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Free Promissory Note for Installment Payments Template document sample
Document Sample
RFP
LCTCS Information Systems ERP Solution Requirements
This Section of the RFP covers Functional and Technical Requirements
Table of Contents
The following tabs are included in this workbook
1 Read Me Vendors Proposers should read this before completing their responses
2 Common Detailed response requested for each requirement
3 Technical *
4 Reporting
5 Finance
6 Human Resources
7 Payroll
8 Internal Audit
9 Institutional Research
10 Recruit, Admit, Register
11 Degree Audit Grades Graduation
12 Financial Aid
13 Billing
14 Optional Extra
Page 1 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls
Notes to Vendors
to Proposers
This READ ME FIRST worksheet covers:
1 Specifications for recording your response to the Requirements contained in the following tabs of this file
2 An example of a likely response
3 Instructions regarding completion of your response in this workbook
Response Codes for all areas except Technical Requirements
1 Yes The software achieves this requirement without making ANY modification to it. Users need only use standard features or choose
from a range of defined parameters to achieve the functionality.
2 Yes-with configuration The software achieves this requirement by requiring that some configuration (but not customization) is done Configuration is
defined as using the proposer’s toolset to configure the system (e.g., adding/moving one or more fields, defining rules or using
APIs). This configuration does NOT involve creating an external application, customized code or system exit to meet the
requirement; No periodic maintenance is required to keep this functionality working when patches /upgrades are applied.
3 Yes - except for ??? Except for ??? as listed, the software achieves this requirement without making ANY modification to it. Users need only use
standard features or choose from a range of defined parameters to achieve the functionality.
4 No Modification/customization or another package is required – the software can not achieve this requirement, without a change to
source code, system exit or integration with another application (if so, specify the application). Programming may be required.
Note: Software means the applications and database(s), including necessary utility programs and toolkits, that provide the functionality required and
which the proposer is authorized to sell and license to customers.
It excludes software that the vendor cannot license to the customer or other software already owned by the customer and which is not part of the
proposer's product offering. Example: ADP Payroll System
Sample Response Response
ERP
Code Explanation
Module
Requirement
The system must support the tracking of prospects for both undergrad and graduate 1 The enrollment module requires a Enroll
college enrollment. student record to be (i) marked as
"Undergraduate" or "Graduate" and
(ii) related to the desired semester of
classes.
NOTES:
1 Please check row heights on the worksheets to insure you can read all the text contained in each cell. Resize row heights if necessary.
2 Do not change the order of lines within the spreadsheets.
Page 2 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Read Me Vendors
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
COMMON FUNCTIONAL REQUIREMENTS CLARIFYING
Code Explanation ERP Module
NOTE/EXAMPLE
Scope
This section is designed to define, and evaluate your response to, functionality that is regarded as common
throughout the application.
The requirements are stated here only, unless a unique circumstance within a functional area requires separate
statement of the requirement in the relevant section.
Background Information
COMMON REQUIREMENTS ARE EXPECTED TO BE FUNCTIONAL THROUGHOUT YOUR APPLICATION.
IF NOT, YOU ARE REQUIRED TO IDENTIFY WHERE THE COMMON FUNCTION DOES NOT APPLY SO THAT E.g. is drill down limited to GL only,
THE FUNCTIONALITY AND ANY LIMITATION CAN BE UNDERSTOOD BY EVALUATORS. thus preventing drill down from GL to
AP?
High Level Goals
The inquiry capability must be usable by users from within the application without any dependence on the Assume users are trained.
subcontrator to create, modify or maintain the inquiries.
Respond to the following requirements:
User Interface and access to the system
The system must support
1 Users accessing the system (ignore user permissions here)
1.1 via computers on the LCTCS network (LAN, WAN or VPN) using a browser interface
1.2 via the internet using a browser interface with no impairment in functionality This is key for moving to web based
interaction with students
2 An administrator interface for technical staff
Transaction Processing
The system must support
1 Options for real time and batch-based entry and retrieval of data.
1.1 Identifying which processes are only batch based updates.
1.2 Identifying if batches can be run during the day without interfering with system functionality for users.
2 Indicate situations where an update in one module of your application does not reflect immediately in other modules
that use that data.
2.1 e.g. When a student drops a class, that means tuition needs to be recalculated.
3 Indicate if and where your application requires specific year end processing routines and how these are managed Accommodate fiscal calendar and
while the ledgers for both fiscal years are open. academic years.
4 Explain how the system segregates/identifies data that relates to different semesters for various processes such as:
class scheduling, course registration, billing, financial aid, etc.
5 The ability to select multiple records (based on various parameters) and then perform a mass update to those E.g. update records of all students with
records selected. greater than X credit hours.
5.1 Definition of rules governing which data is to be updated and how, including recalculations and formulas
5.2 Generation of edit reports after the mass update has run
6 The ability to impose holds (based on rules or conditions) on specific records, preventing selected E.g. Student has not completed the
activities/transactions from being executed and also have the hold removed when the alert is cleared. application which sets a "hold" on class
registration. The completed application
is received, hold is removed to allow
registration to proceed.
6.1 Releasing the hold when the rule or condition are no longer breached. E.g. release hold after 30 days or if
GPA is adjusted to >2.0
7 Use of Excel files as templates to facilitate upload of data.
8 Use of overrides in specific cases such as Cashier override/void when processing transactions. Indicate where these Provide audit trail, exception report to
are permitted (other than relying on workflow routines requiring another user to approve the transaction). identify user and transaction/event.
9 The ability to future date transactions like reversal of accruals, pay increases, class schedules, new benefit Allows users to set up system in
deduction rates, new fees. advance
9.1 The ability to future date new data like a new account, new department, future budget period etc so that they Allows users to set up system in
become effective on the defined dates advance
Inquiries & Drill Around Inquiries differ from reports.
The system must support:
1 The ability to sort/filter information for inquiries.
1.1 including a view of "my work list", things I need to do today, items requiring my attention. Select one item and work on it - e.g.
approve the form.
1.2 The ability to customize my view of the data (e.g. move a field left, list only exceptions to work on).
1.3 The on-line inquiry and drill down and around, from high level to detail/source.
2 The ability to save inquiries for re-use or modification and to identify them as public or private.
3 The ability to include attributes added to a record in the definition of sorts/filters. E.g. new field added to student record.
4 The ability to export results into various file formats. E.g. Word, Excel, Access, PDF, html,
etc.
Workflow Enabled Processes
There are many examples where workflow based routines are required to improve process flows and reduce Indicate in your responses where
transaction time. Examples that the system must support include: workflow will help processes.
1 The ability to route work to the next person to perform a task. Including persons in other departments
1.1 The ability to approve a PO, invoice or journal entry based on authority levels.
1.2 The ability to execute the next step in the process (e.g. insert vendor and price, enter degree audit results).
1.3 The ability to alert a student that grades are poor, that financial aid has been approved, that a course is now open,
etc.
2 The ability to monitor the status/location of a transaction through the workflow.
3 The ability to apply workflow application to external applications (e.g. payroll).
Business Activity Monitoring/Alerts
The system must support:
1 The ability to define business rules for alerts/triggers to identify exceptions/condition met/event occurred.
1.1 e.g. incomplete data, Transcript not yet received.
1.2 e.g. AR past due, Less than x days before deadline for admissions.
1.3 e.g. request for approval still pending after x days.
2 Providing notification of alerts by various communication methods. email, letter, exception list, etc.
2.1 The ability to display an alert on the active window in the application
2.2 Indicate if your application contains any pre-delivered alerts. List in attachment if appropriate.
3 The ability to run an alert on a schedule or on demand.
Integration with Office Automation Software
The system must support:
1 Integration with email systems (to send a message or an alert).
2 Output to multiple file formats (e.g. Excel, Word, Access, html, PDF, etc.).
2.1 Options for different versions within the format. E.g. Excel 97, Excel 5.0
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LCTCS
PROCESS AREA Response
COMMON FUNCTIONAL REQUIREMENTS CLARIFYING
Code Explanation ERP Module
NOTE/EXAMPLE
On-line Help
1 The system must support the ability to invoke field level help or prompts to guide users on next steps in the process. And ability to access attached notes e.g.
State of LA Guidelines.
1.1 e.g. instructions on completing a purchase requisition or a grant application.
2 The system must support the prompting and/or enforcement of entry of missing data
3 The online help can be customized and an Index is available for both standard and additional contents
Name/Address Validation tools
1 The system must provide standardized formatting for address information e.g. St. or Street, Ct. or Court, Mt. or
Mount.
2 The system must integrate with name/address correction tools to insure address data is valid. e.g. NCOA
Audit Trails
The system must provide a comprehensive audit trail capability including
1 Audit trails for all transactions which alter data anywhere in the application (add, update, delete)
2 Date stamps, login user ID, context of transaction, fields affected and before and after data values
3 Options to change the template for audit trail reports.
4 Archiving of old audit trail logs
Electronic Document Management
The requirements in this section may depend on the integration of other software with your ERP application. We are
interested in understanding which functions your application offers and which it does not.
