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					                                                                                                         New York Financial Management System (NYFMS)                                                                       Exhibit E.5

                                                                                                                               INSTRUCTIONS

To obtain an understanding of how the Contractor’s software can meet functional and technical requirements, Exhibit E-5 lists each requirement and a set of columns seeking precise information from the Contractor
concerning whether the solution would be a standard function for the software, or if it requires another means for compliance. Contractors must select a response code (defined below) to indicate the Mode of
Compliance (IV) for each requirement.

Contractors must provide a corresponding description in the Comment/Explanation (V) field for each requirement to explain the mode of compliance selected, and a description of how the requirement is met, and also
identify Where in Software (VII) the requested functionality would reside.

For a response code of M (Modification Required), the Contractor shall also include an Estimated Level of Effort (VI) necessary to meet the requirement.

In addition, where a code of S - Standard Function; or T - Third Party is entered, the Contractor must provide an appropriate Software Document Reference (VIII) or citation to the documentation that will accompany the
software product which addresses the functionality for each requirement.

Note: In instances where the explanation provided appears to be inadequate to support the Mode of Compliance code entered, the scoring for that requirement may be effected. The State, at its option, reserves the right
to request clarification from the Contractor to further explain their comments. The clarification will be in writing and follow the communication protocol under RFP Section 2.2.

The Contractor is to provide only one answer for each field in Exhibit E-5. Requirements for which a response has not been provided for fields IV through VIII (except for requirements identified as an N - cannot meet
requirement), or requirements which incorporate multiple answers, will not receive a score.
                                       IV. Mode of Compliance Response
Code               Response                                                Description

                                          The functionality is provided by the contractor’s core ERP software, or by
                                          configuration of the core ERP that will not require rework during an
  S           Standard Function           upgrade, or by third party software that is fully integrated with the core
                                          ERP software and does not require rework during an upgrade, and is
                                          included in the cost proposal.

                                          The functionality is provided by a third-party application, which has
                                          received certification as a third party solution that integrates with the core
   T              Third Party
                                          ERP product and may require rework during an upgrade. The third party
                                          products are included in the cost proposal.

                                       The functionality is provided by a third-party application, included in the
  B      Third Party Non Certification cost proposal, which is not certified to work with the contractor's core ERP
                                       product.

                                          The requirement is met by customization or user exit to invoke the
                                          necessary custom code, and/or a change to the basic architecture and/or
  M         Modification Required         source code of the contractor’s software. These modifications are not
                                          automatically carried forward during an upgrade, and will require
                                          additional effort in order to satisfy the requirement.

  N       Cannot Meet Requirement         The desired functionality is not available.




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                                                                                                      New York Financial Management System (NYFMS)                                                                          Exhibit E.5

                                                                                                                            INSTRUCTIONS

 V. Comment/Explanation - explain/justify how a requirement will be accommodated by the system, when a requirements is met through any of of the modes of compliance (except for requirements marked with N -
cannot meet requirement).


VI. Level of Effort - the estimated amount of effort required to complete a modification in order for the system to perform the detailed requirement in question. (enter LOE for responses identified as M - Modification
Required only)

Please use the following codes and definitions:
  Level of Effort (LOE) Response
Code           Effort in hours
 A            Less than 8 hours
  B                9-40 hours
  C               41-160 hours
  D            161 or more hours


VII. Where in Software –identify the place (component/screen/report/module) within the software that will be used to implement the functionality of the detailed requirement.


VIII. Software Documentation Reference -- FOR MODE OF COMPLIANCE CODES S and T -- provide the appropriate section page/screen reference within your software product's documentation package, which
speaks to how the software provides the means to meet the requirement.




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                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

        1 The system shall provide functionality to receive electronic invoices from vendors                AP-10
        2 The system shall provide functionality to create standard/miscellaneous vouchers for              AP-10
          instances in which a purchase order/contract does not exist
        3 The system shall provide functionality to default vendor bank information from the vendor         AP-10
          master file and record the information onto the voucher
        4 The system shall provide functionality to default the vendor "remit to" address in the            AP-10
          voucher, based on data associated with the vendor master record, and allow changes to the
          address as necessary
        5 The system shall provide functionality to permit multiple payees to be assigned to a voucher      AP-10

        6 The system shall provide functionality to accommodate at least 950 payees per voucher             AP-10

       7 The system shall provide functionality to select the correct address when the payee has            AP-10
         multiple remit-to addresses through the use of a "favorite lists" by agency
       8 The system shall provide functionality to code multiple invoices to a single voucher               AP-10
       9 The system shall provide functionality to automatically assign a voucher ID number at time         AP-10
         of entry
      10 The system shall provide functionality for the following fields for voucher entry including, but   AP-10
         not limited to:
         - Voucher type
         - Invoice number
         - Invoice date
         - Period of service covered by invoice (if applicable)
         - Account number
         - Discount terms
         - Total invoice amount
         - Additional invoice charges (freight, etc.)
         - Item quantity
         - Item price
         - Comments
         - Payee FEIN/TIN
         - Payee name and address
         - Invoice receipt date
         - Payment date (to take advantage of available discount)
         - Interest eligible
         - Multiple contract number
         - Purchase order number
         - 1099 number
         - Payment route code
         - Receipt date of item
         - Liability date
      11 The system shall provide functionality to save an incomplete voucher                               AP-10
      12 The system shall provide functionality for users to create advances and prepayments and            AP-10

         update the general ledger and AP modules with advances and prepayment information
      13 The system shall provide functionality to identify advance payments as "recoupable" in the         AP-10
         system
      14 The system shall provide functionality to create credit memos against advance payments             AP-10

      15 The system shall provide functionality for the users to apply previous payments or advances AP-10
         to a vendor invoice/contract payment


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                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

      16 The system shall provide functionality to record expenses incurred through petty cash funds,     AP-10
         paid by both cash and check, for the following data elements including, but not limited to:
         - Method of payment (check or cash)
         - Check number (if appropriate)
         - Payee name
         - Invoice or source document reference
         - Accounting distribution to be charged
         - Amount for each distribution
         - Check location (account ID)
         - Description of advance
         - Check date
      17 The system shall provide functionality for users to create checks for petty cash                 AP-10
      18 The system shall provide functionality to process a payment request to replenish the petty       AP-10
         cash account
      19 The system shall provide functionality for users to place a petty cash payment on hold           AP-10

      20 The system shall provide functionality for users to void petty cash payments and attach an       AP-10
         associated reason code (e.g., lost, duplicate)
      21 The system shall provide functionality for the user to change the scheduled payment date on      AP-10
         any voucher
      22 The system shall provide functionality to calculate the payment due date based on vendor         AP-10
         terms and/or NYS rules and regulations
      23 The system shall provide functionality for users to identify line items with a 1099 code as      AP-10
         part of voucher entry
      24 The system shall provide functionality to validate certain data fields as part of the voucher    AP-10
         entry, including, but not limited to:
         - Project number
         - Asset number
         - Account number
         - URC Code
         - Purchase Order number
         - Contract number
      25 The system shall provide functionality to notify the user when a duplicate vendor invoice        AP-10
         number is entered
      26 The system shall provide functionality for users to set up voucher templates that can be         AP-10
         copied to facilitate the creation of vouchers
      27 The system shall provide functionality for funds/budget checking at the time of voucher entry    AP-10

      28 The system shall provide functionality for users to enter retainage, which is a portion of the   AP-10
         payment that will be withheld until the final payment is processed, as a dollar amount or
         percentage in the voucher




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                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

      29 The system shall provide functionality to enable the voucher program to extract data             AP-10
         elements from the purchase order including, but not limited to:
         - Payment terms
         - Account code
         - Purchase order number
         - Item description
         - Asset number
         - Quantity ordered
         - Vendor information
         - Contract number
      30 The system shall provide functionality for users to override data elements defaulted in the      AP-10
         voucher from the purchase order and/or contract
      31 The system shall provide functionality to ensure that encumbered funds remain obligated          AP-10
         from the receipt of goods/services against a purchase order for a 2-way or 3-way match to
         the approval of payment request
      32 The system shall provide functionality for users to record non-financial data in a voucher       AP-10
         (e.g., kilowatt usage, water gallon usage, and gallons of gasoline used)
      33 The system shall provide functionality for users to add comments on the voucher header or        AP-10
         individual line item level
      34 The system shall provide functionality to establish the MIR date based on the latter of the      AP-10
         invoice received date or the merchandise received date
      35 The system shall provide functionality for users to override the default merchandise or          AP-10
         invoice received (MIR) date in a voucher
      36 The system shall provide functionality for the option to calculate discounts based on the MIR    AP-10
         date
      37 The system shall provide functionality to accommodate voucher matching, including, but not       AP-10
         limited to the following:
         - 3 way match - purchase order/contract, invoice, and receipt
         - 2 way match - purchase order/contract and invoice
         - No match - invoice only
      38 The system shall provide functionality for users to override a match discrepancy between         AP-10
         the invoice and receipt if the discrepancy is within an allowable threshold
      39 The system shall provide functionality to enable the voucher program to extract data             AP-10
         elements from the purchase order receipt, including, but not limited to:
         - Amount
         - Quantity received
         - Items received
         - Date received
      40 The system shall provide functionality for alerts, when the purchase order and invoice           AP-10
         match, but the receiving document is missing
      41 The system shall provide functionality to automatically generate a voucher once goods have       AP-10
         been received against the purchase order
      42 The system shall provide functionality for users to create multiple vouchers against a single    AP-10
         purchase order or contract
      43 The system shall provide functionality for users to create a voucher from multiple purchase      AP-10
         order and receipt transactions
      44 The system shall provide functionality to verify expenditure refunds against current and prior   AP-10
         year disbursements
      45 The system shall provide functionality to prevent users from creating vouchers against           AP-10
         closed purchase orders and/or contracts



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                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               PROCUREMENT REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

      46 The system shall provide functionality for users to edit a voucher after it has been saved      AP-10
         and/or posted
      47 The system shall provide functionality for users to review, revise, and approve vouchers        AP-10
         online
      48 The system shall provide functionality for approval levels for voucher transactions based on,   AP-10
         but not limited to:
         - Vendor
         - Dollar amount
         - Account number
      49 The system shall provide functionality for users to assign a priority code to vouchers          AP-10
      50 The system shall provide functionality for users to place vouchers on hold                      AP-10
      51 The system shall provide functionality to post all vouchers (e.g., contract, purchase order,    AP-10
         miscellaneous) to the general ledger and AP modules
      52 The system shall provide functionality to create and release recurring vouchers based on a      AP-10
         schedule
      53 The system shall provide functionality for users to add, edit, or delete recurring payment      AP-10

         information based on changes to agreement terms, amounts, and frequencies
      54 The system shall provide functionality to generate recurring transactions (e.g., building rent) AP-10

         for a fixed or percentage allocation amount between multiple GL accounts
      55 The system shall provide functionality for users to edit the dollar amount, GL account, or      AP-10
         payment terms on any recurring voucher
      56 The system shall provide functionality for users to cancel or void multiple vouchers            AP-10
      57 The system shall provide functionality to automatically generate the appropriate accounting     AP-10
         entries upon the voiding of a voucher
      58 The system shall provide functionality for users to apply credit memos against a single         AP-10
         voucher
      59 The system shall provide functionality for users to apply a credit memo against multiple        AP-10
         vouchers
      60 The system shall provide functionality for users to net payables and receivables for a vendor   AP-10
         that is also a customer of the state
      61 The system shall provide functionality to notify agency staff when an invoice is approaching    AP-10
         the Prompt Payment deadline
      62 The system shall provide functionality to generate standard reports for AP data                 AP-10
      63 The system shall provide functionality for aging analysis, both onscreen and in reports, of     AP-10
         outstanding payables for less than 30, 30, 60, 90, 120, and greater than 120 days (e.g.,
         invoice date, due date, MIR date)
      64 The system shall provide functionality for the vendor to inquire on invoices and payments       AP-10
         via vendor self-service
      65 The system shall provide functionality to create email notification to vendors when             AP-10
         incomplete or contested invoices are received by the agency




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                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

      66 The system shall provide functionality to query, display, and report payables or payment         AP-10
         history by any data element including, but not limited to:
         - Purchase order
         - Encumbrance
         - Invoice
         - Vendor name
         - Vendor ID number
         - Vendor invoice number
         - Check number
         - Document/voucher number
         - Purchase order number
         - Contract number
         - Life-to-date expenditures
         - Fiscal year expenditures
         - Quarterly, and month to date expenditures
      67 The system shall provide functionality to generate a statistical sample of approved invoice(s)   AP-10
         and payment requests for post-audit review
      68 The system shall provide functionality to capture the following tolerances from voucher data     AP-10
         including, but not limited to:
         - Unit price invoiced versus unit price ordered
         - Unit quantity invoiced versus unit quantity ordered
         - Unit quantity invoiced versus unit quantity received
         - Total invoice cost for goods received versus total cost of goods received against the
         purchase order
      69 The system shall provide functionality to enable the use of multiple banks and bank              AP-20
         accounts as part of the vendor master record
      70 The system shall provide functionality for users to request that payment vouchers be placed      AP-20
         on hold
      71 The system shall provide functionality to automatically update voucher and payment records       AP-20
         based on payment data from an external system (i.e. interface)
      72 The system shall provide functionality for users to generate reports to track (e.g., identify,   AP-20
         record, inquire, and report) all cash disbursements by financial reporting categories required
         by GAAP and GASB (e.g., other funds, component units, related governments, private
         customers, and federal government)
      73 The system shall provide functionality for users to view payment status and history online       AP-20

      74 The system shall provide functionality for users to inquire, display, and report on various      AP-20
         elements of the payment voucher including, but not limited to:
         - Check number
         - Check date
         - Vendor number
         - Purchase order number
         - Contract number
         - Grant Number
         - Project Number
         - Associated vouchers for payment information
      75 The system shall provide functionality to notify users of aging or unpaid vouchers               AP-20
      76 The system shall provide functionality to identify cleared checks as part of payment             AP-20
         reconciliation including a date when the check cleared
      77 The system shall provide functionality for users to change an encumbrance to a liability,        AP-50
         either at the time of receipt or at the time of invoice


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                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

      78 The system shall provide functionality for partial or full liquidation of encumbrances as        AP-50
         specified by users during the vouchering process
      79 The system shall provide functionality to identify encumbrances against reappropriated or        AP-50
         lapsing funds to be addressed at fiscal year end
      80 The system shall provide functionality for users to roll encumbrances (e.g., purchase orders     AP-50
         and contracts) to the next fiscal year, liquidating lapsing funds and encumbering new year
         funds as necessary
      81 The system shall provide functionality to keep purchase orders open when encumbrances            AP-50
         have been liquidated so that purchase orders can cross fiscal years
      82 The system shall provide functionality to automate the process of liquidating lapsing funds      AP-50
         and encumbering new year funds (roll-over) with specific selection criteria based on, but not
         limited to:
         - Document type
         - Account attribute
         - Account code
         - Dollar amount
      83 The system shall provide functionality for inquiry capability to track encumbrance detail from   AP-50
         initial encumbrance through final payment including, but not limited to:
         - Original encumbrance amount
         - Changes to the original encumbrance amount
         - Released liability amounts
         - Payment amounts
         - Expenditure amounts
         - Vendor name
         - Purchase order/contract number
         - Account number
      84 The system shall provide functionality to maintain a travel profile on each traveler with        AP-60
         various information including, but not limited to:
         - Name
         - Default account information
         - Spending limits
         - Needed approvals for travel
         - Social security number
         - Traveler work location
         - Traveler mailing address
         - Email address/user ID
         - Normal work hours
      85 The system shall provide functionality to download Travel card expense information from the      AP-60
         credit card company
      86 The system shall provide functionality for users to manually add travel vouchers                 AP-60
      87 The system shall provide functionality for users to manually add travel card expenditures        AP-60

      88 The system shall provide functionality for users to identify personal incidental expenses on a   AP-60
         travel voucher
      89 The system shall provide functionality for users to classify both taxable and non-taxable        AP-60
         travel expenses
      90 The system shall provide functionality to pre-approve employee travel                            AP-60
      91 The system shall provide functionality to approve employee travel vouchers prior to              AP-60
         submitting the voucher to the finance department
      92 The system shall provide functionality to capture fractions of a cent in the mileage rate        AP-60
         calculation


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                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 PROCUREMENT REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                     II. Requirement Description                                                                                 V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

      93 The system shall provide functionality to automatically select the appropriate element in the     AP-60
         chart of accounts for each travel expense entered into the voucher
      94 The system shall provide functionality for users to make line item changes and deletions to       AP-60
         travel vouchers
      95 The system shall provide functionality for users to make changes to previously posted trips,      AP-60
         if necessary
      96 The system shall provide functionality for a warning when an employee has multiple trips          AP-60
         with overlapping trip dates
      97 The system shall provide functionality to identify expense items that fall outside of the         AP-60
         traveler’s travel dates (e.g., airline tickets purchased in advance)
      98 The system shall provide functionality to copy lines from one travel expense report to            AP-60
         another
      99 The system shall provide functionality for users to override default accounting/profile           AP-60
         information when funds are encumbered or expensed for a trip
     100 The system shall provide functionality for users to charge multiple funding sources when          AP-60
         creating travel vouchers
     101 The system shall provide functionality to calculate reimbursement amounts based on the            AP-60
         date of travel, not the date of entry
     102 The system shall provide functionality to convert foreign currency data (rates) to U.S. dollars   AP-60
         for foreign travel
     103 The system shall provide functionality to encumber against multiple funding sources for           AP-60
         employee travel expenses
     104 The system shall provide functionality to distinguish between in-state travel and out-of-state    AP-60
         travel
     105 The system shall provide functionality to notify the user of outstanding balances when a trip     AP-60
         or advance is requested and/or approved
     106 The system shall provide functionality to edit and validate mileage, miles, and lodging           AP-60
         information for compliance against travel regulations
     107 The system shall provide functionality to calculate meal "per diem" reimbursement amounts         AP-60
         based on departure and return dates, times, and locations
     108 The system shall provide functionality to default certain accounting information for trip         AP-60
         requests based on default coding assigned to the traveler and allow override of default
         values
     109 The system shall provide functionality to edit and validate lodging costs against spending        AP-60
         limits and provide fields for comments related to exceeding the limits
     110 The system shall provide functionality for travel classification codes to track the number of     AP-60
         employees traveling on a particular trip or conference
     111 The system shall provide functionality for a mechanism to reconcile travel advances with an       AP-60
         employee’s travel voucher
     112 The system shall provide functionality to enable the user to reconcile employee travel            AP-60
         vouchers to travel card expenditures from the credit card company
     113 The system shall provide functionality for users to capture trip details that will be paid to a   AP-60
         third party for planned travel (e.g., direct bills for airplane tickets and hotels) and capture
         additional expenses directly reimbursable to the employee
     114 The system shall provide functionality for users to capture trip details that will be paid by a   AP-60

            third party for planned travel (e.g., direct bills for airplane tickets and hotels)




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                          Page 9 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                              PROCUREMENT REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

     115 The system shall provide functionality for a mechanism to report on cost component             AP-60
         information including, but not limited to:
         - Lodging
         - Meals
         - Vehicle rental
         - Mileage
         - Registration fees
         - Airfare
     116 The system shall provide functionality to compare approved expenses per travel                 AP-60
         authorization to actual expenses claimed for reimbursement
     117 The system shall provide functionality to view and track the number of outstanding travel      AP-60
         advances and travel card expenditures that apply to one or more trips
     118 The system shall provide functionality for users to inquire about employee travel history      AP-60
         (e.g., payment, supporting documents)
     119 The system shall provide functionality to generate standard reports from travel-related data   AP-60

     120 The system shall provide functionality to support CONUS, IRS' high-low method of               AP-60
         reimbursements
     121 The system shall provide functionality to create negative vouchers for travel expenses         AP-60

     122 The system shall provide functionality for users to upload and save IFB/RFP templates          CO-10

     123 The system shall provide functionality for users to search for IFB/RFP templates based on      CO-10
         search criteria including, but not limited to:
         - Agency
         - Bid type
         - Dollar amount of bid
     124 The system shall provide functionality for users to select sections and items from the         CO-10
         IFB/RFP templates to include or not include in the IFB/ RFP based on search criteria
         including, but not limited to:
         - Agency
         - Bid type
         - Dollar amount of bid
     125 The system shall provide functionality for users to collaboratively develop IFB/RFP            CO-10
     126 The system shall provide functionality to copy an existing RFP/IFB to create a new RFP/IFB     CO-10

     127 The system shall provide functionality to "close" specific sections or items of the IFB/RFP    CO-10
         templates to prevent user modification
     128 The system shall provide functionality to define which users are allowed to collaboratively    CO-10

         develop a specific IFB/RFP and grant them access to an online workspace for collaboration
     129 The system shall provide functionality to grant read/write access to different sections of a   CO-10
         specific IFB/RFP draft
     130 The system shall provide functionality to track versions of IFB/RFP drafts during              CO-10
         collaborative development
     131 The system shall provide functionality to prevent multiple users from making updates to the    CO-10
         same section of the same IFB/RFP draft at the same time
     132 The system shall provide functionality to notify users when edits or comments are made to      CO-10
         an IFB/RFP
     133 The system shall provide functionality to establish, track, and monitor bid events and         CO-10
         milestones (e.g., IFB/RFP release, bidder conference, bid opening date)


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                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     134 The system shall provide functionality to set up and edit a workflow for a bid event with a        CO-10
         variety of elements including, but not limited to:
         - Key event dates
         - Expected actions
         - Required documents
         - Appropriate approval levels
     135 The system shall provide functionality to automatically send notifications to users regarding      CO-10
         each approaching key event in the bid event
     136 The system shall provide functionality for users to "close" a bid event in the workflow upon       CO-10
         its completion
     137 The system shall provide functionality to automatically send notifications to users if a bid       CO-10
         event ages past the date on which it should be "closed"
     138 The system shall provide functionality to automate bid approval routing for users based on         CO-10
         business rules
     139 The system shall provide functionality to automate bid approval routing for external parties       CO-10
         (i.e. outside agency) based on business rules
     140 The system shall provide functionality for users to simultaneously approve bid documents           CO-10

     141 The system shall provide functionality for users to approve bid documents in sequence, with CO-10
         one approval being contingent upon another
     142 The system shall provide functionality for external users (i.e. outside agency) to             CO-10
         simultaneously approve bid documents
     143 The system shall provide functionality for external users (i.e. outside agency) to approve bid CO-10

         documents in sequence, with one approval being contingent upon another
     144 The system shall provide functionality to prompt users for action if electronic request for        CO-10
         requisition approval ages past required action date
     145 The system shall provide functionality to close key bid events if the required approvals have      CO-10
         not been received
     146 The system shall provide functionality to automate bid notification routing for users based on     CO-10
         business rules
     147 The system shall provide functionality to automate bid notification routing for external users     CO-10
         (i.e. outside agency) based on business rules
     148 The system shall provide functionality for users to add comments and attachments to bid            CO-10
         approvals or rejections
     149 The system shall provide functionality for external users (i.e. outside agency) to add             CO-10
         comments and attachments to bid approvals or rejections
     150 The system shall provide functionality to track status of bid approvals                            CO-10
     151 The system shall provide functionality to "close" an IFB/RFP when the draft content has            CO-10
         been completed and prevent the users from making additional edits
     152 The system shall provide functionality to add, change, and delete IFB/RFPs                         CO-10
     153 The system shall provide functionality to search for previous IFBs/RFPs based on user              CO-10
         defined criteria
     154 The system shall provide functionality to post the IFB/RFP and supporting material to the          CO-10
         "bidder website"
     155 The system shall provide functionality for vendors to register in a "bidder website" for           CO-10
         automatic notification of all IFBs/RFPs that fall in their self-selected, specific categories of
         interest (e.g., furniture, office supplies, technology consulting)
     156 The system shall provide functionality for vendors to register in "bidder website" for long-       CO-10

            term access rights to all IFBs/RFPs to which they wish to respond electronically


                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 11 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                     II. Requirement Description                                                                                V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     157 The system shall provide functionality to automatically prompt vendors via email to renew        CO-10
         "bidder website" registration at specific time intervals
     158 The system shall provide functionality for vendors to search "bidder website" for relevant       CO-10
         IFBs/RFPs even if the vendors are not registered for automatic notification/long-term
         electronic response access
     159 The system shall provide functionality for users to search the bidder and vendor databases       CO-10
         in order to target specific organizations in the distribution of an IFB/RFP
     160 The system shall provide functionality to restrict access to a specific IFB/RFP on "bidder       CO-10
         website" to a list of vendors
     161 The system shall provide functionality to allow vendors to download IFBs/RFPs even if they       CO-10

         are not registered for automatic notification/long-term electronic response access
     162 The system shall provide functionality to restrict vendors who are not registered for the        CO-10
         "bidder website" from submitting electronic responses
     163 The system shall provide functionality to allow vendors not registered for automatic             CO-10
         notification/long-term electronic response access to complete "one-time" web registration so
         that they can respond to a specific IFB/RFP electronically
     164 The system shall provide functionality to track and enter the number of times each               CO-10
         document is downloaded from the "bidder website"
     165 The system shall provide functionality to record and track web-registered vendor access to       CO-10
         specific IFBs/RFPs on the "bidder website"
     166 The system shall provide functionality to automatically trigger the distribution of IFBs/RFPs    CO-10
         to vendors via mail
     167 The system shall provide functionality to automatically alert users to bids received from out-   CO-10
         of-state or foreign vendors
     168 The system shall provide functionality for vendors to submit responses to IFBs/RFPs              CO-10
            regardless of possible eligibility issues identified including, but not limited to:
            - Federal identification numbers
            - Performance history
         - Location
     169 The system shall provide functionality to create a bid tabulation summary sheet to enter bids CO-10
         and/or responses
     170 The system shall provide functionality to track and identify bid submissions that are pending CO-10

         certification or other information so that internal reviewers are aware of the status
     171 The system will provide functionality to allow users to set up evaluation criteria and/or     CO-10
         scoring models for IFBs/RFPs. Such evaluation criteria and/or scoring models shall include,
         but not be limited to:
         - Price per unit
         - Award by line
         - Award by lot
         - Percent discount
         - Grand total
         - Cost plus
         - Market basket price comparison analysis
         - Formulas with variables
     172 The system shall provide functionality to test the evaluation criteria/scoring model prior to CO-10
         issuing IFB/RFP to verify that results are accurate
     173 The system shall provide functionality for vendors to enter and submit responses to           CO-10
         IFBs/RFPs directly into fields set up by users on the "bidder website"


                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 12 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     174 The system shall provide functionality for users to define certain fields in the IFB/RFP           CO-10
         templates as required, restricting submission until the fields are completed
     175 The system shall provide functionality for vendors to enter and submit responses to                CO-10
         IFBs/RFPs as attachments/files on the "bidder website"
     176 The system shall provide functionality for multiple vendors to access and respond to the           CO-10
         same IFB/RFP simultaneously
     177 The system shall provide functionality for vendors to save their responses, so that they can       CO-10
         make multiple updates to them prior to submission
     178 The system shall provide functionality to define disclaimer dialog box(es) that display prior to   CO-10
         vendors confirming their electronic submission
     179 The system shall provide functionality for vendors to submit electronic amended versions of        CO-10
         IFB/RFP via the "bidder website" up to the submission date/time
     180 The system shall provide functionality for vendors to save to their own systems a "print           CO-10
         version" copy of their electronic responses to an IFB/RFP
     181 The system shall provide functionality to automatically time-stamp the submission of               CO-10
         electronic responses to an IFB/RFP
     182 The system shall provide functionality for users to enter the receipt of paper bidder              CO-10
         responses
     183 The system shall provide functionality for users to "post" scanned versions of paper bidder        CO-10
         responses to system
     184 The system shall provide functionality to track means of notice (e.g., Contract Reporter) for      CO-10
         responding bidders
     185 The system shall provide functionality to automatically restrict vendors from making changes       CO-10
         to their responses after submission date and time
     186 The system shall provide functionality to automatically remove IFB/RFP from "bidder                CO-10
         website" after a period of time
     187 The system shall provide functionality for users to extend deadline for submission on "bidder      CO-10
         website"
     188 The system shall provide functionality to automatically assign a unique identification number      CO-10
         to each bidder response entered
     189 The system shall provide functionality to automatically generate an "electronic receipt" when      CO-10
         vendors submit an electronic response for consideration
     190 The system shall provide functionality to place submitted bids in a restricted work space that     CO-10
         can only be accessed by users at specific times
     191 The system shall provide functionality to count the number of vendor responses received,           CO-10
         and save the result in restricted work space prior to the bid opening date
     192 The system shall provide functionality to mark parts of bidder response as protected from          CO-10
         future FOIL requests
     193 The system shall provide functionality for users to conduct "pre-screening" of bidder              CO-10
         responses prior to distributing them for evaluation
     194 The system shall provide functionality for users to grant evaluators access to specific            CO-10
         electronic bidder responses, including technical and fiscal responses, and any additional
         material for review and "scoring"
     195 The system shall provide functionality for users to restrict evaluator from viewing parts of a     CO-10

         bidder response (e.g., evaluators typically do not have access to the cost proposal)
     196 The system shall provide functionality for evaluators to review the bidder responses         CO-10
         electronically and to directly enter "scores" into system
     197 The system shall provide functionality for evaluators to save their "scores" and update them CO-10
         on multiple occasions prior to submitting them for calculation



                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 13 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     198 The system shall provide functionality to restrict an evaluator from accessing other               CO-10
         evaluators' "scores"
     199 The system shall allow users to define the steps and business rules used to calculate              CO-10
         scores for each vendor bid
     200 The system shall provide functionality to automatically compile evaluations and scores             CO-10

     201 The system shall provide functionality to determine a short list of vendors based on eligibility   CO-10
         requirements or preliminary evaluation results
     202 The system shall provide functionality to create user defined free text/supplement fields          CO-10
         associated with each vendors bid
     203 The system shall provide functionality to track and enter a summary of bidder responses,           CO-10
         with information including users, bid amounts, evaluation results, etc.
     204 The system shall provide functionality for users to award a bid to a selected vendor               CO-10
     205 The system shall provide functionality for users to award a bid to multiple selected vendors       CO-10

     206 The system shall provide functionality to deselect bidders awarded a bid                           CO-10
     207 The system shall provide functionality to post the name of a selected vendor to the "bidder        CO-10
         website" after the award has been approved
     208 The system shall provide functionality for users to email messages and documents to                CO-10
         individual vendors
     209 The system shall provide functionality for users to email messages and documents to                CO-10
         multiple vendors simultaneously
     210 The system shall provide functionality for users to select from email correspondence               CO-10
         templates (e.g., free standing text)
     211 The system shall provide functionality to automatically save copies of all email                   CO-10
         communications for an electronic audit trail
     212 The system shall provide functionality to upload and save formal correspondence templates          CO-10
         (e.g., award letter)
     213 The system shall provide functionality for bid coordinators to revise formal correspondence        CO-10
         templates
     214 The system shall provide functionality to automatically alert users of bidder questions            CO-10
         received after the question-and-answer deadline
     215 The system shall provide functionality to track and report the status of all bids                  CO-10
     216 The system shall provide functionality to define bid reporting categories and run ad hoc           CO-10
         reporting
     217 The system shall provide functionality to automatically save bid documents and results for a       CO-10
         defined period of time
     218 The system shall provide functionality to automatically save bid documents and results for a       CO-10
         period of time on a case-by-case basis
     219 The system will provide capability to accept proposals as "Continuous Solicitations" and           CO-10
         allow users to open bids regardless of when received
     220 The system will provide capability to allow multiple contractors for a single award                CO-10
     221 The system will provide capability to allow additional or supplemental contracts to an             CO-10
         existing award or contract
     222 The system shall provide functionality to upload and save contract templates                       CO-20
     223 The system shall provide functionality to search for contract templates based on criteria          CO-20
         including, but not limited to:
         - Agency
         - Contract type
         - Dollar amount of contract



                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 14 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 PROCUREMENT REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     224 The system shall provide functionality to select sections and items from the contract             CO-20
         templates to include or exclude in a first draft based on search criteria including, but not
         limited to:
         - Agency
         - Contract type
         - Dollar amount of contract
     225 The system shall provide functionality to collaboratively create an electronic contract online    CO-20

