you can take
remedial action.
11. Project Schedule/Acceptance Testing.
11.1 The parties will develop a project schedule that details both Tyler and Client’s responsibilities,
timeline for project activities, phases, milestones, and deliverables (“Project Schedule”) in
connection with Tyler’s performance of the Services. The Project Schedule should be in
sufficient detail to specify the deliverables, conversion, training, testing, acceptance,
configuration, modification, integration, and live operation activities. The Project Schedule will
comply with any agreed upon major milestones or project completion dates.
11.2 In an effort to ensure that smooth implementation of the Services and assist the Parties in
adhering to the Project Schedule, as the same may be revised from time to time in accordance
with the Statement of Work, Tyler has agreed to assign an experienced project manager that
has multiple successful implementations of the Tyler Software being acquired by Client.
11.3 Tyler Software Acceptance. The Client will use the following acceptance process for each
Phase, as defined in the Statement of Work:
11.3.1 At the end of each Phase, Client will have a maximum of a forty-five (45) calendar day
“Test Period” to test the Tyler Software in live production that is made available
during such Phase as part of the SaaS Services and report documented Defects. If
there are no Defects reported during the Test Period the Client shall issue “Phase
Acceptance.” If Client reports a documented Defect during the Test Period, Client will
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notify Tyler in writing. Tyler will correct the Defect(s) or provide a mutually agreeable
plan for future resolution of any Defect(s). A dispute with respect to the plan shall be
addressed pursuant to the Dispute Resolution Process of this Agreement. Upon
resolution of a Defect during the Test Period, Client may re-perform testing for a
maximum of fifteen (15) calendar days. This procedure shall repeat until all Defects
have either been resolved or the Client and Tyler, reasonably have developed a
mutually agreeable schedule for Defect resolution, at which point the Client shall issue
Phase Acceptance.
11.3.2 Upon the completion of Phase Acceptance for all Phases set forth in the Statement of
Work, Client will have a maximum of a ninety (90) calendar day “Test Period” to test
the Tyler Software in live production that all Phases of the Tyler Software are properly
functioning together as an integrated system, including any interfaces that are being
provided by Tyler pursuant to the Statement of Work, and report documented
Defects. If there are no Defects reported during the Test Period the Client shall issue
“Final Acceptance.” If Client reports a documented Defect during the Test Period of
the live production testing, Client will notify Tyler in writing. Tyler will correct the
Defect(s) or provide a mutually agreeable plan for future resolution of any Defect(s). A
dispute with respect to the plan shall be addressed pursuant to the Dispute Resolution
Process of this Agreement. Upon resolution of a Defect during the Test Period, Client
may re-perform testing for a maximum of fifteen (15) calendar days. This procedure
shall repeat until all Defects have either been resolved or the Client and Tyler,
reasonably cooperating, have developed a mutually agreeable schedule for Defect
resolution, at which point the Client shall issue Final Acceptance. This process shall
repeat for all Phases. Upon “Phase Acceptance” of the last Phase of the project and
Final Acceptance, Client shall issue “Project Closure.”
12. Maintenance and Support. For so long as you timely pay your SaaS Fees according to the Invoicing
and Payment Policy, then in addition to the terms set forth in the SLA and the Support Call Process,
we will:
12.1 perform our maintenance and support obligations in a professional, good, and
workmanlike manner, consistent with industry standards, to resolve Defects in the Tyler
Software (subject to any applicable release life cycle policy);
12.2 provide support during our established support hours;
12.3 maintain personnel that are sufficiently trained to be familiar with the Tyler Software
and Third Party Software, if any, in order to provide maintenance and support services;
12.4 make available to you all major and minor releases to the Tyler Software (including
updates and enhancements) that we make generally available without additional charge to
customers who have a maintenance and support agreement in effect; and
12.5 provide non-Defect resolution support of prior releases of the Tyler Software in
accordance with any applicable release life cycle policy.
We will use all reasonable efforts to perform support services remotely. Currently, we use a third-party
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secure unattended connectivity tool called Bomgar, as well as GotoAssist by Citrix. Therefore, you agree
to maintain a high-speed internet connection capable of connecting us to your PCs and server(s). You
agree to provide us with a login account and local administrative privileges as we may reasonably
require to perform remote services. We will, at our option, use the secure connection to assist with
proper diagnosis and resolution, subject to any reasonably applicable security protocols. If we cannot
resolve a support issue remotely, we may be required to provide onsite services. In such event, we will
be responsible for our travel expenses, unless it is determined that the reason onsite support was
required was a reason outside our control. Either way, you agree to provide us with full and free access
to the Tyler Software, working space, adequate facilities within a reasonable distance from the
equipment, and use of machines, attachments, features, or other equipment reasonably necessary for
us to provide the maintenance and support services, all at no charge to us. We strongly recommend
that you also maintain your VPN for backup connectivity purposes.
For the avoidance of doubt, SaaS Fees do not include the following services: (a) onsite support (unless
Tyler cannot remotely correct a Defect in the Tyler Software, as set forth above); (b) application design;
(c) other consulting services; or (d) support outside our normal business hours as listed in our then-
current Support Call Process. Requested services such as those outlined in this section will be billed to
you on a time and materials basis at our then current rates. You must request those services with at
least one (1) weeks’ advance notice.
SECTION D – THIRD PARTY PRODUCTS
1. Third Party Hardware. We will sell, deliver, and install onsite the Third Party Hardware, if you have
purchased any, for the price set forth in the Investment Summary. Those amounts are payable in
accordance with our Invoicing and Payment Policy.
2. Third Party Software. As part of the SaaS Services, you will receive access to the Third Party
Software and related documentation for internal business purposes only. Your rights to the Third
Party Software will be governed by the Third Party Terms.
3. Third Party Products Warranties.
3.1 We are authorized by each Developer to grant access to the Third Party Software.
3.2 The Third Party Hardware will be new and unused, and upon payment in full, you will receive
free and clear title to the Third Party Hardware.
3.3 You acknowledge that we are not the manufacturer of the Third Party Products. We do not
warrant or guarantee the performance of the Third Party Products. However, we grant and pass
through to you any warranty that we may receive from the Developer or supplier of the Third
Party Products.
4. Third Party Services. If you have purchased Third Party Services, those services will be provided
independent of Tyler by such third-party at the rates set forth in the Investment Summary and in
accordance with our Invoicing and Payment Policy.
SECTION E - INVOICING AND PAYMENT; INVOICE DISPUTES
1. Invoicing and Payment. We will invoice you the SaaS Fees and fees for other professional services in
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the Investment Summary per our Invoicing and Payment Policy, subject to Section E(2).
2. Invoice Disputes. If you believe any delivered software or service does not conform to the
warranties in this Agreement, you will provide us with written notice within thirty (30) days of your
receipt of the applicable invoice. The written notice must contain reasonable detail of the issues
you contend are in dispute so that we can confirm the issue and respond to your notice with either a
justification of the invoice, an adjustment to the invoice, or a proposal addressing the issues
presented in your notice. We will work with you as may be necessary to develop an action plan that
outlines reasonable steps to be taken by each of us to resolve any issues presented in your notice.
You may withhold payment of the amount(s) actually in dispute, and only those amounts, until we
complete the action items outlined in the plan. If we are unable to complete the action items
outlined in the action plan because of your failure to complete the items agreed to be done by you,
then you will remit full payment of the invoice. If you fail to pay an undisputed invoice within fifteen
(15) days, we will notify via email the party identified for notices in this agreement that payment has
not been received. Upon receipt of that email, client will have fifteen (15) days to pay the
undisputed invoice. In the event that the undisputed invoice is not paid within that period, Tyler will
inform via email the party identified for notices in this agreement of our intent to suspend delivery
of all SaaS Services, including maintenance and support services.
SECTION F – TERM AND TERMINATION
1. Term. The initial term of this Agreement is ten (10) years from the first day of the first month
following the Effective Date, unless earlier terminated as set forth below. Upon expiration of the
initial term, this Agreement will renew automatically for additional one (1) year renewal terms at
our then-current SaaS Fees unless terminated in writing by either party at least sixty (60) days prior
to the end of the then-current renewal term. Your right to access or use the Tyler Software and the
SaaS Services will terminate at the end of this Agreement.
2. Termination. This Agreement may be terminated as set forth below. In the event of termination,
you will pay us for all undisputed fees and expenses related to the software, products, and/or
services you have received, or we have incurred or delivered, prior to the effective date of
termination. Disputed fees and expenses in all terminations other than your termination for cause
must have been submitted as invoice disputes in accordance with Section E(2).
2.1 Failure to Pay SaaS Fees. You acknowledge that continued access to the SaaS Services is
contingent upon your timely payment of SaaS Fees. If you fail to timely pay the SaaS Fees, we
may discontinue the SaaS Services and deny your access to the Tyler Software. We may also
terminate this Agreement if you don’t cure such failure to pay within sixty (60) days of receiving
written notice of our intent to terminate.
2.2 For Cause. You may terminate this Agreement for cause in the event we do not cure, or create
a mutually agreeable action plan to address, a material breach of this Agreement within thirty
(30) days of receiving written notice of the alleged breach. You agree to comply with Section
H(3), Dispute Resolution, prior to termination.
2.3 Force Majeure. Either party has the right to terminate this Agreement if a Force Majeure event
prevents Tyler from providing the SaaS Services in accordance with the terms of this Agreement
for the period set forth in Section H, Paragraph 9.
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2.4 Lack of Appropriations. If you should not appropriate or otherwise make available funds
sufficient to utilize the SaaS Services, you may unilaterally terminate this Agreement upon thirty
(30) days written notice to us. You will not be entitled to a refund or offset of previously paid,
but unused SaaS Fees. You agree not to use termination for lack of appropriations as a
substitute for termination for convenience.
2.5 Fees for Termination without Cause during Initial Term. If you terminate this Agreement during
the initial term for any reason other than cause, Force Majeure, or lack of appropriations, or if
we terminate this Agreement during the initial term for your failure to pay SaaS Fees, you shall
pay us the following early termination fees:
a. if you terminate during the first year of the initial term, 100% of the SaaS Fees through
the date of termination plus 25% of the SaaS Fees then due for the remainder of the
initial term;
b. if you terminate during the second year of the initial term, 100% of the SaaS Fees
through the date of termination plus 15% of the SaaS Fees then due for the remainder
of the initial term; and
c. if you terminate after the second year of the initial term, 100% of the SaaS Fees through
the date of termination plus 10% of the SaaS Fees then due for the remainder of the
initial term.
SECTION G – INDEMNIFICATION, LIMITATION OF LIABILITY AND INSURANCE
1. Intellectual Property Infringement Indemnification.
1.1 We will defend you against any third party claim(s) that the Tyler Software or Documentation
infringes that third party’s patent, copyright, or trademark, or misappropriates its trade secrets,
and will pay the amount of any resulting adverse final judgment (or settlement to which we
consent). You must notify us promptly in writing of the claim and give us sole control over its
defense or settlement. You agree to provide us with reasonable assistance, cooperation, and
information in defending the claim at our expense.
1.2 Our obligations under this Section G(1) will not apply to the extent the claim or adverse final
judgment is based on your use of the Tyler Software in contradiction of this Agreement,
including with non-licensed third parties, or your willful infringement.
1.3 If we receive information concerning an infringement or misappropriation claim related to the
Tyler Software, we may, at our expense and without obligation to do so, either: (a) procure for
you the right to continue its use; (b) modify it to make it non-infringing; or (c) replace it with a
functional equivalent, in which case you will stop running the allegedly infringing Tyler Software
immediately. Alternatively, we may decide to litigate the claim to judgment, in which case you
may continue to use the Tyler Software consistent with the terms of this Agreement.
1.4 If an infringement or misappropriation claim is fully litigated and your use of the Tyler Software
is enjoined by a court of competent jurisdiction, in addition to paying any adverse final
judgment (or settlement to which we consent), we will, at our option, either: (a) procure the
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right to continue its use; (b) modify it to make it non-infringing; or (c) replace it with a functional
equivalent. This section provides your exclusive remedy for third party copyright, patent, or
trademark infringement and trade secret misappropriation claims.
2. General Indemnification.
2.1 We will indemnify, hold harmless, and defend you and your agents, officials, and employees
from and against any and all third-party claims, losses, liabilities, damages, costs, and expenses
(including reasonable attorney's fees and costs) for (a) personal injury or property damage to
the extent caused by our negligence or willful misconduct; or (b) our violation of PCI-DSS
requirements or a law applicable to our performance under this Agreement. You must notify us
promptly in writing of the claim and give us sole control over its defense or settlement. You
agree to provide us with reasonable assistance, cooperation, and information in defending the
claim at our expense.
2.2 To the extent permitted by applicable law, you will indemnify, hold harmless and defend us and
our agents, officials, and employees from and against any and all third-party claims, losses,
liabilities, damages, costs, and expenses (including reasonable attorney's fees and costs) for
personal injury or property damage to the extent caused by your negligence or willful
misconduct; or (b) your violation of a law applicable to your performance under this Agreement.
We will notify you promptly in writing of the claim and will give you sole control over its defense
or settlement. We agree to provide you with reasonable assistance, cooperation, and
information in defending the claim at your expense.
2.3 The indemnifying party shall assume the defense of the indemnified party pursuant to the
provisions of the paragraphs above within thirty (30) days of receipt of written notice, or sooner
as reasonably necessary, and shall reimburse the indemnified party for any legal cost or
expense, including attorney’s fees, reasonably incurred by the indemnified party prior to the
assumption of such defense. The indemnified party shall have the right to participate in the
defense with counsel of its own choice and at its own cost. The indemnifying party shall not
enter into any settlement of a claim requiring payment by the indemnified party or actions
otherwise not contemplated herein without the written agreement of the indemnified party.
3. DISCLAIMER. EXCEPT FOR THE EXPRESS WARRANTIES PROVIDED IN THIS AGREEMENT AND TO
THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, WE HEREBY DISCLAIM ALL OTHER
WARRANTIES AND CONDITIONS, WHETHER EXPRESS, IMPLIED, OR STATUTORY, INCLUDING, BUT
NOT LIMITED TO, ANY IMPLIED WARRANTIES, DUTIES, OR CONDITIONS OF MERCHANTABILITY OR
FITNESS FOR A PARTICULAR PURPOSE.
4. LIMITATION OF LIABILITY. EXCEPT AS OTHERWISE EXPRESSLY SET FORTH IN THIS AGREEMENT,
OUR LIABILITY FOR DAMAGES ARISING OUT OF THIS AGREEMENT, WHETHER BASED ON A THEORY
OF CONTRACT OR TORT, INCLUDING NEGLIGENCE AND STRICT LIABILITY, SHALL BE LIMITED TO
YOUR ACTUAL DIRECT DAMAGES, NOT TO EXCEED (A) DURING THE INITIAL TERM, AS SET FORTH
IN SECTION F(1), TWO (2) MULTIPLIED BY THE TOTAL FEES AMOUNT LISTED IN THE INVESTMENT
SUMMARY; OR (B) DURING ANY RENEWAL TERM, TWO (2) MULTIPLIED THE THEN-CURRENT
ANNUAL SAAS FEES PAYABLE IN THAT RENEWAL TERM. THE PARTIES ACKNOWLEDGE AND AGREE
THAT THE PRICES SET FORTH IN THIS AGREEMENT ARE SET IN RELIANCE UPON THIS LIMITATION
OF LIABILITY AND TO THE MAXIMUM EXTENT ALLOWED UNDER APPLICABLE LAW, THE EXCLUSION
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OF CERTAIN DAMAGES, AND EACH SHALL APPLY REGARDLESS OF THE FAILURE OF AN ESSENTIAL
PURPOSE OF ANY REMEDY. THE FOREGOING LIMITATION OF LIABILITY SHALL NOT APPLY TO
CLAIMS THAT ARE SUBJECT TO SECTIONS G(1) AND G(2).
5. EXCLUSION OF CERTAIN DAMAGES. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW,
IN NO EVENT SHALL WE BE LIABLE FOR ANY SPECIAL, INCIDENTAL, PUNITIVE, INDIRECT, OR
CONSEQUENTIAL DAMAGES WHATSOEVER, EVEN IF WE HAVE BEEN ADVISED OF THE POSSIBILITY
OF SUCH DAMAGES.
6. Insurance. During the course of performing services under this Agreement, we agree to maintain
the following levels of insurance: (a) Commercial General Liability of at least $1,000,000, per
occurrence and $2,000,000 in aggregate; (b) Automobile Liability of at least $1,000,000 combined
single limit; (c) Professional Liability of at least $5,000,000; (d) Workers Compensation complying
with applicable statutory requirements; and (e) Excess/Umbrella Liability of at least $5,000,000. We
will add you as an additional insured to our Commercial General Liability and Automobile Liability
policies, which will automatically add you as an additional insured to our Excess/Umbrella Liability
policy as well. We will provide you with copies of certificates of insurance upon your written
request.