The system must support:
1 Scanning and attaching documents to a record, e.g.
1.1 Attach a scanned academic transcript to a student record.
1.2 Attach a scanned image of a signed contract to a vendor record.
1.3 Attach a word document or spreadsheet to an employee record.
2 Content searches on files (scanned or not) attached to records, e.g.
2.1 Resume attached to employee record.
2.2 Transcript image or academic counseling notes attached to student record.
3 Updating a form from a scanned document that has been:
3.1 Processed by OCR software to pre-populate fields on the form.
3.2 Including support for data validation/mandatory fields/error trapping, e.g.
3.3 Prospective student application form on paper/fax.
3.4 Employment applications on paper.
4 Electronic signature/user ID and password. Need to be able to verify requests from
specific individuals.
5 Do you partner / have alliances with document management and document storage vendors? List them
5.1 Can you identify which vendors you integrate with most frequently (especially for a Higher Education client)? List them
5.2 Can you provide indicative costs for document management & storage hardware and software? Outline them
6 Application of user access controls to the scanned images based on the user permissions as defined within the ERP e.g. user should not see a file linked to a
system field that itself is not accessible
7 Integration with Business Process Management Tools Indicate which tools
Calendars
The system must support
1 Multiple calendars (in addition to general ledger and budgeting periods/calendars) E.g. Academic calendar, Grant/Project
calendar, Fiscal (State) calendar
1.1 All units of time within the calendar
2 Uploading to a calendar function
Language
1 The system must support multiple languages in the interface so that users can select their language Identify which languages you
support as options in user
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LCTCS
TECHNICAL REQUIREMENTS
PROCESS AREA Response
TECHNICAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE ERP
Code Explanation
Module
Scope
This section is designed to define technology related aspects of your software, including specifications and ongoing You are not required to code your
maintenance. answer 1,2,3 or4 in this section
Background Information
The IT organization currently devotes significant resources to helping users work with systems, most of which are
not integrated.
High Level Goals
IT desires to support systems and applications developed with open standards, scalable in performance, reduced IT
involvement in use of applications, toolsets that enable configuration.
The goal of the State of Louisiana is to consolidate systems and leverage talent across all colleges.
GENERAL
1 Explain your scalability model in terms of users and database sizing, etc. Use an attachment if necessary.
1.1 Describe your optimally deployed system environment (architecture, configuration, database). Use an attachment if necessary.
2 What is the maximum number of users currently using the system at any customer? At what levels of usage?
3 What is typical online response time when using an appropriately tuned database in an optimally deployed system? Assume user is on campus, ignore
Assume a student is submitting an application. internet connectivity issues, assume
100 Mbps connection.
4 Please provide technical benchmarks to indicate representative system performance. Include as attachment.
5 What application messaging protocols are supported?
5.1 What email messaging protocols are supported?
6 What tools are included to assist with system performance management/monitoring? Indicate if any are third party Explain in an attachment if appropriate.
tools.
7 How many database instances are required by the product in its operational implementation?
8 Describe the system's capabilities to assist with the import/export and exchange of information without having to
create code from scratch.
9 In what language is the solution written? Are all modules written in this language? If not, explain.
10 What is the architecture? Provide an explicit pictorial diagram of the product architecture.
10.1 Please provide information about the minimal and optimal system and hardware requirements for the software you Explain in an attachment if appropriate.
propose, including desktop requirements.
11 What operating systems are supported for each tier in your architecture? (i.e.. application server, database server,
web server etc.).
12 Which databases are supported?
13 Is clustering available/required? Describe.
14 Do you have technology architecture white papers? If so, please provide as an attachment.
15 What platforms do your application and database servers currently run on? What platforms will you be adding to
this?
15.1 What steps have you taken to ensure the portability of your application to new operating systems and platforms? Please provide a roadmap (e.g. next 5
years).
16 Please provide your database schema that details standard and flex fields. Provide documentation that highlights
the standard relationships between data entities and the attributes associated with the data.
17 For users updating via the internet, indicate if the data validation routines differ from the "normal" routines (LCTCS
requires online student registration, thus data validation/error trapping is required real time).
18 What is the "normal" staffing in an IT department (at a school system similar in size/profile) for your application
(assume all modules relative to this RFP would be used)? Describe their roles and qualifications briefly.
19 What language is the report writer written in? See also Reporting Tab
20 Does your solution offer portal services, please describe. See Portal Support section below
20.1 Describe how your portal services integrate with applications.
21 For datamarts and OLAP tools, describe the toolsets required to develop additional marts and reports.
22 How many graphical user interfaces to your solution are available? See Common - User Interface
22.1 Is there a different user interface if you are connecting via a web browser?
22.2 Are users restricted to any one interface?
23 Are (API) interfaces available off the shelf, or are they customized for each customer? E.g. what pre-delivered API's do you
have.
23.1 How are API interfaces created? What standards are adhered to? Can interfaces be defined as batch updates or
single record/real time?
23.2 Please list the applications with which you interface. Do you interface with TracDAT?
23.3 Do your API's include data validation, error trapping and exception reports to facilitate correction and subsequent
successful data transfer?
23.4 Do your API's include options for users to approve before the update is committed to the database?
23.5 Do you support integration with legacy systems during implementation of new modules and in transition?
24 Describe the recovery capabilities in the event of a database problem, power loss, etc.
24.1 Describe and design backup and recovery of the system with data in case of a Disaster at an off site location.
24.2 Describe backup and recovery methodology and options.
25 Describe how the system manages updates where one user attempts an update to a record in use by another user.
26 What archiving of data is available? How can users avoid the need to examine data that is no longer current (e.g. Over time, the list of students or
exclude classes that were offered 5 years ago, or students who were at college 15 years ago)? courses can grow to impractical lengths
for users to work with daily.
27 What is your normal release program for patches and upgrades? Describe downtime requirements for upgrade and
patch management.
28 Describe the tools available to support configuration of the interface (e.g. hiding a field, disabling a function, adding Explain in an attachment if appropriate.
a field with drop down list, check box or radio-button type features).
29 Is this configuration available without disrupting or changing the core application or impacting future upgrades? How Explain in an attachment if appropriate.
does configuration survive upgrades?
30 Describe the development toolkit. What forms, tools and templates are available?
Security and Administration
1 Describe the system's security including all forms of access/update/inquiry control and at what levels is security
assigned (e.g., field, panel, module, system, company…)? In particular, address the following:
1.1 Ability to identify the status of all transactions types (as defined by security levels) including record locks for which
user is authorized
1.2 Support for a security structure where the sign-on ID is defined and maintained independent of the operating system
1.3 Usage of the sign-in ID to identify and track on any platform within the system’s architecture
1.4 Sign-on ID allows direct access to database objects for inquiry, online and reporting purposes only thru the
application security rules
1.5 Support for tracking and logging attempted security breaches
1.6 Support for tracking and logging operator access to the application
1.7 Support for one User ID at sign on to the application regardless of user activity within the system Some current apps change USerID to
SysAdmin when changing servers, thus
user log tracking is difficult
1.8 Support for Role Based Authentication and Control
2 Describe how security is administered
3 What encryption techniques are utilized within the system? Can credit card and SSN data be
encrypted/masked?
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LCTCS
PROCESS AREA Response
TECHNICAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE ERP
Code Explanation
Module
3.1 Do you support the masking of data (e.g. personal information) in compliance with FERPA, GLBA, HIPAA? Explain how you protect privacy of
information
3.2 Do you support the masking of data based on user permission setup (e.g. Fin Aid users can see data on a screen
view, but Academic Advisors cannot when looking at the same screen)?
4 What other security controls (internal and external) are in place should the network be compromised?
5 How are User rights determined/specified?
6 Does the system provide the capability to establish access authorization by user/user group & by role (employee,
student)?
7 Are there any differences in security/access control if the system is accessed via the web?
8 What is the user authentication process?
9 Does the system support LDAP and Active Directory? Explain what Directories are supported.
10 Does the system support Single Sign On for users?
11 Describe ways to secure the system.
11.1 Describe if and where an application level firewall should be used.
Hosting Options
1 Is the application available via a hosting option? If so, describe any specific hosting requirements that differ from an Describe in an attachment if
in house implementation (incl security issues). appropriate.
2 What degree of control and monitoring would LCTCS IT staff retain?
Client Workstation
1 Describe client configuration, min. and recommended (CPU, RAM etc.).
2 What client components, if any, require to be installed locally?
2.1 Can these be managed centrally?
Availability & Reliability
1 Describe how the system will mitigate against single point of failures in your system architecture.
2 Is there a failover to another system in case of machine failure?
3 Describe Your approach to load balancing.
4 Describe how the system handles db contention when running reports from an operational system
5 Describe the optimal backup and recovery schedule for the system
6 Describe your disaster recovery plan
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LCTCS
PROCESS AREA Response
TECHNICAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE ERP
Code Explanation
Module
Portal Support
With respect the portals, please provide the following information:
1 Do you provide a portal with your solution? If the portal is supplied by a third party
please list the application type and the
party which provides the solution.