     226 The system shall provide functionality to copy an existing contract to create a new contract      CO-20

     227 The system shall provide functionality to "close" specific sections and items of the contract CO-20
         templates to restrict user modification
     228 The system shall provide functionality to define participants for collaborative development of CO-20

         a specific contract and to grant them access to an online "space" for collaboration
     229 The system shall provide functionality to grant read/write access to different sections of a      CO-20
         specific contract draft
     230 The system shall provide functionality to track versions of contract drafts during                CO-20
         collaborative online development
     231 The system shall provide functionality to prevent multiple users from making updates to the       CO-20
         same section of the same contract draft at the same time
     232 The system shall provide functionality to notify users when edits or comments are made to a       CO-20
         specific contract
     233 The system shall provide functionality for users to “close” a contract when the draft has         CO-20
         been completed and prevent users from making additional edits
     234 The system shall provide functionality to add, change, and delete a contract                      CO-20
     235 The system shall provide functionality for users to assign a unique identification number to      CO-20
         each contract
     236 The system shall provide functionality for users to link a contract file to its bid/procurement   CO-20
         history
     237 The system shall provide functionality for users to link a contract file to its grant file(s)     CO-20

     238 The system shall provide functionality for users to link a contract file to the vendor file       CO-20

     239 The system shall provide functionality for users to link a contract file to projects              CO-20
     240 The system shall provide functionality to automatically populate key fields in a contract file    CO-20
         with data from the vendor file




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 15 of 111
                                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                              PROCUREMENT REQUIREMENTS

                                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                        II. Requirement Description                                                                                           V. Comment/Explanation               VII. Where in Software
                                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

      241 The system shall provide functionality to maintain profile information on each contract, including, but not   CO-20
          limited to:
          - Vendor
          - Vendor contact information
          - Contract amount
          - Contract number
          - Contract period (start/end date)
          - Contract execution date
          - Project ID(s)
          - Program
          - Activity
          - Contract type
          - Funding source(s) (e.g., federal, consent orders)
          - Amendments/renewals
          - Deliverables and/or items
          - Sub-contractors (includes WBE/MBE compliance)
          - Units of measures
          - Minimum order
          - Method of payment
          - Award date
          - Budget ceiling
          - Performance bond/insurance information
          - Liquidated damages
          - Retainage
          - Performance bonds/bid deposits
          - Financial security
          - Letter of credit
          - Escrow agreements
     242 The system shall provide functionality to automatically verify the following items against                     CO-20
         existing State databases via interfaces including, but not limited to:
         - Vendors' certifications
         - Charity numbers
         - Federal identification numbers.
         The system will automatically alert the user if the verification check shows that a vendor
         does not comply with State regulations
     243 The system shall provide functionality for users to search previous contracts based on user                    CO-20
         criteria
     244 The system shall provide functionality to enter an encumbrance for a contract across                           CO-20
         multiple fiscal years
     245 The system shall provide functionality to enter the agency, agency sub-unit, or individual                     CO-20

         who received services from a vendor and the date the services were received
     246 The system shall provide functionality for users to inquiry about goods received by an                         CO-20
         agency
     247 The system shall provide functionality for users to directly enter bid evaluation "scores" into                CO-20
         the system
     248 The system shall provide functionality for users to save their bid evaluation "scores" and                     CO-20
         update them on multiple occasions prior to submitting them for calculation
     249 The system shall provide functionality to restrict an evaluator from accessing other                           CO-20
         evaluators' "scores"
     250 The system shall provide functionality for users to query contract information between and                     CO-20
         within state agencies




                                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 16 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     251 The system shall provide functionality to manage different contract types including, but not       CO-20
         limited to:
         - Fixed fee
         - Time and materials
         - Retainage
         - Price agreements
         - Discounts from price lists
         - Revenue-based
         - Performance-based
     252 The system shall provide functionality to establish, track, and report on cost-plus contracts      CO-20

     253 The system shall provide functionality to perform a global price adjustment to a price             CO-20
         contract, either through a specified change or by using vendor-supplied data
     254 The system shall provide functionality to manage a contract with multiple funding sources          CO-20

     255 The system shall provide functionality to manage a contract with different "contract" and          CO-20
         "effective" dates
     256 The system shall provide functionality to suspend a bid/contract prior to completion               CO-20
     257 The system shall provide functionality to access status of a contract                              CO-20
     258 The system shall provide functionality to monitor expenditures against the contract amount         CO-20

     259 The system shall provide functionality to prevent the total expenditure and encumbrance            CO-20
         balance from exceeding the contract amount
     260 The system shall provide functionality for a warning before processing contract-related            CO-20

         transactions if a contract's expiration date has passed or if a contract is on hold or pending
     261 The system shall provide functionality to prevent the processing of contract-related               CO-20
         transactions if a contract's expiration date has passed or if a contract is on hold
     262 The system shall provide functionality for users to query the status of expenditures against a     CO-20
         contract, and to provide summary amounts for different time periods including, but not
         limited to:
         - Period to Date
         - Month to Date
         - Quarterly to Date
         - Year to Date
         - Previous Month to Date
         - Previous Quarter to Date
         - Previous Year to Date
         - Fiscal Year
         - Life to Date
     263 The system shall provide functionality to access the original contract amounts, as well as         CO-20
         the amended contract amounts
     264 The system shall provide functionality to enter and track change orders                            CO-20
     265 The system shall provide functionality to access contract budgetary controls by contract           CO-20
         (e.g., contract year if different from the fiscal year, contract cap, and the beginning/end date
         of the contract)
     266 The system shall provide functionality to track and report the status of all contracts             CO-20
     267 The system shall provide functionality to establish, track, and report on a contract's             CO-20
         contingency allowance (delivery of good or service is contingent upon need) or specified
         allowance (delivery of good or service is known, but dollar amount is not)



                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 17 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     268 The system shall provide functionality to automatically save contract documents and results      CO-20
         for a period of time
     269 The system shall provide functionality to automatically save contract documents and results      CO-20
         for a period of time on a case-by-case basis
     270 The system shall provide functionality to deselect bidders awarded a contract                    CO-20
     271 The system shall provide functionality to automate contract approval routing for users based     CO-30
         on business rules
     272 The system shall provide functionality to automate contract approval routing for external        CO-30
         users (i.e. outside agency) based on business rules
     273 The system shall provide functionality for users to approve contract documents                   CO-30
         simultaneously
     274 The system shall provide functionality for users to approve contract documents in sequence,      CO-30
         with one approval being contingent upon another
     275 The system shall provide functionality for external users to approve contract documents          CO-30
         simultaneously
     276 The system shall provide functionality for external users to approve contract documents in       CO-30
         sequence, with one approval being contingent upon another
     277 The system shall provide functionality to close key contract events if the required approvals    CO-30
         have not been received
     278 The system shall provide functionality to automate contract event notification routing for       CO-30
         users based on business rules
     279 The system shall provide functionality to automate contract event notification routing for       CO-30
         external users based on business rules
     280 The system shall provide functionality for users to add comments and attachments to              CO-30
         contract approvals or rejections
     281 The system shall provide functionality for external users to add comments and attachments        CO-30
         to contract approvals or rejections
     282 The system shall provide functionality to track status of contract approvals                     CO-30
     283 The system shall provide functionality for users to create an online survey and electronically   CO-40

         distribute it to employees who received goods or services from a vendor
     284 The system shall provide functionality for users to save their survey responses online so        CO-40
         that they can make multiple updates prior to submission
     285 The system shall provide functionality to collect survey responses and evaluate vendor           CO-40

         performance based on "scores" entered into the system by survey respondents
     286 The system shall provide functionality to define performance measures in a contract file         CO-40

     287 The system shall provide functionality to track vendor performance against performance           CO-40
         measures in the contract file
     288 The system shall provide functionality to attach documents regarding vendor performance          CO-40
         (e.g., vendor reports) to the contract file
     289 The system shall provide functionality to enter contract actions (e.g., key correspondence       CO-40
         dates, sanctions) in the contract file
     290 The system shall provide functionality to track subcontracting activities against the contract   CO-40

         (e.g., subcontractor responsibilities, percentage of revenue, start and end dates)
     291 The system shall provide functionality to upload and save amendment/renewal templates            CO-40

     292 The system shall provide functionality to select sections and items from the                     CO-40
         amendment/renewal templates to include in the contract


                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 18 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     293 The system shall provide functionality to save final amendment/renewal in system as part of CO-40
         contract file
     294 The system shall provide functionality to update contract file to reflect amended information CO-40

     295 The system shall provide functionality to track the original contract amount and adjustments CO-40
         to the amounts resulting from change orders and/or amendments
     296 The system shall provide functionality to identify contracts that are eligible to be renewed CO-40

     297 The system shall provide functionality to notify the user, after a certain number of days has      CO-40
         elapsed, to complete the execution of a recurring contract
     298 The system shall provide functionality to notify the user, after a certain number of days has      CO-40
         elapsed, to initiate the process of renewing an existing contract
     299 The system shall provide functionality to reopen closed contracts                                  CO-40
     300 The system shall provide functionality to maintain an audit trail of actions taken pertaining to   CO-40
         contract management (e.g., reports, sanctions, key communications)
     301 The system shall provide functionality to allow users to access all previously approved            CO-40
         contracts and respective amendments
     302 The system shall provide functionality to create a pre-encumbrance at point of requisition         PO-10

     303 The system shall provide functionality to create an encumbrance at the point of purchase           PO-10
         order and/or contract
     304 The system shall provide functionality to liquidate the pre-encumbrance on a requisition           PO-10
         once a line or the entire requisition is cancelled
     305 The system shall provide functionality to create an optional encumbrance with no specific          PO-10
         vendor reference to reserve funds in the system for future procurements
     306 The system shall provide functionality for users to create an optional encumbrance for a           PO-10

         specific purpose or vendor and reference the optional encumbrance on a voucher
     307 The system shall provide functionality for users to create and maintain blanket            PO-10
         encumbrances where the vendor and goods are known, but delivery needs change
         periodically (e.g., milk for a youth facility)
     308 The system shall provide functionality to select vendors alphabetically by name, by vendor PO-10
         number, or by their correct Federal Employer Identification Number (FEIN) number for entry
         into a requisition, solicitation/bid, and purchase order
     309 The system shall provide functionality to perform the following requisitions and purchase  PO-10
         functions including, but not limited to:
         - Inquiry
         - Add
         - Change
         - Cancel
         - Delete




                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 19 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   PROCUREMENT REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

     310 The system shall include fields for the following information on a requisition and purchase order   PO-10
         including, but not limited to:
         - Vendor Name
         - Vendor Number
         - Buyer Number
         - Ship To Address
         - Order From Address
         - Commodity Code
         - Description
         - Unit of Measure
         - Unit Price
         - Quantity
         - Total Amount
         - Account Code Structure
         - Recycled Content Indicator
         - Project Code (Pin Number)
         - Contract Number
         - Discretionary Purchase Flag
         - Method of Purchase
         - Group Number
         - FOB Field
         - Payment Terms
         - Item Master Reference or Description
         - Discount Percent
         - Asset ID Number
         - MWBE Status
         - Small Business
         - MSDS
     311 The system shall provide functionality to save incomplete requisitions and purchase orders          PO-10

     312 The system shall provide functionality for users to suggest multiple recommended vendors            PO-10
         and associated cost estimates on a requisition
     313 The system shall provide functionality to access and select stock items from the item master        PO-10
         for requisitions and purchase orders
     314 The system shall provide functionality to enter hazardous materials codes based on                  PO-10
         standards
     315 The system shall provide functionality to automatically create a requisition and/or purchase        PO-10
         order for inventoried supplies when supplies reach a specified order level
     316 The system shall provide functionality to enter zero dollar requisitions and purchase orders        PO-10

     317 The system shall provide functionality to assign a buyer number or id to either an entire           PO-10
         requisition or specific line items of a requisition
     318 The system shall provide functionality to automatically validate certain requisition and            PO-10
         purchase order fields, at the time of creation including, but not limited to:
         - Commodity Code
         - Object Account
         - Account Code
         - Pin/Project Number
     319 The system shall fully support the UNSPSC (United Nations Standard Product and Service              PO-10
         Code) commodity code system
     320 The system shall provide functionality to identify multiple delivery dates and ship-to locations    PO-10
         on a line item basis for requisitions and purchase orders



                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 20 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     321 The system shall provide functionality to associate multiple account codes to a single line   PO-10
         item on a requisition or purchase order
     322 The system shall provide functionality to pre-populate account code information into          PO-10
         transactions based on users defaults and allow for defaults to be changed
     323 The system shall provide functionality to enable a percentage based distribution of costs for PO-10

         a line item across multiple account codes on a requisition or purchase order
     324 The system shall provide functionality to automatically populate a central ship-to address       PO-10
         with capabilities to override the address on an as-needed basis
     325 The system shall provide functionality to assign unique document numbers for the following       PO-10
         including, but not limited to:
         - Solicitations
         - Requisitions
         - Purchase orders
     326 The system shall provide functionality for users to manually assign unique document              PO-10
         numbers for the following including, but not limited to:
         - Solicitations
         - Requisitions
         - Purchase orders
     327 The system shall provide functionality to enable no less than six decimal places for price per   PO-10
         units of measure
     328 The system shall provide the ability for users to route certain requisitions through the         PO-10
         approval process (sequential or parallel) and not others
     329 The system shall provide functionality to enter pre-encumbrance of a requisition at either the   PO-10
         time of creating the requisition or once all required approvals are received
     330 The system shall provide functionality to perform an automated check of the budget for           PO-10
         funds availability at the time of pre-encumbrance and/or encumbrance
     331 The system shall provide functionality to allow the user to modify the requisition amount        PO-10
         after it has initially been saved
     332 The system shall provide functionality for budget checking capability to restrict users from     PO-10
         overspending the funds allotted to their department/cost center
     333 The system shall provide functionality to allow users to choose whether or not to pre-           PO-10
         encumber a requisition at the time of creation
     334 The system shall provide functionality to backdate purchase orders.                              PO-10
     335 The system shall provide functionality for sequential approval routing of requisitions and       PO-10
         purchase orders based on item classifications and enter the appropriate date and time
         stamps
     336 The system shall provide functionality for sequential approval routing of requisitions and       PO-10

         purchase orders based on dollar thresholds and enter the appropriate date and time stamps
     337 The system shall provide functionality for parallel approval routing of requisitions and  PO-10
         purchase orders, based on item classifications, and enter the appropriate date and time
         stamps
     338 The system shall provide functionality for parallel approval routing of requisitions and  PO-10
         purchase orders, based on dollar thresholds, and enter the appropriate date and time
         stamps




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 21 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 PROCUREMENT REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     339 The system shall provide functionality to determine the appropriate approval/workflow to          PO-10
         execute based on various information including but not limited to:
         - Transaction type
         - Agency
         - Account code
         - Dollar value
         - Commodity
     340 The system shall provide functionality to initiate an approval process if certain modifications   PO-10
         are made to fields to a requisition or purchase order after submission for approval (e.g.,
         changes to quantity and/or price)
     341 The system shall provide functionality to initiate an approval process if modifications are       PO-10
         made to a solicitation after submission for approval
     342 The system shall provide functionality to pass change orders to a purchase order through an       PO-10
         approval routing process
     343 The system shall provide functionality for approvers in the approval routing process to           PO-10
         approve, reject, or edit requisitions
     344 The system shall provide functionality to create and track (e.g., identify, enter, inquire,       PO-10
         report) all orders, including orders for items that have graduated pricing (e.g., the first 25
         items are $0.25, 26-50 items are $.20)
     345 The system shall provide functionality to enter term conditions for %, net days, and/or date      PO-10
         of month if vendor offers prompt payment or any discount
     346 The system shall provide functionality to aggregate multiple requisitions to a single purchase    PO-10
         order
     347 The system shall provide functionality to add comments on documents including, but not            PO-10
         limited to:
         - Requisition
         - Purchase order
         - Receiving report
         - Return merchandise authorization (RMA)
         - Contract
         - Change order (line by line or by entire document)
     348 The system shall provide functionality to edit specific purchase order fields after approval      PO-10
         has occurred
     349 The system shall provide functionality to create a purchase order without entering the            PO-10
         associated account coding
     350 The system shall provide functionality for fields to document justification for award of a        PO-10
         purchase order and/or contract
     351 The system shall provide functionality to create change orders to existing purchase orders        PO-10

     352 The system shall provide functionality to fully liquidate the encumbrance on a purchase           PO-10
         order/contract once the entire purchase order/contract is cancelled
     353 The system shall provide functionality to partially liquidate the encumbrance on a purchase       PO-10
         order/contract once a line on the purchase order/contract is cancelled
     354 The system shall provide functionality to keep purchase orders open when encumbrances             PO-10
         have been liquidated so that purchase orders can cross fiscal years
     355 The system shall provide functionality to create recurring purchase orders                        PO-10
     356 The system shall provide functionality to route purchase orders to agencies outside of the        PO-10
         originating agency for approvals
     357 The system shall provide functionality to require the tax ID number of a vendor before            PO-10
         awarding a purchase order or contract


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 22 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     358 The system shall provide functionality to automatically notify users via email about pending PO-10
         approval action, pending items for review, and pending orders for receipt
     359 The system shall provide functionality to automatically route purchase orders that are above PO-10

         a threshold and for items not on an existing contract to an external agency for approval
     360 The system shall provide functionality to award multiple contracts from one requisition            PO-10

     361 The system shall provide functionality to create multiple purchase orders from one                 PO-10
         requisition
     362 The system shall provide functionality to create requisition and purchase order documents          PO-10
         that include multiple accounting and commodity lines (up to 1,000 lines)
     363 The system shall provide functionality to set price and quantity tolerances by line item on        PO-10
         purchase orders for over-runs
     364 The system shall provide functionality to copy existing purchase order information into a new      PO-10
         or modified purchase order
     365 The system shall provide functionality to transfer information from the bid response to a          PO-10
         contract or purchase order
     366 The system shall provide functionality for the issuance of multiple purchase orders from a         PO-10
         single solicitation/bid
     367 The system shall provide functionality to enable the creation of purchase orders without a         PO-10
         requisition
     368 The system shall provide functionality to enable the inclusion of the value of trade-ins/credits   PO-10
         on a purchase order that reduces the total purchase order value
     369 The system shall provide functionality to reverse the pre-encumbrance on a requisition and         PO-10
         encumber the purchase order at the time of purchase order creation
     370 The system shall provide functionality to identify line items within a purchase which will         PO-10
         generate an asset record
     371 The system shall provide functionality to place orders and/or change orders via internet,          PO-10
         EDI, fax, and paper form
     372 The system shall provide a mechanism to send documents to vendors including, but not               PO-10
         limited to:
         - Bid request
         - Purchase orders
         - Contracts
         - Standard letters via multiple formats based on vendor profiles (email, EDI, XML, fax
         server, hard copy, etc.)
     373 The system shall provide functionality to alert all participants in a transaction (requestor,      PO-10
         initiator, receiver, AP clerk) upon the event of partial or complete purchase order
         cancellation
     374 The system shall provide functionality to alert the designated users when an asset has been        PO-10
         purchased, accepted, rejected, or returned by the receiver
     375 The system shall provide functionality to establish required fields based on prompts such as       PO-10
         the cancellation of a purchase order/line item (e.g., if a purchase order is cancelled, require
         users to populate a purchase order date cancelled field)
     376 The system shall provide functionality to use a purchase order for goods and services              PO-10
         ordered from an internal department and/or external agencies
     377 The system shall provide functionality to match receipts and vouchers (e.g., quantities,           PO-10

            receipt date, and prices) against purchase order line items and report discrepancies




                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 23 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 PROCUREMENT REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     378 The system shall provide functionality for users to run inquiries on line-item information from   PO-10
         purchase orders, requisitions, and/or solicitation/bid information for any combination of the
         following fields:
         - Commodity code/inventory item number
         - Description
         - Unit of measure
         - Recommended vendor (For requisitions only)
         - Previous vendor (For requisitions only)
         - Previous price (For requisitions only)
         - Account information
         - Ship to/Bill to/Invoice to
         - From Date
         - To Data
     379 The system shall provide functionality to create a blanket purchase order without a vendor,       PO-10
         for a specified dollar amount and later release purchase order against the blanket for
         specific vendors
     380 The system shall provide functionality to create a blanket purchase order and create              PO-10
         subsequent purchase orders against the blanket
     381 The system shall provide functionality to enable orders with staggered delivery schedules on      PO-10
         a line item basis
     382 The system shall provide functionality to automatically update requisitions and purchase          PO-10

         orders to reflect cumulative volume and/or quantity discounts specified within the contract
     383 The system shall provide functionality to update posted encumbrances when changes to the          PO-10
         existing purchase order quantity and/or price are processed
     384 The system shall provide functionality to update the purchase order with order                    PO-10
         acknowledgements received electronically from the vendor
     385 The system shall provide functionality for users to create templates for documents including,     PO-10
         but not limited to:
         - Requisition
         - Request for bid
         - Purchase order
     386 The system shall provide functionality for users to inquire on the status of requisitions,        PO-10
         purchase orders, and receipts
     387 The system shall provide functionality to transfer information from the requisition to the        PO-10
         solicitation
     388 The system shall provide functionality for users to extend opening date of established            PO-10
         solicitations
     389 The system shall provide functionality to save individual components of a solicitation,           PO-10
         including, but not limited to:
         - Solicitation
         - Addenda
         - Questions and answers
         - Solicitation status
         - Solicitation results
         - Other information to a web-enabled front-end
     390 The system shall provide functionality for users to add non-registered vendors to the system      PO-10
         for the purpose of accessing the bid document
     391 The system shall provide functionality to set the release date of the bid subsequent to the       PO-10
         purchasing or contract addenda



                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 24 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               PROCUREMENT REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

     392 The system shall provide functionality for users to determine which vendors will receive        PO-10
         solicitations
     393 The system shall provide functionality to receive vendor solicitations and accept vendor        PO-10
         questions submitted electronically
     394 The system shall provide functionality to post responses to questions to a web-enabled front    PO-10
         end when approved
     395 The system shall provide functionality to alert invited vendors of any changes to a             PO-10
         solicitation
     396 The system shall provide functionality to receive responses electronically and include an       PO-10
         electronic time and date stamp
     397 The system shall provide functionality to reject responses submitted after the bid opening      PO-10
         date and time have passed
     398 The system shall provide functionality to accept the receipt of bid responses via manual        PO-10

         entry (response received outside the system from phone, fax, email, etc.) or web interface
     399 The system shall provide functionality for users to indicate the time/date stamp of manually    PO-10
         received responses
     400 The system shall provide functionality to control access to the vendors’ responses to allow     PO-10
         only vendors to edit/view their own response
     401 The system shall provide functionality to track all bidder responses against an open bid        PO-10
         (including "no responses")
     402 The system shall provide functionality for users to delete a bid response at the vendor’s       PO-10
         request
     403 The system shall provide functionality to track who received a solicitation, who responded,     PO-10
         and who did not respond
     404 The system shall provide functionality for users to create ad hoc management reports for        PO-10
         solicitation/bid information
     405 The system shall provide functionality for users to standardize comparable units of measure     PO-10

     406 The system shall provide functionality to enable the award of a solicitation by line item, by   PO-10
         groups of line items, or for all items
     407 The system shall provide functionality for users to edit standard solicitation award letters    PO-10

     408 The system shall provide functionality to extract pricing and terms automatically from a        PO-10
         contract onto the purchase order
     409 The system shall provide functionality to automatically validate the contract terms and         PO-10
         conditions in a purchase order that is created against a specific contract
     410 The system shall provide functionality for users to create IFBs and RFQs using templates        PO-10

     411 The system shall provide functionality for freight and payment term fields as part of the       PO-10
         solicitation/bid
     412 The system shall provide functionality to enable payment of invoices without a purchase         PO-10
         order
     413 The system shall provide functionality for users to enter vendor responses against a            PO-10
         solicitation/bid
     414 The system shall provide functionality to select multiple winning responses from the bid and    PO-10
         then create multiple purchase orders
     415 The system shall provide functionality to maintain and report an audit trail of changes and     PO-10

         updates to purchase orders, requisitions, quotes/bids, and change orders
     416 The system shall provide functionality to enable standard item classification codes             PO-10


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 25 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 PROCUREMENT REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     417 The system shall provide functionality for inquiries to display YTD orders, pending payables, PO-10
         unmatched receivers, and unmatched vendor invoices by vendor
     418 The system shall provide functionality for detailed purchasing history by vendor via inquiry  PO-10

     419 The system shall provide functionality for inquiries to summarize purchasing history by           PO-10
         vendor
     420 The system shall provide functionality for inquiry tools to view the history of change            PO-10
         orders/amendments to a purchase order
     421 The system shall provide functionality for inquiries to outstanding purchase orders by            PO-10
         department/agency
     422 The system shall provide functionality for inquiries to receiving history regarding items and     PO-10
         quantities received and waiting receipt
     423 The system shall provide a tool for automated tabulation of responses based on factors            PO-10
         such as price and percent discounts (IFBs only)
     424 The system shall provide functionality to tabulate responses by grouping of line items or         PO-10
         single line items
     425 The system shall provide functionality to enable the import of structured data from an            PO-10
         external web-enabled front end /source (e.g., NIGP for specifications)
     426 The system shall provide functionality for searches of the vendor list from within the            PO-20
         requisition or solicitation development tool to identify vendors for a solicitation
     427 The system shall provide functionality to accommodate the use of online vendor's catalog(s)       PO-20

     428 The system shall provide functionality for users to identify favorites or to bookmark specific    PO-20

         pages within the catalog to enable catalog browsing during subsequent sessions
     429 The system shall provide functionality to automatically update pricing and product                PO-20
         information within a favorites list when the electronic catalog is updated
     430 The system shall provide functionality to compare prices, descriptions, and specifications        PO-20
         across multiple vendors, contracts, and schedules of items within the system catalog (either
         internal or external)
     431 The system shall provide functionality to have an electronic catalog that must restrict certain   PO-20
         contracts and line items to be viewed and/or ordered only by users, user groups, agencies,
         or groups of agencies
     432 The system shall provide functionality to enable the automatic population of                      PO-20
         requisition/purchase order line items with information transferred from a vendor-maintained
         web catalog when an order is initiated
     433 The system shall provide functionality to allow users to control the effective date of an         PO-20
         update to a certain catalog line item
     434 The system shall provide functionality for users to create items catalogs with a                  PO-20
         corresponding price list
     435 The system shall provide functionality for users to add and maintain foreign vendors (without     PO-20
         a FEIN)




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 26 of 111
                                                                                                                    New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            PROCUREMENT REQUIREMENTS

                                                                                                         III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                 V. Comment/Explanation               VII. Where in Software
                                                                                                       Process ID     Compliance                                              of Effort                                       Reference

     436 The system shall provide functionality to add, delete, search, and edit vendor/payee         PO-20
         information including, but not limited to:
         - Vendor Name
         - Vendor ID Number
         - Federal ID Number (e.g., FEIN)
         - Dun & Bradstreet Number
         - Payment Addresses
         - Order from Addresses
         - City/State/Zip Code
         - Phone Numbers
         - Contact Person(s)
         - Vendor Email Address
         - Commodity Code Grouping
         - Method of Payment
         - Geographic Location
         - Vendor Fax Number
         - Minority/Women Business Code
         - EFT and EDI Information
         - 1099 Reporting Code
         - Default Account Information
         - Small Business Code
         - Employee (Yes/No)
         - Interest Eligibility
     437 The system shall provide functionality for users to add, delete, search, edit order form and PO-20
         payment information related to vendor records including, but not limited to:
         - Contract Name
         - Address Line 1
         - Address Line 2
         - City
         - State
         - Zip
         - Phone Number
     438 The system shall provide functionality to alert users if multiple vendors have the same FEIN PO-20

     439 The system shall provide functionality to automatically create a unique vendor identifier   PO-20

     440 The system shall provide functionality to allow vendor information to be updated at any point PO-20
         in the procure-to-pay process and have those changes reflected on open documents related
         to that vendor
     441 The system shall provide functionality to place a spending threshold on a vendor by agency PO-20
         so that notifications can be created, informing users when the spending limit is about to be
         exceeded
     442 The system shall provide functionality to create parent-child relationships based on various PO-20
         data including, but not limited to:
         - Tax ID number
         - Owner/subsidiary relationship
         - Merger/dissolution history
         - Former name(s)
         - Other criteria




                                                                                                                             9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 27 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   PROCUREMENT REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                    II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

     443 The system shall provide functionality for an automatic notification to the vendor or users,        PO-20
            based on criteria including, but not limited to:
            - Non-responsiveness over a period of time
         - Vendor status change
     444 The system shall provide functionality to capture contact information of agency                     PO-20
         representative for 1099 reporting
     445 The system shall provide functionality to maintain a log of vendor complaints across all            PO-20
         agencies through resolution
     446 The system shall provide functionality to track vendor performance including, but not limited       PO-20
         to:
         - Late Delivery
         - Quantity/Quality
         - Specification Issues
         - Milestone Dates Achieved
         - Invoicing Errors
         - Non Responsibility Determination
         - Suspended or Debarred Status
     447 The system shall provide functionality for users to deactivate a vendor and simultaneously          PO-20
         track the history of transactions assigned to that vendor
     448 The system shall provide functionality to identify any information as "confidential," restricting   PO-20
         access accordingly through security, in the vendor/payee file
     449 The system shall provide functionality for users to edit vendor information on a procurement        PO-20
         or payment document until time of payment (e.g., vendor changes name, merges with
         another company)
     450 The system shall provide functionality to save templates of vendor management documents             PO-20
         and emails
     451 The system shall provide functionality to automatically notify, via email or workflow, users of     PO-20
         changes to specific vendor fields, including, but not limited to:
         - Address
         - Location
         - Tax ID number
     452 The system shall provide functionality for at least 10 commodity codes for each vendor              PO-20
         master record
     453 The system shall provide functionality to assign agency specific classifications and                PO-20
         characteristics to each vendor master record (e.g., Vendor X does business with both the
         Department of Corrections and Department of Education; however, the vendor has different
         Order-from address and reporting codes for each agency)
     454 The system shall provide functionality to route vendor self-service updates for approval to a       PO-20
         purchasing entity prior to being accepted
     455 The system shall provide functionality to merge duplicate vendor records into one vendor            PO-20
         record (e.g., if an organization has multiple records for vendor X, the ability to merge all of
         those vendor records into one record for vendor X)
     456 The system shall provide functionality to approve purchase card transactions before the             PO-30
         processing of the transaction




                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 28 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 PROCUREMENT REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     457 The system shall provide functionality to record and save card assignment information for a       PO-30
         cardholder including, but not limited to:
         - Unique cardholder ID number
         - Fund account coding close
         - Merchant classification code (MCC) profile name
         - Cardholder specific controls of transaction limits
         - Dollar value limits
     458 The system shall provide functionality to use drop-down menus to select specific pre-coded        PO-30
         data to complete the transaction including, but not limited to:
         - Account numbers
         - Commodity codes
     459 The system shall provide functionality for users to link goods/services acquired with a           PO-30
         purchase card to an asset (e.g., relating the purchase of a copier with the office supplies
         category in assets)
     460 The system shall provide functionality to manage and record consumption dollars through           PO-30
         the purchase card interface
     461 The system shall provide functionality to enable at least five purchase card providers (e.g.,     PO-30
         purchase card and travel card)
     462 The system shall provide functionality to distribute the purchase card transactions received      PO-30
         from the bank to users based on an established unique identifier
     463 The system shall provide functionality to allow manual entry of purchase card transaction         PO-30
         information in a form or template
     464 The system shall provide functionality to add fields to the transaction data including, but not   PO-30
         limited to:
         - Detailed product description
         - Merchant
         - Set-aside purchase
         - Receipt
         - Term contract number
         - Asset number
         - Commodity code or object code
     465 The system shall provide functionality to track returned purchases made using purchase            PO-30
         cards
     466 The system shall provide functionality to handle automatic downloads of Level One, Two,           PO-30
         and Three purchase card transaction data into the system from a third party including, but
         not limited to:
         - Item Description
         - Quantity
         - Unit Price
         - Cost
         - Item Classification Code
         - Transaction Date
         - Vendor
         - Tax ID
     467 The system shall provide functionality for users to review, update, and submit their purchase     PO-30
         card expense data
     468 The system shall provide functionality to have a status indicator which will identify             PO-30
         questionable transactions (e.g., transaction is on hold, transaction is not reconciled)
     469 The system shall provide functionality to automatically notify users via email or workflow of     PO-30

            purchase card transactions that have not been acted on after a defined period of time