SECTION H – GENERAL TERMS AND CONDITIONS
1. Additional Products and Services. You may purchase additional products and services at the rates
set forth in the Investment Summary for twelve (12) months from the Effective Date by executing a
mutually agreed addendum. If no rate is provided in the Investment Summary, or those twelve (12)
months have expired, you may purchase additional products and services at our then-current list
price, also by executing a mutually agreed addendum. The terms of this Agreement will control any
such additional purchase(s), unless otherwise specifically provided in the addendum.
2. Optional Items. Pricing for any listed optional products and services in the Investment Summary will
be valid for twelve (12) months from the Effective Date.
3. Dispute Resolution.
3.1 You agree to provide us with written notice within thirty (30) days of becoming aware of a
dispute. You agree to cooperate with us in trying to reasonably resolve all disputes, including, if
requested by either party, appointing a senior representative to meet and engage in good faith
negotiations with our appointed senior representative. Senior representatives will convene
within thirty (30) days of the written dispute notice, unless otherwise agreed. All meetings and
discussions between senior representatives will be deemed confidential settlement discussions
not subject to disclosure under Federal Rule of Evidence 408 or any similar applicable state rule.
If we fail to resolve the dispute, then the parties shall participate in non-binding mediation in an
effort to resolve the dispute. If the dispute remains unresolved after mediation, then either of
us may assert our respective rights and remedies in a court of competent jurisdiction. Nothing
in this section shall prevent you or us from seeking necessary injunctive relief during the dispute
resolution procedures.
3.2 In the event that the parties are unable to resolve differences, and after exhausting the
escalation procedures set forth in sub-section 3.1 above, all disputes arising from this
Agreement shall be resolved through the courts referenced in sub-section 24 below.
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4. Taxes. The fees in the Investment Summary do not include any taxes, including, without limitation,
sales, use, or excise tax. If you are a tax-exempt entity, you agree to provide us with a tax-exempt
certificate. Otherwise, we will pay all applicable taxes to the proper authorities and you will
reimburse us for such taxes. If you have a valid direct-pay permit, you agree to provide us with a
copy. For clarity, we are responsible for paying our income taxes, both federal and state, as
applicable, arising from our performance of this Agreement.
5. Nondiscrimination. We will not discriminate against any person employed or applying for
employment concerning the performance of our responsibilities under this Agreement. This
discrimination prohibition will apply to all matters of initial employment, tenure, and terms of
employment, or otherwise with respect to any matter directly or indirectly relating to employment
concerning race, color, religion, national origin, age, sex, sexual orientation, ancestry, disability that
is unrelated to the individual's ability to perform the duties of a particular job or position, height,
weight, marital status, or political affiliation. We will post, where appropriate, all notices related to
nondiscrimination as may be required by applicable law.
6. E-Verify. We have complied, and will comply, with the E-Verify procedures administered by the U.S.
Citizenship and Immigration Services Verification Division for all of our employees assigned to your
project.
7. Subcontractors. We will not subcontract any services under this Agreement without your prior
written consent, not to be unreasonably withheld. You shall have the right to approve all
subcontractors we assign, if any, to fulfill our roles and responsibilities defined in the Statement of
Work. In the event any subcontractor is, in your opinion, uncooperative, inept, incompetent, or
otherwise do not conform to the warranties herein, we will be given an opportunity to correct the
deficiency. In the event the deficiency persists, you may request the removal of the subcontractor
in question. We will work towards a mutually agreeable remedy in the event of a change in
subcontractor, including managing the effect upon the timelines and milestones set forth in the
Statement of Work and the Project Schedule. The replacement subcontractor will be timely
assigned. Replacement subcontractor shall, at no additional cost to you, devote sufficient time to
becoming familiar with the project before delivering services to you.
8. Binding Effect; No Assignment. This Agreement shall be binding on, and shall be for the benefit of,
either your or our successor(s) or permitted assign(s). Neither party may assign this Agreement
without the prior written consent of the other party; provided, however, your consent is not
required for an assignment by us as a result of a corporate reorganization, merger, acquisition, or
purchase of substantially all of our assets.
9. Force Majeure. Except for your payment obligations, neither party will be liable for delays in
performing its obligations under this Agreement to the extent that the delay is caused by Force
Majeure; provided, however, that within ten (10) business days of the Force Majeure event , the
party whose performance is delayed provides the other party with written notice explaining the
cause and extent thereof, as well as a request for a reasonable time extension equal to the
estimated duration of the Force Majeure event. Under no circumstances shall delays caused by a
force majeure extend beyond one hundred twenty (120) days from the scheduled delivery or
completion date of a task, unless written approval is received from the other party. Either party
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shall have the right to terminate the Agreement if force majeure suspends performance of
scheduled tasks by one or more parties for a period of one hundred-twenty (120) or more days from
the scheduled date of the task.
10. No Intended Third Party Beneficiaries. This Agreement is entered into solely for the benefit of you
and us. No third party will be deemed a beneficiary of this Agreement, and no third party will have
the right to make any claim or assert any right under this Agreement. This provision does not affect
the rights of third parties under any Third Party Terms.
11. Entire Agreement; Amendment. This Agreement represents the entire agreement between you and
us with respect to the subject matter hereof, and supersedes any prior agreements, understandings,
and representations, whether written, oral, expressed, implied, or statutory. Purchase orders
submitted by you, if any, are for your internal administrative purposes only, and the terms and
conditions contained in those purchase orders will have no force or effect. This Agreement, and any
change in the scope of Services, including pricing and schedule may only be modified by a written
amendment signed by an authorized representative of each party. We will not be entitled to any
fees for any work outside of the scope of this Agreement without a written amendment or change
order or other written agreement by you.
12. Severability. If any term or provision of this Agreement is held invalid or unenforceable, the
remainder of this Agreement will be considered valid and enforceable to the fullest extent
permitted by law.
13. No Waiver. In the event that the terms and conditions of this Agreement are not strictly enforced
by either party, such non-enforcement will not act as or be deemed to act as a waiver or
modification of this Agreement, nor will such non-enforcement prevent such party from enforcing
each and every term of this Agreement thereafter.
14. Independent Contractor. We are an independent contractor for all purposes under this Agreement.
15. Notices. All notices or communications required or permitted as a part of this Agreement, such as
notice of an alleged material breach for a termination for cause or a dispute that must be submitted
to dispute resolution, must be in writing and will be deemed delivered upon the earlier of the
following: (a) actual receipt by the receiving party; (b) upon receipt by sender of proof of delivery by
an overnight courier or agent of the receiving party; (c) upon receipt by sender of a return e-mail as
proof of email delivery. Notices will be addressed to the other party at the address set forth on the
signature page hereto or such other address as the party may have designated by proper notice.
The consequences for the failure to receive a notice due to improper notification by the intended
receiving party of a change in address will be borne by the intended receiving party. Where formal
notice is not required, the parties may communicate via electronic mail, video conference or
telephonically on a day to day basis with respect to the implementation of the Agreement.
16. Advertising and Client Lists. Tyler shall not use, in its external advertising, marketing programs, or
other promotional efforts, any data, pictures, or other representation of the Client unless Tyler
receives specific written authorization in advance from the Client’s City Manager. However, nothing
in this clause shall preclude Tyler from listing the Client on its routine client list for matters of
reference.
17. Confidentiality. Both parties recognize that their respective employees and agents, in the course of
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performance of this Agreement, may be exposed to confidential information and that disclosure of
such information could violate rights to private individuals and entities, including the parties.
Confidential information is nonpublic information that a reasonable person would believe to be
confidential and includes, without limitation, personal identifying information (e.g., social security
numbers) and trade secrets, each as defined by applicable state law. Client Data will be treated as
confidential information. Each party agrees that it will not disclose any confidential information
(including Personal Identifying Information as such term is defined under applicable federal and
state laws ) of the other party and further agrees to take all reasonable and appropriate action to
prevent such disclosure by its employees or agents. The confidentiality covenants contained herein
will survive the termination or cancellation of this Agreement. This obligation of confidentiality will
not apply to information that:
(a) is in the public domain, either at the time of disclosure or afterwards, except by breach of
this Agreement by a party or its employees or agents;
(b) a party can establish by reasonable proof was in that party's possession at the time of initial
disclosure;
(c) a party receives from a third party who has a legal right to disclose it to the receiving party;
or
(d) is the subject of a legitimate disclosure request under a court order or other legal process or
the Public Records Act or similar applicable public disclosure laws governing this Agreement;
provided, however, that in the event (i) a party receives a court order or other legal
process, it will notify the other party and cooperate with such party to obtain a protective
order; and (ii) if Client receives an open records or other similar request, you will give us
prompt notice and apply such exceptions to disclosure as may be applicable.
18. Business License. We will be responsible for obtaining any licenses or approvals necessary to do
business in the State of California. In the event a local business license is required for us to perform
services hereunder, you will promptly notify us and provide us with the necessary paperwork and/or
contact information so that we may timely obtain such license.
19. Governing Law & Compliance with Laws, Rules and Regulations.
20.1 This Agreement will be governed by and construed in accordance with the laws of the State of
California, without regard to its rules on conflicts of law. The venue for any action brought to
enforce the terms of this Agreement will be brought in the Superior Court of the County of
Riverside, State of California or the Federal District Court for the Central District of California
located in Riverside, California, as appropriate.
20.2 We will comply with applicable laws, rules and regulations in effect as of the Effective Date,
and the software, services, and fees set forth in the Investment Summary account for those
compliance efforts based on the mutually agreed scope of the project. Our compliance
includes support for the reports we make available as of the Effective Date. We may also
provide compliance updates of general applicability to users of the Tyler Software from time
to time at no cost to you as further described in the Maintenance and Support Agreement. In
the event any applicable laws, rules or regulations change or are created after the Effective
Date, and we determine that compliance will create additional work for us not provided for in
this Agreement, the parties will negotiate a mutually agreeable change order to address the
development. The change order may itemize a one-time cost for compliance, or may set forth
ATTACHMENT 9 - Page 16 of 99
a commensurate adjustment to your ongoing maintenance and support fees. We also reserve
the right to negotiate with you an adjustment to other terms and conditions in the Agreement
that are impacted by the change in applicable law, rule or regulation, your consent to such
adjustment not to be unreasonably withheld
20. Multiple Originals and Authorized Signatures. This Agreement may be executed in multiple
originals, any of which will be independently treated as an original document. Any electronic, faxed,
scanned, photocopied, or similarly reproduced signature on this Agreement or any amendment
hereto will be deemed an original signature and will be fully enforceable as if an original signature.
Each party represents to the other that the signatory set forth below is duly authorized to bind that
party to this Agreement.
21. Cooperative Procurement. To the maximum extent permitted by applicable law, we agree that this
Agreement may be used as a cooperative procurement vehicle by eligible jurisdictions. We reserve
the right to negotiate and customize the terms and conditions set forth herein, including but not
limited to pricing, to the scope and circumstances of that cooperative procurement.
22. Survival. All duties and responsibilities of any party that, either expressly or by their nature, extend
into the future, shall extend beyond and survive the end of the contract term or cancellation of this
Agreement.
23. Non-Collusion. Tyler hereby represents and agrees that it has in no way entered into any contingent
fee arrangement with any firm, employee of the Client, or other person or entity concerning the
obtaining of this Agreement. In addition, Tyler agrees that a duly authorized Tyler representative will
sign a non-collusion affidavit, in a form acceptable to Client that Tyler has not received from Client
any incentive or special payments, or considerations not related to the provision of the Software
and Services described in this Agreement.
24. Conflict of Interest. Tyler shall not knowingly employ as a director, officer, employee, agent, or
subcontractor any elected or appointed official of the Client or any member of his/her immediate
family.
25. Contract Documents. This Agreement includes the following exhibits:
Exhibit A Investment Summary
Exhibit B Invoicing and Payment Policy
Schedule 1: Business Travel Policy
Exhibit C Service Level Agreement
Schedule 1: Support Call Process
Exhibit D Third Party Terms
Exhibit E Statement of Work
ATTACHMENT 9 - Page 17 of 99
IN WITNESS WHEREOF, a duly authorized representative of each party has executed this Agreement as
of the date(s) set forth below.
Tyler Technologies, Inc. City of San Juan Capistrano, CA
By: By:
Name: Name:
Title: Title:
Date: Date:
Address for Notices: Address for Notices:
Tyler Technologies, Inc. City of San Juan Capistrano
One Tyler Drive 32400 Paseo Adelanto
Yarmouth, ME 04096 San Juan Capistrano, CA 92675
Attention: Chief Legal Officer Attention: Chief Financial Officer
Rob Kennedy-Jensen
Director of Contracts
February 16, 2021
ATTACHMENT 9 - Page 18 of 99
Exhibit A
Investment Summary
The following Investment Summary details the software and services to be delivered by us to you under
the Agreement. This Investment Summary is effective as of the Effective Date. Capitalized terms not
otherwise defined will have the meaning assigned to such terms in the Agreement.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
ATTACHMENT 9 - Page 19 of 99
Quoted By:Jennifer Wahlbrink
Date:2/16/2021
Quote Expiration: 3/26/2021
Quote Name:City of San Juan Capistrano-ERP-Munis
Quote Number: 2019-99417-3
Quote Description: 2-16-21 v.4 - FINAL 5yr SaaS
Sales Quotation For
City of San Juan Capistrano
32400 Paseo Adelanto
San Juan Capistrano, CA 92675-3603
Phone +1 (949) 493-1171
SaaS One Time Fees
Description # Years Annual Fee Impl. Hours Impl. Cost Data Conversion
Financial:
Accounting/GL 5.0 $26,044.00 120 $21,000.00 $7,600.00
Accounts Payable 5.0 $7,267.00 32 $5,600.00 $0.00
Bid Management 5.0 $2,830.00 24 $4,200.00 $0.00
Budgeting 5.0 $7,267.00 56 $9,800.00 $0.00
Capital Assets 5.0 $6,085.00 48 $8,400.00 $0.00
Cash Management 5.0 $4,400.00 32 $5,600.00 $0.00
Contract Management 5.0 $2,818.00 24 $4,200.00 $4,000.00
Project & Grant Accounting 5.0 $4,938.00 32 $5,600.00 $0.00
Purchasing 5.0 $10,705.00 88 $15,400.00 $0.00
Human Capital Management:
ExecuTime Time & Attendance Mobile Access 5.0 $2,553.00 0 $0.00 $0.00
ExecuTime Time & Attendance 5.0 $9,349.00 104 $18,200.00 $0.00
Human Resources & Talent Management 5.0 $10,517.00 120 $21,000.00 $0.00
Payroll w/ESS 5.0 $13,296.00 240 $42,000.00 $6,600.00
Revenue:
Accounts Receivable 5.0 $5,350.00 72 $12,600.00 $0.00
General Billing 5.0 $3,500.00 32 $5,600.00 $5,500.00
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 1 of 8ATTACHMENT 9 - Page 20 of 99
SaaS One Time Fees
Description # Years Annual Fee Impl. Hours Impl. Cost Data Conversion
Productivity:
eProcurement 5.0 $4,369.00 24 $4,200.00 $0.00
Munis Analytics & Reporting (SaaS)5.0 $4,832.00 88 $15,400.00 $0.00
Tyler Content Manager SE 5.0 $10,364.00 32 $5,600.00 $0.00
Tyler ReadyForms Processing (including Common Form Set)5.0 $6,214.00 0 $0.00 $0.00
Sub-Total: $142,698.00 $204,400.00 $23,700.00
Less Discount: $42,810.00 $0.00 $0.00
TOTAL: $99,888.00 1168 $204,400.00 $23,700.00
Other Services
Description Quantity Unit Price Unit Discount Extended Price
Project Management 144 $175.00 $0.00 $25,200.00
VPN Device 1 $4,000.00 $0.00 $4,000.00
TOTAL: $29,200.00
3rd Party Hardware, Software and Services
Description Quantity Unit Price Unit Discount Total Price Unit Maintenance Unit Maintenance
Discount
Total Year One
Maintenance
Touchscreen 10: Biometric and Barcode
Reader Premium Maintenance
1 $0.00 $0.00 $0.00 $361.00 $0.00 $361.00
Touchscreen 10: Biometric and Barcode
Reader
1 $3,010.00 $0.00 $3,010.00 $0.00 $0.00 $0.00
Touchscreen 10: Biometric and Barcode
Reader Maintenance
1 $0.00 $0.00 $0.00 $301.00 $0.00 $301.00
Tyler Secure Signature System with 2
Keys
1 $1,650.00 $0.00 $1,650.00 $0.00 $0.00 $0.00
3rd Party Hardware Sub-Total: $0.00 $4,660.00 $0.00
TOTAL: $4,660.00 $662.00
Summary One Time Fees Recurring Fees
Total Tyler Software $0.00 $0.00
Total SaaS $0.00 $99,888.00
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 2 of 8ATTACHMENT 9 - Page 21 of 99
Summary One Time Fees Recurring Fees
Total Tyler Services $257,300.00 $0.00
Total 3rd Party Hardware, Software and
Ser vices
$4,660.00 $662.00
Summary Total $261,960.00 $100,550.00
Contract Total $762,062.00
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 3 of 8ATTACHMENT 9 - Page 22 of 99
Detailed Breakdown of Conversions (included in Contract Total)
Description Unit Price Unit Discount Extended Price
Accounts Payable - Checks up to 5 years $2,600.00 $0.00 $2,600.00
Accounts Payable - Invoice up to 5 years $3,400.00 $0.00 $3,400.00
Accounts Payable Standard Master $1,600.00 $0.00 $1,600.00
Contracts $4,000.00 $0.00 $4,000.00
General Billing - Bills up to 5 years $4,000.00 $0.00 $4,000.00
General Billing Std CID $1,500.00 $0.00 $1,500.00
Payroll - Accrual Balances $1,500.00 $0.00 $1,500.00
Payroll - Accumulators up to 5 years $1,400.00 $0.00 $1,400.00
Payroll - Check History up to 5 years $1,200.00 $0.00 $1,200.00
Payroll - Earning/Deduction Hist up to 5 years $2,500.00 $0.00 $2,500.00
TOTAL: $23,700.00
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 4 of 8ATTACHMENT 9 - Page 23 of 99
Optional SaaS One Time Fees
Description # Years Annual Fee Impl. Hours Impl. Cost Data Conversion
Financial:
Employee Expense Reimbursement 5.0 $3,090.00 32 $5,600.00 $0.00
Human Capital Management:
Recruiting 5.0 $2,698.00 24 $4,200.00 $0.00
Revenue:
Tyler Cashiering 5.0 $9,494.00 40 $7,000.00 $0.00
UB Interface 5.0 $2,663.00 16 $2,800.00 $0.00
Utility Billing CIS 5.0 $11,929.00 128 $22,400.00 $27,200.00
Productivity:
Citizen Self Service 5.0 $5,350.00 40 $7,000.00 $0.00
Additional:
CAFR Statement Builder 5.0 $7,252.00 32 $5,600.00 $0.00
Socrata Open Finance 5.0 $16,000.00 0 $0.00 $0.00
Tyler Detect 5.0 $22,000.00 0 $0.00 $0.00
TOTAL:$80,476.00 312 $54,600.00 $27,200.00
Optional Tyler Software & Related Services
Description License Impl. Hours Impl. Cost Data Conversion Module Total Year One Maintenance
Additional:
Project Grant Accounting Standard - D $0.00 0 $0.00 $2,000.00 $2,000.00 $0.00
TOTAL: $0.00 0 $0.00 $2,000.00 $2,000.00 $0.00
Optional Other Services
Description Quantity Unit Price Discount Extended Price
Install Fee - Socrata Open Finance 1 $5,600.00 $0.00 $5,600.00
Install Fee - Tyler Detect 1 $1,000.00 $0.00 $1,000.00
TOTAL: $6,600.00
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 5 of 8ATTACHMENT 9 - Page 24 of 99
Optional Conversion Details (Prices Reflected Above)
Description Unit Price Unit Discount Extended Price
Project Grant Accounting Standard $2,000.00 $0.00 $2,000.00
Utility Billing - Assessments $1,200.00 $0.00 $1,200.00
Utility Billing - Backflow $1,200.00 $0.00 $1,200.00
Utility Billing - Balance Forward AR $5,600.00 $0.00 $5,600.00
Utility Billing - Budget Billing $3,600.00 $0.00 $3,600.00
Utility Billing - Consumption History up to 5 years $2,000.00 $0.00 $2,000.00
Utility Billing - Flat Inventory/Containers $3,600.00 $0.00 $3,600.00
Utility Billing - Service Orders $2,300.00 $0.00 $2,300.00
Utility Billing - Services $3,600.00 $0.00 $3,600.00
Utility Billing - Standard $4,100.00 $0.00 $4,100.00
TOTAL:$29,200.00
Optional 3rd Party Hardware, Software and Services
Description Quantity Unit Price Unit Discount Total Price Unit Maintenance Unit Maintenance
Discount
Total Year One
Maintenance
Cash Drawer 1 $260.00 $0.00 $260.00 $0.00 $0.00 $0.00
Hand Held Scanner - Model 1950GSR 1 $450.00 $0.00 $450.00 $0.00 $0.00 $0.00
Hand Held Scanner Stand 1 $30.00 $0.00 $30.00 $0.00 $0.00 $0.00
ID Tech MiniMag USB Reader 1 $62.00 $0.00 $62.00 $0.00 $0.00 $0.00
Printer (TM-S9000) 1 $1,623.00 $0.00 $1,623.00 $0.00 $0.00 $0.00
3rd Party Hardware Sub-Total: $0.00 $2,425.00 $0.00
TOTAL: $2,425.00 $0.00
Unless otherwise indicated in the contract or amendment thereto, pricing for optional items will be held for
six (6) months from the Quote date or the Effective Date of the contract, whichever is later.