2 Can your portal serve as an enterprise portal if desired? Does the portal supplied have the ability
to integrated information from other
applications.
2.1 What other applications can your portal support? Provide an attachment if necessary
2.2 Are there any limitations to the applications your portal can support?
3 Can your portal be integrated with another enterprise portal if desired?
4 Does your portal recognize the user from previous visits without requiring a "login"?
5 Does your portal integrate with content management tools? Identify content management tools
supported by portal
5.1 Does your portal provide content based on usage information?
6 Does your portal support user-based personalization? Explain personalization capabilities
7 Does your portal support rules-based personalization? Explain personalization capabilities
8 Does your portal request and record personal information via a login process?
9 Does your portal support single sign on for access to underlying functionality based on a user's security profile?
10 Does your portal support standard browsers without requiring specialized plugins to function? Identify Browsers supported
11 Does your portal detect the browser version to allow for presentation tailored to the user's environment?
12 Does your portal support either an integral or 3rd party search engine? If a 3rd party is used please list the
engine
12.1 Describe the standard functionality of the search engine. List any limitations. Provide an attachment if necessary
System Configuration
1 Please provide diagrams, whitepapers and explanations for options in configuring your proposed system (include all Indicate communications between the
hardware, software and operating systems). various applications.
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LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
REPORTING, ANALYSIS, MODELING CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This section relates to overall reporting capabilities offered by the proposer, starting with basic operational reporting
and extending to options such as enhanced functionality in analytics and modeling.
Background Information
Users are hampered by old systems and unfriendly reporting/query tools.
High Level Goals
LCTCS desires to achieve independence in developing and running reports and analyses of its data.
User reporting tools need to be intuitive to those trained to use them.
The desired solution must be capable of reporting on all data from the ERP solution. It should also provide enhanced
capabilities for analytics, modeling and potentially, forecasting/budgeting.
REPORTING
Indicate if the solution is within the application or a 3rd party tool.
Users require both exception and compliance information to perform various tasks (e.g. who is late in applying, how
many applied for English 101, etc). Inquiry functionality is expected to be part of the application, not an external
reporting tool.
NOTE The enterprise wide solution for reporting, analytics and budgeting/modeling may be an extension of an LCTCS intends to evaluate ERP proposer and
ERP offering, or it may be a 3rd party application. other vendor proposals within this area
ERP Suite Reporting
1 Is there a report writer/reporting tool as part of the standard application?
1.1 Explain the nature of the report writer/reporting tool that is included as part of the standard application. E.g. is it embedded Crystal Reports or a
proprietary tool?
2 Does the standard application includes "canned" reports, e.g. trial balance, student list by college, AP aging report, etc. Attach a list of canned reports within each module
2.1 Do you provide reports (delivered as standard) that deal with changes to system data (e.g. new accounts added), post- To help monitor system changes, manage
processing activity; e.g. confirming all batches posted)? Provide examples as attachment. processes, provide audit evidence, etc
2.2 Do you provide (delivered as standard) federal, state and other external regulatory report templates? Provide examples e.g. Pell Grant Report, 1098T
as attachment.
2.3 Do you provide (delivered as standard) tracking and measuring of user activity E.g. invoices processed, journals posted, by user
by period?
The system must support
3 Users modifying pre-delivered reports and save them for re-use. If so, outline how. Can these be defined as private or public and
how?
4 Users modifying or add descriptive text in columns and rows within reports. E.g. State of LA report template using LA
headings with data from system
5 Setting/changing parameters used in generating reports; e.g. can users change the aging bucket in an AP aging
analysis, can any attribute in the report be used as a filter or sort?
6 Users defining report components that are calculations of other data (e.g. % variance, trend, etc)
7 Limiting view of data to that for which the recipient
Scheduling of reports, with options to define distribution to different recipients (bursting the report by dept/recipient).
has permission
8 The distribution of the report(s) via Outlook email or via intranet. How?
9 Enforcing user security in report generation based on the same permissions as defined within the ERP modules. If not,
how?
10 No reasonable limitations on generating reports on demand.
11 No limitations on reporting on data across modules in your application. Including both financial and non financial data
12 No limitations on extracting and combining data in the report(s) from sources external to your ERP application. E.g. from a 3rd party payroll file, Access DB etc
Assume those data sources are "open."
13 The following output formats for users (Excel, HTML/webpage, PDF).
13.1 Graphic representations available (e.g graphs, pie charts etc).
14 Drill down within a report through successive levels of detail. Outline. E.g. system - college/technical school - campus
15 Users drilling down back to the source module from a line item in a report. E.g. to an account transaction
16 Use of balance tables to enhance performance of report generation?
16.1 Users ability to define any date range for report/query generation.
16.2 Support the ability to create flex fields and report on them
ENTERPRISE REPORTING, ANALYTICS AND MODELING (incl data warehousing)
In addition to the requirements above, please respond to the following:
This system must support:
1 Enhanced reporting and/or analytical tools through your company; is it a third party solution or not? E.g. is it an OLAP tool, if so which one?
1.1 Pre-delivered executive dashboards that can be modified to accommodate differences among schools. Explain in an attachment if appropriate
1.2 Predefined datamarts in conjunction with your analytical tools. Explain in an attachment if appropriate
1.3 Ability to push reports from System to schools and for the schools to push them back
2 Inclusion of external data sources (e.g. academic courseware, other applications) in the generation of reports. Explain in an attachment if appropriate
2.1 If Yes, what ETL tool do you use?
3 Data/reports being defined as private v public.
3.1 Ability to run each report by business unit
3.2 Ability to re-create data as of a specified date. Point in time reporting.
4 Relative to the BI/DW components:
4.1 operational reporting (e.g. budget v actual by period, YTD, variance calculations, ratios, etc) using both financial and
non-financial data
4.2 multi dimensional analytics
4.3 statistical analytics
4.4 pivot and cross-tab tables
4.5 modeling
4.6 budgeting/forecasting
4.7 ability to use ERP data for budgeting and to export approved budget numbers to the ERP system
4.8 position management/control
4.9 "what if" ability within reporting tool
5 Users working with data/reports off-line, e.g. to further manipulate the data. Explain how.
6 Users drilling down from summary level. Drill around.
7 Users access and view the reports through a portal.
8 Single sign on for users (assuming access gained through portal sign on).
9 Suppot standard Higher Ed reports (IPEDS, DOL quarterly reports, etc.)
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LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS activities
Finance, Accounting, and Budgeting
Background Information
Currently, the System is not able to deliver roll-up reports to the state agencies in a reasonable amount of time because it
waits for the individual Bus to deliver their reports to them.
The report tool does not support the efficient and accurate extraction of selected data.
Information and reports must be provided to numerous entities with varying reporting requirements and or standards and
covering differing periods of time (calendar year vs. budget year).
High Level Goals
The GL structure needs to accommodate System and State requirements for transaction analysis and reporting.
The flow of data from business units and external systems needs to be managed efficiently.
As LCTCS is a state funded organization, the budgeting process needs especially to support budgeting by source of
funds and management of appropriations in line with state requirements.
LCTCS requires access to at least five previous fiscal years of detailed financial data for reporting/ audit purposes
GENERAL
GL Set-up
The system must:
1 Support the set-up and maintenance of a Chart of Accounts (including establishing and changing relationships of
accounts) individually or en masse.
1.1 Provide smart ways to maintain and update segments of the chart (e.g. creating a new dept by copying the account
structure from another dept. etc)
2 Support the disabling of accounts for posting activity. By account or en masse
2.1 Provide flexibility in the chart structure to accommodate organizational changes
3 Support the definition of an account code structure that supports natural account, departmental cost center, funding
source, funding year, grant/contract/project.
4 Support adding attributes to account (other than in the account code) to facilitate analysis/reporting.
5 Support the definition of account types for each account (e.g. current asset, fixed asset, current liability, etc.).
6 Support multiple groupings of accounts for summarizing and reporting.
7 Allow the set-up and use of statistical accounts.
8 Support the establishment of fiscal accounting years/periods with the ability to keep multiple periods open. It is key that prior year entries can be
identified apart from current year entries
to insure compliance
9 Support the definition of additional accounting years/periods for state fiscal year and various grant/project fiscal years.
10 Allow the close of a period by specific transaction type.
12 Allow users the option to select a comparable period (e.g. same period last year and/or budget) in account inquiries.
13 Support the set-up and establishment of multiple entities and shared charts of accounts.
14 Support fund accounting to include system generated entries to balance journals by fund.
15 Provide a procedure for ledger hard close at different time periods. i.e. monthly, quarterly, annually.
GL Journal Transactions
This includes both standard GL journal entries and journals based on source ledgers Sources include Financial Aid,
Registration, Enrollment, AP, AR, Fixed
Assets, Grants, etc
The system must:
1 Support the definition of different journal types.
1.1 Support the definition of default general ledger posting rules within the source modules
2 Support the posting of journals in batch update or real-time. Including entry for negative and zero
dollar amounts
3 Check journals for valid data (i.e. active accounts, open period, etc.) upon saving and at posting of the entry. Including controls over future dated
transactions and those in closed period
4 Support linking correction journal entries to original journal entries.
5 Support the import of journal entries from third party applications (e.g. Payroll) and from Excel files with data validation
and error trapping.