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 29 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  PROCUREMENT REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     470 The system shall provide functionality to indicate open transactions made with a purchase          PO-30
         card that should be reviewed by specified users
     471 The system shall provide functionality to perform ad hoc reporting against purchase card           PO-30
         transaction data
     472 The system shall provide functionality to receive multiple transactions from multiple vendor       PO-40
         locations against a purchase order
     473 The system shall provide functionality to save the date and time stamp of receipt for goods        PO-40
         and services
     474 The system shall provide functionality to allow various types of transactions relating to the      PO-40
         receipt of goods/services including, but not limited to:
         - Completes
         - Back Order
         - Rescheduled
         - Balance Cancelled
         - Partial receipts
         - Material disposition
         - Return goods for credit
         - Return goods for damage
         - Return goods for over-shipments
         - Trade-ins (a line item rather than deducting from the actual cost)
     475 The system shall provide functionality to perform blind receiving including, but not limited to:   PO-40

            - Close quantity with product description, item number, and unit of measure showing

         - Provide verification mechanism of the quantity entered
     476 The system shall provide functionality to record the receipt of no cost items                 PO-40
     477 The system shall provide functionality to create a unique receiving number at time of receipt PO-40

     478 The system shall provide functionality to enable the identification of commodities that require PO-40
            a certificate, bond receipt, Material Safety Data Sheet (MSDS), or other documentation, and
         alert the receiver to confirm valid status prior to approving receipt
     479 The system shall provide functionality to enable the receipt of goods and services without a       PO-40
         purchase order
     480 The system shall provide functionality to receive against purchase card transactions               PO-40
     481 The system shall provide functionality to conduct receiving on behalf of other agencies            PO-40

     482 The system shall provide functionality to process a return material authorization (either          PO-40
         electronic or hard copy, depending on vendor capabilities) for materials to be returned (e.g.,
         rejected goods)
     483 The system shall provide functionality to track (e.g., identify, save, inquire, report) the        PO-40
         reason for the rejection of goods by receiver (individual)
     484 The system shall provide functionality to alert users of the planned date for return material to   PO-40
         be picked up by the vendor
     485 The system shall provide functionality for the purchasing system and the inventory system to       PO-40
         share a common receiving function and item commodity file
     486 The system shall provide functionality to automatically update inventory on-hand and on-           PO-40
         order when items are received into inventory from a purchase order
     487 The system shall provide functionality for the receipt of goods, not the payment of goods, to      PO-40
         update inventory




                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 30 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                PROCUREMENT REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     488 The system shall provide functionality to process three-way match transactions (purchase         PO-40
         order, receipt, and voucher)
     489 The system shall provide functionality to transfer items between agencies/departments            PO-40
         using inter-department orders
     490 The system shall provide functionality to authorize designated receivers (individuals) by        PO-40
         agency
     491 The system shall provide functionality to automatically notify users via email or workflow of    PO-40

         purchase orders that are past its delivery dates and have not been fully received
     492 The system shall provide functionality to automatically update purchase order status and         PO-40
         balances based on receipt of goods
     493 The system shall provide functionality to reverse a receiving transaction against a purchase     PO-40
         order
     494 The system shall provide functionality to create reminder notices to vendors for shipments       PO-40
         due based on defined thresholds
     495 The system shall provide functionality for receiving transactions to create an AP liability in   PO-40
         the general ledger
     496 The system shall provide functionality to process two-way matches (purchase order and            PO-40
         voucher)
     497 The system shall provide functionality to enable inspection processing as a separate step in     PO-40
         the receiving process
     498 The system shall provide functionality to establish receiving tolerances by commodity            PO-40
         classification code (e.g., computer hardware and software)
     499 The system shall provide functionality to enable bar code scanners in the receiving process      PO-40

     500 The system shall provide functionality to automatically create vouchers upon the receipt of      PO-40
         goods against a purchase order
     501 The system shall provide functionality for users to correct data entered into the receiving      PO-40
         system
     502 The system shall provide functionality to receive against multiple ship-to addresses in a        PO-40
         purchase order




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 31 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  FINANCIAL REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

     503 The system shall provide functionality for a fully integrated budget preparation and financial     BU-10

         system including the seamless exchange of budget and accounting information
     504 The system shall provide functionality for budgeting and reporting by agency                       BU-10
     505 The system shall provide functionality to accommodate a chart of accountsthat has at least         BU-10
         seven categories of data and associated sub-levels including, but not limited to:
         - Agency
         - Fund
         - Sub-fund
         - Program
         - Account
         - Sub-account
         - Organization
         - Department
         - Division
         - Location
         - Grant
         - Project
         - Object
     506 The system shall provide functionality to accommodate a multi-level appropriation structure        BU-10
         that satisfies the State's budgeting and statewide reporting requirements
     507 The system shall provide functionality to accommodate a multi-level fund structure that            BU-10
         satisfies GAAP, GASB, statewide and agency reporting requirements
     508 The system shall provide functionality to accommodate a fund structure that satisfies the          BU-10
         State's appropriation, agency, grant, contract, activity and capital project budgeting
         requirements
     509 The system shall provide functionality for users to identify fund classification at both the       BU-10
         agency and statewide levels according to Governmental Accounting, Auditing, and Financial
         Reporting (GAAFR) or other external requirements
     510 The system shall provide functionality for users to establish central appropriation control at     BU-10
         any level in the chart of accounts including, but not limited to:
         - Fund
         - Program
     511 The system shall provide functionality to accommodate a hierarchical budget chart of               BU-10
         accounts, such that each level is a summary of the level directly beneath it
     512 The system shall provide functionality for users to develop an agency budget at any level in       BU-10
         the chart of accounts and aggregate the results to the appropriation level
     513 The system shall provide functionality for users to develop budget at a higher level in the        BU-10
         chart of accountst han expenditures and encumbrances are entered
     514 The system shall provide functionality for users to control budget at a higher level in the        BU-10
         chart of accounts than expenditures and encumbrances are entered
     515 The system shall provide functionality for different agencies to develop its budgets at            BU-10
         different levels in the chart of accounts (e.g., program level for Agency A vs. department
         level for Agency B)
     516 The system shall provide functionality for users to create new budget lines at any time            BU-10
         throughout the year
     517 The system shall provide functionality for users to establish effective dates to activate or       BU-10
         deactivate budget lines at various times throughout the year
     518 The system shall provide functionality for users to set budgetary controls at any level in the     BU-10
         chart of accounts


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 32 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     FINANCIAL REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     519 The system shall provide functionality for users in different agencies to set budgetary               BU-10
         controls at different levels in the chart of accounts (i.e. program level for Agency A vs. cost
         level for Agency B)
     520 The system shall provide functionality for users to process transactions that exceed budget           BU-10
         controls, if the transactions are approved by a specified user
     521 The system shall provide functionality for users to develop a budget at any level in the chart        BU-10
         of accounts while controlling budgets at a different level
     522 The system shall provide functionality to monitor budget at any level in the data                     BU-10
         classification structure
     523 The system shall provide functionality to accommodate a holding account at the lowest level           BU-10
         in the chart of accountsto ensure that the budget remains in balance. When the budget is
         adjusted at any level in the chart of accountshigher than the holding account, the holding
         account shall be populated with the adjusted amount or the total of accumulated
         adjustments
     524 The system shall provide functionality for the holding account to contain negative numbers            BU-10

     525 The system shall provide functionality for users to develop the budget at a higher level or           BU-10
         lower level in the chart of accounts, than controlled at in the previous year
     526 The system shall provide functionality for users to develop the budget at a higher or lower           BU-10
         level in the chart of accounts than developed in the previous year
     527 The system shall provide functionality for users to lock lower levels in the chart of                 BU-10
         accountsduring the budget preparation process so it can not be altered, while retaining
         functionality to alter higher levels in the chart of accounts
     528 The system shall provide functionality for users to assign responsibility to specific individuals     BU-10
         to identify who is responsible for developing certain levels in the chart of accounts including,
         but not limited to: differing levels of the organization structure
     529 The system shall provide functionality to automatically duplicate a version of the previous           BU-10

         year's budget and establish it as the starting budget for the current year's budget
     530 The system shall provide functionality for users to identify and manually exclude proposals,          BU-10

         which were labeled as one-time in the previous year's budget, when duplicating the budget
     531 The system shall provide functionality for users to set caps on the budget request at any             BU-10
         level in the chart of accounts
     532 The system shall provide functionality for users to set caps on the budget request that are           BU-10
         either specific dollar amounts or percentages of a specific amount
     533 The system shall provide functionality for users to selectively set caps on the budget request        BU-10
         at any level in the chart of accounts
     534 The system shall provide functionality for users to set controls to prevent a budget request          BU-10
         that exceeds the cap
     535 The system shall provide functionality for users to set controls to selectively prevent a             BU-10
         budget request that exceeds the cap
     536 The system shall provide functionality to automatically identify a budget request that                BU-10
         exceeds the agency cap
     537 The system shall provide functionality for users to save budget requests that exceed the cap          BU-10
         in order to edit them later
     539 The system shall provide functionality for users to set limits on positions and/or FTEs at any        BU-10
         level in the chart of accounts
     540 The system shall provide functionality for users to selectively set position and/or FTE caps          BU-10
         at any level in the chart of accounts
     541 The system shall provide functionality for users to set controls to prevent a budget request          BU-10
         that exceeds the position and/or FTE cap

                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 33 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                      FINANCIAL REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

     542 The system shall provide functionality for users to set controls to selectively prevent a              BU-10
         budget request that exceeds the position and/or FTE cap
     543 The system shall provide functionality to automatically identify a budget requests that                BU-10
         exceeds the position and/or FTE cap
     544 The system shall provide functionality for users to save budget requests that exceed the               BU-10
         position and/or FTE cap in order to edit them later
     545 The system shall provide functionality for users to invoke the position and/or FTE caps on             BU-10
         individual versions of the budget
     546 The system shall provide functionality for users to save budget documents (e.g., Call Letter,          BU-10
         instructions, budget request manual, targets, goals, submission forms) in a system-wide
         document library
     547 The system shall provide functionality for users to define and create budget documents                 BU-10

         including instructions and linking data fields to specific elements in the coding structure
     548 The system shall provide functionality for users to access and download budget request                 BU-10
         documents that are saved (e.g., Call Letter, instructions, budget request manual, targets,
         goals, submission forms)
     549 The system shall provide functionality for users to develop performance based budgets                  BU-10

     550 The system shall provide functionality to track performance-based budgets                              BU-10
     551 The system shall provide functionality to report on performance measures                               BU-10
     552 The system shall provide functionality for users to save budgeted and actual non-financial,            BU-10

         performance measures, and associated data at any level in the chart of accounts
     553 The system shall provide functionality for users to establish relationships between                    BU-10
         performance statistics and budget amounts
     554 The system shall provide functionality for users to selectively use performance measures for           BU-10
         budgeting purposes
     555 The system shall provide functionality for users to develop performance budgeting tools                BU-10

     556 The system shall provide functionality for users to realign actual and budgeted financial              BU-10
         information based on reorganizations to enable budget preparation
     557 The system shall provide functionality to save historical financial information after a                BU-10
         reorganization in both the original structure and the revised structure at all levels in the chart
         of accounts
     558 The system shall provide functionality to display historical financial information after a             BU-10
         reorganization in both the original structure and the revised structure at all levels in the chart
         of accounts
     559 The system shall provide the ability to save historical coding information after a                     BU-10
         reorganization in both the original structure and the revised structure at all levels in the chart
         of accounts
     560 The system shall provide the ability to display historical coding information after a                  BU-10
         reorganization in both the original structure and the revised structure at all levels in the chart
         of accounts
     561 The system shall provide functionality for users to create requests for additions to the               BU-10
         starting budget, henceforth referred to as proposals
     562 The system shall provide functionality for users to edit and track proposals while retaining           BU-10
         the initial value of the starting budget
     563 The system shall provide functionality for users to create proposals that simultaneously               BU-10
         impact multiple levels in the chart of accounts
     564 The system shall provide functionality for users to enter revenue estimates for each                   BU-10
         proposal

                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 34 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  FINANCIAL REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                  V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

     565 The system shall provide functionality for users to enter expenditure estimates for each           BU-10
         proposal
     566 The system shall provide functionality for users to create proposals that transfer budget          BU-10
         amounts between different levels in the chart of accounts (e.g., transferring budget between
         different programs)
     567 The system shall provide functionality for users to create multi-agency proposals that             BU-10
         simultaneously impact a number of agencies' budgets
     568 The system shall provide functionality for users to view a summary of the proposal and its         BU-10

         the cumulative effect when the proposal impacts multiple levels in the chart of accounts
     569 The system shall provide functionality to save at least 50 different iterations of a proposal      BU-10

     570 The system shall provide functionality for users to establish controls regarding who can           BU-10
         access the history or detail of the proposal
     571 The system shall provide functionality for users to create at least 50 different categories to     BU-10
         label or classify proposals including, but not limited to:
         - One-time vs. Recurring
         - Core vs. Supplemental
         - Administrative vs. Legislative
     572 The system shall provide functionality for users to edit the values in each category when a        BU-10
         new version of a proposal is created
     573 The system shall provide functionality to automatically pre-populate proposal categories with      BU-10
         the value assigned in the previous version of the proposal
     574 The system shall provide functionality to create reports based on proposal categories              BU-10

     575 The system shall provide functionality to automatically prevent proposals from being entered       BU-10
         into invalid levels in the chart of accounts
     576 The system shall provide functionality for users to create an unlimited number of proposals        BU-10
         each year
     577 The system shall provide functionality for users to create mass adjustment proposals that          BU-10
            simultaneously impact a specific element in the chart of accounts throughout the entire
         agency (e.g., 5% increase to utility costs in every program within the agency)
     578 The system shall provide functionality for multiple users to simultaneously enter different        BU-10
         proposals that impact the same level in the chart of accounts
     579 The system shall provide functionality to automatically prevent more than one user from            BU-10
         editing a proposal at the same time
     580 The system shall provide functionality for users to "turn on" and "turn off" proposals as a        BU-10

         means to determine which proposals are used to create a version of the budget
     581 The system shall provide functionality for users to link proposals together in a group so they     BU-10
         can be "turned on" or "turned off" simultaneously
     582 The system shall provide functionality for users to simultaneously update categories on            BU-10
         proposals that are linked together
     583 The system shall provide functionality to automatically combine the activated proposals with       BU-10
         the starting budget to create a new version of the budget
     584 The system shall provide functionality to exclude proposals that are "turned off" when             BU-10
         copying one version of a budget to another
     585 The system shall provide functionality for agency and control agency (DOB) users to                BU-10
         independently turn the same set of proposals "on" and "off" to create multiple different
         versions of the budget


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 35 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  FINANCIAL REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                 V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

     586 The system shall provide functionality to automatically display the status of the proposal         BU-10
         (e.g., turned on, turned off) and allow it to be viewed by users
     587 The system shall provide functionality to save proposals that are not included in the final        BU-10
         enacted budget and make them available in the subsequent year's budget preparation
         process
     588 The system shall provide functionality for users to save proposals that are not included in        BU-10
         the final budget
     589 The system shall provide functionality for users to delete proposals that are not included in      BU-10
         the final budget
     590 The system shall provide functionality for users to reopen deactivated proposals                   BU-10
     591 The system shall provide functionality for users to create and save at least 25 versions of        BU-10
            each agency's budget (e.g., multiple agency submission versions, multiple DOB versions,
            multiple executive recommendation versions, multiple legislative versions, multiple
         appropriation versions and multiple agency operating budget versions)
     592 The system shall provide functionality to simultaneously display at least 5 different versions     BU-10
         of an agency's budget on one screen
     593 The system shall provide functionality to apply access controls to each version of the             BU-10
         budget, including, but not limited to:
         - Marking as complete
         - Freezing
         - Unfreezing
         - Copying
         - Editing
     594 The system shall provide functionality to automatically save the original version of a budget      BU-10
         when a new version of the budget is created
     595 The system shall provide functionality to compare different versions of the budget and             BU-10
         calculate the difference between two versions
     596 The system shall provide functionality to identify the status of each version of the budget        BU-10
         (e.g., open, closed, submitted, under review, approved)
     597 The system shall provide functionality for users to define formulas, steps, and rules so that      BU-10
         the system can perform automatic data calculations
     598 The system shall provide functionality for users in different agencies to define different         BU-10
         formulas, steps, and rules to perform data calculations
     599 The system shall provide functionality for users to define steps and rules to calculate            BU-10
         projections including, but not limited to:
         - Fixed rate adjustments
         - Absolute dollar adjustments
         - Prior year expenditures
         - Grant match rates
     600 The system shall provide functionality for users to make calculations based on various             BU-10
         items, including, but not limited to:
         - Actual balances
         - Budgeted balances within a budget version
         - Non-financial/statistical information that is captured
     601 The system shall provide functionality for users to define and apply business rules to budget      BU-10
         documents or forms (e.g., amount in column x cannot exceed $100)
     602 The system shall provide functionality for users to calculate and post budget projections          BU-10
            using robust modeling tools including, but not limited to:
            - Multivariate analysis
            - What-if simulation


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 36 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    FINANCIAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     603 The system shall provide functionality for users in different agencies to define different           BU-10
         criteria to allocate budget overhead costs
     604 The system shall provide functionality for users to notify another user via email or workflow if     BU-10
         a resubmission of the budget request is necessary
     605 The system shall provide functionality for users to reopen submitted budget request                  BU-10
         documents for revision purposes
     606 The system shall provide functionality for users to update or revise and resubmit budget             BU-10
         request documents
     607 The system shall provide functionality for users to establish create, edit and view access           BU-10
         rights to a variety of budget data and related documentation including, but not limited to:
         - Proposals
         - Budget requests
         - Versions of the budgets
         - Establishment of appropriations
         - Establishment of reappropriations
         - Close out/save proposals
         - Release mechanism
         - Individual releases
         - Budget transfer requests
         - Spending plans
         - Spending limits
         - Budget reports
     608 The system shall provide functionality for users to undo and/or redo actions when                    BU-10
         creating/editing budget data
     609 The system shall provide functionality for users to open and close budget documents                  BU-10

     610 The system shall provide functionality to automatically notify users via email or a workflow         BU-10
         when a version of the budget is available to be edited
     611 The system shall provide functionality for users to close and lock budget documents                  BU-10
     612 The system shall provide functionality to automatically notify users via email or workflow           BU-10
         when a budget document is locked and can no longer be edited
     613 The system shall provide functionality to display an error message and restrict edits if a user      BU-10
         tries to edit a locked version of the budget
     614 The system shall provide functionality for users to open, close, and lock a variety of budget        BU-10
         documents and related functionality including, but not limited to:
         - Proposals
         - Budget requests
         - Versions of the budgets
         - Establishment of appropriations
         - Establishment of reappropriations
         - Close out/save proposals
         - Release mechanism
         - Individual releases
         - Budget transfer requests
         - Spending plans
         - Spending limits
         - Budget reports
     615 The system shall provide functionality for a restricted workspace for users to conduct               BU-10
         informal budget analysis. This informal analysis shall not be included in any formal budget
         development documents


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 37 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    FINANCIAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     616 The system shall provide functionality for users to create a calendar for the budget process         BU-10
         and link tasks to the calendar
     617 The system shall provide functionality for users in different agencies to create different           BU-10
         budget calendars and link different tasks to the calendar
     618 The system shall provide functionality to automatically notify users via email or workflow           BU-10
         when a budget calendar is established
     619 The system shall provide functionality for users to edit the budget calendar throughout the          BU-10
         year
     620 The system shall provide functionality to automatically notify users via email or workflow           BU-10
         when a budget calendar is modified
     621 The system shall provide functionality for users to apply calendar functionality to a variety of     BU-10
         tasks including, but not limited to:
         - Proposals
         - Budget requests
         - Versions of the budgets
         - Establishment of appropriations
         - Establishment of reappropriations
         - Close out/save proposals
         - Release mechanism
         - Individual releases
         - Budget transfer requests
         - Spending plans
         - Spending limits
         - Budget reports
     622 The system shall provide functionality for users to establish a budget cycle and events              BU-10
         within a budget cycle
     623 The system shall provide functionality for users to make changes to a budget cycle and               BU-10
         events including, at a minimum, names, length, adding or deleting events, and activating or
         inactivating events.
     624 The system shall provide functionality for users to enter and track financial plan estimates         BU-10
         for a minimum of 6 state fiscal years
     625 The system shall provide functionality for users to add fiscal years for each event within a         BU-10
         budget cycle
     626 The system shall provide functionality for users to reorganize the hierarchy of the previous         BU-30
         year’s actual and budgeted financial information
     627 The system shall provide functionality for users to download detailed financial data to              BU-30
         external systems
     628 The system shall provide functionality for users to enter the fiscal year of the initial             BU-40
         appropriation and track that designation when the appropriation is extended for additional
         fiscal years
     629 The system shall provide functionality for users to set the effective date for each                  BU-40
         appropriation (i.e. start and end dates)
     630 The system shall provide functionality to establish each appropriation as a separate item            BU-40

     631 The system shall provide functionality for users to indicate that a version of the budget was        BU-40
         enacted
     632 The system shall provide functionality for users to indicate which appropriations in the             BU-40

         enacted budget are finalized and which are not finalized (e.g., subject to line-item veto)
     633 The system shall provide functionality to automatically transfer individual, finalized               BU-40
         appropriations from a budget preparation module into a budget control module


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 38 of 111
                                                                                                                               New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                          FINANCIAL REQUIREMENTS

                                                                                                                    III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                    II. Requirement Description                                                                                        V. Comment/Explanation               VII. Where in Software
                                                                                                                  Process ID     Compliance                                              of Effort                                       Reference

     634 The system shall provide functionality for users to manually transfer individual                           BU-40
         appropriations from a budget preparation module into a budget control module
     635 The system shall provide functionality for users to identify calendar functionality to all non-            BU-40
            finalized appropriations. If, after a period of time (e.g., 10 day limit for appropriations subject
            to line item veto) no action has been taken, the appropriation will automatically be
         transferred from the budget preparation module to the budget control module
     636 The system shall provide functionality to make appropriations remain available for two or                  BU-40
         more fiscal years
     637 The system shall provide functionality for users to create and identify interim appropriations             BU-40
         (i.e. emergency appropriations)
     638 The system shall provide functionality for users to reallocate spending entered against an                 BU-40
         interim appropriation and apply it to a final enacted appropriation
     639 The system shall provide functionality to extend the effective period of an appropriation                  BU-50
            beyond one fiscal year. The months beyond the original fiscal year, during which the
            appropriation is still effective, are henceforth referred to as the carryover period. Users are
            allowed to continue to post the previous year's expenditures and current year's
         disbursements during the carryover period and enter them against the appropriation
     640 The system shall provide functionality for users to define different carryover periods for each            BU-50
         appropriation
     641 The system shall provide functionality to keep appropriations that remain open during the                  BU-50
         carryover period to be saved as separate items and not be combined with new
         appropriations
     642 The system shall provide functionality to automatically lapse available budget at the end of               BU-50
         the carryover period
     643 The system shall provide functionality to automatically close an appropriation at the end of a             BU-50
         carryover period and prevent any additional transactions from being posted against the
         appropriation
     644 The system shall provide functionality to display the final lapsed balance after an                        BU-50
         appropriation expires
     645 The system shall provide functionality for users to reopen expired appropriations                          BU-50
     646 The system shall provide functionality for users to identify appropriations that shall be                  BU-50
         extended for an additional fiscal year
     647 The system shall provide functionality for users to edit the expiration date associated with               BU-50
         each appropriation in order to extend it for an additional fiscal year
     648 The system shall provide functionality for users to simultaneously edit the expiration dates               BU-50
         on a number of appropriations
     649 The system shall provide functionality to save appropriations that are extended for an                     BU-50

         additional fiscal year as a separate item and not be combined with new appropriations
     650 The system shall provide functionality to use the same hierarchical coding structure for                   BU-50
         appropriations that are extended for an additional fiscal year as was used in the previous
         fiscal year
     651 The system shall provide functionality to reorganize and use a new hierarchical coding                     BU-50
         structure for appropriations that are extended for an additional fiscal year
     652 The system shall provide functionality for users to enter current year encumbrances,                       BU-50
         expenditures and disbursements against appropriations that have been extended for
         additional fiscal years
     653 The system shall provide functionality to display all budget and transaction history over the              BU-50

            course of all fiscal years when an appropriation is extended for additional fiscal years

                                                                                                                                        9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 39 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    FINANCIAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     654 The system shall provide functionality for users to access all budget and transaction history        BU-50
         over the course of all fiscal years when an appropriation is extended for additional fiscal
         years
     655 The system shall provide functionality for users to approve individual portions of an                BU-50
         appropriation and make that amount available to spend, henceforth referred to as an
         allotment
     656 The system shall provide functionality to control spending against an appropriation through a        BU-50

         structured allotment of available funds, referred to henceforth as a release mechanism
     657 The system shall provide functionality for users to define the number of structured                  BU-50
         allotments used to allocate each appropriation
     658 The system shall provide functionality to populate the amount included in each allotment             BU-50
         based on a percentage of the appropriation's total value
     659 The system shall provide functionality for users to link the release of individual appropriation     BU-50

         allotments to specific calendar dates, henceforth referred to as an allotment schedule
     660 The system shall provide functionality for users to create multiple types of release                 BU-50
         mechanisms, including allowing users to establish mechanisms with different numbers of
         structured allotments throughout the year (e.g., one appropriation is allocated in three
         allotments while another is allocated in four allotments)
     661 The system shall provide functionality for users to create multiple types of release                 BU-50
            mechanisms, including allowing users to establish mechanisms that use different
            percentages to populate the amounts included in each allotment (e.g., an appropriation with
         three allotments is divided up 33%-33%-33% while another is divided up 50%-25%-25%)
     662 The system shall provide functionality for users to save multiple types or templates of              BU-50
         release mechanisms
     663 The system shall provide functionality for users to simultaneously use multiple types of             BU-50
         release mechanisms in one agency
     664 The system shall provide functionality for users to simultaneously use multiple types of             BU-50
         release mechanisms in different agencies
     665 The system shall provide functionality for users to link specific appropriations with a specific     BU-50
         type or template of release mechanism
     666 The system shall provide functionality to automatically confirm that the sum of the individual       BU-50

         allotments in the release mechanism equals the total value of the appropriation
     667 The system shall provide functionality for users to define the percentages used to populate          BU-50
         the allotments in the release mechanism
     668 The system shall provide functionality for users in different agencies to use different              BU-50
         percentages to populate the allotments in the release mechanism
     669 The system shall provide functionality for users to prompt the system to duplicate the               BU-50
         percentages used in the previous year's release mechanism and apply those percentages to
         the current year's release mechanism
     670 The system shall provide functionality for users to manually edit the amount in each                 BU-50
         individual allotment
     671 The system shall provide functionality for users to approve individual allotments at any time        BU-50
         throughout the year
     672 The system shall provide functionality to automatically add, upon approval, the amount of            BU-50
         the allotment to the available spending balance (i.e. uncommitted balance) for the individual
         appropriation
     673 The system shall provide functionality to automatically notify users via email or workflow           BU-50
         when an allotment has been approved and released

                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 40 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   FINANCIAL REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     674 The system shall provide functionality to automatically notify users via email or workflow          BU-50
         when the amount of the appropriation in each individual allotment is altered
     675 The system shall provide functionality for users to turn off the release mechanism when it is       BU-50
         not necessary
     676 The system shall provide functionality for users to adjust the budget within an individual          BU-50
         appropriation in a single agency
     677 The system shall provide functionality for users to adjust the budget within an individual          BU-50
         appropriation at any level in the chart of accounts
     678 The system shall provide functionality for users to transfer appropriation authority from one       BU-50
         appropriation to another within the same agency
     679 The system shall provide functionality for users to transfer appropriation authority from one       BU-50

         appropriation to another within the same agency at any level in the chart of accounts
     680 The system shall provide functionality for users to transfer appropriation authority from one       BU-50
         appropriation to another appropriation in a different agency
     681 The system shall provide functionality for users to transfer appropriation authority from one       BU-50

         appropriation to another in a different agency at any level in the chart of accounts
     682 The system shall provide functionality for users to establish a new appropriation when              BU-50
         appropriation authority is transferred
     683 The system shall provide functionality for users to combine a transferred appropriation with        BU-50

         an existing appropriation when appropriation authority is transferred
     684 The system shall provide functionality for users to establish a threshold, based on the total       BU-50
         value of the appropriation, for the amount of the appropriation that can be transferred from
         one appropriation to another
     685 The system shall provide functionality for users to define approval criteria when                   BU-50
         appropriation authority is transferred between agencies
     686 The system shall provide functionality to enter the key information when appropriation              BU-50
         authority is transferred including, but not limited to:
         - Appropriation amount
         - Agency(s)/program(s) involved
         - Comments/narrative description
     687 The system shall provide functionality to automatically complete an "availability check" to         BU-50
         ensure that appropriation, allotments, and spending limits are available at the necessary
         levels in the chart of accounts before allowing a financial transaction to occur, and alert the
         user if the transaction fails any of the availability checks
     688 The system shall provide functionality to automatically alert users when a transaction cannot       BU-50
         be processed because the liability and/or transaction dates do not correspond with an
         appropriation's effective date (the period between when an appropriation is available and
         when it expires)
     689 The system shall provide functionality for users to set "hard" spending limits that create a        BU-60
            threshold of allowable spending. If a financial transaction or resulting balance exceeds the
         amount of the threshold, the system does not allow the transaction to be processed
     690 The system shall provide functionality for users to set "warnings" for allowable spending. If       BU-60
         a financial transaction or resulting balance exceeds the amount of a threshold, the system
         alerts the user that the transaction exceeds the threshold, but allows the transaction to be
         processed




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 41 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     FINANCIAL REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     691 The system shall provide functionality for users to set "tolerance" spending limits. These            BU-60
            limits set a threshold and a lenience of allowable spending (e.g., $500 ±10%). If a financial
            transaction or resulting balance exceeds the amount of the threshold, but is less than the
            amount of the lenience (e.g., $525), the system alerts the user, but allows the transaction to
            be processed. If the transaction or resulting balance exceeds the threshold and the
         lenience (e.g.,$575), the system does not allow the transaction to be processed
     692 The system shall provide functionality for users to establish spending limits (e.g., hard             BU-60
         control, tolerance, warning) to control the amount of expenditures (e.g., pre-encumbrances,
         encumbrances, and expenditures) that can be spent
     693 The system shall provide functionality for users to establish spending limits (e.g., hard             BU-60

         control, tolerance, warning) to control the amount of disbursements that can be spent
     694 The system shall provide functionality for users to simultaneously establish both expenditure-        BU-60

         based and disbursement-based spending limits (e.g., hard control, tolerance, warning)
     695 The system shall provide functionality for users in different agencies to create different types      BU-60

         of spending limits (e.g., hard, tolerance, warning) at any level in the chart of accounts
     696 The system shall provide functionality for users to establish periodic (e.g., annual, quarterly,      BU-60
         monthly) spending limits (e.g., hard control, tolerance, warning)
     697 The system shall provide functionality for users to set access controls so specified users            BU-60
         can override spending limits (e.g., hard control, tolerance, warning)
     698 The system shall provide functionality for users to edit spending limits (e.g., hard control,         BU-60
         tolerance, warning) throughout the fiscal year
     699 The system shall provide functionality to automatically notify users via email or workflow            BU-60

         when the spending limits (e.g., hard control, tolerance, warning) have been altered
     700 The system shall provide functionality for users to load and save expenditure-based                   BU-60
         spending projections at any level in the chart of accounts
     701 The system shall provide functionality for users to load and save expenditure-based                   BU-60
         spending projections for different time periods including, but not limited to:
         - Annually
         - Quarterly
         - Monthly
     702 The system shall provide functionality for users to load and save multiple versions of the            BU-60
         expenditure-based spending projections
     703 The system shall provide functionality for users in different agencies to create and save             BU-60

         expenditure-based spending projections at different levels in the chart of accounts
     704 The system shall provide functionality for users to load and save disbursement-based                  BU-60
         spending projections at any level in the chart of accounts
     705 The system shall provide functionality for users to load and save disbursement-based                  BU-60
         spending projections for different time periods including, but not limited to:
         - Annually
         - Quarterly
         - Monthly
     706 The system shall provide functionality for users to load and save multiple versions of the            BU-60
         disbursement-based spending projections
     707 The system shall provide functionality for users in different agencies to create and save             BU-60

            disbursement-based spending projections at different levels in the chart of accounts

