Functionality by linzhengnd

VIEWS: 8 PAGES: 122

									ERP Software Requirements Template




                 This is a sample copy to illustrate data population.
Software Selection Requirements
Instructions to complete
Responder Info Tab
Please answer all questions on this tab.

Functionality Tab




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Functional Categories

The "Functionality" tab has requirement items in these categories.

                                                                                                 Items Per
                   Requirements Section                                                          Category
                   Technology - Infrastructure and Security                                          34
                   Technology - Application Support & Administration                                 42
                   Project Planning & Control                                                         7
                   Budget                                                                            47
                   Labor Distribution and Cost Liquidation                                           56
                   Procurement Requisitions                                                          57
                   Procurement Card Processing                                                       17
                   Purchase Orders and Contracts                                                     72
                   Petty Cash                                                                         9
                   Fixed Asset Accounting                                                            12
                   Accounts Payable                                                                  26
                   General Ledger Accounting & Reporting                                             54
                   Travel Expenses                                                                   25
                   Accounts Receivable                                                               14
                   Telephone Accounting                                                               4
                   Asset Management                                                                  46
                   Excess Property Management                                                        20
                   Loan/Collaboration Management                                                     15
                   Shipping Orders                                                                   10
                   Document Management System                                                         4
                   Action and Commitment Tracking                                                    27
                   Dashboard                                                                          3
                   Procurement Quality Assurance                                                     10
                   Work Orders                                                                       40


Please respond to each requirement item. Responses can be 0, 1, 2, or 3. Definitions of these values follow.
You must respond to each item. You may include an explanatory comment if desired.




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  Do not alter the cell arrangement on the Functionality tab in any way. Changing cell
 arrangements will invalidate scoring. Make sure you enter responses only in rows that
            have a priority value - these are the only rows that will be scored.

Required Data Input for Response Criteria
                                        Proposed Solution Does Not Meet Requirement       =   0   No
                         Customization to the core ERP is needed to meet Requirement      =   1   Custom
             Third Party, non-ERP, off-the-shelf solution is needed to meet requirement   =   2   Third Party
                                                           ERP Fully Meets Requirement    =   3   Yes




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Software Selection Requirements
Vendor A | General Information

Vendor Information
Full Company Name
Company Abbreviation (Required)   Vendor A
Street Address
City
State
Zip Code
Country

Telephone Number
Toll Free Number
Fax Number

Website

Year Founded
Developer or Reseller
Year of First Software Release
Install Base

Contact Information
Contact Name
Contact Title
Contact Phone Number
Contact E-Mail Address




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Software Selection Requirements Response

                                   PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                               Numeric
                                   PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                              Response
                          Technology - Infrastructure and Security

            Operations and User Support

OS.1        The ERP system shall provide support for Windows and Macintosh (OSX) platforms                         3
                           Windows XP is currently supported by the lab; Windows 7 will likely be
                       deployed and supported at the time of the new ERP implementation (XP will
                       continue to be supported)
                           Macintosh OSX 10.5 and higher is supported
OS.2        If the new system shall rely on browser service, the preferred browsers shall be Internet              2
            Explorer, Safari, Firefox, and Chrome. The ERP system shall support thin clients (via the
            supported browsers).
OS.3        The ERP vendor shall provide their roadmap with respect to upgrades (both the software and             3
            hardware). The vendor shall disclose their policy with respect to OS issued patches (e.g.
            security and otherwise; does the vendor automatically apply them or is that action taken at our
            discretion/direction)?
OS.4        The ERP system shall be compatible with the Active Directory (AD) system                               3
OS.5        The PPPL may require a Single-Sign-On proposal from the ERP vendor                                     2
OS.6        PPPL may require that the business application shall run without administration rights ( e.g.          2
            The end user shall not be signed on as an administrator)
OS.7        If the ERP system shall require a two-factor authentication , the preferred method shall be the        2
            RSA token
OS.8        The ERP system shall support the Microsoft Hyper-V server when running in a virtualized                3
            environment.


            Systems and Network Engineering

NE.1        This requirement is relevant for cloud-based and hosted solutions.                                     3

            The ERP vendor shall provide PPPL with information on how the vendor will carry out the ISP
            peering relationship with The Energy Science Network (ES.net). To maximize the efficiency,
            the ERP vendor shall provide a close proximity peering relationship to ES.net.
NE.2        This requirement is relevant for cloud-based and hosted solutions.                                     3

            The ERP vendor shall specify in the Service Level Agreement (SLA) that PPPL shall be
            notified of any changes regarding the peering relationship.
NE.3         This requirement is relevant for cloud-based and hosted solutions.                                    3
            As a security measure, the ERP system‟s firewall shall identify the IP-addresses of the inbound
            and outbound sources to prevent unauthorized access to the internal systems.
            These would be managed by PPPL's firewall administration upon notification of IP address
            range changes.




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Software Selection Requirements Response

                                   PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                               Numeric
                                   PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                              Response
NE.4        The ERP vendor shall provide a means of browser-based system access from home office and               3
            mobile computing devices via the public internet.


            Cyber Security general
CS.1         The ERP vendor shall incorporate cyber security considerations, awareness, and training as            3
            part of its basic company philosophy so that good cyber security principles and concepts are
            integrated into all phases of ERP system development and product life cycle.
CS.2        The ERP system shall be certified per NIST 800-53R3 to the “moderate” level of control.                3
            Any portion of the ERP system developed or integrated by 3rd party integrators shall be per
            NIST 800-53R3 to the “moderate” level of control.
CS.3         Specific controls implemented in the ERP system shall be verifiable by PPPL prior to contract         3
            award via review of the relevant security documentation provided by the ERP vendor.

            Such documentation should include
                        system security plan(s)
                        risk assessment(s)
                        threat statement(s)
                        contingency plan(s)
                        privacy impact assessment(s)
                        recent self assessment results
                        recent security test and evaluation results
                        other relevant cyber security documentation provided by the ERP vendor

                                                                              rd
             If any portion of the ERP system is developed or integrated by a 3 party organization, that
            organization shall also provide documentation similar to the above.
CS.4        PPPL recognizes that ERP vendors may have strong cyber security policies, practices, and               3
            implementations that effectively meet many FISMA requirements, and yet the ERP system may
            not be fully FISMA-certified. Vendors without FISMA-certified systems shall provide the
            equivalent detailed set of documentation as described above to best allow PPPL to evaluate the
            cyber security posture of the proposed ERP system and vendor.

            Protection of Personally Identifiable Information (PII)
CS.5        The ERP system‟s vendor shall provide PPPL information on the procedures to handle PII. PII            3
            may include, but may not be limited to, any of the following information in conjunction with an
            individual's or organization's name:
                            social security number, birth certificate, corporate tax ID number
                            passport number, Visa information
                            bank account number, bank account routing number
                            credit card number, debit card number, PIN number
                            date and place of birth
                            biometrics
                            mother's maiden name
                            security clearance information
                            criminal records


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CS.5                                                                                                                3




Software Selection Requirements Response

                                    PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                                Numeric
                                    PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                               Response
                           medical records
                           financial records
                           educational transcripts
                           administrative account password
                           user account password
                           database password
                           PKI information (private/public key pair)

             Electronic images or scanned images containing the above information shall also be considered
             to be PII.
CS.6         The ERP system shall provide enhanced protection of the confidentiality, integrity, and                3
             availability of the PII data either stored by the ERP system or transmitted via the ERP system
             per NIST 800-53R3 “moderate level controls” or better.

             PII data shall be encrypted while at rest, in transit, and on backup devices. The ERP vendor
             shall utilize the encryption methods which are in compliance with the FIPS 140-2 federal
             standard for encryption.
CS.7         The ERP system shall not permanently collect or store PII data unless specified by PPPL. The           3
             ERP system shall not require use of any PII data such as social security number as a database
CS.8         Access Control                                                                                         2
             The ERP system may deploy web-application firewalls to add additional layers of defense-in-
             depth and allow for more granular protections of the ERP applications and servers.

             This requirement is relevant for both SaaS and hosted solutions
CS.9         Awareness and Training                                                                                 2
             The ERP vendor shall demonstrate that their personnel such as managers, system
             administrators, code developers, support engineers, and back-line support personnel are trained
             to recognize common social engineering attacks which could lead to compromise of the
             integrity of the ERP system during system development and maintenance

             This requirement is relevant for both SaaS and hosted solutions
CS.10        Audit and Accountability                                                                               2
             The ERP system shall perform monitoring, detailed logging, and automatic alerting of system
             events, security events, and changes/additions/deletions of PII and other sensitive data.

CS.11        The logging system shall have the ability to send logs in real-time to a central server for            2
             immediate inspection and forensics.
CS.12        Configuration Standards                                                                                2
             The ERP system shall use configuration standards such as the Federal Desktop Core
             Configuration (FDCC) or the Center for Internet Security (CIS) benchmarks to securely
             configure server software and operating system settings, network ports, administrative and user
             accounts, etc.
CS.13        Configuration Management                                                                               2




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Software Selection Requirements Response

                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
CS.13                                                                                                                2          Response
             Cyber security vulnerabilities in the ERP software, its associated host operating system(s), and
             required third party applications shall be identified and remediated within 5 business days of
             discovery and/or release of vendor patch, in order to minimize the risks of system compromise,
             malware infection, and data loss. Any publicly-available and remotely-exploitable vulnerability
             in the ERP system shall be remediated within twenty four hours of discovery.

CS.14                                                                                                                2
             Web-based applications deployed by the ERP vendor shall include protections against the Open
             Web Application Standard (OWASP) top ten web application security risks for 2010.

CS.15         Identification and Authentication                                                                      2
             The ERP system shall require strong passwords for general user authentication via integration
             with PPPL's existing Microsoft Active Directory password system. Passwords shall be
             encrypted during transmission between the client system and ERP system via the use of Secure
             Sockets Layer (SSL) or other comparable methods. The encryption method used shall comply
             with the FIPS 140-2 federal standard for encryption. If any passwords are stored locally or
             cached by the ERP system or applications, they shall be encrypted using FIPS 140-2 compliant
             methods.
CS.16        A two-factor authentication system such as a one-time password generator, smart card,                   2
             biometric scan, etc. may be required for access to any Personally Identifiable Information (PII)
             stored on the ERP system.
CS.17        Two-factor authentication may be desirable for administrative-level access to the ERP system.           2

CS.18        Incident Response For cloud-based solutions, upon vendor‟s detection of a malware infection,            2
             intrusion, compromise or suspected compromise of any part of the ERP system containing PII
CS.19                                                                                                                2
             For cloud-based solutions, upon vendor‟s detection of a malware infection, intrusion, or
             compromise of the ERP system, which does not involve PII data , the vendor shall notify PPPL
             security personnel within 1 business day so that appropriate action can be taken as required by
             DOE and PPPL internal policy.
CS.20        Remote System Maintenance                                                                               2
             For in-house installations, the remote maintenance of the ERP system shall be limited to
             specific vendor personnel who shall be given special PPPL accounts with required access
             permissions.
CS.21        System Maintenance                                                                                      2
             The ERP system shall not require open, unauthenticated internet network access, back door
             accounts/passwords, or other specialized network services or software in order to perform
             remote maintenance or troubleshooting. If possible, vendor personnel should use enhanced
             access controls (e.g. VPN, two-factor authentication, dedicated WebEx, etc) when performing
             remote maintenance.
CS.22        System and Communications Protection                                                                    2
             The ERP system shall have the capability of complying with the Domain Name System
             Security Extensions (DNSSEC) standard via use of standard DNS resolvers provided by the
             host operating system vendor
CS.23        System and Information Integrity                                                                        2



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Software Selection Requirements Response

                                   PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                               Numeric
                                   PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
CS.23                                                                                                              2          Response
             When storing data on the ERP system or transmitting data into and out of the ERP, the ERP
             system shall limit the use of file types that are commonly used to propagate malware. Examples
             of these file types include: zip, exe, dll, vbs, chm, etc.




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Software Selection Requirements Response

                                    PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                  Numeric
                                    PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                 Technology - Application Support & Administration
            Business Computing Systems

            Software Upgrade and Enhancements
SU.1        The Service Level Agreement (SLA) and maintenance agreements shall capture the software                   3
            upgrade-related procedures, such as the vendor‟s suggested frequency of releases (e.g., 18
            months), outreach mechanism to discuss the impact of the release, roll back plan, and
            procedure to reinstate previous releases (or system versions). PPPL shall decide on product
            maturity requirements.
SU.2        The vendor shall identify outreach mechanisms to request changes and enhancements.                        3
            The ERP vendor shall provide information about their road map and release planning (e.g., how
            do BCS requests make their way into subsequent releases?).

            Authorization and User Sign-on
AS.1        The system shall provide a single sign-on mechanism for PPPL‟s user access/control (Active                2
            Directory) to securely pass user credentials (and roles) to the ERP such that the system can log
            the user in and provision the appropriate privileges and access as defined in the user‟s account
            profile. The sign-on process shall be compliant with the Cyber Security requirements.

AS.2        The system may provide a „provisioning system” to set up users in the system with pre-                    2
            assigned roles (and revoke/disable access for leaving employees) to support an automated
            process for new/leaving employees.
AS.3        The system shall have the capability to capture login failures, provide event notification and the        2
            ability to customize these notifications. The notifications shall show the captured ID and other
            information (e.g. user name, IP-address, number of attempts), what led to the event being
            triggered (e.g. three consecutive invalid password attempts), and what were the system‟s
            actions (e.g. log the user out, disable the account, notify the user, etc.). All actions shall be
            compliant with the Cyber Security requirements.


            Data and System Processing
DA.1        For In-house solutions the preferred Relational Database Management System (RDBMS) shall                  2
            be the current version of Microsoft‟s SQL Server Database.
DA.2        The system shall support batch processing functionality, such as running scripts, putting a               3
            collection of batches into a job, scheduling functionality, ability to monitor job run status from
            a central screen (e.g., Administrative Console) and batches for maintenance and upgrades – to
            support interfaces to external sources, such as Princeton University and our financial partners.

DA.3        The system shall support data tagging (Metadata) technology to enable differentiated, rule-               2
            based behaviors.
DA.4        The system shall have the capability to import/export data (e.g. spreadsheet, .txt, .pdf) to and          3
            from a user‟s desktop. The user must have appropriate authorization and the vendor must
            ensure that data imported in this way is completely validated before any application system
            tables are updated.


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Software Selection Requirements Response

                                     PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                   Numeric
                                     PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                  Response
DA.5         The system shall be able to roll back data transactions that fail, both automatically and manually        3
             through an Administrative Console
DA.6         This requirement is only relevant for SaaS solutions or externally hosted dedicated tenancy               3
             solution.
             The system shall perform daily full backups of production environment with 7 day minimum
             retentions, weekly backups with 4 week minimum retentions, and monthly backups with 3
             month minimum retentions.
DA.7         The vendor shall provide a development environment for interfaces, custom reports, custom                 2
             screens and extensions so that they can be seamlessly integrated into vendor software

DA.8         The vendor shall provide information on the system capability for defining a variety of user              2
             defined fields
DA.9         The vendor shall provide information on the system capability for rollback/restart processing             3
             for batch processes (e.g., if a batch job fails, BCS requires the ability to run the job again).

DA.10        The vendor shall provide interface tables, or equivalent mechanisms, for managing key data                3
             commonly imported during conversion and system to system interfacing. The vendor shall
             provide data validation logic when these interface tables are processed into the system. (e.g.,
             the system should prevent inserting data into the vendor tables which would violate database
             integrity; instead data would be required to go through a vendor provided validation module or
             API).
DA.11        The vendor shall provide APIs for data validation during table manipulation (e.g. call validation         3
             API before inserting a row into the table). If need arises to update vendor tables during a
             conversion or similar activity, this shall be accomplished in a vendor-supported manner that
             protects database integrity.
DA.12        Disaster Recovery Backups. In the event of a disaster (full system failure) all data and software         3
             shall be backed up in a secure location other than the normal operating location.

             Testing and Issue Resolution
PS.1         This requirement is only relevant for SaaS solutions.                                                     3
             The vendor shall provide a “Sand Box” test environment for testing new releases prior to
             production release, and other business required scenarios (e.g. run budget “what-if” analyses).
             The system shall offer a capability to copy an instance of production to the Sand Box for the
             purpose of running jobs/reports against it, based on a specific custom business scenario for
             which we would not wish to modify the actual production environment.

PS.2         The vendor shall provide an overview of their issue and resolution tracking procedures.                   3
PS.3         The vendor shall provide information on the process and mechanism for full restoration of the             3
             system from the back-up.

             System Administrative Functions




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Software Selection Requirements Response

                                     PPPL Detail Requirements                                                                                  Response per Requirement

                                                                                                                                     Numeric
                                     PPPL Detail Requirements                                                       PPPL Priority                                  Optional Comment
                                                                                                                                    Response
SA.1         BCS shall require administrative access to support application of system enhancements and                   3
             upgrades: technical upgrades (e.g. system patches) as well as functional (software) upgrades.
             The vendor shall detail the level of support offered for technical and functional upgrades, and
             the vendor‟s expectation for PPPL-provided administration capabilities.

SA.2         BCS shall retain the capability to create, assign, and modify roles for business users.                     3
SA.3         The system shall provide the flexibility to manage the granular level of access control (e.g.               3
             allow the flexibility to create a role and apply a single permission as well as the ability to apply
             multiple roles to a single user). For example, a single user could be given three roles:
             Warehouse Receiving Manager for his primary job, Property Manager for a position for which
             he provides backup and Procurement Inquiry to access Procurement information in a read-only
             mode. To reduce the number and complexity of roles that shall need to be supported, BCS
             requires that multiple security roles, each separately defined, may be assigned to a single user.

SA.4         BCS requires the ability to change (insert, modify, delete) user data (e.g. correct the data                3
             entered by users) through a vendor provided validation application logic (e.g. API). The vendor
             shall provide information on the ability to fulfill this requirement and any applicable
             restrictions, including logging, and maintenance of data lineage records.
SA.5         BCS shall require administrative functions to manually invoke storage management                            2
             functionality, such as the ability to consolidate and archive data, and to purge historical data
             after it had been archived (e.g. purge old accounts after the retention period had been expired,
             old purchase orders, etc.).
SA.6         The vendor shall provide a development environment for interfaces, custom reports and                       3
             extensions so that they can be seamlessly integrated into the vendor‟s software.
SA.7         The system shall provide event notifications on the administrative console (e.g. disk storage for           2
             a database is running low) and other key system metrics in a Dashboard like fashion.

SA.8         The system shall provide a system transaction log inspection tool to examine and evaluate                   2
             issues resulting from user transactions, system transactions, error conditions, etc.

SA.9         This requirement is only relevant for SaaS solutions.                                                       2
             The vendor shall provide on-demand internal statistical reporting (e.g. transaction volume,
             usage volume, database size, backup reports, etc.).
SA.10        Security roles may specify that on-line screens are available in “inquiry” or “update” mode.                3
             This shall allow system users to be granted inquiry-only access to information. For example, a
             warehouse manager may want access to Procurement screens displaying purchasing
             information, but need the access only to view information, not update.

             Reporting and Data Transfers




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Software Selection Requirements Response

                                     PPPL Detail Requirements                                                                                  Response per Requirement

                                                                                                                                     Numeric
                                     PPPL Detail Requirements                                                       PPPL Priority                                  Optional Comment
                                                                                                                                    Response
RT.1         The system shall be compatible with the current Crystal Report software and the ad hoc data                 3
             selection tool (AnyView). Alternatively, the system shall offer reporting capabilities, either as
             an integral part of the system offering, or as an allied solution that integrates through standards-
             based mechanisms, which meet or exceed the functionality of the current reporting tools
             (Crystal Reports and AnyView). The system shall provide the ability to export and save
             report/query results to the desktop in multiple file formats (e.g., pdf, excel, .txt, delimited
             (CSV), etc.)
RT.2         The system shall provide custom report generation capability with sorts and searches on any                 3
             and multiple data tables. The system shall provide the capability to save these reports and
             report parameters to a user report template for later use.
RT.3         The system shall support standard file transfer mechanisms such as FTP, including secure                    3
             connections (SFTP), for the interface with Princeton University and PPPL‟s financial partners.

RT.4         The system shall provide the ability to save a report request with particular report parameters             3
             values.




             Application Specific Security Requirements

SA.11        The security of the new system shall allow for other departments to enter budgets but allow                 3
             only the Budget Office to post budgets.
SA.12        Field level security is required to mask salary fields when the actual salaries are used for a              3
             budget labor resource. This masking shall apply at the detail labor resource level. Masking
             shall be performed on affected screens and reports. The Budget Office is investigating defining
             Labor Rates within narrower salary bands. The result of that investigation may eliminate the
             need for this requirement.
SA.13        The new system shall have a configurable security system where an administrator may control                 3
             the categories of timesheets an employee may view and/or update. Sample categories are one‟s
             own timesheets, timesheets one approves, a cost center‟s timesheets and all timesheets.

SA.14        The new system shall have a configurable security system where an administrator may control                 3
             the categories of requisitions an employee may view. Sample categories are by cost center or
             by demographic code.
SA.15        The new system shall have a configurable security system where an administrator may control                 3
             the access to and visibility into the general ledger records and transaction execution capabilities.

SA.16        About 250 employees shall need access to their own travel requests/reports and to those of                  3
             employees in their reporting structure. Accounting and Travel individuals shall need access to
             all travel requests/reports.
SA.17        Receiving personnel need full access to all purchasing transaction information so that they may             3
             find purchases matching to receipts.
SA.18        The system needs to allow only Accounting users to update costs for capital and real property               3
             assets. Asset Management should have cost update access only for non-capital/real property
             assets.


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Software Selection Requirements Response

                                    PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                                Numeric
                                    PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                               Response
SA.19        The new system shall have a configurable security system where an administrator may control            3
             the functionality an employee may have to view, modify or delete data of the tracking items in
             the Action Tracking and Commitment (ACT) application..



                                      Project Planning & Control
   P&C.1     Work Planning. This is descriptive information for planned projects. Data capture begins prior         1
             to project approval.
                       Descriptive information shall be submitted at a job level. A project could
                   conceivably consist of multiple jobs.
                       Data categories include work description, other mechanical systems and facilities
                   impacted, required engineering documentation, engineering controls, safety controls,
                   required procedures, required testing, preliminary approvals required.

                        The definition of the data captured by Work Planning shall be configurable. PPPL
                   will be able to specify, through setup, data fields and their tags.
                        System shall route approvals based on specified workflow. Approval history shall be
                   kept with the Work Planning document.
                        Multiple Work Planning documents of varying job packages but the same cost center
                   or the same project may be grouped together for display and reporting.
   P&C.2     Prepare detailed job estimates for cost, schedule, and contingency dollar amount. An estimate          2
             is prepared at the job package level. One or more job estimates shall roll up to a single Cost
             Center. A project shall have one or more cost centers.

                      Cost Estimate. Estimated dollar costs for labor and non-labor resources.
                            o System user shall enter their own tasks or select from pre-defined template
                            of tasks.
                            o System user shall specify necessary labor resource demographic types per
                            task. Time commitment per type and task is specified. System shall calculate
                            cost of each resource including burdens and allocations. See Budget
                            requirement BU.2 for calculation requirement details.
                            o System user shall specify non-labor resources needed per task using the
                            Budget Office expense classes for non-labor categories such as Materials &
                            Services, credit card, Travel, Overtime, and Other. System shall calculate cost
                            of each resource including burdens and allocations. See Budget requirement
                            BU.2 for calculation requirement details.
                            o System User may specify a contingency percent by task or job.
                            o System user may specify risks as a cost.
                            o Contingency and risk are categorized separately from job estimate.

                      Schedule Estimate. Estimated task durations.




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Software Selection Requirements Response

                                    PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                               Numeric
                                    PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                              Response
                             o Per task, System user shall input information such as task dependencies,
                             date constraints, start dates, durations, and resources that will allow a
                             scheduling engine to build a task schedule. Schedule should be built according
                             to standard rules described in Project Management Institute‟s Project
                             Management Book of Knowledge.
P&C.3        System user shall combine job estimates, schedules with their tasks, and contingencies of a           2
             single project value into one Project baseline.
P&C.4        System user may notify Budget Office to post approved baseline estimate as a project budget.          3

P&C.5        Update Current schedule with task status. Project tasks may be updated with completion                2
             status while retaining an unchanged baseline for comparison purposes.
P&C.6        Earned value reports showing schedule, performance, and actual shall be automatically                 2
             produced by the system for each job package and overall for the project.
P&C.7        The system will produce a project portfolio status dashboard which will be configurable to            2
             show desired key information per project such as Schedule Performance Index, Cost
             Performance Index, and schedule milestones status.




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                                     PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                    Numeric
                                     PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                   Response
                                                        Budget
BU.1          Budget Setup.
BU.1.1        Labor Rates. The system shall keep a rate per employee home department and payroll code                   3
              combination, known as demographic code. An example is a research scientist who is paid
              monthly. Rates are kept per fiscal year. The rate specifies an average cost for all employees of
              the identifying demographic code. An expense class is kept associated with the demographic
              code.
BU.1.2        Vacation and Benefit Rates. The system shall maintain a Regular Staff Benefit Rate, a Casual              3
              Hourly Benefit Rate, a Vacation Rate, and a Severance Rate.
BU.1.3        The system shall maintain, with the demographic codes, an indication of which vacation,                   3
              benefit, and severance rates apply to that demographic code. No Benefit Rate applies to some
              demographic codes such as Graduate Students and Consultants. The Hourly Benefit Rate
              applies to hourly employees, the Regular Benefit Rate to all the exempt and non-exempt staff.
              In a similar manner, Vacation Rate and Severance Rate can apply or not by demographic code.

BU.1.4        Direct/Indirect Cost Centers. A cost center shall be identified as Direct or Indirect because only        3
              direct cost centers have overhead burdens applied to them.
BU.1.5        Labor Burden Rates. These are used to add an additional cost to a project when an employee                3
              charges a direct or indirect project for his time. Labor burden rates shall be specified to the
              system by the first two positions of the labor expense class. These first two positions
              categorize labor as, for example, Mechanical Engineering, or Research Staff. Labor burdens
              are applied to specific labor expense classes. For example, a 10% labor burden rate for
              Research Staff will cause an additional $100 to be budgeted for a project for each $1000 of
              research time which is estimated. The system user may specify a list of Exception Cost
              Centers for which this Labor Burden will not be calculated.

BU.1.6        Overhead Burden Rates. These shall be used to add an additional cost estimate to a budget                 3
              when particular expense classes are included. Zero, one, or many Overhead Burdens are
              assigned to the first two digits of a four-digit expense class. So, for example, a travel expense
              could trigger an additional 5% overhead charge for the cost of the Travel Office. An estimate
              for Research Labor could trigger additional overhead burden expense estimates for Onsite
              costs, SciEd Education costs, General & Administrative costs, and Lab Directed Research
              costs. The system user may specify a list of Exception Cost Centers for which this Overhead
              Burden will not be calculated.
BU.1.7        Cascading Burdens. PPPL applies burdens to generated burden costs. In the following                       3
              example four burdens are used: Onsite for building site support costs, SciEd for Education
              program costs, LDRD for Lab Directed Research, and G&A for Administrative costs. For
              example, Research Labor, expense class 1200, is set up with an Onsite burden, a SciEd burden,
              an LDRD burden, and a G&A burden. These generated burdens in turn have their own
              expense classes which may be assigned burdens of their own. Both the Onsite burden, expense
              class 6200, and the SciEd burden, 6800, are in turn set up with LDRD and G&A burdens.




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                                       PPPL Detail Requirements                                                        PPPL Priority                                  Optional Comment
                                                                                                                                       Response
               Research Labor also generates a Research Labor Burden with an Expense Class of 5200.
               Expense class 5200 is set up in the system with the same burdens as the Research Labor 1200
               expense - an Onsite burden, a SciEd burden, an LDRD burden, and a G&A burden. Just as
               with the original labor expense class of 1200, LDRD and G&A burdens are generated for the
               Onsite 6200 burden and SciEd 6800 burden.

               Please see Appendix B, Budget Calculation Example.
BU.1.8         Cost Center Allocations. These allocations split the costs for an allocated cost center/work                 3
               package combination to a list of distribution project cost center/work package/job package
               combinations, each with their own percentage. All percentages shall add up to 100%. The
               Allocation may be specified by Cost Center alone, by Cost Center/Work package, or by Cost
               Center/Work Package, Job Package.
BU.1.9         Departmental Office Allocations. These are similar to a burden but effective only for the                    3
               specific cost centers input to the system for the Departmental Office Allocation. A
               Departmental Office Allocation may have an associated single allocation rate and Cost Center
               list. A cost for the expense class will generate an allocation distribution if the cost‟s cost center
               is in the allocation‟s Cost Center list.
BU.1.10        The system user may specify cost centers as exempt from severance rates and vacation rates.                  3

BU.2           Budget Preparation. System user shall specify anticipated costs, for a specified time period, for            3
               a particular job, work package, and cost center. The budget may also be at the work package or
               cost center level. Each type of cost shall be a budget detail. Budget details are per expense
               class positions 1 and 2. For example, Research Labor or Travel Expenses.