6 Support the set-up and processing of recurring journal entries including accruals and reversals.
7 Support the processing of allocation journal entries using multi-level allocation pools and statistical accounts.
8 Support the retention (saving) of journal entries that are incomplete and to be completed later.
9 Support the drill down and around from report or account totals to source journal and to source sub-ledgers and to inquire
on data within the selected transaction.
10 Provide rules regarding required and/or unallowed elements on journal entries. ex. cannot affect cash on a journal entry.
BUDGETING
Budget Preparation
The system must:
1 Provide modeling capabilities (e.g. to build tuition revenue forecasts based on enrollment projections) as part of the
budgeting process.
2 Support what-if scenario functionality.
3 Support entry of budget amounts at multiple levels with roll-up functionality.
3.1 Including multiple entities/organizational hierarchies/functions
4 Support drill down into major line item amounts.
5 Have flexibility to maintain period (month, quarter, term, year) budgets, multiple budget versions for the same period, and
forecasts.
6 Allow for set up of departmental budget templates to be used for completion and submittal of budgets. Templates should include major expense
line item, prior year budget figures,
current year planning budget figures, and
actual current year budget figures.
7 Provide control to ensure selection of budget period before budget entry.
8 Support the assigning of departmental budget templates to areas in order to automate the reconciliation between original
budget control numbers by area and the summation of all departmental budgets assigned to an area.
9 Support the creation of workflow routines to route the request for departmental budget completion as well as their
approval, including alternate and absentee approvals and requests.
10 Allow for automatic update of budget amounts upon approval of departmental budget templates (i.e. interface should exist
between budget line items and templates).
11 Support the ability to retain historical budget information
12 Allow the on-line entry of departmental budgets for support staff at all campus locations.
13 Support the definition of appropriate status codes for departmental budget requests (submitted, pending approval,
approved, etc.).
14 Allow budgeted line items to be defined and reported on by multiple levels (e.g. source of funds, line items, etc.).
15 Allow for comment fields at line item level within budget templates.
16 Support the transfer of budget amounts (incl funding source) from one budget period to another I.e. roll-forward previous year's budget to
use as a starting point for current year
budget.
17 Support the transfer of remaining budget amounts (i.e. budget less actual) from one period to another
Page 9 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Finance
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS activities
Human Resources management
Background Information
The HR processes are heavily dependent on "forms based" procedures which involve many users and are not real
time.
The legilslature may move around pieces of LCTCS, therefore discrete identities with parent/child relationships are
needed to accommodate
High Level Goals
The solution should offer the functionality for management of faculty and non-faculty employees, as well as other LCTCS needs to follow both
factors unique to education (9 vs. 12 month pay and student workers). internal and State of Louisiana
mandates when recruiting staff,
these processes vary between Civil
Service, Faculty and other
To extend the use of on-line data entry and management of employee information throughout the organization and appointments.
from application to termination.
HUMAN RESOURCES
General
The system must:
1 Support the processing of on-line forms for various HR related activities or events, including appropriate routing for e.g. hiring, employee benefits change,
approval and informational purposes. transfer, vacation request
2 Support the processing of mass updates to employee records within the application. (e.g. change all employee fiscal
year indicator to the next year).
3 Support the definition of business rules to interpret employee compensation data changes and compute the resulting e.g. faculty labor contract variables by
new compensation amounts for use by payroll. person need to be interpreted to
calculate new compensation
3.1 Support the ability to track workload by credit hours for faculty and be able to define "overload" based on contract
4 Support the managing and organizing of electronic files that are attached to employee records (e.g. separate
performance reviews, research papers, student evaluations, disciplinary files, etc.).
5 Support electronic signatures
6 List available 3rd Party integrated systems
Set Up
The system must:
1 Uniquely identify each applicant or employee, (e.g. Civil Service, Faculty, or student; full name, address, SSN, Students can be employees,
employee id, department, position, pay-grade, years, credit towards tenure, etc.). administrative employees can teach,
employees can be students
2 Support the definition of mandatory and optional demographic data for various reporting purposes.
3 Allow for the selection and changing of an employee’s status (employed, resigned, retired, etc.) and allow for
reactivation, including support for breaks in service (e.g. worked at Delgado from 2000 – 2002 and 2004 – Present).
Recruiting and Hiring
The system must:
1 Support the recruitment process from requesting approval to fill a position through approval of a job description and The recruiting process should be
advertisement, receiving applications and resumes, candidate eval., examination, registers, referrals and the hiring supported by workflow management.
decision.
2 Allow conversion of a successful recruit/applicant to hired employee status with the ability to add additional required Appropriate information gathered in the
information. recruiting stage (e.g. name, address,
SSN) should not have to be re-keyed
into the system if the applicant
becomes and employee
2.1 Support the automation of the onboarding process
2.2 Support the ability to accommodate different onboarding workflows based on location
3 Support the entry of certain key employment information required to manage work contracts. (e.g. for faculty (part/full time) contract
information is required to support
calculation of compensation arising
from negotiations (initial or renewed),
including start/end dates, amount,
courses to be taught, credit
hours/course, other work, etc.).
4 Support the maintenance of multiple employment contracts by employee (e.g. an administration employee may be
part-time faculty, each contract has its own pay stream data.
5 Support the verification of the employee’s employment eligibility (e.g. confirm SSN, drivers license, I-9, personal
background, identify resident or non-resident alien status).
6 Support tracking of non resident aliens and integration with related software Impacts payroll processing
Employee Information
The system must:
1 Allow employees to review and maintain on-line personal and contact information, retrieve payroll advice, W2s, e.g. self service
leave balances and benefit elections.
2 Retain and display historical information related to employees (name changes, position changes, compensation,
training, etc.).
3 Support the ability to terminate an employee (retire, resign, layoff, dismiss) including generation of employment
termination communication and notification of appropriate parties and a "stop pay date" in payroll.
4 Support the on-line creation of an employee checkout form, pre-populated for known information contained within Exit interview checklist
the system (property signed out, debts, etc.).
5 Support the recognition, performance review and disciplinary processes for employees.
6 Support the identification and tracking of full time equivalents (FTEs) based upon position information and additional Some staff may have more than one
assignments as recorded thru multiple pay sources and job assignments. position at LCTCS
7 Support the tracking of reason or action codes for employee assignments/changes.
8 Support different performance management forms by college
9 Support Civil Service classified form as is generated by State
Job Information
The system must:
1 Support the creation and maintenance of job descriptions, for all positions and position audit history. Job Desc to Including retention of job description
include various attributes audit records
2 Support the comparison of a faculty member’s contracted teaching workload with their semester schedule workload
assignments.
3 Support the creation of an organization chart, including open positions.
4 Support the creation of default account information for different types of payments and/or deductions.
Compensation
Note: There are some employees who may be paid under multiple contracts within the system. Each contract This ties in closely with Position Control
constitutes a "pay stream" that requires detailed tracking through the payroll process. and FTE calculations
The system must:
1 Support entry of multiple pay streams with different start and stop dates/rates of pay for a single employee.
1.1 Support one-off payments to employees (e.g. one-off stipends).
Page 10 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Human Resources
LCTCS
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
1.2 Support of hourly earnings as a % of job as of report date % salary grant v. general fund
2 Support the definition of business rules to interpret employee compensation data changes and compute the resulting
new compensation amounts for use by payroll.
Including the cross checking of newly calculated pay rates against master data (tables) detailing pay ranges by
2.1 grade/position
2.2 Support CUPA (Higher Ed Salary Survey - Annual)
BENEFITS ADMINISTRATION
The system must:
1 Support the creation and maintenance of benefit options and coverage dates selected by employee/dependants,
including dependant demographic data
1.1 Maintain insurance plan details including unique enrollment and coverage dates for each plan. Supports effective- Including start/stop dates
dated benefit tables and allows for future-dated information.
1.2 Support ability to control separate annual salaries for health/dental and life calculations; handles the changes to E.g. 2005 year rates are based on April
these values, by batch or on-line, at specified times during the year as determined by LA state. 1, 2005 salary
1.3 Support use of benefit checklists and application forms for employee completion and submittal (e.g. downloading Including access to benefit provider
and completion or online completion) forms
2 Support the application of various benefit rates per benefit category, per employee group and per time period. e.g. vacation is earned at a different
rate than sick time, faculty earns
vacation at a different rate than part-
time employees, sick time is earned at
a different rate pre-1997)
2.1 Track the accrual, use and balance of all employee benefit time, including calculation of benefit time based on
multiple methods (actual hours worked, standard rate, etc.).