Customer Approval: Date:
Print Name: P.O. #:
All primary values quoted in US Dollars
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 6 of 8ATTACHMENT 9 - Page 25 of 99
Comments
Tyler recommends the use of a 128-bit SSL Security Certificate for any Internet Web Applications, such as the Munis Web Client and the MUNIS Self Service applications if
hosted by the Client. This certificate is required to encrypt the highly sensitive payroll and financial information as it travels across the public internet. There are various vendors
who sell SSL Certificates, with all ranges of prices.
The Tyler Software Product Tyler ReadyForms Processing must be used in conjunction with a Hewlett Packard printer supported by Tyler for printing checks.
Conversion prices are based on a single occurrence of the database. If additional databases need to be converted, these will need to be quoted.
Tyler's quote contains estimates of the amount of services needed, based on our preliminary understanding of the size and scope of your project. The actual amount of services
depends on such factors as your level of involvement in the project and the speed of knowledge transfer.
Unless otherwise noted, prices submitted in the quote do not include travel expenses incurred in accordance with Tyler's then-current Business Travel Policy.
Tyler's prices do not include applicable local, city or federal sales, use excise, personal property or other similar taxes or duties, which you are responsible for determining and
remitting. Installations are completed remotely, but can be done onsite upon request at an additional cost.
In the event Client cancels services less than two (2) weeks in advance, Client is liable to Tyler for (i) all non-refundable expenses incurred by Tyler on Client's behalf; and (ii)
daily fees associated with the cancelled services if Tyler is unable to re-assign its personnel.
Implementation hours are scheduled and delivered in four (4) or eight (8) hour increments.
Tyler provides onsite training for a maximum of 12 people per class. In the event that more than 12 users wish to participate in a training class or more than one occurrence of a
class is needed, Tyler will either provide additional days at then-current rates for training or Tyler will utilize a Train-the-Trainer approach whereby the client designated attendees
of the initial training can thereafter train the remaining users.
In the event Client acquires from Tyler any edition of Tyler Content Manager software other than Enterprise Edition, the license for Content Manager is restricted to use with Tyler
applications only. If Client wishes to use Tyler Content Manager software with non-Tyler applications, Client must purchase or upgrade to Tyler Content Manager Enterprise
Edition.
Payroll library includes: 1 PR check, 1 direct deposit, 1 vendor from payroll check, 1 vendor from payroll direct deposit, W2, W2c, ACA 1095B, ACA 1095C and 1099 R.
General Billing library includes: 1 invoice, 1 statement, 1 general billing receipt and 1 miscellaneous receipt.
Includes digitizing two signatures, additional charges will apply for additional signatures.
Personnel Actions Forms Library includes: 1 Personnel Action form - New and 1 Personnel Action Form - Change.
Tyler's pricing is based on the scope of proposed products and services being obtained from Tyler. Should portions of the scope of products or services be removed by the Client,
Tyler reserves the right to adjust prices for the remaining scope accordingly.
Project Management includes project planning, kickoff meeting, status calls, task monitoring, verification and transition to support.
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 7 of 8
ATTACHMENT 9 - Page 26 of 99
Comments
Tyler Content Manager SE includes up to 1TB of storage. Should additional storage be needed it may be purchased as needed at an annual fee of $5,000 per TB.
Financial library includes: 1 A/P check, 1 EFT/ACH, 1 Purchase order, 1099M, 1099INT, 1099S, and 1099G.
Utility billing library includes: 1 Utility bill, 1 UB receipt, 1 UB delinquent notice, 1 door hanger and 1 final utility bill.
The Munis SaaS fees are based on 50 concurrent users. Should the number of concurrent users be exceeded, Tyler reserves the right to re-negotiate the SaaS fees based upon any
resulting changes in the pricing categories.
Utility Billing CIS includes the Graphing Agent.
If a Tyler client desires clocks that do not have direct connectivity back to the network server ExecuTime resides on, then a VPN device installation, to be provided at Tyler's then-
current prices, will be needed for every location where a clock may reside.
Clocks will be shipped upon receipt of a signed quote or addendum. The warranty period starts when the clocks are shipped. The warranty period ends whichever occurs first,
either 12 months after connecting the clocks to the ExecuTime software or 18 months from shipment.
Clock prices include Tyler instruction regarding clock configuration and connection to the ExecuTime software. Client is responsible for clock installation and connection to
applicable network.
Development modifications, interfaces and services, where applicable, shall be invoiced to the client in the following manner: 50% of total upon authorized signature to proceed
on program specifications and the remaining 50% of total upon delivery of modifications, interface and services.
Any forms included in this quote are based on the standard form templates provided. Custom forms, additional forms and any custom programming are subject to additional fees
not included in this quote. The additional fees would be quoted at the time of request, generally during the implementation of the forms. Please note that the form solution
provided requires the use of approved printers. You may contact Tyler's support team for the most current list of approved printers.
As a new Tyler client, you are entitled to a 30-day trial of the Tyler Detect cybersecurity service. Please reference https://www.tylertech.com/services/tyler-detect for more
information on the service and contact CybersecuritySales@tylertech.com to initiate the trial.
This proposal is submitted as a NTE service contract.
2019-99417-3 - 2-16-21 v.4 - FINAL 5yr SaaS CONFIDENTIAL 8 of 8
ATTACHMENT 9 - Page 27 of 99
Exhibit B
Invoicing and Payment Policy
We will provide you with the software and services set forth in the Investment Summary of the
Agreement. Capitalized terms not otherwise defined will have the meaning assigned to such terms in
the Agreement.
Invoicing: We will invoice you for the applicable software and services in the Investment Summary as
set forth below. Your rights to dispute any invoice are set forth in the Agreement.
1. SaaS Fees. SaaS Fees are invoiced on an annual basis, beginning on the commencement of the
initial term as set forth in Section F (1) of this Agreement. Your annual SaaS fees for the initial
term are set forth below. Upon expiration of the initial term, your annual SaaS fees will be at our
then-current rates.
Year 1: $99,888.00
Year 2: $99,888.00
Year 3: $99,888.00
Year 4: $99,888.00
Year 5: $99,888.00
Year 6: $104,882.00
Year 7: $104,882.00
Year 8: $104,882.00
Year 9: $104,882.00
Year 10: $104,882.00
2. Other Tyler Software and Services.
2.1 VPN Device: The fee for the VPN device will be invoiced upon installation of the VPN.
2.2 Implementation and Other Professional Services (including training): Implementation and
other professional services (including training) are billed and invoiced as delivered, at the
rates set forth in the Investment Summary. The foregoing notwithstanding, Client shall
retain 10% of the fees for Implementation services delivered (exclusive of Conversions,
Project Management and other Services fees), with such retainage to be invoiced by Tyler
on the scheduled live date of a phase. In the event a phase live is delayed, and such delay is
caused by Tyler’s failure to perform, the invoicing of the applicable retainage payment shall
be delayed an amount of time equal to the delay so caused by Tyler.
2.3 Consulting Services: If you have purchased any Business Process Consulting services, if they
have been quoted as fixed-fee services, they will be invoiced 50% upon your acceptance of
ATTACHMENT 9 - Page 28 of 99
the Best Practice Recommendations, by module, and 50% upon your acceptance of custom
desktop procedures, by module. If you have purchased any Business Process Consulting
services and they are quoted as an estimate, then we will bill you the actual services
delivered on a time and materials basis.
2.4 Conversions: Fixed-fee conversions are invoiced 50% upon initial delivery of the converted
Data, by conversion option, and 50% upon Client acceptance to load the converted Data into
Live/Production environment, by conversion option. Where conversions are quoted as
estimated, we will bill you the actual services delivered on a time and materials basis.
2.5 Requested Modifications to the Tyler Software: Requested modifications to the Tyler
Software are invoiced 50% upon delivery of specifications and 50% upon delivery of the
applicable modification. You must report any failure of the modification to conform to the
specifications within thirty (30) days of delivery; otherwise, the modification will be deemed
to be in compliance with the specifications after the 30-day window has passed. You may
still report Defects to us as set forth in this Agreement.
2.6 Other Fixed Price Services: Other fixed price services, including Project Management
Services, are invoiced upon complete delivery of the service. For the avoidance of doubt,
where “Project Planning Services” are provided, payment will be due upon delivery of the
Implementation Planning document.
3. Third Party Products.
3.1 Third Party Software License Fees: License fees for Third Party Software, if any, are invoiced
when we make it available to you for downloading.
3.2 Third Party Software Maintenance: The first year maintenance for the Third Party Software
is invoiced when we make it available to you for downloading.
3.3 Third Party Hardware: Third Party Hardware costs, if any, are invoiced upon delivery.
3.4 Third Party Services: Fees for Third Party Services, if any, are invoiced as delivered, along
with applicable expenses, at the rates set forth in the Investment Summary.
4. Expenses. The service rates in the Investment Summary do not include travel expenses.
Expenses for Tyler delivered services will be billed as incurred and only in accordance with our
then-current Business Travel Policy, plus a 10% travel agency processing fee. Our current
Business Travel Policy is attached to this Exhibit B at Schedule 1. Copies of receipts will be
provided upon request; we reserve the right to charge you an administrative fee depending on
the extent of your requests. Receipts for miscellaneous items less than twenty-five dollars and
mileage logs are not available.
Payment. Payment for undisputed invoices is due within forty-five (45) days of the invoice date. We
prefer to receive payments electronically. Our electronic payment information is available by contacting
AR@tylertech.com.
ATTACHMENT 9 - Page 29 of 99
Exhibit B
Schedule 1
Business Travel Policy
1. Air Travel
A. Reservations & Tickets
The Travel Management Company (TMC) used by Tyler will provide an employee with a direct flight
within two hours before or after the requested departure time, assuming that flight does not add
more than three hours to the employee’s total trip duration and the fare is within $100 (each way)
of the lowest logical fare. If a net savings of $200 or more (each way) is possible through a
connecting flight that is within two hours before or after the requested departure time and that
does not add more than three hours to the employee’s total trip duration, the connecting flight
should be accepted.
Employees are encouraged to make advanced reservations to take full advantage of discount
opportunities. Employees should use all reasonable efforts to make travel arrangements at least
two (2) weeks in advance of commitments. A seven (7) day advance booking requirement is
mandatory. When booking less than seven (7) days in advance, management approval will be
required.
Except in the case of international travel where a segment of continuous air travel is six (6) or more
consecutive hours in length, only economy or coach class seating is reimbursable. Employees shall
not be reimbursed for “Basic Economy Fares” because these fares are non-refundable and have
many restrictions that outweigh the cost-savings.
B. Baggage Fees
Reimbursement of personal baggage charges are based on trip duration as follows:
• Up to five (5) days = one (1) checked bag
• Six (6) or more days = two (2) checked bags
Baggage fees for sports equipment are not reimbursable.
ATTACHMENT 9 - Page 30 of 99
2. Ground Transportation
A. Private Automobile
Mileage Allowance – Business use of an employee’s private automobile will be reimbursed at the
current IRS allowable rate, plus out of pocket costs for tolls and parking. Mileage will be calculated
by using the employee's office as the starting and ending point, in compliance with IRS regulations.
Employees who have been designated a home office should calculate miles from their home.
B. Rental Car
Employees are authorized to rent cars only in conjunction with air travel when cost, convenience,
and the specific situation reasonably require their use. When renting a car for Tyler business,
employees should select a “mid-size” or “intermediate” car. “Full” size cars may be rented when
three or more employees are traveling together. Tyler carries leased vehicle coverage for business
car rentals; except for employees traveling to Alaska and internationally (excluding Canada),
additional insurance on the rental agreement should be declined.
C. Public Transportation
Taxi or airport limousine services may be considered when traveling in and around cities or to and
from airports when less expensive means of transportation are unavailable or impractical. The
actual fare plus a reasonable tip (15-18%) are reimbursable. In the case of a free hotel shuttle to the
airport, tips are included in the per diem rates and will not be reimbursed separately.
D. Parking & Tolls
When parking at the airport, employees must use longer term parking areas that are measured in
days as opposed to hours. Park and fly options located near some airports may also be used. For
extended trips that would result in excessive parking charges, public transportation to/from the
airport should be considered. Tolls will be reimbursed when receipts are presented.