               The system user enters into the system:
               ·    Budget time period may default to a fiscal year but this may be overridden by the system
               user who may specify a start period and end period.
               ·    Labor resources as demographic types and the labor needed per type. Labor is specified
               per time period as person-years, for example 1.2 or .5 per year, or a number of hours per time
               period.
               ·    Non-labor resources such as travel expenses, materials expenses, credit card expenditures.
               Dollar amount and the first two positions of expense class are input. The first two positions of
               expense class indicate the major expense category; all four positions give a finer category
               breakdown. For example, 35 is Travel and 3501 is Domestic Travel.

               ·    The system user may input descriptive text with each line item detail.

               Labor Resource details:




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                                 PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                            Response
          ·    The system shall produce a budget detail per labor demographic type entered. The
          estimated dollar cost shall be calculated by multiplying the amount of time entered times the
          demographic‟s labor rate in the Labor Rate table. This cost will have added to it the benefits,
          vacation rate and severance rate. For example, A Research labor resource of 1.5 person-years
          is input to the system. The system shall generate a Budget detail of expense class 12, Research
          Labor and Benefits. The dollar amount for this detail will be ((1.5 * the yearly Research
          demographic labor rate) * (1 + benefits rate + vacation rate + severance rate)).


          ·    This calculation to obtain the labor amount will vary slightly according to demographic
          code. The benefit rate, vacation rate and severance rates that apply to each demographic code
          is specified per code as set up; see BU.1.3. The severance rate and vacation rate are not
          applied to overtime labor. Some cost centers, such as WFO projects, are excluded from the
          severance rate. See BU.1.10.


          The system user may override the labor rate calculation by inputting a specific labor amount.


          The system shall create Budget details for non-labor resources using the dollar amount input
          with the resource.

          The system shall generate Budget details for labor burdens, overhead burdens, and allocations
          according to system setup. The same rules are used for the process which will eventually
          distribute indirect costs.

          Labor burdens. This is done for each demographic labor type input by the system user.
          ·    The system examines the expense class of the labor budget detail. A labor burden budget
          line will be generated provided that the Budget Office has set up a labor burden for this
          expense class. Budget detail amount will be the (labor amount * the labor burden rate).

          ·   The system shall not calculate this burden if the budget‟s cost center is in the Labor
          Burden‟s Exception Cost Center List (BU.1.5).

          Overhead Burdens. Overhead burdens are generated provided that the Budget‟s Cost Center is
          a Direct Cost Center. This overhead burden generation is not done for indirect cost centers.

          ·   Each budget detail expense class - labor, labor burden, materials, travel, and etcetera may
          have none to many burdens associated with it. The system generates burdens according to the
          expense class setup.
          ·   These generated burdens have their own expense classes which in turn may have overhead
          burdens set up for them. The system generates burdens for these too.
          ·   A Budget detail line burden amount will be a summary of the amount for that burden type
          across the entire hierarchy of generated burdens. See Appendix B, Budget Calculation
          Example.



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                                                                                                                                   Numeric
                                    PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                  Response
            ·    The system will do some minor exception processing for the Onsite and Offsite burdens.
            An expense class must have both of these or neither of these; it cannot have just one. The
            budget‟s cost center can be designated as Offsite. If it is Offsite, the Offsite burden is used; if
            not, the Onsite burden is used.
            ·    The system shall not calculate this burden if the budget‟s cost center is in the Overhead
            Burden‟s Exception Cost Center List (BU.1.6).

            Cost Center Allocations.
            ·    Budget lines will be generated when the budget‟s cost center/work package/job package
            corresponds to one of the receiving distributed cost center/work package/job package
            combinations in one or more allocation setups.
            ·    The expense class assigned will be the first two digits of the allocation‟s allocated cost
            center. For example, if the budget‟s cost center matches up to two allocations, one for cost
            center 5150 and one for cost center 5450, two budget details will be generated, one for expense
            class 51 and one for expense class 54.
            ·    The amount of the budget detail is the sum of (total budget for allocated cost center/work
            package/job package * budget‟s cost center/work package/job package‟s allocation percent) for
            each of the allocations which correspond to a budget allocation detail‟s expense class. For
            example, if there are two allocations which match, one for 5120 and one for 5140, the budget
            detail line 51‟s amount will be the sum for these two.

            Departmental Office Allocations.
            ·    Budget lines shall be generated when a budget line expense class matches to an expense
            class for which a Departmental Office Allocation has been set up and the Budget‟s cost center
            is one of the distributed cost centers in the allocation.
            ·    Budget detail amount shall be the amount of the budget line expense which matches to the
            allocation * allocation percent.

            The system shall distribute the budget detail amounts evenly over all periods covered by the
            budget although the system user may override this if desired.

            Please see Appendix B, Budget Calculation Example.
BU.3        Labor Rate Calculation.                                                                                    2
                      Each employee has a demographic code. When the system user requests, the system
                 shall, using the employees‟ actual salaries, calculate an average labor rate for the
                 demographic code.
                      The system user shall have the option of activating the new rate at a begin date. The
                 system user may manually adjust the rate or directly enter a demographic code and rate.

BU.4        Labor Rate Escalation.                                                                                     2
                      When requested by the system user, the system shall escalate labor rates by a
                 specified percentage to use as future rates, per year, for future year budgets.
BU.5        Rate Sets.                                                                                                 3
                      All rates, labor, burden, overhead, allocation, benefit, vacation and severance may
                 have multiple versions, specified by version number and fiscal year.



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                                      PPPL Detail Requirements                                                                                 Response per Requirement
BU.5                                                                                                                     3
                                                                                                                                     Numeric
                                      PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                    Response
                          The system user shall specify which version of each rate type should be included in a
                     rate set.
BU.6           Select a Rate Set. The system user shall select, when pricing a budget, the rate set and the              3
               fiscal year(s). Pricing a budget is the process of generating the priced labor, overhead, burden,
               and allocation lines. Budget ID is specified too. The new budget becomes part of the specified
               Budget ID.
BU.7           Multiple Budgets. The system can have any number of Budget IDs, representing a complete                   3
               set of budgets, within it. A Budget ID can span any number of fiscal years.
BU.8           Active Budget. The system user shall specify which Budget ID and Rate Set are active for the              3
               current fiscal year. The active Budget ID is used for system reporting and costing.

BU.9           Monitor Liquidation of Indirect Costs. The Budget Office must make sure that rate values are
               set so that indirect costs are not over or under liquidated; that the indirect costs are truly
               covered by the burdens and allocations charged to the direct projects.
BU.9.1         Overhead costs are accumulated at PPPL in a numeric range of cost centers. The system shall               3
               provide an easy way to report summary costs for a range of cost centers in a date range. The
               system shall provide an easy way to report all overhead burden costs in a date range. The
               burden costs should be broken down by expense class.
BU.9.2         Labor burden amounts shall be compared to costs charged to the labor‟s home cost center.                  3
               These should ideally be equal. System shall provide a straightforward, automated method to
               compare these.
BU.10          Monitor Accuracy of Labor Rates, Labor Burden Rates, Overhead Rates. Allocations, provided
               they add up to 100%, will be accurate.
BU.10.1        Monitor labor cost variances. The Budget Office must compare the labor costs generated from               2
               average rates in the Labor Rate Table with actual labor costs generated from payroll. Budgets
               are calculated and average costs are generated using labor amounts calculated from labor rates.
               The system shall maintain variances between the average labor, based on rate, and actual labor,
               based on payroll. The variances may be used to adjust costs for the home cost centers.

BU.10.2        Monitor Labor Burden Rates. The system shall, when requested, provide the actual and                      3
               estimated cost year-to-date information that is input to the burden rate calculation. This is, per
               labor expense category, the regular and overtime labor costs that the staff in the labor home
               department has charged to projects and has charged to the home cost center. The system shall
               provide non-labor expense charges to the home cost center. The system shall provide budgeted
               estimates for these amounts for future periods in the year. The Labor Burden Rate is equal to
               (the labor and non-labor costs for the home cost center / total labor charged out by home cost
               center employees to projects). The amounts used in this calculation will be a blend of actual
               costs and budgeted amounts. The mix of the two will depend upon the current period of the
               fiscal year; as the year progresses more actual amounts are used.




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                                                                                                                                     Numeric
                                      PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                    Response
BU.10.3        Monitor Overhead Burden Rates. The system shall, when requested, provide the actual and                   3
               estimated cost year-to-date information which is input to the Overhead burden rate calculation.
               These are costs charged to overhead cost centers and costs charged to projects. Each needs to
               be summarized by Expense Class. The Overhead burden rate calculation varies by type of
               burden. An example is the Materials burden where the costs for part of Accounting, part of
               Procurement, and all of QA and Material Services is divided by a Base amount which is, for
               Materials, the cost of materials purchased for projects.


BU.11          Recalculate Year-To-Date burdens and allocations. This is, strictly speaking, a Cost                      3
               Accounting requirement. It is duplicated here due to its importance to the Budget Office. A
               burden, overhead, allocation, vacation, benefit, or severance rate change shall cause the system
               to recalculate the applicable burden, overhead, or allocation cost for the year-to-date. Amount
               differences shall not affect prior periods; instead an adjusting amount shall be generated for the
               current period.
BU.12          Monitor Costs Against Funding for Direct Cost Centers. PPPL is funded by Fund Type, B&R                   1
               Code (Budget & Reporting Code), Project and, within Project, by Operating costs and
               Equipment costs.
                         The system shall maintain funds provided by DOE and other sponsors per year by
                     Fund Type, B&R Code, Project, Operating costs and Equipment costs.
                         The system shall maintain a carryover amount (funds not spent in the previous year)
                     per Fund Type, B&R Code, Project, Operating costs and Equipment costs.
                         The system shall track changes and requested changes to approved DOE funding.
                     For example, for a particular fund, $10,000 more than the original amount was provided
                     by DOE and $20,000 more has been requested but not yet provided.
                         The system shall track contingency funds, Financial Reserve, per project.
                         The system shall track GSO, Goods & Services on Order, reserve fund.
                         The system shall provide, by Fund Type, Budget & Reporting Code (B&R Code),
                     Project and, within Project, by Operating costs and Equipment costs:
                                o Funds Available
                                o Budgeted Amount
                                o YTD Costs
                                o Approved and Requested Funding changes
                                o Approved carryover funding
                                o Financial Reserve
                                o GSO
BU.13          Fabricated Equipment reporting. The system shall provide a way to report Operational and                  3
               Construction costs for a project separately. The two will sum at the project level.
BU.14          Monitoring Indirect Costs. Funding applies only to indirect cost centers. The system shall                3
               provide monitoring of indirect cost centers. Budget amounts versus actual costs are needed.




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                                      PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                  Response
BU.15          Monitor Spending during Continuing Resolution. CR is the time period when Congress has                  1
               not yet approved the current year‟s budget. The system shall report costs per expense classes
               specified by the system user. The System shall maintain per Fund Type, B&R Code (Budget &
               Reporting Code), and by Operating costs and Equipment costs, a CR Funding Amount and
               report this with the specified expense classes.
BU.16          Monitor Work For Others (WFO) and Cooperative Research and Development Agreements
               (CRADA) proposals and projects. PPPL can work on projects for sponsors other than DOE;
               these are WFO/CRADA. These need to be separately monitored.
BU.16.1        The system shall identify these projects as WFO or CRADA. Their status and financial                    1
               information shall be monitored through a dashboard.
BU.16.2        The system shall track, through a configurable workflow, the multiple approvals and processing          2
               steps needed to approve and submit proposals for these projects.
BU.16.3        The system user may attach multiple electronic documents to the proposal.                               1
BU.16.4        The system shall maintain for these:                                                                    1
                         Project title
                         The name of the key PPPL contact
                         The project sponsor
                         Funding amount received by PPPL
                         Funding amount not yet received by PPPL
                         Project begin and end dates
                         Actual costs incurred to date.
BU.16.5        The system shall account for an administrative fee, currently 3%, of the WFO/CRADA funding              1
               which shall be collected by the DOE. This administrative fee may be waived for certain
               projects.
BU.16.6        The system shall maintain a schedule of future payments and record past payments from the               1
               non-DOE sponsor to PPPL to fund the project. The Budget Office will specify this payment
               schedule when the project is initiated. The system shall automatically generate invoices for the
               payments. Money received for the invoices shall be automatically applied to the project‟s fund.

BU.17          Monitor Department of Energy (DOE) proposals and projects.
BU.17.1        The system shall identify these projects as DOE. Their status and financial information shall           1
               be monitored through a dashboard.
BU.17.2        The system shall require, through a configurable workflow, the multiple approvals and                   1
               processing steps needed to approve and submit proposals for these projects. The approval
               history shall be visible to the system user.
BU.17.3        The system user may attach multiple electronic documents to the proposal.                               2
BU.17.4        The system shall maintain for these:                                                                    1
                         Project title
                         The name of the key PPPL contact
                         The project sponsor
                         Funding amount received by PPPL
                         Funding amount not yet received by PPPL
                         Project begin and end dates
                         Actual costs incurred to date.
BU.18          Report Rate Setup.                                                                                      3


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                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
             The system shall produce comprehensive and clear reporting of labor rate, labor burden rate,
             overhead rate, and allocation rate setup.
BU.19        Change a Budget Detail Only. The system user shall be able to change just a budget detail if            2
             desired instead of a complete replace of a budget.
BU.20        Budget Change Audit Trail. The system shall retain a detailed audit trail of changes to a               1
             budget. This audit trail shall show person making the change, before and after values, and the
             date and time of the change.
BU.21        Budget Warning Alerts. The system shall provide an alert when a budget‟s costs are close to             2
             exceeding its funding by a specified amount or percentage.
BU.22        Provisional Rate Sets. A Budget may be calculated with a provisional rate set. The resulting            3
             budget will be a provisional budget. The system user may specify to use this provisional
             budget for particular reports.
BU.23        Multiple Years. The system shall support budgets for multiple fiscal years. They may be prior           3
             years, one current year, and future years.
BU.24        Percentage Based. The system user may create a new budget based on an existing budget (e.g.             1
             new budget = 10% increase from previous budget).
BU.25        Multiple Budgets. The system may, as specified by the system user, retain baseline plus                 1
             multiple versions of budgets throughout the year.
BU.26        Budget Approvals. The system shall track budget approvals within the system. Approval                   1
             date/time and person approving will show.
BU.27        Rates and Allocations Audit Trails. The system shall retain a detailed audit trail of changes to        3
             all rates and allocations for the active year. This audit trail shall show person making the
             change, before and after values, and the date and time of the change.




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                                                                                                                                Numeric
                                   PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                               Response
                           Labor Distribution and Cost Liquidation
              Labor Distribution and Cost Liquidation
Cost.1        Capture Timesheet Information for Monthly Employees.                                                  3

                       The monthly employee enters his non-productive time such as vacation, holiday, and
                  sick into the timesheet system. Days in decimal, time-off category, and the actual
                  calendar dates are input.
                       The system assigns each work day of the month to a standard percentage value, for
                  example 4.615%. One day is equivalent to 4.615% of the month. This value shall be
                  constant; it shall not vary per month. This percentage is configurable.

                      The system calculates, based upon the day percentage times the employee work
                  percent, the percentage of time reported as non-productive and the percentage of
                  productive time remaining. The system displays the productive time remaining.
                  Employee work percent is the normal percentage of time an employee works. Most
                  employees are 100%; a part-time employee shall have a lesser percentage.

                   The system shall allow for one or both of the following two alternatives:
                     o The monthly employee enters his productive time into the system as
                  percentages per account. Project Account is cost center, work package, job package; not
                  expense class. The employee must input these with each percentage.
                     o Instead of percentages, the monthly employee enters hours per project into the
                  system. The system then converts the hours per project to a percentage of productive
                  .
                       Each employee‟s timesheet shall be validated so that the total time reported adds up
                  to the employee work percent.
                       The system shall calculate the hours per account. This calculation differs depending
                  upon whether the employee is a technical center employee or not. A technical center
                  employee is one who normally works on technical projects versus an employee who is part
                  of a department that provides overhead or administrative services.

                            o Tech-center employee calculation. The monthly percentage of time of each
                            non-productive time category and for each productive time project is multiplied
                            by 173.33. This is the standard number of hours per month; it is the result of
                            multiplying 52 by 40 and then dividing by 12. The percentages shall sum to the
                            employee work percent, normally 100% and the hours per account and time-off
                            shall sum to (employee work percent times 173.33).




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                                      PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                     Numeric
                                      PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                    Response
                              o Non Tech-center employee calculation. These differ from the tech-center
                              employees in that their non-productive time is charged to an actual project
                              account as well as to the non-productive time category. This distribution
                              account is kept in the system per employee. It normally represents the
                              employee‟s home cost center, the same account that he will normally post his
                              productive time to. The system shall calculate hours per account, both
                              productive and non-productive, using percentages and 173.33.

                             o Note that the distinction between the two types of employees is that Tech
                             Center employees will not have time-off distributed to accounts; it will be
                             categorized only by time-off category.
                       The system shall produce thorough and detailed audit trails and control totals.
                       See Appendix C Labor Distribution Examples.

Cost.2        Capture Timesheet Information for Subcontractor employees and Temporary Agency                             3
              employees.

                        Timesheet hours capture is identical for these two categories. There is some
                   difference between them in the reconciliation process, described later in this document.

                       The temporary employee enters his productive time as hours per project account into
                   the system.
                       The system shall produce thorough and detailed audit trails and control totals.
                       See Appendix C Labor Distribution Examples.

Cost.3        Process Princeton University Timesheet Information. The system shall process an interface                  3
              file from Princeton University. Princeton produces a file for every Biweekly/Hourly payroll
              run.
              ·     This file consists of a record per employee and account or non-productive time code. Each
              record contains:
                     o Employee ID
                     o Project Account or non-productive time code signifying vacation, sick, etcetera.
                     Project Account is cost center, work package, job package; not expense class.
                     o Straight time hours
                     o Straight time overtime hours (overtime paid at straight time rate)
                     o Overtime hours
                     o Double time hours
                                o Employee name
                                o Pay period end date.
                                o Shift code
                          The system shall produce labor distribution information from this file as described in
                     the following requirement Produce Labor Distribution.
                          The system shall produce thorough and detailed audit trails and control totals.
Cost.4        Time Sheet Approvals.                                                                                      3
              ·     The system shall require each timesheet to be approved.
                          The employee‟s supervisor may require an optional reviewer step prior to timesheet

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Cost.4                                                                                                                  3
                                                                                                                                    Numeric
                                        PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                                   Response
                          The system shall maintain a hierarchy of employee approvers.
                          Approver name and reviewer name with date/time stamp shall clearly show with the
                          An approver may specify to the system alternate approvers in case of out-of-office
                          The timesheet shall be routed to an alternate approver when approval wait time
                          The system shall generate an alert when a timesheet‟s wait time exceeds a
                                ·    The system shall not allow an employee to be his own approver.
                                ·    Approved timesheets cannot be changed unless they are sent back to the

Cost.5           Time Sheet Administration.
Cost.5.1         ·   The system shall allow the payroll administrator with appropriate security to review and           3
                 update all timesheets.
Cost.5.2                   The system shall produce a report showing, per pay period, employees who have not           3
                      submitted a timesheet or whose timesheet has not been approved.
Cost.5.3                   The system user may specify, per employee with missing timesheet, that the system           2
                      generate an automatic email reminder message.
Cost.5.4                   The system shall report employees by pay type.                                              3
Cost.5.5                   The system shall maintain per employee, the employee‟s standard work percent.               2
                      This applies to monthly employees. For example, some employees work four days a
                      week. These employees have an 80% work percent. Each monthly employee‟s timesheet
                      shall be validated so that the total time reported adds up to the work percent.

Cost.5.6                  Multiple Holiday Calendars may be set up. The timesheet system shall use these               2
                      calendars for holiday defaults. A calendar shall be associated with each employee.

Cost.5.7                  The system shall maintain per pay type, past and projected pay periods. One period           3
                      per pay type shall be current. Time sheet entry shall default to the current open period.

Cost.5.8                   The payroll administrator shall be able to control which pay periods may have labor         3
                      distribution posted to them; a period shall be in an open or closed state.
Cost.5.9                   The payroll administrator shall be able to setup employees with standard hours and          3
                      standard distribution who shall not be required to input monthly timesheets. This could be
                      used for graduate students and employees on disability.
Cost.5.10                  The payroll administrator shall be able to identify employees who are on Leave              2
                      Without Pay. Timesheets shall not be required for them.
Cost.5.11                  The system shall report timesheets per period with their status. Summary and detail         3
                      information.

Cost.6           Produce Labor Distribution.                                                                            3
                          PPPL calculates labor distribution two different ways: labor cost using average labor
                     rates and labor cost using actual labor rates.
                          Average labor.
                                o Average labor is calculated for all hours assigned to an account. It is not
                                calculated for the time off assigned to only a non-productive time code. Tech-
                                center employees assign time-off only to the codes, not to project accounts.



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                              PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                          Response
                       o Contractor and Temporary Agency employees have their average labor set
                       equal to the actual. There are average rates for Contractor and Temporary
                       Agency employees that are used for budget purposes that are not used for cost
                       calculation.
                       o When a charged project is identified as a WFO project, the average labor is
                       not based upon the average rate. It is the employee‟s annual salary divided by
                       his labor rate‟s productive hours per year, also on the labor rate table. These
                       productive hours per year differs for tech center and non-tech center employees.
                       See Requirement Cost.35, Labor Rate Table.

                      o Average labor is calculated by multiplying the employee‟s hourly average
                      rate by the hours per project account.
                      o Biweekly/Hourly employees may report time for Shifts other than Shift 1.
                      The system shall adjust the calculated pay by a percent or an hourly adjustment
                      amount per shift.
                      o The hourly average rate is kept within the system by employee
                      classification, described in Requirement Cost.35, Labor Rate Table.
                 Actual labor.
                      o Actual labor is calculated for all employees and contractors.
                      o Actual labor is calculated for hours assigned to accounts and hours assigned
                      to only a non-productive time code.
                      o Actual labor is calculated by multiplying the employee‟s hourly actual rate
                      by the hours per account or time code. The hourly actual rate is obtained by
                      dividing the employee‟s actual annual salary by 2080. This is 52 weeks per
                      year times 40 hours per week. The 2080 is used for all employees, tech center
                      and non-tech center.
                      o Biweekly/Hourly employees may report time for Shifts other than Shift 1.
                      The system shall adjust the calculated pay by a percent or an hourly adjustment
                      amount per shift.
                      o The actual rate is kept within the system by employee, described in the
                      Requirement Cost.35, Labor Rate Table
                 Overtime labor.
                      o Both average and actual overtime is calculated.
                      o Actual amount calculation is identical to the straight time calculations but a
                      factor of 1.5 or 2.0 may be used in the multiplication. Overtime hours from the
                      Princeton timesheet interface file shall be in the Straight Time Overtime Hours
                      field or the Overtime Hours field or the Double Time Hours field; the
                      appropriate factor is used: 1 for Straight Time Overtime, 1.5 for Overtime, 2
                      for Double Time.




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                               PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                              Numeric
                               PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                             Response
                        o Average amount calculation may use a different average labor rate than the
                        straight time. A tech center employee will have Hours per Year value less than
                        2080; this lesser value was used to obtain his average hourly rate. For
                        overtime, the average hourly rate is recalculated using 2080 hours per year.
                        The amount is then multiplied by a factor of 1.5 or 2.0. Overtime hours from
                        the Princeton timesheet interface file shall be in the Straight Time Overtime
                        Hours field or the Overtime Hours field or the Double Time Hours field; the
                        appropriate factor is used: 1 for Straight Time Overtime, 1.5 for Overtime, 2
                        for Double Time.
                        o Overtime labor is kept categorized separately from straight time labor.
                  Offset calculation.
                        o Offset labor amounts are produced for all average labor. Calculation is the
                        average labor amount times negative one.
                  Labor Distribution is kept per:
                        o Employee
                        o Demographic Code (this can change for an employee)
                        o Pay Date
                        o Account or non-productive time code
                        o Shift Code – Regular and type of Overtime
                        o Average, Actual, or Offset
                  Project Account Assignment. The system shall assign a project account to all hours
              assigned an account when timesheets were entered. The hours to which accounts are not
              assigned are non-productive hours for tech center employees.
                        o Each employee is assigned a Division that indicates the employee‟s home
                        organization within PPPL. It is the first two positions of Demographic Code.

                        o Each division has a Variance Cost Center assigned to it. PPPL uses two of
                        these; one for Engineering employees and one for non-Engineering employees.

                        o Each division has a set of expense classes assigned to it. These are for
                        biweekly/monthly regular time average, actual, offset; for hourly regular time
                        average, actual, offset; for biweekly overtime average, actual, offset; for hourly
                        overtime average, actual, offset.
                        o Subcontractors have expense classes per Engineering and non-Engineering.

                        o Graduate students have a set of expense classes for regular time only;
                        overtime does not apply to graduate students.
                        o Cost Center, Work Package and Job Package are same as input in the
                        timesheet for average labor.
                        o For actual labor and average offset labor, cost center is the Variance Cost
                        Center from the employee‟s division, Work Package is ****, and Job Package
                        is *NUL. Since the actual labor and the average offset are sent to these cost
                        centers, they accomplish an easy comparison between average and actual labor
                        amounts.
                        o Expense Class is derived as follows.


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                                      PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                                         PPPL uses labor expense classes to denote both the type of
                                        employee originating the expense and whether the expense is for
                                        regular or overtime and average, actual, or offset.
                                         The employee‟s division has associated with it the appropriate
                                        expense class value for the possible distribution labor classes.
                                        These are straight average, actual, and offset: Biweekly Overtime
                                        average, actual, and offset: Hourly Overtime average, actual, and
                                        offset.
                        The system shall produce thorough and detailed audit trails and control totals.
                        See Appendix C: Labor Distribution Examples.

Cost.7         Actual Pay Alternative. The system shall be able to use actual pay from an external source             1
               such as an interface file from Princeton University as an alternative to its own calculation of
               actual pay. This actual pay would be used in the Labor Distribution.

Cost.8         Post-Doctoral Exception. System setup shall identify employees of a particular Payroll                 3
               Demographic Code (PDG) that have their labor distribution processed a little differently. A
               percentage and distribution cost center/work package/job package shall be associated with the
               PDG. For these employees, each average labor distribution dollar amount shall be reduced by
               the percentage and an amount for that percentage shall be distributed to the specified cost
               center/work package/job package. The distribution hours shall not change.


Cost.9         Post Labor Distribution.                                                                               3
                        The system user shall specify the payroll run that shall be posted and direct the
                    system to post a particular pay period. The system shall commit the average, actual, and
                    offset labor transactions, for the payroll run specified, to Labor Distribution History
                    provided that all timesheet data in the pay run is free from error.

                        The system shall produce a summary journal entry to the payroll liability account for
                    the actual pay for that payroll for monthly and biweekly/hourly employees.

                         For the non-employee temp agency people, the accounts payable liability account
                    shall be used and the encumbrance amount shall be alleviated for the Variance Cost
                    Center of the employee.
                         For the non-employee consulting people, the accrual liability account shall be used
                    and the encumbrance amount shall be alleviated for the Variance Cost Center of the
                    employee.
                         The system setup shall include the account values to use for posting employee labor,
                    temporary agency labor, and contractor consultant labor.
                         The system shall produce thorough and detailed audit trails and control totals.

Cost.10        Labor Distribution History.                                                                            3




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                                                                                                                                 Numeric
                                      PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
Cost.10                                                                                                              3          Response
                         The system shall maintain labor distribution history. This is a record per employee
                    of hours and dollars per account, shift code and non-productive time code. Pay date is
                    kept with the history. Average, actual and offset distributions are kept. Overtime or
                    regular status is kept. Employee demographic code at the time the distribution was
                    created is kept.

Cost.11        Labor Distribution Reporting.                                                                         3
                    The system shall provide reporting of labor distribution history by date ranges, pay
                   types, include and exclude employees, HOD ranges and include and exclude values, PDG
                   ranges and include and exclude values, cost center, work package, ranges and
                   include/exclude values.
                    The system shall allow the user to choose summary or detail and sort sequence.