                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 42 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    FINANCIAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     708 The system shall provide functionality for users to simultaneously load and save both                BU-60
         expenditure-based and disbursement-based spending projections
     709 The system shall provide functionality for users to create disbursement-based spending               BU-60
         projections based on the expenditure-based spending projections using customized
         business rules
     710 The system shall provide functionality to display the total value of each appropriation              BU-80
     711 The system shall provide functionality to display the amount of appropriation that is                BU-80
         available, based on summation of authorized allotments, henceforth referred to as the
         available funds balance
     712 The system shall provide functionality to display the life-to-date, year-to-date and period-to-      BU-80
         date available funds balance
     713 The system shall provide functionality to display the remaining spending authority for each          BU-80
            appropriation, henceforth referred to as the uncommitted funds balance. This balance is the
         available funds balance less expenditures, encumbrances and pre-encumbrances
     714 The system shall provide functionality to display the amount of outstanding year-to-date             BU-80
         encumbrances recorded at each level in the data classification structure
     715 The system shall provide functionality to display the amount of year-to-date expenditures            BU-80
         recorded at each level in the chart of accounts
     716 The system shall provide functionality to display the amount of year-to-date disbursements           BU-80
         recorded at each level in the chart of accounts
     717 The system shall display the amount of outstanding life-to-date encumbrances recorded at             BU-80

         each level in the chart of accounts when appropriations span multiple fiscal years
     718 The system shall provide functionality to display the amount of life-to-date expenditures            BU-80
         recorded at each level in the chart of accounts when appropriations span multiple fiscal
         years
     719 The system shall provide functionality to display the amount of life-to-date disbursements           BU-80
         recorded at each level in the chart of accounts when appropriations span multiple fiscal
         years
     720 The system shall provide functionality for users to "drill down" to the lowest level to identify     BU-80
         the transactions that comprise the encumbrance balance
     721 The system shall provide functionality for users to "drill down" to the lowest level to identify     BU-80
         all the transactions that comprise the expenditure balance
     722 The system shall provide functionality for users to "drill down" to the lowest level to identify     BU-80
         all the transactions that comprise the disbursement balance
     723 The system shall provide functionality for users to set a calendar function that automatically       BU-80
         notifies the user, via email or workflow at a pre-determined time before the end of the fiscal
         year, of the amount of uncommitted funds available
     724 The system shall provide functionality to automatically notify users when the uncommitted            BU-80
         funds balance is less than a specified percent of the spending limit
     725 The system shall provide functionality to automatically notify users when the expenditure            BU-80
         balance is more than a specified percent of the spending limit
     726 The system shall provide functionality to automatically notify users when the disbursement           BU-80
         balance is more than a specified percent of the spending limit
     727 The system shall provide functionality for users to create reports using budgeted amounts            BU-80
         as the basis for reporting
     728 The system shall provide functionality for users to create reports using spending projections,       BU-80
         expenditure-based and disbursement-based, as the basis for reporting
     729 The system shall provide functionality for users to create reports using performance                 BU-80
         measures and performance data as the basis for reporting


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 43 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    FINANCIAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     730 The system shall provide functionality for users to archive financial data (i.e. actual,             BU-80
         statistical, budget, etc.), without irrevocably condensing or summarizing any level of detail
         for a specified period of time
     731 The system shall provide functionality for users to condense or summarize budget data                BU-80

     732 The system shall provide functionality for users to condense or summarize budget data                BU-80
         including, but not limited to:
         - Proposals
         - Version of the budget
         - Close out/retention of proposals
         - Release mechanisms
         - Budget transfers
         - Spending plans
     733 The system shall provide functionality for users to selectively condense or summarize                BU-80
         financial data (i.e. actual, statistical, budget, etc.)
     734 The system shall provide functionality for users to access archived financial data (i.e. actual,     BU-80
         statistical, budget, etc.)
     735 The system shall provide functionality for users to save electronic copies of all budget             BU-80
         documents and attachments for audit purposes
     736 The system shall provide functionality to track adjustments to budget data including, but not        BU-80
         limited to:
         - Time stamp indicating when the change was made
         - User ID of the person who made the change
         - Field altered
         - Value in the field before it was altered
         - Value in the field after it was altered
     737 The system shall provide functionality for users to configure additional fields of at least 500      BU-80
         characters to capture comments/narrative for each of the following, including but not limited
         to:
         - Proposals
         - Budget requests
         - Versions of the budgets
         - Establishment of appropriations
         - Establishment of reappropriations
         - Close out/save proposals
         - Release mechanism
         - Individual releases
         - Budget transfer requests
         - Spending plans
         - Spending limits
         - Budget reports
     738 The system shall provide functionality for users to define the budgetary control period at a         BU-80
         global level including, but not limited to:
         - Annual
         - Quarterly
         - Monthly
     739 The system shall provide functionality for users to globally close and open periods                  BU-80
     740 The system shall provide functionality for users to permanently close the period                     BU-80
     741 The system shall provide functionality to support a statewide chart of accounts to replace           COA
         the charts of accounts currently in place in existing New York State agency financial
         systems


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 44 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  FINANCIAL REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

     742 The system shall provide functionality to accommodate a statewide chart of accounts that is        COA
         in alignment between NYFMS and the Office of the State Comptroller's new Central
         Accounting System (new CAS) (i.e. the NYFMS COA "rolls up" to the new CAS COA such
         that there is one statewide chart of accounts, with NYFMS carrying a greater level of detail
         than the new CAS)
     743 The system shall provide functionality to accommodate agency-level needs in the chart of           COA
         accounts by providing several data elements for use at the agency level, including
         accommodating the ability for agencies to assign and define data elements. These data
         elements will "roll-up" to the statewide chart of accounts
     744 The system shall provide functionality to accommodate statewide definitions for data               COA

         elements in the chart of accounts (i.e., Program should have a single, statewide definition)
     745 The system shall provide functionality to implement and monitor statewide governance rules         COA
         related to the chart of accounts
     746 The system shall provide functionality to accommodate a hierarchical chart of accounts,            COA
         such that each level is a summary of the level directly beneath it
     747 The system shall provide functionality to accommodate a scalable chart of accounts,                COA
         allowing for future expansion
     748 The system shall provide the following functionality for chart of accounts data elements, at a     COA
         minimum:
         - Required/non-required
         - Add data elements in active and non-active state
         - Delete data elements
         - Activate/non-activate/re-activate based on effective dating
         - Re-label
         - Re-name
         - Change length
         - Change display length
     749 The system shall provide functionality to accommodate making changes to the chart of               COA
         accounts
     750 The system shall provide functionality to accommodate tracking changes made to the chart           COA
         of accounts
     751 The system shall provide functionality for sorting of the chart of accounts                        COA
     752 The system shall provide functionality to accommodate a chart of accounts that supports            COA

         Federal laws and regulations (e.g. Federal Drawdown and Reimbursement regulations)
     753 The system shall provide functionality to accommodate changes to the chart of accounts             COA
         due to changes in State Law
     754 The system shall provide functionality to accommodate changes to the chart of accounts             COA
         due to changes in Federal Law
     755 The system shall provide functionality to accommodate changes to the chart of accounts             COA
         due to regulatory changes
     756 The system shall provide functionality to accommodate the mapping of historical chart of           COA
         accounts data
     757 The system shall provide functionality to accommodate the mapping of active chart of               COA
         accounts data
     758 The system shall provide the ability for users to group chart of accounts data elements            COA

         through user-defined categories to support agency-specific and statewide requirements
     759 The system shall provide functionality to accommodate the grouping of data elements in the         COA
         chart of accounts into multiple reporting hierarchies


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 45 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  FINANCIAL REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                  V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

     760 The system shall provide functionality for the users to perform inquiries of the chart of          COA
         accounts on screen that is specific to their own agency
     761 The system shall provide functionality to access, track, and report on any level of detail         COA
         within the chart of accounts, including, but not limited to, the following data elements:
         - Organization
         - Fund
         - Program
         - Project
         - Object
     762 The system shall provide functionality to accommodate statewide numbering of chart of              COA
         accounts data elements
     763 The system shall provide functionality to accommodate dynamic organization structures at           COA

         the State agency level, including tracking organization changes for a specified period of time
     764 The system shall provide functionality to accommodate changes in organization structures           COA
         without recasting historical financial information, while providing a clear cross-walk from
         history to active data
     765 The system shall provide functionality to recast historical financial data relating to             COA
         organization structure changes
     766 The system shall provide functionality to copy accounts from one organization unit to              COA
         another to facilitate chart of accounts maintenance
     767 The system shall provide functionality to accommodate at least twenty levels of structure for      COA
         each chart of accounts data element
     768 The system shall provide functionality for filtering of the chart of accounts                      COA
     769 The system shall provide functionality to accommodate a chart of accounts that satisfies           COA
         GAAP, GASB, statewide and agency reporting requirements and Governmental Accounting,
         Auditing, and Financial Reporting (GAAFR) or other external requirements, at both the
         agency and statewide levels
     770 The system shall provide functionality to accommodate a chart of accounts that satisfies the       COA
         State's appropriation, agency, grant, contract, activity and capital project budgeting
         requirements
     771 The system shall provide functionality to accommodate filtering the chart of accounts to           COA
         display chart of accounts data elements appropriate by agency
     772 The system shall provide functionality to accommodate a chart of accounts that supports            COA
         New York State laws and regulations (e.g. State Finance law)
     773 The system shall provide functionality to give system users an option to indicate whether to       COA
         recast historical data after an organization change
     774 The system shall provide functionality to accommodate groupings of chart of accounts data          COA
            elements based on pre-defined characteristics inherent to the chart of accounts data
            elements, such that these groupings are performed automatically, without user intervention
         (i.e. funds belong to a certain fund-group based on the fund number)
     775 The system shall provide functionality to allow comparable levels in any element in the chart      COA
         of accounts structure to have different names across agencies
     776 The system shall provide functionality to accommodate entering a short description for each        COA
         chart of accounts data element
     777 The system shall provide functionality to accommodate entering a long description (at least        COA
         30 characters) for each chart of accounts data element
     778 The system shall provide functionality to accommodate notifying users when a requested             COA
         update has been made to the chart of accounts


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 46 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   FINANCIAL REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     779 The system shall provide functionality to accommodate limiting visibility of selected chart of      COA

         accounts data elements by a user's role or responsibility throughout the application
     780 The system shall provide functionality to accommodate permitting segments of the chart of           COA

         accounts to be grouped on a user-defined basis into multiple reporting hierarchies
     781 The system shall provide functionality to maintain a history of statistical balances across the     COA
         chart of accounts
     782 The system shall provide functionality to permit cross-validation rules across all elements of      COA
         the chart of accounts
     783 The system shall provide functionality to automatically reconcile and adjust reports to reflect     COA
         modifications to the COA structure
     784 The system shall provide functionality to automatically reconcile and adjust hierarchical or        COA

         roll-up structures when changes are made to COA elements at different levels
     785 The system shall provide functionality to automatically reconcile bank activity entered in the      GL-10

         system with bank transactions received from the State’s bank accounts
     786 The system shall provide functionality to accommodate multiple banks and bank accounts in           GL-10
         the automated bank reconciliation processes
     787 The system shall provide functionality for a manual and automatic reconciliation process of         GL-10
         bank activity that can be used at the user’s discretion
     788 The system shall provide functionality for users to make corrections during the reconciliation      GL-10
         process
     789 The system shall provide functionality to automatically receive and store electronic deposit        GL-10
         information in various formats
     790 The system shall provide functionality for users to manually enter deposit transactions             GL-10
         originating from, but not limited to:
         - Wire transfers
         - ACH deposits
         - Over-the-counter deposits by agencies
     791 The system shall provide functionality for users to manually input, adjust, or reverse the          GL-10
         applicable transactions including, but not limited to:
         - Bank deposits
         - Bank debit memorandums
         - Credit adjustments
         - Debit adjustments
         - Interest earned
     792 The system shall provide functionality to automatically adjust cash held in an agency's fund        GL-10
         ledger and the associated revenue for each returned check
     793 The system shall provide functionality to automatically update the general ledger with              GL-10
         contract transactions/information
     794 The system shall provide functionality for users to manually and/or automatically enter             GL-10
         encumbrances and pre-encumbrances
     795 The system shall provide functionality to alert agencies that funds encumbered have not             GL-10
         been disbursed by a pre-determined date
     796 The system shall provide functionality to support fund accounting and accounting standards          GL-10
         that meet GAAP and GASB standards




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 47 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    FINANCIAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     797 The system shall provide functionality to define accounting rules such that both full accrual        GL-10
         and modified accrual postings are captured for Governmental Funds (in support of GAAP
         and GASB fund and entity financial reporting), as well as a cash basis (for budgetary
         reporting) for the following items including, but not limited to:
         - Fixed assets
         - Capital leases
         - Loans receivable and payable
         - Investments
         - Long term debt
         - Advances
         - AR and AP
         - Compensated absences out of human resources/accounting
     798 The system shall provide functionality to support an unlimited number of subsidiary ledgers          GL-10
         including statistical and financial ledgers
     799 The system shall provide functionality that supports a centralized ledger for each fund              GL-10

     800 The system shall provide functionality to simultaneously support the following bases of              GL-10
         accounting for appropriate fund types including, but not limited to:
         - Cash basis
         - Accrual basis
         - Modified accrual basis
     801 The system shall provide functionality to support multi-fund accounting with the capacity to         GL-10
         segregate funds by type and by regulatory requirements
     802 The system shall provide functionality to ensure that each fund is always in balance by              GL-10
         automatically treating funds as a self-balancing sets of accounts
     803 The system shall provide functionality to automatically create due to/due from entries to            GL-10
         balance transaction entries by fund based on pre-defined rules
     804 The system shall provide functionality to create a journal entry                                     GL-10
     805 The system shall provide functionality for the user to set-up standard journal entry templates       GL-10
         that can be recycled to enable the creation of like kind entries
     806 The system shall provide functionality to generate a unique journal ID for each journal entry        GL-10
         transaction and transaction line entered
     807 The system shall provide functionality to define multiple types of journal entries to handle         GL-10
         multiple transaction types including, but not limited to:
         - Manual
         - Recurring
         - Interfaced
     808 The system shall provide functionality to reverse manual, recurring, and interfaced journal          GL-10
         entries
     809 The system shall provide functionality to create unique journal entry types to be identified         GL-10
            with each journal entry created within the system. Unique journal entry types will be used as
         a means to easily identify the purpose of the entry, the originating source, and its contents
     810 The system shall provide functionality to store valid journal types in a repository                  GL-10
     811 The system shall provide functionality for a user to edit the accounting distribution from the       GL-10
         default distribution for interfaced journal entries
     812 The system shall provide functionality to post transactions from integrated functional               GL-10
         processes to the general ledger interactively (near-real time)
     813 The system shall provide functionality for users to enter audit adjustments                          GL-10
     814 The system shall provide functionality for users to enter adjustments that automatically             GL-10
         generate subsequent general ledger postings, such as a reversal of a journal entry in a
         future period

                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 48 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   FINANCIAL REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     815 The system shall provide functionality to generate recurring journal entries on a schedule          GL-10
         (e.g., monthly, quarterly, annually) so users may edit or approve journal entries prior to
         posting
     816 The system shall provide functionality to process standard/recurring journal entries of fixed       GL-10
         and variable amounts that are posted at scheduled intervals
     817 The system shall provide functionality for users to modify a recurring journal entry at the         GL-10
         header and line levels
     818 The system shall provide functionality to reverse journal entries with user control over the        GL-10
         period in which the reversal occurs
     819 The system shall provide functionality to establish accruals (e.g., payroll) on a monthly basis     GL-10

     820 The system shall provide functionality to automatically reverse accrual transactions in either      GL-10
         the period immediately following the fiscal month to which the transactions are posted or the
         current period
     821 The system shall provide functionality for users to add comments to pending transactions or         GL-10
         documents
     822 The system shall provide functionality to automate reconciliation controls between general          GL-10
         ledger and sub-ledger balances
     823 The system shall provide functionality to post to multiple state fiscal years                       GL-10
     824 The system shall provide functionality to generate a set of comprehensive annual financial          GL-10
         reports compliant with GAAP and GASB requirements
     825 The system shall provide functionality to identify goods or services received in the prior year     GL-10
         that were paid for in the current year
     826 The system shall provide functionality for the user to create and use separate concentration        GL-10
         funds to document cash receipts, cash holdings, and cash disbursements within a single
         checking/banking account
     827 The system shall provide functionality for the user to retrieve data in order to reverse or         GL-10
         make adjustments, based on search criteria (e.g., batch number, batch and group identifier,
         receipt, debit memo identifier)
     828 The system shall provide functionality to assign approval routes to journal entry transactions      GL-10

     829 The system shall provide functionality for users to review saved journal entries prior to           GL-10
         posting
     830 The system shall provide functionality for users to account for inter-fund transfers of cash        GL-10
         properly in accordance with GAAP and GASB standards
     831 The system shall provide functionality for sending or receiving users to enter transactions on      GL-10
         behalf of other agency users
     832 The system shall provide functionality to create approval routes for inter-fund or inter-           GL-10
         agency
     833 The system shall provide functionality for users to enter transfers between funds (operating        GL-10
         transfer, expenditure to expenditure, and revenue to revenue), both within an agency (intra-
         agency transfers) and between agencies (inter-agency transfers)
     834 The system shall provide functionality for users to suspend intra-agency transfers that allow       GL-10
         the receiving agency to review and approve the transaction/document/business event prior
         to posting
     835 The system shall provide functionality to automatically enter due to and offset due from            GL-10
            entries in both funds (using appropriate compatible budget category and general ledger
         codes) when an intra-fund journal transfer is processed (including expenditure corrections)
     836 The system shall provide functionality to automatically balance inter-fund and inter-agency         GL-10
         transactions


                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 49 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 FINANCIAL REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

     837 The system shall provide functionality to track due to and due from balances by both              GL-10
         financial fund and agency and the participating fund and agency
     838 The system shall provide functionality to flag inter-agency transactions awaiting completion      GL-10

     839 The system shall provide functionality for users to manually flag disputed inter-agency           GL-10
         transactions
     840 The system shall provide functionality for users to provide a description of inter-agency         GL-10
         transaction disputes
     841 The system shall provide functionality for users to reference an encumbrance on an inter-         GL-10
         agency transaction
     842 The system shall provide functionality to accommodate the partial completion of an inter-         GL-10
         agency transaction (e.g., post/save an unbalanced journal entry transaction)
     843 The system shall provide functionality to prevent the receiving agency from changing the          GL-10

         sending agency's coding and dollar amount on an inter-agency or inter-fund transaction
     844 The system shall provide a template with multiple lines to enter journal entry data on inter-     GL-10
         agency transactions per agency for spending and receiving agencies
     845 The system shall provide functionality for users to manually and the system to automatically      GL-10
         eliminate inter-fund or inter-agency transactions
     846 The system shall provide functionality for users to create current journal entries during the     GL-10
         period closing cycle until the period is closed
     847 The system shall provide functionality for users to run multiple, preliminary, period-end         GL-10
         (including year-end) closing reports, and review the results
     848 The system shall provide functionality to prevent transactions/documents from posting into a      GL-10
         closed period (e.g month or year)
     849 The system shall provide functionality to post transactions into a past or future period (e.g     GL-10
         month or year), as long as the period is open
     850 The system shall provide functionality to process transactions/documents according to a           GL-10
         specified date, not the actual current date or computer date
     851 The system shall provide functionality to permit prior year adjustments to be entered in the      GL-10
         current fiscal year and reported as a prior year adjustment for financial reporting and
         entered as a current year adjustment for budgetary purposes
     852 The system shall provide functionality for users to access the current period information         GL-10
         during the previous period's close (e.g., no restrictions on January while December is being
         closed)
     853 The system shall provide functionality to run multiple periods and fiscal years concurrently,     GL-10
         and allow users to enter transactions, based on effective dates, in any periods that have not
         been closed
     854 The system shall provide functionality to automate fiscal year-end close processes (e.g.,         GL-10

         close nominal accounts to fund balance or fund equity, roll real accounts forward)
     855 The system shall provide functionality to "soft close" a fiscal year end to prevent State         GL-10
         agencies from posting in the prior fiscal year after a designated date
     856 The system shall provide functionality to re-open a prior fiscal year after a "soft close" to     GL-10
         adjust entries made by State agencies before the fiscal year hard close. (i.e. agencies
         typically make adjusting entries at a high level and then need to break those entries down to
         the most detailed level of the chart of accounts structure before a hard close is performed
         for the fiscal year)
     857 The system shall provide functionality to maintain open and closed periods for other              GL-10
         modules (e.g., AR, AP, fixed assets, project, grants) independent from the general ledger
         module


                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 50 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   FINANCIAL REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     858 The system shall provide functionality to accommodate special periods (outside the normal           GL-10
         fiscal periods) for year-end processing and other audit adjustments
     859 The system shall provide functionality to allow flexible controls for posting transactions          GL-10
         during the period closing cycle (e.g., date, functional area, and users)
     860 The system shall provide functionality to impose posting controls over each integrated              GL-10

         functional area, prohibiting the posting of additional entries during a "soft" close
     861 The system shall provide functionality to allow multiple preliminary year-end closings to           GL-10
         occur while maintaining the ability to post data to current and prior periods
     862 The system shall provide functionality to perform an automated year-end rollover of selected        GL-10
         financial information into the new fiscal year
     863 The system shall provide functionality to prevent interferences with the processing of current      GL-10
         year transactions during the year-end closing process
     864 The system shall provide functionality to report revenue and expenditure activity on a cash         GL-10
            basis (budgetary compliance and reporting) and accrual basis within the same fund, and
            shall provide reconciling transaction reports as needed, including the transactions that may
         end up in different fiscal years based on the method of reporting
     865 The system shall provide functionality for users to trace summarized transactions in the            GL-10
         general ledger back to detail source documents in other system modules or subsystems. If
         the information must be retrieved from these modules or subsystems, it should be
         transparent to users
     866 The system shall provide functionality for users to define standard general ledger inquiries        GL-10
         with parameter options
     867 The system shall provide functionality for users to perform drill-downs within the system           GL-10

         from the general ledger summary balance to the original source document(s)
     868 The system shall provide functionality to include statistical data as well as financial data        GL-10
         (e.g., gallons of fuel, square footage) on standard inquiry reports
     869 The system shall provide functionality to generate monthly bank statements based upon               GL-10
         individual agency account activity
     870 The system shall provide functionality to edit or validate transactions/documents against           GL-10
         available cash balance
     871 The system shall provide functionality to identify lapse dates by appropriation                     GL-10
     872 The system shall provide functionality for users to identify specific transactions that are         GL-10
         exempt from appropriation budget and/or cash edits/validation
     873 The system shall provide functionality for users to suspend or hold transactions                    GL-10
     874 The system shall provide functionality to validate the account number field in general entry        GL-10
         transactions prior to posting
     875 The system shall provide functionality for users to edit transactions in order to ensure that       GL-10
         each entry to a fund is complete based on specified fields
     876 The system shall provide functionality to ensure that journal entries are in balance prior to       GL-10
         posting
     877 The system shall provide functionality for users to define and maintain standard rules that         GL-10
         control general ledger account postings for all accounting events across integrated
         functional areas (e.g., AP and Purchasing)
     878 The system shall provide functionality to develop routines, reports, and inquiries that             GL-10
         compare subsidiary ledger balances (e.g., any integrated functional area) with the
         respective general ledger balance for integrity controls
     879 The system shall provide functionality to prevent the creation or processing of all duplicate       GL-10
         transactions with system controls


                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 51 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     FINANCIAL REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     880 The system shall provide the ability to produce a trial balance by fund to obtain a running           GL-10
         total of debits and credits
     881 The system shall provide functionality for subsidiary ledgers for balance sheet accounts.             GL-10
         The subsidiary ledgers must generate reports of open transactions that accumulate to the
         balance sheet account totals
     882 The system shall provide functionality to support a centralized ledger for each fund                  GL-10
     883 The system shall provide functionality to support multiple ledgers that are updated                   GL-10
         simultaneously
     884 The system shall provide functionality to support Generally Accepted Accounting Principles            GL-10

         (GAAP) and standards of the Governmental Accounting Standards Board (GASB)
     885 The system shall provide functionality to access historical financial information (i.e.,              GL-10

         information for grants and appropriations covering multiple years must be accessible)
     886 The system shall provide functionality to set a cash and/or modified accrual indicator                GL-10
         depending on the transaction type
     887 The system shall provide functionality to enter and store descriptions for journal entries            GL-10

     888 The system shall provide functionality to automatically generate information to identify and          GL-10
         approve the deposits
     889 The system shall provide functionality to create journal entries automatically as a result of         GL-20
         cost allocations
     890 The system shall provide functionality to summarize cost allocations or detail cost                   GL-20
         allocations using the original expenditure object
     891 The system shall provide functionality to record allocations down to any element of the chart         GL-20
         of accounts
     892 The system shall allow for users to be able to define a default allocation method for a project       GL-20

         or grant that will be applied to all transactions that are charged to that project or grant
     893 The system shall provide functionality to perform cost allocations based on the organization          GL-20

         structure and data elements existing during the period in which the allocation takes place
     894 The system shall provide functionality to allocate financial balances from any account coding         GL-20
         distribution to any other account coding distribution (e.g., split the financial balances in one
         organization to two new organizations)
     895 The system shall provide functionality for user agencies to determine which indirect costs            GL-20
         are to be allocated, including the time period in which those costs occurred (e.g., effective
         start and end dates)
     896 The system shall provide functionality to execute/simulate cost allocations in "test mode."           GL-20
         This will allow agency personnel to perform "what-if" scenarios and review allocation results
         prior to the creation of financial postings within the system
     897 The system shall provide functionality to generate all warning messages, error messages,              GL-20

         and summary reports during the execution of a cost allocation in "test mode"
     898 The system shall provide functionality to carry decimal places to an unlimited degree for             GL-20
         allocations and distributions
     899 The system shall provide functionality to enable stepped allocations usually performed                GL-20
         during the execution of the State-wide cost allocation plan
     900 The system shall provide functionality to accumulate lower-level allocations and redistribute         GL-20

            them with another allocation using intermediate pools (e.g., step down clearing distributions)


                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 52 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     FINANCIAL REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     901 The system shall provide functionality to allocate indirect financial balances based on pre-          GL-20
         determined rates, ratios, or statistics
     902 The system shall provide functionality for users to edit and apply new allocation rates during        GL-20
         the fiscal year
     903 The system shall provide functionality to allocate costs based on fixed amounts                       GL-20
     904 The system shall provide functionality to allocate costs based on fixed percentages                   GL-20
     905 The system shall provide functionality to allocate costs based on a fixed amount per statistic        GL-20

     906 The system shall provide functionality to allocate costs based on relative statistics within the      GL-20
         cost receiver(s)
     907 The system shall provide functionality to allocate costs based on relative spending within the        GL-20
         cost receiver(s)
     908 The system shall provide functionality to capture statistics based on any element of chart of         GL-20
         accounts (e.g., number of disbursements)
     909 The system shall provide functionality to support Generally Accepted Accounting Principles            GL-20
         (GAAP) reporting standards for State-wide cost allocation plan reporting as designated by
         current GASB requirements
     910 The system shall provide functionality to define the beginning and end dates for all cost             GL-20
         allocations
     911 The system shall provide functionality to identify allocable and non-allocable cost                   GL-20
         components
     912 The system shall provide functionality to capture definitions of a cost pool across any               GL-20
         element of the chart of accounts
     913 The system shall provide functionality for cost drivers to include both statistical and financial     GL-20
         activity across any level of the chart of accounts
     914 The system shall provide functionality to capture offset accounts for allocation transactions         GL-20
            posted to the general ledger in support of either an immediate cash transfer or an inter-
         agency/inter-fund due to/due from if the allocations cross agencies or funds
     915 The system shall provide functionality to schedule and automatically execute a cost                   GL-20
         allocation on specified dates
     916 The system shall provide functionality for users to determine frequency of allocation                 GL-20
         processing
     917 The system shall provide functionality to reverse all postings generated during the execution         GL-20
         of a cost allocation
     918 The system shall provide functionality for users to back out, reverse, or edit cost allocation        GL-20
         methodologies over multiple periods
     919 The system shall provide functionality for a user to create a cost allocation summary report          GL-20
         which details the allocated costs, the cost pools from which the costs were allocated, and
         the amount of costs that were allocated to each cost receiver
     920 The system shall provide functionality for a user to create a cost allocation summary report          GL-20
         which details a “before” and “after” view of the allocated costs




                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 53 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  REVENUE REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

     921 The system shall provide functionality for the following fields for customer master entry       AR-10
         including, but not limited to:
         - Customer name
         - Customer number
         - Billing address
         - Contact name/address/phone number/email
         - Doing Business As (DBA) reference
         - Security deposit required (Y/N)
         - Credit and collection manager
         - Late fees (Y/N)
         - Tax codes and information
         - One time customer (Y/N)
         - Payment method
         - Customer type
         - Customer status
         - Bank account
         - Classifications codes
         - Agency-specific customer number
     922 The system shall provide functionality to store multiple bill-to addresses per customer         AR-10

     923 The system shall provide functionality for users to select the correct address when             AR-10

         customers have multiple bill-to addresses through the use of a "favorite lists" by agency
     924 The system shall provide functionality for users to create parent/child relationships between   AR-10
         customer master records
     925 The system shall provide functionality for users to attach electronic documents to a            AR-10
         customer master record
     926 The system shall provide functionality to automatically assign a unique invoice ID number at    AR-10
         time of invoice creation
     927 The system shall provide functionality for users to manually enter an invoice number at time    AR-10
         of invoice creation




                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 54 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     REVENUE REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     928 The system shall provide functionality for the following fields for invoice entry including, but   AR-10
         not limited to:
         - Customer name
         - Customer number
         - Invoice type
         - Invoice number
         - Invoice date
         - GL/posting date
         - List of services
         - Account number
         - Discount terms
         - Total invoice amount
         - Additional invoice charges (freight, etc.)
         - Item quantity
         - Item price
         - Comments
         - Due date
         - Sales tax
         - Bank account information
         - Fields (e.g., location)
     929 The system shall provide functionality for users to set up and record the appropriate              AR-10
         receivable accounting entry to offset based on the type of transaction
     930 The system shall provide functionality to notify users when a duplicate customer invoice           AR-10
         number is entered
     931 The system shall provide functionality for users to code an invoice against multiple General       AR-10
         Ledger account numbers
     932 The system shall provide functionality to enable users to override any information in the          AR-10
         invoice that defaults from the customer master (e.g., sales tax information)
     933 The system shall provide functionality for the capability to attach supporting documentation       AR-10
         and emails to invoices
     934 The system shall provide functionality to validate certain data fields as part of the invoice      AR-10
         entry including, but not limited to:
         - Customer number
         - Account number
         - Contract number
     935 The system shall provide functionality for users to identify different types of deposit            AR-10
         transactions
     936 The system shall provide functionality for users to create invoices with a zero dollar amount      AR-10

     937 The system shall provide functionality for users to create invoices with a minimum/maximum         AR-10
         billing amount
     938 The system shall provide functionality for users to create an invoice that cross-references        AR-10
         against a voucher number (e.g., payment of fees to third party)
     939 The system shall provide functionality for users to set up invoice templates that can be           AR-10
         copied to facilitate the creation of new invoices
     940 The system shall provide functionality for users to create recurring invoices based on a           AR-10
         schedule
     941 The system shall provide functionality to automatically release recurring invoices based on a      AR-10
         schedule



                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 55 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     REVENUE REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

     942 The system shall provide functionality for users to add, edit, or delete recurring invoice         AR-10
         information based on changes to agreement terms, amounts, or frequencies
     943 The system shall provide functionality for users to create recurring invoice transactions for a    AR-10
         fixed or percentage allocation amount between multiple accounts
     944 The system shall provide functionality for users to save an incomplete invoice                     AR-10
     945 The system shall provide functionality to notify users, after a set number of days has             AR-10
         elapsed, to take action on any incomplete invoices
     946 The system shall provide functionality for users to review, revise, and approve invoices           AR-10