3. Lodging
Tyler’s TMC will select hotel chains that are well established, reasonable in price, and conveniently
located in relation to the traveler's work assignment. Typical hotel chains include Courtyard,
Fairfield Inn, Hampton Inn, and Holiday Inn Express. If the employee has a discount rate with a local
hotel, the hotel reservation should note that discount and the employee should confirm the lower
rate with the hotel upon arrival. Employee memberships in travel clubs such as AAA should be
noted in their travel profiles so that the employee can take advantage of any lower club rates.
“No shows” or cancellation fees are not reimbursable if the employee does not comply with the
hotel’s cancellation policy.
Tips for maids and other hotel staff are included in the per diem rate and are not reimbursed
separately.
ATTACHMENT 9 - Page 31 of 99
Employees are not authorized to reserve non-traditional short-term lodging, such as Airbnb, VRBO,
and HomeAway. Employees who elect to make such reservations shall not be reimbursed.
4. Meals and Incidental Expenses
Employee meals and incidental expenses while on travel status within the continental U.S. are in
accordance with the federal per diem rates published by the General Services Administration.
Incidental expenses include tips to maids, hotel staff, and shuttle drivers and other minor travel
expenses. Per diem rates are available at www.gsa.gov/perdiem.
Per diem for Alaska, Hawaii, U.S. protectorates and international destinations are provided
separately by the Department of State and will be determined as required.
A. Overnight Travel
For each full day of travel, all three meals are reimbursable. Per diems on the first and last day of a
trip are governed as set forth below.
Departure Day
Depart before 12:00 noon Lunch and dinner
Depart after 12:00 noon
Return Day
Dinner
Return before 12:00 noon Breakfast
Return between 12:00 noon & 7:00 p.m. Breakfast and lunch
Return after 7:00 p.m.* Breakfast, lunch and dinner
*7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner.
The reimbursement rates for individual meals are calculated as a percentage of the full day per diem
as follows:
Breakfast 15%
Lunch 25%
Dinner 60%
B. Same Day Travel
Employees traveling at least 100 miles to a site and returning in the same day are eligible to claim
lunch on an expense report. Employees on same day travel status are eligible to claim dinner in the
event they return home after 7:00 p.m.*
*7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner.
ATTACHMENT 9 - Page 32 of 99
5. Internet Access – Hotels and Airports
Employees who travel may need to access their e-mail at night. Many hotels provide free high
speed internet access and Tyler employees are encouraged to use such hotels whenever possible. If
an employee’s hotel charges for internet access it is reimbursable up to $10.00 per day. Charges for
internet access at airports are not reimbursable.
6. International Travel
All international flights with the exception of flights between the U.S. and Canada should be
reserved through TMC using the “lowest practical coach fare” with the exception of flights that are
six (6) or more consecutive hours in length. In such event, the next available seating class above
coach shall be reimbursed.
When required to travel internationally for business, employees shall be reimbursed for photo fees,
application fees, and execution fees when obtaining a new passport book, but fees related to
passport renewals are not reimbursable. Visa application and legal fees, entry taxes and departure
taxes are reimbursable.
The cost of vaccinations that are either required for travel to specific countries or suggested by the
U.S. Department of Health & Human Services for travel to specific countries, is reimbursable.
Section 4, Meals & Incidental Expenses, and Section 2.b., Rental Car, shall apply to this section.
ATTACHMENT 9 - Page 33 of 99
Exhibit C
Service Level Agreement
I. Agreement Overview
This SLA operates in conjunction with, and does not supersede or replace any part of, the Agreement. It
outlines the information technology service levels that we will provide to you to ensure the availability of
the application services that you have requested us to provide. All other support services are documented
in the Support Call Process.
II. Definitions. Except as defined below, all defined terms have the meaning set forth in the
Agreement.
Attainment: The percentage of time the Tyler Software is available during a calendar quarter, with
percentages rounded to the nearest whole number.
Client Error Incident: Any service unavailability resulting from your applications, content or equipment, or
the acts or omissions of any of your service users or third-party providers over whom we exercise no
control.
Downtime: Those minutes during which the Tyler Software is not available for your use. Downtime does
not include those instances in which only a Defect is present.
Service Availability: The total number of minutes in a calendar quarter that the Tyler Software is capable
of receiving, processing, and responding to requests, excluding maintenance windows, Client Error
Incidents and Force Majeure.
III. Service Availability
The Service Availability of the Tyler Software is intended to be 24/7/365. We set Service Availability goals
and measures whether we have met those goals by tracking Attainment.
a. Your Responsibilities
Whenever you experience Downtime, you must make a support call according to the procedures outlined
in the Support Call Process. You will receive a support incident number.
You must document, in writing, all Downtime that you have experienced during a calendar quarter. You
must deliver such documentation to us within 30 days of a quarter’s end.
The documentation you provide must evidence the Downtime clearly and convincingly. It must include,
for example, the support incident number(s) and the date, time and duration of the Downtime(s).
b. Our Responsibilities
When our support team receives a call from you that Downtime has occurred or is occurring, we will work
with you to identify the cause of the Downtime (including whether it may be the result of a Client Error
Incident or Force Majeure). We will also work with you to resume normal operations.
Upon timely receipt of your Downtime report, we will compare that report to our own outage logs and
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support tickets to confirm that Downtime for which we were responsible indeed occurred.
We will respond to your Downtime report within 30 day(s) of receipt. To the extent we have confirmed
Downtime for which we are responsible, we will provide you with the relief set forth below.
c. Client Relief
When a Service Availability goal is not met due to confirmed Downtime, we will provide you with relief
that corresponds to the percentage amount by which that goal was not achieved, as set forth in the Client
Relief Schedule below.
Notwithstanding the above, the total amount of all relief that would be due under this SLA per quarter
will not exceed 12% of one quarter of the then-current SaaS Fee. The total credits confirmed by us in one
or more quarters of a billing cycle will be applied to the SaaS Fee for the next billing cycle. Issuing of such
credit does not relieve us of our obligations under the Agreement to correct the problem which created
the service interruption.
Every quarter, we will compare confirmed Downtime to Service Availability. In the event actual
Attainment does not meet the targeted Attainment, the following Client relief will apply, on a quarterly
basis:
Targeted Attainment Actual Attainment Client Relief
100% 98-99% Remedial action will be taken.
100% 96.00-97.99% 4% credit of fee for affected calendar quarter
will be posted to next billing cycle
100% 94.00-95.99% 8% credit of fee for affected calendar quarter
will be posted to next billing cycle
100% <94% 12% credit of fee for affected calendar
quarter will be posted to next billing cycle
You may request a report from us that documents the preceding quarter’s Service Availability, Downtime,
any remedial actions that have been/will be taken, and any credits that may be issued.
IV. Applicability
The commitments set forth in this SLA do not apply during maintenance windows, Client Error Incidents,
and Force Majeure.
We perform maintenance during limited windows that are historically known to be reliably low-traffic
times. If and when maintenance is predicted to occur during periods of higher traffic, we will provide
advance notice of those windows and will coordinate to the greatest extent possible with you.
V. Force Majeure
You will not hold us responsible for not meeting service levels outlined in this SLA to the extent any failure
to do so is caused by Force Majeure. In the event of Force Majeure, we will file with you a signed request
that said failure be excused. That writing will at least include the essential details and circumstances
supporting our request for relief pursuant to this Section. You will not unreasonably withhold its
acceptance of such a request.
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Exhibit C
Schedule 1
Support Call Process
Support Channels
Tyler Technologies, Inc. provides the following channels of software support:
(1) Tyler Community – an on-line resource, Tyler Community provides a venue for all Tyler clients
with current maintenance agreements to collaborate with one another, share best practices and
resources, and access documentation.
(2) On-line submission (portal) – for less urgent and functionality-based questions, users may create
unlimited support incidents through the customer relationship management portal available at
the Tyler Technologies website.
(3) Email – for less urgent situations, users may submit unlimited emails directly to the software
support group.
(4) Telephone – for urgent or complex questions, users receive toll-free, unlimited telephone
software support.
Support Resources
A number of additional resources are available to provide a comprehensive and complete support
experience:
(1) Tyler Website – www.tylertech.com – for accessing client tools and other information including
support contact information.
(2) Tyler Community – available through login, Tyler Community provides a venue for clients to
support one another and share best practices and resources.
(3) Knowledgebase – A fully searchable depository of thousands of documents related to
procedures, best practices, release information, and job aides.
(4) Program Updates – where development activity is made available for client consumption
Support Availability
Tyler Technologies support is available during the local business hours of 8 AM to 5 PM (Monday –
Friday) across four US time zones (Pacific, Mountain, Central and Eastern). Clients may receive coverage
across these time zones. Tyler’s holiday schedule is outlined below. There will be no support coverage
on these days.
New Year’s Day Thanksgiving Day
Memorial Day Day after Thanksgiving
Independence Day Christmas Day
Labor Day
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Issue Handling
Incident Tracking
Every support incident is logged into Tyler’s Customer Relationship Management System and given a
unique incident number. This system tracks the history of each incident. The incident tracking number is
used to track and reference open issues when clients contact support. Clients may track incidents, using
the incident number, through the portal at Tyler’s website or by calling software support directly.
Incident Priority
Each incident is assigned a priority number, which corresponds to the client’s needs and deadlines. The
client is responsible for reasonably setting the priority of the incident per the chart below. This chart is
not intended to address every type of support incident, and certain “characteristics” may or may not
apply depending on whether the Tyler software has been deployed on customer infrastructure or the
Tyler cloud. The goal is to help guide the client towards clearly understanding and communicating the
importance of the issue and to describe generally expected responses and resolutions.
Priority
Level Characteristics of Support Incident Resolution Targets
1
Critical
Support incident that causes (a)
complete application failure or
application unavailability; (b)
application failure or unavailability in
one or more of the client’s remote
location; or (c) systemic loss of multiple
essential system functions.
Tyler shall provide an initial response to Priority Level 1
incidents within one (1) business hour of receipt of the
support incident. Tyler shall use commercially
reasonable efforts to resolve such support incidents or
provide a circumvention procedure within one (1)
business day. For non-hosted customers, Tyler’s
responsibility for lost or corrupted Data is limited to
assisting the client in restoring its last available database.
2
High
Support incident that causes (a)
repeated, consistent failure of essential
functionality affecting more than one
user or (b) loss or corruption of Data.
Tyler shall provide an initial response to Priority Level 2
incidents within four (4) business hours of receipt of the
support incident. Tyler shall use commercially
reasonable efforts to resolve such support incidents or
provide a circumvention procedure within ten (10)
business days. For non-hosted customers, Tyler’s
responsibility for loss or corrupted Data is limited to
assisting the client in restoring its last available database.
3
Medium
Priority Level 1 incident with an existing
circumvention procedure, or a Priority
Level 2 incident that affects only one
user or for which there is an existing
circumvention procedure.
Tyler shall provide an initial response to Priority Level 3
incidents within one (1) business day of receipt of the
support incident. Tyler shall use commercially
reasonable efforts to resolve such support incidents
without the need for a circumvention procedure with the
next published maintenance update or service pack. For
non-hosted customers, Tyler’s responsibility for lost or
corrupted Data is limited to assisting the client in
restoring its last available database.
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Priority
Level Characteristics of Support Incident Resolution Targets
4
Non-
critical
Support incident that causes failure of
non-essential functionality or a
cosmetic or other issue that does not
qualify as any other Priority Level.
Tyler shall provide an initial response to Priority Level 4
incidents within two (2) business days. Tyler shall use
commercially reasonable efforts to resolve such support
incidents, as well as cosmetic issues, with a future
version release.
Incident Escalation
Tyler Technology’s software support consists of four levels of personnel:
(1) Level 1: front-line representatives
(2) Level 2: more senior in their support role, they assist front-line representatives and take on
escalated issues
(3) Level 3: assist in incident escalations and specialized client issues
(4) Level 4: responsible for the management of support teams for either a single product or a
product group
If a client feels they are not receiving the service needed, they may contact the appropriate Software
Support Manager. After receiving the incident tracking number, the manager will follow up on the open
issue and determine the necessary action to meet the client’s needs.
On occasion, the priority or immediacy of a software support incident may change after initiation. Tyler
encourages clients to communicate the level of urgency or priority of software support issues so that we
can respond appropriately. A software support incident can be escalated by any of the following
methods:
(1) Telephone – for immediate response, call toll-free to either escalate an incident’s priority or to
escalate an issue through management channels as described above.
(2) Email – clients can send an email to software support in order to escalate the priority of an issue
(3) On-line Support Incident Portal – clients can also escalate the priority of an issue by logging into
the client incident portal and referencing the appropriate incident tracking number.
Remote Support Tool
Some support calls require further analysis of the client’s database, process or setup to diagnose a
problem or to assist with a question. Tyler will, at its discretion, use an industry-standard remote
support tool. Support is able to quickly connect to the client’s desktop and view the site’s setup,
diagnose problems, or assist with screen navigation. More information about the remote support tool
Tyler uses is available upon request.
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Exhibit D
DocOrigin End User License Agreement
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Exhibit E
Statement of Work
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The City of San Juan Capistrano
SOW from Tyler Technologies, Inc.
10/29/2020
Presented to:
The City of San Juan Capistrano
32400 Paseo Adelanto
San Juan Capistrano, CA 92675
Contact:
Katharina Howard
Email: Katharina.Howard@TylerTech.com
One Tyler Drive, Yarmouth, ME 04096
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Table of Contents
PART 1: EXECUTIVE SUMMARY ............................................................................................................... 1
Project Overview ............................................................................................................................. 1
Introduction ........................................................................................................................................ 1
Project Goals ....................................................................................................................................... 1
Methodology ....................................................................................................................................... 1
PART 2: PROJECT FOUNDATION ............................................................................................................. 4
Project Governance ......................................................................................................................... 4
Project Scope Control ...................................................................................................................... 5
Managing Scope and Project Change ................................................................................................. 5
Change Control ................................................................................................................................... 5
Change Request Management ............................................................................................................ 5
Acceptance Process ......................................................................................................................... 7
Roles and Responsibilities ................................................................................................................ 7
Tyler Roles & Responsibilities ............................................................................................................. 8
Tyler Executive Sponsor .............................................................................................................. 8
Tyler Implementation Manager .................................................................................................. 8
Tyler Project Manager ................................................................................................................. 8
Tyler Implementation Consultant ............................................................................................... 9
Tyler Sales ................................................................................................................................. 10
Tyler Technical Services ............................................................................................................ 10
Tyler SaaS Technicians .............................................................................................................. 10
The City of San Juan Capistrano Roles & Responsibilities ................................................................. 10
The City of San Juan Capistrano Executive Sponsor ................................................................. 10
The City of San Juan Capistrano Steering Committee .............................................................. 10
The City of San Juan Capistrano Project Manager .................................................................... 11
The City of San Juan Capistrano Functional Leads .................................................................... 12
The City of San Juan Capistrano Power Users ........................................................................... 13
The City of San Juan Capistrano End Users ............................................................................... 13
The City of San Juan Capistrano Technical Lead ....................................................................... 13
The City of San Juan Capistrano Change Management Lead .................................................... 14
PART 3: PROJECT PLAN ........................................................................................................................... 15
Project Stages ................................................................................................................................. 15
Initiate and Plan ................................................................................................................................ 16
Initial Coordination ................................................................................................................... 16
Project/Phase Planning ............................................................................................................. 17
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Infrastructure Planning ............................................................................................................. 18
Stakeholder Meeting ................................................................................................................. 19
Intentionally left blank. ............................................................................................................. 20
Control Point 1: Initiate & Plan Stage Acceptance .................................................................... 20
Assess & Define ................................................................................................................................. 21
Solution Orientation.................................................................................................................. 21
Current & Future State Analysis ................................................................................................ 22
Conversion Assessment ............................................................................................................ 23
Intentionally left blank. ............................................................................................................. 24
Intentionally left blank. ............................................................................................................. 24
Control Point 2: Assess & Define Stage Acceptance ................................................................. 24
Prepare Solution ............................................................................................................................... 25
Initial System Deployment ........................................................................................................ 25
Configuration ............................................................................................................................ 26
Process Refinement .................................................................................................................. 27
Conversion Delivery .................................................................................................................. 29
Intentionally left blank. ............................................................................................................. 30
Intentionally left blank. ............................................................................................................. 30
Control Point 3: Prepare Solution Stage Acceptance ................................................................ 30
Production Readiness ....................................................................................................................... 31
Solution Validation .................................................................................................................... 31
Go-Live Readiness ..................................................................................................................... 32
End User Training ...................................................................................................................... 33
Control Point 4: Production Readiness Stage Acceptance ........................................................ 34
Production ......................................................................................................................................... 35
Go-Live ...................................................................................................................................... 35
Transition to Client Services ...................................................................................................... 36
Post Go-Live Activities ............................................................................................................... 37
Control Point 5: Production Stage Acceptance ......................................................................... 38
Close .................................................................................................................................................. 38
Phase Closeout .......................................................................................................................... 39
Project Closeout ........................................................................................................................ 40
Control Point 6: Close Stage Acceptance .................................................................................. 41
General Assumptions ...................................................................................................................... 41
Project ............................................................................................................................................... 41
Organizational Change Management ............................................................................................... 42
Resources and Scheduling ................................................................................................................ 42
Data ................................................................................................................................................... 42
Facilities............................................................................................................................................. 43
Glossary ......................................................................................................................................... 44
PART 4: APPENDICES ............................................................................................................................... 47
Conversion ..................................................................................................................................... 47
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Munis Conversion Summary ............................................................................................................. 47
Accounts Payable Master .......................................................................................................... 47
Accounts Payable - Checks ........................................................................................................ 47
Accounts Payable - Invoices ...................................................................................................... 47
Contracts ................................................................................................................................... 47
General Billing CID ..................................................................................................................... 47
General Billing – Bills ................................................................................................................. 47
Payroll ....................................................................................................................................... 47
Payroll – Accrual Balances......................................................................................................... 48
Payroll – Accumulators ............................................................................................................. 48
Payroll – Check History ............................................................................................................. 48
Payroll – Earning/Deduction Hist. ............................................................................................. 48
Additional Appendices ................................................................................................................ 49
Intentionally left blank. ......................................................................... Error! Bookmark not defined.