Cost.12        Labor Distribution FTE Conversion Reporting.                                                          3
                    The system shall provide reporting of FTE equivalents from actual hours. To
                   calculate the equivalents, the system shall use the hours per year obtained from the Labor
                   Rate table.
                        The system user shall specify the Year and Revision Number of the Labor Rate table
                   to be used.
                    The system shall provide reporting fiscal year, HOD ranges and include and exclude
                   values, PDG ranges and include and exclude values, cost center, work package, ranges
                   and include/exclude values.

Cost.13        Adjust Labor Distribution. The system user with appropriate security permission may adjust            3
               posted labor distributions. This may be done by the PPPL Payroll administrator to make
               corrections; an example of when this would be needed is to correct time booked to a particular
               project in error that should be re-booked to the correct project.
                         Adjustments may be newly input to the system or may be made to existing labor
                    distribution.
                         Labor Distribution may be searched by employee and/or pay period date.
                         Existing distributions that need correction shall be reversed by the system.
                         The system shall require an adjustment comment to be made that may contain the
                    adjustment reason. The system shall keep an audit trail of the person making the
                    adjustment with a time and date stamp.
                         Average and actual pay rates may be adjusted. Reported hours may be adjusted for
                    productive and non-productive time. Project accounts may be adjusted.

                       An adjustment shall be done consistently for the four entries per set – average,
                   average offset, actual, actual payroll liability offset.
                       Adjustments shall be clearly noted by the system as adjustments.
                       The system user shall be able to process adjustments for terminated employees
                   without reactivating the terminated employees.
                       The system shall produce thorough and detailed audit trails and control totals.
Cost.14        Apply Benefit Costs.                                                                                  3

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                                      PPPL Detail Requirements                                                       PPPL Priority                                  Optional Comment
Cost.14                                                                                                                   3          Response
                         The system shall maintain a Regular Staff Benefit Rate and a Casual Hourly Benefit
                    Rate. Expense class suffixes are maintained with these so that the benefit expenses shall
                    be properly identified.
                         The system shall apply benefit rates to distributed labor costs. Monthly and
                    Biweekly employee labor uses the Regular Staff Benefit Rate. Hourly employee labor
                    gets the Casual Hourly Benefit Rate. Subcontractor labor and graduate students get no
                    benefits.
                         New benefit costs are generated for actual labor, average labor, and average offset
                    labor. The expense class prefix of the original labor is used. Cost center, job package,
                    work package are the same as for the original labor. A new expense class value that
                    indicates benefits shall be assigned by the system; this is the suffix kept with the benefit
                    rate.
                         Benefit costs are generated for overtime labor just as they are for straight time labor.

                        An offset for the benefits generated shall be created by the system. The account to
                    use for this shall be kept in the system with the benefit rate.
                        The system shall produce thorough and detailed audit trails and control totals.
                        See Appendix D: Labor Benefit/Vacation/Severance Examples.

Cost.15        Apply Vacation Accrual Costs.                                                                              3
                        The system shall maintain a Regular Staff Vacation Accrual Rate. Expense class
                   suffixes are maintained with these so that the accrued vacation expenses shall be properly
                   identified.
                        The system shall apply vacation rates to distributed labor costs. Monthly and
                   Biweekly employee labor uses the Regular Staff Vacation Rate. Hourly employee labor,
                   subcontractor labor and graduate students get no vacation costs.
                        New vacation costs are generated for actual labor, average labor, and average offset
                   labor. The expense class prefix of the original labor is used. Cost center, job package,
                   work package are the same as for the original labor. A new expense class value that
                   indicates vacation shall be assigned by the system; this is the suffix kept with the vacation
                   rate.
                        Vacation costs are not generated for overtime labor, just for straight time labor.
                        An offset for the vacation generated shall be created by the system. The account to
                   use for this shall be kept in the system with the vacation rate.
                        The system shall produce thorough and detailed audit trails and control totals.
                        See Appendix D: Labor Benefit/Vacation/Vacation Examples.

Cost.16        Apply Severance Costs.                                                                                     3
                       The system shall maintain a Regular Staff Severance Rate. Expense class suffixes
                   are maintained with these so that the severance expenses shall be properly identified.

                        The system shall keep with the severance rate a list of Exempt Cost Centers and a
                    Severance Cost Center. Labor costs for the Exempt Cost Centers shall not have severance
                    generated for them. These are normally the non-DOE WFO cost centers.




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Cost.16                                                                                                                  3


                                      PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                     Numeric
                                      PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                    Response
                         The system shall apply severance rates to distributed labor costs. Monthly and
                    Biweekly employee labor uses the Regular Staff Severance Rate. Hourly employee labor,
                    subcontractor labor and graduate students get no severance costs.
                         New severance costs are generated only for the average labor and average offset, not
                    for actual labor. For the average, cost center, job package, work package are the same as
                    for the original labor. A new expense class value that indicates severance shall be assigned
                    by the system; this is the suffix kept with the severance rate. For the average offset, the
                    original cost center value is replaced by the Severance Cost Center kept with the
                    Severance Rate and the expense class suffix assigned is the offset suffix kept with the
                    Severance Rate.
                         Severance costs are not generated for overtime labor, just for straight time labor.

                       The system shall produce thorough and detailed audit trails and control totals.
               See Appendix D: Labor Benefit/Vacation/Severance Examples.

Cost.17        Special Pays. These are employee pay categories that have no hours associated with them.                  3
               They are used for pay types such as spot bonuses.
                        Special Pays are identified by particular Expense Class values.
                        The system shall allow for entry of these into labor distribution.
                        Special pays have no average and average offset entries, only the actual.
                        Special pays do have benefit costs calculated but get no vacation or severance.


               Please see the Budget Requirements document, Requirement BU.1, for a description of the
               data setup requirements for the Burden Rates and Allocations.
Cost.18        Labor Burdens. Labor burdens are used to add on an additional cost percent per type of labor,             3
               such as Research Labor, charged to a project. They are meant to recapture the management
               and administrative costs needed to support the labor‟s division. These management and
               administrative costs will not be charged to a project; they must be liquidated by the burden.
               For example, expense class 12 is research labor. A 7% surcharge is added on to research labor
               costs for a project so that the entire cost of research labor, labor, management, and
               administration, will be allocated to projects by the end of a year.


               5000 series cost centers are Tech center administrative and allocation cost centers. The
               administrative expenses are liquidated by the labor burdens.

               These labor costs that are not allocated to projects can be found in cost reports for home cost
               centers of the labor. Home cost centers do not have payroll budgets except for anticipated
               portions of payroll that will not be charged to projects.

               Labor burdens are not calculated for the average labor offset or actual labor. Both of these
               costs are found in the variance cost centers. The purpose of the burden is liquidation and the
               charges in the project cost centers are what are used to liquidate indirect costs. Therefore labor
               burdens are generated only for the average costs in the project cost centers.



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                                      PPPL Detail Requirements                                                       PPPL Priority                                  Optional Comment
                                                                                                                                     Response

               Rules for labor burden generation are:

                        Labor burdens are generated for direct and indirect cost centers.
                        Labor burdens are set up for the expense classes of generated vacation, benefit and
                    severance costs. Therefore labor burdens shall be generated for vacation, benefit and
                    severance costs.
                        Labor burdens are calculated for average labor costs, not actuals or average offsets.

                        Labor burdens are set up per expense class prefix. The system shall keep with the
                    labor burden rate its Expense Class Prefix, a list of exempt cost centers, a four digit
                    expense class to use for the generated burden and an offset cost center and expense class.

                        The system examines the expense class of the labor average cost. A labor burden
                    cost will be generated provided that a labor burden for this expense class has been set up.
                    The labor burden amount will be the (labor average amount * the labor burden rate).

                         The system shall not calculate this burden if the expense‟s cost center is in the Labor
                    Burden‟s Exception Cost Center List (BU.1.5).
                         The project account for the generated burden is the value of the average labor cost‟s
                    cost center, work package, job package and the expense class specified with the burden
                    rate.
                         The project account for the generated burden offset is the offset cost center and
                    offset expense class kept with the burden rate. This offset cost center is in the home cost
                    center range of the labor type it is liquidating so that a cost summary by a range of cost
                    centers may give a measure of the burden‟s effectiveness for liquidating costs.

                       The system shall produce thorough and detailed audit trails and control totals.
               See Appendix E: Burden Examples.

Cost.19        Allocations. These are used to allocate costs for particular cost centers to an array of cost              3
               centers. Each receiving cost center has a percentage; the percentages must add up to 100%.

                         Unlike benefits, vacation, severance, and labor burdens, allocations apply to all costs,
                    labor and non-labor.
                         Allocated costs will be generated when the input cost‟s cost center/work package/job
                    package corresponds to an allocated cost center/work package/job package in an allocation
                    setup.
                         An allocated cost will be generated for each of the receiving cost centers.
                         Labor actual and average offsets use a Variance Cost Center; these will not be set up
                    as allocated cost centers. Therefore, for labor costs, allocations are generated only for
                    average costs since their cost centers may be set up as an allocated cost center.

                        The expense class assigned will be the value of the allocated cost center. For
                    example, if costs for cost center 5150 are allocated; the generated expenses to the
                    receiving cost centers will have expense class 5150.


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                                       PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                     Numeric
                                       PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                    Response
                        The cost center assigned will be the value of the receiving cost center in the setup‟s
                    array.
                        The amount of each generated cost is the cost times the receiving cost center‟s
                    percent.
                        The system shall produce thorough and detailed audit trails and control totals.

Cost.20        Allocation Sequence. The system user may specify processing sequence of allocations. Some                 3
               allocations should allocate expenses allocated already by another allocation.

Cost.21        Allocation/Burden Sequence. The system shall process labor burdens prior to allocations so                3
               that labor burden costs shall be allocated. Overhead burdens are processed after labor burdens
               so that labor burdens shall be given overhead burdens.

Cost.22         Overhead Burdens. Overhead burdens are meant to liquidate costs in the 6000 series of cost               3
               centers; these are the overhead departments, house utilities, maintenance, land lease etcetera.

               Only expenses charged to Direct cost centers will generate burdens. The Cost Center setup has
               a Direct/Indirect flag. The system shall generate overhead burdens only for the direct cost
               centers. For example, administrative labor, expense class 11, will generate a burden when
               charged to a project but not when charged to an overhead cost center. Burdens are assigned
               expense classes in the 6000 range.

               Please note that this indirect/direct flag does not apply to labor burdens, just overhead burdens.


               Note that a labor expense class can get both a labor burden and an overhead burden applied for
               it. The labor burden would be generated for both direct and indirect charged cost centers. The
               overhead burden would be generated for only the direct charged cost centers.


               6000 series cost centers are overhead cost centers whose expenses are liquidated by the
               overhead burdens. These overhead expenses do not generate overhead burdens; it is the project
               costs that generate these. However, the overhead burden offsets use cost center 6997 so that
               the burden amounts may be easily compared to the overhead expenses.


               Only the average labor expense classes get overhead burdens applied to them because only the
               average labor cost goes to the direct cost center. Actual and offset average labor goes to the
               two variance cost centers, no overhead burdens needed for these. Special Pay is a little
               different – for special pay the actual cost goes to the project, there is no average and average
               offset, the actual cost generates a burden. Special Pays are identified by specific expense
               classes.

               Rules for burden generation are:




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                                      PPPL Detail Requirements                                                                              Response per Requirement

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                                      PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                        Overhead burdens are generated provided that the expense‟s Expense Class is set up
                    with one or more burden codes and the expense‟s Cost Center is a Direct Cost Center.
                    This overhead burden generation is not done for indirect cost centers.
                        Each expense class - labor, labor burden, materials, travel, and etcetera may have
                    none to many burdens associated with it. The system generates burdens according to the
                    expense class setup.
                        These generated burdens have their own expense classes which in turn may have
                    overhead burdens set up for them. The system generates burdens for these too.

                         A generated expense burden‟s dollar amount will be the summary of the amount for
                    that burden type across the entire hierarchy of generated burdens.
                         The system will do some minor exception processing for the Onsite and Offsite
                    burdens. An expense class must have both of these or neither of these; it cannot have just
                    one. The expense‟s cost center can be designated as Offsite. If it is Offsite, the Offsite
                    burden is used; if not, the Onsite burden is used.
                         The system shall not calculate this burden if the expense‟s cost center is in the
                    Overhead Burden‟s Exception Cost Center List (BU.1.6).
                         Burden amount calculation is the expense amount multiplied by the burden percent.

                        The cost center, work package, job package of the burden shall be the same as the
                    original cost.
                        The expense class of the generated burden shall be the expense class set up with the
                    Burden Code.
                        An offset expense shall be generated for each burden expense. It shall use the Offset
                    Cost Center and Offset Expense Class set up with the Burden Code. Its amount shall be
                    the burden amount multiplied by negative one.
                        The system shall produce thorough and detailed audit trails and control totals.

               See Appendix E: Burden Examples.
Cost.23        LDRD (Laboratory Directed Research and Development) Burden. The system processing                      3
               for this burden is identical to the Overhead burden processing. It is explained separately here
               since the LDRD expenses are a different category from Overhead expenses. LDRD expenses
               are not directly funded by the DOE and need to be liquidated by funded project burdens.


               Cost center 7000 is used for all LDRD projects The LDRD burden is assigned to expenses so
               that projects will liquidate cost center 7000 costs. The LDRD burden offset goes to cost center
               7000 so that the variance between costs and burden may be easily monitored. Cost center 7000
               is set up as direct so that its costs will generate burdens. It won‟t burden itself with LDRD
               since 7000 is on the LDRD burden code cost center exception list.


Cost.24        Safeguard and Security Burden (S&S). This is not currently used but may be reactivated in              2
               the future.




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                                       PPPL Detail Requirements                                                                                  Response per Requirement
Cost.24                                                                                                                    2
                                                                                                                                       Numeric
                                       PPPL Detail Requirements                                                       PPPL Priority                                  Optional Comment
                                                                                                                                      Response
               PPPL‟s security force is directly funded by DOE, not an overhead cost. DOE wanted to „tax‟
               the WFO projects for their portion of this. This is a burden that gets applied to all costs for a
               WFO cost center. WFO cost center defined by „non-DOE‟ cost center checkbox on cost center
               setup.
               This is different from other burdens because the burden is activated at the cost center level, not
               the expense class level.

               An S&S burden expense percent is charged to all costs for the cost center set up with the S&S
               burden. Unlike other burdens, this is a burden set up for a particular cost center, not an
               expense class. When active, it charged an additional percentage of all costs for a WFO cost
               center to that cost center. The offset cost center is 7210 – this is the Security Dept cost center.


               Rules for S&S burden generation are:

                        Burdens are generated when an expense‟s Cost Center is set up with the S&S burden
                    code.
                        Burden amount calculation is the expense amount multiplied by the burden percent.

                        The cost center, work package, job package of the burden shall be the same as the
                    original cost.
                        The expense class of the generated burden shall be the expense class set up with the
                    Burden Code.
                        An offset expense shall be generated for each burden expense. It shall use the Offset
                    Cost Center and Offset Expense Class set up with the Burden Code. Its amount shall be
                    the burden amount multiplied by negative one.

Cost.25        Fabricated Equipment Expenses. The DOE requires that capital equipment expenses and                         3
               operating expenses be separated for DOE reporting. PPPL does this now by using separate
               expense classes and burden codes for capital equipment. Separate cost centers are set up to
               capture these capital equipment expenses for particular projects. Allocations are then set up to
               direct all costs for these capital equipment cost centers back to the original project. In this way,
               the capital equipment costs are kept separate but also combined for the entire project. A new
               system shall provide an effective way to accomplish the same.


Cost.26        Retroactive Processing. Any rate change: benefit, vacation, severance, overhead burden,                     3
               labor burden, safeguard and security burden, allocation setup shall cause a recalculation of any
               affected secondary cost going back to the beginning of current year. Resulting variance will be
               made in current month for any secondary cost account that has a dollar change. The original
               offset will change too.
Cost.27        Monthly Labor Accruals. The DOE requires that labor costs be reported for a calendar                        3
               month. Monthly employees report their time from the 21st of a month to the 20th of the next
               month. Biweekly/Hourly employee timesheets are done for two week periods that do not
               correspond with calendar months. The system shall generate labor accruals so that the
               unreported time for a calendar month is approximated for reporting to the DOE.

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Cost.27                                                                                                                 3
                                      PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                    Numeric
                                      PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                   Response

               Monthly Labor Accrual Rules are:

                         Prior month‟s accruals are reversed in the new month.
                         At the end of the year, the system shall reverse prior month accruals but not generate
                     new accruals.
                         Accruals are charged only for average labor.
                         Accruals are summary per account.
                         Some cost centers are exempt from labor accruals; this is indicated with the cost
                     center setup.
                         Accrual cost centers and work packages are set up per DOE B&R number. The
                     B&R numbers are in turn set up per cost center (cost center  B&R code  accrual cost
                     center and work package).
                         Accrual is charged to this accrual cost center and work package. The job package is
                     „*NUL‟ and the expense class is that of the original labor expense.
                         One labor accrual offset account is set up for the system. PPPL uses cost center
                     5955, work package is „****‟, job package is „*NUL‟, and the expense class is that of the
                     original labor expense.
                         Accrual amount. This calculation varies for monthly employees and biweekly/hourly
                     employees.
                                o Monthly calculation. To determine the amount for monthly employees, the
                                system shall add up the total percentages entered year to date. For example,
                                typically in April, a monthly employee will have made time entries for 675%.
                                (Oct. 75% and 100% for each of the other months). The system shall subtract
                                this percentage from 100% x the number of months to date. In our example this
                                would be 700% - 675% = 25%. To determine the factor to use, we then take the
                                25% and divide it by the percent on the current month‟s timesheet. Exempt
                                employees enter 75% in Oct., therefore, they would use 33% for the accrual
                                factor in October because we need to increase the reported labor by one third to
                                make up a full month. In April, the factor would be 25% divided by 100%
                                giving an accrual factor of 25%.
                                o Biweekly/Hourly/Subcontractor calculation. Determine the number of
                                working days from the last payroll end date until the end of the month. This
                                number will be multiplied by 10% to give the accrual percentage for this type of
                                employee. The 10% is used since the two week pay period is ten working days.
                                If there are three uncosted working days at the end of the month, 30% of the
                                paid amount should be accrued.
                         The system shall produce thorough and detailed audit trails and control totals.
Cost.28        October 25% Accrual. Princeton University pays monthly employees per calendar month.                     3
                                                                  st                      th
               Monthly employees report their time from the 21 of the month to the 20 . On the first month
                                                          st         th
               of the year, employees report from the 1 to the 20 . For this month, the system needs to
               generate a 25% labor cost accrual. In the last month of the year, the system shall generate the
               reversing 25% accrual. These accrual entries are made to Labor Distribution.




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Cost.28        Selection Requirements Response                                                                         3


                                      PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                   Numeric
                                      PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                  Response
               These accrual entries shall be for 25% of the standard 173.3 hours per month, 43.325 hours.
               These 43.325 hours shall be reduced by the Employee Work Percent for part-time monthly
               employees.

               The differences between this accrual and the preceding Monthly Labor Accrual are:
                        This accrual generates Labor Distribution from which cost entries are produced, the
                    same process as used for timesheet labor.
                        This accrual posts to one cost center, the Monthly Labor Accrual posts to several.

                         The Monthly Labor Accrual is set up to facilitate DOE Reporting, this is set up for
                    internal use to facilitate reconciliation with Princeton University‟s actual monthly pay.


               October 25% Accrual Rules are:

                         Only monthly employees are included in this accrual.
                         The system shall generate the accrual during the first month of the fiscal year and
                    reverse it in the last month.
                         An accrual entry is generated for each monthly average, actual, and average offset
                    cost labor distribution record.
                         Accruals for the actual and average offsets go to the same variance cost center
                    account as the original labor distribution.
                         Accruals for the average costs go to cost center 5955.
                         The amounts for average or actual shall be the average or actual rate times 25% of
                    the standard 173.3 hours per month, 43.325 hours. These 43.325 hours shall be reduced
                    by the Employee Work Percent for part-time monthly employees.
                         The system shall produce thorough and detailed audit trails and control totals.

Cost.29        Labor Encumbrances. PPPL needs to project the labor expense to be incurred through the                  3
               end of the fiscal year for both the actual and average labor costs, as well as the average rate
               offset. The amounts encumbered will be based on the remaining number of pay periods in the
               fiscal year and shall be distributed to the accounts charged on the current pay period‟s
               timesheets.

               Labor Encumbrance rules are:
                         Some cost centers are exempt from encumbrance amounts for tech center labor; the
                    cost center is set up with an indicator for this. These cost centers do qualify to get non-
                    tech center labor encumbrances.
                         The system shall reverse the previous month‟s encumbrance amounts when
                    generating encumbrances for the new month.
                         The system shall generate the encumbrance entries and allow the system user to edit
                    the encumbrance transactions before posting.
                         Encumbrances are generated for the monthly and biweekly/hourly payrolls, not
                    contractors.
                   Encumbrances are generated for both the actual and average labor costs, as well as the
               average rate offset.


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                                PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                              Numeric
                                PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                             Response
                  The encumbrance amount calculation varies for non-tech center and tech-center
              labor, for monthly and biweekly/hourly employees, and for actual and average labor. Tech
              center status is part of the employee‟s division setup.
                  Monthly Non-tech center labor.
                         o Actual labor factor is the number of months remaining in the fiscal year.
                         Monthly actual pay is through the end of the month even though timesheets
                         report only through the 20th. Actual Labor Encumbrance amount = monthly
                         actual pay times encumbrance factor.
                         o Factor for the average labor is different since the average labor is only
                                          th
                         through the 20 of the month. Average labor factor is based upon the ratio
                         between the amount of time represented by the month‟s timesheets and the
                         amount of time left in the year. For this calculation, 100 represents a full
                         month. Factor = time remaining/current month‟s time reported. October factor
                         will therefore be 1100/75 = 14.66. April factor will be 525/100 = 5.25.
                         Average Labor Encumbrance amount = monthly average pay times
                         encumbrance factor.
                  Biweekly Non-tech center labor.
                         o Biweekly payroll can use the same factor for average and actual. This is the
                         number of full pay periods left in the year plus the number of work days
                         between the last period and September 30 divided by 10. For example, if there
                         are 5 full pay periods left and the sixth pay period is evenly split between the
                         old and new years, factor is 5.5. Average encumbrance amount = average pay
                         times encumbrance factor. Actual encumbrance amount = actual pay times
                         encumbrance factor.
                  Hourly Non-Tech Center Labor.
                         o These use the same factor as the Biweekly. There are factors per employee
                         to be included in the calculation of the encumbrance amount. These are the
                         employment start and stop dates and the average number of hours worked per
                         pay period.
                  Tech Center Labor.
                         o Encumbrance for all tech-center labor, monthly and biweekly, is done in one
                         calculation. The intent of this calculation is to spread all payroll costs to
                         projects in the encumbrance in the same proportions as the current month
                         average amounts.
                         o To obtain the encumbrance amount, a monthly factor and a biweekly factor
                         are needed. Monthly factor is the number of months remaining. Biweekly
                         factor is the number of full pay periods left in the year plus the number of work
                         days between the last period and September 30 divided by 10. The base
                         amount equals the sum of:
                                       Actual monthly payroll times the monthly factor.
                                       Actual biweekly payroll times the biweekly factor.
                                       The year-to-date variance between the tech center actual labor
                                      and average offset labor. Including this adjusts for the average
                                      rates.



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                                        PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                      Numeric
                                        PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                     Response
                                             The accrual amount for the October 25% Accrual. This is
                                             included since it has not been distributed to project accounts.
                                  o Hourly Labor uses the same factor as the Biweekly. There are factors per
                                  employee to be included in the calculation of the encumbrance amount. These
                                  are the employment start and stop dates and the average number of hours
                                  worked per pay period.
                          Actual and average offset accounts are the same as used for actual and average offset
                      labor.
                          Average labor account is the cost center and expense class of the average labor with
                      „****‟ for work package and „LABR‟ for job package.
                          The average encumbrance amounts are spread between the cost centers of the current
                      payroll in the same percentages that average labor costs were distributed during the
                      current payroll. The entire encumbrance amount is posted to the current month.

                          Average offset amounts are the average times minus one.
                          Actual amounts are the current payroll amount multiplied by the monthly or
                      biweekly factor.
                         The system shall produce thorough and detailed audit trails and control totals.
                 See Appendix F: Encumbrance Example.

Cost.30          Cost History.                                                                                            3
                       The system shall maintain cost history. This is a record per cost detail. Drill down
                      to each detail shall be provided showing source transaction information.

Cost.31          Cost History Reporting.                                                                                  3
                       The system shall provide reporting of cost history by date ranges, cost center, work
                      package, job package, and expense class ranges and include/exclude values.
                 ·   The system shall allow the user to choose summary or detail and sort sequence.

Cost.32          Non-Productive Time Tracking.
Cost.32.1                 The system shall keep totals per employee of earned vacation and sick time and                 3
                     taken vacation and sick time. The Employee Work Percent shall be taken into account so
                     that employees who work less than 100% shall have their earned vacation and sick time
                     prorated. The system shall be able to vary the earned vacation and sick times for various
                     groups of employees, such as those belonging to particular unions. The system shall be
                     able to calculate earned vacation and sick time based on a sliding scale of years of service.
                     It shall be able to keep track of bonus days and bundled time (combined vacation and sick
                     time).
Cost.32.2                 The system shall maintain, for monthly and biweekly employees, vacation and sick               2
                     time maximum carryover days for each. This can be varied per employee.
Cost.32.3                 The system shall report non-productive time used and earned per employee.                      3
Cost.32.4                 The system shall report non-productive time history detail. The system user may                3
                     specify that actual costs of the non-productive time should be included.



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                                          PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                                     Numeric
                                          PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                                    Response
Cost.32.5                  The system shall report employees who have exceeded their non-productive time                3
                      limits.

Cost.33          Temporary Agency Payroll Invoice Generation.                                                            2
                        Posted labor transactions for temporary agencies shall automatically generate account
                    payable invoices.
                        An invoice per vendor and BOA kept with these employee records shall be
                    generated.
                        Distribution lines per temporary agency employee shall be generated.
                        The Purchase Order for this invoice is identified via the employee setup of the
                    temporary agency employee. The encumbrance originally generated by the Purchase
                    Order shall be reduced by the invoice amount.

Cost.34          Reconcile with Princeton University Payroll Information. The system shall process an                    3
                 interface file from Princeton University. Princeton produces a reconciliation file at the end of
                 each month. This file contains actual gross pay per employee for the month. Biweekly pays
                 are not prorated for days in the month; the entire pay is included for paychecks in that month.

                          This file consists of a record per employee and pay period paid in the month.
                                 o Employee ID
                                 o Pay check date.
                                 o Gross check amount.
                          The system shall compare the Princeton paid amounts to its own record in the Labor
                      Distribution of actual pay and report differences.

Cost.35          Labor Rate Table. PPPL maintains labor rates to be used for calculation of average labor                3
                 costs in the Cost Distribution process. Labor Rate is specified per first two positions of HOD,
                 Home Office Department code and the PDG code combination. The first two positions of
                 HOD is Division.

                 More than one Labor Rate may be set up for a Division/PDG combination. When this is done a
                 sequential number shall be used to distinguish them. Rates often need to change throughout a
                 year. When a rate changes, PPPL adds a new rate with a different sequential number and
                 updates employee records with the new Rate ID. An example is EADM and EADM1.


                 The Labor Rate table specifies per Rate ID:

                     Average annual salary per year and per month

                     Hourly average labor rate

                     Productivity rate

                     Hours per year



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                                      PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                                  Numeric
                                      PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                   Indirect variance cost center

                   Three expense classes – actual , average, offset
               When setting up a new rate, the system user inputs all fields but the Hourly average labor rate
               and Hours per year. The system calculates these based upon average annual salary and
               Productivity Rate.

               Hours per Year = (2080 * Productivity Rate). 2080 is 52 weeks times 40 hours per week.
               Average Hourly Rate = (Average annual salary per year/Hours per year).

               Productivity Rate is 100% for Non-Tech center employees. Can be 100% since their non-
               productive time is charged to a distribution account. This normally is the home cost center,
               same as the productive time.

               Productivity Rate is less than 100% for Tech Center employees. This is done so that their non-
               productive time will be spread across the projects they work on in proportion to the time spent
               per project. The Hourly Rate calculation will produce an inflated hourly rate when the
               Productivity Rate is less than 100%. This inflated rate will liquidate the costs for time off
               throughout the year.