2.2 Prorate vacation/sick leave/holiday benefit time for positions > 1 FTE based upon the % FTE or other rule as
determined by the system
2.3 Support the ability to specify both employee and employer co-insurance amounts.
2.4 Support the ability to check balances on leave and sick time
2.5 Support the ability to notify when an employee is nearing a 0 balance for leave time
2.6 Support the ability to calculate retirement vesting
3 Support the requesting, approval and processing of Leave Without Pay requests, updating employee record and
payroll computation
3.1 Support the set-up of required and elective deductions (i.e., state withholding, SURS, medical, etc.).
4 Support the ability to include start/stop dates on deductions, determine frequency of deductions, type and tax status.
4.1 Support the ability to calculate deductions based upon various methods including percentage, flat-rate, formula,
factor, age range and table look-up.
4.2 Support the processing, modification and cancellation of court ordered liens, garnishments or deductions such as
tax liens and child support.
ACADEMIC AFFAIRS
The system must:
1 Support tracking of various faculty attributes required by Academic Affairs (academic rank, years experience).
2 Generate appropriate notices to change an employee profile when certain levels have been obtained (Instructor
status achieved, qualified for merit pay increase).
3 Support the identification on the faculty member's record of those classes the person is qualified to teach and which
they are contracted to teach
Page 11 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Human Resources
LCTCS New Administrative Systems RFP
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS activities
Payroll processing and Time Entry
Background Information
Payroll processing is affected by paper based information flows with a need for the ability to process in an off-cycle.
High Level Goals
The solution should offer the functionality for management of faculty and non-faculty employees with factors unique to LCTCS needs to follow both
education (9 vs. 12 month pay and student workers). internal and LA State mandates
when recruiting staff, these vary
between Civil Service, Faculty and
others
To extend the use of on-line data entry and management of employee information throughout the organization and
from application to termination.
Automate the effort tracking (and related costs) requirements for monitoring grant activities and compliance with
contracts.
TIME ENTRY
The system must:
1 Support the set-up and use of multiple pre-defined codes that allocate how hours can be reported and labor rates
applied.
1.1 Track key contractual information (credit hours taught, hours worked)
2 Support electronic entry of time on a per-pay period basis (e.g. daily, weekly, monthly) with workflow based approval Including ability to enter future time (e.g.
routing and monitoring of status. vacation extending past due date for
timesheet)
2.1 Perform checks on time entered, prior to processing, to identify and inform the user of potential inconsistencies (e.g. insufficient hours entered for
period, benefit time accrued < time
entered.
2.2 Support time entry on an exception basis
2.3 Support the tracking of benefit time (accrued less taken) by type for each employee (vacation, sick, holiday, FMLA, There are many benefit time categories,
etc.). not all applicable to each type of
employee (e.g. professional
development, sabbatical)
3 Support processing of time and related payroll costs to be charged to another department (e.g. work done for that
department), to a project or to a grant.
4 Support the tracking of Effort reporting as required for employment contract and Grant tracking purposes. To support correct calculation of labor
cost by effort/pay stream
5 Support the integration with optional, third party time collection systems
PAYROLL
Payroll set-up and processing
The system must:
1 Support processing of multiple payroll methods (anticipated, regular, hourly, salaried, etc.).
2 Support applying various pay rates (OT, 1.5x OT etc)
3 Allow for multiple pay streams (i.e. grants, contract requirements) to be applied independently to a single employee The total cost per pay stream is required
and for time to be tracked against each pay stream and pay calculated (incl. labor cost and deduction reporting) for various reporting purposes, including
appropriately. grants
3.1 Support the definition of pay types based upon unique calculation methods, varying methods of taxation, and
inclusion/exclusion of specific deductions
3.2 Support the calculation of gross, net and deductions, based on the employee's pay rules for each pay stream with Including classifying which pay amounts
option to generate separate checks by pay stream. will appear on W-2
3.3 Support the processing, modification and cancellation of elective deductions
4 Support employee selection of pay method and payroll processing of checks, manual checks and direct deposit Including the withholding and/or
payments/electronic fund transfers. canceling of pay checks
6 Support the electronic exchange of payroll data (pay, withholdings) with third-party payroll processors and state
agencies (e.g. HR and payroll reporting to health care provider, LA State agencies, etc)
7 Support the generation of a journal entry for posting to the GL.
8 Support the ability to recalculate earnings to determine if overpayment has occurred (due to delay in information flow
prior to payroll processing)
9 Support the automatic recalculation of retroactive pay including benefits. Contracts may be renegotiated with an
effective date prior to the date of the
actual agreement.
10 Provide annual updates to federal and state tax rates, earned income tax credit tables, and eligibility and calculation Indicate cost of such services in your
rules of OASDI and Medicare. pricing response - itemize the costs
11
Page 12 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Payroll
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS related activities:
Internal Audit
Background Information
Internal auditors are hampered by their inability to access data and make an apples-to-apples comparison and by the
fact that different schools are on different networks that require different points of access.
High Level Goals
Visibility into all data at any campus
Data Access
This section deals with desired access and manipulation of data.
The system must:
1 Support query down to table and record level.
2 Support Active Directory
3 Prompt for password resets with different parameters based on user type
4 Support parameters for unsuccessful login attempts
5 Ability to log a users activity and path
6 Support the ability to add specific and unique rights in addition to those in the profile by user
7 Support ownership of data by user type (some users can read-only, others may add-change-delete)
8 Support the ability to identify some files as Master Files (e.g. parameter tables and configuration tables)
9 Support different security levels based on file types (e.g. Master Files)
10 Support the ad hoc assignment of a classroom for non-academic purposes.
11 Support ODBCto IDEA and ACL (auditor tools)
Page 13 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Internal Audit
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS activities:
Institutional Research
Background Information
Institutional Research activities are severely hampered by the lack of an intuitive report writer and access to data.
High Level Goals
To become self-sufficient in collecting information
Institutional Research
The system must:
1 Support the ability to label data for deeper queries (e.g. online courses, honors courses, etc.)
2 Provide or interface with an assessment and planning data tool such as TrakDat
3 Support the ability to take a snapshot of a specific date and time for State reporting. this needs to be static because some
adds/drops happen later and are
backdated
4 Support the ability to query within a frozen (static) file
5 Support the ability to make some online records confidential
6 Support a purchase card system
7 Support the ability to view other departments' data to reduce the need for calling multiple places to
collect necessary data
8 Support the collection of data for non-credit and workforce development classes
9 Support surveys by recipient type and via email and portal
Page 14 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Institutional Research
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS related activities:
Recruiting, Admitting and Registering.
Background Information
Response times to students varies and the pressure that builds up as deadlines approach places severe burdens on
staff efficiency.
The process can be confusing to students, who need a smarter, friendlier way to start their educational experience. System needs to help users complete
the process for missing data.
High Level Goals
The system must support the move to web based student registration and delivery of other enrollment services and This is a key expectation of the new
reduce the dependency on paper-based services. system
The student record has its genesis with the initial entry of prospective student data into the system; the record
should then be enhanced as the student progresses through the system and beyond (to becoming an alumnus).
The student's interaction with LCTCS needs to be offered in a variety of channels to accommodate student
preferences, all with a focus on reducing data entry and improving access to information and data quality.
All recruiting, admitting, enrolling, and registering of any prospective student/student should be managed in an
integrated manner.
Recruit & Admit
This section relates to the process of attracting and admitting prospective students.
The system must:
1 Support the tracking of a student's history so that information regarding transfer credits, degree audits, academic The organization of the student record
progress, financial aid etc. is complete and consistent. must support this requirement.
1.1 Support the tracking of demographic and academic profile background information (e.g. visa status and type). Satisfy Homeland Security
requirements
2 Establish a student record with the initial entry of prospective student data into the system (could be inquiry or The user needs to be able to stop, save
formal application) on campus or via the web. Support applications for admission online. and return later to advance or complete
the process.
2.1 Support the ability to auto-populate the SIS from the admission application.
3 Contain the attributes/fields appropriate to the student's profile within a student record. Configure forms for each type of
undergrad: what data is required
(freshmen, transfers, international, re-
admits, etc.).
4 Provide an alternative student ID to the SSN (with ability to encrypt SSN field). Federal requirement to move off SSN
as public ID.
5 Prompt for possible duplicate records before a new record is updated, including the retention of multiple names and Many students return after an absence
the ability to use multiple data points, e.g.,. name + address+DOB+maiden name to de-duplicate records. to resume studies or start a new
program.
6 Provide the ability to define which data is mandatory to complete the record. To monitor completeness of each
application for follow-up.
7 Trigger certain actions to occur on a routine basis and be distributed by email, printed mail or telephone, and also e.g. transmittal of recruitment materials,
allow a “stop” to be placed on further contact. acknowledgement of application,
requests for missing data, reminders.