Project Timeline .......................................................................................................................... 49
ERP Project Timeline ......................................................................................................................... 49
Intentionally left blank. ..................................................................................................................... 50
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Part 1: Executive Summary
Project Overview
Introduction
Tyler Technologies (“Tyler”) is the largest and most established provider of integrated software and
technology services focused solely on the public sector. Tyler’s end-to-end solutions empower public sector
entities including local, state, provincial and federal government, to operate more efficiently and connect
more transparently with their constituents and with each other. By connecting data and processes across
disparate systems, Tyler’s solutions transform how clients gain actionable insights that solve problems in their
communities.
Project Goals
This Statement of Work (“SOW”) documents the methodology, implementation stages, activities, and roles
and responsibilities, and project scope listed in the Investment Summary of the Agreement between Tyler
and Client (collectively the “Project”).
In carrying out its obligations under this SOW, Tyler will comply with the following requirements in the
performance of its services:
• Implement a Munis solution that meets the business and functional requirements set forth in Tyler
Response to the City’s Request For Proposal;
• Perform its responsibilities under this SOW in accordance with the project schedule that is developed
herein, subject to the timely performance of the responsibilities of City;
• Where appropriate and feasible, implement process automation and electronic workflows in order to
increase efficiencies and reduce paper; and
The accomplishment of all goals and requirements will be measured by Tyler and accepted by City in
accordance with the acceptance process described in this SOW and the SaaS Agreement.
The services provided by Tyler pursuant to this SOW are subject to the terms and conditions set forth in the
Software As A Service Agreement between Tyler and the City of San Juan Capistrano (SaaS Agreement). In the
event of any conflict between the terms of this SOW and the SaaS Agreement, the terms of the SaaS
Agreement will control.
Methodology
This is accomplished by the City of San Juan Capistrano and Tyler working as a partnership and Tyler utilizing
its depth of implementation experience. While each Project is unique, all will follow Tyler’s six-stage
methodology. Each of the six stages is comprised of multiple work packages, and each work package includes
a narrative description, objectives, tasks, inputs, outputs/deliverables, assumptions, and a responsibility
matrix.
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Tailored specifically for Tyler’s public sector clients, the project methodology contains Stage Acceptance
Control Points throughout each Phase to ensure adherence to scope, budget, timeline controls, effective
communications, and quality standards. Clearly defined, the project methodology repeats consistently across
Phases, and is scaled to meet the client’s complexity and organizational needs.
The methodology adapts to both single-phase and multiple-phase projects.
To achieve project success, it is imperative that both the City of San Juan Capistrano and Tyler commit to
including the necessary leadership and governance. During each stage of the Project, it is expected that the
City of San Juan Capistrano and Tyler Project teams work collaboratively to complete tasks. An underlying
principle of Tyler’s Implementation process is to employ an iterative model where the City of San Juan
Capistrano’s business processes are assessed, configured, validated, and refined cyclically in line with the
project budget. This approach is used in multiple stages and work packages as illustrated in the graphic below.
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The delivery approach is systematic, which reduces variability and mitigates risks to ensure Project success. As
illustrated, some stages, along with work packages and tasks, are intended to be overlapping by nature to
efficiently and effectively complete the Project.
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Part 2: Project Foundation
Project Governance
Project governance is the management framework within which Project decisions are made. The role of
Project governance is to provide a decision-making approach that is logical, robust, and repeatable. This
allows organizations to have a structured approach for conducting its daily business in addition to project
related activities.
This section outlines the resources required to adequately meet the business needs, objectives, and priorities
for the Project, communicate the goals to other Project participants, and provide support and guidance to
accomplish these goals. Project governance defines the structure for escalation of issues and risks, Change
Control review and authority, and Organizational Change Management activities. Throughout the Statement
of Work Tyler has provided RACI Matrices for activities to be completed throughout the implementation
which will further outline responsibilities of different roles in each stage. Further refinement of the
governance structure, related processes, and specific roles and responsibilities occurs during the Initiate &
Plan Stage.
The chart below illustrates an overall team perspective where Tyler and the City of San Juan Capistrano
collaborate to resolve Project challenges according to defined escalation paths. In the event that project
managers do not possess authority to determine a solution, resolve an issue, or mitigate a risk, Tyler
implementation management and The City of San Juan Capistrano Steering Committee become the escalation
points to triage responses prior to escalation to The City of San Juan Capistrano and Tyler executive sponsors.
As part of the escalation process, each Project governance tier presents recommendations and supporting
information to facilitate knowledge transfer and issue resolution. The City of San Juan Capistrano and Tyler
executive sponsors serve as the final escalation point.
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Project Scope Control
Managing Scope and Project Change
Project Management governance principles contend that there are three connected constraints on a Project:
budget, timeline, and scope. These constraints, known as the ‘triple constraints’ or Project management
triangle, define budget in terms of financial cost, labor costs, and other resource costs. Scope is defined as the
work performed to deliver a product, service or result with the specified features and functions, while time is
simply defined as the schedule. The Triple Constraint theory states that if you change one side of the triangle,
the other two sides must be correspondingly adjusted. For example, if the scope of the Project is increased,
cost and time to complete will also need to increase. The Project and executive teams will need to remain
cognizant of these constraints when making impactful decisions to the Project. A simple illustration of this
triangle is included here, showing the connection of each item and their relational impact to the overall
Scope.
A pillar of any successful project is the ability to properly manage scope while allowing the appropriate level
of flexibility to incorporate approved changes. Scope and changes within the project will be managed using
the change control process outlined in the following section.
Change Control
It may become necessary to change the scope of this Project due to unforeseeable circumstances (e.g., new
constraints or opportunities are discovered). This Project is being undertaken with the understanding that
Project scope, schedule, and/or cost may need to change in order to produce optimal results for
stakeholders. Changes to contractual requirements will follow the change control process specified in the
final contract, and as described below.
Change Request Management
Should the need for a change to Project scope, schedule, and/or cost be identified during the Project, the
change will be brought to the attention of the Steering Committee and an assessment of the change will
occur. While such changes may result in additional costs and possible delays relative to the schedule, some
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changes may result in less cost to The City of San Juan Capistrano; for example, The City of San Juan
Capistrano may decide it no longer needs a deliverable originally defined in the Project. The Change Request
will include the following information:
The nature of the change.
A good faith estimate of the additional cost or associated savings to The City of San Juan Capistrano, if
any.
The timetable for implementing the change.
The effect on and/or risk to the schedule, resource needs or resource responsibilities.
The City of San Juan Capistrano will use its good faith efforts to either approve or disapprove any Change
Request within ten (10) Business Days (or other period as mutually agreeable between Tyler and The City of
San Juan Capistrano). Any changes to the Project scope, budget, or timeline must be documented and
approved in writing using a Change Request form. These changes constitute a formal amendment to the
Statement of Work and will supersede any conflicting term in the Statement of Work.
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Acceptance Process
The implementation of a Project involves many decisions to be made throughout its lifecycle. Decisions will
vary from higher level strategy decisions to smaller, detailed Project level decisions. It is critical to the success
of the Project that each The City of San Juan Capistrano office or department designates specific individuals
for making decisions on behalf of their offices or departments.
Both Tyler and the City of San Juan Capistrano will identify representative project managers. These individuals
will represent the interests of all stakeholders and serve as the primary contacts between the two
organizations.
The coordination of gaining client feedback and approval on Project deliverables will be critical to the success
of the Project. The City of San Juan Capistrano project manager will strive to gain deliverable and decision
approvals from all authorized The City of San Juan Capistrano representatives. Given that the designated
decision-maker for each department may not always be available, there must be a designated proxy for each
decision point in the Project. Assignment of each proxy will be the responsibility of the leadership from each
The City of San Juan Capistrano department. The proxies will be named individuals that have the
authorization to make decisions on behalf of their department.
Acceptance of each Phase will be subject to a thirty (30) day acceptance process as set forth in Section 11.3 of
the SaaS Agreement.
The following process will be used for accepting Deliverables and Control Points within each Phase:
The City of San Juan Capistrano shall have a maximum of thirty days to accept each Deliverable or
Control Point, it being understood that the complexity or size of a deliverable will impact the review
and acceptance process. For interim Deliverables or Control Points, the City of San Juan Capistrano
will use reasonable efforts to provide acceptance or acknowledgement within thirty days. If the City
of San Juan Capistrano does not provide acceptance or acknowledgement within thirty days, or the
otherwise agreed upon timeframe, then Tyler will be entitled to an extension of the Project schedule
and the delay caused by the City will not be a breach of Tyler’s responsibilities under this SOW.
If the City of San Juan Capistrano does not agree the particular Deliverable or Control Point meets
requirements, the City of San Juan Capistrano shall notify Tyler project manager(s), in writing, with
sufficient reasoning for Tyler to understand the alleged deficiency. Notification will be given within
the time periods specified above.
Tyler shall address any deficiencies and redeliver the Deliverable or Control Point. The City of San
Juan Capistrano shall then have a similar period to that set forth above from receipt of the
redelivered Deliverable or Control Point to accept or again submit written notification of reasons for
rejecting the milestone. This process continues until the City of San Juan Capistrano accepts the
Deliverable, or provides conditional acceptance subject to a written plan of resolution..
In the event Tyler believes the City is not conducting its review promptly and in good faith, Tyler may
request a meeting with the City project manager to resolve the cause of the delay.
Roles and Responsibilities
The following defines the roles and responsibilities of each Project resource for The City of San Juan
Capistrano and Tyler. Roles and responsibilities may not follow the organizational chart or position
descriptions at The City of San Juan Capistrano, but are roles defined within the Project. It is common for
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individual resources on both the Tyler and client project teams to fill multiple roles. Similarly, it is common for
some roles to be filled by multiple people.
Tyler Roles & Responsibilities
Tyler assigns a project manager prior to the start of each Phase of the Project (some Projects may only be one
Phase in duration). Additional Tyler resources are assigned as the schedule develops and as needs arise.
Tyler Executive Sponsor
Tyler executive management has indirect involvement with the Project and is part of the Tyler escalation
process. This team member offers additional support to the Project team and collaborates with other Tyler
department managers as needed in order to escalate and facilitate implementation Project tasks and
decisions.
Provides clear direction for Tyler staff on executing on the Project Deliverables to align with satisfying
The City of San Juan Capistrano ’s overall organizational strategy.
Authorizes required Project resources.
Resolves all decisions and/or issues not resolved at the implementation management level as part of
the escalation process.
Acts as the counterpart to The City of San Juan Capistrano ’s executive sponsor.
Tyler Implementation Manager
Tyler implementation management has indirect involvement with the Project and is part of the Tyler
escalation process. The Tyler project managers consult implementation management on issues and
outstanding decisions critical to the Project. Implementation management works toward a solution
with the Tyler Project Manager or with The City of San Juan Capistrano management as appropriate.
Tyler executive management is the escalation point for any issues not resolved at this level.
Assigns Tyler Project personnel.
Provides support for the Project team.
Provides management support for the Project to ensure it is staffed appropriately and staff have
necessary resources.
Monitors Project progress including progress towards agreed upon goals and objectives.
Tyler Project Manager
The Tyler project manager(s) provides oversight of the Project, coordination of Tyler resources
between departments, management of the Project budget and schedule, effective risk and issue
management, and is the primary point of contact for all Project related items. As requested by the
client, the Tyler Project Manager provides regular updates to the client Steering Committee and
other Tyler governance members. Tyler Project Manager’s role includes responsibilities in the
following areas:
Contract Management
Validates contract compliance throughout the Project.
Ensures Deliverables meet contract requirements.
Acts as primary point of contact for all contract and invoicing questions.
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Prepares and presents contract milestone sign-offs for acceptance by The City of San Juan Capistrano
project manager(s).
Coordinates Change Requests, if needed, to ensure proper Scope and budgetary compliance.
Planning
Delivers project planning documents.
Defines Project tasks and resource requirements.
Develops initial Project schedule and Project Management Plan.
Collaborates with The City of San Juan Capistrano project manager(s) to plan and schedule Project
timelines to achieve on-time implementation.
Implementation Management
Tightly manages Scope and budget of Project to ensure Scope changes and budget planned versus
actual are transparent and handled effectively and efficiently.
Establishes and manages a schedule and Tyler resources that properly support the Project Schedule
and are also in balance with Scope/budget.
Establishes risk/issue tracking/reporting process between The City of San Juan Capistrano and Tyler
and takes all necessary steps to proactively mitigate these items or communicate with transparency
to The City of San Juan Capistrano any items that may impact the outcomes of the Project.
Collaborates with The City of San Juan Capistrano ’s project manager(s) to establish key business
drivers and success indicators that will help to govern Project activities and key decisions to ensure a
quality outcome of the project.
Collaborates with The City of San Juan Capistrano ’s project manager(s) to set a routine
communication plan that will aide all Project team members, of both The City of San Juan Capistrano
and Tyler, in understanding the goals, objectives, current status, and health of the Project.
Resource Management
Acts as liaison between Project team and Tyler manager(s).
Identifies and coordinates all Tyler resources across all applications, Phases, and activities including
development, forms, installation, reports, implementation, and billing.
Provides direction and support to Project team.
Manages the appropriate assignment and timely completion of tasks as defined in the Project
Schedule, task list, and Go-Live Checklist.
Assesses team performance and adjusts as necessary.
Consulted on in Scope 3rd party providers to align activities with ongoing Project tasks.
Tyler Implementation Consultant
Completes tasks as assigned by the Tyler project manager(s).
Documents activities for services performed by Tyler.
Guides the City of San Juan Capistrano through software validation process following configuration.
Assists during Go-Live process and provides support until The City of San Juan Capistrano transitions
to Client Services.
Facilitates training sessions and discussions with The City of San Juan Capistrano and Tyler staff to
ensure adequate discussion of the appropriate agenda topics during the allotted time.
May provide conversion review and error resolution assistance.
ATTACHMENT 9 - Page 58 of 99
Tyler Sales
Supports Sales to Implementation knowledge transfer during Initiate & Plan.
Provides historical information, as needed, throughout implementation.
Participates in pricing activities if additional licensing and/or services are needed.
Tyler Technical Services
Maintains Tyler infrastructure requirements and design document(s).
Involved in system infrastructure planning/review(s).
Provides first installation of licensed software with initial database on servers.
Supports and assists the project team with technical/environmental issues/needs.
Deploys Tyler products.
Tyler SaaS Technicians
Sets up Tyler-hosted servers.
Provides maintenance of hosted server hardware, operating system, and software upgrades.
Provides IT-related services for server environment.
Provides remote technical assistance and tracks issues.
Provides system management and disaster recovery services within hosting services.
Performs Tyler software upgrades through coordination with The City of San Juan Capistrano.
The City of San Juan Capistrano Roles & Responsibilities
The City of San Juan Capistrano resources will be assigned prior to the start of each Phase of the Project. One
person may be assigned to multiple Project roles.
City of San Juan Capistrano Executive Sponsor
The City of San Juan Capistrano executive sponsor provides support to the Project by providing strategic
direction and communicating key issues about the Project and its overall importance to the organization.
When called upon, the executive sponsor also acts as the final authority on all escalated Project issues. The
executive sponsor engages in the Project, as needed, in order to provide necessary support, oversight,
guidance, and escalation, but does not participate in day-to-day Project activities. The executive sponsor
empowers the City of San Juan Capistrano steering committee, project manager(s), and functional leads to
make critical business decisions for The City of San Juan Capistrano.
Champions the project at the executive level to secure buy-in.
Authorizes required project resources.
Actively participates in organizational change communications.
City of San Juan Capistrano Steering Committee
The City of San Juan Capistrano steering committee understands and supports the cultural change necessary
for the Project and fosters an appreciation for the Project’s value throughout the organization. The steering
committee oversees the City of San Juan Capistrano project manager and Project as a whole through
participation in regular internal meetings. The City of San Juan Capistrano steering committee remains
ATTACHMENT 9 - Page 59 of 99
updated on all Project progress, Project decisions, and achievement of Project milestones. The City of San
Juan Capistrano steering committee also serves as primary level of issue resolution for the Project.