               Tech Center Example:

                   Productivity time is 83%

                   83% * 2080 hrs/yr = 1726.4

                  85000 average salary / 1726.4 = 49.2354
               Non Tech Center Example:

                   Productivity time is 100%

                   100% * 2080 hrs/yr = 2080

                   48000 average salary / 2080 = 23.07692

Cost.36        Process Princeton University Employee Information. The system shall process an interface               3
               file from Princeton University of employee descriptive information. This information shall be
               used to update the system.

               This file consists of :
                                o PPPL Network Employee ID
                                o Princeton University Employee ID Number
                                o Badge Number
                                o Last, middle, first names.
                                o HOD code
                                o PDG code


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Cost.36                                                                                                            3



Software Selection Requirements Response

                                      PPPL Detail Requirements                                                                           Response per Requirement

                                                                                                                               Numeric
                                      PPPL Detail Requirements                                                PPPL Priority                                  Optional Comment
                                                                                                                              Response
                              o   Hire date, rehire date, termination date
                              o   Job code
                              o   Salary base
                              o   Salary effective date
                              o   Duty Time
                              o   Department ID
                              o   Salary Administration Plan
                              o   Grade
                              o   Supervisor‟s Network ID
                              o   Email
                              o   Phone
                              o   Mail stop
                              o   Pay code

               The system shall produce an audit trail report showing update activity.

Cost.37        Employee Setup Data. Timesheet, labor cost distribution, non-productive time tracking and           3
               temporary agency payroll invoice generation require employee information kept in PPPL‟s
               business system. The system shall provide a means to maintain and report this.
                        Office address and phone
                        Start and End dates for subcontractor/temporary employees
                        Vendor ID and PO Number for subcontractor/temporary employees
                        For non-tech center employees, non-productive time distribution account(s) and
                    allocation percentage(s) adding up to 100%.
                        Email address
                        Pay code
                        Annual actual pay rate
                        HOD code.
                        PDG code.
                        Holiday calendar
                        Employee Work Percent

Cost.38        Division Setup Data. Codes that indicate an employee‟s high level organization. This is             3
               positions one and two of HOD code. The system shall provide a means to maintain and report
               this.
                  Division
                  Description
                  Variance Cost Center
                  Tech Center Indicator
                  Non-overtime labor expense classes - a set of average, actual, offset expense classes for
                  Monthly, Biweekly, Hourly, Subcontractor, and Graduate labor expenses.
                  Biweekly overtime expense classes - average, actual, offset
                   Hourly overtime expense classes - average, actual, offset.




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                                      PPPL Detail Requirements                                                                           Response per Requirement

                                                                                                                               Numeric
                                      PPPL Detail Requirements                                                PPPL Priority                                  Optional Comment
                                                                                                                              Response
Cost.39        HOD (Home Demographic Code) Setup Data. Code that indicates an employee‟s place in                   3
               the PPPL organization. Four positions. Positions 1 and 2 give department and division.
               Positions 3 and 4 give branch and section. The system shall provide a means to maintain and
               report this.
                  HOD code
                  Description

Cost.40        PDG (Payroll Demographic Code) Setup Data. Code that indicates an employee‟s staff                   3
               type, position one (administrative, engineer, etc.) and payroll type, position two (monthly,
               biweekly, subcontract, hourly). . The system shall provide a means to maintain and report
               this.
                  PDG Code
                  Description

Cost.41        Payroll Setup Data. Timesheet, labor cost distribution, and non-productive time tracking             3
               require that PPPL maintain setup data associated with payroll processing. The system shall
               provide a means to maintain and report this.
                  Holiday calendars
                  Non-productive time codes
                  Payroll codes
                  Shift codes with shift differential percents and amounts.

Cost.42        Audit Trails and Control Totals. All processes with financial impact shall produce detailed          3
               audit trails showing database update activity and control totals giving a summary of update
               activity and financial impact of process.
                                                                                                                   159




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                                     PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                  Numeric
                                     PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                                        Procurement Requisitions
              1.1.1   Procurement Requisitions

              PPPL Nomenclature. PPPL‟s definitions of various purchase agreements that span time
              periods follow. These terms are used throughout the detail requirements.
                        BPA. Blanket Purchase Agreement. This is used for low-dollar, commodity
                   purchases. A price list for a range of items is agreed upon with the supplier. A
                   requisition is used to set up the BPA. BPAs have an authorized user list and a release
                   limit. The service and/or material items are optionally specified; in some cases the
                   volume makes their specification inconvenient. A BPA does not encumber funds.

                       Blanket Releases. Blanket Releases are the actual orders that the BPA applies to.
                   These may be initiated with requisitions. Processing of blanket releases can be done
                   without Procurement‟s involvement.
                       Term Orders. These are a unique class of standard purchase orders. They differ
                   from most standard purchase orders because a time period is specified. The goods and/or
                   services must be specified. Term orders are purchase orders for serviceable maintenance
                   and support for specified items with a clearly defined performance period. The most
                   common performance period is one year, but shorter or longer performance periods can be
                   established. Funds are encumbered for the period.

                        BOA . Basic Ordering Agreement. This is a general agreement with a specific
                   supplier; it is not an actual purchase order or contract. It may specify values such as
                   payment terms and a pricing structure, but is primarily used to establish a governing
                   agreement for which material or service purchases can be procured from with established
                   terms and conditions. It is often used for agreements with companies that offer temporary
                   help, craft construction, or engineering support labor. No money is encumbered.

                     Job Order Against a BOA (Job Order). This is an actual purchase order that a
                   BOA applies to.

              Requisitions
RQ.1          Requisition Ease-of-Use. PPPL requires a requisitioning system that is flexible and easy-to-use
              while enforcing procurement‟s rules.
RQ.1.1                    The requisitioner may select from templates of frequently ordered items or input an        2
                   entirely new requisition.
RQ.1.2                    The requisitioner may choose to copy an existing requisition and then modify it.           1

RQ.1.3                   The requisitioner may choose to use a “Requisition Wizard” that takes him through           2
                   the process step-by-step or may choose a quicker advanced-user mode of entry.

RQ.1.4                  The system administrator may customize the system help and exception/error                   2
                   messages as needed.
RQ.1.5                  The system shall provide help text at a „pop-up‟ field level.                                1



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                                     PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                  Numeric
                                     PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                 Response
RQ.1.6                   The system shall default data values based upon the requisitioner‟s identity. These         3
                   are deliver-to address, contact telephone number, requisitioner name and end-user name.
                   The requisitioner may override deliver-to address, telephone number, and end-user name.

RQ.1.7                   The date by which the requisition should be delivered shall be the system date              1
                   incremented by a configurable default number of days. The requisitioner may override if
                   desired.
RQ.1.8                   The requisition entry interface may contain links to websites deemed informative            2
                   by PPPL. For example, the internal Safety & Health website.
RQ.1.9                   The requisitioner may access electronic supplier price catalogs to create                   2
                   requisitions.

RQ.2               Requisition Content.
RQ.2.1                   Any number of electronic documents may be attached to the requisition at the                3
                   header or line item level. The system shall be able to properly process these documents
                   even if they have identical names within a requisition or across all requisitions, for
                   example, SOW.doc
RQ.2.2                   The system shall properly process an electronic document attachment even though             3
                   it may have no correct Windows file extension.
RQ.2.3                 The requisitioner shall input a text description for the requisition.                         3
RQ.2.4                 The requisitioner may specify a suggested supplier or suppliers.                              1
RQ.2.5                 The requisitioner may specify a sole source supplier. The requisitioner shall be              2
                   required, when a sole source supplier is specified, to attach a supporting electronic
                   document.
RQ.2.6                 The requisitioner shall specify a date range for BPAs and Term Orders.                        3
RQ.2.7                 The requisitioner shall specify a list of authorized requisitioners for BPAs.                 3
RQ.2.8                 The requisitioner may specify a blanket release limit dollar amount for BPAs;                 3
                   otherwise the system shall default to a configurable limit set by the system administrator.

RQ.2.9                  The requisitioner may specify a line item or items for BPAs. These are normally              1
                   required but optional for BPAs.
RQ.2.10                 The requisitioner shall specify a BPA number for a requisition that is a release             3
                   against an existing BPA.
RQ.2.11                 One to many items may be ordered. These items may be predefined by PPPL or be                3
                   unique supplier items.
RQ.2.12                 The requisitioner shall specify a dollar matching tolerance percentage. This shall           3
                   default from a value set by the system administrator but may be overridden. This is the
                   tolerance for the percentage of difference between the total requisition estimate amount
                   and the maximum allowable amount of the eventual purchase order.

                       Line item content:
RQ.2.13            o Subject Matter Expert (SME) reviews may be specified, at the item master level, for an           3
                   item. These may be added to but not overridden by the requisitioner.




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                                      PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                                 Numeric
                                      PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                                Response
RQ.2.14             o The requisitioner shall select Cost Center, Work Package, and Job Package from a list          3
                    of valid values. Expense Class shall not be input at this point for the requisition.

RQ.2.15             o Dollar amount shall be input or derived from item price. Fiscal year shall be specified        3
                    for the amount. Dollar amount may be split between consecutive fiscal years. There shall
                    be a maximum of two fiscal years, the current year and the next year.

RQ.2.16             o The requisitioner may review items from PPPL‟s list of Excess Inventory items and              3
                    Stockroom items. The requisitioner shall certify that he has reviewed the lists. The
                    requisition will not be necessary and may be cancelled if the needed goods are found in
                    Excess Inventory or Stockroom.
RQ.2.17             o The requisitioner may specify that an inspection period of time, currently 10 days, is         3
                    needed between physical receipt of item and assumption that received goods are as
                    ordered. This period of time is configurable by the system administrator. It shall not be
                    overridden by the requisitioner.
RQ.2.18                        o The requisitioner shall input a line item text description.                         3
               Summary content requirements for BPAs, Blanket Releases, Term Orders, BOAs, and Job
               Orders follow.
RQ.2.19        BPA:                                                                                                  3
                 Authorized requisitioner list required.
                 Service and/or material line items optional.
                 Release limit dollar amount required.
                 Money NOT encumbered.
RQ.2.20        Blanket Release against a BPA                                                                         3
                 Requisitioner must match to BPA list.
                 Service and/or material line items required.
                 Dollar amount must be within BPA release limit dollar.
                 Money IS encumbered.
RQ.2.21        Term Order:                                                                                           3
                 Authorized requisitioner list does not apply.
                 Service and/or material line items required.
                 Release limit dollar amount does not apply.
                 Money IS encumbered.
RQ.2.22        BOA:                                                                                                  3
                 Authorized requisitioner list does not apply.
                 Service and/or material line items required.
                 Release limit dollar amount does not apply.
                 Money NOT encumbered.
RQ.2.23        Job Order against a BOA:                                                                              3
                 Service and/or material line items required.
                 Money IS encumbered.
                 Uses terms and conditions defined by BOA.

                 Requisition Approvals




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                                     PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                    Numeric
                                     PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                   Response
RQ.3.1                  The system shall reject a blanket purchase release when the requisitioner is not an            2
                   authorized requisitioner for the BPA. This shall not apply to authorized users who are
                   Procurement employees.
RQ.3.2                  The system shall reject a blanket purchase release when the requisition dollar amount          3
                   is greater than the blanket release limit.
RQ.3.3                  SME approvals and financial approvals shall be easily configurable by a system                 3
                   administrator.
RQ.3.4                  The system shall provide for multiple SME approval types. Examples are Chemical,               3
                   Desktop IT, and Safety. SME approval sequence by type shall be configurable. The
                   system administrator shall be able to choose their sequence and whether particular review
                   types shall be concurrent or serial.
RQ.3.5                  Items may be set up to be exempt from SME approvals.                                           3
RQ.3.6                  The system shall proceed to financial approvals when the requisition has passed the            3
                   SME approvals. Failing an SME approval shall cause the requisition to be returned to the
                   requisitioner for correction or cancellation.
RQ.3.7                  The system shall maintain a hierarchy per Cost Center of employee approvers. The               3
                   system shall route an approval to the employee with approval signature authority for the
                   amount of the requisition.
RQ.3.8                  SME and financial approval history, approver name and date/time stamp, shall                   3
                   clearly show with the requisition.
RQ.3.9                  An approver may specify to the system alternate approvers in case of out-of-office             3
                   time.
RQ.3.10                 The requisition shall be routed to an alternate approver when approval wait time               3
                   exceeds a configurable threshold set by the system administrator.
RQ.3.11                 The system shall generate an alert when a requisition‟s wait time exceeds a                    3
                   configurable threshold.
RQ.3.12                 The system shall not allow a requisitioner to be his own financial approver. The               3
                   alternate shall be assigned instead.
RQ.3.13                 The system shall allow a requisitioner to be his own SME approver.                             3
RQ.3.14                 The system shall require SME approvals to be redone when a requisition‟s line item             3
                   information is changed. An exception to this is a dollar amount change. Amount changes
                   shall not affect SME approvals. Financial reviews shall be redone.


RQ.4               Requisition Financial Processing.
RQ.4.1                  The system shall increment the committed amount per Cost Center of an approved                 3
                   requisition.
RQ.4.2                  The system shall increment, per Cost Center, the encumbrance amount and                        3
                   decrement committed amount when a requisition flows to a purchase order.
RQ.4.3                  The system shall be able to issue alerts when a requisition is input. The alert will be        3
                   configurable. The system administrator may choose employees to receive alerts according
                   to the cost center of the requisition.
RQ.4.4                  The system administrator may choose to issue a particular alert only when a                    3
                   requisition will cause a Cost Center to exceed or come within a specified percentage of the
                   Cost Center‟s budget.


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                                    PPPL Detail Requirements                                                                            Response per Requirement

                                                                                                                              Numeric
                                    PPPL Detail Requirements                                                 PPPL Priority                                  Optional Comment
                                                                                                                             Response
RQ.4.5                Only Procurement and authorized Accounting users may de-obligate encumbered                3
                  funds (reduce dollar amount of purchase order).

RQ.5              Requisition Inquiries and Reporting.
RQ.5.1                Purchase Order number will show for closed requisitions.                                   3
RQ.5.2                A requisitioner shall be able to review on-line his requisitions‟ status, data and         3
                  approval history.

RQ.6              Requisition Accounting Processing.
RQ.6.1                After SME approval and financial approvals, the system shall route requisitions to         3
                  designated employees in Accounting. This shall be controlled by workflow.

RQ.6.2                Accounting shall fill the Expense Class values for each line item. Drop-down values        3
                  may be selected.
RQ.6.3                Accounting may optionally specify that a proposed supplier is eligible for 1099            3
                  processing.
RQ.6.4                Accounting must approve the requisition prior to routing it to Procurement.                3




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                                   PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                  Numeric
                                   PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                                   Procurement Card Processing
            Procurement Card Processing.
            Procurement Card Purchases.
PR.1        The system shall keep per employee that participates in the Procurement Card program a                    3
            Procurement Card Account Number, a Single Transaction Limit and a Monthly spending Limit

PR.2        A requisitioner may choose to pay by procurement card for his goods or services. He may do                3
            so provided that:
                        The employee has a procurement card set up for him in the system.
                        The transaction amount does not exceed the employee‟s Single Transaction Limit
                   amount set by the system administrator for that employee.
                        The transaction amount does not cause the employee‟s Monthly Spending Limit to
                   be exceeded.
                        The item ordered is not a material or service that PPPL policy states may not be paid
                   for by procurement card.
                        Accounting distribution is complete.
                        An existing supplier is selected for the requisition.
PR.3        The system shall create a completed procurement card transaction from requisitions paid for by            3
            procurement card.
PR.4        Alternatively, a requisitioner may route, via workflow, a requisition to a holder of a                    3
            procurement card. The procurement card holder may pay the requisition with his card provided
            it is a valid procurement card purchase according to PPPL‟s rules. He shall then record the
            payment in the system.

PR.5        Procurement Card Monthly Reconciliation. Each employee cardholder shall reconcile his                     3
            monthly procurement card purchases against his monthly bank statement.
                      The system shall allow for easy import of a bank file consisting of the month‟s
                 procurement cards purchases.
                      The cardholder shall review in the system his portion of the bank file; this
                 corresponds to his monthly procurement card statement.
                      The cardholder shall match within the system each of his procurement card
                 transactions for the month with its corresponding bank purchase detail, if present.
                      The cardholder may associate a scanned receipt with each procurement card
                 transaction.
                      The cardholder shall flag each bank purchase detail as valid and accepted or invalid
                 and rejected.
                      The system shall assign invalid bank charges to a suspense account. Valid charges
                 shall be assigned the distribution account of the corresponding purchase order line item.

                     Completed reconciliations will be routed automatically by workflow to the
                 appropriate approver.
                     An employee shall have access to only his purchases and bank data and that of his
                 employees for which he is approver.
                     The system may print a reconciliation report.



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                                   PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                               Numeric
                                   PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                              Response
                     An employee may designate an alternate employee who may reconcile his account.

                     An approver may designate an alternate approver who is above him in the approval
                 hierarchy.

PR.6        Procurement Card Administration.                                                                       3
                     The Procurement Card Administrator must have full access to all employees‟
                 procurement card purchases and bank data.
                     The system shall provide inquiry and reporting capabilities showing reconciliation
                 and approval status per employee per month.
                     The system shall provide search capabilities of monthly procurement card activity by
                 employee, by month, by reconciliation status, by approval status and by keyword in
                 description.

            Procurement Card Accounting

            Procurement Card Requirements. The Procurement Business Requirements document
            describes requirements related to procurement card purchases, employee monthly reconciliation
            and procurement card administration. These are requirements PR.1through PR.6.
            Requirements related to paying the procurement cards‟ provider bank, monitoring employee
            reconciliation status, and posting of purchase amounts to the correct project accounts follow;
            they are PR.7 through PR.14.

PR.7        Procurement Card Information. The system shall keep, per Procurement Card Account                      3
            number, employee name, default distribution account, single transaction spending limit and
            monthly spending limit.

            Procurement Card Payment.
PR.8        Process Bank File.                                                                                     3
                     The system shall provide an easy method to import into the system a file received
                 from the procurement card bank. This file is an electronic version of the paper billing
                 statement received each month. It contains transaction detail information, per
                 procurement card account, of purchases made throughout the month.

                     The system shall provide validation, control totals, and summary amounts of this
                 bank file.
                            o Each transaction shall be validated to be a valid transaction for an existing
                            PPPL procurement card account number.
                            o A report shall be produced showing any transaction that did not pass the
                            validation.
                            o A report shall be produced showing, for each procurement card account:

                                                     Employee name
                                                     Purchase transaction information
                                                     Summary amount and transactions count


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                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
                            o The report shall give Grand Total summary amount and transactions count.

PR.9         Payment Voucher Creation.                                                                               3
                     The system user may choose, depending upon validation of the bank file and
                 reconciliation with the paper statement, that the system shall prepare a payment voucher to
                 the JP Morgan bank vendor for the entire amount of the monthly statement file. This
                 payment voucher shall then follow the normal payment approval flow.

                      The system shall create distribution lines for the payment voucher. These shall be
                  the monthly transaction amounts summarized by default distribution account of each
                  employee on the file. This posting to the default distribution accounts is done because the
                  bank payment must be made within a few days of receipt of the bank file. After employee
                  reconciliation takes place, within several weeks, these distributions must be reversed and
                  posted to the correct project accounts.


PR.10        Procurement Card Reconciliation. The system user may choose, depending upon validation                  3
             of the file and reconciliation with the paper statement, that the system shall assign each
             transaction on the bank file to the correct procurement card for purposes of reconciliation.
             Requirements for this reconciliation process are in the Procurement Business Requirements
             document, requirement PR.5.

PR.11        Notify Employees. The system user may choose to notify cardholders that bank transactions               3
             for the current month are available in the system for reconciliation. The system user shall
             provide a date by when the reconciliation must be complete. The system shall notify the
             cardholder employees automatically that reconciliation must be complete by the specified date.


PR.12        Monitor Procurement Card Reconciliation. The system shall maintain reconciliation status                3
             per employee procurement card per month. Status values shall be:
                      No Activity for Month
                      Unreconciled
                      Reconciled and Submitted for approval
                      Reconciled and Approved
                      Reviewed by Accounting
                      Posted.
             The system user with appropriate security authorization may view this information. The
             appropriate person in Accounting shall have authority to change status from „Reconciled and
             Approved‟ to „Reviewed by Accounting‟. The other status values shall be set appropriately by
             the system.




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                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
PR.13        Post Procurement Card Expenses to Project Accounts. The system user may initiate a posting              3
             process that shall generate journal entries to reverse, for „Reviewed by Accounting‟
             transactions, the posting to the default account at time of payment and generate new
             distribution to the project accounts specified by the employee at time of purchase. This process
             shall produce a report showing detail activity, control totals, and summary amounts per
             employee procurement card account.

PR.14        Report Sales Tax. The system shall produce a report showing reconciled sales tax procurement            2
             card transactions.

PR.15        Report Disputed Transactions. The system shall produce a report showing procurement card                2
             transactions in dispute with the procurement card provider bank.

PR.16        Report Transactions per Expense Class. The system shall produce a report showing                        2
             procurement card transactions of the specified expense class or classes.

PR.17        Report Transactions per Expense Class. The system shall produce a report of unreconciled                2
             procurement card transactions. The system user may specify a purchase date range by start
             date and end date.
                                                                                                                     47




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                                     PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                  Numeric
                                     PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                                   Purchase Orders and Contracts
              1.1.1   Purchase Orders and Contracts

PO.1          Supplier data requirements.
PO.1.1        Multiple locations (addresses) may be specified per supplier. Locations shall be designated as          3
              „Purchase From‟, „Pay To‟, or „Both‟.
PO.1.2        Supplier status such as Preferred or Debarred. The system shall prevent purchases from                  2
              Debarred suppliers.
PO.1.3        Small Business Government reporting status. See PO.23.                                                  3
PO.1.4        1099 status                                                                                             3

              Purchase Orders

PO.2          Assign Requisitions to Buyers.
PO.2.1                 The system shall require Procurement Director approval via workflow.                          3
PO.2.2                 The system shall allow for routing via workflow by a procurement manager of                   3
                   requisitions completed by Accounting to appropriate buyers.
PO.2.3                 Alternatively, the system may automatically route requisitions to buyers based upon           2
                   configurable rules.
PO.2.4                 The system shall automatically generate an alert to the requisitioner informing him of        3
                   the buyer‟s identity.
PO.2.5                 The system shall automatically generate an alert to the buyer.                                3

PO.3          Buyer Processing.
PO.3.1                Buyer shall determine qualifying requisitions and cause the system to provide the              1
                  DOE with advance notification via an alert.
PO.3.2                The system shall allow the buyer to make the appropriate disposition of the                    3
                  requisition. This shall include:
                             o Generating a regular purchase order from the requisition.
                             o Generate a new BPA. BPAs are an agreement with a specific supplier for a
                             period of time. They are for specific requisitioners‟ use only. They may or
                             may not be for a specific commodity(s) or service(s) with fixed pricing and
                             shall have a release limit.
                             o Generate a release against an existing BPA.
                             o Generate a solicitation document such as a Request for Quotation (RFQ)
                             prior to selecting a supplier and creating a purchase order.
                             o Generate a BOA.
                             o Generate a Job Order.
                             o Generate a Term Order.
                             o Generate a subcontract.
PO.3.3                The Buyer may choose to reject the requisition. In this case, the system shall                 3
                  automatically notify the requisitioner with a message from the buyer.



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                                     PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                                 Numeric
                                     PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                                Response
PO.3.4                 The Buyer may require additional Subject Matter Expert (SME) approvals. In this              2
                   case the requisition shall be sent to the desired reviewers via workflow and the
                   requisitioner shall be alerted.
PO.3.5                 The Buyer may attach any number of electronic documents to the requisition.                  3

PO.4          Prepare Purchase Orders.
PO.4.1                  The Buyer shall choose a supplier and supplier location.                                    3
PO.4.2                  The Buyer shall price the line items.                                                       3
PO.4.3                  The Buyer may choose to manipulate the line items, possibly splitting one line into         3
                   multiples.
PO.4.4                  The system shall compare the priced purchase order amount to the original                   3
                   requisition amount. The system shall require re-approval by the cost center approval
                   hierarchy when the purchase order amount exceeds the requisition amount by the
                   requisition amount tolerance.
PO.4.5                  The buyer may create a purchase order from the requisition. All document                    3
                   attachments and relevant data shall flow from the requisition to the purchase order. The
                   buyer may choose attachments that will not flow to the purchase order.
PO.4.6                  The buyer may provide additional data values for the purchase order such as                 3
                   payment terms, pricing type, indication of whether Wage Determination is required and
                   free-form notes.
PO.4.7                  The buyer may approve the purchase order. Additional approvals within                       3
                   procurement may be required depending upon total dollar amount.
PO.4.8                  The buyer may directly input to the system any kind of purchase order including             3
                   those that normally flow through requisitions.

PO.5          Send Purchase Order to Supplier.
PO.5.1                 PPPL shall be able to configure the appearance of the purchase order sent to the             3
                  supplier. Fields may be included or excluded. Standard text may be supplied. Fonts and
                  formatting may be selected.
PO.5.2                 The Buyer may select purchase order attachments to send with the purchase order to           3
                  the supplier.
PO.5.3                 The system shall communicate orders and changes to orders to suppliers in a variety          2
                  of methods which include print, fax, PDF, e-mail and XML. These methods shall be
                  initiated directly from the system.
PO.5.4                 The system shall automatically capture purchase order acknowledgements from                  2
                  suppliers.


PO.6          Funding for Term Orders.
PO.6.1                 A term order shall encumber funds for only the current year and next fiscal year.            3

PO.6.2                 Funding for future years, if needed, shall be provided in the time of the future year        3
                   by a new requisition.
PO.6.3                 The system shall provide an alert to the requisitioner when funding is within a              3
                   configurable percentage of depletion.


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                                      PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                                  Numeric
                                      PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                                 Response

PO.7           Track Purchase Order status.
PO.7.1                  The system shall track receipts and payments, with dates and times per transaction,          3
                    against the purchase order. The purchase order shall close when fully paid.

PO.7.2                  The system shall issue an alert when delivery receipt is pending or past due.                3
PO.7.3                  The system shall issue an alert when a BPA, a BOA, or a Term Order end date is               3
                    nearing.

               Proposals

PO.8           Proposal Solicitation. PPPL may choose to solicit quotations and bids from suppliers as part of
               the process to select a supplier for a requisition.
               The system shall track:
PO.8.1                         o Requests for Expressions of Interest (RFEI)                                          1
PO.8.2                         o Requests for Quotations (RFQ)                                                        3
PO.8.3                         o Requests for Proposals (RFP)                                                         3
PO.8.4                         o Requests for Bids (RFB)                                                              3
PO.8.5         The system shall provide standard formats for these four request types.                                3
PO.8.7         The system shall communicate these to suppliers in a variety of methods which include, print,          2
               fax, PDF, e-mail and XML. These methods shall be initiated directly from the system.


PO.9           Proposal Evaluation.
PO.9.1                  The system shall provide standard formats for supplier response proposals.                   2
PO.9.2                  The system shall provide a standard format for the price analysis worksheet received         2
                   from suppliers.
PO.9.3                  The system shall track supplier responses received.                                          2
PO.9.4                  The system shall provide a configurable checklist of subject areas the buyer should          2
                   check per proposal.

               Contracts

PO.10          Procurement Contracts.
PO.10.1                 The system shall provide a configurable contract writing tool using standard contract        2
                    clauses and templates.
PO.10.2                 The system shall provide automated approval routing.                                         3
PO.10.3                 The system shall provide automated award notification                                        2
PO.10.4                 The system shall provide automated financial encumbrance                                     3
PO.10.5                 The system shall provide electronic signature                                                2
PO.10.6                 The system shall provide electronic document transmittal                                     2

PO.11          Contract Deliverable Tracking
PO.11.1                 The system shall track received goods and services against a contract.                       3


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                                       PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                    Numeric
                                       PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                   Response
PO.11.2                  The system shall track contract milestones and deliverables. It shall automatically           3
                    alert the requisitioner to approaching deliverable due dates.

PO.12          Contract Status Monitoring/Expediting.
PO.12.1                 The system shall provide alerts that a contract‟s funding is approaching a percentage          3
                    of depletion status.
PO.12.2                 The requisitioner may review current spend against a contract.                                 3
PO.12.3                 The system shall provide alerts that a contract is within a configurable time period of        3
                    expiration.
PO.12.4                 The system shall track all contract changes – before and after values, person making           3
                    change, date/time stamp.