     947 The system shall provide functionality for approval levels for invoice transactions based on,      AR-10
         but not limited to:
         - Customer
         - Dollar amount
         - Account number
     948 The system shall provide functionality to post all invoices to the general ledger and AR           AR-10
         modules
     949 The system shall provide functionality for users to edit an invoice after it has been saved        AR-10
         and/or posted
     950 The system shall provide functionality for users to make edits to any fields in an invoice after   AR-10
         saving it, but prior to posting it to the General Ledger
     951 The system shall provide functionality for users to identify and hold disputed invoices            AR-10
     952 The system shall provide functionality for users to cancel or void multiple invoices               AR-10
     953 The system shall provide functionality to automatically generate the appropriate accounting        AR-10
         entries upon the voiding of an invoice
     954 The system shall provide functionality to generate a paper version of the invoice                  AR-10
     955 The system shall provide functionality to regenerate an existing paper invoice                     AR-10
     956 The system shall provide functionality to not generate an invoice for a customer billing           AR-10

     957 The system shall provide functionality to distribute invoices electronically (e.g., EDI, HTML,     AR-10
         email)
     958 The system shall provide functionality for users to customize the layout of the invoice print      AR-10

     959 The system shall provide functionality for users to purge invoices from the system                 AR-10
     960 The system shall provide functionality for the following fields for receipt entry including, but   AR-10
         not limited to:
         - Customer name (may not apply where a receipt is matched against an invoice)
         - Customer number (may not apply where a receipt is matched against an invoice)
         - Invoice number (may not apply where a receipt is matched against an invoice)
         - Receipt date
         - Amount
         - Payment type
         - Item quantity
         - Comment fields
         - Check number
         - Alternative payer
         - Tax classification codes
         - Account number
     961 The system shall provide functionality for users to enter a receipt without a corresponding        AR-10
         invoice (miscellaneous receipts)
     962 The system shall provide functionality for users to apply multiple receipts against a single       AR-10
         invoice


                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 56 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 REVENUE REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

     963 The system shall provide functionality for users to apply a single receipt against multiple     AR-10
         invoices
     964 The system shall provide functionality for users to code multiple revenue classifications on a AR-10
         receipt
     965 The system shall provide functionality for users to record a partial receipt against an invoice AR-10

     966 The system shall provide functionality for automatic cash receipt functionality                AR-10
     967 The system shall provide functionality for users to create rules to automatically apply        AR-10
         receipts against existing invoices
     968 The system shall provide functionality for users to manually match open invoices against       AR-10

         receipts that cannot be processed using an automatic cash receipts program
     969 The system shall provide functionality to post receipt transactions to the General Ledger      AR-10

     970 The system shall provide functionality for users to post a receipt that exceeds the dollar     AR-10
         amount of the invoice
     971 The system shall provide functionality to automatically post the excess amount of a receipt    AR-10
         to the appropriate element in the chart of accounts
     972 The system shall provide functionality for users to void a miscellaneous receipt               AR-10
     973 The system shall provide functionality for users to void a receipt posted against an invoice   AR-10

     974 The system shall provide functionality for users to purge receipts from the system             AR-10
     975 The system shall provide functionality to receive, merge, and match daily account              AR-10
         information electronically from banking institutions
     976 The system shall provide functionality to automatically receive and store electronic deposit   AR-10
         information in various electronic file formats
     977 The system shall provide functionality for users to deposit transactions originating from,     AR-10
         including but not limited to the following:
         - Wire transfers
         - ACH deposits
         - Over-the-counter deposits
         - Credit card accounts
     978 The system shall provide functionality to electronically receive and identify alpha-numeric    AR-10
         deposit numbers from inbound ACH transactions
     979 The system shall provide functionality to automatically reconcile bank statement data to       AR-10
         receipt and withdrawal transactions in the AR and GL modules
     980 The system shall provide functionality for users to manually adjust data that is interfaced    AR-10
         from the banking institution
     981 The system shall provide functionality to generate a deposit slip report based on receipts     AR-10

         recorded during a period of time, with the ability to remove any selected receipt
     982 The system shall provide functionality for users to link revenue transactions to deposits      AR-10

     983 The system shall provide functionality to record a credit card receipt (e.g., miscellaneous    AR-10
         receipt)




                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 57 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   REVENUE REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

     984 The system shall provide functionality to generate AR reports with various data elements         AR-10
         including, but not limited to:
         - Customer account aging
         - Customer open receivables
         - Customer types and balances (by payment method)
         - Partial payments or overpayments
         - Interest charges
         - Payment history
         - Customer data
         - Invoice detail
         - Miscellaneous receipts
         - Checks returned by banks for non-sufficient funds
         - Invoice date
         - Due date
         - Account number
         - Invoice type
         - Revenue type
     985 The system shall provide functionality for users to combine multiple invoices on a single        AR-20
         customer statement
     986 The system shall provide functionality for users to customize the layout of the customer         AR-20
         statement
     987 The system shall provide functionality to automatically generate recurring customer              AR-20
         statements based on user specified criteria
     988 The system shall provide functionality for users to reprint existing customer statements         AR-20

     989 The system shall provide functionality for users to purge customer statements from the           AR-20
         system
     990 The system shall provide functionality for users to assign a credit and collections manager to   AR-20
         each customer
     991 The system shall provide functionality to automatically notify the credit manager when a         AR-20
         customer’s account is deemed delinquent
     992 The system shall provide functionality for users to add and delete delinquency business          AR-20
         rules (i.e. the parameters by which an account will be deemed delinquent)
     993 The system shall provide functionality to generate delinquency/dunning notices based on          AR-20
         business rules
     994 The system shall provide functionality for users to alter the language printed on dunning        AR-20
         notices (e.g., a dunning notice for a payment 30 days past due would have different
         language than a dunning notice for a payment 90 days past due)
     995 The system shall provide functionality to maintain multiple versions of delinquency/dunning      AR-20
         notices
     996 The system shall provide functionality for users to reprint an existing delinquency/dunning      AR-20
         notice for a customer
     997 The system shall provide functionality for users to purge dunning/delinquency notices from       AR-20
         the system
     998 The system shall provide functionality for users to calculate late fees based on multiple fee    AR-20
         structures (e.g., flat fee, percentage of overdue balance)
     999 The system shall provide functionality for users to set up effective dates for each late fee     AR-20
         structure
    1000 The system shall provide functionality for users to determine which customers or group of        AR-20
         customers will be charged late fees
    1001 The system shall provide functionality to calculate interest on overdue invoices                 AR-20


                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 58 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    REVENUE REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1002 The system shall provide functionality for users to charge interest on either principal only or   AR-20
         on principal and accumulated interest
    1003 The system shall provide functionality for users to override the system calculated interest       AR-20
         against an invoice or account
    1004 The system shall provide functionality for users to retroactively apply late fees to past due     AR-20
         invoices
    1005 The system shall provide functionality to generate an invoice for the late fees charged           AR-20
         against a customer's account
    1006 The system shall provide functionality for aging analysis, both onscreen and in reports, of       AR-20

         outstanding accounts receivable for 30, 60, 90, 120, and greater than 120 days
    1007 The system shall provide functionality for users with the option to determine which date          AR-20
         initiates the aging cycle (e.g., due date, invoice date)
    1008 The system shall provide functionality for users to inquire about outstanding balances by         AR-20
         customer
    1009 The system shall provide functionality for standard collections reporting                         AR-20
    1010 The system shall provide functionality to track the status of overdue accounts including, but     AR-20
         not limited to:
         - Comments
         - Contact discussions
         - Collection attempts
         - Amount in dispute
    1011 The system shall provide functionality to route aged invoices to different users based on         AR-20
         certain parameters
    1012 The system shall provide functionality for users to add and delete credit memos                   AR-20
    1013 The system shall provide functionality for users to apply credit memos against a single           AR-20
         invoice
    1014 The system shall provide functionality for users to apply a credit memo against multiple          AR-20
         invoices
    1015 The system shall provide functionality for users to review, revise, and approve of invoices       AR-20
         that will be written off
    1016 The system shall provide functionality for users to identify invoices deemed as uncollectible     AR-20

    1017 The system shall provide functionality for multiple write-off codes (e.g., for bad debt and  AR-20
         discharge settlements)
    1018 The system shall provide functionality for users to net a customer’s outstanding receivables AR-20
         to his/her outstanding payables
    1019 The system shall provide functionality to track refunds against miscellaneous receipts by    AR-20
            customer




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 59 of 111
                                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                                    REVENUE REQUIREMENTS

                                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                        II. Requirement Description                                                                                              V. Comment/Explanation               VII. Where in Software
                                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

     1020 The system shall provide functionality to identify each grant with at least 100 data fields including, but not   GE-10
          limited to:
          - Award date
          - Grantor's name (awarding entity)
          - Grantor contact person's name, position, fax number(s), phone number(s), email address(es), and mailing
          address(es)
          - Grantor's website(s)
          - Grantee contact person’s name and position
          - Budget, fiscal, and other staff person(s)
          - Title and description of grant
          - Grant status, project start/end date, funding period start/end date, and award amount
          - GAD (Grant Award Document) action number and type
          - Award type
          - CFDA (Catalogue of Federal Domestic Assistance) number
          - Federal account code
          - Agency award number
          - Amendment number
          - Type of funding source(s) (e.g., public, private)
          - Funding source(s)
          - Indirect rate type (restricted, unrestricted, etc.)
          - Fringe benefit rate
          - Federal program year
          - Report type due and frequency
          - Match requirement
          - Administrative retainage requirement
          - Maintenance-of-effort state and local requirements
          - Liquidation date
          - Amount of previous grant
          - Increase/decrease in grant amount compared to previous grant
          - Federal administering office, contact's name, contact's title, and address
          - Pending litigation flag and purge flag
          - Sub-grant number
    1021 The system shall provide functionality to save award information for each grant in at least                       GE-10
         100 data fields including, but not limited to:
         - Award amount
         - Award date
         - Amended/Supplemental amount(s)
         - Amended/Supplemental date(s)
         - Allowable advances - Payment basis (e.g., deliverables, reimbursement of expenditures)
         - PMS (Federal payment management system) type
         - PMS number
         - Non-cash award(s) (e.g., equipment, land, inventory supplies)
         - Estimated value for non-cash award(s)
         - Terms and conditions
         - Funding technique(s) for drawdown (e.g., percent based on a class of expenditures:
         payroll, administrative, direct, indirect)
         - Y/N identifier to indicate whether subject to CMIA requirements




                                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 60 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    REVENUE REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1022 The system shall provide functionality to save federal requirements for a grant including, but    GE-10
         not limited to:
         - Maintenance of effort requirements
         - Expenditure types/levels that are eligible for reimbursement
         - Federal appropriation number(s) and years
         - Reporting requirements (schedule and frequency)
         - Audit requirements
    1023 The system shall provide functionality to save multiple matching requirements for a grant         GE-10
         including, but not limited to:
         - Match type (e.g., cash, in-kind services, donated equipment, donated land)
         - Match rate(s) and basis (e.g., expenditure type)
         - Match restrictions on non-cash items (e.g., use/sale of land, equipment, buildings)
         - Match source(s)
         - State and local cost sharing
    1024 The system shall provide functionality for users to define the status of a grant by categories    GE-10
         including, but not limited to:
         - Application/state plan in progress
         - Application/state plan submitted
         - Application/state plan withdrawn
         - Application/state plan not applicable
         - Awarded
         - Denied
         - Suspended
         - Closed
    1025 The system shall provide functionality to automatically create a unique grant number and          GE-10
         sub-grant number, if necessary, for each grant
    1026 The system shall provide functionality for users to manually enter an agency-defined unique       GE-10
         grant number and sub-grant number, if necessary, for each grant
    1027 The system shall provide functionality for users to edit and update the grant record and          GE-10
         capture all edits and updates in an electronic audit trail
    1028 The system shall provide functionality for users to copy key information from a previous          GE-10
         grant record and include it in a new grant record
    1029 The system shall provide functionality for users to configure additional fields of at least 500   GE-10
         characters to capture comments/narrative
    1030 The system shall provide functionality for users to define the data in the grant record that      GE-10
         are required before the grant record can be saved
    1031 The system shall provide functionality for users to translate electronic grant applications       GE-10
         (e.g., applications in PDF format) into grant templates/forms
    1032 The system shall provide functionality to view transactions made against a sub-allocated          GE-10
         grant
    1033 The system shall provide functionality for users to establish grant budgetary controls in         GE-20
         multiple formats including, but not limited to:
         - Grant year
         - Grant award amount
         - Beginning and end date
    1034 The system shall provide functionality for users to establish grant budgetary control periods     GE-20
         different from appropriation control periods
    1035 The system shall provide functionality for users to link multiple grants to a project             GE-20
    1036 The system shall provide functionality for users to link multiple projects to a grant             GE-20



                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 61 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     REVENUE REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                    II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

    1037 The system shall provide functionality for users to link multiple grants to an appropriation       GE-20

    1038 The system shall provide functionality for users to link multiple appropriations to a grant        GE-20

    1039 The system shall provide functionality for the effective date for a grant to span multiple state GE-20
         fiscal years
    1040 The system shall provide functionality for users to change the effective date associated with GE-20
         a grant
    1041 The system shall provide functionality for users to view awards made to sub-recipients           GE-20

    1042 The system shall provide functionality for users to view funds expended and disbursed by           GE-20
         the sub-allocation recipient agency
    1043 The system shall provide functionality for users to establish the beginning date and the end       GE-20
         date of a sub-allocation
    1044 The system shall provide functionality for users to establish budget categories as defined by      GE-20
         the grant and/or sub-allocation contract
    1045 The system shall provide functionality to restrict users from establishing beginning and end       GE-20
         dates, for the sub-allocated portions of grants, that extend beyond the beginning and end
         date for the original grant
    1046 The system shall provide functionality for budgeting and reporting by grant                        GE-20
    1047 The system shall provide functionality for users to create a grant's budget at any level in the    GE-20
         data hierarchy (including the Chart of Accounts)
    1048 The system shall provide functionality for users to control a grant's budget at any level in the   GE-20
         data hierarchy (including the Chart of Accounts)
    1049 The system shall provide functionality for users to create and save expenditure-based              GE-20
         spending projections for each grant at any level in the chart of accounts
    1050 The system shall provide functionality for users to create and save expenditure-based              GE-20
            spending projections for each grant for different time periods including, but not limited to:
            - Annually
            - Quarterly
            - Monthly
         - Weekly
    1051 The system shall provide functionality for users to create and save multiple versions of the       GE-20
         expenditure-based spending projections for each grant
    1052 The system shall provide functionality for users to create and save expenditure-based              GE-20
         spending projections for each grant at different levels in the chart of accounts
    1053 The system shall provide functionality for users to create and save disbursement-based             GE-20
         spending projections for each grant at any level in the chart of accounts
    1054 The system shall provide functionality for users to create and save disbursement-based             GE-20
            spending projections [spending plan] for each grant for different time periods including, but
            not limited to:
            - Annually
            - Quarterly
            - Monthly
         - Weekly
    1055 The system shall provide functionality for users to create and save multiple versions of the       GE-20
         disbursement-based spending projections for a grant




                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 62 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    REVENUE REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1056 The system shall provide functionality for users in different agencies to create and save         GE-20
         disbursement-based spending projections for a grant at different levels in the chart of
         accounts
    1057 The system shall provide functionality for users to simultaneously create and save both           GE-20
         expenditure-based and disbursement-based spending projections for a grant
    1058 The system shall provide functionality for users to create disbursement-based spending            GE-20
         projections for a grant based on the expenditure-based spending projections using
         customized business rules
    1059 The system shall provide functionality for users to edit the spending projections over the        GE-20
         course of the grant term
    1060 The system shall provide functionality to link all relevant transactions to a grant               GE-20
    1061 The system shall provide functionality to prevent a transaction from occurring when the           GE-20
         transaction will result in the grant award amount being exceeded
    1062 The system shall provide functionality to post encumbrances against a grant                       GE-20
    1063 The system shall provide functionality for users to obligate portions of a grant and reserve it   GE-20
         so it cannot be spent (e.g encumbrances and accruals to grants)
    1064 The system shall provide functionality to post expenditures to a grant                            GE-20
    1065 The system shall provide functionality to restrict grant-related expenditure transactions that    GE-20
         are outside of the specified grant period
    1066 The system shall provide functionality for auhorized users to override the grant expenditure      GE-20
         transaction controls
    1067 The system shall provide functionality to record Personal Service (e.g., payroll) transactions    GE-20

         to the grant regardless of availability of grant, but alert users if the grant amount is exceeded
    1068 The system shall provide functionality for users to enter refunds of an expenditure against a GE-20
         grant
    1069 The system shall provide functionality to alert specified users of a refund of expenditure        GE-20
         against a grant
    1070 The system shall provide functionality for users to save planned and actual non-financial,        GE-20

         performance measures and associated data at any level in the data hierarchy
    1071 The system shall provide functionality to display the total value of a grant's appropriation(s)   GE-20

    1072 The system shall provide functionality to display a dashboard for each grant that                 GE-20
         summarizes the financial balances associated with the grant including, but not limited to:
         - Total value of the award
         - Encumbrances/obligations
         - Expenditures
         - Disbursements
         - Uncommitted funds
    1073 The system shall display the amount of outstanding encumbrances posted to the grant as of         GE-20
         a specified time
    1074 The system shall display the amount of expenditures posted to the grant life-to-date              GE-20
    1075 The system shall display the amount of disbursements posted to the grant life-to-date             GE-20

    1076 The system shall provide functionality for users to drilldown to the lowest level of the chart of GE-20
         accounts to identify the transactions that comprise the encumbrance balance posted to a
         grant




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 63 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                     REVENUE REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

    1077 The system shall provide functionality for users to drilldown to the lowest level of the chart of GE-20
         accounts to identify all the transactions that comprise the expenditure balance recorded
         against a grant
    1078 The system shall provide functionality for users to drilldown to the lowest level of the chart of GE-20
         accounts to identify all the transactions that comprise the disbursement balance posted to a
         grant
    1079 The system shall provide functionality for users to generate reports detailing all transactions GE-20

         posted to the grant including those posted to the sub-allocated portions of the grant
    1080 The system shall provide functionality for users to close a grant upon completion of a grant       GE-20
         cycle
    1081 The system shall provide functionality for users to reopen closed grants                           GE-20
    1082 The system shall provide functionality to alert and/or notify users when a decrease in the         GE-20

         grant amount results in a grant award amount that is lower than the committed balance
    1083 The system shall provide functionality to alert and/or notify users when the committed             GE-20
         balance exceeds the grant award amount
    1084 The system shall provide functionality for users to suspend a grant prior to completion and        GE-20
         "hold" all additional financial transactions
    1085 The system shall provide functionality for users to view closed grants                             GE-20
    1086 The system shall provide functionality for users to liquidate encumbrances after a grant           GE-20

         period’s end date has passed but before its liquidation period end date has passed
    1087 The system shall provide functionality to save grant data, without irrevocably condensing or       GE-20
         summarizing any level of detail for a period of time or if a status code (i.e Pending Litigation
         Flag) indicates that the grant must remain open
    1088 The system shall provide functionality to save electronic copies of all grant documents and        GE-20
         attachments for audit purposes
    1089 The system shall prevent grant records from being purged until the grant is closed                 GE-20
    1090 The system shall provide functionality for users to search and view closed grant records and       GE-20
         related attachments
    1091 The system shall provide functionality for users to create a calendar for the grant process        GE-20
         and link tasks to the calendar
    1092 The system shall provide functionality for users in different agencies to create different grant   GE-20
         calendars and link different tasks to the calendar
    1093 The system shall provide functionality to automatically notify users via email or workflow         GE-20
         when a grant calendar is established
    1094 The system shall provide functionality for users to edit the grant calendar throughout the         GE-20
         year
    1095 The system shall provide functionality to automatically notify users via email or workflow         GE-20
         when a grant calendar is modified
    1096 The system shall provide functionality for users to apply calendar functionality to a variety of   GE-20
         tasks, including, but not limited to:
         - Grant application
         - Reconciliation reports
         - Drawdown requests
         - Other state/federal reports
         - Close out process
    1097 The system shall provide functionality to notify users when a grant award notice has been          GE-20
         received



                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 64 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 REVENUE REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                               II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1098 The system shall provide functionality to enable daily draw downs from federal agencies        GE-30

    1099 The system shall provide functionality to identify each financial transaction posted to the    GE-30
         grant to signify whether the transaction has been included in a drawdown request and the
         date of the drawdown
    1100 The system shall provide functionality to calculate the drawdown amount by off-setting         GE-30
         expenditures with revenues and receivables that have been posted to the grant and have
         not been previously posted to a drawdown
    1101 The system shall provide functionality to calculate the drawdown amount by off-setting         GE-30
         disbursements with revenues and receivables that have been posted to the grant and have
         not been previously posted to a drawdown
    1102 The system shall provide functionality to create a drawdown request report that includes any   GE-30
         new or modified transactions that have been posted to the grant since the last drawdown
         request report
    1103 The system shall provide functionality to apply for reimbursement to the federal government    GE-30
         for expenditures/disbursements based on CMIA compliance options including, but not
         limited to:
         - Grant number
         - CFDA number
         - Fund number
         - Account number
         - Activity number
         - Cost sharing requirements




                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 65 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                              ASSET INVENTORY REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

    1104 The system shall provide functionality for users to modify assets by overriding information         AS-10

         received from other modules or subsystems (e.g., Project Accounting, Purchasing, or AP)
    1105 The system shall provide functionality to maintain computer software inventory in the assets        AS-20
         module. Additional data fields would include, but are not limited to the following:
         - Product name
         - Product version
         - Manufacturer (i.e. licensor)
         - Order number (e.g., contract, purchase order, or purchase card)
         - Order date
         - Quantity
         - Supplier
         - License term
         - License type
         - Product category (e.g., PC, mainframe, or server)
         - Memo field
    1106 The system shall provide functionality to identify an asset acquisition at time of requisition      AS-20

    1107 The system shall provide functionality to track assets associated with a purchase through           AS-20
         the Purchasing Module that have not been received
    1108 The system shall provide functionality to update the asset master record if the amount paid         AS-20
         (i.e. invoice amount) for the asset is different than the price stated on the purchase order
         from which the asset was generated
    1109 The system shall provide functionality for users to use multiple purchase orders to acquire a       AS-20
         single asset
    1110 The system shall provide functionality for users to directly enter asset information when the       AS-20
         asset is acquired outside of integrated system modules (e.g., contractor procures
         commercial oven on behalf of the State, gift, donation)
    1111 The system shall provide functionality to maintain pertinent data on controlled assets as           AS-20
         follows. Controlled assets are non-capitalized equipment that are not to be capitalized per
         State policy, but have been deemed to be items requiring security and control by State or
         agency policy
    1112 The system shall provide functionality for users to distinguish between capitalized and             AS-20
         controlled assets
    1113 The system shall provide functionality to assign unique inventory control or property               AS-20
         numbers to all assets
    1114 The system shall provide functionality to integrate the Purchasing, Project Accounting, and         AS-20

         Asset Management modules to identify expenditure transactions against an asset
    1115 The system shall provide functionality for a free-form narrative description field for an asset     AS-20
         item
    1116 The system shall provide functionality to track different types of assets including, but not        AS-20
         limited to:
         - Equipment
         - Buildings
         - Infrastructure
         - Land




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 66 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               ASSET INVENTORY REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1117 The system shall provide functionality for users to record the funding source used to acquire        AS-20
         the asset including, but not limited to:
         - Certificates of participation
         - Bonds proceeds
         - Federal funds
         - Installment purchase agreement
         - State operating funds
    1118 The system shall provide functionality for users to copy asset record entries for identical          AS-20
         items and then assign separate asset tag/inventory control numbers (e.g., purchase of 20
         identical personal computers)
    1119 The system shall provide functionality to maintain detailed real estate information required to      AS-20
         identify and account for State lands including, but not limited to:
         - Legal description per survey
         - County
         - Acquisition information
         - Number of acres
         - Value per acre
         - Fair market value
         - Deed information
         - Structure/Building Number(s)
         - Betterments
         - Special Improvement District tax information
         - Options to purchase property
         - Geographic Information System technology location (latitude and longitude)
         - Memo Field
    1120 The system shall provide functionality to calculate acquisition cost automatically based on          AS-20
         total unit cost including shipping and other ancillary costs captured on a purchase order or
         AP voucher
    1121 The system shall provide functionality to record all capitalizable costs associated with the         AS-20
         construction or purchase/acquisition of an asset and when applicable, link the asset to the
         project, sub-project or grant that resulted in acquisition of the asset
    1122 The system shall provide functionality for users to record and maintain information on               AS-20
         construction work-in-progress and provide a mechanism to transfer accumulated work-in-
         progress costs to an asset record
    1123 The system shall provide functionality for users to identify expenditures as fixed assets            AS-20
         based on useful life, dollar amount, general ledger account, etc.
    1124 The system shall provide functionality for users to create, edit, or delete parent/child             AS-20
         relationships between assets
    1125 The system shall provide functionality for users to change an asset's useful life, salvage           AS-20
         value, and depreciation method when necessary
    1126 The system shall provide functionality to fully integrate bar code technology for asset              AS-20
         tagging upon acquisition/purchase and annual inventory certification(s)
    1127 The system shall provide functionality to track (e.g., identify, record, inquire, report)            AS-20
         regular/preventative maintenance performed on selected assets
    1128 The system shall provide functionality for user inquiries by any element of the asset master         AS-20
         record (e.g., asset number, asset description)
    1129 The system shall provide functionality for users to record the priority assigned to critical and     AS-20
         non-critical maintenance for assets




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 67 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                             ASSET INVENTORY REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

    1130 The system shall provide functionality to maintain information on building assets pertinent to     AS-20
         insurance underwriting, including but not limited to the following:
         - Location (regions, zones, cost centers)
         - Building age or date constructed
         - Number of stories
         - Construction type
         - Foundation
         - Air handling system
         - Square footage
         - Roof type
         - Condition
         - Maintenance requirements and actual maintenance performed
         - Inspection requirements and actual inspections performed
         - Fire protection systems
         - Building fuel information
         - Usage
         - Valuation
         - Insurance information (company, policy, coverage amount, etc.)
         - Geographic Information System technology location (Latitude and Longitude)
         - Loss history
    1131 The system shall provide functionality to accommodate multiple depreciation schedules that         AS-20
         could be applied to an asset
    1132 The system shall provide functionality for users to maintain detailed asset information            AS-20
         required to identify and properly account for all assets including, but not limited to:
         - Asset ID
         - Description
         - Condition rating
         - Acquisition date
         - In service date
         - Asset category
         - Asset class
         - Agency
         - Division
         - Responsible organization
         - Model number
         - Serial number
         - Location
         - Procurement method - a reference to the method of the acquisition such as purchase
         order, petty cash, purchase card, project or other
         - Procurement document(s) – a reference or link to the source document
         - Payment document(s)
         - Object code
         - Cost
         - Surplus reference (if necessary)
         - Disposal date
         - Disposal reference
         - Disposal method - must be selected from a list of valid values
         - Disposal costs
         - Amount collected (to be required if the method of disposition is sale)




                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 68 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                ASSET INVENTORY REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

    1133 The system shall provide functionality for users to modify or remove the link between a child         AS-20
         asset and a parent asset
    1134 The system shall provide functionality to automatically update the general ledger to                  AS-20
         capitalize any asset acquired through the purchasing module that meets the capital
         threshold
    1135 The system shall provide functionality to automatically update the general ledger to                  AS-20
         capitalize any completed project that is added to fixed assets that meets the capital
         threshold
    1136 The system shall provide functionality to automatically update the general ledger to                  AS-20
         capitalize any assets entered directly into the fixed asset module that meets the capital
         threshold
    1137 The system shall provide functionality to post accounting entries to the general ledger when          AS-20
         additions, deletions, and changes to the asset values occurs
    1138 The system shall provide functionality for users to drill down from asset summary reports to          AS-20

         any source document stored in the system (e.g., Purchasing, AP, or Project Accounting)
    1139 The system shall provide functionality to track the usage of a child asset independently of           AS-20
         the parent asset to which it is linked so that if the child moves from one parent asset to
         another parent asset, all data is maintained and transferred
    1140 The system shall provide functionality to accommodate a transaction for non-State agencies            AS-20
         (e.g., not-for-profit organizations and local municipalities) to access and update asset
         records for assets charged to its stewardship
    1141 The system shall provide functionality for users to identify assets that have been purchased          AS-20
         or leased by methods including, but not limited to:
         - Contracts
         - Request for quote
         - Option to buy
         - Lease purchase
         - Direct agency lease
    1142 The system shall provide functionality for users to record and track the physical location of         AS-20
         an asset
    1143 The system shall provide functionality for users to retain the original fund source, but identify     AS-20
         current fund source and report on history
    1144 The system shall provide functionality to track initial tag number and subsequent tag number          AS-20
         changes as of an effective date (time dependent data with history)
    1145 The system shall provide functionality for users to record and track updates to historical cost       AS-20
         (e.g., a separate shipping invoice is received for a specific asset)
    1146 The system shall provide functionality to allow multiple asset master record assignments by           AS-20
            purchase order line item. (e.g., one line item on a purchase order for 20 computers for $20K
         is eventually displayed in Assets as 20 individual computers at $1K)
    1147 The system shall provide functionality to default an asset master record by asset class when          AS-20
         creating a master record based on the commodity or other criteria chosen during the
         acquisition transaction within procurement
    1148 The system shall provide functionality to identify the one-time procurement of infrastructure         AS-20
         assets (e.g., park system and network purchase) and on-going infrastructure assets (e.g.,
         sewage structure)
    1149 The system shall provide functionality for an equipment type to pre-populate useful life for          AS-20
         an asset




                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 69 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            ASSET INVENTORY REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1150 The system shall provide functionality for each agency to define the useful live of each          AS-20
         equipment type (e.g., Agency A has a useful live of 5 years for asset type copiers and
         Agency B has a useful life of 7 years for copiers)
    1151 The system shall provide functionality for tracking an alternate replacement date and useful      AS-20
         life expiration date
    1152 The system shall provide functionality for users to capture easement information including,       AS-20
         but not limited to:
         - Type of easement
         - Address
         - Legal description
    1153 The system shall provide functionality to track asset ownership information (e.g.,                AS-20
         communications equipment on top of a tower owned by another entity)
    1154 The system shall provide functionality to link assets (e.g) buildings and associated building     AS-20
         improvements
    1155 The system shall provide functionality to identify assets as potential liabilities (e.g.,         AS-20
         contaminated land)
    1156 The system shall provide functionality to procure and receive a number of similar assets on       AS-20
            one purchasing transaction, then distribute individually from a central location. This
            requirement is similar to the ability to warehouse assets for use as needed and to assign
            them individually. Upon assignment, agencies would update the asset master shell record
         for in-service date, responsibility, and location information
    1157 The system shall provide functionality to accommodate a tag number that is independent of         AS-20
         the system generated asset number identifier
    1158 The system shall provide functionality to capture whether an environmental assessment has         AS-20
         been completed
    1159 The system shall provide functionality to create an asset record for a leased asset (State as     AS-20
         lessee)
    1160 The system shall provide functionality for users to identify assets as leased by the State        AS-20
         (State as lessor)
    1161 The system shall provide functionality to adjust (write-up and write-down) value of land and      AS-20
         track changes of the value adjustment




                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 70 of 111
                                                                                                                     New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                           ASSET INVENTORY REQUIREMENTS

                                                                                                          III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                  V. Comment/Explanation               VII. Where in Software
                                                                                                        Process ID     Compliance                                              of Effort                                       Reference

    1162 The system shall provide entry of equipment units and maintain up-to-date information about      AS-20
         each unit. Data elements for the units are including, but not limited to:
         - Basic information
         - Meter information (e.g., mileage)
         - Classes
         - Locations
         - Assignments
         - Status
         - Class preventative maintenance program
         - Individual preventative maintenance program
         - Comments
         - Inspections
         - Recurring costs
         - Acquisition
         - Ownership and depreciation
         - Warranty
         - Replacement and disposition
         - Link to external files
         - Lease agreements
    1163 The system shall provide functionality to support the definition of any number of equipment      AS-20
         classes. Users must be able to assign each equipment unit to at least six functional classes
         including, but not limited to:
         - Maintenance (for cost and cost analysis purposes)
         - Preventative maintenance (for preventative maintenance program)
         - Standards (for cost, consumption, and labor standards)
         - Rental rates (for fixed and variable chargeback rates)
         - Shop scheduling (for bay, labor, parts, and tool requirements)
    1164 The system shall provide functionality to track repairs made under warranty for all assets       AS-20