Works to resolve all decisions and/or issues not resolved at the project manager level as part of the
escalation process.
Attends all scheduled steering committee meetings.
Provides support for the project team.
Assists with communicating key project messages throughout the organization.
Prioritizes the project within the organization.
Ensures the project staffed appropriately and that staff have necessary resources.
Monitors project progress including progress towards agreed upon goals and objectives.
Has the authority to approve or deny changes impacting the following areas:
o Cost
o Scope
o Schedule
o Project Goals
o The City of San Juan Capistrano Policies
o Needs of other client projects
City of San Juan Capistrano Project Manager
The City of San Juan Capistrano shall assign project manager(s) prior to the start of this project with overall
responsibility and authority to make decisions related to Project Scope, scheduling, and task assignment. The
City of San Juan Capistrano Project Manager should communicate decisions and commitments to the Tyler
project manager(s) in a timely and efficient manner. When the City of San Juan Capistrano project manager(s)
do not have the knowledge or authority to make decisions, he or she engages the necessary resources to
participate in discussions and make decisions in a timely fashion to avoid Project delays. The client project
manager(s) are responsible for reporting to client steering committee and determining appropriate escalation
points.
Contract Management
Validates contract compliance throughout the project.
Ensures that invoicing and Deliverables meet contract requirements.
Acts as primary point of contact for all contract and invoicing questions. Collaborates on and
approves Change Requests, if needed, to ensure proper scope and budgetary compliance.
Planning
Reviews and accepts project planning documents.
Defines project tasks and resource requirements for The City of San Juan Capistrano project team.
Collaborates in the development and approval of the project schedule.
Collaborates with Tyler project manager(s) to plan and schedule project timelines to achieve on-time
implementation.
Implementation Management
Tightly manages project budget and scope.
ATTACHMENT 9 - Page 60 of 99
Collaborates with Tyler project manager(s) to establish a process and approval matrix to ensure that
scope changes and budget (planned versus actual) are transparent and handled effectively and
efficiently.
Collaborates with Tyler project manager to establish and manage a schedule and resource plan that
properly supports the project schedule as a whole and is also in balance with scope and budget.
Collaborates with Tyler project manager(s) to establish risk and issue tracking and reporting process
between The City of San Juan Capistrano and Tyler and takes all necessary steps to proactively
mitigate these items or communicate with transparency to Tyler any items that may impact the
outcomes of the project.
Collaborates with Tyler project manager(s) to establish key business drivers and success indicators
that will help to govern project activities and key decisions to ensure a quality outcome of the project.
Routinely communicates with both The City of San Juan Capistrano staff and Tyler, aiding in the
understanding of goals, objectives, current status, and health of the project by all team members.
Manages the requirements gathering process and ensure timely and quality business requirements
are being provided to Tyler.
Resource Management
Acts as liaison between project team and stakeholders.
Identifies and coordinates all The City of San Juan Capistrano resources across all modules, phases,
and activities including data conversions, forms design, hardware and software installation, reports
building, and satisfying invoices.
Provides direction and support to project team.
Builds partnerships among the various stakeholders, negotiating authority to move the project
forward.
Manages the appropriate assignment and timely completion of tasks as defined.
Assesses team performance and takes corrective action, if needed.
Provides guidance to The City of San Juan Capistrano technical teams to ensure appropriate response
and collaboration with Tyler Technical Support Teams in order to ensure timely response and
appropriate resolution.
Owns the relationship with in-Scope 3rd party providers and aligns activities with ongoing project
tasks.
Ensures that users have appropriate access to Tyler project toolsets as required.
Conducts training on proper use of toolsets.
Validates completion of required assignments using toolsets.
City of San Juan Capistrano Functional Leads
Makes business process change decisions under time sensitive conditions.
Communicates existing business processes and procedures to Tyler consultants.
Assists in identifying business process changes that may require escalation.
Contributes business process expertise for Current & Future State Analysis.
Identifies and includes additional subject matter experts to participate in Current & Future State
Analysis.
Validates that necessary skills have been retained by end users.
Provides End Users with dedicated time to complete required homework tasks.
Acts as an ambassador/champion of change for the new process and provide business process
change support.
ATTACHMENT 9 - Page 61 of 99
Identifies and communicates any additional training needs or scheduling conflicts to The City of San
Juan Capistrano project manager.
Actively participates in all aspects of the implementation, including, but not limited to, the following
key activities:
o Task completion
o Stakeholder Meeting
o Project Management Plan development
o Schedule development
o Maintenance and monitoring of risk register
o Escalation of issues
o Communication with Tyler project team
o Coordination of The City of San Juan Capistrano resources
o Attendance at scheduled sessions
o Change management activities
o Modification specification, demonstrations, testing and approval assistance
o Data analysis assistance
o Decentralized end user training
o Process testing
o Solution Validation
City of San Juan Capistrano Power Users
Participate in project activities as required by the project team and project manager(s).
Provide subject matter expertise on The City of San Juan Capistrano business processes and
requirements.
Act as subject matter experts and attend Current & Future State Analysis sessions as needed.
Attend all scheduled training sessions.
Participate in all required post-training processes as needed throughout project.
Test all application configuration to ensure it satisfies business process requirements.
Become application experts.
Participate in Solution Validation.
Adopt and support changed procedures.
Complete all deliverables by the due dates defined in the project schedule.
Demonstrate competency with Tyler products processing prior to Go-live.
Provide knowledge transfer to The City of San Juan Capistrano staff during and after implementation.
Participate in conversion review and validation.
City of San Juan Capistrano End Users
Attend all scheduled training sessions.
Become proficient in application functions related to job duties.
Adopt and utilize changed procedures.
Complete all deliverables by the due dates defined in the project schedule.
Utilize software to perform job functions at and beyond Go-live.
City of San Juan Capistrano Technical Lead
Coordinates updates and releases with Tyler as needed.
ATTACHMENT 9 - Page 62 of 99
Coordinates the copying of source databases to training/testing databases as needed for training
days.
Coordinates and adds new users, printers and other peripherals as needed.
Validates that all users understand log-on process and have necessary permission for all training
sessions.
Coordinates interface development for The City of San Juan Capistrano third party interfaces.
Develops or assists in creating reports as needed.
Ensures on-site system meets specifications provided by Tyler.
Assists with software installation as needed.
Extracts and transmits conversion data and control reports from The City of San Juan Capistrano’s
legacy system per the conversion schedule set forth in the project schedule.
City of San Juan Capistrano Upgrade Coordination
Becomes familiar with the software upgrade process and required steps.
Becomes familiar with Tyler’s releases and updates.
Utilizes Tyler resources to stay abreast of the latest Tyler releases and updates, as well as the latest
helpful tools to manage The City of San Juan Capistrano’s software upgrade process.
Assists with the software upgrade process during implementation.
Manages software upgrade activities post-implementation.
Manages software upgrade plan activities.
Coordinates software upgrade plan activities with The City of San Juan Capistrano and Tyler
resources.
Communicates changes affecting users and department stakeholders.
Obtains department stakeholder acceptance to upgrade production environment.
City of San Juan Capistrano Change Management Lead
Validates that users receive timely and thorough communication regarding process changes.
Provides coaching to supervisors to prepare them to support users through the project changes.
Identifies the impact areas resulting from project activities and develops a plan to address them
proactively.
Identifies areas of resistance and develops a plan to reinforce the change.
Monitors post-production performance and new process adherence.
ATTACHMENT 9 - Page 63 of 99
Part 3: Project Plan
Project Stages
Work Breakdown Structure
The Work Breakdown Structure (WBS) is a hierarchical representation of a Project or Phase broken down into
smaller, more manageable components. The top-level components are called “Stages” and the second level
components are called “Work Packages”. The work packages, shown below each stage, contain the high-level
work to be done. The detailed Project Schedule, developed during Project/Phase Planning and finalized during
subsequent stages, lists the tasks to be completed within each work package. Each stage ends with a “Control
Point”, confirming the work performed during that stage of the Project has been accepted by The City of San
Juan Capistrano.
*Items noted with an asterisk in the graphic above relate to specific products and services. If those products and services are not included in the scope
of the contract, these specific work packages will be noted as “Intentionally Left Blank” in Section 6 of the Statement of Work.
ATTACHMENT 9 - Page 64 of 99
Initiate and Plan
The Initiate and Plan stage involves Project initiation, infrastructure, and planning. This stage creates a
foundation for the Project by identifying and establishing sequence and timing for each Phase as well as
verifying scope for the Project. This stage will be conducted at the onset of the Project, with a few unique
items being repeated for the additional Phases as needed.
Initial Coordination
Prior to Project commencement, Tyler management assigns project manager(s). Additional Project resources
will be assigned later in the Project as a Project schedule is developed. Tyler provides The City of San Juan
Capistrano with initial Project documents used to gather names of key personnel, their functional role as it
pertains to the Project, as well as any blackout dates to consider for future planning. The City of San Juan
Capistrano gathers the information requested by the provided deadline ensuring preliminary planning and
scheduling can be conducted moving the Project forward in a timely fashion. Internally, the Tyler Project
Manager(s) coordinate with sales to ensure transfer of vital information from the sales process prior to
scheduling a Project Planning Meeting with the City of San Juan Capistrano’s team. During this step, Tyler will
work with the City of San Juan Capistrano to establish the date(s) for the Project and Phase Planning session.
Objectives:
Formally launch the project.
Establish project governance.
Define and communicate governance for Tyler.
Identify client project team.
STAGE 1 Initial Coordination
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Tyler project team is assigned A R C I I I I I I
Client project team is assigned A I R I I I
Provide initial project
documents to The City of San
Juan Capistrano
A R C C I I
Gather preliminary information
requested I A R C C C C
Sales to implementation
knowledge transfer A R I I I I I
ATTACHMENT 9 - Page 65 of 99
Create Project Portal to store
project artifacts and facilitate
communication
A R I
Inputs Contract documents
Statement of Work
Outputs/Deliverables Completed initial project documents
Project portal
Work package assumptions:
Project activities begin after the agreement has been fully executed.
Project/Phase Planning
Project and Phase planning provides an opportunity to review the contract, software, data conversions and
services purchased, identify applications to implement in each Phase (if applicable), and discuss
implementation timeframes.
During this work package Tyler will work with the City of San Juan Capistrano to coordinate and plan a formal
Project planning meeting(s). This meeting signifies the start of the Project and should be attended by all the
City of San Juan Capistrano Project team members and the Tyler Project Manager. The meeting provides an
opportunity for Tyler to introduce its implementation methodology, terminology, and Project management
best practices to The City of San Juan Capistrano’s Project Team. This will also present an opportunity for
project managers and Project sponsors to begin to discuss Project communication, metrics, status reporting
and tools to be used to measure Project progress and manage change.
Tyler will work with the City of San Juan Capistrano Project Team to prepare and deliver the Project
Management Plan as an output of the planning meeting. This plan will continue to evolve and grow as the
Project progresses and will describe how the project will be executed, monitored, and controlled.
During project planning, Tyler will introduce the tools that will be used throughout the implementation. Tyler
will familiarize the client with these tools during project planning and make them available for review and
maintenance as applicable throughout the project. Some examples are Solution validation plan, issue log, and
go-live checklist.
STAGE 1 Project/Phase Planning
Tyler Client
ATTACHMENT 9 - Page 66 of 99
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Schedule and
conduct planning
session(s)
A R I C C I
Develop Project
Management Plan A R I C C I
Develop initial
project schedule A R I I I I I I C C I I C I
Inputs Contract documents
Statement of Work
Guide to Starting Your Project
Outputs / Deliverables Acceptance Criteria [only] for Deliverables
Project Management Plan Delivery of document
Project Operational Plan Delivery of document
Initial Project Schedule The City of San Juan Capistrano provides
acceptance of schedule based on resource
availability, project budget, and goals.
Work package assumptions:
The City of San Juan Capistrano has reviewed and completed the Guide to Starting Your Project
document.
Infrastructure Planning
Procuring required hardware and setting it up properly is a critical part of a successful implementation. This
task is especially important for Tyler-hosted/SaaS deployment models. Tyler will be responsible for building
the environments for a hosted/SaaS deployment, unless otherwise identified in the Agreement. Tyler will
install Licensed Software on application server(s) or train the City of San Juan Capistrano to install License
Software. The City of San Juan Capistrano is responsible for the installation and setup of all peripheral devices.
Objectives:
Ensure the City of San Juan Capistrano’s infrastructure meets Tyler’s application requirements.
Ensure the City of San Juan Capistrano’s infrastructure is scheduled to be in place and available for
use on time.
ATTACHMENT 9 - Page 67 of 99
STAGE 1 Infrastructure Planning
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SME ) Department Heads End Users Technical Leads Provide Infrastructure
Requirements and Design
Document
A R C C I I
Initial Infrastructure
Meeting A R C C C C
*Schedule SaaS
Environment Availability A R C I
*Schedule Hardware to
be Available for
Installation
I I A R C
Schedule Installation of
All Licensed Software A R C I I
Infrastructure Audit A R C I C
Inputs 1. Initial Infrastructure Requirements and Design Document
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
1. Completed Infrastructure Requirements
and Design Document
Delivery of Document
2. Infrastructure Audit System Passes Audit Criteria
Work package assumptions:
The City of San Juan Capistrano will maintain environment (or virtual environment) for On-Premise
deployments.
Stakeholder Meeting
Communication of the Project planning outcomes to the City of San Juan Capistrano Project team, executives
and other key stakeholders is vital to Project success. The Stakeholder meeting is a strategic activity to inform,
engage, gain commitment, and instill confidence in the City of San Juan Capistrano team. During the meeting,
the goals and objectives of the Project will be reviewed along with detail on Project scope, implementation
methodology, roles and responsibilities, Project timeline and schedule, and keys to Project success.
Objectives:
ATTACHMENT 9 - Page 68 of 99
Formally present and communicate the project activities and timeline.
Communicate project expectations.
STAGE 1 Stakeholder Meeting
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Create Stakeholder
Meeting Presentation I A R I I I I C I
Review Stakeholder
Meeting Presentation I C A R C
Perform Stakeholder
Meeting Presentation I A R I I I I C I I I I I I
Inputs Agreement
SOW
Project Management Plan
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Stakeholder Meeting Presentation
Work package assumptions:
None
Intentionally left blank.
Control Point 1: Initiate & Plan Stage Acceptance
Acceptance criteria for this stage includes completion of all criteria listed below.
Note: Advancement to the Assess & Define stage is not dependent upon Tyler’s receipt of this stage
acceptance.
Initiate & Plan Stage Deliverables:
Project Management Plan
Initial Project Schedule
ATTACHMENT 9 - Page 69 of 99
Initiate & Plan stage acceptance criteria:
All stage deliverables accepted based on acceptance criteria previously defined
Project governance defined
Project portal made available to The City of San Juan Capistrano
Stakeholder meeting complete
Assess & Define
The Assess & Define stage will provide an opportunity to gather information related to current The City of San
Juan Capistrano business processes. This information will be used to identify and define business processes
utilized with Tyler software. The City of San Juan Capistrano collaborates with Tyler providing complete and
accurate information to Tyler staff and assisting in analysis, understanding current workflows and business
processes.
Solution Orientation
The Solution Orientation provides the Project stakeholders a high-level understanding of the solution
functionality prior to beginning the current and future state analysis. The primary goal is to establish a
foundation for upcoming conversations regarding the design and configuration of the solution.
Tyler utilizes a variety of tools for the Solution Orientation, focusing on The City of San Juan Capistrano team
knowledge transfer such as: eLearning, documentation, or walkthroughs. The City of San Juan Capistrano
team will gain a better understanding of the major processes and focus on data flow, the connection between
configuration options and outcome, integration, and terminology that may be unique to Tyler’s solution.
Objectives:
Provide a basic understanding of system functionality.
Prepare the City of San Juan Capistrano for current and future state analysis.
STAGE 2 Solution Orientation
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Provide pre-requisites A R I I I I I
Complete pre-requisites A R C C
Conduct orientation A R I I I I I
Inputs Solution orientation materials
ATTACHMENT 9 - Page 70 of 99
Training Plan
Current & Future State Analysis
The Current & Future State Analysis provides the Project stakeholders and Tyler an understanding of process
changes that will be achieved with the new system.
The City of San Juan Capistrano and Tyler will evaluate current state processes, options within the new
software, pros and cons of each based on current or desired state and make decisions about the future state
configuration and processing. This may occur before or within the same timeframe as the configuration work
package. The options within the new software will be limited to the scope of this implementation and will
make use of standard Tyler functionality.
The City of San Juan Capistrano will adopt the existing Tyler solution wherever possible to avoid project
schedule and quality risk from over customization of Tyler products. It is the client’s responsibility to verify
that in-scope requirements are being met throughout the implementation if functional requirements are
defined as part of the contract. The following guidelines will be followed when evaluating if a modification to
the product is required:
A reasonable business process change is available.