8 Support the tracking of prospects.
8.1 Support the communication with prospects at various levels (emails, blast emails, phone, postcard) some are currently using EMASPro
8.1.1 Support the ability to communicate with high school guidance counselors and parents of high school students
8.2 Provide reports at the end of the process to report program success
8.3 Support the ability to track Financial Aid apps and their status
8.4 Support the ability for prospects to register online for upcoming events
8.5 Support the ability to de-dupe leads using student file
8.6 Support the ability to create workflow based on type of lead and location/ market segment
8.7 Support the ability to tailor communication (e.g. adult learner is informed about child care options)
9 Be able to reflect lead sources, (e.g., walk-in, phone, special events, campaign response, online etc.) on a Student
record.
10 Support Chat Rooms Faculty talk to Students
10.1 Support the ability for prospects to track their own enrollment process
11 Support web-based requests for information fron students
12 Support the import of ACT leads and Board of Regents leads
13 Support status tracking of students from initial contact through the admission and enrollment process. Status should be inferred from stage of
application, completion of minimum
data requirements…
14 Support the definition of various status indicators/attributes to describe an applicant or admit and the ability to e.g. incomplete application > 90 days
identify inactive students (including a trigger to create “inactive” notifications). old = inactive.
15 Support students’ online inquiry into the status of their applications, using an ID and password for access.
(Information via the web must be as current as that within the system).
16 Contain information within the student record regarding the applicants’ high school transcript and transfer credit Implies the option to scan and attach
from other colleges to allow for transfer credit evaluation; the information should be available to authorized users. the document.
16.1 Support the entry of transfer course work on the transcript with the ability to equate transfer courses between
colleges in the LCTCS system.
16.2 Support automated transcripts Board of Regents is considering
ScriptSafe from Datatel
16.3 Integrate with ImageNow LCTCS has documents imaged from as
far back as 1921
17 Support the degree audit process at all stages of enrollment.
17.1 Allow for special review and approval/denial of transfer courses. Potential transfer courses not part of
articulation agreement must go through
a review process and results of the
review entered into the student's record.
18 Support the recording of information regarding an admission decision on a student’s application.
19 Allow for the processing of payment information where payment is received with the application. Whether online, mail in or on campus.
20 Track counselor activity with recruits so that a complete contact log is available on the student record.
21 Provide the ability to convert SAT total scores to ACT composite equivalents.
22 Support an EDI interface to the Board of Regents site for file transmission
23 Support an interface with the Department of Health for immunization tracking and reports
24 Support interface to ACT and COMPASS
25 Support automated maintenance of High School Codes
26 Support automated input of placement test scores
Enroll & Register
This section relates to students' determining which classes they are eligible for and intend to take.
The system must:
1 Support course enrollment via the web (as primary medium) and on campus (meeting with advisor or using a
computer on campus).
2 Support the ability for students to create or change their own PINs.
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LCTCS
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
3 Support the creation of enrollment periods to govern the student enrollment process. e.g. early registration, freshmen only,
periods.
4 Support enrollment rules such as requiring freshmen to meet an advisor to enroll, while permitting others to enroll
online.
5 Support enrollment rules such as allowing only nursing majors to register for certain nursing classes during early
registration or reserving a number of seats for freshmen.
6 Support the creation of rules that provide automatic evaluation of a student’s eligibility for courses they wish to enroll Impact on system performance must be
in. This includes constraints to prevent students from registering in courses for which they are not qualified/eligible. understood, including how impact may
vary with differing levels of activity.
6.1 Prevent conflicts such as a student registering for back to back classes at different LCTCS locations such that it is e.g. warn student that the selected
impossible for them to get to the second class in time. classes are in separate locations
6.2 Prevent conflicts such as a student registering for two classes at the same time e.g. warn student of conflict
7 Allow students to add or drop courses through the registration period. Deadline dates will differ for adding and
dropping of courses.
8 Retain all enrollment transaction data for the life of the student record.
9 Generate reminders before the payment confirmation deadline.
10 Enable students to make payment on enrollment (e.g. by credit card online) and mark an enrollment as non-
confirmed until payment is received (e.g. enroll online, but mail check to bursar).
11 Cancel a student’s course schedule for non-payment, and the course schedule history should be retained.
12 Support the reinstatement of a student's course schedule upon receipt of payment from student.
13 Support the ability to submit and route petitions and waivers for review and decision, to track their status and to
record notes around the decision.
14 Support placing of holds which block registration by term (semester). Holds can also be placed which become
effective at a future date or term.
15 Enable students to select courses one by one or en masse (with warning if a chosen course is not available).
16 Support the ability for specific staff to override enrollment limits or controls on an individual basis. ability to override E.g. the ability to override maximum
maximum allowed hours, pre-requisite and duplicate course restrictions. allowed hours, pre-requisite and
duplicate course restrictions.
Page 16 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Recruit, Admit, Register
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS activities:
Grading, Grade Appeals, Transcript Evaluation, Degree Audit and Graduation.
Background Information
Today, there are too many handoffs of paper based information, thus delaying this important process for students.
High Level Goals
Simplify the capture of grades, improve delivery of grade information and tracking of grade appeals.
Improve the process to ensure compliance with graduation requirements.
Controls to assure data integrity and compliance with LCTCS graduation policy should be supported.
Grading & Grade Appeals
This section deals with the recording of student grades during their academic life at LCTCS and the process for
appealing grades.
To manage these areas the system must:
1 Support the establishment of a "window" for inputting final grades, delaying publication (until approved for release). There should be a period where grades
can be entered defined within the
system.
2 Support the entry of student grades directly into the application, with options for high volume, easy to enter screens Independent of the use of a grade book,
supported by error validation. proper final student grades (no "+'s" or "-
's") should be able to be entered on a
course/section basis.
2.1 Support the entry of student grades via file uploads (e.g. Excel) that are supported by data validation and error
trapping.
3 Student access to their own grades via various channels: online, telephone, email and letter.
4 Allow the entry of grades but prevent the posting of final grades for non-registered students.
5 Support the creation of grade books for each course and section offered so that instructors can maintain grade
information throughout the semester.
6 Allow the definition of status codes for grades (provisional, on appeal, approved, etc.). Occurs only within the instructors grade
book not in the final transmission of the
grade.
7 The modification of a student's grade after final posting. Changes to a posted grade need to be
carefully monitored to insure they are for
valid reasons.
8 Be able to note on a student’s record the initiation of a formal grade appeal. Should not be part of the transcript
record.
9 Notify students of the results of a formal grade appeal.
10 Production of an audit trail (time, date, user stamp) for any changes to a final grade.
11 Calculate GPA specific to academic programs. A student may have multiple types of
GPA (e.g. one for each major, including
only major classes, an overall including
all classes, etc.) The system should
support calculation of multiple GPA's
given the same data and different
requirements.
12 Support the designation of courses that carry graduate degree credit (and those which do not) so that the GPA
calculation can be determined on designated courses only.
13 Support the ability to exempt specific selected grades from calculations. E.g. grades earned 5 years previous
may not be included as part of a GPA
calculation.
14 Support the ability to reset GPA and cumulative hours. Students may pursue multiple degrees.
GPA and hours should be calculated for
each degree.
15 Identify and alert certain conditions (e.g. poor scholarship/low grades, enrollment status, low GPA) relative to a
student's activity.
16 Support the definition of graduation status and hold codes and the ability to identify ineligible applicants.
17 Support the maintenance of course history and allow for course changes for transcript generation.
17.1 Provide audit support for course history
18 Provide the ability to grandfather ongoing students into a specific catalog
18.1 Support the ability for automated schedule creation
18.2 Match faculty to available days and times, include pre-req and co-req, include type (e.g. honors, etc.), include lecture
and labs associations, include clock and credit hours.
19 Support the ability to include attributes for non-credit classes for enhanced reporting
Transcript Evaluation & Graduation
This section deals with reviewing the student's academic record to determine eligibility for graduation and with the
graduation decision process.
To manage these areas the system must:
1 Notify students to apply for graduation during a time frame defined by program requirements and allow the students to
apply for graduation on-line.
2 Maintain student records that contain all pertinent data related to each student’s academic matriculation to determine
eligibility to graduate.
3 Support the defining of rules for college requirements for degrees in every major/minor within each college, allowing
for unique requirements, such as State Certifications.
4 Support generation of correspondence and other graduation outputs (e.g. diplomas).
5 Support students’ inquiry into the status of their application to graduate, with appropriate access control via student ID
and password.
6 Support the degree audit process including the following:
6.1 Defining rules to perform a degree audit on a student’s academic record at any stage, using transfer credit data as well The ability to conduct a degree audit at
as home school course date and grade. any time of a student's life is key for
enrollment services staff, advisors and
instructors. Audits need to be conducted
6.2 Tracking different sets of requirements for degree audit purposes.
for multiple purposes, thus the system
6.3 Defining exemptions (including the ability to override degree audit rules (i.e. substitutions and/or waivers). needs to support multiple audit setup.
6.4 Support "what if" queries
6.5 Support integration with the timetable
6.6 Support course substitutions by student and discipline
7 Support the matching of appropriate degree information to majors, minors, honors, certificate completion, etc. Degree information which appears on
the transcript.