PO.13          Contract Closeout Tracking.
PO.13.1                 The system shall provide alerts that a contract is closed.                                     3
PO.13.2                 The system shall provide alerts that a contract audit is required.                             2
PO.13.3                 The system shall provide an alert, after the retention period expires, that a contract         1
                    may be destroyed.

               Reporting

PO.14               Dashboards. The system shall provide configurable and automatic transaction processing
                    dashboards. The dashboards shall show volume statistics and time information such as
                    average, minimum, and maximum:
PO.14.1                 Time from requisition entry to Accounting.                                                     2
PO.14.2                 Time from Accounting to Procurement.                                                           2
PO.14.3                 Time from receipt by Buyer to purchase order generation.                                       2
PO.14.4                 Time difference between requisition‟s „needed by date‟ and actual receipt date.                2
PO.14.5                 Time difference between supplier specified agreed upon delivery date and actual                2
                    delivery date.

PO.15          Source statistics. The system shall provide, for a specified date range, number and percentage           3
               of purchase order transactions placed without direct intervention of Procurement such as
               procurement card and blanket release purchases.
PO.16          Requisitions and Purchase orders may be selected for reporting by a variety of criteria                  3
               combinations such as date range, buyer, requisitioner, supplier, status. The reports may be
               detail, showing line item information, or summary.
PO.17          BPAs. The system shall report releases against a BPA. One user‟s releases or all may be                  3
               selected. Date range may be selected.
PO.18          Term Orders. The system shall report releases against a term order. One user‟s releases or all           3
               may be selected. Date range may be selected.
PO.19          BOAs. The system shall report Job Orders against a BOA. Date range may be selected.                      3




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                                     PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                  Numeric
                                     PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                 Response
PO.20        Audit Trails. The system shall retain a detailed audit trail of changes to a purchase order or a         3
             requisition or a supplier. This audit trail shall show person making the change, before and
             after values, and the date and time of the change.

             DOE reports. Procurement is required to produce the following reports for the DOE
PO.21        US Dept of Labor Enforcement report – for a specified date range, need number of construction            3
             contracts awarded and the dollar summary value.
PO.22        Independent Subcontract report per requirement of US Small Business Administration.                      3
                       The system shall provide, for a specified date range, the dollar amount, percentage of
                  total subcontract awards, and percentage of current contract value for the following
                  supplier classifications.
                             o Small Disadvantaged Business
                             o Women-owned small business
                             o Historically Black colleges and universities and minority institutions
                             o HUBZone small business
                             o Veteran-owned small business
                             o Service-disabled Veteran-owned small business
                             o Alaska Native corporations and Indian Tribes that have not been certified as
                             Small Disadvantaged Business
                             o Alaska Native corporations and Indian Tribes that are not Small Business

                     All Small Business Concerns including above categories.
                     Summary of all else as Large Business Concerns.
PO.23                Summary Subcontract report per requirement of US Small Business Administration                  3
                  summarizing PPPL‟s annual subcontracting activity.

PO.24        On-line inquiries. The system shall provide the ability for flexible data queries. The system            3
             user may specify data values that the returned data shall match to. The system user may choose
             to save the returned data to his desktop in a format such as csv.




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                                   PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                               Numeric
                                   PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                              Response
                                                  Petty Cash
            Petty Cash/Check Cashing Requirements.

PE.1        Petty Cash/Check Cashing Setup. The system shall maintain key configurable setup                       2
            information controlling petty cash processing.
                      For Petty Cash, this information consists of:
               Default Supplier Id and Supplier Location code to be used for petty cash payment vouchers.
               This is a payee describing PPPL.
               Cash Control amount – this is the dollar amount to be maintained in the petty cash drawer
               including any amounts dispensed as cash and not yet replenished.
               Amount that shall require Accounting Manager approval.
                      For Check Cashing, this information consists of :
               Check Control amount – this is the dollar amount to be maintained in the check cashing
               drawer including any amounts for uncashed employee checks.

PE.2        Petty Cash Vouchers. These are the requests for cash. Employees shall enter their own                  2
            vouchers. The petty cash accountant may enter these for non-employee visitors. These are an
            accounts payable payment request tailored for this purpose. The payment‟s vendor payee is not
            the employee; it is a vendor representing PPPL. Processing of these payment vouchers through
            Accounts Payable shall result in a check written for PPPL that can be cashed to replenish the
            cash drawer.
                      Employee ID shall be input for employee vouchers. A description of purpose is
                 required.
                      The requester must specify if this is an advance for a purchase not yet made or a
                 refund for a purchase already made.
                      Project account distribution is required.
                      At system setup, the petty cash administrator shall specify expense classes that are
                 not allowed for petty cash. The system shall validate project account distribution against
                 these unallowed expense classes.
                      The employee may optionally scan a receipt. The system shall keep a scanned receipt
                 document with the voucher.

PE.3        Petty Cash Voucher Approval.                                                                           2
                     Approvals shall be done through a configurable workflow.
                     Employee vouchers need Signature Authority approval. This is a hierarchy per Cost
                 Center of employee approvers. The system shall route an approval to the employee with
                 approval signature authority for the amount of the petty cash request.

                    All requests, after Signature Authority approval, shall be routed to the Petty Cash
                 Accountant. This person may choose to route to other approvers such as Travel and
                 Human Resources after which the voucher shall return to the petty cash accountant.

                     Requests must be approved by the Petty Cash Accountant.
                     Requests for an amount greater than the Accounting Manager Approval amount
                 specified in setup shall be routed to the Manager for approval.


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                                  PPPL Detail Requirements                                                                            Response per Requirement

                                                                                                                            Numeric
                                  PPPL Detail Requirements                                                 PPPL Priority                                  Optional Comment
                                                                                                                           Response

PE.4        Monitor Receipts.                                                                                   2
                    The system shall provide an indication on the voucher specifying whether the
               employee has provided a receipt for his purchase. The Petty Cash Accountant, not the
               employee, may update this indicator.
                    The petty cash administrator shall not approve vouchers for which the employee has
               not yet provided a receipt. However, if the employee has requested a cash advance, the
               receipt requirement can be waived until after the payment is made. In this case, the
               receipt indicator shall provide a means to track advances for which employees have not
               yet provided receipts.
                    The system shall produce a report of fully approved vouchers for which the employee
               has not yet provided a receipt.

PE.5        Petty Cash Voucher Payment.                                                                         2
                    The system user shall include approved pending petty cash vouchers into one
                 payment batch.
                    The system shall assign bank account, DOE or non-DOE, to each voucher based
                 upon Cost Center of the voucher distribution. Some Cost Centers are identified as non-
                 DOE.

PE.6        Petty Cash Reconciliation.                                                                          2
                     The system shall report unposted petty cash vouchers including requester name with
                 counts and summary total amounts. Unposted means not yet sent to Princeton University
                 for payment.
                     The system shall report open petty cash vouchers including requester name with
                 counts and summary total amounts. Open means sent to Princeton University for payment
                 but not yet updated with check number.
                     The system user shall input:
                            o The amount of cash in the petty cash drawer.
                            o The amounts of any uncashed replenishment checks.
                            o Cash Amount = ((cash + uncashed checks) + (open and unposted vouchers))

                           o This Cash Amount should equal the Cash Control Amount specified in the
                           Petty Cash/Check Cashing Setup.
                     The system shall print a reconciliation report.

PE.7        Check Cashing Drawer Reconciliation.                                                                2
                     The system user shall input:
                           o The amount of cash in the check cashing drawer.
                           o The amounts of any uncashed employee checks.
                           o Cash Amount = (cash + uncashed checks).
                           o This Cash Amount should equal the Check Control Amount specified in the
                           Petty Cash/Check Cashing Setup.
            The system shall print a reconciliation report.




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                                   PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                 Numeric
                                   PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                Response
PE.8        Petty Cash Voucher reporting.                                                                            2
                    The system shall produce a report of unpaid vouchers with their status.

PE.9        Petty Cash Receipt.                                                                                      2
                      The petty cash administrator may request the system to print a receipt for the petty
                 cash requestor to sign at the time she gives a requestor his cash. The receipt shall have on
                 it voucher number, date, requestor name, amount, project account, description, purpose,
                 and fiscal year.




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                                   PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                 Numeric
                                   PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                Response
                                        Fixed Asset Accounting
            1.1.1   Fixed Asset Accounting Requirements.

FA.1        Fixed Asset Information Requirements. PPPL requires a system that shall capture, in                      3
            addition to the standard financial capital asset information, the following attributes:
                      DOE Status Code
                      DOE Asset Type
                      Historical depreciation per accounting period for the life of the asset.
                      Historical cost value per accounting period for the life of the asset.
                      Audit trail showing all financial activity for the asset such as cost change,
                 depreciation, transfer, retirement.
                      Drill down to cost components such as purchase orders and project costs.

FA.2        Obtain costs from Procure-To-Pay process.                                                                3
                    The system shall provide a way to identify purchase requisitions for items that
                qualify as capital equipment. For example, a range of expense classes could be used.

                      The system shall identify expenses associated with received purchased capital assets
                 that are not yet assigned to an asset. These are the invoice cost of the asset, associated
                 charges such as shipping or installation costs, and Material Handling burdens.

                     The system shall provide an easy-to-use method for the system user to assign
                 qualifying costs to capital assets. A cost may be split between assets.

FA.3        Obtain costs from Project Tracking.                                                                      3
                     The system shall provide a way to identify capital projects. For example, ranges of
                cost centers could be specified as capital.
                     The system shall provide a setup so that Accounting may configure the types of
                project costs by expense classes that qualify as capital asset costs.
                     The system shall identify qualifying expenses associated with capital projects that are
                not yet assigned to an asset. These are all the costs that can be associated with a project
                such as labor, travel, material purchases, and labor related costs such as benefits and
                generated costs such as burdens.
                     The system user shall assign qualifying costs to capital assets. A cost may be split
                between assets.

FA.4        Asset Costs.                                                                                             3
                    An asset cost assignment may be reversed by the system user.
                    The system shall keep a history of asset cost assignments, showing the origin and
                date of each asset cost component.
                    Costs for in-service assets shall increment the asset costs. An appropriate journal
                entry shall be automatically generated.
            ·   The system user may override the original fund of the cost when adding a cost to an asset.




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                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
FA.5        Work-in-Progress Account.                                                                                3
                   Costs identified as capital expenses shall increment the capital work-in-progress
               account by an automatic journal entry.
                   Asset costs shall not be updated until an asset status changes to in-service.
                   When an asset becomes in-service, its costs are moved from WIP to the Fixed Assets
               account, „Completed Plant & Capital Equipment‟.

FA.6        Allocate Asset Costs. Changes during a year such as burden rate changes may result in a need             3
            to allocate a dollar amount among in-service assets. The dollar amount shall be proportionately
            split between the in-service assets according to each asset‟s total cost. The system user shall
            select the in-service date range of assets to get the allocation. Journal entries shall be
            automatically generated.

FA.7        Place Assets into Service. New equipment and assets resulting from completed capital                     3
            projects need to be put into service. This indicates that the asset is now finished and in use.
            The system shall provide a way to report assets not yet in-service and to change status to in-
            service. The system shall depreciate only assets with specified status codes. These status
            codes that qualify for depreciation shall be configurable and specified by the system user.


FA.8        Depreciation.                                                                                            3
                    PPPL uses only straight line depreciation.
                    Only capital equipment and real property assets are set up to be depreciated.
                    Only assets with status codes that qualify for depreciation are depreciated.
                    The system user shall request that all qualifying assets or just one asset be
                depreciated.
                    The system shall allow an asset to be depreciated only once per accounting period.

                      The system shall generate depreciation for additional costs added to an asset over the
                 asset‟s remaining life. For example, $10,000 is added to an asset with a ten year life in
                 the tenth year. The $10,000 is fully depreciated in one year.
                      When an asset is funded by multiple funds, meaning that its costs have originated in
                 more than one fund, journal entry amounts shall be prorated across the funds. This may
                 be overridden by the system user when desired.
                      The system user may choose to allocate by percentage depreciation among funds
                 and, within fund, among programs.
                      The appropriate journal entries shall be automatically generated.
                  As for transactions, the system shall provide a method for PPPL to define journal
                 entry contents. Journal entries shall be generated for the same fund as used to purchase
                 the asset.

FA.9        Transactions.                                                                                            3




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                                    PPPL Detail Requirements                                                                                   Response per Requirement

                                                                                                                                     Numeric
                                    PPPL Detail Requirements                                                        PPPL Priority                                  Optional Comment
FA.9                                                                                                                     3          Response
                       Many changes in asset status require that journal entries be generated. For example,
                  when an asset is put into service, transferred to another DOE location, written off, or
                  retired. A transaction is a change in asset status that requires generation of journal entries.
                  Journal entry transactions related to capital assets need to carry specific attribute values to
                  comply with DOE rules for financial reporting. Attributes are DOE Asset Type, DOE
                  Asset Status Code, Other Party Identifier for transfers, Object Class Code, Budget
                  Reference Code and Program. DOE Asset Type and Status Code are attributes of the
                  asset. Other Party Identifier varies per transaction. Object Class Code, Budget Reference
                  Code and Program shall be derived from the STARS-based chart of accounts. The system
                  shall provide a method for PPPL to define journal entry contents per transaction. Journal
                  entries shall be generated for the same fund as used to purchase the asset.

                       When an asset is funded by multiple funds, meaning that its costs have originated in
                  more than one fund, journal entry amounts shall be prorated across the funds. This may
                  be overridden by the system user when desired.
                       Status changes often originate outside of Accounting. The system shall capture all
                  status changes that should result in a Transaction and automatically notify Accounting for
                  review and creation of journal entries.

             Fixed Asset Accounting Reporting.
FA.10                Personal Property Work-In-Progress.                                                                2
                           o This shall show costs for each capital equipment purchase or capital
                           equipment project that are still WIP, not assigned to in-service assets.
                           o For purchased equipment, each Purchase Order number, cost center,
                           expense class and asset ID show.
                           o For projects, cost center, work package and job package show.
                           o Each month‟s costs for the current year shall show along with the year‟s
                           opening balance and a year-to-date sum.
FA.11                Real Property Work-In-Progress.                                                                    2
                           o This shall show costs for each capital real property project that are still WIP,
                           not assigned to in-service assets.
                           o Project account at the work package level shows.
                     Each month‟s costs for the current year shall show along with the year‟s opening
                 balance and a year-to-date sum.

FA.12        Extend Asset Life. The system user may extend the life of an asset. The system shall retain                 3
             an audit trail showing the change.




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                                    PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                   Numeric
                                    PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                  Response
                                              Accounts Payable
            1.1.1   Accounts Payable Accounting Requirements.

AP.1        Supplier interfaces with Princeton University.                                                             2
                     Supplier locations shall be identified as „Purchase From‟, „Pay To‟, or „Both‟.
                     Supplier location attributes shall include a „Princeton University Supplier ID‟ and
                „Princeton University Location ID‟.
                     Changes and additions of locations identified as „Pay To‟ or „Both‟ shall be captured
                by the system and sent electronically to Princeton University. Princeton applies these
                changes to its supplier records.
                     The interface processing shall return Princeton‟s corresponding supplier ID and
                supplier location ID. These shall be used to automatically update the PPPL supplier
                location.
                     The system shall generate an alert to specified Accounting staff when a supplier add
                or change is sent to Princeton and when the Princeton supplier IDs are sent back.


AP.2        Receipt Entry. PPPL requires standard receipt processing. This shall include:                              3
                     Matching against Purchase Order lines or direct entry with no match to a Purchase
                Order.
                     Partial or complete receipt.
                     The system user may specify configurable matching tolerances.
                     Purchase Order Encumbrance adjustment – the project account of the Purchase
                Order line has an encumbrance for the line item amount. A receipt matching to the line
                increments liquidated encumbrance, deducts from outstanding encumbrance and
                increments outstanding accrual.
                     Journal entries shall be automatically generated to credit Accrued Expenses and debit
                the assigned project accounts.
                     The system shall provide the system user with a receipt report showing all financial
                activity and purchase order match information prior to posting the receipt(s).

                      The system user shall choose to post a receipt or batch of receipts based upon the
                 receipt report. This posting shall produce a report showing all data updates and financial
                 activity.

AP.3        Receipt Reversal.                                                                                          3
                     The system user may choose to reverse a receipt that has not been invoiced.
                     Receipts for partially paid purchase order lines may be reversed for the unpaid
                amount.
                     A reversal shall reverse all financial entries generated by the original receipt
                including effect on encumbrance.
                     A Receipt Reversal reverses the original receipt effect; it shall leave an audit trail in
                the system showing the original receipt and its separate reversal with date/time and system
                user.




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AP.3                                                                                                                  3
Software Selection Requirements Response

                                   PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                  Numeric
                                   PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                     The system shall provide the system user with a receipt reversal report showing all
                 financial activity and receipt match information prior to posting the receipt reversal(s).

                     The system user shall choose to post a receipt reversal or batch of receipt reversals
                 based upon this report. This posting shall produce a report showing all data updates and
                 financial activity.

AP.4        Invoice Approvals. PPPL shall be able to approve invoice payments with a configurable                     2
            workflow and a scanned invoice copy.
                      The system user may input pending invoice identifying information along with a
                 scanned copy of the invoice.
                      The invoice shall be routed to the appropriate approvers chosen by the AP
                 administrator from a list of system users. This shall include the original requisitioner if
                 there is a requisition.
                      Approvals may be multiple steps and specify approvals within Accounting after other
                 approvals are complete.
                      An invoice which has a requisition for which Receipt Inspection was specified by the
                 requisitioner shall show as requiring Receipt Inspection.
                      The Accounts Payable administrator may choose to run reports showing all pending
                 invoices with their approval status, their payment due dates, and the approvers per invoice
                 that have approved or have not yet approved an invoice.
                      Fully approved invoice information shall flow into the voucher process without
                 rekeying.

AP.5        Invoice, Receipt, Purchase Order Matching. PPPL requires standard three way match                         3
            ability between purchase order, receipt and invoice.
                       An invoice may be input by itself with no match, may be matched against a Purchase
                  Order alone, a receipt alone, or a purchase order and receipt.
                       Invoices shall be batched.
                       The invoice may fully or partially match to Purchase Order and/or receipt.
                       The system shall match only to unpaid and unreceived PO line quantities.
                       The system user may enter additional charges such as freight and discount.
                       The system user may choose that additional charges be prorated across distribution
                  lines.
                       The system user may specify configurable matching tolerances.
                       Journal entries shall be automatically generated to credit Accounts Payable Liability
                  and debit the distribution accounts.
                       The system shall provide the system user with an invoice voucher edit report
                  showing all potential data updates and financial activity.
                       The system user shall choose to post an invoice voucher batch based upon this
                  report. This posting shall produce a report showing all data updates and financial activity.


AP.6        Invoice Voucher Information Content. PPPL requires that:                                                  3
                     Supplier 1099 code may be overridden at the invoice level. An invoice for a 1099
                 qualifying supplier may be specified as not qualifying for the 1099 form.


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                                   PPPL Detail Requirements                                                                                 Response per Requirement
AP.6                                                                                                                  3
                                                                                                                                  Numeric
                                   PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                      Payment Special Handling code may be specified or can default in from the supplier
                 location.
                      Separate Check may be specified or can default in from the supplier location.
                      Supplier Address must be „Pay-To‟ or „Both‟.
                      Pay-from Checking Account may be specified or can default in from the supplier
                 location.
                      Invoice Receipt Date, the date invoice is received by PPPL.
                      Accounts Payable processor shall be supplied by the system from the system user‟s
                 sign-on.

AP.7        Payment Processing. PPPL needs to select invoice vouchers for payment. However, payment                   3
            is not actually done by PPPL. Vouchers to be paid are interfaced to Princeton University‟s
            system where they are paid from the checking account specified and to the vendor specified on
            the voucher interface file.
                       The system user may select potential payments or may choose to have all eligible
                  invoices included. Eligible invoices are posted and not paid.
                       Each interface file shall be assigned a payment batch.
                       A vendor may be put „on hold‟. This shall prevent the vendor‟s invoices from being
                  included in a payment batch.
                       PPPL and Princeton use two checking accounts for PPPL payments. One is for
                  payments using DOE funds; the second is for payments using non-DOE funds. Separate
                  interface files must be produced for the two checking accounts.
                       The system shall provide that these checking accounts are identified as belonging to
                  a fund and that a checking account be used to only pay invoices belonging to the same
                  fund. Alternatively, the system shall require that the fund associated with the project cost
                  center be used. This is the DOE or non-DOE indication on the project cost center.

                     The system shall provide the system user with an invoice payment edit report
                 showing all potential data updates and financial activity.
                     This edit report must be electronically approved by the appropriate approver before
                 the next step, posting. This is a preliminary approval independent of dollar amount.

                     Journal entries produced shall debit Accounts Payable and Credit Cash.
                     Each invoice in the system shall be associated with its scanned copy, if a scan was
                 done, and electronic approvals. Scanned invoice and approvals may be inquired against.

                     This payment batch must be approved within the system by the proper approver,
                 based on dollar amount, before it can be posted. Batch shall be routed to the appropriate
                 approver based upon configuration.
                     The system user shall choose to post a payment batch only after approval. This
                 posting shall produce a report showing all data updates and financial activity.

AP.8        Transfer an Invoice between batches.                                                                      2
                    The system user may choose to move an invoice from a transmitted payment batch to
                a hold batch. This is needed for invoices not fully processed by Princeton University.



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                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response

AP.9         Interface Payment Vouchers to Princeton University.                                                     3
                       The system user shall choose payment voucher batches to interface to Princeton
                  University. These can be only posted and fully approved batches.
                       The system shall allow a batch to be interfaced more than once but shall produce a
                  warning on the second and subsequent transmittals.
                       The system shall produce a report showing detail and summary of invoices per
                  interface transmission.
                       The batch shall be revalidated according to all validation rules. The system user may
                  make corrections if needed.
                       Each invoice shall be sent with the „Princeton University Supplier ID‟ and „Princeton
                  University Location ID‟.
                       Each invoice distribution line must have its distribution account converted to the
                  Princeton Organization, Princeton Project/Grant and Princeton Account.

AP.10        Apply Princeton University Check Numbers to PPPL invoices. Princeton University                         3
             provides to PPPL, after each of its check runs, a file matching vendor/invoice number to check
             number assigned by Princeton.
                      The system shall, when requested, process an interface file provided by Princeton
                  University. This file provides check numbers for invoice batches sent to Princeton.

                      The system user shall specify the invoice batch to be assigned check numbers.
                      The system shall produce an edit report showing detail and summary of invoices
                  assigned check numbers.
                      The system shall report invoices in the batch that were not assigned check numbers.
                  These shall be invoices not processed by Princeton that must be investigated.

                      The system shall report checks on the Princeton file that do not match to PPPL
                  invoices. These may be non-PPPL invoices paid by Princeton from the PPPL checking
                  accounts; these need investigation.
                      The system user shall choose to post a payment batch after reviewing the edit report.
                  This posting shall produce a report showing all data updates.

AP.11        Evaluated Receipt Settlement. The system shall provide a feature that shall allow PPPL to               3
             choose to produce an electronic invoice for payment from a receipt matching to a purchase
             order.

AP.12        Duplicate Invoice Checking. The system shall provide a warning when it detects an                       3
             invoice/vendor combination input to the system that has been previously processed.

AP.13        Procurement Card, Petty Cash, Temporary Agency, Employee Travel Invoices. The                           3
             system shall process invoice vouchers for payment from these various sources. The processing
             flow shall be the same as described in these Accounts Payable requirements.




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                                     PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                    Numeric
                                     PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                   Response
AP.14        Payment Voids. PPPL requires standard payment void processing. This shall include:                         3
                     Reversing of the payment within the system.
                     Reversing of the payment application to the invoice within the system.
                     A Payment Void reverses the payment effect; it shall leave an audit trail in the
                 system showing the original payment and its separate void with date/time and system user.


AP.15        New Purchase Order Alert. The system shall issue a configurable alert to Accounts Payable                  3
             staff members when a new Purchase Order is created.

AP.16        Encumbrance Only Purchase Orders. PPPL requires a method to input encumbrances per                         3
             project cost center for the fiscal year. This is currently done with „Encumbrance Only‟
             Purchase Orders.

AP.17        Manual Payments. PPPL requires standard manual payment processing. This shall include:                     3

                      Entry of the completed payment information.
                      Application of the manual payment to an open invoice.

AP.18        Close Purchase Order. Purchase Order status shall change to closed automatically when a                    3
             purchase order has been completely paid. Alternatively, Purchase Orders not yet completely
             paid may be manually closed.

AP.19        Purchase Order Flip. This is a yearend process that „flips‟ encumbrances and accruals from                 3
             the old year to the new fiscal year. Prior year amounts are moved to the New Year and
             reversed for the Old Year. The system shall flip to the new account for accounts that shall
             change with the New Year.

AP.20        Purchase Order Detail Reporting. PPPL requires a report that shows encumbrance and                         3
             accrual financial activity per Purchase Order line.
                       For each PO line, the report shall show each change in liquidated encumbrance,
                  outstanding encumbrance, and outstanding accrual with the date and transaction type.

                      Transaction types can be:
                             o Requisition
                             o PO Post
                             o Accrual
                             o Receipt
                             o Receipt Reversal
                             o Payment
                             o Payment Void
                             o PO Flip
                      Closed PO‟s may be filtered out of the report.
                      The user shall be able to select multiple filtering criteria such as project cost center,
                  supplier, purchase order number range, fiscal year.


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                                    PPPL Detail Requirements                                                                           Response per Requirement

                                                                                                                             Numeric
                                    PPPL Detail Requirements                                                PPPL Priority                                  Optional Comment
                                                                                                                            Response
                      The user shall be able to select multiple sort sequences such as supplier and cost
                  center.

AP.21        Credit Memos. PPPL requires standard credit memo processing. This shall include:                    3
                    Processing of a transaction that shall credit the supplier‟s balance.
                    Credit memos are not included on the invoice voucher interface to Princeton
                 University.

AP.22        1099 Processing. 1099 forms are produced by Princeton University from a file prepared by            3
             PPPL.
                     A file and corresponding report shall be produced by the calendar year specified by
                 the system user.
                     A supplier is identified as qualifying or not for 1099 forms. This supplier-level
                 qualification may be overridden at the invoice level.

AP.23        Aged Invoice Transmittal Report. The system shall produce a report of aged invoices which           3
             have a status of transmitted to Princeton but have no check number and/or check date.


AP.24        AP Payment Aging Report. The system shall produce a report of aged invoices which have a            3
             status of paid.
                       Aging categories in thirty day increments.
                       Aging based on difference between Check Date from Princeton University and
                   Invoice Receipt Date (date received by PPPL, not Invoice Date).
                       Invoices sorted by Accounts Payable accountant
                       Totals by aging category and AP accountant.
                       Detail by invoice.

AP.25        Miscellaneous Payments. Employees may request that the system pay certain categories of             2
             purchases within a maximum amount. These are for specific purchase categories such as
             subscriptions to journals. Payment may be to the employee for refunds of purchases already
             paid for or to a supplier. When refunding an employee, the employee must provide a receipt.

                      Invoice Voucher Entry.
                            o Employees may enter their own vouchers. This is an accounts payable
                            payment request tailored for this purpose.
                            o Employee shall specify to pay himself or choose an existing supplier.
                            o For payments to employees, a receipt may be scanned and associated with
                            the voucher.
                            o Project account distribution is required.
                            o A description of the purchase is required.
                      Approvals.
                            o Approvals shall be done through a configurable workflow.




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                                  PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                             Numeric
                                  PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                            Response
                          o Employee vouchers need Signature Authority approval. This is a hierarchy
                          per Cost Center of employee approvers. The system shall route an approval to
                          the employee with approval signature authority for the amount of the
                          miscellaneous payment request.
                          o All requests, after Signature Authority approval, shall be routed to the
                          Accounting Manager. This person may choose to route to other approvers such
                          as the Procurement Manager.
                     Monitor Receipts.
                          o The system shall provide an indication on the voucher specifying whether
                          the employee has provided a receipt for his purchase. This is needed for
                          payments to the employee. The AP Accountant, not the employee, may update
                          this indicator.
                          o The system shall produce a report of fully approved vouchers for which the
                          employee has not yet provided a receipt.
                     Payment.
                          o The system user shall include approved pending miscellaneous vouchers
                          into one payment batch.
                          o The system shall assign bank account, DOE or non-DOE, to each voucher
                          based upon Cost Center of the voucher distribution. Some Cost Centers are
                          identified as non-DOE

            Office Supplies

OS.1        Office Supplies Payables Distribution Import. PPPL gets a centralized bill for its office            1
            supplies. The office supply vendor provides a summary of dollar amounts per project account.
            Project account is provided to the vendor when goods are ordered. For these invoices, PPPL
            would like a system that allows Accounts Payable invoice distribution lines to be uploaded to
            the system from a desktop spreadsheet. The uploaded data would need full validation by the
            system before being added to the system as invoice distribution lines.