Functionality exists which satisfies the requirement.
Configuration of the application satisfies the requirement.
An in-scope modification satisfies the requirement.
Requirements that are not met will follow the agreed upon change control process and can have impacts on
the project schedule, scope, budget and resource availability.
STAGE 2 Current & Future State Analysis
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Current State process
review A R I I I C C C C C
Discuss future-state
options A R C C C C C C C C
Make future-state
decisions (non-COTS) C C C C C A R I C C
Document anticipated
configuration options
required to support
future state
A R C C C I I I I I
ATTACHMENT 9 - Page 71 of 99
Inputs Client current state documentation
Solution Orientation completion
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Documentation that describes future-state
decisions and configuration options to support
future-state decisions.
Delivery of document
Work package assumptions:
The City of San Juan Capistrano attendees possess sufficient knowledge and authority to make future
state decisions.
The City of San Juan Capistrano is responsible for any documentation of current state business
processes.
Client is able to effectively communicate current state processes.
Conversion Assessment
Data Conversions are a major effort in any software implementation. Tyler’s conversion tools facilitate the
predictable, repeatable conversion process that is necessary to support a successful transition to the Tyler
system. The first step in this process is to perform an assessment of the existing (“legacy”) system(s), to
better understand the source data, risks, and options available. Once the data has been analyzed, the plan for
data conversion is completed and communicated to the appropriate stakeholders.
Objectives:
Communicate a common understanding of the project goals with respect to data.
Ensure complete and accurate source data is available for review/transfer.
Map the data from the source to the Tyler system.
Document the data conversion/loading approach.
STAGE 2 Data Conversion Assessment
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Extract Data from Source
Systems I C A R
ATTACHMENT 9 - Page 72 of 99
Complete Data
Analysis/Mapping A R C C I C C I
Review and Scrub Source
Data I I I A R C I
Build/Update Data
Conversion Plan R C C C I I I I
Inputs Client Source data
Client Source data Documentation (if available)
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Data Conversion Plan built/updated Client Acceptance of Data Conversion Plan, if
Applicable
Work package assumptions:
Tyler will be provided with data from the Legacy system(s) in a mutually agreed upon format.
Tyler will work with The City of San Juan Capistrano representatives to identify business rules before
writing the conversion.
The City of San Juan Capistrano subject matter experts and resources most familiar with the current
data will be involved in the data conversion planning effort.
Intentionally left blank.
Intentionally left blank.
Control Point 2: Assess & Define Stage Acceptance
Acceptance criteria for this Stage includes completion of all criteria listed below.
Note: Advancement to the Prepare Solution Stage is dependent upon Tyler’s receipt of the Stage Acceptance.
Assess & Define Stage Deliverables:
Documentation of future state decisions and configuration options to support future state decisions.
Modification specification document.
Assess & Define Stage Acceptance Criteria:
All stage deliverables accepted based on criteria previously defined.
Solution Orientation is delivered.
Conversion data extracts are received by Tyler.
Initiate & Plan stage acceptance criteria:
All stage deliverables accepted based on acceptance criteria previously defined
Project governance defined
Project portal made available to the City
ATTACHMENT 9 - Page 73 of 99
Stakeholder meeting complete
Data conversion plan built.
Prepare Solution
During the Prepare Solution stage, information gathered during the Initiate & Plan and Assess & Define stages
will be used to install and configure the Tyler software solution. Software configuration will be validated by
the client against future state decisions defined in previous stages and processes refined as needed to ensure
business requirements are met.
Initial System Deployment
The timely availability of the Tyler Solution is important to a successful Project implementation. The success
and timeliness of subsequent work packages are contingent upon the initial system deployment of Tyler
Licensed Software on an approved network and infrastructure. Delays in executing this work package can
affect the project schedule.
Objectives:
All licensed software is installed and operational.
The City of San Juan Capistrano is able to access the software.
STAGE 3 Initial System Deployment (Hosted/SaaS)*
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Prepare hosted
environment A R I C
Install Licensed
Software with
Initial Database on
Server(s) for
Included
Environments
A R I C
Install Licensed
Software on Client
Devices (if
applicable)
I C A R
Tyler System
Administration A R I C
ATTACHMENT 9 - Page 74 of 99
Training (if
applicable)
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Licensed Software is Installed on the Server(s) Software is accessible
Licensed Software is Installed on Clients (if
applicable)
Software is accessible
Installation Checklist/System Document System Passes
Infrastructure Design Document (C&J – If
Applicable)
Work package assumptions:
The most current generally available version of the Tyler Licensed Software will be installed.
The City of San Juan Capistrano will provide network access for Tyler modules, printers, and Internet
access to all applicable The City of San Juan Capistrano and Tyler Project staff.
Configuration
The purpose of Configuration is to prepare the software product for validation.
Tyler staff collaborates with The City of San Juan Capistrano to complete software configuration based on the
outputs of the future state analysis performed during the Assess and Define Stage. The City of San Juan
Capistrano collaborates with Tyler staff iteratively to validate software configuration.
Objectives:
Software is ready for validation.
Educate the City of San Juan Capistrano SME how to configure and maintain software.
Prepare standard interfaces for process validation (if applicable).
STAGE 3 Configuration
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Conduct configuration
training A R I C C
ATTACHMENT 9 - Page 75 of 99
Complete Tyler
configuration tasks
(where applicable)
A R I I I
Complete Client
configuration tasks
(where applicable)
I C A R C
Standard interfaces
configuration and
training (if applicable)
A R C I C C C
Updates to Solution
Validation testing plan C C A R C C
Inputs Documentation that describes future state decisions and configuration options to support future
state decisions.
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Configured System N/A
Work package assumptions:
Tyler provides guidance for configuration options available within the Tyler software. The City of San
Juan Capistrano is responsible for making decisions when multiple options are available.
Process Refinement
Tyler will educate the City of San Juan Capistrano users on how to execute processes in the system to prepare
them for the validation of the software. The City of San Juan Capistrano collaborates with Tyler staff
iteratively to validate software configuration options to support future state.
Objectives:
Ensure that The City of San Juan Capistrano understands future state processes and how to execute
the processes in the software.
Refine each process to meet the business requirements.
Validate standard interfaces, where applicable.
Validate forms and reports, where applicable.
STAGE 3 Process Refinement
Tyler Client
ATTACHMENT 9 - Page 76 of 99
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Conduct process
training A R I C I C
Confirm process
decisions I C A R C I C
Test configuration I C A R C
Refine
configuration
(Client
Responsible)
A R I I I
Refine
configuration (Tyler
Responsible)
I C A R C
Validate interface
process and results I C C A R C C
Update client-
specific process
documentation (if
applicable)
I C A R C
Updates to
Solution Validation
testing plan
C C A R C C
Inputs Initial Configuration
Documentation that describes future state decisions and configuration options to support
future state decisions.
Solution validation test plan
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Updated solution validation test plan
Completed client-specific process
documentation (completed by The City of
San Juan Capistrano)
Work package assumptions:
None
ATTACHMENT 9 - Page 77 of 99
Conversion Delivery
The purpose of this task is to transition the City of San Juan Capistrano’s data from their source (“legacy”)
system(s) to the Tyler system(s). The data will need to be mapped from the legacy system into the new Tyler
system format. A well-executed data conversion is key to a successful cutover to the new system(s).
With guidance from Tyler, the City of San Juan Capistrano will review specific data elements within the system
and identify / report discrepancies. Iteratively, Tyler will collaborate with the City of San Juan Capistrano to
address conversion discrepancies. This process will allow for clean, reconciled data to transfer from the
source system(s) to the Tyler system(s). Reference Conversion Appendix for additional detail.
Objectives:
Data is ready for production (Conversion).
STAGE 3 Data Delivery & Conversion
Tyler Client
RACI MATRIX
KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Provide data
crosswalks/code
mapping tool
A C R I I I
ATTACHMENT 9 - Page 78 of 99
Populate data
crosswalks/code
mapping tool
I C C A R C
Iterations:
Conversion
Development
A C R I I
Iterations:
Deliver
converted data
A R I I I
Iterations:
Proof/Review
data and
reconcile to
source system
C C C A R C C
Inputs
Data Conversion Plan
Configuration
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Code Mapping Complete / Validated N/A
Conversion Iterations / Reviews Complete Conversion complete, verified and ready for
final pass
Work package assumptions:
The City of San Juan Capistrano will provide a single file layout per source system as identified in the
investment summary.
The City of San Juan Capistrano subject matter experts and resources most familiar with the current
data will be involved in the data conversion effort.
The City of San Juan Capistrano project team will be responsible for completing the code mapping
activity, with assistance from Tyler.
Intentionally left blank.
Intentionally left blank.
Control Point 3: Prepare Solution Stage Acceptance
Acceptance criteria for this Stage includes all criteria listed below in each Work Package.
Note: Advancement to the Production Readiness Stage is dependent upon Tyler’s receipt of the Stage
Acceptance.
Prepare Solution Stage Deliverables:
Licensed software is installed.
Installation checklist/system document.
ATTACHMENT 9 - Page 79 of 99
Conversion iterations and reviews complete.
Prepare Solution Stage Acceptance Criteria:
All stage deliverables accepted based on criteria previously defined.
Software is configured.
Solution validation test plan has been reviewed and updated if needed.
Production Readiness
Activities in the Production Readiness stage will prepare the client team for go-live through solution
validation, the development of a detailed go-live plan and end user training. A readiness assessment will be
conducted with the client to review the status of the project and the organizations readiness for go-live.
Solution Validation
Solution Validation is the end-to-end software testing activity to ensure that The City of San Juan Capistrano
verifies all aspects of the Project (hardware, configuration, business processes, etc.) are functioning properly,
and validates that all features and functions per the contract have been deployed for system use.
Objectives:
Validate that the solution performs as indicated in the solution validation plan.
Ensure the City of San Juan Capistrano organization is ready to move forward with go-live and training
(if applicable).
STAGE 4 Solution Validation
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Update Solution
Validation plan A R C C C C
Update test scripts (as
applicable) C C C A R C
Perform testing C C C A R C
Document issues from
testing C C C A R C
Perform required follow-
up on issues A R C C C C
Inputs Solution Validation plan
ATTACHMENT 9 - Page 80 of 99
Completed work product from prior stages (configuration, business process, etc.)
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Solution Validation Report The City of San Juan Capistrano updates report
with testing results
Work package assumptions:
Designated testing environment has been established.
Testing includes current phase activities or deliverables only.
Go-Live Readiness
Tyler and The City of San Juan Capistrano will ensure that all requirements defined in Project planning have
been completed and the Go-Live event can occur, as planned. A go-live readiness assessment will be
completed identifying risks or actions items to be addressed to ensure the client has considered its ability to
successfully Go-Live. Issues and concerns will be discussed and mitigation options documented. Tyler and The
City of San Juan Capistrano will jointly agree to move forward with transition to production. Expectations for
final preparation and critical dates for the weeks leading into and during the Go-Live week will be planned in
detail and communicated to Project teams.
Objectives:
Action plan for go-live established.
Assess go-live readiness.
Stakeholders informed of go-live activities.
STAGE 4 Go-Live Readiness
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Perform Readiness
Assessment I A R C C I C I I I I I I
Conduct Go-Live planning
session A R C C C C C C C
Order peripheral
hardware (if applicable) I A R C
ATTACHMENT 9 - Page 81 of 99
Confirm procedures for
Go-Live issue reporting &
resolution
A R I I I I C C I I I I I
Develop Go-Live checklist A R C C C C I C C
Final system
infrastructure review
(where applicable)
A R C C
Inputs Future state decisions
Go-live checklist
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Updated go-live checklist Updated Action plan and Checklist for go-live
delivered to The City of San Juan Capistrano
Work package assumptions:
None
End User Training
End User Training is a critical part of any successful software implementation. Using a training plan previously
reviewed and approved, the Project team will organize and initiate the training activities.
Train the Trainer: Tyler provides one occurrence of each scheduled training or implementation topic.
Additional sessions will be provided as needed. The City of San Juan Capistrano users who attended the Tyler
sessions may train additional users. Additional Tyler led sessions may be contracted at the applicable rates for
training.
Tyler will provide standard application documentation for the general use of the software. It is not Tyler’s
responsibility to develop client specific business process documentation. Client-led training labs using client
specific business process documentation if created by the client can be added to the regular training
curriculum, enhancing the training experiences of the end users.
Objectives:
End users are trained on how to use the software prior to go-live.
The City of San Juan Capistrano is prepared for on-going training and support of the application.
STAGE 4 End User Training
Tyler Client
ATTACHMENT 9 - Page 82 of 99
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Update training plan A R C C I C
End User training (Tyler-
led) A R C C C I C C C
Train-the-trainer A R C C C I C
End User training (Client-
led) C C A R I C C C
Inputs Training Plan
List of End Users and their Roles / Job Duties
Configured Tyler System
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
End User Training The City of San Juan Capistrano signoff that
training was delivered
Work package assumptions:
The City of San Juan Capistrano project team will work with Tyler to jointly develop a training
curriculum that identifies the size, makeup, and subject-area of each of the training classes.
Tyler will work with the City of San Juan Capistrano as much as possible to provide end-user training
in a manner that minimizes the impact to the daily operations of the City of San Juan Capistrano
departments.
The City of San Juan Capistrano will be responsible for training new users after go-live (exception—
previously planned or regular training offerings by Tyler).
Control Point 4: Production Readiness Stage Acceptance
Acceptance criteria for this stage includes all criteria listed below. Advancement to the Production stage is
dependent upon Tyler’s receipt of the stage acceptance.
Production Readiness stage deliverables:
Solution Validation Report.
Update go-live action plan and checklist.
End user training.
Production Readiness stage acceptance criteria:
ATTACHMENT 9 - Page 83 of 99
All stage deliverables accepted based on criteria previously defined.
Go-Live planning session conducted.
Production
Following end user training the production system will be fully enabled and made ready for daily operational
use as of the scheduled date. Tyler and the City of San Juan Capistrano will follow the comprehensive action
plan laid out during Go-Live Readiness to support go-live activities and minimize risk to the Project during go-
live. Following go-live, Tyler will work with the City of San Juan Capistrano to verify that implementation work
is concluded, post go-live activities are scheduled, and the transition to Client Services is complete for long-
term operations and maintenance of the Tyler software.
Go-Live
Following the action plan for Go-Live, defined in the Production Readiness stage, the City of San Juan
Capistrano and Tyler will complete work assigned to prepare for Go-Live.
The City of San Juan Capistrano provides final data extract and Reports from the Legacy System for data
conversion and Tyler executes final conversion iteration, if applicable. If defined in the action plan, The City of
San Juan Capistrano manually enters any data added to the Legacy System after final data extract into the
Tyler system.
Tyler staff collaborates with the City of San Juan Capistrano during Go-Live activities. The City of San Juan
Capistrano transitions to Tyler software for day-to day business processing.
Some training topics are better addressed following Go-Live when additional data is available in the system or
based on timing of applicable business processes and will be scheduled following Go-Live per the Project
Schedule.
Objectives:
Execute day to day processing in Tyler software.
Client data available in Production environment.
STAGE 5 Go-Live
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Provide final source data
extract, if applicable C C A R
ATTACHMENT 9 - Page 84 of 99
Final source data pushed
into production
environment, if
applicable
A C R I C C C
Proof final converted
data, if applicable C C C A R C
Complete Go-Live
activities as defined in
the Go-Live action plan
C C C A R C I C
Provide Go-Live
assistance A R C C I C C I C I C
Inputs Comprehensive Action Plan for Go-Live
Final source data (if applicable)
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Data is available in production environment Client confirms data is available in production
environment
Work package assumptions:
The City of San Juan Capistrano will complete activities documented in the action plan for Go-Live as
scheduled.
External stakeholders will be available to assist in supporting the interfaces associated with the Go-
Live live process.
The Client business processes required for Go-Live are fully documented and tested.
The City of San Juan Capistrano Project team and subject matter experts are the primary point of
contact for the end users when reporting issues during Go-Live.
The City of San Juan Capistrano Project Team and SME’s provide business process context to the end
users during Go-Live.
The Tyler Go-Live support team is available to consult with the City of San Juan Capistrano teams as
necessary.
The Tyler Go-Live support team provides standard functionality responses, which may not be tailored
to the local business processes.
Transition to Client Services
This work package signals the conclusion of implementation activities for the Phase or Project, with the
exception of agreed-upon post Go-Live activities. The Tyler project manager(s) schedules a formal transition
of The City of San Juan Capistrano onto the Tyler Client Services team, who provides The City of San Juan
Capistrano with assistance following Go-Live, officially transitioning The City of San Juan Capistrano to
operations and maintenance.
Objectives:
Ensure no critical issues remain for the project teams to resolve.
Confirm proper knowledge transfer to The City of San Juan Capistrano teams for key processes and
subject areas.
ATTACHMENT 9 - Page 85 of 99
STAGE 5 Transition to Client Services
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Transfer client to Client
Services and review
issue reporting and
resolution processes
I I A I I R I I C C C
Review long term
maintenance and
continuous
improvement
A R C C C
Inputs Open item/issues List
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Client Services Support Document
Work package assumptions:
No material project issues remain without assignment and plan.