8 Support entry of free text into a student's transcript based on meeting previously defined conditions.
9 Support the processing of transcript requests.
10 Support the tracking of classes taken by students for non-degree purposes, e.g. teacher certification classes, aka Should form part of student's total
Professional Development classes academic record
10.1 Including the ability to exclude these courses from Degree Audit and GPA calculations
Page 17 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Degree Audit Grades Graduation
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
SCOPE
This Summary covers the following LCTCS activities
Financial Aid Application Processing, Disbursing, Recalculating and Refunding aid, Aid Funds Management,
Academic Status monitoring, Tuition Waivers & Scholarships, Student Employment, and Student Loans.
Background Information
The Financial Aid function needs to work with multiple entities in helping students obtain aid, where data interaction
with those entities varies from manual to electronic.
High Level Goals
Improve Financial Aid staff access to information to reduce multi-tasking and redundant data entry, noting the
constraints of working with many different programs and sharing data in different formats.
FINANCIAL AID
Financial Aid Application Processing
The system must:
1 Support defining rules and data requirements used to determine a student’s eligibility for overall aid and for each aid E.g. mandatory fields within system and
program. data imported from agencies: Academic
progress, student level, GPA,
enrollment minimums, default, loan
limits, citizenship, state residency, etc.
1.1 Support rules set-up should allow for award simulation, awarding without disbursing, and/or disbursing; all rules
should allow for overrides on an individual basis.
1.2 Support processing financial aid to students on an academic year or term basis
2 Support the ability for students to complete application documents online.
2.1 Support the ability to notify students of missling documents online. Currently done by mail
3 Support the analysis of application information and comparison with aid requirements to determine if data is Including marking record as "verified"
missing.
3.1 Support the ability to "freeze" a student's record from subsequent changes received and provide alerts when new Once a record is "verified" automatic
data is received. updates from external sources should
be trapped for review before update
occurs
3.2 Support the ability to track ISIR transaction history for an award year. Replicates FAFSA transactions
4 Support the complete document tracking, including tracking documents requested, received, (with dates) and links
to scanned documents.
4.1 Support the ability to determine when all documents are received and all requirements are met. e.g., file ready for awarding/ packaging
5 Support the ability to generate a “snapshot” view of a student’s total aid/loan profile, to assist staff in advising the e.g. ability to view by term, by year, by
student, to assess options on aid solutions, to indicate status of each aid/grant application. detail, by summary
6 Support identifying status of application eligibility (applied, under review, packaged, approved, declined, etc.) and
tracking status history on an individual basis.
7 Support the ability to consolidate aid applications by student (where eligible for more than one aid program).
7.1 Support identification of conditions where over awards exist.
8 Support an unlimited number of Financial Aid budget components, budget types and budget groups. Components:
tuition, fees, books, room and board, etc. Types: dependent, independent, fulltime, part time, etc Groups: tuition
rates by student level.
8.1 Support the ability to assign budgets en masse or on an individual basis, based on user-defined rules.
8.2 Support the ability to override any budget assignments.
8.3 Support the ability to track budget history changes.
8.4 Support the ability to store enrollment hours on which budget is based.
8.5 Support the automatic recalculation of budget when enrollment changes (add/drop).
9 Support an unlimited number of Financial Aid package types and groups.
9.1 Support the ability to assign Financial Aid packages en masse or on an individual basis, based on user-defined
rules.
9.2 Support the ability to override any package assignments.
10 Support the ability to accept electronic signature (ala FAFSA).
11 Support the simulation of Financial Aid budgeting and packaging aid (for a student or for a program).
12 Support the ability to produce award letters and denial letters en masse or on an individual basis. With optional use of form letters
13 Support complete access (viewing, reporting) to all student financial aid data for all years.
14 Support updating the student’s tuition account when the waiver is credited to their tuition costs.
15 Support update of regulations and standard reports on a timely basis
16 Support integration with a financial aid packaging program such as AutoPack
17 Support the ability to test regulations to validate upgrades
Disbursing, Recalculating and Refunding of Aid
The system must:
1 Support the setup of data for disbursement calculations with flexibility needed in setting rules, e.g. student aid limits, (e.g. % of tuition, tuition and fees)
aid payout, changes made by aid providers/legislation and special rules.
1.1 Ability to set up beginning and end dates for recalculation (to relate to any dates where student tuition changes).
1.2 Support the automatic blocking of aid disbursement if student eligibility rules are not met.
2 Support the automated recalculation of aid eligibility triggered when a student changes enrollment program (adds or
drops a course, changes from full time to ¾, ½ or <½ time enrollment or withdraws), OR when student's tuition/fee
assessment changes.
2.1 Support the ability to set up beginning and end dates for recalculation (to relate to any dates where student tuition e.g., stop recalculation after last 100%
changes). drop date.
3 Support the ability to manually override any aid calculation where permitted.
4 Support authorizing a refund so that a payable is generated for disbursement to student; update student account for
the disbursement(s), with option to exclude reimbursements to students on “hold, probation, warning or termination”
status.
5 Support the generation of notices (email, form letter, student’s online inquiry, etc.) to inform student of refund status
(approved, pending, ready to collect, etc.).
6 Support the calculation of any overpayment made and the generation of a refund payment to the aid provider,
where aid is reduced.
7 Support interfacing (full import and export) of payment data with provider websites - option to upload single record
or mass records.
8 Support the ability to credit accounts for other allowable charges
Aid Fund Management
To manage the disbursement of aid the system must:
1 Support the setup of maximum aid amount by student by aid program to be used in calculating aid eligibility
(limiting total award by student).
2 Support managing the total program budget for semester and year, amount remaining to be awarded etc. Ability to track what has been awarded
to date by program etc.
Academic Status
The system must:
1 Support performance of a compliance review of all students for each term, or year, or as needed, with identification
of exceptions (e.g. not meeting academic standards). Student record needs to reflect date(s) of review(s).
2 Support the ability to track status of academic progress throughout student's history, including appeals, decisions,
holds, warnings, probationary and termination status.
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LCTCS
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Tuition Waivers & Scholarships
The system must:
1 Support the creation of program rules for each type of offering which will be used to evaluate applications received.
1.1 Support the definition of different types of waivers e.g. tuition, books, other
2 Support processing of online applications, including rules to insure data completeness before acceptance, and Allow student to partially complete
updating the student’s record and data entry for paper based applications. application and return later to complete
it
3 Support the ability to approve an application on-line.
4 Support the ability to define and select a status for each application (priority level, approved, denied, accepted, etc)
and to record comments on the student record regarding the application.
5 Support the review of student record to assess proposed aid/waivers/scholarships awards.
5.1 Support the modification of proposed awards before notifying the student.
6 Support tracking the receipt of signed acceptance letters from students where necessary (including scanning of
letter and attachment to student record).
7 Support updating student record to indicate all aid/waivers/scholarships awarded and notifications to students
regarding acceptance/denial of application.
8 Support tracking the amounts incurred/charged for each waiver type against the amount awarded e.g. book waiver award is $500, amount
charged $380, balance $120
Page 19 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Financial Aid
LCTCS
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Student Employment (Relates to Financial Aid)
Ideally, a student employee is just another employee compensated for work done. The system must:
1 Support defining students as part time employees, to compensate them via payroll and to indicate the planned start Refer HR functional area
and end dates of employment.
2 Support identifying student-employee data separately from other employees for payroll processing and reporting.
3 Support tracking of work hours to insure compliance with regulations on maximum work hours; with alerts for Student may work under Student Aid
overruns (separating time worked on work study vs. financial aid). and WorkStudy - need to track costs for
each "pay stream"
3.1 Support tracking of student worker hours by period to insure compliance with aid program (to come from time
entered by student for payroll processing).
3.2 Support the ability to electronically submit a CWS report of hours worked
4 Support updating student record to indicate employment status.
Student Loans
The system must:
1 Support the identification of students per loan program to generate notifications (emails, letters etc) or to schedule
interviews (e.g. for Perkins loans).
2 Support updating student record from loan provider (e.g. Perkins) to reflect loan application data, to indicate
interview was conducted and to print promissory note for signature.
2.1 Support the ability to e-sign master promissory notes
2.2 Support updating student record for details of loan granted, amount, date, lender and loan servicer to facilitate
student inquiries and reporting.
3 Support the management and tracking of all loan activity for Federal Stafford, PLUS and alternative loans, from
application receipt to disbursement. Ability to track multiple loans for one student.
3.1 Support the ability to flag students in default or close to loan limits.
3.2 Support maintaining multiple year loan history (lender, servicer, guarantor, etc.).
3.3 Support the ability to store enrollment hours on which original loan eligibility is based.
3.4 Support the ability to generate Master Promissory Note.
3.5 Support the reconciliation of Stafford/PLUS/alternative loan funds received with disbursements to students, and with e.g., Gross v. net loans, actual
original awards to students. disbursements, amounts returned to
lender undisbursed, etc.