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                                   PPPL Detail Requirements                                                                            Response per Requirement

                                                                                                                             Numeric
                                   PPPL Detail Requirements                                                 PPPL Priority                                  Optional Comment
                                                                                                                            Response
                          General Ledger Accounting & Reporting
            1.1.1   General GL Accounting & Reporting System Requirements

GL.1        Fund Accounting. The system shall support Fund Accounting as required by PPPL to comply              3
            with the DOE Fund Accounting structure and policies. PPPL utilizes multiple fund types for
            funding from various DOE programs, Work-for-Other Federal agencies, and non-Federal Work-
            for-Others. The majority of PPPL‟s funding is received in the primary fund type (WA). WA is
            the DOE fund type for General Science and Research. This primary fund type contains the
            majority of balance sheet accounts. DOE provides operating funds, capital equipment funds,
            and construction funds in several different fund types. The system shall produce financial
            reports by fund to the DOE. The system shall maintain encumbrance and commitment
            information per project.



            The system shall report by DOE Fund and within Fund by Program (B&R Code).

GL.2        Chart of Accounts. PPPL requires a system with a flexible general ledger account code                3
            structure allowing PPPL to organize financial operations through companies, cost centers, or
            any other type of grouping required. PPPL requires a system that can accommodate both the
            DOE Fund Accounting and the Projects Accounting account structures. There will be complete
            integrity between Projects and the General Ledger.



            PPPL needs to include a subset of the DOE‟s STARS Chart of Account structure in its own
            Chart of Accounts since PPPL must report to the DOE using the STARS‟ values.



            STARS COA segments that PPPL needs to incorporate into its Chart of Accounts are:

                Fund Code - five positions

                U.S. Standard General Ledger – eight positions

               Object Class – five positions. Used to classify broad expenditure classes such as Capital
            Equipment, General Plant Projects, and Operating Expenses.

                DOE Program – seven positions corresponding to B&R Code. Subdivision of Fund.


                DOE Project – seven positions

                DOE WFO project – seven positions. Project identifier for WFO projects.



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                                   PPPL Detail Requirements                                                                            Response per Requirement

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                                   PPPL Detail Requirements                                                 PPPL Priority                                  Optional Comment
                                                                                                                            Response
            PPPL‟s Project Account structure is comprised of 4 segments called Cost Center, Work
            Package, Job Package, and Expense Class. All four need to be incorporated into the Chart of
            Accounts. These 4 accounting segments are used for project budgeting and cost tracking. The
            following represents the account structure for budgeting and costing purposes:

            CC WP JOB EXP
            XXXX XXXX XXXX XXXX

            Each "X" represents a space for one character code.

            Definitions and explanations of the structure are as follows:
            CC - Cost Center, an activity conducted at the Laboratory (numeric).
            WP - Work Package, a task which is associated with a Cost Center (alpha/numeric).
            JOB - Job, a subtask of the Work Package or, if the Work Package is not used (WP=****), a
            task associated with a Cost Center (alpha/numeric).
            EXP - Expense Class, the type of cost being budgeted, incurred or charged.

GL.4        Chart of Accounts Attributes.                                                                        3
                    PPPL must interface financial transactions to Princeton University. These
                transactions need to have their PPPL accounts first converted to the Princeton University
                corresponding accounts. Each Cost Center must have with it the corresponding:

                            o Princeton Organization
                            o Princeton Project/Grant
                 Expense classes must have the corresponding Princeton Account.
                     Cost Center manager for purposes of the Signature Authority setup.
                     Cost Centers may have associated burden codes.
                     Cost Centers need to be identified as „DOE‟ or „non-DOE‟ for purposes of
                 identifying the correct checking account for payments distributed to that cost center.
                 Princeton University, through which PPPL‟s payments are made, maintains a PPPL
                 checking account for DOE funds and a PPPL checking account for non-DOE funds.

                     Cost Centers need to be identified as on or off-site projects.
                     Cost Centers need to be identified as Direct or Indirect.
                     Expense Classes may have associated burden codes.
                     Expense Classes shall be identified as Labor or non-labor.

GL.5        Cost Center Encumbrance Transfer (Was-Is). PPPL shall have the ability to close down a               3
            cost center/work package/job package and to specify corresponding new cost center/work
            package/job package values. When the old cost center/work package/job package expires, the
            system shall automatically offset encumbrances and commitments for the account and transfer
            them to the new account.




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                                   PPPL Detail Requirements                                                                                Response per Requirement

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                                   PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                Response
GL.6        Chart of Accounts Maintenance. PPPL requires a system that shall provide approval                        2
            authority for requests to change the chart of accounts such as opening and closing of accounts.
            Currently, such change requests are documented via the “RFBA” form or Request for Baseline
            Adjustments as well as email requests, depending upon the nature of the change. The system
            shall require approvals for account changes by an automated workflow. PPPL calls this
            approval structure Signature Authority, Requirement GL.7.




            PPPL shall have the ability to close down a cost center and/or account.

GL.7        Signature Authority. PPPL needs to maintain a hierarchy of approval levels per Cost Center.              3
            The authority levels may go down to the Work Package and Job Package levels. Each
            hierarchy level shall be associated with a dollar limit. The initial Cost Center approver is an
            attribute of the Cost Center, Work Package or Job Package. This approval hierarchy shall be
            used throughout the system where financial approvals are needed. Changes to the Signature
            Authority setup may be given effective dates so that changes to be effective in the future can be
            made any time.

GL.8        Trial Balance Reports. The system shall provide a Standard Report for Detailed Trial                     3
            Balance by multiple account levels. Summary and detail versions are needed. The reports
            show beginning balances, year to date activity, and ending account balances.

GL.9        Journal Voucher Interface to Princeton University. There are ongoing transactions that                   3
            require adjustments to be made to Princeton‟s financial records in order to keep them
            synchronized with PPPL‟s. Princeton does not capture all costs through their Accounts Payable
            and Payroll systems. Also, there are situations where costs need to reclassify on the Princeton
            books with different Organization/Project/Grant values and/or Accounts. PPPL requires a
            system that shall automate these adjustments by creating journal entries for the Princeton
            accounting system. These journal entries need to be automatically produced from information
            in PPPL‟s business system according to business processing rules and then interfaced to
            Princeton‟s accounting system at each month end.


            There are four types of adjustments that need to be included on this Journal Voucher Interface.
            Each type has been assigned a Journal Voucher value by Princeton University. The four types
            of adjustments with their Journal Voucher values are:
                     JV00066 – Princeton‟s payroll puts all payroll costs to Organization 395 and
                 Project/Grant 395-6002. Costs that have flowed through payroll that should not be
                 charged to 395-6002 need to be extracted for the JV00066 Journal Voucher so that the
                 costs can be moved to the correct Project/Grant. Generally, it is the direct labor costs and
                 labor related burdens for Work-For-Other projects that need to be reclassified.




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                                 PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                             Numeric
                                 PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                            Response
                   JV00104 – Cash activity for DOE funds needs to be applied to Princeton‟s DOE
               cash account. These are cash transactions made by PPPL outside of Princeton‟s
               accounting system.
                   JV00105 – Princeton provides services and materials to PPPL; these transactions
               originate at Princeton and are recorded in their account 395-6001; this is a temporary
               account from which transactions must be moved to their correct Princeton accounts.
               PPPL reviews the contents of this account each month and makes journal entries into the
               PPPL business system to correctly categorize the transactions using expense classes used
               only for these JV00105 expenses. The journal vouchers then offset 395-6001 and
               reclassify the costs accordingly in the Princeton system.

                    JV00106 – These are charges originating in PPPL that need to be redistributed on the
               Princeton books.
          Set up in the system is required so that the system shall know which cost centers are used or
          not used for DOE funded expenses, which Princeton accounting units and accounts should be
          used and which expense classes should be included.
                    Cost Center setup.
                          o Each Project Cost Center shall be mapped to a Princeton Organization and a
                          Princeton Project/Grant. These are the Princeton accounting unit values.

                        o Each Cost Center shall be specified to be DOE or Non-DOE.
                   Expense Class setup.
                        o Each Expense Class shall be mapped to a Princeton Account.
                   Journal Voucher setup.
                        o Journal Voucher value and description.
                        o There can be multiple sets of business processing rules per Journal Voucher.
                        These are known as Journal Voucher Rule IDs. The system shall contain, per
                        Journal Voucher Rule ID:
                                    Princeton Organization for offset.
                                    Princeton Project/Grant for offset.
                                    Princeton Account for offset.
                                    One or more Project Cost Center Expense Class Ranges, a „from‟
                                   expense class and a „to‟ expense class along with a description for
                                   each range.
                                    An indication of which Project Cost Centers‟ expenses qualify for
                                   the journal voucher; values are „DOE‟, „DOE Only‟ and „Both‟.
                                   This refers to the DOE/Non-DOE attribute for the Project Cost
                                   Center.
                                    An „Exclude Grant‟ value. This is a Princeton accounting unit
                                   Grant value. When specified, it will exclude project cost center
                                   costs that have a Grant equal to this value. It is used for JV00105
                                   and JV00106 to specify the Offset Princeton Grant value for that
                                   same journal voucher so that amounts will not be credited and
                                   debited to the same Princeton Project/Grant.
                   Setup Reports. The system shall produce a report showing the Journal Voucher
               setup when requested.


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                                    PPPL Detail Requirements                                                                               Response per Requirement

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                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
             Journal Voucher Creation.
                     The system user shall initiate creation of the journal voucher reports and file. The
                 user may choose to produce only the reports or the reports and file.
                     The system user shall specify the Fiscal year and month and the processing date.

                      Business rules to compose the journal vouchers are:
                            o The system shall, for each journal voucher rule id, include qualifying PPPL
                            cost transaction amounts. To qualify, a cost transaction must be for the
                            specified fiscal year and month, must have an expense class within one of the
                            specified expense class ranges, and must have a cost center not excluded by the
                            DOE/Non-DOE value and Exclude Grant value.
                            o A journal voucher debit/credit transaction pair shall be produced for each
                            qualifying project cost center/expense class combination that has a dollar
                            amount. This pair shall be for the Princeton Project/Grant mapped on the PPPL
                            cost center and the offset Princeton Project/Grant specified on the Journal
                            Voucher setup.
                            o Princeton University accounting unit and account information shall be
                            derived from the Organization and Project/Grant mapping on the Cost Center
                            setup and the Princeton Account mapping on the Expense Class setup.

                              o The offset entry shall use Offset Project, Grant and Account from the
                              Journal Voucher Setup.
                       The system user shall be able to view and edit the journal voucher file prior to
                  releasing it to send to Princeton.
                       The journal vouchers are batched per voucher type. Batch numbers are assigned
                  sequentially.
             The system shall produce three reports:
                       Journal Voucher transfer report by batch number. Each journal voucher type has its
                  own batch. This shall show each journal entry with its associated batch number. The
                  PPPL cost center and expense class from which the journal entry amount was derived
                  shall print as well. Summary totals and counts shall print per batch number.

                      Journal Voucher Edit List by PPPL cost center and expense class. Journal vouchers
                  sorted by PPPL cost center and expense class with totals.
                      Journal Voucher Edit Summary. Journal voucher information summarized by
                  journal voucher and expense class, not PPPL cost center.

GL.10        Business Software Module Integration. PPPL requires in a single database, a fully integrated            3
             ERP system where all of the financial and accounting solutions link seamlessly with all the
             other functional business software solutions (modules) including Procurement, Budget, Payroll,
             Fixed Assets, Receiving, Stockroom Inventory, Projects and Travel.


GL.11        Internal Control Integrity Reporting. PPPL requires a system with robust general ledger                 3
             integrity reporting in order to maintain and strengthen internal control procedures and identify
             data inconsistencies.

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                                    PPPL Detail Requirements                                                                               Response per Requirement

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                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response

GL.12        GL Access and Security. PPPL requires a system which will limit access to accounts and                  3
             transactions to only authorized users through security setting which will be maintained by the
             PPPL Business Computing Systems Group.

GL.13        Data File to DOE for input to “IPAC” (Intragovernmental Payment and Collection                          3
             System) Billing System.

                      The DOE‟s IPAC system captures costs incurred by PPPL to do work for Federal
                  government sponsors other than the DOE. These costs are recorded by PPPL in its
                  business system in specific cost centers. There is a cost center per Work-For-Others
                  project. These costs per WFO project must be transmitted to the DOE at month end.
                  This PPPL monthly charge or bill includes a DOE administrative fee of 3%. DOE collects
                  these funds from the other Federal Agencies. Work for non-Federal sponsors is not
                  included in this IPAC interface. One summary expense amount, not detail expenses, per
                  WFO project is sent to IPAC.

                       PPPL therefore requires a system that shall produce a data file to be sent via e-mail
                  as a file attachment to the DOE‟s “IPAC” Billing System. This file summarizes each
                  month‟s expenses per Federal Work-for-Others project.

                            o Each federal WFO project‟s monthly expenses are provided in summary on
                            the file.
                            o This summary amount is increased by an overhead factor, currently 3%.
                            This 3% is meant to allow recovery of the DOE‟s administrative costs for the
                            project.
                            o Information that describes the project to IPAC needs to be included per
                            WFO project. This information includes fund type, DOE Order number,
                            Sender and Receiver TAS codes and other attributes. The system needs to
                            store this information per project so that it can be provided to the DOE.
                            o Other information needs to be provided per file. This includes PPPL contact
                            name and phone number.

GL.14        STARS Monthly Interface to DOE. PPPL requires a system that can produce a data file                     3
             report to be submitted to the DOE each month. This file consists of the month‟s journal entries
             summarized by account combination and other descriptive fields such as DOE Asset Type.
             The DOE imports this file into its system each month to update its financial records for PPPL.
             The DOE tracks in its system summary level PPPL financial information that must be
             consistent with PPPL‟s financial records. STARS File Requirements are:


                      Amounts are the summed journal entry amounts for the current period. Summary is
                  by account combination and other descriptive fields such as DOE Status Code.

                      STARS account combination segments are:



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                                    PPPL Detail Requirements                                                                              Response per Requirement

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                                    PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                               Response
                 Fund Code - five positions

                 U.S. Standard General Ledger – eight positions

                Object Class – five positions. Used to classify broad expenditure classes such as Capital
             Equipment, General Plant Projects, and Operating Expenses.

                 DOE Program – seven positions corresponding to B&R Code. Subdivision of Fund.


                 DOE Project – seven positions

                 DOE WFO project – seven positions. Project identifier for WFO projects.
                      Additional STARS values included on the file are constant values for PPPL such as
                  the Contract ID Number between DOE and PPPL.
                      Fields related to transactions are required. These are:
                            o DOE Status Code
                            o DOE Asset Type
                            o DOE Other Party Identifier
                            o Environmental Liability
                      The file must net to zero.

GL.15        Reconciliation Tool. PPPL requires a reconciliation tool, generic in nature that can reconcile         2
             transactions and balances between its own business system records and external information
             imported into the tool.

GL.16        Proforma Journal Entries. PPPL requires a system that shall create automatic journal entries           3
             triggered by creation of other journal entries according to rules specified by the system user.

                            o Proforma Rule Creation. The system user shall define the parts and
                            corresponding values of the account combination that shall trigger the creation
                            of proforma journal entries.
                            o Define Resulting Journal Entries.
                                        Multiple entries can be defined for each trigger.
                                        New account combination fields may be specified or the trigger
                                       values may be used.
                                        Amount to be generated may be specified as a percentage of the
                                       original trigger amount. Sign may be changed if desired.
                      The system user initiates production of the automatic journal entries.
                      Resulting journal entries are batched together.
                      The system user may review and edit the journal entries prior to posting them




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                                    PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                  Numeric
                                    PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                 Response
GL.17        Memorandum Accounts. PPPL requires a system that will record “memorandum” accounts.                      3
             Memorandum accounts represent data required by the DOE and not otherwise available within
             account balances. There are currently two types of memorandum account transactions.


             Recording Plant & Equipment Outstanding Encumbrances - PPPL is required to report the total
             balance of outstanding Plant and Equipment commitments in a memorandum account each
             month. These are currently identified by particular expense classes and cost center ranges.
             Requirement is to include all fiscal years that have encumbrances, amounts are summed across
             years. Encumbrances consist of uncosted balances of purchase orders issued; contracts and
             subcontracts awarded; and other agreements for the acquisition of goods and services not yet
             received. The entry made is as follows:
                          o The negative value of the total balance is mapped to Outstanding Contractor
                          Encumbrances.
                          o The positive value of the total balance is mapped to Contra Debits – Contractor
                          Encumbrances.

             Entries for Inter-Entity Work Performed (BSC 9931, 9932) – The following memorandum
             entry is made at the end of each month to reflect the current months costs, credits and debits,
             incurred for work performed for another DOE entity. The entry should equal the current month
             activity of Inter-field Accounts Receivable and Intra-field Accounts Receivable. The following
             entry is made at the end of the month after all costs are recorded:

                          o The positive value of the net change is recorded in Cost of Work Performed
                          between DOE Entities.
                          o The negative value of the net change is recorded in Contra Cost of Work
                          Performed between DOE Entities.

             The system shall generate these entries automatically at each month-end.


GL.18        End of financial period requirements. PPPL requires a system which will perform typical                  3
             period end closing procedures on monthly and yearly periods. PPPL must ensure that as an
             Integrated Contractor of the DOE, its books agree with the DOE‟s.

GL.19        Internal Controls functionality. PPPL requires a system that shall allow for the maintenance             3
             of internal controls which are in place and designed to mitigate the risks related to the General
             Ledger System and financial reporting such as Signature Authority and Reconciliations to the
             DOE. The system shall require approvals for Journal Entries. These approvals shall be
             specified as a configurable hierarchy with approvers by dollar levels.




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                                   PPPL Detail Requirements                                                                             Response per Requirement

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                                   PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                             Response
GL.20        Tracking Remaining Fund Balances. PPPL requires a system that shall provide a Chart of               3
             Accounts that shall act as a control tool to prevent accounts from exceeding DOE funding
             limitations, and for PPPL Management to monitor and control charges to applicable accounts.
             The system shall track original funding amounts per DOE program within fund and DOE
             Object Class vs. amounts expensed yielding amounts remaining. Currently, the uncosted fund
             balances are calculated “manually” through the use of a separate procedure.


             Account Definition


GL.21        User Defined Account Structure and Codes. The system shall support a User Defined                    3
             General Ledger Account Structure

GL.22        User Defined Fiscal Calendar. The system shall support a User Defined Fiscal Calendar with           3
             an October through September Fiscal Year.

GL.23        User Defined Accounting Periods. The system shall support User Defined Accounting                    3
             Periods

GL.24        Allocation of Costs by G/L Account. The system shall support G/L Account Allocation by               3
             Account Based Percentages.

GL.25        Account Level Security. The system shall support G/L Account Protection to Prohibit Manual           3
             Entries to Specific Accounts when required.

             Organization Structure



GL.26        Multiple Cost Centers and Departments by Company. The system shall support Multiple                  3
             Cost Centers per Company

             Journal Entry Input

GL.27        Journal Entry coding flexibility. The system shall support the Usage of Unique Identifiers or        3
             Reference Numbers per Journal Entry

GL.28        Multiple Journal Entry Types. The system shall support Recurring Journal and ProForma                3
             Entries and Templates

GL.29        Automatic reversal of accrual transactions. The system shall support the execution of                3
             accrual transactions and automatic reversals



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GL.30        Journal Entry Reason Codes. The system shall support User Defined Journal Entry Reason              3
             Codes

             Period and Year End

GL.31        Hard or Soft Close functionality. The system shall support both Hard and Soft Close                 3

GL.32        Multiple Accounting Period Accessibility. The system shall allow Two or More Accounting             3
             Periods to be Open at One Time

GL.33        Automatic Period Close. The system may allow for Automatic Period Close Processing                  2

GL.34        Close out of P&L Accounts to Retained Earnings. The system shall support the Automatic              3
             Close of Income and Expense Accounts to Retained Earnings

GL.35        Running of multiple year end close allowed. The system shall allow the user to close the            3
             year in a „What If‟ preliminary mode prior to a committed final close.

GL.36        Process future year transaction before current year closes. The system shall allow the User         3
             to Open Next Year Prior to Closing Current Year

GL.37        Reopen Closed Periods functionality. The system shall allow the User to Reopen Closed               3
             Periods

GL.38        Prior Period Adjustment Functionality. The system shall allow Prior Period or post closing          3
             adjustments with a high degree of control over access to this function.

             Other Reporting Requirements

GL.39        Report Writer. The system shall provide a robust Financial Report Writer which supports             3
             grouping by Company, Business Unit, or Division.

GL.40        Report Writer integration to Excel. The system shall provide a Financial Report Writer              3
             which is Integrated to Microsoft Excel

GL.41        Standard or “canned” financial reports. The system shall provide “canned” pre configured            3
             model financial reports such as Standard Reports for The Chart of Accounts and Balance Sheet
             with the ability to create versions specific for PPPL requirements and by individual period
             review.

GL.42        Financial Consolidations. The system shall provide a Standard Report for Consolidated               3
             Financials




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GL.43        Account Level Rollups. The system shall provide a Standard Report for Account Roll up for               3
             Financial Statements

GL.44        Ledger Reporting Detail. The system shall provide a Detailed and Summary Ledgers with                   3
             On-Line Review. The system user shall be able to drill down to the transaction(s) where the
             entry originated.

GL.45        GL Transaction Register. The system shall provide a Standard Report for GL Transaction                  3
             Register

GL.46        Cash Flow Reporting. The system shall provide a Standard Report for Cash Flow                           3

GL.47        Multi-Currency Reporting. The system will support Multi-Currency Calculations and                       3
             Reporting

GL.48        Fund Statement Reports. The system shall provide Funds Statements                                       3

GL.49        IFRS Accounting and Reporting. The system shall support the new IFRS (International                     3
             Financial Reporting Standards) which will be replacing the current USA GAAP.


GL.50        Audit Trails. The system shall retain a detailed audit trail of creation of or changes to a             3
             general ledger transaction. This audit trail shall show person making the change, before and
             after values, and the date and time of the change.

GL.51        Reporting Data Selection Flexibility. General Ledger transaction data shall be selected for             3
             reporting by a variety of criteria combinations such as date range, account range and individual
             account. The reports may be detail, showing line item information, or summary.


             General System-Wide Requirements

GS.1         Dashboards. The system shall provide configurable and automatic transaction processing Key              3
             Financial Ratio Reporting and Analytical KPI‟s such as Current Ratio, Inventory Turnover,
             Quick Ratio, and Fixed Assets Turnover.

GS.2         Automated Workflow Processing. The system shall have robust workflow, automatic                         3
             approval routing, and alerts notification functionality such as PO requisition approval, travel
             authorization approval, and AR and AP batch posting approval. This requirement is for all
             applications within PPPL‟s desired ERP.




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GS.3        Document Attachment and Transmission. Any number of electronic documents may be                       3
            attached to appropriate points of the system such as MS Excel, or MS Word documents along
            with the ability to send electronically. The system shall also have electronic signature
            capability. This requirement is for all applications within PPPL‟s desired ERP.


GS.4        On-line inquiries. The system shall provide the ability for flexible data queries. The system         3
            user may specify data values that the returned data shall match to. The system user may choose
            to save the returned data to his desktop in a format such as CSV. This requirement is for all
            applications within PPPL‟s desired ERP.




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                                              Travel Expenses
            Travel Expenses

TR.1        Employee Travel Expense Estimate Entry. PPPL requires a system designed for employees                     3
            and authorized visitors and subcontractors to enter their own travel expense estimates into the
            system. A two-phase entry is required; the first entry phase is input of expense estimates; this
            happens prior to the trip; the result is called a Travel Request These estimates need to be
            approved. After the trip, the Travel Request becomes a Travel Report when updated by the
            employee to reflect actual trip expenses. These actuals must then be re-approved. After
            approval, the employee is reimbursed for expenses paid by him through the Accounts Payable
            system.

TR.2        Travel Report Information Requirements - Attributes. PPPL requires a system that shall                    3
            capture the following attributes per travel report:
                      Traveler‟s name, contact information
                      Employee ID
                      Employee Human Resources job description
                      Traveler status of Employee, Visitor or Subcontractor.
                      Host – PPPL may pay for a non-employee to take a trip on behalf of PPPL. If the
                 Traveler is not an employee, Host must be an employee.
                      Reason for travel
                      Specification of whether trip is for a training purpose.
                      Travel outside the United States must be specified
                      Travel that requires PPPL‟s conference approval must be specified
                      Travel that is excluded from the conference approval process but still requires P&C
                 Officer approval must be specified. This is referred to as “non-annual exclusions”.

                      PPPL employees need to estimate costs for trips with a single destination or for multi-
                 leg trips. For each leg of a trip, an employee shall be able to input into the system:

                           o Start and end date
                           o Geographic origin, where the trip leg is starting from, needs to be specified

                           o Geographic destination, where the trip leg is ending, needs to be specified

                           o These geographic origins and destinations need to be selected from the
                           CONUS and OCUNUS information provided by GSA. Lodging and meal rates
                           are per CONUS/OCONUS locations.
                           o Information needed by the Travel Department so that they may make travel
                           arrangements such as Preferred Hotel and whether airline tickets, rental car or
                           limo pickup are needed. The system user shall be able to input notes for the
                           Travel Department.




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TR.3        Travel Report Information Requirements – GSA per Diems. PPPL requires a system that                       3
            shall be able to use the GSA‟s per Diem lodging and meals amounts for travel estimates.

                      The system shall be able to accept an interface of GSA CONUS and OCONUS per
                 Diem rates. These are acceptable lodging and meal allowance rates for domestic and
                 international locations. Lodging rates are per month and year since hotels often have
                 seasonal rates.
                      The system shall be able to use these rates, combined with the destinations and dates
                 selected by the employee, to provide an estimate for lodging and meals.
                      The system shall take into account any dates marked by the employee as
                 “Personal/Vacation” and not include amounts for these days in the estimate.
                      The system shall include only 75% of the per Diem meal amount for the first day of
                 a trip and include 100% of the lodging.
                       The system shall include only 75% of the per Diem meal amount for the last day of
                 a trip and include no lodging amount.

TR.4        Travel Report Information Requirements – Travel Estimates.                                                2
                    The system user shall be able to override the estimates derived from the GSA per
                Diem amounts. Overridden estimates shall clearly display as overrides to the per Diems.

                     The system user shall be able to enter estimates for travel expenses such as air travel,
                 rental car, personal vehicle mileage, parking and ground transportation.

TR.5        Travel Report Information Requirements – Cash Advances. The system user shall be able                     2
            to input requests for cash advance amounts, along with a request reason, with a Travel Report.


TR.6        Travel Report Information Requirements – Travel System Rates.                                             2
                    The system shall calculate estimated rental car amounts from a number of days input
                by the system user and a standard daily rental rate.
                    The system user shall be able to override the car rental daily amount. Overridden
                estimates shall display as overrides.
                    The system shall calculate estimated mileage amounts from miles input by the
                system user and its standard mileage rate.

TR.7        Travel Report Information Requirements – Document Links.                                                  3
                    The Travel Request user interface may contain links to documents and websites
                deemed useful by PPPL. For example, the “Site Access” form and the “Request for
                Approval of Foreign Travel” form.

TR.8        Travel Report Information Requirements – Project Accounts.                                                3
                    The system user shall enter one to many project accounts for expense distribution.
                Amount or percentage may be input per account. Distribution amounts must sum to
                equal the total estimate.




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TR.9         Travel Request Approval. Multiple approvals are required for a trip. Approvals vary by                 3
             nature of trip and dollar amounts. The system shall provide for automated configurable
             workflows for these approvals.
                       All Travel Requests shall require Signature Authority approval. See Glossary for
                  description.
                       Travel Requests for which expenses are exceptional in some way, for example per
                  Diem amounts are estimated to be exceeded, require approval of the Department head or
                  the Accounting Manager.
                       Air travel for non-USA airlines needs approval by the Business Operations Head.

                     Conferences other than those on an exclusion list require approvals from a Planning
                  & Control officer, department head, the PPPL Director‟s office and the Travel Office.

                       Conferences that are on the exclusion list may, depending on the conference, require
                  Planning & Control officer approval.
                       For trips costing $10,000 or more or particular conferences that are anticipated to
                  have a large number of attendees, DOE Site Office approval is required.
                       International travel requires input into a Federal FTMS system where Federal
                  government approval is obtained. Accounting needs to specify that approval for
                  international travel has been obtained through the FTMS system and that Embassy
                  Clearance is obtained.
                       The system shall retain a history of the approval persons and dates.