    1165 The system shall provide functionality to display a message after opening a work order if an     AS-20
         equipment unit is:
         - Late, due, or soon due for a scheduled preventative maintenance
         - Under warranty
         - Flagged for disposition
         - Subject of other open work orders
         - Subject to department approval prior to work
    1166 The system shall provide functionality to track equipment costs and provide reporting            AS-20
         including, but not limited to:
         - Cost per mile or engine hour
         - Current year-to-date total cost
         - Life-to-date total cost
    1167 The system shall provide functionality to maintain repair and preventative maintenance           AS-20

         history data for each equipment unit, including online access to both summary information
    1168 The system shall provide functionality to support the automatic renewal of component-level       AS-20
         warranty coverage periods based on type of repair performed
    1169 The system shall provide functionality to define the triggers that define when preventative      AS-20
         maintenance services become due (e.g., elapsed time, meter usage, odometer, hour meter,
         or flow meter)



                                                                                                                              9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 71 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            ASSET INVENTORY REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1170 The system shall provide functionality to support any number of certain preventative              AS-20
         maintenance checklist items detailing individual checkpoints for the preventative
         maintenance service
    1171 The system shall provide functionality for online tracking of completed preventative              AS-20
         maintenance items
    1172 The system shall provide functionality for notification of preventative maintenance               AS-20
         automatically for all equipment units by data elements including, but not limited to:
         - Location
         - Department
         - Preventative maintenance type
         - Elapsed time
         - Meter usage
         - Fuel consumption since the last maintenance was performed
    1173 The system shall provide functionality to support an unlimited number of inspections for          AS-20
         each equipment unit separate from preventative maintenance program, including but not
         limited to:
         - A periodic inspection, which a user can define to occur every month, two months, three
         months, four months, six months, or annually. When due, this inspection appears on a
         system generated report of equipment units due for inspection
         - A statutory inspection, which a user can define to occur on any desired monthly interval.
         When due, this inspection appears on a system generated report of equipment units due for
         inspection
    1174 The system shall provide functionality to track the complete history of meter rollovers (and      AS-20

         replacements) for each equipment unit and track the total life usage for each unit
    1175 The system shall provide online entry and maintenance account number information for all          AS-20
         asset records
    1176 The system shall provide functionality to generate reports detailing the cost of new assets       AS-20
         acquired to replace an asset lost, missing, stolen, or destroyed
    1177 The system shall provide functionality to produce capital asset activity reports by agency,       AS-20
         asset class and fund source (per the CAFR) for governmental activities, discretely
         presented component units, and business-type activities including, but not limited to:
         - Beginning balance
         - Beginning balance adjustments
         - Additions
         - Deletions and net transfers
         - Ending balance
    1178 The system shall provide functionality to record capital assets that were originally captured     AS-20
         as construction in progress in another module (e.g., Project Accounting)
    1179 The system shall provide functionality to create reports to be used for physical counts that      AS-20
         are organized and sorted by physical asset location and by sub-location codes specified by
         the agency
    1180 The system shall provide functionality to track and report each asset record by the               AS-20
         equipment custodian, (assigned responsible employee) another State employee or someone
         else that has taken an asset offsite from a State facility. The information to be tracked is
         including, but not limited to:
         - Date the asset was taken from the State facility
         - Expected return date
         - Actual return date
         - Who checked the asset out and in the system


                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 72 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                              ASSET INVENTORY REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

    1181 The system shall provide functionality to track and report by each asset record if the              AS-20
         equipment custodian (assigned responsible employee) is authorized to take his or her
         assigned assets offsite from the State facility and identify the person who authorized the
         State employee the privileges or right to take his or her assets offsite
    1182 The system shall provide functionality to record corrections to the previous fiscal year and        AS-20
         retroactively adjust the beginning balance of accumulated depreciation or original cost for an
         asset
    1183 The system shall provide functionality to create asset master records with no corresponding         AS-20
         cost for manual transactions (e.g., donated, gifts)
    1184 The system shall provide functionality to maintain information on loaned assets including,          AS-20
         but not limited to the following:
         - Date loaned
         - Description of action taken
         - Repairs/modifications, if necessary
         - Location changes
    1185 The system shall provide functionality to transfer asset maintenance jurisdiction within or         AS-30
         between independently operating entities at the individual asset level or group level (for
         mass changes and individual items)
    1186 The system shall provide functionality to transfer assets between departments, divisions,           AS-30
         and responsible organizations or work units
    1187 The system shall provide functionality for the receiving agency to confirm the receipt of the       AS-30
         item after a transfer
    1188 The system shall provide functionality for users to identify assets that are not subject to a       AS-30
         transfer (e.g., an asset purchased through federal funds)
    1189 The system shall provide functionality, after an asset transfer, for a quick "fill" of an           AS-30
         electronic form with information defaulted from the asset record in order to update
         responsible organization and location data
    1190 The system shall provide functionality to automatically generate any general ledger entries         AS-30
         that may result from a transfer of a capital asset
    1191 The system shall provide functionality to record the date when an asset is transferred              AS-30

    1192 The system shall provide an asset transfer transaction for collaborative data entry. This           AS-30
         shall include the capability to enter and save partially completed asset transfers. This could
         include allowing the transferring agency to complete its portion of a transfer and to allow the
         document to be saved. At a later date, the receiving agency could access the transaction
         for completion and posting of the final transfer
    1193 The system shall provide transactions (workflow enabled) for asset transfers. This                  AS-30
         functionality shall include review, release, and authorization for intra-agency or inter-agency
         transfers
    1194 The system shall provide functionality to handle transfers of partial assets                        AS-30
    1195 The system shall provide functionality to conduct mass transfers of assets                          AS-30
    1196 The system shall provide functionality to identify and track intra-agency transfers that            AS-30
         involve a change to the fund source
    1197 The system shall provide functionality to track the parent and child relationship history of a      AS-30

         component (chain of custody) when the component is transferred from one asset to another
    1198 The system shall provide functionality to transfer assets within or between independently           AS-30
         operating entities at the individual asset level or group level (for mass changes and
         individual items)
    1199 The system shall provide functionality to initiate an asset disposition request through             AS-40
         automated workflow processing


                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 73 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                              ASSET INVENTORY REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

    1200 The system shall provide functionality to dispose of a parent asset and child asset in the          AS-40
         same transaction
    1201 The system shall provide functionality to generate the appropriate accounting entries for the       AS-40
         disposition of both a parent and child asset
    1202 The system shall provide functionality to automatically generate the general ledger entries to      AS-40
         dispose of a capital asset including the removal of the cost (book value) from the asset, the
         elimination of the accumulated depreciation, the amount collected (if sold), and any gain or
         loss on the disposal
    1203 The system shall provide functionality to allow a transaction for approval of retirements.          AS-40

         Currently the State uses a Declaration of Surplus form for approval by OGS Surplus
    1204 The system shall provide functionality to retire an asset based on the disposition status of        AS-40
         the asset (e.g., if disposition is approved by OGS Surplus Property)
    1205 The system shall provide functionality for partial retirement based on, but not limited to, the     AS-40
         following:
         - Percentage
         - Value
         - Quantity
         - Unit of measure
    1206 The system shall provide functionality for reporting of assets by retirement reason,                AS-40
         retirement transaction code, and retirement method
    1207 The system shall provide functionality to conduct mass disposals of assets                          AS-40
    1208 The system shall provide functionality for exceptions to be made to the surplus document            AS-40
         prior to approval (e.g., add items to the retirement transaction that are being retired but not
         part of asset management system)
    1209 The system shall provide functionality for users to modify an asset's condition code to be          AS-40
         changed during the retirement process
    1210 The system shall provide functionality to track asset statuses within the disposition process.      AS-40
         Potential status categories include, but are not limited to:
         - Agency approved
         - Disposal review
         - State surplus reviewed
    1211 The system shall provide functionality to record and store various methods of asset                 AS-40
         disposition including, but not limited:
         - Sold
         - Traded
         - Discarded
         - Cannibalized
         - Lost or stolen
         - Donated
         - Deleted
         - Transferred
         - Casualty loss
         - Assigned to outside source
         - Control purposes only
    1212 The system shall provide functionality, upon disposition of an asset, to store data elements        AS-40
         including, but not limited to:
         - Disposition date
         - Disposition method




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 74 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                              ASSET INVENTORY REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

    1213 The system shall provide functionality to update asset location information and "last               AS-50
         inventoried date" for each scanned asset based on scanned data
    1214 The system shall provide functionality to record and store the following information related to     AS-50
         missing, lost, or stolen assets, including but not limited to:
         - Property tag/inventory control number
         - Reporting individual
         - Last inventoried date
         - Last location
         - Date of occurrence or date first noticed missing
         - Police report number, if applicable
         - A text area for applicable narrative comments
    1215 The system shall provide functionality for users to scan bar coded asset tags and                   AS-50
         automatically upload the physical inventory for review, reconciliation, and approval
    1216 The system shall provide functionality for users to modify an asset's condition during              AS-50
         physical inventory. Examples of an asset's condition include, but are not limited to:
         - New
         - Good
         - Poor
         - Broken
         - Missing
         - Lost
         - Stolen
         - Destroyed
         - Marked for disposition
    1217 The system shall provide functionality for agencies to provide mass updates to a physical           AS-50
         inventory date field
    1218 The system shall provide functionality to identify any missing physical inventory and produce       AS-50
         exception reports for tracking purposes including, but not limited to:
         - Assets scanned, but not found in system inventory
         - Assets found but retired within the system
         - Assets not found but in system inventory
    1219 The system shall provide functionality to support the download of physical inventory data to        AS-50
         bar code scanners for physical inventory counts
    1220 The system shall provide functionality to support the update of user-defined asset fields via       AS-50
         a bar code scanner at the time of physical inventory count
    1221 The system shall provide functionality to process physical inventory counts at any time,            AS-50
         including a report comparing the physical inventory count to the system count and showing
         inventory discrepancy
    1222 The system shall provide a list of all building components to facilitate a mass retirement from     AS-50

         the State's fixed asset records (e.g., a building is damaged from a fire)
    1223 The system shall provide functionality to generate depreciation on specific assets above a          AS-60
         certain dollar threshold
    1224 The system shall provide functionality to generate depreciation and update assets records           AS-60
         without sending a depreciation journal entry to the general ledger
    1225 The system shall provide functionality to perform a simulated depreciation analysis prior to        AS-60
         actual posting of depreciation
    1226 The system shall provide functionality to fully integrate the Asset Management module with          AS-60
         the general ledger to allow for the recording of depreciation expense




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 75 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                              ASSET INVENTORY REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

    1227 The system shall provide functionality to accommodate various depreciation tools including,         AS-60
         but not limited to:
         - Calculate depreciation on all fixed assets
         - Provide depreciation schedules on fixed assets
         - Generate monthly depreciation by asset for any element in the classification structure (e.g.,
         appropriation, fund, organization, program, activity, grant, project)
    1228 The system shall provide functionality to capitalize and depreciate composite assets when           AS-60
         the capitalization threshold has been met. It is not necessary for each individual component
         to meet the threshold (e.g., children of a parent asset)
    1229 The system shall provide functionality to support GAAP and GASB for the automatic                   AS-60
         calculation of depreciation
    1230 The system shall provide functionality to support the selective disabling of depreciation           AS-60
         calculations by, including but not limited to:
         - Asset record
         - Child
         - Parent
         - Agency
    1231 The system shall provide functionality to display the amount of depreciation tied to a specific     AS-60
         fixed asset
    1232 The system shall provide functionality to project depreciation for up to 10 years on monthly,       AS-60
         quarterly, semi-annually and yearly basis at a summary and detailed level
    1233 The system shall provide functionality to project annual depreciation for all assets at a           AS-60
         consolidated and individual asset level
    1234 The system shall provide functionality to not exclude certain assets from being depreciated         AS-60
         (e.g., land)
    1235 The system shall provide functionality to identify an asset as fully depreciated when it            AS-60
         reaches the end of its depreciable life
    1236 The system shall provide functionality to adjust the depreciation manually at year-end under        AS-60
         special circumstances
    1237 The system shall provide functionality to report cumulative depreciation                            AS-60
    1238 The system shall provide functionality to generate period end financial reports that are in         AS-60
         compliance with GAAP and GASB requirements
    1239 The system shall provide functionality to generate a report of deleted (archived) asset             AS-60
         master shell records in the current fiscal year, either by mass maintenance or initiated by a
         user
    1240 The system shall provide functionality for users to transfer inventories, goods, or supplies        IN-10
         within or between agencies
    1241 The system shall provide functionality to issue items for a repair order                            IN-10
    1242 The system shall provide functionality to identify stock items by commodity number or other         IN-10
         designated item identifier
    1243 The system shall provide functionality for a variable length free-form character field or           IN-10
         notepad, to describe special handling requirements, including but not limited to:
         - Hazardous material classification
         - Storage requirements
         - Special clothing requirements
         - Special instructions for handling and disposal
         - Spill response
         - Notification requirements
    1244 The system provide functionality for users to record, maintain, and report Material Safety          IN-10
         Data Sheet information




                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 76 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               ASSET INVENTORY REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1245 The system shall provide functionality to define and support the relationships between               IN-10
         division inventory or main storage location and sub-inventory locations
    1246 The system shall provide functionality to accommodate a minimum of three levels of                   IN-10
         parent/child relationships between inventory locations
    1247 The system shall provide functionality to update inventory quantities and the general ledger         IN-10
         in near-real time when the following transactions are executed including, but not limited to:
         - Receipts
         - Issues
         - Transfers
         - Returns
         - Quantity adjustments
         - Price adjustments
         - Disposal of items
         - Making items obsolete
    1248 The system shall provide functionality to apply an adjustment to the weighted average unit           IN-10
         price of an inventory item
    1249 The system shall provide functionality for users to apply price adjustments to the weighted          IN-10
         average unit price of all inventory items in any inventory location
    1250 The system shall provide functionality for separate adjustment pools to capture purchase             IN-10
         variance, inventory variance, and price adjustments of each division
    1251 The system shall provide functionality for users to issue transactions and create pick lists for     IN-10

         the backorders using a combination of First In First Out (FIFO) and priority basis
    1252 The system shall provide functionality to generate “shadow” transactions to record the               IN-10
         receipt of the items in inventory and issuance of the items from inventory at the same time
         (this requirement should be accomplished in one step)
    1253 The system shall provide functionality for users to place an inventory item on backorder             IN-10

    1254 The system shall provide functionality for users to cancel any backorder                             IN-10
    1255 The system shall provide functionality for users to for set a backorder priority level on each       IN-10
         backorder when backorders are created at a warehouse location
    1256 The system shall provide functionality to generate a pick list when an inventory unit receives       IN-10
         a requisition
    1257 The system shall provide functionality to generate a receipt document when items are                 IN-10
         issued from inventory
    1258 The system shall provide functionality to generate inventory transfer documents                      IN-10
    1259 The system shall provide functionality to flag inventory items as “in-transit” until items are       IN-10
         received by the receiving location
    1260 The system shall provide functionality to not allow the cost and quantity of inventory items to      IN-10
         be transferred to another inventory location for items “in-transit” without the receiving unit
         accepting the items
    1261 The system shall provide functionality to return stock at the same cost it was issued                IN-10
    1262 The system shall provide functionality to alert the user if material being transferred is short      IN-10
         or over
    1263 The system shall provide functionality for a user to assign a part number and manufacturer           IN-10
         reference to a specific inventory location
    1264 The system shall provide functionality for users to schedule inventory assessment reports            IN-10
         on demand and on a predefined schedule by location
    1265 The system shall provide functionality to update the on-hand quantity at the time of receipt         IN-10
         for the receiving location


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 77 of 111
                                                                                                                            New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  ASSET INVENTORY REQUIREMENTS

                                                                                                                 III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                       V. Comment/Explanation               VII. Where in Software
                                                                                                               Process ID     Compliance                                              of Effort                                       Reference

    1266 The system shall provide functionality to track serial numbers for inventory items (e.g., tools         IN-10
         and warranty items
    1267 The system shall provide functionality to require the user to enter serial numbers as part of           IN-10
         the issue, receipt, returns, and transfer transactions for those inventory item types identified
         as requiring serial numbers
    1268 The system shall provide functionality for a user to assign an effective date for inventory             IN-10
         class/type/groupings
    1269 The system shall provide functionality for users to receive, maintain, and issue                        IN-10
         inventory/stock items from multiple locations
    1270 The system shall provide functionality to allow for the partial receipt of an inventory delivery        IN-10

    1271 The system shall provide functionality to automatically add approved requisitions to a list of          IN-10
         requisitions awaiting fulfillment
    1272 The system shall provide functionality to maintain a list of all approved requisitions awaiting         IN-10
         fulfillment with information including, but not limited to the following:
         - Date requisition was received
         - Expected date of fulfillment
         - Requesting agency/location
    1273 The system shall provide functionality to suggest alternates to inventory stock items when              IN-10
         requested inventory items are insufficient to fulfill the requisition
    1274 The system shall provide functionality to allow for partial fulfillment of inventory requisitions       IN-10

    1275 The system shall provide functionality to prioritize partially fulfilled requisitions to the top of     IN-10
         the requisitions awaiting fulfillment list
    1276 The system shall provide functionality to automatically close a requisition upon the receipt of         IN-10
         an inventory delivery
    1277 The system shall provide functionality for users to control and reconcile inventory by:                 IN-20
         - Establishing inventory levels and reorder points
         - Maintaining designated critical levels of stock
         - Monitoring stock levels
    1278 The system shall provide functionality for users to obtain and report stock levels on demand            IN-20

    1279 The system shall provide functionality to calculate, record, store, and report price averaging          IN-20
         for stock on hand
    1280 The system shall provide functionality for users to track consumption of fuel, gas, etc.                IN-20

    1281 The system shall provide functionality for users to track pharmaceuticals at the unit dose              IN-20
         level
    1282 The system shall provide functionality to track physical location of inventoried items within           IN-20
         the warehouse, by bin numbers, aisle numbers, etc.




                                                                                                                                     9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 78 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            ASSET INVENTORY REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1283 The system shall provide functionality to record and store inventory to an Item Master File       IN-20
         including, but not limited to:
          - Supply center identifier
         - Organization code
         - Stock number
         - Item description
         - Unit of issue or measurement
         - Unit price
         - Inventory stock levels
         - Storage standards (e.g., climate controlled, secured)
         - Expiration date
         - Hazardous material codes
         - Location codes
         - Reorder point and quantity
    1284 The system shall provide functionality for users to determine when and where the count            IN-20
         sheets are printed
    1285 The system shall provide functionality to produce count sheets that include the following         IN-20
         data elements including, but not limited to:
         - Agency part number
         - Manufacturer part number
         - Bin number
         - Description
    1286 The system shall provide functionality to generate count sheets sorted by any data element        IN-20
         captured by the count sheets
    1287 The system shall provide functionality to control whether or not the balances of the              IN-20
         inventoried items are reported on the count sheets
    1288 The system shall provide functionality for users to enter physical count totals for inventory     IN-20
         items
    1289 The system shall provide functionality to automatically adjust any discrepancies between the      IN-20
         physical count and the actual on-hand quantity
    1290 The system shall provide functionality for users to record against a variance account for         IN-20
         Inventory adjustments
    1291 The system shall provide functionality for users to suspend all inventory transactions during     IN-20
         the physical count period
    1292 The system shall provide functionality for users to indicate the reason for an inventory          IN-20
         adjustment




                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 79 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               ASSET INVENTORY REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1293 The system shall provide an online inquiry that will list, for a specific item and location, the     IN-20
         history of the transaction details for that item including, but not limited to:
         - The document/purchase order (or other transaction) number
         - The accounting distribution information
         - The type of transaction (receipt, issue, transfer, price adjustment, requisition, direct
         delivery to a job site, etc.)
         - Total cost
         - Issuers
         - Receivers
         - Location
         - Part number
         - Location number
         - Manufacturer(s) product number(s)
         - Description
         - Inventory unit of measure
         - Weighted unit price
         - Inventory replenishment lead days
         - Bin number(s)
         - Maximum/minimum levels
         - Quantity on hand
         - Quantity in-transit
         - Quantity on order
         - Quantity on backorder
         - Quantity reserved
         - Quantity available
    1294 The system shall provide functionality to automatically calculate the following elements for         IN-30
         each item in each location including, but not limited to:
         - Maximum inventory level
         - Inventory replenishment lead days
    1295 The system shall provide functionality to support rules, including seasonal factors, to              IN-30
         calculate for the following including, but not limited to:
         - Maximum inventory level
         - Inventory replenishment lead days
    1296 The system shall provide functionality for users to create a single requisition for all items        IN-30
         that are less than or equal to the reorder point
    1297 The system shall provide functionality to calculate the suggested order quantity based on            IN-30
         the difference between on hand quantity and maximum inventory level
    1298 The system shall provide functionality to automatically generate a requisition for review            IN-30
         based on agency defined reorder level
    1299 The system shall provide functionality for users to place limits on quantities issued based on       IN-30
         set criteria
    1300 The system shall provide functionality to record backorders and generate notifications when          IN-30
         an item is restocked
    1301 The system shall provide functionality to maintain retirement or replacement dates or                IN-40
         periods by inventory item (e.g., expiration dates, shelf-life)




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 80 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 GRANTOR REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                     II. Requirement Description                                                                              V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1302 The system shall provide functionality to accommodate a primary grant record that provides        GR-10
         information for the grant overall
    1303 The system shall provide functionality to identify each grant and maintain a primary grant        GR-10
         profile with at least 100 data fields, including, but not limited to:
         - Grantor contact person’s name
         - Grantor contact person's position
         - Budget staff person(s)
         - Fiscal staff person(s)
         - Other staff person(s)
         - Title of grant
         - Grant number
         - Description of grant
         - Grant status
         - Grant procurement record subject to OSC review
         - Amount
         - Funding source
         - CFDA number
    1304 The system shall provide functionality to accommodate at least 100 data fields in the             GR-10
            primary grant record to enter and save award information for each grant including, but not
            limited to:
            - Award amount
            - Award date
            - Award type (e.g., member item, M contract)
            - Amended/Supplemental amount(s)
            - Amended/Supplemental date(s)
            - Allowable advances
            - Payment basis (e.g., deliverables, reimbursement of expenditures)
            - Non-cash award(s) (e.g., equipment, land, inventory supplies)
            - Estimated value for non-cash award(s)
            - Federal award number
            - Indirect cap amount
            - Terms and conditions
            - Grant requirements
            - Funding technique(s) for drawdown (e.g., percent based on a class of expenditures:
            payroll, administrative, direct, indirect)
            - Subject to CMIA (Cash Management Improvement Act) requirements signifier (Y/N)
            - Identifier that the grant award is greater than $50,000




                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 81 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                 GRANTOR REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1305 The system shall provide functionality to identify each prospective grantee and maintain a        GR-10
         secondary grant record with at least 100 data fields, including, but not limited:
         - Grantee/sub-grantee organization name
         - Grantee/sub-grantee contact person's name
         - Grantee/sub-grantee contact person's position
         - Grantee/sub-grantee contact person's fax number(s)
         - Grantee/sub-grantee contact person's phone number(s)
         - Grantee/sub-grantee contact person's email address(s)
         - Grantee/sub-grantee contact person's address(s)
         - DUNS number
         - Grantee's/sub-grantee's website(s)
         - Grant status
         - Grant project start and end date
         - Grant funding period start date
         - Grant funding period end date
         - Liquidation date
         - Fiscal year
         - Amount of previous grant
         - Report type due
         - Report frequency
         - Report due date(s)
         - Funding source(s)
         - Amount from each funding source
         - FEID number (federal employer identification number)
         - Statewide grant award number
         - Agency -specific grant award number
         - Women/Minority Business Enterprise code
         - Grant subject to prompt contracting requirements
         - Grant procurement record subject to OSC review
    1306 The system shall provide functionality for users to configure at least 100 data fields in the     GR-10
         secondary grant record to enter and save award information for each grant including, but not
         limited to:
         - Award amount
         - Award date
         - Award type (e.g., member item, M contract)
         - Amended/Supplemental amount(s)
         - Amended/Supplemental date(s)
         - Allowable advances
         - Payment basis (e.g., deliverables, reimbursement of expenditures)
         - Non-cash award(s) (e.g., equipment, land, inventory supplies)
         - Estimated value for non-cash award(s)
         - Federal award number
         - Indirect cap amount
         - Terms and conditions
         - Grant requirements
         - Funding technique(s) for drawdown (e.g. percent based on a class of expenditures: payroll,
         administrative, direct, indirect)
         - Subject to CMIA requirements signifier (Y/N)
         - Identifier that the grant award is greater than $50,000




                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 82 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                   GRANTOR REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

    1307 The system shall provide functionality to define the status and sub-status of a grant in the        GR-10
         primary grant record by categories including, but not limited to:
         - Application under development
         - Under development
         - Level 1 review
         - Level 2 review
         - Application posted/provided to grantee
         - Closed
    1308 The system shall provide functionality to define the status of a grant in the secondary grant       GR-10
         record by categories including, but not limited to:
         - Application under development
         - Application posted/provided to grantee
         - Application received
         - Application under review
         - Application approved
         - Contract under development
         - Awarded
         - Denied
         - Suspended (e.g., pending litigation)
         - Closed
    1309 The system shall provide functionality to automatically update the status of a grant record         GR-10
         based on business rules and/or events
    1310 The system shall provide functionality to create a unique grant number and sub-grant                GR-10
         number, if necessary, for each grant
    1311 The system shall provide functionality for users to manually enter a unique grant number            GR-10
         and sub-grant number, if necessary, for each grant
    1312 The system shall provide functionality for users to edit and update the grant record and            GR-10
         capture all edits and updates in an electronic audit trail including, but not limited to:
         - Time stamp indicating when the change was made
         - User ID of the person who made the change
         - Field altered
         - Value in the field before it was altered
         - Value in the field after it was altered
    1313 The system shall provide functionality to save a grant record for a specified period of time        GR-10

    1314 The system shall provide functionality for users to copy key information from a previous            GR-10
         grant record and include it in a new grant record
    1315 The system shall provide functionality for users to configure additional fields of at least 500     GR-10

         characters to capture comments/narrative on all grant-related documents and fields
    1316 The system shall provide functionality for users to identify which categories in the grant          GR-10
         record are required and which are optional
    1317 The system shall provide functionality for users to establish business rules to indicate when       GR-10
         a field in the grant record is required and/or optional
    1318 The system shall provide functionality to automatically update an identifier in the primary         GR-10

         grant record if a data field in a secondary grant record exceeds or meets a value
    1319 The system shall provide functionality to allow the effective date for a grant to span multiple     GR-10
         fiscal years



                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 83 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                  GRANTOR REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

    1320 The system shall provide functionality for users to edit the effective date associated with a      GR-10
         grant
    1321 The system shall provide functionality for users to upload grant-related document templates        GR-10

    1322 The system shall provide functionality for users to create grant-related document templates        GR-10

    1323 The system shall provide functionality for users to edit and save grant-related document           GR-10
         templates
    1324 The system shall provide functionality for users to categorize templates (e.g., Approved by        GR-10
         OSC, member-item template)
    1325 The system shall provide functionality for users to search for templates based on criteria         GR-10

    1326 The system shall provide functionality for users to select sections and items from the grant-      GR-10
         related templates to include or not include in the user’s document
    1327 The system shall provide functionality to restrict users from accessing competitive grant          GR-10
         applications that have been submitted by the grantee until a specified date
    1328 The system shall provide functionality for users to collaboratively create grant-related           GR-10
         documents
    1329 The system shall provide functionality for users to close specific sections of grant-related       GR-10
         documents to prevent user modification during the collaboration process
    1330 The system shall provide functionality for users to define participants for collaborative          GR-10
         creation of grant-related documents
    1331 The system shall provide functionality for users to define participants for collaborative          GR-10
         creation that are internal to the agency and external to the agency
    1332 The system shall provide functionality to save versions of grant-related documents during          GR-10
         collaborative online creation
    1333 The system shall provide functionality to restrict multiple users from making updates to the       GR-10
         same section of a grant-related document at the same time
    1334 The system shall provide functionality to track the edits made to a grant-related document         GR-10

    1335 The system shall provide functionality to notify users when other users make edits to a grant-     GR-10
         related document under creation
    1336 The system shall provide functionality for users to create multiple types of applications          GR-10
         based upon the applicant type
    1337 The system shall provide functionality to identify grant-related documents that are submitted      GR-10
         after a deadline
    1338 The system shall provide functionality for a countdown clock, henceforth referred to as a          GR-10
         prompt contracting clock, that displays the number of days left before a contract must be
         completed and signed
    1339 The system shall provide functionality for users to define the circumstances that warrant the      GR-10

         use of the prompt contracting clock and the circumstances that do not require it
    1340 The system shall provide functionality for users to define the number of days included in the      GR-10
         prompt contracting clock countdown
    1341 The system shall provide functionality for users to repeatedly suspend and reactivate a            GR-10
         prompt contracting clock in the secondary grant record
    1342 The system shall provide functionality for users to turn on a clock based on specific events       GR-10

    1343 The system shall provide functionality for users to turn off a clock based on specific events      GR-10




                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 84 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    GRANTOR REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                    II. Requirement Description                                                                                  V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1344 The system shall provide functionality to track the number of days on the prompt contracting         GR-10
         clock
    1345 The system shall provide functionality to track the number of days a clock has been turned           GR-10
         off
    1346 The system shall provide functionality to create electronic notifications at specific periods        GR-10
         before the grant award end dates
    1347 The system shall provide functionality for users to create a calendar for the grant process          GR-10
         and link tasks to the calendar
    1348 The system shall provide functionality for users in different agencies to create different grant     GR-10
            calendars and link different tasks to the calendar including, but not limited to:
            - Deliverable due from the grantee
            - Audit to be performed at the grantee site
         - State and federal reporting dates
    1349 The system shall provide functionality to notify users via email or workflow when a grant            GR-10
         calendar is established
    1350 The system shall provide functionality for users to edit the grant calendar throughout the           GR-10
         year
    1351 The system shall provide functionality to notify users via email or workflow when a grant            GR-10
         calendar is modified
    1352 The system shall provide functionality to accommodate secondary level grant records                  GR-20
         associated with each organization that submits an application for the grant
    1353 The system shall provide functionality to accommodate an unlimited number of secondary               GR-20
         grant records for each primary grant record
    1354 The system shall provide functionality for users to set up a unique analysis and scoring             GR-20
         approach for each grant
    1355 The system shall provide functionality for users to define the steps and rules used to               GR-20
         calculate scores for each grant application
    1356 The system shall provide functionality for users to save a description of how evaluators             GR-20

         should evaluate a particular section/item of an application and attach it to each section
    1357 The system shall provide functionality for users to enter, edit, and save scores for                 GR-20
         competitive grants
    1358 The system shall provide functionality for users to save one score for each evaluation               GR-20
         section
    1359 The system shall provide functionality for users to save multiple scores for each evaluation         GR-20
         section
    1360 The system shall provide functionality to calculate the sum or average of all scores in each         GR-20
         section of the grant based on specified rules
    1361 The system shall provide functionality for users to develop separate scoring rules for each          GR-20

         round of scoring when multiple scores are entered for an individual evaluation section
    1362 The system shall provide functionality for users to define access rules to restrict certain          GR-20
         users from viewing other users' scores
    1363 The system shall provide functionality to assign a unique ID number to each evaluator                GR-20

    1364 The system shall provide functionality to identify evaluators by their evaluator ID rather than      GR-20
         name to protect the evaluator's identity
    1365 The system shall provide functionality for users to attach scoring documents to a grant              GR-20
         record for competitive grants