4 Support the management and monitoring of the student loan receivable (by loan type, e.g. Perkins or emergency) to
insure payments are being made, to dun students in arrears and to indicate which loans have been assigned to
collection agencies.
5 Support processing student applications for emergency loans, approval and disbursement (payment options include
check and electronic funds transfer); option to generate student loan payment runs separately from AP payment
runs.
6 Support identifying student loan accounts for payment issues (e.g. arrears).
Page 20 of 23 29bf7973-a636-4ae4-8386-84cbfd6b4ef8.xls Financial Aid
LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
Scope
This Summary covers the following LCTCS activities
Billing students for tuition and other fees, processing payments from students, refunding overpayments to students
and confirming students (for entry into class). It also includes managing the recovery of aid funds from aid sources.
Background Information
Today, refund processing is hampered by lack of real time integration between the student system and the financial
system.
Business office staff experience severe peaks of workload around the start of each semester or payment deadline.
High Level Goals
An integrated system with accurate real time information to support billing and payment processing.
Easy to understand receivable information that indicates expected source of funds. E.g. if Fin Aid will cover tuition but
student owes for all other items
Student changes to course selection need to be reflected immediately in revised tuition processing. Often happens as classes close for
registration
Improved identification of changes to student status that trigger tuition action
Business Office
Set-up
The system must:
1 Support the setting up of billing rules for students (including by group) to cover tuition and all other fees and charges E.g. tuition rates per semester hour,
that the college may bill. fees based on semester hours, dates for
which these rates apply.
1.1 Support the setting up of alternate, differential, rate plans for specific courses, colleges or other criteria as
determined by LCTCS
1.2 Support the setting up of "locked in" tuition rates for students for defined periods
1.3 Support the setting up of specific fees that are automatically assessed on enrollment e.g. lab fee added when class is run in a
laboratory classroom
2 Support maintenance of history of billing rules and rates, including the ability to set new rates in advance.
3 Support the calculation of fees and waivers based on a student’s status (e.g. resident, non resident, full-time or part-
time, withdrawal, deferred payment fee, etc.).
4 Support analysis of a student’s complete registration and payment history, related transactions should be grouped This information should be presented
(e.g. amounts due by student separated from amounts due by financial aid programs, etc.). logically, e.g. by semester, to enable
understanding of the data
5 Allow for identification/association of third parties (business sponsor, school districts, family member, etc.) with a The system should support
students account. billing/invoicing of identified third parties
and not the student.
6 Support the identification of multiple grant/aid sources for a student.
7 Support the recording of loan account numbers (reference fields) on a student record.
8 Support the set up of alternate billing address for a student AR, with option to define effective dates for this address
as default
9 Support the ability to identify separate naming conventions for corporate and individual type AR accounts
10 Support the creation of journal entries to record activities on student records in the general ledger which are
balanced by fund.
Data Entry
The system must:
1 Support retrieval of student registration, payment and balance records by student name, student ID or other
attribute.
2 Support the real time updating of the student record and the AR/billing applications to ensure that changes to the
student course programs are immediately available to adjust student billing or process student refunds.
3 Be able to identify amounts due and received between student, financial aid and other sources, including grants. To Also needed for 1098 calculation at the
help determine who will be paying which amounts. end of the calendar year.
4 Highlight for the user the existence of a past due amount or a hold on the student record.
5 Support the blocking of fees on a bill where a student provides evidence that means the fee should not be charged
(e.g. health insurance is always billed unless waived or student provides proof of alternative coverage).
6 Allow manual adjustments to student accounts.
Billing
The system must:
1 Be able to generate an ad hoc invoice or credit memo as well as billing adjustments based on changes to the
student’s education program/course selection or charges for NSF checks.
2 Be able to provide a student with a pro-forma invoice based on their up to date registration data. "How much would I owe if I registered
for these 5 classes?"
3 Allow for mass generation of individual student bills based on selected parameters (e.g. issue bills to all freshman, This indicates total indebtedness
etc.).
4 Support the generation of an individual student bill as well as the reprint of a previously issued bill.
5 Support the immediate generation of a bill when a student is a late registrant.
6 Support the creation of billing statements, which include unpaid balances brought forward, and statements of Identify expected source of funds (e.g.
account with options to display open item detail or balance forward for any selected period. Fin Aid to cover tuition)
6.1 Support ability to suppress bill generation for accounts with credit or zero balances, disputed charges and/or
accounts in collection.
7 Support creation of installment bills which indicate the next installment due to be paid by the student. (See #12
Payments for Tuition)
8 Support notification to students, e.g. reminders prior to fee deadline dates and when they have past due accounts
(e.g. delinquency notices).
8.1 Support placing a hold on a student AR account if payment date is missed, account is past due/partly paid, or NSF
check is encountered
8.2 Support placing an AR account on collection
8.3 Support designation of accounts in dispute status, including designation by transaction, view on-line, and
suppression of billing and finance activity on disputed transactions
9 Provide a student AR contact log to record any contact with the student regarding payment of their fees or financial
aid.
10 Generate an invoice summary for each grant source based on grants approved and/or adjusted. (invoice needs to
conform to grant source standards).
11 Support the application of payments received against the grant AR to facilitate reconciliation of funds due from grant
sources.
12 Support the identification and management of any AR account handed over for collection, including the identification
of the collection agency assigned to the receivable.
13 Support the automatic adding/removal of mandatory fees (e.g. health services) based on total hours enrolled or
other available student data that affects fees
14 Support the ability to identify, and notify the student, during registration or while adding/dropping classes, of
mandatory fees now due as a result of their registration decisions
Payments for Tuition etc.
The system must:
1 Support a point of sale type solution for accepting payments from students for non-tuition purposes (e.g. child care
fees). The student and cashier IDs are a required element of this type of transaction.
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LCTCS
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS CLARIFYING NOTE/EXAMPLE
Code Explanation ERP Module
1.1 Support processing of receipts/charges from bank, Lockbox, EFT, ACH, EDI, wire transfer, university departments
2 Provide the option to generate a receipt for a student payment (in point of sale, receipt should be a default).
3 Support the selection of items against which a payment will be applied.
4 Support the selection of payment method (e.g. check, credit or debit card, financial aid).
5 Support the encryption and masking of credit card information to provide secure payment processing for students.
6 Support the student’s ability to access their account on-line, make electronic payments against selected items on
their bill and sign-up for and make payments against activities.
7 Permit users to post a payment to a student AR as unapplied. Later the user should be able to apply the un-applied Students may wish to pay ahead or
amounts. apply refunds to future charges
8 Support, on request, the automatic application of un-applied cash and credits to charges, in a priority sequence
defined by the user.
9 Support the generation of bills and statements in various formats (paper and electronic).
10 Support the processing of 3rd party payment on behalf of a student. Receipt information for such payments must
be limited due to privacy concerns (no SSN or Student ID#, student name, date, amount, method of payment).
10.1 Support the linking of the 3rd party payor to the student account
11 Support the acceptance of pre-payments or deposits. For courses not yet selected next
semester
12 Support the set-up and generation of deferred payment plans and statements for students to pay amounts due in
installments.
13 Support the receipt of non-student funds (donations, workshop monies, event revenue, library, etc.) and apply the With identification of funding source
funds to the appropriate GL account. (either as part of account set up or by
selection)
Refunds
The system must:
1 Support the identification of credit balances on student accounts and approve them for refund.
2 Support the ability to create student payables based on the approval of a student’s refund.
3 Support the ability to select approved refunds for payment runs and the creation of the accounting entries to update
the books.
4 Support the ability to provide refund payment in multiple forms (check, student card, direct deposit, ACH, etc.).
5 Support the identification of refund amounts due to students with the option to notify the student (email or form
letter).
6 Support the processing of financial aid refunds and student refunds from separate bank accounts.
7 Support the option to prevent refund of a student account credit balances where appropriate (e.g. pre-payment,
deposit, etc.).
Other
The system must:
1 Support the definition of rules that enable a student to be confirmed for class. Confirmation needs to be managed by
semester (students may be enrolled for more than one future semester at a time, summer and fall).
2 Generate reports and alerts for those students whose account status reflects that they are not confirmed.
3 Rollback/cancel the registration of all students who fail to confirm a class/classes by the deadline date, including an This update also needs to be included
update to the semester schedule process to reflect this. in tuition billing processes
4 Support the assigning of unique transaction numbers for each type of transaction (billing, bank deposit and cash
payment).
5 Have the ability to store and verify privacy permissions.
6 Support the calculation or application of interest or late fees for students in arrears (taking into account pending
Financial Aid or Grants as part of this calculation).
10 Support ability to identify method of preferred communication with customers for accounts receivable related E.g. sending bills, notifications etc
purposes.
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LCTCS
FUNCTIONAL REQUIREMENTS BY PROCESS AREA
PROCESS AREA Response
FUNCTIONAL REQUIREMENTS
Code Explanation ERP Module
Notes for vendors
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