TR.10        Travel Department and Accounting Access to Travel Request.                                             3
                      The Travel Department and Accounting shall be able to view all travel requests and
                 travel reports and their approval status.
                      The Travel Department and Accounting shall be able to enter for a travel request pre-
                 paid amounts for expenses such as airfare, limousine fares and conference registration
                 fees. When credit cards are used for payment, the credit card number and transaction date
                 shall be entered into the travel report.
                      The Travel Department and Accounting shall be able to enter for a travel request
                 cash advances to the employee.
                      The Travel Department and Accounting shall be able to enter for a travel request
                 ticket numbers for airfare.
                      The Travel Department and Accounting shall be able to enter notes and comments
                 into a travel request.

TR.11        Travel Department status.                                                                              3
                     The Travel Department shall be able to mark Travel Requests that they have
                 reviewed and for which travel arrangements are complete.
                     The Travel Department shall be able to return a Travel Request to the employee for
                 rework.
                     The Travel Department shall be able to cancel a Travel Request for which expenses
                 are occurred. The system shall require an employee who is cancelling a Travel Request to
                 enter a reason for the cancellation.



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TR.11                                                                                                              3
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                      The Travel Department shall be able to void a Travel Request for which no expenses
                  are occurred.

TR.12        Travel Report Actual Amounts.                                                                         3
                      The system user shall be able to enter into the system actual expenses.
                      Expenses need to be input per day by category such as lodging, meals, phone, and
                 limousine. Geographic location needs to be specified per day.
                      The system shall provide estimate information for the employee to use as a basis for
                 entry, however, the estimates themselves shall remain unchanged.
                      The system shall provide for expenses in different currencies along with dollar
                 exchange rates.
                      GSA per Diem rates shall be available to the system user for location and rate
                 selection.
                      Default Meals actual amounts shall be the GSA per Diem rates as described for the
                 estimate entry in Requirement Travel Report Information Requirements – GSA per
                 Diems.
                      The GSA specifies that, when an employee is provided a meal that he does not pay
                 for, the allowed per Diem amount is decreased. The GSA specifies the dollar amount to
                 deduct per provided meal per geographic location. The system shall provide a way for the
                 employee to deduct these amounts when needed.
                      Pre-paid amounts shall show as actuals and may not be changed by the employee.

                      Cash advances and pre-paid expense amounts shall deduct from the total amount
                  owed to the employee.
                      Distribution per one or more project accounts shall be input as described for the
                  estimate entry in Travel Report Information Requirements – Project Accounts.

TR.13        Travel Report Approval. Multiple approvals for trip actual expenses are required in addition          3
             to the Travel Request approvals. The system shall provide for automated workflows for these
             approvals.
                       All Travel Reports shall require Signature Authority approval. See Glossary for
                   description.
                       Travel Reports for which expenses are exceptional in some way, for example per
                   Diem amounts are exceeded, require approval of the Department head or the Accounting
                   Manager.
                       Trips costing $3,000 or more shall require Accounting Manager approval.
                       The system shall retain a history of the approval persons and dates.

TR.14        Print Travel Request/Report.                                                                          3
                     The system user shall be able to print a formatted copy of a Travel Request/Report

                      Estimates and Actuals shall be included.

TR.15        Travel Report with no Estimates.                                                                      2
                      The system user shall be able enter into the system a Travel Report without the pre-
                 trip estimates and approvals. This is done only in exceptional circumstances.

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TR.16        Travel Report Information Requirements – Document attachments. The system user shall                  2
             be able to attach one to many documents to a travel request/report. The user may specify a
             description per attachment. Date of attachment and person‟s name making the attachment shall
             be retained with the attached document.

TR.17        Traveler payments. The traveler will most likely be owed money by PPPL for expense                    3
             reimbursement. The traveler may, due to cash advances, come out even or owe PPPL money.
             The payment process shall be controlled by Accounting.
                      Completed and approved Travel Reports shall have their payment disposition
                  determined by Accounting.
                      Employee reimbursements shall flow to the Accounts Payable application where
                  refund payments through the normal payment process shall be generated without rekeying
                  of data.
                      Reimbursements of non-employees shall be done through Petty Cash payments or
                  through Accounts Payable.
                      The system shall keep a record on the trip report of how the employee was refunded
                  and the refund date.
                      Paid Travel reports and reports for which no money is owed shall be closed.
                       Travel reports for which the traveler owes PPPL money shall remain open until
                  Accounting specifies the amount is paid. Accounting shall input into the Travel Report
                  the amount received and the date of receipt.

TR.18        Reporting.                                                                                            3
                     The system user shall be able to view his own trip requests and reports and any
                 requests/reports for employees reporting to the system user.
                     The Travel Department and Accounting shall be able to view all trip requests/reports.


TR.19        Track Advances Owed to PPPL.                                                                          3
                    The Travel Department and Accounting shall be able to view all trip reports for
                 which cash advances are outstanding.
                    The system shall produce a report showing these reports where money is due to
                 PPPL by aging category.

TR.20        Accounting Audit. Accounting shall be able to flag reports as needing to be audited and to            3
             update reports with audit results.

TR.21        Estimates to Actuals Report. The system shall provide a report comparing estimates to actual          3
             for trips in a date range. The system user may specify an estimate to actual variance percent
             and/or dollar amount. When reports meet or exceed this variance they shall show on the report.




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TR.22        Credit Card Reconciliation. PPPL‟s Accounting department receives monthly bills for the                    3
             credit cards used by the Travel Department and Accounting to prepay tickets, lodging,
             conference registration fees, training fees and other expenses. PPPL requires a system that
             provides reconciliation between the credit card transaction detail and trip expenses reported by
             employees and that provides for assignment of the trips‟ project accounts to the accounting
             distribution of the payment to the Credit Card company.
                        The system shall provide for upload of credit card transactions from a spreadsheet
                   into the system.
                        The system shall provide for an automatic match of credit card transactions uploaded
                   to travel reports.
                        Comparison shall be by credit card number, amount and transaction date or other
                   identifying attributes.
                        The system shall produce a reconciliation report showing employee and project
                   account distribution per credit card transaction.
                        Reconciled travel reports shall be flagged as reconciled with the reconciliation date.


TR.23        Credit Card Reconciliation Journal Entries. Credit Card bills are paid when received; the                  3
             entire amount is charged to a single prepaid account. After reconciliation and matching to
             project distribution accounts, journal entries need to be generated to offset the prepaid account
             and charge each project cost center the appropriate amount.
                       The system shall automatically generate a journal entry line for the offset amount.

                       The system shall automatically generate a journal entry line for each project account
                  to be charged.

TR.24        Reporting. The system user shall be able to design and run queries as desired. The system                  3
             user needs the ability, within security authorization rules, to:
                      Select desired data fields from all data in the system
                      Specify selection/filtering criteria on multiple fields to produce the desired result set

                     Save queries for reuse
                     Save query results to the desktop as a delimited file that may be easily imported into
                  Excel

TR.25        Required Reports. Accounting requires the following reports from the system:                               3
                     Current out-of-town trips
                     Trips per specified destination within a date range
                     All trips within a date range
                     Mileage amounts per trip within a date range
                     Training related trips within a date range
                     Aging report of trips for which PPPL is owed money
                     Payment overdue notices to send to employees. Notice text to vary by age of
                 overdue status.
                     Aging report of trips which have passed their trip completion dates but for which the
                 employee has not yet finalized actual expense entry.


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                                          Accounts Receivable
            Accounts Receivable

AR.1        General Accounts Receivable Processing. PPPL requires a system that shall provide                 3
            standard Accounts Receivable processing such as:
                     Production of billing invoices
                     Production of customer statements
                     Payment application to customer accounts and invoices
                     Production of journal entries and interface to General Ledger

AR.2        On-line Entry. PPPL requires a system that allows for on-line entry of customer invoices,         3
            payments, debits and credits.

AR.3        Invoices. PPPL requires a system that produces invoice billing documents to send to               3
            customers. The invoice document shall be customizable for PPPL. The system user may
            choose to produce invoice reprints. Invoice numbers shall be sequentially assigned by the
            system.

AR.4        Statements. PPPL requires a system that produces customer statement documents to send to          3
            customers. The customer statement document shall be customizable for PPPL. The system
            user shall choose which customers or customer types shall have statements produced.


AR.5        Dunning. PPPL requires a system that produces payment reminder documents to send to               2
            customers. The customer reminder documents shall be customizable for PPPL.

AR.6        Aged Trial Balance Report. PPPL requires a system that produces an Aged Trial Balance             3
            report showing total amount owed and broken down by aging categories. PPPL needs subtotals
            per type of customer and grand totals.

AR.7        Customer Types. PPPL requires a system that can categorize customers. Customer types that         3
            may be used are Employees, DOE Inter-Field, DOE Intra-Field, Other Federal Agencies,
            Foreign non-Federal WFO, domestic non-Federal WFO and general non-government.


AR.8        Receivables Accounts. Receivables general ledger accounts must be assigned according to           3
            STARS categories determined by the DOE. STARS uses separate Standard General Ledger

AR.9        DOE Other Party Identifier (OPI). The STARS Monthly Interface to DOE requires that a              3
            DOE OPI (Other Party Identifier) value be included for receivables journal entries. These




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AR.10        Integration with Project Costs. PPPL identifies project costs with a project account. PPPL               3
             needs to be able to associate a project with a customer. The system user shall be able to specify
             that a monthly customer invoice shall be produced for project costs that are associated with
             specific customers. This shall be optional since some project sponsors are billed for actual
             costs and others are pre-billed as described in the next requirement, AR.11. Only some
             projects shall be associated with a customer; these are WFO projects for non-Federal entities.


             Billing for Federal agency WFO projects is handled internally within the Federal government
             PPPL provides these WFO project expenses to the Federal government through the IPAC
             Interface described in Accounting General Ledger & Reporting, requirement GL.13.


AR.11        Pre-Bill Project Costs. PPPL needs the ability to pre-bill estimated project costs to WFO                3
             customers.

AR.12        DOE Reporting. PPPL needs to provide the DOE with a report giving overall summary                        3
             Receivables amounts. The system shall produce overall monthly totals that can be used for this
             report such as beginning balance, new receivables, collections, adjustments, write-offs, ending
             balance, delinquent debt and collections on delinquent debt.


AR.13        Report by Receivables account. The system shall produce a report of monthly activity by                  3
             receivables account.

AR.14        Interest. The system shall calculate interest on overdue principal and add this interest amount          2
             to a customer‟s amount due. This shall be optional per customer.




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                                         Telephone Accounting
PH.1        Track Telephone Usage. The system shall capture information describing each office                     3
            telephone, pager, cell phone and fax machine. Employee, location and project account are
            needed.

PH.2        Allocate Telephone Charge Accrual. PPPL requires an automated process to accrue                        3
            telephone charges each month. PPPL‟s policy requires that liabilities be recorded in the month
            they occur. Several bills each month - land-based, cell phones and pagers make up the monthly
            charge. These bills are often received and paid after the month-end for which they bill. PPPL
            needs to accrue these charges prior to a month end. The total charges expected for the month
            are estimated; this is the month‟s total accrual amount.
                     The system shall calculate an allocation percentage for each project account that has
                 telephone usage. Percentage is the ratio of usage count to total count.
                     This allocation percentage is used to calculate accrual amounts per project account.

                     Journal entries shall be generated for each project account with an offset to a
                 specified offset account.
                     The system shall ensure that the project account amounts sum exactly to the total
                 amount, adjusting for any rounding differences.

PH.3        Mass change project accounts. The system user shall be able to specify that the system do a            2
            mass change on the telephone usages, changing an old project account value to a new project
            account value.

PH.4        Report telephone usage. The system user shall be able to report telephone usage by project             2
            account.




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                                           Asset Management
            Asset Management.

            Asset Information Requirements.

AM.1        Asset Information Requirements - Attributes. PPPL requires a system that shall capture the            3
            following attributes per asset:
                     Asset Status – new, active , closed
                     Asset ID
                     DOE Status Code
                     DOE Asset Type
                     Federal Supply Code
                     Property Type
                     Contact Employee
                     Custodian Employee
                     Asset Location – Building/room or warehouse location
                     Inventory Noun
                     Property status Code
                     Acquisition Status Code and date
                     Cost Value
                     Asset Description (text field of unlimited length)
                     In Service status, yes or no
                     Property type – capital, controlled, real, informational, sensitive minor
                     Sensitive status – Yes or No
                     Physical Condition
                     High Risk Review status and date
                     Sanitized date – used for IT assets when disposition changes
                     Model Number, Serial Number, Manufacturer Name
                     Supplier ID for purchased assets
                     Project Account(s) for acquisition cost. There may be multiple project accounts.
                 When there are multiples, amount per account should be given as well as the total amount.


AM.2        Asset Information Requirements – Document attachments. The system user shall be able                  2
            to attach zero to many documents to an asset. The user may specify a description per
            attachment. Date of attachment and person‟s name making the attachment shall be retained
            with the attached document.

AM.3        Asset Information Requirements – Asset movement history. The system shall maintain a                  2
            history per asset of asset locations and dates.

AM.4        Asset Information Requirements – Asset ownership history. The system shall maintain a                 2
            history per asset of contact changes, custodian changes and dates.




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                                      PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                   Numeric
                                      PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                  Response
AM.5           Asset Information Requirements – Asset status history. The system shall maintain a                      2
               history per asset of asset status changes and dates and property status changes and dates.


AM.6           Asset Information Requirements – Change audit trail. The system shall maintain a history                1
               of who made a change and the date of the change.

AM.7           Asset Information Requirements – Photograph. The system user shall be able to associate a               3
               photograph with an asset.

AM.8           Asset Information Requirements – Purchase Order Lines. The system user shall be able to                 3
               drill down to one or many purchase order lines used to purchase the asset.

AM.9           Asset Information Requirements – Asset ID. This shall be a sequential number                            3
               automatically assigned by the system to new assets. The system user shall be able to specify a
               starting value.

AM.10          Asset Information Requirements – Property Status Date. The system user shall be able to                 2
               specify effective and end dates for a Property Status value.

               Asset Information Requirements – Configurable set up. The system user shall be able to
               specify valid values for descriptive asset codes and meaning per value.
AM.11                    Custodian and contact setup. Custodians and contacts must be valid employees.                3
                    The system user shall select a valid custodian per HOD value. The system user may
                    select significant digits of a HOD value, for example EC** could represent all HODs
                    starting with EC.
AM.12                    Employee project HOD code. An employee may optionally be assigned a                          3
                    secondary HOD, referred to as Project Department (POD), meant to denote the project the
                    employee is working on.
AM.13                    Property Type. PPPL defines equipment as Capital ($50k and over), Controlled                 3
                    ($5k to $49,999), Real Property, Sensitive Minor and Informational Asset. Informational
                    Assets are often asset components; PPPL wants to track them but they do not need to be
                    inventoried. Sensitive Minor is assets under $5k that are classified as sensitive material.

AM.14                    Buildings and Rooms. The system user shall be able to define valid Building codes            3
                    and Rooms per Building with descriptions.
AM.15.1                  DOE Asset Type. The system user shall be able to define valid DOE Asset Types                3
                    with descriptions.
AM.15.2                  DOE Status Code. The system user shall be able to define valid DOE Status Codes              3
                    with descriptions.
AM.16                    Asset Nouns. Assets may be assigned a Noun value, for example Laptop Computer.               3
                    A noun shall have values for other attributes associated with it such as DOE Asset Type,
                    Federal Supply Class, Sensitive Property indicator, High Risk Property indicator and IT
                    Property indicator. These associated attribute values shall be the default values for an
                    asset.


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                                    PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                  Numeric
                                    PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                 Response
AM.17                  Property Status Codes. The system user shall be able to define valid Status Codes              3
                  with descriptions. Examples are “Addition, off-the-shelf purchase”, “Write-off –
                  Abandonment”, “Retired – Disposed of as Scrap”, the system user shall specify which
                  status codes should cause the system to automatically close an asset.

AM.18                 Acquisition Codes. The system user may specify Property Status Codes that pertain               3
                  to acquisition.
AM.19                 Retirement Reason Codes. The system user shall be able to define valid                          3
                  Retirement Reason Codes with descriptions.




AM.20        Asset Purchasing Review. The system user shall be able to review purchasing transactions                  3
             for material purchased but not yet received and to flag purchased items as one or more of the
             following:
                       Controlled
                       Capitol
                       Sensitive Minor
                       High Risk
                       Information Only Asset – these are used for asset parts and property that does not
                       Administratively controlled – tag with a property “dollar date” tag but not enough
                  value to be a controlled asset
                       Not sure, would like to be notified when item received
             The system user may turn off these flags when desired, normally after receipt.
             These flags shall be configurable; the system administrator shall be able to set up new flag
             values.

IM.23        Asset Management Integration with Receiving (new assets).                                                 3
                      Purchased items may be identified within the system as assets prior to receipt of the
                 item.
                      Received items may be identified as assets either at receiving time or prior to receipt
                 with the purchasing information.
                      The system shall generate an alert to Asset Management when an asset is received.

                      The system shall generate an alert to Accounting when a capital asset is received.

                       The system shall request receiving personnel to input asset attributes.
                       Asset attribute values present with purchasing information shall flow to the proposed
                  asset.
                       Asset attributes include:
                             o Manufacturer‟s name
                             o Manufacturer‟s model number
                             o Manufacturer‟s serial number
                             o Total cost
                             o Asset tag number



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                                    PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                  Numeric
                                    PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                 Response
                             o Asset descriptive values such as Sensitive, Hazardous Material, Condition,

                            o Photograph of asset taken at receiving dock
                            o Asset description
                            o Receipt date
                            o Shipping order number and date
                      The asset may be added to the system after review by Asset Management.

AM.21        Asset Contact and Custodian assignment. New assets need contacts and custodians and                       3
             locations to be assigned. Existing assets may have their contacts or custodians and locations
             changed as well. The system shall require acceptance of the asset by the new contact or
             custodian through a workflow.

AM.22        Custodian approval for status changes. The system shall require approval of property status               2
             changes by an asset‟s custodian through a workflow.

AM.23        Mass Transfer Contact and Custodian assignment. Employees that leave PPPL must have                       2
             their assets transferred to a new contact or custodian. The system user shall be able to transfer
             all assets for an individual in one operation. The system user may specify an effective date for
             the transfer so that the transfer may be done ahead of time. The system user may override the
             approval workflow for mass transfers so that it is not done.


AM.24        Mass Transfer Building and Room. The system user shall be able to change all assets of a                  2
             particular location value to a new location value in one operation.

AM.25        Integration with Employee Changes. The system shall automatically notify the Property                     3
             Manager when an employee termination or long-term disability leave is input to the system.


AM.26        Asset Physical Inventories. The DOE requires periodic inventories. Frequency depends upon                 3
             asset categories.
                       High Risk and Sensitive equipment needs to be counted once a year.
                       Counts of statistical samplings need to be done every two years of capital and
                   controlled inventory.
                       Every five years, when PPPL‟s contract with the DOE renews, a wall-to-wall
                   inventory of all assets needs to be done.




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                                    PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                  Numeric
                                    PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                 Response
AM.27        Inventory Selection by Property Type. The system user shall be able to select entire                      3
             property types – capitol, controlled or Sensitive Minor when desired. Alternatively the system
             user may choose to select a sampling of these three categories. The system user may specify a
             percentage of items or an actual number per property type. To assist with this decision, the
             system shall display per property type an item count and a total dollar value. The system user
             may choose to include items flagged as missing or lost. The system user may choose to include
             or exclude Sensitive or High Risk items per property type. The system user may also choose to
             include all Sensitive items or all High Risk items. Assets of Property Type “Informational”
             shall be excluded from inventory counts.

AM.28        Inventory Selection by custodian. The system user shall be able to select custodians within a             3
             division. For each of these custodians, the system shall display statistics of number of assets
             per property type. The system user shall specify a percentage of each type per custodian to
             count
AM.29        Inventory Selection Reporting. The system shall print an asset list per custodian and, within             3
             custodian, per contact, of assets selected for counting. The system shall print reports
             documenting the selection criteria used.
AM.30        Scanning. The system shall integrate with hand-held scanning devices for entry of counting                2
             results. Counting results will be status and location changes, not inventory counts. Inventory is
             always one since each asset is unique.
AM.31        Inventory Tracking. The system shall track items selected for counting and will not select an             1
             item more than once in a year. This is needed due to overlap of categories, for example a
             controlled asset can also be High-Risk or Sensitive or both. The system shall capture history of
             when an item was counted and by whom. The system user shall be able to clear the counting
             selection status when desired so that an item will be selected again. Normally this would be
             done at the beginning of a year.
AM.32        Inventory Approval. Each custodian needs to sign-off on the results of his inventory count.               2
             The system shall accomplish this by a workflow.

AM.33        Asset Management Integration with financial Fixed Assets. Asset Management and Fixed                      3
             Assets need to share a common asset information repository. Fixed Assets requirements are
             defined in the Fixed Assets, Accounts Payable, Petty Cash, Pcard Business Requirements
             document. Accounting needs to be alerted when status changes for capital assets.


AM.34        Asset Management Integration with Shipping Orders. Asset Management needs to be                           2
             automatically notified when a Shipping Order for an asset is shipped. The asset should be
             linked to the shipping order; the asset should be updated with the shipping order number and,
             after the shipment is done, the shipping date.

AM.35        Asset Management Integration with Inventory Management. Asset Management needs to                         2
             be automatically notified when an asset‟s location is changed to a warehouse location as when
             equipment is stored for future projects.




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                                     PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                    Numeric
                                     PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                   Response
AM.36        Asset Management Integration with Excess Property. Asset Management needs to be                             3
             automatically notified when asset status changes due to excess property processing. This can be
             a change to a status of Excess or Retired or return to Active. The Property Manager shall then
             choose to accept the change or not. Asset Management shall initiate the Excess Property
             process by changing an asset status to Excess. Accounting needs to be alerted when status
             changes for capital assets.

AM.37        Asset Management Integration with Receiving (returned existing assets). Asset                               2
             Management needs to be automatically notified when an existing asset is returned to PPPL.


AM.38        Asset Management Integration with Loans/Collaboration Tracking. Asset Management                            2
             needs to be automatically notified when an item is approved to be loaned out and when it is
             returned.

AM.39        Monthly Property Report. The system shall produce a report per custodian showing all asset                  3
             activity for that custodian in a month selected by the system user. The report shall be
             distributed electronically to each custodian.

AM.40        Inventory Custodian Report. The system user shall be able to select a custodian/contact or                  3
             range of custodian/contacts for which asset reports by custodian shall be printed. Alternatively,
             the system user shall specify that particular kinds of assets be printed per custodian. These are:

                      Capital or controlled or sensitive only.
                      Missing/lost only
                      Inactive employee custodians only

AM.41        Undo Retirement. The system user shall be able to change an assets status from retired to                   3
             active.

AM.42        Void Asset. The system user shall be able to delete an asset mistakenly entered provided no                 3
             history is associated with the asset.

AM.43        Asset Management Integration with Procurement. The system user shall be able to drill                       2
             down to multiple assets from a single purchase order line when that line represents more than
             one asset. For example, a single purchase order line with a quantity of three may be used to
             purchase three identical computers; these three computers are three distinct assets.


AM.44        Ad hoc Query Ability. The system user shall be able to run design and run queries as desired.               3
             The system user needs the ability, within security authorization rules, to:
                      Select desired data fields from all data in the system
                      Specify selection/filtering criteria on multiple fields to produce the desired result set

                      Save queries for reuse


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AM.44                                                                                                               3
                                   PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                               Numeric
                                   PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                              Response
                    Save query results to the desktop as a delimited file that may be easily imported into
                 Excel




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                                   PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                              Numeric
                                   PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                             Response
                                   Excess Property Management
            Excess Property.

            Excess Item Information Requirements.

EP.1        Excess Item Information Requirements - Attributes. PPPL requires a system that shall                   3
            capture the following attributes per excess item:
                      Excess Item Status –active , closed
                      Active date – date when item became excess
                      Closed date – date when item is closed, a disposition determined
                      Excess Item ID
                      DOE Asset Type
                      Federal Supply Code
                      Excess Item Location – Building/room or warehouse location
                      Sale Pending code
                      Sale number for items offered for sale
                      Sale price and date for sold items
                      Quantity
                      Unit of Measure
                      Action/Disposal code and date
                      Item Description (text field of unlimited length)
                      Physical Condition
                      High Risk code, yes or no
                      Model Number, Serial Number, Manufacturer Name
                      Acquisition cost and date
                      Shipping Order number and date

EP.2        Excess Item Information Requirements – Document attachments. The system user shall                     2
            be able to attach zero to many documents to an item. The user may specify a description per
            attachment. Date of attachment and person‟s name making the attachment shall be retained
            with the attached document.

EP.3        Excess Item Information Requirements – Action/Disposal history. The system shall                       3
            maintain a history per item of excess item status changes and dates and action/disposal status
            changes and dates.

EP.4        Excess Item Information Requirements – Change audit trail. The system shall maintain a                 1
            history of who made a change and the date of the change.

EP.5        Excess Item Information Requirements – Photograph. The system user shall be able to                    2
            associate a photograph with an excess item.




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                                     PPPL Detail Requirements                                                                                  Response per Requirement

                                                                                                                                     Numeric
                                     PPPL Detail Requirements                                                       PPPL Priority                                  Optional Comment
                                                                                                                                    Response
EP.6         Excess Item Information Requirements – Excess Item ID. This shall be a sequential                            3
             number automatically assigned by the system to new items. The system user shall be able to
             specify a starting value. When a new excess item is an asset, the Asset ID shall be assigned by
             the system as the Excess Item ID.

             Excess Item Information Requirements – Configurable setup. The system user shall be
             able to specify valid values for descriptive codes and meaning per value.
EP.7                   Condition Codes. The system user may specify Condition Codes and their values.                    3

EP.8                  Action/Disposal Codes. The system user shall be able to define valid                               3
                  Action/Disposal Codes with descriptions.

EP.9         Excess Property Integration with Asset Management. Asset Management shall initiate the                       3
             Excess Property process by changing an asset status to Excess. Asset attributes shall then flow
             to the Excess Property item without rekeying. Asset Management needs to be automatically
             notified when asset status changes due to excess property processing; this holds true for both
             open and closed assets. This can be a change to a reutilization or retired status or return to
             Active. The Property Manager shall then choose to accept the change or not. Accounting
             needs to be alerted when status changes for capital assets.


EP.10        Excess Property Integration with Loans/Collaborations. Loans/Collaborations may initiate                     2
             the Excess Property process by changing loaned item status to Excess. Item attributes shall then
             flow to the Excess Property item without rekeying. The Excess Property Coordinator shall then
             choose to accept the change or not.

EP.11        Excess Property Integration with Shipping Orders. Integration with Shipping Orders shall                     2
             provide that item description data flow to the shipping order and that the Excess Item be
             updated with the shipping order number and, after the shipment is done, the shipping date.


EP.12        Excess Property Integration with Inventory Management. Inventory items may become                            2
             Excess Items. Inventory Management shall initiate the Excess Property process by changing an
             inventory item status to Excess. Item attributes shall then flow to the Excess Property item
             without rekeying. Excess Property may change an item to return to Active to reinstate the item
             as an active inventory item. Inventory Management shall then choose to accept the change or
             not. . The Excess Property Coordinator shall then choose to accept the change or not.


EP.13        Disposition Approval. Newly reported excess property is inspected. When property is in                       3
             good condition, a reutilization may be found for it; when it cannot be reutilized, PPPL tries to
             sell it. When a buyer cannot be found for the property or when the property is not in good
             condition, it is sold as scrap or trashed. This determination of final disposition of sale, scrap or
             trash needs to go through a retirement process. These dispositions of reutilize or retire need
             formal approvals.


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EP.13                                                                                                                 3
                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
                       The system shall, through automatic workflow, obtain approvals for a group of
                  excess reutilized items or a separate group of retired items. These approvals need to be
                  done by the FSS Manager and Division Head. Some retirements may need additional
                  DOE approval.
                       The system user shall determine when to initiate obtaining approval for a group of
                  retired or reutilized items.
                       Excess item status shall not change until approval is obtained.
                       Corresponding asset status changes shall flow to Asset Management after approval is
                  obtained.
                       The system shall retain a history of the approval person and date.
                       Reports shall be produced showing each group of reutilized or retired items.