                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 85 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    GRANTOR REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1366 The system shall provide functionality for users to create business rules in order for the           GR-20

         system to automatically calculate "scores" for information contained in the application
    1367 The system shall provide functionality to create a summary report of the scores based on             GR-20
         users’ specified needs
    1368 The system shall provide functionality for multiple agencies to make awards from a primary           GR-20
         grant record
    1369 The system shall provide functionality for multiple agencies to approve an award before it is        GR-20
         awarded to a recipient
    1370 The system shall provide functionality for users to categorize each grant record's                   GR-20
         attachments (e.g., application documents, grant application package document)
    1371 The system shall provide functionality for users to link multiple grants to a project                GR-40
    1372 The system shall provide functionality for users to link multiple projects to a grant                GR-40
    1373 The system shall provide functionality for users to link multiple grants to an appropriation         GR-40

    1374 The system shall provide functionality for users to link multiple appropriations to a grant          GR-40

    1375 The system shall provide functionality for users to establish grant-specific budget control in       GR-40
         multiple formats including, but not limited to the following:
         - Grant year
         - Grant award amount
         - Beginning and end date
    1376 The system shall provide functionality for users to establish grant-specific budget control          GR-40
         periods that are different from the appropriation control period
    1377 The system shall provide functionality to budget and report by grant                                 GR-40
    1378 The system shall provide functionality for users to create a grant's budget at a higher level in     GR-40
         the data structure than expenditures and encumbrances are recorded
    1379 The system shall provide functionality for users to control a grant's budget at a higher level       GR-40
         in the data structure than expenditures and encumbrances are recorded
    1380 The system shall provide functionality for users to enter and save expenditure-based                 GR-40
         spending projections for each grant at any level in the data hierarchy (including the chart of
         accounts)
    1381 The system shall provide functionality for users to enter and save expenditure-based                 GR-40
         spending projections for each grant for different time periods (e.g., annually, quarterly,
         monthly)
    1382 The system shall provide functionality for users to enter and save disbursement-based                GR-40
         spending projections for each grant at any level in the chart of accounts
    1383 The system shall provide functionality for users to enter and save disbursement-based                GR-40
         spending projections for each grant for different time periods (e.g., annually, quarterly,
         monthly)
    1384 The system shall provide functionality for users in different agencies to create and save            GR-40
         disbursement-based spending projections for a grant at different levels in the chart of
         accounts
    1385 The system shall provide functionality for users to simultaneously load and save both                GR-40
         expenditure-based and disbursement-based spending projections for a grant
    1386 The system shall provide functionality to create disbursement-based spending projections             GR-40
         for a grant based on the expenditure-based spending projections using customized business
         rules
    1387 The system shall provide functionality for users to edit the spending projections over the           GR-40
         course of the grant cycle



                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 86 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                                    GRANTOR REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1388 The system shall provide functionality for users to link and track all financial transactions to     GR-40
         a grant
    1389 The system shall provide functionality to restrict a grant transaction from being processed if       GR-40
         the transaction exceeds the grant award amount
    1390 The system shall provide functionality to record encumbrances against a grant                        GR-40
    1391 The system shall provide functionality to record expenditures against a grant                        GR-40
    1392 The system shall provide functionality to restrict grant-related expenditure transactions that       GR-40
         took place outside of the specified grant period
    1393 The system shall provide functionality for users to override the grant expenditure transaction       GR-40
         controls
    1394 The system shall provide functionality to record refunds of an expenditure against a grant           GR-40

    1395 The system shall provide functionality to alert specified users of a refund of expenditure           GR-40
         against a grant
    1396 The system shall provide functionality for users to suspend a grant prior to completion and          GR-40
         hold all additional financial transactions against the grant
    1397 The system shall provide functionality to save projected and actual non-financial,                   GR-40
         performance measures and associated data at any level of the data structure
    1398 The system shall provide functionality to display the total value of a grant's appropriation(s)      GR-40

    1399 The system shall provide functionality to display a financial dashboard that summarizes the          GR-40
            financial balances associated with each grant including, but not limited to:
            - Award amount
            - Encumbrances/obligations
            - Expenditures
            - Disbursements
         - Uncommitted funds
    1400 The system shall provide functionality to display the amount of current outstanding                  GR-40
         encumbrances recorded against the grant
    1401 The system shall provide functionality to display the amount of life-to-date expenditures            GR-40
         recorded against the grant
    1402 The system shall provide functionality to display the amount of life-to-date disbursements           GR-40
         recorded against the grant
    1403 The system shall provide functionality for users to close a grant upon completion of a grant         GR-50
         cycle
    1404 The system shall provide functionality for users to reopen closed grants                             GR-50
    1405 The system shall provide functionality for users to view closed grants                               GR-50
    1406 The system shall provide functionality for users to generate reports for closed grants               GR-50
    1407 The system shall provide functionality for users to liquidate encumbrances after a grant             GR-50
         period’s end date has passed but before its liquidation period end date passes
    1408 The system shall provide functionality to alert users when they decrease the grant award to          GR-50
         an amount lower than the committed balance
    1409 The system shall provide functionality to save grant data, without irrevocably condensing or         GR-50

         summarizing any level of detail for a agency-defined or state-defined period of time
    1410 The system shall provide functionality for users to condense or summarize grant-related              GR-50
         documents
    1411 The system shall provide functionality for users to selectively condense or summarize grant-         GR-50
         related documents


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 87 of 111
                                                                                                                    New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               GRANTOR REQUIREMENTS

                                                                                                         III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                 V. Comment/Explanation               VII. Where in Software
                                                                                                       Process ID     Compliance                                              of Effort                                       Reference

    1412 The system shall provide functionality to save electronic copies of all grant documents and     GR-50
         attachments for audit purposes




                                                                                                                             9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 88 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                              PROJECT ACCOUNTING REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                    II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

    1413 The system shall provide functionality to create a unique project ID number and/or WBS                 PA-10
         element for each project
    1414 The system shall provide functionality to automatically create project ID numbers                      PA-10
    1415 The system shall provide functionality for users to create projects via a batch                        PA-10
         upload/interface
    1416 The system shall provide functionality for users to create sub-projects and/or phases at the           PA-10
         detailed level required by an agency to manage its project
    1417 The system shall provide functionality for users to create a project profile for each project          PA-10
            including, but not limited to:
            - Project status (e.g., pending, active, completed, cancelled)
            - Project name
            - Project description
            - Project summary
            - Location
            - Location description
            - County code
            - Project start and end dates
            - Other project identifier (e.g., federal project ID number)
            - Restrictions on assets acquired from the project
            - Default allocation method
         - Default billing method
    1418 The system shall provide functionality for users to record and save multiple contacts and              PA-10
         associated information for a project including, but are not be limited to:
         - Contact type
         - Contact’s name
         - Contact’s office name
         - Contact’s address
         - Contact’s phone number
         - Contact’s fax number
         - Contact’s web address
         - Contact's email address
         - Comment field
    1419 The system shall provide functionality to accommodate a project structure that supports                PA-10
         agency requirements for federal and state funding including, but not limited to:
            - Project ID
            - Project type
            - Project category
            - Sub-project/phase
            - Project task identifier (used to segregate transactions/documents for a project, sub-project,
            or phase)
            - Bondable or non-bondable
         - Taxable or tax-exepmt bonds
         - State vs. Federal match
    1420 The system shall provide functionality for users to enter and save the project ID, sub-project,        PA-10
         phase, task and/or activity on any transaction


                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 89 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            PROJECT ACCOUNTING REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                      II. Requirement Description                                                                                V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1421 The system shall provide functionality for users to enter and save a schedule for the phases,        PA-10
         tasks and activities to occur within each project or sub-project
    1422 The system shall provide functionality for users to define their own geographic definitions          PA-10
         associated with a project or sub-project
    1423 The system shall provide functionality for users to identify all projects with a status              PA-10
    1424 The system shall provide functionality for users to identify one or more funding source for          PA-10
         each project, sub-project, or phase
    1425 The system shall provide functionality to manually override or edit system generated project         PA-10
         IDs
    1426 The system shall provide functionality to associate a project, phase, or sub-project to a grant      PA-10

    1427 The system shall provide functionality to associate a project, phase, or sub-project to one or       PA-10
         more funding sources
    1428 The system shall provide functionality for users to create and save project templates that           PA-10
         can be used to expedite the creation of a project
    1429 The system shall provide functionality for users to establish a funding record subsequent to         PA-10
         the commencement of a project
    1430 The system shall provide functionality for users to edit project information after the project       PA-20
         begins
    1431 The system shall provide functionality for users to identify project funding source(s)               PA-20
         throughout the life of the project including, but not limited to:
         - Fund/Subfund
         - Program
         - Appropriation
         - Appropriation year
         - Fund amount
         - Bonded or non-bonded
         - Taxable or tax-exempt bonds
         - Date funds will be available
         - Agency
         - State vs. Federal funding
    1432 The system shall provide functionality for users to enter, save, and track data associated           PA-20
            with the project, sub-project, or phase. This data includes, but is not limited to:
            - Deliverable/milestone
            - Date for deliverable/milestone
         - Value for the deliverable/milestone
    1433 The system shall provide functionality for users to create a detailed project budget at the          PA-20
         sub-project and/or phase level(s)
    1434 The system shall provide functionality for users to enter project budget detail for a specific       PA-20
         time period, fund, etc.
    1435 The system shall provide functionality to control project spending at the lowest level of detail     PA-20
         provided in the project budget
    1436 The system shall provide functionality for users to establish hard budgetary spending                PA-20
         controls which will prevent unapproved transactions from being processed against the
         project
    1437 The system shall provide functionality for users to establish tolerance budgetary spending           PA-20
         controls that will generate system warning messages when transactions are processed
         against a project




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 90 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                           PROJECT ACCOUNTING REQUIREMENTS

                                                                                                             III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID     Compliance                                              of Effort                                       Reference

    1438 The system shall provide functionality for users to remove project budgetary controls which         PA-20

         allows all transactions to be processed against a project without any warning messages
    1439 The system shall provide functionality to ensure that all monies budgeted for a specific            PA-20
         project cannot be utilized for other capital projects
    1440 The system shall provide functionality for the ability for separate line item contingencies to      PA-20
         be included in the project budget
    1441 The system shall provide functionality for users to enter project creation date                     PA-20
    1442 The system shall provide functionality to identify and track earmarks (specified use of funds       PA-20
         within a capital appropriation) within the line item project detail
    1443 The system shall provide functionality to automatically update a project’s status based upon        PA-20
         agency approval or denial
    1444 The system shall provide functionality to restrict spending activity on a project until             PA-20

         appropriate funds have been allocated and its status has been changed to "approved"
    1445 The system shall provide the ability for users to create a project budget to match the total        PA-20
         amount of funding sources that have been allocated for that project
    1446 The system shall provide functionality for users to edit the detailed project structure             PA-20
         including the addition or deletion of sub-projects and/or phases of work at any time
    1447 The system shall provide functionality to generate a list of approved projects, their               PA-20
         respective budgets, and funding sources
    1448 The system shall provide functionality to transfer all related historical data within NYFMS         PA-20
         when a project is restructured
    1449 The system shall provide functionality to capture various dates associated with a project           PA-20
         including, but not limited to:
         - Approval date(s)
         - Effective date(s)
         - Overall authorization period with start date and end date that can span multiple years
         - Authorization date for a project and phase
         - Agreement date that indicates when funding is committed and eligible costs can be billed
         (This date should be validated in the context of the authorization date above.)
    1450 The system shall provide functionality for users to enter and report budget information by          PA-30
         project, phase, or sub-project
    1451 The system shall provide functionality for users to enter and report actual costs by project,       PA-30
         phase, or sub-project
    1452 The system shall provide functionality for users to enter and report actual versus budget           PA-30
         variance by project, phase, or sub-project
    1453 The system shall provide functionality for users to enter and save statistical information that     PA-30
         may be used to measure a project including, but not limited to:
         - Unit of measure (e.g., number of full time equivalents, acres, square feet)
         - Unit of measure value
         - Percentage of completion at a specific date
         - FTEs
         -Work hours to date
    1454 The system shall provide functionality for users to enter and save federal matching                 PA-30
         requirements for a project including, but not limited to:
         - Match type (e.g., cash, in-kind services, donated equipment, donated land)
         - Match rate and basis (e.g., expenditure type)
         - Comment/summary field
         - Match restrictions on non-cash items (e.g., use/sale of land, equipment, buildings)


                                                                                                                                 9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 91 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                          PROJECT ACCOUNTING REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                    V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

    1455 The system shall provide functionality to link an asset and the project(s) for which the asset     PA-30
         was acquired
    1456 The system shall provide functionality to identify all transactions and documents that have        PA-30
         been billed for a project
    1457 The system shall provide functionality to validate that project billings do not exceed the         PA-30
         reimbursable budget and release amounts
    1458 The system shall provide functionality to generate an invoice based upon the reimbursement         PA-30
         of costs for a project or group of projects
    1459 The system shall provide functionality for users to create and save a default billing method       PA-30
         for a project, phase, or sub-project
    1460 The system shall provide functionality to generate a project invoice based upon                    PA-30
         expenditures entered against a project
    1461 The system shall provide functionality to generate a project invoice based upon                    PA-30
         disbursements entered against a project
    1462 The system shall provide functionality to create a receivables transaction upon the                PA-30
         generation of a project invoice
    1463 The system shall provide functionality for users to correct transactions that were                 PA-30
         inappropriately charged to the project
    1464 The system shall provide functionality for users to enter project revenues, encumbrances,          PA-30
         expenditures, reimbursable budget, remaining balance, and amount billed for various time
         periods including, but not limited to:
         - Period to date
         - Month to date
         - Quarter to date
         - Year to date
         - Previous month to date
         - Previous quarter to date
         - Previous year to date
         - Life to date
         - Fiscal year
    1465 The system shall provide functionality to drilldown on summary reports to the transaction          PA-30
         detail
    1466 The system shall provide functionality for users to perform a system inquiry based upon data       PA-30

         elements within the project structure (e.g., list projects for a specific category or class)
    1467 The system shall provide functionality for users to query and report all transactions and          PA-30
         documents entered against a project that are linked to a federal funding source (e.g., grant,
         contract) for any time period specified by the users (e.g., federal fiscal year, state fiscal
         year, life to date)
    1468 The system shall provide functionality to perform system inquiries across multiple projects        PA-30
         for analysis and planning purposes
    1469 The system shall provide functionality to track and report on amount of expenditures by            PA-30
         geography (e.g., county, legislative district, school district)
    1470 The system shall provide functionality to track and report on amount of expenditures by            PA-30
         contractor type (e.g., prime vs. sub-contractors/suppliers, M/WBE)
    1471 The system shall provide functionality to generate reports by project type (e.g., feasibility      PA-30
         studies, programs, buildings, infrastructure)
    1472 The system shall provide functionality for users to track feasibility studies and other non-       PA-30
         capital project costs independently of a project
    1473 The system shall provide functionality to track and report project budget and funding at each      PA-30
         milestone or deliverable, by funding source


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 92 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            PROJECT ACCOUNTING REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1474 The system shall provide functionality to report projected project costs over time to assist in      PA-30
         forecasting bond sale requirements
    1475 The system shall provide functionality to report amounts or percentages complete by major            PA-30

         project component, phase or by Work Breakdown Structure (WBS) element
    1476 The system shall provide functionality for users to enter costs and revenues (e.g., federal          PA-30
         reimbursement) at the project phase level and/or overall project level
    1477 The system shall provide functionality to capture pre-encumbrances against a project upon            PA-30
         the creation of a requisition
    1478 The system shall provide functionality to capture encumbrances against a project upon the            PA-30
         creation of a purchase order
    1479 The system shall provide functionality to capture actual costs against the project associated        PA-30
         with the payment of vendor invoices
    1480 The system shall provide functionality to report on pre-encumbrances entered against a               PA-30
         project
    1481 The system shall provide functionality to report on encumbrances entered against a project           PA-30

    1482 The system shall provide functionality to report costs that have been entered against a              PA-30
         project including those entered via settlement, reposting, or allocation
    1483 The system shall provide functionality for users to allocate overhead and other                      PA-30
         miscellaneous charges to a project, sub-project, or phase through a journal entry or
         allocation
    1484 The system shall provide functionality to track all costs allocated or transferred to and from a     PA-30
         project, sub-project, or phase
    1485 The system shall provide functionality to automatically update the General Ledger with               PA-30
         project transactions
    1486 The system shall provide functionality to identify only new or modified transactions and             PA-30
         documents to be included in the next billing for a project
    1487 The system shall provide functionality for users to define valid data combinations for posting       PA-30
         to the project, sub-project, or phase (e.g., define which organizations have authorization to
         post to a particular fund)
    1488 The system shall provide functionality to integrate project and cost accounting with other           PA-30
         functional areas including, but not limited to:
         - Purchasing
         - AP
         - Inventory
         - Fixed assets
         - Fleet management
         - General ledger
         - Grantee
         - Grantor
    1489 The system shall provide functionality to charge a project for materials released from               PA-30
         inventory and capture information including, but not limited to:
         - Material identifier
         - Description
         - Quantity
         - Unit of measure
         - Rate per unit
    1490 The system shall provide functionality for users to identify equipment and formulate usage           PA-30
         charges to the project



                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 93 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                         PROJECT ACCOUNTING REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1491 The system shall provide functionality for users to formulate funding priorities when there       PA-30
         are multiple sources of reimbursement including: - 100% of one source is expended before
         another source is expended - Sources are expended simultaneously based on percentage
         allocations provided
    1492 The system shall provide functionality for users to create a change order as a result of a        PA-40
         change in project scope and/or costs
    1493 The system shall provide functionality to track the change orders processed against a             PA-40
         project for each contractor
    1494 The system shall provide functionality to include change orders when reporting the                PA-40
         percentage complete by the contractor and/or project (e.g., cost and time)
    1495 The system shall provide functionality to create and control a project budget at any level        PA-40
         within the data hierarchy
    1496 The system shall provide functionality to automatically route change orders upon submission       PA-40

         to the appropriate level of agency management user for intra-agency approval
    1497 The system shall provide functionality to automatically route change orders to different          PA-40
         and/or multiple levels of agency management based upon dollar thresholds
    1498 The system shall provide functionality to automatically route change orders to the                PA-40
         appropriate control agency for approval once change orders have been approved by the
         appropriate level(s) of agency management
    1499 The system shall provide functionality for users to approve and release a change order            PA-40

    1500 The system shall provide functionality for users to reject a change order                         PA-40
    1501 The system shall provide functionality to automatically update a project budget upon the          PA-40
         approval and release of one or more change orders
    1502 The system shall provide functionality to send a system notification when a change order          PA-40
         has been approved
    1503 The system shall provide functionality to send a system notification when a change order          PA-40
         has been denied
    1504 The system shall provide functionality for users to edit the project budget after it has been     PA-40
         automatically updated (e.g. to reflect the approved change order)
    1505 The system shall provide functionality for users to edit and resubmit a change order that has     PA-40
         been rejected by a control agency
    1506 The system shall provide functionality to track and generate reports about change orders          PA-40
         that include various elements including, but not limited to:
         - Type of change order
         - Project
         - Contractor
         - Associate
         - Price/amount of change order
         - Impact on schedule
         - Reason code
         - Funding source
    1507 The system shall provide functionality for users to monitor the status of project change          PA-40
         orders
    1508 The system shall provide functionality for users to transfer budgeted funds between projects      PA-40
         or project categories according to user defined thresholds
    1509 The system shall provide functionality to update the contract completion date based upon          PA-40
         any changes to the effective date on the change order
    1510 The system shall provide functionality to track all projects associated with lapsing funds        PA-40



                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 94 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            PROJECT ACCOUNTING REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1511 The system shall provide functionality to automatically convert work in progress costs,              PA-50
         including labor, into a capitalized asset. This action will appropriately adjust general ledger
         accounts and update the asset management module
    1512 The system shall provide functionality for users to close a project at a specific level so that      PA-50
         all lower levels of the project will also be closed
    1513 The system shall provide functionality for users to suspend a project or sub-project prior to        PA-50
         completion
    1514 The system shall provide functionality for users to capitalize a portion of a project or project     PA-50
         asset prior to closing the project
    1515 The system shall provide functionality to automatically alert users of unused funds upon             PA-50
         project completion and closing
    1516 The system shall provide functionality to automatically generate notifications of open               PA-50

         contracts, requisitions, and/or purchase orders against a project prior to project closing
    1517 The system shall provide functionality to send a notification to appropriate users when the          PA-50
         project status changes to "closed"




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 95 of 111
                                                                                                                        New York Financial Management System (NYFMS)                                                               Exhibit E.5

                                                                                                                           ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                             III. Sub      IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID      Compliance                                              of Effort                                       Reference

    1518 The system shall provide functionality to integrate with third party archiving solutions
                                                                                                          Data Archiving
    1519 The system shall provide functionality to archive transaction and non-transaction data within
                                                                                                       Data Archiving
         the application
    1520 The system shall provide functionality to archive data to external media such as Serial ATA
                                                                                                       Data Archiving
         or optical disk systems
    1521 The system shall provide functionality to interoperate with the EMC Centera content storage
                                                                                                       Data Archiving
         solution
    1522 The system shall provide functionality to access archived data
                                                                                                       Data Archiving
    1523 The system shall provide functionality that preserves the original business context for
                                                                                                          Data Archiving
         archived data
    1524 The system shall provide functionality to define multiple types of official electronic records
                                                                                                          Data Archiving
    1525 The system shall provide functionality to define multiple record retention policies
                                                                                                          Data Archiving
    1526 The system shall provide functionality to apply retention policies based upon record type
                                                                                                          Data Archiving
    1527 The system shall provide functionality to ensure that archived data will retain the security
                                                                                                          Data Archiving
         protections of the original data
    1528 The system shall provide functionality to ensure that archived data will preserve e-
         signatures and supporting transaction documentation (such as e-procurement                       Data Archiving
         documentation)
    1529 The system shall provide functionality to define disposition rules for archived information
                                                                                                          Data Archiving
    1530 The system shall provide functionality to optimize the use of different archival storage media
                                                                                                          Data Archiving
         based on the information retained
    1531 The system shall provide functionality for archived data to be accessed and applied to
                                                                                                          Data Archiving
         transactional data as well as reporting data.
    1532 The system shall include the ability to provide or integrate with data modeling tools to         Data
         facilitate data warehouse design                                                                 Warehouse
    1533 The system shall include the ability to provide or integrate with modeling tools to assess the   Data
         impact of prospective changes to the data warehouse design                                       Warehouse
    1534 The data warehouse software shall provide functionality to perform data transformations
                                                                                                          Data
                                                                                                          Warehouse
         such as cleansing, validation, auditing, and semantic, structural, or format reconciliation
    1535 The data warehouse software shall provide functionality to trace the lineage of transformed      Data
         data                                                                                             Warehouse
    1536 The data warehouse software shall provide functionality to implement metadata
                                                                                                          Data
                                                                                                          Warehouse
         management features such as semantic integration, metadata sharing, and synchronization
    1537 The data warehouse software shall provide functionality to move data in batch or real-time       Data
         mode between various source and target systems                                                   Warehouse
    1538 The data warehouse software shall provide functionality to deploy performance and capacity
                                                                                                          Data
         scaling strategies such as parallel processing, distributed processing, partitioning, and
                                                                                                          Warehouse
         caching
    1539 The system shall provide functionality to seamlessly integrate with third party business         Data
         intelligence & reporting tools such as Business Objects, Cognos, or SAS                          Warehouse
    1540 The system shall provide functionality to deploy multi-dimensional data structures               Data
                                                                                                          Warehouse




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 96 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

    1541 The system shall provide functionality to accept data from a variety of sources, formats, and      Data
         system platforms                                                                                   Warehouse
    1542 The system shall provide functionality to integrate and capitalize on extraction and               Data
         transformation features offered by the vendor’s proposed EAI solution                              Warehouse
    1543 The ETL software shall provide pre-built integration with the proposed solutions database          Data
         objects to extract, transform and load data                                                        Warehouse
    1544 The ETL software shall contain pre-built connectors/adaptors to extract, transform and load        Data
         data from other systems including the CAS PeopleSoft system                                        Warehouse
    1545 The ETL software shall use open standards and utilize XML metadata interchange (XMI)to             Data
         exchange metadata from various heterogeneous systems                                               Warehouse
    1546 The ETL software shall provide features to create new routines to transform data                   Data
                                                                                                            Warehouse
    1547 The ETL software shall provide functionality to use scripting or other object-oriented             Data
         structured languages to define advanced transformation routines/procedures                         Warehouse
    1548 The ETL software shall provide for the ability to validate and handle exceptions during            Data
         transformation                                                                                     Warehouse
    1549 The ETL software shall provide a graphical environment to model the logical ETL process            Data
                                                                                                            Warehouse
    1550 The ETL software shall allow allows users to specify chained transformations on the data           Data
         flow and apply complex scripted transformations to the data                                        Warehouse
    1551 The ETL software shall provide the ability to override the default source mapping and use          Data
         specific SQL statements                                                                            Warehouse
    1552 The ETL software shall provide for the ability to map data from multiple source systems (i.e.
                                                                                                            Data
                                                                                                            Warehouse
            Oracle, DB2, Sybase, SQL Server) into multiple target source systems
    1553    The ETL software shall include for the ability to change transformation output data in debug    Data
            mode                                                                                            Warehouse
    1554    The ETL software shall provide for the ability to define and alter data refresh frequency and   Data
            methodology according to business needs                                                         Warehouse
    1555    The ETL software shall provide for the ability to schedule and monitor the extraction,          Data
            cleansing, transformation, and loading processes                                                Warehouse
    1556    The ETL software shall provide for the ability to perform incremental loads, or take            Data
            advantage of pipelined and partitioned parallelism to meet acceptable timeframes                Warehouse
    1557    The system shall provide standard training courses that instruct in all major areas of
                                                                                                            E Learning
            functionality proposed
    1558    The system shall provide training that has the same look and feel of the software proposed
                                                                                                            E Learning
    1559 The system shall provide for the ability to customize content to include New York State
                                                                                                            E Learning
         terminology
    1560 The system shall provide for the ability to customize content to include New York State
                                                                                                            E Learning
         business practices
    1561 The system shall provide for the ability to tailor content to include customization and
                                                                                                            E Learning
         configuration options used by New York State
    1562 The system shall provide end-user personalization capabilities to define course curriculum
                                                                                                            E Learning
         and track progress
    1563 The system shall provide for the ability to tailor and centrally manage course curricula by
                                                                                                            E Learning
         role and track progress
    1564 The system shall provide for the ability to align courses with on-the-job practices                E Learning
    1565 The system shall provide for the ability to print course materials                                 E Learning
    1566 The system shall provide for the ability to perform post evaluation and assessments of
                                                                                                            E Learning
         participant knowledge


                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 97 of 111
                                                                                                                      New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                        ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                           III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                II. Requirement Description                                                                                   V. Comment/Explanation               VII. Where in Software
                                                                                                         Process ID     Compliance                                              of Effort                                       Reference

    1567 The system shall provide self-guided and self-paced training                                   E Learning
    1568 The system shall provide a simulation environment (one dedicated to training) that guides
                                                                                                        E Learning
         users through tasks
    1569 The system shall provide a simulation environment that allows users to control the task
                                                                                                        E Learning
    1570 The system shall provide a simulation environment that allows users to selectively repeat
                                                                                                    E Learning
         sections of training
    1571 The system shall provide a simulation environment that gives context specific help         E Learning
    1572 The system shall provide a simulation environment that organizes content by subject matter
                                                                                                    E Learning
    1573 The system shall provide a simulation environment that allows self testing                     E Learning
    1574 The system shall provide a simulation environment that gives access to on demand step by
                                                                                                        E Learning
         step instructions and how-to guides
    1575 The system shall provide a simulation environment that allows users to complete practice
                                                                                                        E Learning
         exercises
    1576 The system shall provide context specific help                                                 E Learning
    1577 The system shall provide step by step instructions and how-to guides                           E Learning
    1578 The system shall provide for the ability to attach/include related documents such as work
                                                                                                        E Learning
         instructions or reference documents
    1579 The system shall provide functionality to implement data interfaces between NYFMS and          Enterprise
                                                                                                        Application
         other agency and non-agency systems, including data mapping and transformation                 Integration
    1580 The system shall provide functionality to interface with industry standard document imaging    Enterprise
         technology, including functionality to view those documents as attachments within the          Application
         system, and to define where the link to the document is triggered                              Integration
    1581 The system shall provide functionality to integrate with third-party EAI tools                 Enterprise
                                                                                                        Application
                                                                                                        Integration
    1582 The system shall provide functionality to consolidate master records from multiple data        Enterprise
                                                                                                        Application
         sources into a single copy of clean and harmonized master data                                 Integration
    1583 The system shall provide functionality to distribute master data records of appropriate type   Enterprise
                                                                                                        Application
         and format based on characteristics of the destination systems                                 Integration
    1584 The EAI software shall provide functionality to implement metadata management features         Enterprise
                                                                                                        Application
         such as semantic integration, metadata sharing, and synchronization                            Integration
    1585 The EAI software shall provide functionality to synchronize data between systems in real       Enterprise
                                                                                                        Application
         time, batch mode, or in near time (such that the latency experienced by users is minimal)      Integration
    1586 The system shall provide functionality to define business rules that drive the data            Enterprise
                                                                                                        Application
         synchronization process                                                                        Integration
    1587 The EAI software shall provide functionality to perform data transformation functions such     Enterprise
                                                                                                        Application
         as cleansing, validation, auditing, and semantic, structural, or format reconciliation         Integration
    1588 The system shall provide functionality to implement transaction management strategy            Enterprise
         between NYFMS and the new CAS to not only ensure transaction integrity and logical             Application
         completion and consistency, but also to provide transaction roll-back                          Integration




                                                                                                                               9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 98 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                             ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

    1589 The system shall provide functionality to orchestrate fully formed business process flows           Enterprise
                                                                                                             Application
            between NYFMS and the NEW CAS                                                                    Integration
    1590    The system shall provide pre-configured connectors, APIs, and wrappers to provide                Enterprise
                                                                                                             Application
            connectivity to external systems                                                                 Integration
    1591    The system shall provide functionality to centrally manage the EAI components                    Enterprise
                                                                                                             Application
                                                                                                             Integration
    1592    The system shall provide the ability to be independent of connecting platform and language Enterprise
                                                                                                             Application
            implementations                                                                                  Integration
    1593    The system shall provide functionality to synchronize master data in near real-time              Enterprise
                                                                                                             Application
                                                                                                             Integration
    1594    The system shall provide functionality to register and administer master data                    Enterprise
                                                                                                             Application
                                                                                                             Integration
    1595    The system shall provide functionality to manage chart of accounts, business partner             Enterprise
                                                                                                             Application
            (vendors, bidders), and personnel data as master data                                            Integration
    1596    The system shall provide functionality to allow multiple data owners to contribute their data Enterprise
                                                                                                             Application
            to a single authoritative master data source                                                     Integration
    1597    The system shall provide functionality to handle errors and exceptions that may occur as         Enterprise
                                                                                                             Application
            part of integration and interface operations                                                     Integration
    1598    The system shall provide functionality to define and implement standardized interfaces to        Enterprise
                                                                                                             Application
            external systems                                                                                 Integration
    1599    The system shall provide functionality to track the status of transaction processing that        Enterprise
                                                                                                             Application
            occurs over an interface                                                                         Integration
    1600    The system shall provide functionality for scheduling and monitoring integration and             Enterprise
                                                                                                             Application
            interface processing                                                                             Integration
    1601    The system shall provide functionality to automatically reconcile data between all proposed Enterprise
                                                                                                             Application
            solution components                                                                              Integration
    1602    The system shall provide functionality to prevent transactions that would introduce a data       Enterprise
                                                                                                             Application
            discrepancy between application components                                                       Integration
    1603    The system shall provide functionality to incorporate the use of common business logic in        Enterprise
                                                                                                             Application
            transaction exchanges with the CAS PeopleSoft system                                             Integration
    1604    The system shall provide functionality to ensure that accounting transactions (and other         Enterprise
            general ledger transactions) are accurately reflected in both NYFMS and the CAS                  Application
            PeopleSoft system to keep the systems synchronized and in balance                                Integration
    1605    The system shall provide functionality to preserve the lowest level of transaction detail in the Enterprise
            event that the proposed software and the CAS PeopleSoft systems use the same chart of            Application
            accounts model but at different levels of detail                                                 Integration


                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                         Page 99 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                             ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                   II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