Post Go-Live Activities
Some implementation activities are provided post-production due to the timing of business processes, the
requirement of actual production data to complete the activities, or the requirement of the system being
used in a live production state.
Objectives:
Schedule activities that are planned for after Go-Live.
Ensure issues have been resolved or are planned for resolution before phase or project close.
STAGE 5 Post Go-Live Activities
Tyler Client
ATTACHMENT 9 - Page 86 of 99
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Schedule contracted
activities that are
planned for delivery
after go-live
A R C C C C I C C I C C
Determine resolution
plan in preparation for
phase or project close
out
A R C C C I C C I C
Inputs List of post Go-Live activities
Outputs /
Deliverables
Acceptance Criteria [only] for
Deliverables
Updated issues log
Work package assumptions:
System is being used in a live production state.
Control Point 5: Production Stage Acceptance
Acceptance criteria for this Stage includes completion of all criteria listed below:
Advancement to the Close stage is not dependent upon Tyler’s receipt of this Stage Acceptance.
Converted data is available in production environment.
Production Stage Acceptance Criteria:
All stage deliverables accepted based on criteria previously defined.
Go-Live activities defined in the Go-Live action plan completed.
Client services support document is provided.
Close
The Close stage signifies full implementation of all products purchased and encompassed in the Phase or
Project. The City of San Juan Capistrano transitions to the next cycle of their relationship with Tyler (next
Phase of implementation or long-term relationship with Tyler Client Services).
ATTACHMENT 9 - Page 87 of 99
Phase Closeout
This work package represents Phase completion and signals the conclusion of implementation activities for
the Phase. The Tyler Client Services team will assume ongoing support of the City of San Juan Capistrano for
systems implemented in the Phase.
Objectives:
Agreement from Tyler and the City of San Juan Capistrano teams that activities within this phase are
complete.
STAGE 6 Phase Close Out
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Reconcile project budget
and status of contract
Deliverables
I A R I I C
Hold post phase review
meeting A R C C C C C C C C C
Release phase-
dependent Tyler project
resources
A R I I
Participants Tyler Client
Project Leadership Project Manager
Project Manager Project Sponsor(s)
Implementation Consultants Functional Leads, Power Users,
Technical Leads
Technical Consultants (Conversion, Deployment,
Development)
Client Services
Inputs Contract
Statement of Work
Project artifacts
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Final action plan (for outstanding items)
Reconciliation Report
ATTACHMENT 9 - Page 88 of 99
Post Phase Review
Work package assumptions:
Tyler deliverables for the phase have been completed.
Project Closeout
Completion of this work package signifies final acceptance and formal closing of the Project.
At this time the City of San Juan Capistrano may choose to begin working with Client Services to look at
continuous improvement Projects, building on the completed solution.
Objectives:
Confirm no critical issues remain for the project teams to resolve.
Determine proper knowledge transfer to The City of San Juan Capistrano teams for key processes and
subject areas has occurred.
Verify all deliverables included in the Agreement are delivered.
STAGE 6 Project Close Out
Tyler Client
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed Executive Manager Implementation Manager Project Manager Implementation Consultant Data Experts Modification Services Technical Services Client Services Executive Sponsor Steering Committee Project Manager Functional Leads Change Management Leads Subject Matter Experts (SMEs) Department Heads End Users Technical Leads Conduct post project
review A R C C C C C C C C C
Deliver post project
report to The City of San
Juan Capistrano and
Tyler leadership
I A R I I C
Release Tyler project
resources A R I I
Inputs Contract
Statement of Work
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Post Project Report Client acceptance; Completed report indicating
all project Deliverables and milestones have
been completed
ATTACHMENT 9 - Page 89 of 99
Work package assumptions:
All project implementation activities have been completed and approved.
No critical project issues remain that have not been documented and assigned.
Final project budget has been reconciled and invoiced.
All Tyler deliverables have been completed.
Control Point 6: Close Stage Acceptance
Acceptance criteria for this Stage includes completion of all criteria listed below.
Note: Advancement to the Close Stage is not dependent upon Tyler’s receipt of this Stage Acceptance.
Close Stage Deliverables:
Post Project Report.
Close Stage Acceptance Criteria:
Completed report indicating all Project deliverables and milestones have been completed.
General Assumptions
Tyler and the City of San Juan Capistrano will use this SOW as a guide for managing the implementation of the
Tyler Project as provided and described in the Agreement. There are a number of assumptions which, when
acknowledged and adhered to, will support a successful implementation. Assumptions related to specific
work packages are documented throughout the SOW. Included here are general assumptions which should
be considered throughout the overall implementation process.
Project
Project activities will begin after the Agreement has been fully executed.
The City of San Juan Capistrano Project Team will complete their necessary assignments in a mutually
agreed upon timeframe in order to meet the scheduled go-live date, as outlined in the Project
Schedule.
Sessions will be scheduled and conducted at a mutually agreeable time.
Additional services, software modules and modifications not described in the SOW or Agreement will
be considered a change to this Project and will require a Change Request Form as previously
referenced in the definition of the Change Control Process.
Tyler will provide a written agenda and notice of any prerequisites to the City of San Juan Capistrano
project manager(s) ten (10) business days or as otherwise mutually agreed upon time frame prior to
any scheduled on-site or remote sessions, as applicable.
Tyler will provide guidance for configuration and processing options available within the Tyler
software. If multiple options are presented by Tyler, the City of San Juan Capistrano is responsible for
making decisions based on the options available.
Implementation of new software may require changes to existing processes, both business and
technical, requiring the City of San Juan Capistrano to make process changes.
ATTACHMENT 9 - Page 90 of 99
The City of San Juan Capistrano is responsible for defining, documenting and implementing their
policies that result from any business process changes.
Organizational Change Management
Unless otherwise contracted by Tyler, the City of San Juan Capistrano is responsible for managing
Organizational Change. Impacted Client resources will need consistent coaching and reassurance from their
leadership team to embrace and accept the changes being imposed by the move to new software. An
important part of change is ensuring that impacted client resources understand the value of the change, and
why they are being asked to change.
Resources and Scheduling
The City of San Juan Capistrano resources will participate in scheduled activities as assigned in the
Project Schedule.
The City of San Juan Capistrano team will complete prerequisites prior to applicable scheduled
activities. Failure to do so may affect the schedule.
Tyler and the City of San Juan Capistrano will provide resources to support the efforts to complete
the Project as scheduled and within the constraints of the Project budget.
Abbreviated timelines and overlapped Phases require sufficient resources to complete all required
work as scheduled.
Changes to the Project Schedule, availability of resources or changes in Scope will be requested
through a Change Request. Impacts to the triple constraints (scope, budget and schedule) will be
assessed and documented as part of the change control process.
The City of San Juan Capistrano will ensure assigned resources will follow the change control process
and possess the required business knowledge to complete their assigned tasks successfully. Should
there be a change in resources, the replacement resource should have a comparable level of
availability, change control process buy-in, and knowledge.
The City of San Juan Capistrano makes timely Project related decisions in order to achieve scheduled
due dates on tasks and prepare for subsequent training sessions. Failure to do so may affect the
schedule, as each analysis and implementation session is dependent on the decisions made in prior
sessions.
The City of San Juan Capistrano will respond to information requests in a comprehensive and timely
manner, in accordance with the Project Schedule.
The City of San Juan Capistrano will provide adequate meeting space or facilities, including
appropriate system connectivity, to the project teams including Tyler team members.
For on-site visits, Tyler will identify a travel schedule that balances the needs of the project and the
employee.
Data
Data will be converted as provided and Tyler will not create data that does not exist.
The City of San Juan Capistrano is responsible for the quality of legacy data and for cleaning or
scrubbing erroneous legacy data.
Tyler will work closely with The City of San Juan Capistrano representatives to identify business rules
before writing the conversion. The City of San Juan Capistrano must confirm that all known data
mapping from source to target have been identified and documented before Tyler writes the
conversion.
ATTACHMENT 9 - Page 91 of 99
All in-scope source data is in data extract(s).
Each legacy system data file submitted for conversion includes all associated records in a single
approved file layout.
The client will provide the legacy system data extract in the same format for each iteration unless
changes are mutually agreed upon in advance. If not, negative impacts to the schedule, budget and
resource availability may occur and/or data in the new system may be incorrect.
The City of San Juan Capistrano Project Team is responsible for reviewing the converted data and
reporting issues during each iteration, with assistance from Tyler.
Client is responsible for providing or entering test data (e.g., data for training, testing interfaces, etc.)
Facilities
The City of San Juan Capistrano will provide dedicated space for Tyler staff to work with the City of
San Juan Capistrano resources for both on-site and remote sessions. If Phases overlap, The City of San
Juan Capistrano will provide multiple training facilities to allow for independent sessions scheduling
without conflict.
The City of San Juan Capistrano will provide staff with a location to practice what they have learned
without distraction.
ATTACHMENT 9 - Page 92 of 99
Glossary
Word or Term Definition
Acceptance Confirming that the output or deliverable is suitable and
conforms to the agreed upon criteria.
Accountable The one who ultimately ensures a task or deliverable is
completed; the one who ensures the prerequisites of the task are
met and who delegates the work to those responsible. [Also see
RACI]
Application A computer program designed to perform a group of coordinated
functions, tasks or activities for the benefit of the user.
Application Programming Interface (API) A defined set of tools/methods to pass data to and received data
from Tyler software products
Agreement This executed legal contract that defines the products and
services to be implemented or performed.
Business Process The practices, policy, procedure, guidelines, or functionality that
the client uses to complete a specific job function.
Business Requirements Document A specification document used to describe Client requirements
for contracted software modifications.
Change Request A form used as part of the Change Control process whereby
changes in the scope of work, timeline, resources, and/or budget
are documented and agreed upon by participating parties.
Change Management Guides how we prepare, equip and support individuals to
successfully adopt change in order to drive organizational success
& outcomes
Code Mapping [where applicable] An activity that occurs during the data conversion process
whereby users equate data (field level) values from the old
system to the values available in the new system. These may be
one to one or many to one. Example: Old System [Field = eye
color] [values = BL, Blu, Blue] maps to New Tyler System [Field =
Eye Color] [value = Blue].
Consulted Those whose opinions are sought, typically subject matter
experts, and with whom there is two-way communication. [Also
see RACI]
Control Point This activity occurs at the end of each stage and serves as a
formal and intentional opportunity to review stage deliverables
and required acceptance criteria for the stage have been met.
Data Mapping [where applicable] The activity determining and documenting where data from the
legacy system will be placed in the new system; this typically
involves prior data analysis to understand how the data is
currently used in the legacy system and how it will be used in the
new system.
Deliverable A verifiable document or service produced as part of the Project,
as defined in the work packages.
Go-Live The point in time when the Client is using the Tyler software to
conduct daily operations in Production.
Informed Those who are kept up-to-date on progress, often only on
completion of the task or deliverable, and with whom there is
just one-way communication. [Also see RACI]
ATTACHMENT 9 - Page 93 of 99
Infrastructure The composite hardware, network resources and services
required for the existence, operation and management of the
Tyler software.
Interface A connection to and potential exchange of data with an external
system or application. Interfaces may be one way, with data
leaving the Tyler system to another system or data entering Tyler
from another system, or they may be bi-directional with data
both leaving and entering Tyler and another system.
Integration A standard exchange or sharing of common data within the Tyler
system or between Tyler applications
Legacy System The software from which a client is converting.
Modification Custom enhancement of Tyler’s existing software to provide
features or functions to meet individual client requirements
documented within the scope of the Agreement.
On-site Indicates the work location is at one or more of the client’s
physical office or work environments.
Organizational Change The process of changing an organization's strategies, processes,
procedures, technologies, and culture, as well as the effect of
such changes on the organization.
Output A product, result or service generated by a process.
Peripheral devices An auxiliary device that connects to and works with the computer
in some way. Some examples: scanner, digital camera, printer.
Phase A portion of the Project in which specific set of related
applications are typically implemented. Phases each have an
independent start, Go-Live and closure dates but use the same
Implementation Plans as other Phases of the Project. Phases may
overlap or be sequential and may have different Tyler resources
assigned.
Project The delivery of the software and services per the agreement and
the Statement of Work. A Project may be broken down into
multiple Phases.
RACI A matrix describing the level of participation by various roles in
completing tasks or Deliverables for a Project or process.
Individuals or groups are assigned one and only one of the
following roles for a given task: Responsible (R), Accountable (A),
Consulted (C), or Informed (I).
Remote Indicates the work location is at one or more of Tyler’s physical
offices or work environments.
Responsible Those who ensure a task is completed, either by themselves or
delegating to another resource. [Also see RACI]
Scope Products and services that are included in the Agreement.
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Solution The implementation of the contracted software product(s)
resulting in the connected system allowing users to meet Project
goals and gain anticipated efficiencies.
Stage The top-level components of the WBS. Each Stage is repeated for
individual Phases of the Project.
Standard Software functionality that is included in the base software (off-
the-shelf) package; is not customized or modified.
Statement of Work (SOW) Document which will provide supporting detail to the Agreement
defining Project-specific activities, services and Deliverables.
System The collective group of software and hardware that is used by the
organization to conduct business.
Test Scripts The steps or sequence of steps that will be used to validate or
confirm a piece of functionality, configuration, enhancement, or
Use Case Scenario.
Training Plan Document(s) that indicate how and when users of the system will
be trained relevant to their role in the implementation or use of
the system.
Validation (or to validate) The process of testing and approving that a specific Deliverable,
process, program or product is working as expected.
Work Breakdown Structure (WBS) A hierarchical representation of a Project or Phase broken down
into smaller, more manageable components.
Work Package A group of related tasks within a project.
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Part 4: Appendices
Conversion
Munis Conversion Summary
Accounts Payable Master
Vendor Master file including names, addresses, SSN/FID, contacts, phone numbers
Multiple remittance addresses
Year-to-date 1099 amounts
Accounts Payable - Checks
Check header data including vendor, warrant, check number, check date, overall check amount, GL
cash account and clearing information
Check detail data including related document and invoice numbers for each check
Up to 5 years
Accounts Payable - Invoices
Invoice header data containing general information for the invoice
Invoice detail data containing line-specific information for the invoice
Up to 5 years
Contracts
Contract header detail with many fields available to convert including fiscal year and period, vendor
number, department code, description, enforcement method code, dates for award, approval, entry
and expiration, retention information, user-defined type and review codes, status code, user id for
entry and approver. Additional fields are also available. A balance forward contract amount is
converted, if original amount is required there will be an additional charge and contracts, po’s and
invoices must be converted together.
General Billing CID
Customer information
General Billing – Bills
5 years of open and closed invoices
General Ledger information so open invoices can be processed in Munis
Payroll
Payroll Employee Master data including data such as name, address, SSN, legacy employee ID, date of
birth, hire date, activity status (such as active/inactive), leave/termination code and date, phone(s), e-
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address, marital status, gender, race, personnel status (such as full-time, part-time, etc.), highest
degree, advice-delivery (print/email/both) and check location, plus primary group, job, location, and
account information
Payroll – Accrual Balances
Employee Accrual Balances, including Vacation, Holiday, and other Leave balances
Start of year balance, earned to date, used to date
Payroll – Accumulators
YTD, QTD, MTD amounts for employee pay and deductions
Needed for mid-calendar-year go-live
May not be needed if converting earnings/deductions history
Up to 5 years
Payroll – Check History
Up to 5 years, additional years must be quoted. We convert amounts for earnings and deductions in
employee check history, check number and date.
Payroll – Earning/Deduction Hist.
Up to 5 years, additional years must be quoted. Earning and deduction history broken down my
individual codes (earnings and deduction) and amounts per pay period, the detail of these lines, sums
the check history in opt 4.
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Additional Appendices
Project Timeline
ERP Project Timeline
The Project Timeline establishes a target start and end date for each Phase of the Project. The timeline needs
to account for resource availability, business goals, size and complexity of the Project, and task duration
requirements. These will be reviewed and adjusted, if needed, during the Initiate and Plan Stage. Refer to
the Project Stages section of this SOW for information on work packages associated with each stage of the
implementation.
The following dates may be revised based on the date the Agreement is signed and further refined during the
course of the project. Tyler requires up to forty-five (45) days to move from Agreement signing to the Initiate
& Plan Stage.
Phase Functional Areas / Modules Start Date Go-Live Date
1 Financials March, 2021 March, 2022
• Accounting General Ledger
• Accounts Payable
• Accounts Receivable
• Bid Management
• Budgeting
• Capital Assets
• Cash Management
• Contract Management
• eProcurement
• General Billing
• Project & Grant Accounting
• Purchasing
System Wide
• Tyler ReadyForms Processing • Tyler Content Manager SE
2a Human Capital Management September, 2021 September, 2022
• HR & Talent Management
• ExecuTime Time and
Attendance
• Payroll w/Employee Self Service
• ExecuTime Time and Attendance Mobile Access
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