EP.14        Reutilize Excess Items. Excess items to be reutilized are input into a Federal Government                3
             system used by many government related entities in addition to PPPL. This is the General
             Services Administration‟s (GSA) FEDS/EADS system. FEDS/EADS posts excess property
             from many sources where government agencies may review it for their reutilization. When
             PPPL property is reutilized, GSA notifies PPPL of the items and their reutilization. This may
             be transfer to another agency or donation to an organization. Property may also be reutilized at
             PPPL.
                       Transferred or donated items have their action/disposal codes updated appropriately.

                       Transferred items need a shipping order produced for shipment to the new location.
                  Donated items are usually held for pickup by the item‟s donee.
                       Integration with Shipping Orders shall provide that item description data flow to the
                  shipping order and that the Excess Item be updated with the shipping order number and,
                  after the shipment is done, the shipping date.
                       An excess item is closed after shipping or pick-up.
                       Integration with Asset Management shall cause action/disposal codes denoting
                  transfer, donate, PPPL reutilization and close status and status dates to flow to Asset
                  Management. When the item is to be shipped, shipping order number and date shall flow
                  too. The Property Manager system user shall determine if and when to accept the changes
                  into Asset Management. Accounting needs to be alerted when status changes for capital
                  assets.

EP.15        Sell Excess Items. Excess items in good condition for which a reutilization cannot be found              3
             may be listed for sale. Sales may be held by the General Services Administration or by PPPL.
             PPPL sale listings must be formally approved. If items are not sold after a period of time, they
             may be sold as scrap or trashed after formal retirement.
                      The system user shall identify items to be sold.
                      Approval steps, needed only for PPPL sales, not GSA sales, are:
                             o The system shall, through automatic workflow, obtain approvals for a group
                             of sale items. These approvals need to be done by the FSS Manager and
                             Division Head.
                             o The system user shall determine when to initiate obtaining approval for a
                             group of sale items.



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EP.15                                                                                                               3



Software Selection Requirements Response

                                    PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                               Numeric
                                    PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                              Response
                            o Excess item status shall change from Pending Sale to Approved Sale after
                            approval.
                            o The system shall retain a history of the approval person and date.
                      Each group of sale items is assigned an identifying sale number.
                      As items are sold, the system user shall update their sale price and sale date.

EP.16        Retire Sold, Scrapped, Trashed Items. Sold items need to be formally retired. Items put up             3
             for sale that remain unsold and are determined to be scrapped or trashed also need to go
             through the formal retirement process and approval. This is the process described in EP.11,
             Disposition Approval for Retired items.

EP.17        Post Excess Property on Intranet. Excess Property in good condition, available for                     3
             reutilization, shall be available for review by employees via the PPPL intranet.

EP.18        Excess Disposal Reports. The system shall produce Detail and Summary disposal reports.                 3
             The system user shall specify a range of dates excess items were added to the system that
             should be reported. The reports shall show all items added during this date range, closed and
             not closed.
                       Detail report – Item Id, description, disposal code, close date, sale date.
                       Summary report
                             o total item count in date range
                             o total number items closed within 180 days
                             o total number items with dispositions but not yet closed within 180 days
                             o total number items older than 180 days not yet closed
                             o total number items reported for sale within 180 days
                             o percent reported for sale within 180 days
                             o percent disposed within 180 days
                             o percent not disposed within 180 days
                       The 180 days is the current used aging value; this shall be set by the system user.


EP.19        Re-list Excess Item. The system user shall be able to obtain multiple disposition status               3
             changes and disposition approvals for an item as described in EP.13 Disposition Approval.


EP.20        Void Excess Item. The system user shall be able to delete an excess item mistakenly entered            3
             provided no history is associated with the asset.




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                                  PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                             Numeric
                                  PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                            Response
                                Loan/Collaboration Management
            Loans/Collaborations.

            Loan/Collaboration Information Requirements.

LN.1        Loan/Collaboration Information Requirements - Attributes. PPPL requires a system that                 3
            shall capture the following attributes per Loan/collaboration:
                      Loan/Collaboration ID
                      Loan Status –active , closed
                      Active date – start date of loan
                      Expected expiration date
                      Borrowing institution
                      PPPL lender person name
                      PPPL division/department head
                      Loan description and comments
                      Total loan dollar value
                      Underlying Grant/Contract number (research grant or contract providing funding for
                  project that loaned equipment is to be used for)
                      There shall be one to many items per loan. Item attributes are:
                             o Item ID
                             o Asset ID for asset items
                             o Item Description (text field of unlimited length)
                             o Model Number, Serial Number, Manufacturer Name
                             o Quantity
                             o Unit of Measure
                             o Unit cost
                             o Extended cost
                             o High Risk code, yes or no
                             o Shipping Order number and date
                             o Date added to loan
                             o Date removed from loan agreement
                             o Date returned
                             o Item disposition at end of loan – returned, excess

LN.2        Loan Item Information Requirements – Document attachments. The system user shall be                   2
            able to attach zero to many documents to a loan and to loan items. The user may specify a
            description per attachment. Date of attachment and person‟s name making the attachment shall
            be retained with the attached document.

LN.3        Loan Information Requirements – Change audit trail. The system shall maintain a history               1
            of who made a change and the date of the change.




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                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
LN.4         Loan Information Requirements – Loan ID. This shall be a sequential number                               2
             automatically assigned by the system to new loans The system user shall be able to specify a
             starting value.

LN.5         Loan Information Requirements – Item ID. This shall be a sequential number automatically                 3
             assigned by the system to each loan item. The value starts with one for each loan.


LN.6         Loan Property Integration with Asset Management. When a loaned item is an asset, asset                   2
             attributes shall flow to the Loan item without rekeying. Asset Management needs to be
             automatically notified when asset status changes due to Loan processing. The Property
             Manager shall then choose to accept the change or not. Accounting needs to be alerted when
             status changes for capital assets.

LN.7         Loan/Collaboration Approval. New loans and collaborations need multiple approvals. The                   3
             system shall track, through a configurable workflow, the multiple approvals needed. Approvals
             vary by whether item destination is outside of the USA and whether categorized as a loan or as
             collaboration.
                       Destinations outside of the USA need to show approval by the Office of Fusion
                  Science. This approval can be specified by the Loan Coordinator in Facilities & Site
                  Services.
                       Department approvals are required
                       High Risk review approval is required
                       Export Control review for international destinations is required
                       The borrower/collaborator institution needs to approve. This approval can be
                  specified by the Loan Coordinator in Facilities & Site Services.
                       Facilities & Site Services management needs to approve
                       Division heads need to approve
                       If a Loan, DOE needs to approve
                       Corresponding asset status changes shall flow to Asset Management after approval is
                  obtained.
                       The system shall retain a history of the approval person and date.

LN.8         Loan/Collaboration Approval of additional items. When an item is added to an existing                    3
             loan or collaboration the same approvals as are needed for a new loan need to be done.

LN.9         Loan/Collaboration item changes. Items can be added to an existing loan. Existing items                  3
             can be deactivated by changing their status to returned, excess or voided.

LN.10        Loans/Collaborations Integration with Excess Property. Loans/Collaborations may initiate                 2
             the Excess Property process by changing loaned item status to Excess. Item attributes shall then
             flow to the Excess Property item without rekeying.




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                                    PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                                Numeric
                                    PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                               Response
LN.11        Loans/Collaborations Integration with Shipping Orders. Integration with Shipping Orders                 2
             shall provide that item description data flow to the shipping order and that the Loaned Item be
             updated with the shipping order number and, after the shipment is done, the shipping date.


LN.12        Loans/Collaborations Integration with Receiving. Integration with Receiving shall provide               2
             that notification be generated for the Loan Coordinator when a received item is determined to
             be a returned loan item.

LN.13        Void a loan. The system user shall be able to delete a loan and a loan item mistakenly entered          2
             provided no history is associated with the loan or the loan item.

LN.14        Expiring Loans. The system user shall be able to monitor loans that are nearing their                   3
             expiration dates. These need to be reapproved if they are to be renewed.

LN.15        Loan Days Remaining. The system shall calculate and display number of days remaining                    2
             before a loan expires.




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                                  PPPL Detail Requirements                                                                            Response per Requirement

                                                                                                                            Numeric
                                  PPPL Detail Requirements                                                 PPPL Priority                                  Optional Comment
                                                                                                                           Response
                                            Shipping Orders
            Shipping Orders.

            Shipping Order Information Requirements.

SH.1        Shipping Order Information Requirements - Attributes. PPPL requires a system that shall              3
            capture the following attributes per Shipping Order:
                      Shipping Order ID
                      Shipping Order Status –new, active , closed
                      Status date
                      Shipment Type – Prepaid or Collect
                      Shipment Method/Vendor
                      Shipment Purpose
                      Ship To name and address and contact information
                      Project account for shipping charges
                      Requestor name and contact information
                      Reference number
                      Location of material to be shipped
                      Estimated size and weight of material to be shipped
                      Actual weight shipped
                      Actual number pieces shipped
                      Packaging description
                      Free form text for comments
                      Return authorization number
                      Shipping charge
                      Shipment date
                      Waybill number
                      There shall be one to many items per shipment. Item attributes are:
                             o Sequential item number
                             o Asset ID shall be used for assets
                             o Item Description (text field of unlimited length)
                             o Model Number, Serial Number
                             o Quantity
                             o Unit of Measure
                             o Replacement value
                             o Return Expected – Yes or No
                             o Hazardous Material indication

SH.2        Ship Order Information Requirements – Document attachments. The system user shall be                 2
            able to attach zero to many documents to shipping orders. The user may specify a description
            per attachment. Date of attachment and person‟s name making the attachment shall be retained
            with the attached document.




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                                     PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                    Numeric
                                     PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                   Response
SH.3         Ship Order Information Requirements – Ship Order ID. This shall be a sequential number                      3
             automatically assigned by the system to new ship orders. The system user shall be able to
             specify a starting value.

SH.4         Ship Order Employee Entry. Shipping orders shall be input by employees. Employees shall                     2
             be able to inquire against their own shipping orders, but only their own.

SH.5         Ship Order Approval. Signature authority approval is needed. Exported items need Export                     3
             Control review to determine if Commerce Department approval is required. The system shall
             track, through a configurable workflow, needed approvals. The system shall retain a history of
             the approval person and date.

SH.6         Shipping Orders Integration with Receiving. A Shipping Order specifies whether a shipped                    3
             item is expected to be returned. For example, a loaned item should be returned. Receiving
             shall be able to inquire against shipping orders by destination and asset id. When they
             determine an item is returned, they shall be able to indicate on the original shipping order that a
             particular item is now returned.

SH.7         Shipping Orders Integration with Procurement. Shipping Orders needs to notify                               2
             Procurement when a purchase order related item is shipped.

SH.8         Void a shipping order. The system user shall be able to delete a shipping order and a                       2
             shipping order item mistakenly entered provided no history is associated with the deleted order
             or item.

SH.9         Cost Center report. The system shall produce reports detailing shipping orders by cost center               3
             within a date range.

SH.10        Accounting inquiry. The system user shall be able to inquire against shipping orders by                     2
             shipping vendor and date ranges to verify shipping charges.



                                   Document Management System




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                                   PPPL Detail Requirements                                                                             Response per Requirement

                                                                                                                              Numeric
                                   PPPL Detail Requirements                                                  PPPL Priority                                  Optional Comment
                                                                                                                             Response
            Document Management System
BP.1        The ERP system shall offer Document Management capabilities, either as an integral part of             3
            the system offering, or as an allied solution that integrates through standards-based
            mechanisms.
BP.2        The Document Management System(DMS) shall act as a centralized repository to house all the             3
            Policy and Procedures documents
BP.3         A centralized access to documents shall be available to all PPPL‟s employees, based on access         3
            control criteria specified by document owners. Document access control functionally shall be
            built into the system.
BP.4        The Document Management System shall have an automated version control function and                    3
            provide access to current and previous versions of each document



                               Action and Commitment Tracking




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                                     PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                   Numeric
                                     PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                  Response


             Action and Commitment Tracking (ACT)
BP.5         The ERP system shall offer configurable workflow capabilities for ACT functionality, either as             3
             an integral part of the system offering, or as an allied solution that integrates through the
             standards-based mechanisms.
BP.6         The ACT shall be the PPPL system of reference to track and trace all activities.                           3
BP.7         The ACT shall behave as a centralized commitment and activity repository available to all                  3
             PPPL employees. The centralization may be physical or the vendor may provide the same
             functionality through a virtualized access scheme.
             Workflow
BP.8         The ERP system shall offer configurable workflow capabilities for the document review and                  3
             approval process, either as an integral part of the system offering, or as an allied solution that
             integrates through standards-based mechanisms.
BP.9         The workflow shall have a method to capture a digital signature.                                           3
BP.10        Workflow configuration shall be flexible to allow for proper processing of various types of                3
             commitments and actions (e.g., a senior management action item commitment may require a
             workflow configuration for issuing, reviewing and closing the item that is somewhat different
             from the workflow required to issue, review, and close an action to correct a safety deficiency.)

BP.11        The workflow mechanism shall offer data tagging (Metadata) technology or other means to                    3
             enable differentiated, rule-based behaviors (e.g. different workflows for document approval
             depending on document type, different notification escalation depending upon type of
             commitment). .
BP.12        Workflows shall include functionality to review, comment on, and approve the responses to                  3
             issues, actions, and commitments.
BP.13        Workflows shall include functionality to reassign actions and commitments.                                 3

             Tracking requirements
QT.1         The ERP system shall offer tracking capabilities, either as an integral part of the system                 3
             offering, or as an allied solution that integrates through standards-based mechanisms
QT.2         QA requires a system that is open-ended and configurable. System users shall be able to                    3
             define tracking subjects and subsequent findings and events. These elements may be added to
             and changed to reflect changes in tracking needs.
QT.3         Centralized access to the tracking system shall be available to all PPPL employees, based on               3
             access control criteria specified by the QA division management. The QA system shall have the
             following function: QA system users shall provide “proposed” responses to the actions for
             which they have been assigned responsibility. The “proposed “responses shall be considered
             temporary and remain staged until permanently approved by .an entity authorized to make such
             approvals.
QT.4         The system shall be able to change data previously input to the system provided the system user            3
             has authority to do so. The system shall allow authorized users to create tracking subjects (e.g.
             Audit/event, Non-Conformance Report, and Quality Inspection Report) and update the status of
             tracked actions.




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                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
QT.5         The system shall provide the ability for flexible data queries for any PPPL employee with the            3
             proper access authority. The system user may choose to save the selected fields from the data
             in a spreadsheet format.
QT.6          The system shall differentiate between internal audits conducted by the PPPL QA division and            3
             external, or "upon us" audits. These external audits are conducted by the DOE and other
             external entities, for the purposes of tracking, workflow execution, query and reporting, and
             other relevant system functionality.
QT.7         In addition to audit items, the Quality Assurance division tracks “events” (e.g. accidents), and         3
             NCR‟s. The system shall distinguish between audit-related items, NRC items, and events (e.g.
             accidents) for the purposes of tracking, workflow execution, query and reporting, and other
             relevant system functionality.
QT.8         The system shall support a one-to-many relationship between an “audit finding”, NCR, or                  3
             action item for an event and a set of corrective actions
QT.9         The system shall provide an ability to show the history of updates for a particular audit or             3
             event, finding, or corrective action items.
QT.10        The system shall provide the ability to associate priority and trend codes to action items. The          3
             choices for priorities and trend codes shall be maintained by Quality Assurance

             Quality Control (QC)
QC.1         The system shall generate and track Quality Inspection Plans and activities (see Appendix G.)            3

QC.2         NCR creation workflows shall be configurable and may vary depending upon the triggering                  3
             event or initiator (e.g. QC or PQA).
QC.3         The system shall support a one-to-many relationship between a Quality Inspection Plan and a              3
             set of Non-Conformance Reports.
QC4          The ERP vendor shall provide a configurable workflow to track inspection work and associated             2
             paperwork
             1.1.2 Quality Assurance Reporting
QR.1         The system shall provide custom report generation capability with sorts and searches on any              3
             selection of data. The system shall provide capability to save these reports and templates with
             report parameters, as well as the capability to export the data to a spreadsheet.

QR.2          The system shall generate Quarterly Status Report of DOE Open Findings (external reviews                3
             done by DOE). These should include information about each DOE finding closed since the last
             quarterly report and information about each DOE finding remaining open.

QR.3         The system shall generate Open Items reports which are forwarded to the appropriate personnel            3
             electronically.
QR.4         Dashboard, Action and Commitment Tracking, and Document Management Systems must all                      3
             function on standard PPPL IT configurations, which include Mac, PC, and UNIX machines
             with standard web browsers. A list of standard system software will be provided as part of the
             requirements package.



                                                    Dashboard

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                                    PPPL Detail Requirements                                                                                Response per Requirement

                                                                                                                                  Numeric
                                    PPPL Detail Requirements                                                     PPPL Priority                                  Optional Comment
                                                                                                                                 Response

             1.1.1   Dashboard

BP.14        The ERP system shall offer Dashboard capabilities, either as an integral part of the system               3
             offering, or as an allied solution that integrates through standards-based mechanisms.

BP.15        The ERP system shall provide a configurable dashboard and the ability to emulate and display              3
BP16         KPI‟s consistent with current industry best practices for businessinput to the dashboard.
             The ERP system shall allow import from the external sources as intelligence and reporting.                3



                                  Procurement Quality Assurance

             1.1.1 Quality Assurance for Procurement (PQA)
QP.1         The system shall track QA procurement activity ( e.g. requisitions, purchase orders,                      3
             procurement status, Non-Conformance Reports (NCRs))
QP.2         The system shall interface with the Procurement system and be able to import Procurement                  3
             information(e.g. ID number, estimated cost, supplier‟s information, buyer, etc. ) for the
QP.3         System shall generate the “Quality Assurance Requirements for Items and Services” form on                 3
             demand. (See Appendix G), using standard quality clauses that can be edited for a particular
             procurement.
QP.4         The system shall generate the “Product Quality Certification and Shipping Release” form, for              2
             transmission to PPPL suppliers. The system shall transmit this form to a supplier electronically,
             when the related purchase order has also been sent electronically. (See Appendix. B)

QP.5         The system shall support a one-to-many relationship between a QA Procurement and a set of                 3
             Non-Conformance Reports.
QP.6         The system shall provide functionality to track Non-Conformance Reports created by suppliers              2
             as well as NCRs generated by the QA engineer.
QP.7         The system shall permit staged updating and approval of NCRs by appropriately authorized                  3
             individuals.
QP.8         The system shall support Supplier Performance Tracking functionality. For example, the                    2
             system shall track and report on the NCRs issued against each supplier.
QP.9         The system shall interface with the Procurement system to access Procurement documents                    2
             selected by the system user (e.g. SOW documents, Specification documents).

QP.10        The system shall provide a method for logging notes regarding progress or issues with a                   3
             procurement action. The existing system uses a free-form text box.

                                       Maintenance Work Orders
             1.1.1   Work Order Processing




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                                   PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                Numeric
                                   PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                               Response
WO.1        Employees input work order requests. Any PPPL employee or authorized individual shall                    3
            be able to input a work order request.

WO.2        Work order request attributes. PPPL requires a system that shall capture the following                   3
            attributes per work order request:
                       Description of work to be done.
                       Name and contact information, email and telephone, of requestor. This information
                  shall be derived from the requestor‟s sign-on authentication, not input by the requestor.

                     PPPL facility location, including Building, where work needs to take place shall be
                 selected from valid values.
                     Date and time.

WO.3        Request Inquiry. Employees shall be able to view their work order requests and check their               1
            status.

WO.4        Request Validation. Employee work order requests shall flow via configurable workflow to a               2
            Work Control Coordinator. The Work Control Coordinator may reject the workflow request,
            returning it to the requestor with a rejection reason, or may accept the work order request as a
            bona fide work order.

WO.5        Direct Work Order Input. The Work Control Coordinator may input a work order on behalf                   3
            of an employee. The requestor employee shall be selected from a list of valid employees. The
            system shall maintain contact information for the employee that shall be incorporated into the
            work order.

WO.6        Work order attributes. PPPL requires a system that shall capture the following attributes per            3
            work order:
                    Description of work to be done.
                    Category of Demand, Preventive Maintenance, Inspection
                    Issue date/time
                    Date and time by which work is needed to be completed
                    Actual work completion date and time
                    Priority
                    Several category fields to be used as needed for values such as DOE Origin, Fire,
                Safety
                    Estimated hours and actual hours
                    Shop(s) assigned to do work
                    Person(s) assigned to do work
                    Name and contact information, email and telephone, of requestor
                    Asset(s) for which work needs to be done
                    Location(s) for which work needs to be done. This shall be a component of the
                PPPL facility location description, for example, a building or a room.
                    Comments
                    Success or failure status of work order
                    Failed work orders shall have a failure reason

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                                    PPPL Detail Requirements                                                                               Response per Requirement

                                                                                                                                 Numeric
                                    PPPL Detail Requirements                                                    PPPL Priority                                  Optional Comment
                                                                                                                                Response
                      Status including open, cancelled, deferred and closed.
                      Deferred work orders shall have a deferral reason
                      Any number of electronic documents may be attached to a work order.

WO.7         Facility Location Description. The system shall maintain an electronic description of the                3
             PPPL facility. The component hierarchy used by PPPL is Site, Building, Building Area, Room,
             and optional Room Area. Asset Management shall share this facility description to specify
             asset locations.

WO.8         Work done on Location or Asset. A work order shall be assigned to a location or locations,               3
             for example, painting a room or be assigned to an asset or assets.

WO.9         Building Assignment. A building shall be associated with every work order either through the             3
             work being done on a location or, if work is done on an asset, by the asset‟s physical location
             assignment.

WO.10        Workflow. New work orders shall flow, via configurable workflow to one or more FSS                       2
             managers. Flow shall be serial; a work order shall flow to the second manager after the first
             manager has released it. Managers may cancel work orders; this is done when a work order is
             actually project work instead of maintenance. Project work is not done by FSS. Managers may
             assign priority and category values. Managers may defer work orders for a later time. When a
             work order is categorized as Fire or Safety, the workflow shall direct the work order to the
             Fire/Safety manager.

WO.11        Deferred Work Orders. The system shall automatically notify the work order requestor when                1
             a work order is deferred. The system user may input a deferral reason.

WO.12        Reminder when Deferred is due. The system shall automatically generate a reminder notice                 2
             for deferred work orders that are coming due.

WO.13        Recurring Preventive Maintenance. The system user shall be able to specify recurring work                3
             orders/inspections and their periodicity such as monthly, quarterly or annually. For example,
             annual maintenance of an air conditioning system.

WO.14        Automatic work order close. When a new work order is generated for a recurring preventive                2
             maintenance, the system shall check to see if the previously generated work order is still in an
             open state. If it is open, the system shall automatically close it and notify the appropriate
             person.

WO.15        Inspections. The system user shall be able to specify inspections, these are usually recurring.          2
             Inspections are usually for multiple assets or locations for one inspection. Each asset or
             location is called an inspection point. The system shall capture pass/fail status for each
             inspection point.




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                                    PPPL Detail Requirements                                                                              Response per Requirement

                                                                                                                                Numeric
                                    PPPL Detail Requirements                                                   PPPL Priority                                  Optional Comment
                                                                                                                               Response
WO.16        Location or Asset Group. Locations and assets may be grouped within the system, for                     3
             example, boilers may be a group of assets. A work order/inspection may be assigned to a
             group of assets or locations in one operation.

WO.17        Integration with Asset Management. Work Order processing shall share asset definitions                  3
             with Asset Management. Asset definitions need to include:
                       Maintenance instructions
                       Document attachments as desired
                       Maintenance history; work orders issued for the asset
             Assets needed only for work order processing that do not meet Asset Management‟s capital,
             controlled or sensitive definitions, shall be categorized as such and excluded from Asset
             Management‟s reporting and inventory processing.

WO.18        Integration with Employee Data. Work order processing shall integrate with up-to-date                   2
             employee information that shall reflect new employees and changes to employee status.

WO.19        Work Order Assignment. Work orders shall be assigned to one of several pre-defined                      3
             technical shops such as Mechanical, Electrical and Plumbing.

WO.20        Priority Assignment. Priority values may be configured so that particular categories of work            3
             orders automatically default to a priority value. For example, a work order categorized as Fire
             or Safety shall automatically default to high priority.

WO.21        Handheld Devices. The system shall integrate with handheld devices so that inspections and              2
             work order information shall be downloaded to devices. Status, comments and hours shall then
             be input through the device; this information shall then be uploaded to the system.


WO.22        Wireless Connectivity. This transfer of data between the system and the handheld device may             2
             be wireless.

WO.23        Work Order Completion.                                                                                  3
                     Completed work orders shall be updated with the names of the employee or
                employees who completed the work. Hours shall be input for all employees or per
                employee. When one hourly amount is input for all employees, the system shall prorate
                the hours per employee, after which the system user may adjust hours per employee if
                desired.
                     Hours shall default to regular hours but may be specified as overtime.
                     Employees shall be selected from a list of maintenance employees, identified by
                several Home Demographic Codes (HOD). The system shall automatically update this
                list with new employees of the HODs and changes to employee status so that employees
                who are no longer active may not be selected.
                     Alternatively, when a work order is completed by a subcontractor, the system user
                may specify this along with information to identify the subcontractor and the purchase
                order number of the contract.


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                                     PPPL Detail Requirements                                                                                   Response per Requirement

                                                                                                                                      Numeric
                                     PPPL Detail Requirements                                                        PPPL Priority                                  Optional Comment
                                                                                                                                     Response
                       Comments regarding the completion may be input.

WO.24        Work Order Failure. Work order status may be set to „Failure‟ instead of Closed. The                          1
             system shall require a failure reason.

WO.25        Requestor Notification. The system shall automatically notify employee requestors when                        2
             Demand work orders are complete. The notification shall include date and time of completion
             and completion comments.

WO.26        Requestor Feedback. The system may provide the work order requester with the option to                        2
             respond to the work order completion notice with feedback regarding the work completion.
             The system shall automatically summarize responses for review.

WO.27        Inspection Failures. Inspection failures may automatically generate a work order to correct                   2
             the failure. A user-defined template may be used for the new work order.

WO.28        Material Costs. The system account number shall be configured so that purchases may be                        3
             assigned account number values per building. Purchases that shall be shared by all building
             shall be assigned another account number that will be allocated by percentage across buildings.
             The system shall provide a report of expenses per building account number.


WO.29        FIMS Compatibility. The DOE tracks reported building expenses in its own Facility                             3
             Information Management System (FIMS). FIMS uses a three character text code for building
             identifiers. PPPL‟s system must identify buildings with an identifier that contains this four
             character alphanumeric code.

WO.30        DOE Reporting. The system shall produce a quarterly report showing employee maintenance                       3
             labor costs per building and material costs per building. The labor costs shall be derived by
             calculating a ratio per building of total hours and then applying that ratio to the total labor costs
             for the Maintenance & Operations Division. The material costs shall be derived from the
             accounts used per building and the allocation per building for material purchases.


WO.31        Work Backlog Report. The system shall produce a report of aged work orders that are past                      2
             their scheduled completion date.

WO.32        Completed Work Orders Report. The system shall produce detail and summary reports of                          3
             completed work orders and hours per building within a date range specified by the system user.


WO.33        Open Work Orders Report by Shop. The system shall produce detail and summary reports                          3
             of open work orders by assigned shop.




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                                     PPPL Detail Requirements                                                                                 Response per Requirement

                                                                                                                                    Numeric
                                     PPPL Detail Requirements                                                      PPPL Priority                                  Optional Comment
                                                                                                                                   Response
WO.34        Open Work Orders Report by Category. The system shall produce detail and summary                            3
             reports of open work orders by category.

WO.35        Open Work Orders Report by Status. The system shall produce detail and summary reports                      3
             of open work orders by status.

WO.36        Failed Work Orders Report. The system shall produce detail and summary reports of failed                    2
             work orders within a date range.

WO.37        Completed Work Orders by Shop Report. The system shall produce detail and summary                           3
             reports of completed work orders and hours per assigned shop within a date range specified by
             the system user.

WO.38        Work Orders by Requestor Report. The system shall produce a detail report of work orders                    3
             per requestor of all statuses. The system user shall select requester(s) to report.

WO.39        Asset Maintenance History Report. The system shall produce a detail report of work orders                   3
             per asset. The system user shall select asset(s) to report.

WO.40        Ad hoc Query Ability. The system user shall be able to run design and run queries as desired.               3
             The system user needs the ability, within security authorization rules, to:
                      Select desired data fields from all data in the system
                      Specify selection/filtering criteria on multiple fields to produce the desired result set

                     Save queries for reuse
                     Save query results to the desktop as a delimited file that may be easily imported into
                  Excel
                                              End Requirements




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