    1606 The system shall provide functionality to provide specific controls (e.g. header and trailer        Enterprise
         records with total number of transactions and total dollar amounts, hash totals, check digits)      Application
         to ensure accurate data transfers                                                                   Integration
    1607 The system shall provide functionality to use master data to validate inbound and outbound          Enterprise
                                                                                                             Application
            interface transactions                                                                           Integration
    1608    The system shall provide functionality for the proposed EAI solution to track the propagation Enterprise
                                                                                                             Application
            of errors with complete audit trails                                                             Integration
    1609    The system shall provide functionality for EAI transaction errors to be uniquely numbered        Enterprise
                                                                                                             Application
            and to include a clear definition of the error                                                   Integration
    1610    The system shall provide functionality for EAI error notifications to be sent based on user      Enterprise
                                                                                                             Application
            defined criteria                                                                                 Integration
    1611    The system shall provide functionality for EAI exception data to be automatically routed to a Enterprise
                                                                                                             Application
            logging utility                                                                                  Integration
    1612    The system shall provide functionality to handle EAI errors differently based on high level      Enterprise
                                                                                                             Application
            classifications of error categories (such as programming errors or resource errors)              Integration
    1613    The system shall provide functionality to generate electronic responses to source agency         Enterprise
            systems regarding the number and dollar amount of EAI transactions successfully                  Application
            processed                                                                                        Integration
    1614    The system shall provide functionality to generate electronic responses to source agency
                                                                                                             Enterprise
            systems regarding the number and dollar amount of EAI transactions rejected, and detail of Application
                                                                                                             Integration
            rejected transactions including a clear and succinct description of the reason for rejection
    1615    The system shall provide EAI functionality that does not rely on proprietary protocols           Enterprise
                                                                                                             Application
                                                                                                             Integration
    1616    The system shall provide EAI functionality to support a number of standards, data formats, Enterprise
                                                                                                             Application
            and transaction protocols                                                                        Integration
    1617    The system shall provide EAI functionality that is based on a service-oriented architecture      Enterprise
                                                                                                             Application
                                                                                                             Integration
    1618    The system shall provide functionality for application exit points for integration with external Enterprise
                                                                                                             Application
            systems                                                                                          Integration
    1619    The system shall provide EAI functionality that provides a choice of batch, real-time, or near Enterprise
                                                                                                             Application
            real-time modes of operation                                                                     Integration
    1620    The system shall provide EAI functionality that leverages network level protocols to ensure Enterprise
                                                                                                             Application
            secure and reliable delivery of data                                                             Integration
    1621    The system shall provide functionality that ensures the identity of cross-system workflow        Enterprise
                                                                                                             Application
            process actors may be validated without repudiation                                              Integration




                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 100 of 111
                                                                                                                       New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                         ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                            III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                  V. Comment/Explanation               VII. Where in Software
                                                                                                          Process ID     Compliance                                              of Effort                                       Reference

    1622 The system shall provide EAI functionality to ensure that application messages are              Enterprise
                                                                                                         Application
            acknowledged and sequenced                                                                   Integration
    1623    The system shall provide EAI functionality to automatically recover from infrastructure or   Enterprise
                                                                                                         Application
            application failures                                                                         Integration
    1624    The system shall provide EAI functionality to automatically correct common errors            Enterprise
                                                                                                         Application
                                                                                                         Integration
    1625    The system shall provide EAI functionality to enable application services that perform       Enterprise
                                                                                                         Application
            specific functions, do not overlap in functionality, and only operate on specific data       Integration
    1626    The EAI architecture shall ensure that modifications to underlying system applications do    Enterprise
                                                                                                         Application
            not necessitate revisions to EAI services                                                    Integration
    1627    The system shall provide EAI functionality to allow application services to be reused by a   Enterprise
                                                                                                         Application
            number of business processes                                                                 Integration
    1628    The system shall provide EAI functionality to combine application services to form new       Enterprise
                                                                                                         Application
            business processes                                                                           Integration
    1629    The system shall provide EAI functionality for applications to register and locate services  Enterprise
                                                                                                         Application
                                                                                                         Integration
    1630    The system shall provide EAI functionality that allows application services to be            Enterprise
            implemented with predefined quality of service levels that may vary depending on the         Application
            function or process involved                                                                 Integration
    1631    The system shall provide the ability to integrate MDM functions with NYFMS as well as the Enterprise
                                                                                                         Application
            CAS PeopleSoft system                                                                        Integration
    1632    The MDM software shall provide functionality to perform master data cleansing and            Enterprise
                                                                                                         Application
            validation                                                                                   Integration
    1633    The MDM software shall provide functionality to perform transformation and semantic          Enterprise
                                                                                                         Application
            reconciliation of master data                                                                Integration
    1634    The MDM software shall provide functionality for master data profiling and change impact     Enterprise
                                                                                                         Application
            analysis                                                                                     Integration
    1635    The MDM software shall provide functionality to implement master data management roles Enterprise
                                                                                                         Application
                                                                                                         Integration
    1636    The MDM software shall provide functionality to support master data lifecycle processes      Enterprise
                                                                                                         Application
            (create, modify, delete)                                                                     Integration
    1637    The MDM software shall provide the ability for approvals in master data lifecycle processes Enterprise
                                                                                                         Application
            to be workflow driven                                                                        Integration
    1638    The system shall provide functionality to perform master data status and inventory reporting Enterprise
                                                                                                         Application
                                                                                                         Integration


                                                                                                                                9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 101 of 111
                                                                                                                             New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                               III. Sub        IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                         V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID        Compliance                                              of Effort                                       Reference

    1639 The system shall provide functionality to manage and administer the MDM infrastructure             Enterprise
                                                                                                            Application
                                                                                                            Integration
    1640 The system shall provide functionality to synchronize master data with agency systems in a         Enterprise
                                                                                                            Application
         mode consistent with the agency system capabilities                                                Integration
    1641 The system shall provide functionality to synchronize master data based on a pre-defined           Enterprise
                                                                                                            Application
         schedule                                                                                           Integration
    1642 The system shall provide the ability to run under the following operating systems: UNIX,
                                                                                                            Infrastructure
         LINUX (Suse), or a combination of the two
    1643 The system shall provide the ability to operate in a three-tiered architecture environment
                                                                                                            Infrastructure
    1644 The system shall provide the ability to operate in a clustered computer environment                Infrastructure
    1645 The system shall provide the ability to use Oracle database management system software
                                                                                                            Infrastructure
    1646 The system shall provide functionality to integrate with a tool for estimating or calculating
                                                                                                            Infrastructure
         network bandwidth requirements
    1647 The system shall support the ability to implement long-term storage and archival of historical
                                                                                                            Infrastructure
         information
    1648 The system shall support the ability to implement a secondary instance of the software in a
                                                                                                            Infrastructure
         split mirrored environment
    1649 The system shall provide functionality to generate performance information on the data
                                                                                                            Infrastructure
         storage at the volume level
    1650 The system shall support open integration with leading storage vendors such as EMC, HP,
                                                                                                            Infrastructure
         IBM, SUN
    1651 The system shall support the ability to operate with any type of storage mirroring (e.g., triple
                                                                                                            Infrastructure
         mirroring)
    1652 The system shall support the ability to use a SAN for data storage                                 Infrastructure
    1653 The system shall provide functionality to store digital information assets such as images,
                                                                                                            Infrastructure
         recorded audio/video, streaming audio/video, PC- and Mac-based files
    1654 The system shall support the ability to segregate data among storage repositories to meet
                                                                                                            Infrastructure
         performance demands or retention requirements
    1655 The system shall support the ability to backup remote databases at a second data center or
                                                                                                            Infrastructure
         a disaster recovery site
    1656 The system shall support the ability to perform database roll-back and roll-forward
                                                                                                            Infrastructure
         operations
    1657 The system shall provide functionality to store data in a compressed format                        Infrastructure
    1658 The system shall provide functionality to perform automated database problem diagnosis
                                                                                                            Infrastructure
         and status reporting
    1659 The system shall provide functionality to perform automated database space tuning                  Infrastructure
    1660 The system shall provide functionality to define an automated backup schedule                      Infrastructure
    1661 The system shall provide functionality to perform a manual backup in the event a scheduled
                                                                                                            Infrastructure
         backup fails
    1662 The system shall support the ability to perform incremental data backups                           Infrastructure
    1663 The system shall support the ability to perform offline (cold) backups                             Infrastructure
    1664 The system shall support the ability to perform online (hot) backups                               Infrastructure
    1665 The system shall provide functionality for full recovery using backup data                         Infrastructure
    1666 The system shall provide functionality to restore data from the point of failure                   Infrastructure
    1667 The system shall provide functionality to select from multiple recovery points that are within
                                                                                                            Infrastructure
         a 12 hour period


                                                                                                                                      9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 102 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                             III. Sub       IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                           Process ID       Compliance                                              of Effort                                       Reference

    1668 The system shall support the ability to make copies of backup data                              Infrastructure
    1669 The system shall support the ability to backup data from a split mirror of the database
                                                                                                         Infrastructure
    1670 The system shall provide functionality to set thresholds which generate event notifications or
         alarms based on real time performance data. Thresholds may be manually or automatically Infrastructure
         set based on historical trends
    1671 The system shall support the ability to scale across all layers (presentation, application, and
                                                                                                         Infrastructure
         data) of the NYFMS three tier architecture to meet demand
    1672 The system shall provide functionality to monitor file system performance through statistics
         such as number of files created, file size, file checksum, compare files, available file        Infrastructure
         handles, and percent used file handles
    1673 The system shall provide functionality to use monitoring tools to diagnose performance
            problems, determine when database reorganization is required, increase the speed of
                                                                                                         Infrastructure
            reorganization, unload files and temporary indexes, and report statistical data such as
         percent of migrated rows or perform pre-run analysis to check for data file space
    1674 The system shall provide functionality to view free disk space and used disk space on a
                                                                                                         Infrastructure
         total and percent basis
    1675 The system shall provide functionality to integrate with IBM Tivoli management software
                                                                                                      Infrastructure
         including the Tivoli Enterprise Console and Tivoli Workload Scheduler modules
    1676 The system shall provide functionality for automatic notification via email and pager of
                                                                                                      Infrastructure
         system events or alerts that may require action
    1677 The system shall provide functionality to schedule jobs to run automatically                 Infrastructure
    1678 The system shall provide functionality to use a browser-based tool for system administration
                                                                                                      Infrastructure
    1679 The system shall include the functionality to provide or integrate with library (or program)
            management software used to produce audit trails of program changes and maintain             Infrastructure
         program version numbers, creation date information, and copies of previous versions
    1680 The system shall provide the ability for users in remote locations to access the system
                                                                                                         Infrastructure
    1681 The system shall support the ability to replicate system data and databases                     Infrastructure
    1682 The system shall support the ability to perform synchronous and asynchronous data
                                                                                                         Infrastructure
         replication
    1683 The system shall provide the ability to minimize the number of screen refreshes required to
                                                                                                         Infrastructure
         complete a transaction
    1684 The system shall support the ability to implement multiple environments in the configuration
                                                                                                         Infrastructure
         and migration landscape
    1685 The system shall provide functionality to manage the configuration & migration landscape
                                                                                                         Infrastructure
    1686 The system shall provide functionality to implement system change controls                      Infrastructure
    1687 The system shall provide functionality to use a standard browser interface, (such as top tier
         browsers like Netscape, Explorer, likely to already be deployed on agency desktops) with no     Infrastructure
         add-on software or plug-in necessary for a standard browser
    1688 The system shall provide functionality for administrators to perform data recovery at the
                                                                                                         Infrastructure
         transaction, table, or system level
    1689 The system shall provide functionality to ensure that data are logically consistent following
                                                                                                         Infrastructure
         system crash recovery
    1690 The system shall provide functionality to link to multiple external systems such as those
                                                                                                         Portal
         based on Oracle, Peoplesoft, and SAP products


                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 103 of 111
                                                                                                                             New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                               ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                                  III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                        V. Comment/Explanation               VII. Where in Software
                                                                                                                Process ID     Compliance                                              of Effort                                       Reference

    1691 The system shall provide functionality to comply with open standards for portal
                                                                                                               Portal
         implementations such as JSR168 and WSRP
    1692 The system shall provide functionality to support multiple languages/locals (e.g. double byte,
                                                                                                               Portal
         Cyrillic, etc.) in the interface
    1693 The system shall provide functionality to integrate email with portal functions                       Portal
    1694 The system shall provide functionality to implement search functions                                  Portal
    1695 The system shall provide functionality to support browsers of different versions and from
                                                                                                               Portal
         different vendors
    1696 The system shall provide functionality to render data from a variety of source formats such
                                                                                                               Portal
         as PDF, HTML, XML, and XHTML
    1697 The system shall provide functionality to allow personalization of individual portal
                                                                                                               Portal
         configurations/work environments
    1698 The system shall provide functionality to support an interface with business intelligence
                                                                                                               Portal
         software
    1699 The system shall provide functionality to support a modular framework of portal components
                                                                                                               Portal
    1700 The system shall provide a library of pre-build portal components                                     Portal
    1701 The system shall provide functionality for portal users to navigate within the application
                                                                                                               Portal
         without additional signons
    1702 The system shall provide the ability for the portal to integrate with external systems without
                                                                                                               Portal
         compromising security controls
    1703 The system shall provide functionality for users to generate reports by any element in the
                                                                                                               Reporting
         chart of accounts
    1704 The system shall provide functionality for user-defined date ranges in all reports                    Reporting
    1705 The system shall provide functionality for users to report on financial data in ad-hoc reports
                                                                                                               Reporting
    1706 The system shall provide functionality to create reports that can be converted to other
         formats including but not limited to:
         - PDF
                                                                                                               Reporting
         - HTML
         - RTF
         - XML
    1707 The system shall provide functionality to create reports that can be exported to MS Office
                                                                                                               Reporting
         (e.g., Excel and Word) format
    1708 The system shall provide functionality to save selected report views for future use by
                                                                                                               Reporting
         individual users or multiple users and by a single agency or multiple agencies
    1709 The system shall provide functionality to distribute reports by a variety of methods such as
                                                                                                               Reporting
         email, web, fax, or PDA
    1710 The system shall provide functionality to generate user-defined reports using an ad-hoc
                                                                                                               Reporting
         querying and reporting tool
    1711 The system shall provide functionality to allow any inquiry available online to be printed
                                                                                                               Reporting
    1712 The system shall provide functionality to view reports as charts or in tabular format                 Reporting
    1713 The system shall provide functionality to drill-in/drill-out amongst levels of detail in reports of
                                                                                                               Reporting
         tabular or chart format
    1714 The system shall provide functionality for the user to incorporate formulas, functions, and
                                                                                                               Reporting
         mathematical calculations into reports
    1715 The system shall provide functionality for the user to modify report formatting and
                                                                                                               Reporting
         presentation
    1716 The system shall provide functionality to audit exports of report data or modifications to
                                                                                                               Reporting
         report definitions


                                                                                                                                      9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 104 of 111
                                                                                                                          New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                            ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                               III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                             Process ID     Compliance                                              of Effort                                       Reference

    1717 The system shall provide functionality for the user to define calculations that incorporate
                                                                                                            Reporting
         values from multiple reporting dimensions
    1718 The system shall provide functionality to generate and distribute reports based on events,
                                                                                                            Reporting
         process milestones, or predefined data thresholds
    1719 The system shall provide functionality for users to generate ad-hoc reports using a standard
                                                                                                            Reporting
         querying and reporting tool
    1720 The system shall provide functionality for users to modify the parameters, layout, and
                                                                                                            Reporting
         structure of reports
    1721 The system shall provide functionality to "drill down" on a report to the transaction level
                                                                                                            Reporting
         detail
    1722 The hardware or operating system that is required for the business intelligence/data
                                                                                                            Reporting
         warehouse/reporting tool must be the same as the ERP platform
    1723 The business intelligence/data warehouse/reporting tool shall utilize the Oracle database
                                                                                                            Reporting
         platform proposed and not require its own proprietary database structures
    1724 The business intelligence/data warehouse/reporting end user interface shall integrate with
                                                                                                            Reporting
         the proposed portal product without the loss of functionality
    1725 The business intelligence/data warehouse/reporting end user interface shall not require a
                                                                                                            Reporting
         client installation
    1726 The business intelligence/data warehouse/reporting toolset shall not require knowledge and
                                                                                                            Reporting
            training on its own proprietary language for normal usage by end-users
    1727    The business intelligence/data warehouse/reporting toolset shall leverage standard based
                                                                                                            Reporting
            syntax to configure and customize objects
    1728    The business intelligence/data warehouse/reporting toolset will provide strong monitoring
                                                                                                            Reporting
            and high control of resource utilization
    1729    The security architecture of the business intelligence/data warehouse/reporting shall
                                                                                                            Reporting
            integrate with the NYSDS
    1730    The business intelligence/data warehouse/reporting product shall leverage roles and
                                                                                                            Reporting
            security definitions that will be deployed for the main ERP product
    1731    The business intelligence/data warehouse/reporting product provides robust security to
                                                                                                            Reporting
            control access at a data, cube, report or other data warehouse object level
    1732    The business intelligence/data warehouse/reporting product shall leverage metadata in the
                                                                                                            Reporting
            end user experience to assist in the development of ad hoc queries/reports
    1733    The business intelligence/data warehouse/reporting product architecture shall leverage
                                                                                                            Reporting
            open standards to enable the exchange of metadata with other systems
    1734    The system shall provide functionality to integrate with the New York State Directory Service
                                                                                                            Security
            (NYSDS)
    1735    The system shall provide functionality to operate in an environment consisting of a single or
                                                                                                            Security
            multiple LDAP directories
    1736    The system shall include functionality to provide or integrate with technologies which allow
                                                                                                            Security
            for two factor authentication
    1737    The system shall provide functionality for all security administration functions to be
                                                                                                            Security
            performed centrally
    1738    The system shall provide functionality for selected security administration functions to be
                                                                                                            Security
            distributed to participating organizations
    1739    The system shall provide functionality to limit access to security administration functions
                                                                                                            Security
    1740 The system shall provide functionality to add, change, and delete users, and designate
                                                                                                            Security
         users as inactive



                                                                                                                                   9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 105 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                           ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1741 The system shall provide functionality to determine, identify, and report inactive user
                                                                                                           Security
         accounts
    1742 The system shall provide functionality to implement multiple security authorization levels
                                                                                                           Security
    1743 The system shall provide functionality to implement security controls at the application level
                                                                                                           Security
    1744 The system shall provide functionality to setup multiple user profiles                            Security
    1745 The system shall provide functionality to implement standard “user profiles” from which
                                                                                                           Security
         individual user IDs may inherit privileges
    1746 The system shall provide functionality to activate or deactivate user profiles                    Security
    1747 The system shall provide functionality to assign users to groups and roles                        Security
    1748 The system shall provide functionality to assign users appropriate access rights to the
         application, sub-functions, menus, and data elements based upon their associated agency,          Security
         business unit, class, group, profile, or role
    1749 The system shall provide functionality to allow or disallow the use of specific reporting
                                                                                                           Security
         capabilities
    1750 The system shall provide functionality to implement security controls at these levels:
         - Menu
         - Transaction                                                                                     Security
         - Row
         - Field
    1751 The system shall provide functionality to implement rule-based security by application
                                                                                                           Security
         function
    1752 The system shall provide functionality to separately allow or disallow a user to schedule 'off-
                                                                                                           Security
         peak' processing
    1753 The system shall provide functionality to set log-on attempts limits                              Security
    1754 The system shall provide functionality to prescribe rules regarding acceptable passwords.
         These rules shall include functionality to control:
         - Password length
                                                                                                           Security
         - Allowable character combinations
         - Reuse of passwords
         - Password expiration
    1755 The system shall provide functionality to record successful and unsuccessful attempts to
                                                                                                           Security
         obtain access to the system and data
    1756 The system shall provide functionality to restrict the number of active sessions allowed for a
                                                                                                           Security
         single user
    1757 The system shall provide functionality to display, upon log-on, the date and time the user
                                                                                                           Security
         last logged on to the system
    1758 The system shall provide functionality to display a system banner message when a user
                                                                                                           Security
         logs on
    1759 The system shall provide functionality to generate reports on user access to the application,
                                                                                                           Security
         server, and other system components
    1760 The system shall provide functionality to maintain an audit trail of events, transactions, and
                                                                                                           Security
         data modifications
    1761 The system shall provide functionality to log all transactions with external interfaces           Security
    1762 The system shall provide functionality to generate and view audit trails by selection criteria
                                                                                                           Security
         such as office, site, facility, and agency levels
    1763 The system shall provide functionality to automatically generate alerts when security
                                                                                                           Security
         controls are violated
    1764 The system shall provide functionality to run ALSEM (Audit Logging and Security Event
                                                                                                           Security
         Management) agents to allow security events to be harvested and monitored


                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 106 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                             ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                  II. Requirement Description                                                                                      V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

    1765 The system shall provide functionality to encrypt data in conformance with Federal
                                                                                                             Security
         Information Processing Standard 140-2
    1766 The system shall provide functionality for encryption of all data during the electronic
                                                                                                             Security
         transmission to non-NYFMS systems
    1767 The system shall provide functionality to encrypt specific data at rest                             Security
    1768 The system shall comply with SAML standards                                                         Security
    1769 The system shall provide functionality to allow cross validation of sub-allocated funds
         between two agencies without exposing data to an external agency that is not related to the         Security
         sub-allocaion
    1770 The system shall provide functionality to align security controls with the organizational
                                                                                                             Security
         structure defined in the software chart of accounts
    1771 The system shall provide functionality for users to view authorized summary data but not
                                                                                                             Security
         restricted detailed data
    1772 The system shall provide functionality to save all incomplete transactions or records, at any
                                                                                                             Usability
         stage, for completion at a later time
    1773 The system shall provide functionality for users to attach to any transaction, multiple
         electronic files (documents and images), without restriction to size, including, but not limited
         to:
         - Scanned receipts                                                                                  Usability
         - Supporting documentation
         - Scanned image (e.g., drawings, bulletins)
         - Amendment to a contract
    1774 The system shall provide a common graphical user interface including, but not limited to:
         - Pull-down menus
         - Spell checking
         - Ability to find, replace, and go-to within a transaction
         - Keyboard equivalent for all menu options
         - Use of a mouse for all commands
         - Scrollable list boxes
                                                                                                             Usability
         - Cursor selection of items in scrollable list boxes
         - Multiple windows that may be open at the same time
         - Windows that can be minimized and maximized
         - Built-in charting on all standard inquiries
         - Drop-down menu list of open windows
         - Ability to print windows or entire screens in a “user friendly” print format
         - Print preview of each transaction
    1775 The system shall provide an online help facility with capabilities including, but not limited to:
         - Window level help
         - Field level help
         - Error message help
                                                                                                             Usability
         - Context sensitive help
         - Windows hypertext help
         - Indexed help
         - Definable coaches, wizards, or tutors
    1776 The system shall provide functionality for users to establish a descriptive profile for the
         State's organization hierarchy containing information including, but not limited to:
         - Organization addresses                                                                            Usability
         - Contact information
         - User-defined fields for supplemental information


                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 107 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                           ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1777 The system shall provide functionality to integrate (exchange data) with MS-Office software
         including, but not limited to:
         - Excel                                                                                           Usability
         - Word
         - Access
    1778 The system shall provide functionality for users to view attachments in multiple formats of
         common software programs including, but not limited to:
         - Excel files
         - Word files
         - PowerPoint files
         - Visio files                                                                                     Usability
         - PDF files
         - Notepad files
         - Jpeg files
         - HTML files
         - Lotus 1-2-3 files
    1779 The system shall provide functionality for users to both upload data and export data from
                                                                                                           Usability
         integrated project management software
    1780 The system shall provide functionality for users to customize aspects of their screen layout
         including, but not limited to:
         - Establish custom menus
         - Establish custom “go-to” buttons
                                                                                                           Usability
         - Color choices
         - Fields displayed
         - User specific default values
         - Customizable toolbars
    1781 The system shall provide functionality to clearly display the mandatory data entry fields
                                                                                                           Usability
    1782 The system shall provide functionality for users to view multiple screens simultaneously
                                                                                                           Usability
         while maintaining data and session integrity
    1783 The system shall provide functionality to terminate a session after a pre-determined period
                                                                                                           Usability
         of inactivity
    1784 The system shall provide functionality to accommodate multiple delivery options for all
         system generated documents (e.g., vouchers, invoices, purchase orders, contracts)
         including, but not limited to:
         - Letter (printed for mailing)
         - Email- Web posting                                                                              Usability
         - Electronic Data Interchange (EDI)
         - Fax
         - Extensible Markup Language (XML)
         - Email attachment (spreadsheet or word processing document)
    1785 The system shall provide functionality to fully integrate with email software such as Microsoft
                                                                                                           Usability
         Outlook, Lotus Notes, and GroupWise
    1786 The system shall provide functionality to support the creation and use of electronic
                                                                                                           Usability
         signatures
    1787 The system shall provide functionality to apply multiple electronic signatures to a document
                                                                                                           Usability
         or transaction
    1788 The system shall provide functionality to validate and revalidate electronic signatures           Usability
    1789 The system shall provide functionality to maintain a record of electronic signature validation
                                                                                                           Usability
         in combination with the associated electronic document or transaction



                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 108 of 111
                                                                                                                           New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                             ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                                III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                       V. Comment/Explanation               VII. Where in Software
                                                                                                              Process ID     Compliance                                              of Effort                                       Reference

    1790 The system shall provide functionality for users to create transactions for a fixed or
                                                                                                             Usability
         percentage allocation amount among multiple account codes
    1791 The system shall provide functionality for users to pull forward account distributions and
            other information from referenced documents (i.e. accounting codes from purchase order           Usability
         are pulled forward to any voucher that references the original purchase order)
    1792 The system shall provide functionality for users to edit saved and posted
                                                                                                             Usability
         transactions/documents
    1793 The system shall provide functionality to accommodate standard validation on all input fields
         including, but not limited to:
         - Data type validation (including highlighting fields that are incorrectly input and not allowing
                                                                                                             Usability
         use of inactive data elements)
         - Range validation
         - Format validation (including requiring a field of a specific length to be entered)
    1794 The system shall provide functionality for users to copy previously saved transactions to a
                                                                                                             Usability
         new transaction
    1795 The system shall provide functionality for users to perform mass updates to create, change,
                                                                                                             Usability
         or delete selected fields across multiple records
    1796 The system shall provide functionality for users to establish and use quick codes (i.e. a short
         code pulls forward an associated accounting distribution) to add account number information         Usability
         to transactions
    1797 The system shall provide non-mandatory user-defined fields for the purposes of entering
                                                                                                             Usability
         miscellaneous data into a transaction
    1798 The system shall provide functionality for either a system-assigned unique number or a user-
         defined unique number for each transaction or document created in the system including,
         but not limited to the following:
         - Journal entries
         - Including cost allocations
         - Vouchers
         - Invoices                                                                                          Usability
         - Purchase orders
         - Grants
         - Requisitions
         - Assets
         - System
         - Projects
    1799 The system shall provide functionality for users to print the entire contents of any screen
                                                                                                             Usability
    1800 The system shall provide functionality to comply with the accessibility requirements specified
         in Section 508 of the Federal Rehabilitation Act, and NY State standard S04-001 regarding
                                                                                                        Usability
         accessibility of State agency web based applications (S04-001 is available at
         www.oft.state.ny.us)
    1801 The system shall provide functionality to accommodate entering a specific data element only
                                                                                                        Usability
         once per transaction
    1802 The system shall provide functionality to define unique date periods encompassing any
                                                                                                        Usability
         combination of day increments
    1803 The system shall provide functionality to display descriptive and intuitive error messages
                                                                                                        Usability
    1804 The system shall provide functionality to establish, support, and validate pre-defined
         combinations of data elements (i.e. appropriation and fund combinations, contract and               Usability
         program combinations, etc.). Invalid combinations should not be processed


                                                                                                                                    9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 109 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                           ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1805 The system shall provide functionality to support dependent conditions on data elements
         that require the input of other data elements (i.e. object value requires input of project        Usability
         number)
    1806 The system shall provide functionality to prevent the posting of a transaction unless all
         components of the transaction pass data edits and validations (e.g. fund edits and                Usability
         validations).
    1807 The system shall provide functionality for end users to undo a transaction they initiated by
                                                                                                           Usability
         mistake
    1808 The system shall provide the ability to change the names of application objects and
         attributes to be consistent with standard NY State terminology, including, but not limited to:
         - Labels for data entry fields
         - Report names                                                                                    Usability
         - Report column headings
         - Chart of account fields
         - Organizational entities
    1809 The system shall provide functionality to launch the system from within a workflow message
                                                                                                           Workflow
         or notification email
    1810 The system shall provide functionality to implement end to end business process workflows
                                                                                                           Workflow
         that extend to external systems
    1811 The system shall provide functionality to route electronic documents through a workflow and
                                                                                                           Workflow
         allow or disallow document editing at each workflow stage
    1812 The system shall provide functionality to define lead and lag times between activities            Workflow
    1813 The system shall provide functionality to define dependencies between activities in a
                                                                                                           Workflow
         workflow
    1814 The system shall provide functionality to maintain an audit trail of the transaction review and
                                                                                                           Workflow
         approval that occurred during an automated workflow
    1815 The system shall provide functionality to perform transactions and other workflow functions
                                                                                                           Workflow
         via a portal interface
    1816 The system shall provide functionality to perform workflow functions via a PDA interface
                                                                                                           Workflow
    1817 The system shall provide functionality for configurable rules-based automated notifications
         including, but not limited to:
                                                                                                           Workflow
         - System alerts (e.g., pop-up windows)
         - Automatically generated emails with variable narrative or appropriate web links
    1818 The system shall provide functionality to accommodate rules-based automatic notifications
         on events including, but not limited to:
         - Pending approvals on a system transaction
         - Aging of open invoice status
                                                                                                           Workflow
         - New budget version availability or release
         - Status of prompt contracting calendar
         - Collection of overdue debts
         - Key milestone dates in RFP/contract process
    1819 The system shall provide functionality for business partners to access the system from a
         remote location using web-based self-service functionality and search for information
         including, but not limited to:
         - Order status                                                                                    Workflow
         - Payment status
         - Grant information
         - Transaction history



                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 110 of 111
                                                                                                                         New York Financial Management System (NYFMS)                                                              Exhibit E.5

                                                                                                                           ENTERPRISE TECHNICAL REQUIREMENTS

                                                                                                              III. Sub     IV. Mode of                                             VI. Level                            VIII. Software Documentation
I. Req ID                                 II. Requirement Description                                                                                     V. Comment/Explanation               VII. Where in Software
                                                                                                            Process ID     Compliance                                              of Effort                                       Reference

    1820 The system shall provide functionality to support the establishment of workflow by
         transaction type including, but not limited to:
         - Requisitions
         - Purchase orders
         - Contracts
                                                                                                           Workflow
         - Contract change orders and amendments
         - Lease renewals
         - Vouchers
         - Budget adjustments based on cross appropriation level of detail
         - Inter-agency transactions
    1821 The system shall provide a reporting and/or inquiry tool that can report on the status of the
                                                                                                           Workflow
         transaction moving through workflow
    1822 The system shall provide functionality for users to define time thresholds or parameters for
                                                                                                           Workflow
         each activity in a workflow
    1823 The system shall provide functionality to enable users to define the sequence of activities
                                                                                                           Workflow
         that constitute a workflow transaction
    1824 The system shall provide functionality to enable users to define concurrent activities within a
                                                                                                           Workflow
         workflow transaction
    1825 The system shall provide functionality to support both sequential and concurrent approval
                                                                                                           Workflow
         processing in each module, based on predefined user configuration
    1826 The system shall provide functionality for users to delegate approval authority for a defined
                                                                                                           Workflow
         time-period (e.g., vacations)
    1827 The system shall provide functionality to establish, track, and monitor events and
                                                                                                        Workflow
         milestones (e.g., negotiation meetings, review dates, expiration dates, pricing updates, etc.)
    1828 The system shall provide functionality to automatically send notifications of approaching key
                                                                                                        Workflow
         contract events to users
    1829 The system shall provide functionality for users to "close" an contract event in the workflow
                                                                                                        Workflow
         upon its completion
    1830 The system shall provide functionality to automatically send notifications to users if a
                                                                                                        Workflow
         contract event ages past the date on which it should be "closed"




                                                                                                                                  9f26ba1d-af5a-4e8d-8933-135ff440799a.xls                                                        Page 111 of 111

				
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