RSD Document

473265619.
xlsx
GUIDANCE
Bidders are required to respond to every requirement contained in this TMS Project - Requirements Specifications / RTM*
(*This Requirements Specification will be used as the Requirements Traceability Matrix (RTM) throughout the project.)
Bidder's proposed solution meets the requirement with no customizations required including no configuration or
Out of the Box
coding is required to meet the requirement
Configuration
Bidder's proposed solution requires configuration to meet the requirement
Required
Code
Customization Bidder's proposed solution requires coding to meet the requirement
Required
Work Around Bidder's proposed solution requires a functional / technical workaround to meet the requirement
Do Not Meet Bidder's proposed solution does not meet the requirement
Accept Bidder accepts the requirement and commits to meeting the requirement as written
Do Not Accept Bidder does not accept the requirement as written
For any requirement in which any of the following are true, the Bidder may provide additional information in an attachment to their
proposal. Bidder must include a reference to the RTM including RTM Tab and Requirement ID.
473265619.xlsx - GUIDANCE Page 1 of 131

473265619.xlsx
FUNCTIONAL REQUIREMENTS
VENDOR RESPONSE REQUIRED
REQ ID SERVICE CATEGORY SUB- REQUIREMENT NOTES PRIORITY Out of the Config Code Customization Work Around Do Not Meet
CATEGORY Box Required Required
Interest
AC.001 Accounting Allocation Adjustments Adjust Interest Required (2)
Threshold for interest adjustment is

$25.00 or less no adjustment is
required - immaterial
In cases of $25.00 or less, Broker

Dealer / Financial Institution is
considered source of truth.
Adjustments will not be future
dated - always back dated because
reporting is one month in arrears.
Adjustment Reasons:
Rounding Difference in Rates
Interest Interest Adjustment Business Days vs Calendar Days
AC.002 Accounting Allocation Adjustments Reason Data Entry Error Required (2)
Investment Pool Participants =

Funds
Interest Allocate interest to Allocated at month end based on
AC.003 Accounting Allocation Allocation specified fund types each fund's average daily balance Required (2)

Funds
Interest Allocate interest to Allocated at month end based on
AC.004 Accounting Allocation Allocation specified fund each fund's average daily balance Required (2)
473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 2 of 131

473265619.xlsx

Allocate interest based Funds
Interest on a specified date Allocated at month end based on
AC.005 Accounting Allocation Allocation range each fund's average daily balance Required (2)

Funds
Allocated at month end based on
each fund's average daily balance
Allocate interest based Interest allocation can be specified
Interest on a specified series of by any combination of interest
AC.006 Accounting Allocation Allocation criteria allocation criteria Required (2)
Available includes amount of liquid

money that is not specified for a
Interest Allocate interest based specific receipt (time deposit and
AC.007 Accounting Allocation Allocation on available securities lending income) Required (2)
Calculating amount of income of

pooled funds, minus admin fees on
the income of pooled funds, minus
available (liquid money - time
deposit and securities lending
income), equals Borrow funds
Take highest income funds and

'borrow' the Funds' interest to apply
to current interest allocation.
Interest Allocate interest based 'Borrowed Funds' will be repaid at a

AC.008 Accounting Allocation Allocation on 'borrow' later date (before month end). Required (2)

473265619.xlsx
Automatically notify
Interest Alerts / identified users of
AC.009 Accounting Allocation Notifications 'borrow' Required (2)
Automatically notify
identified users of
Interest Alerts / 'borrow' pay back
AC.010 Accounting Allocation Notifications deadline Required (2)

Schedule interest Funds
Interest allocation for Allocated at month end based on
AC.011 Accounting Allocation Schedule automatic allocation each fund's average daily balance Required (2)

Funds
Allocated at month end based on
each fund's average daily balance
Interest Override scheduled Postpone

AC.012 Accounting Allocation Schedule interest allocation Cancel Required (2)
Track based on
Investment
Interest Investment Type
Interest Allocation Track history interest Interest Allocation Date
AC.013 Accounting Allocation (Income) applied to investments Fund Required (2)
Track based on
Investment
Interest Investment Type
Account Allocation Track history interest Interest Allocation Date
AC.014 Accounting Management (Income) applied to Funds Fund Required (2)
Track based on
Investment
Investment Type
Interest Report interest applied Interest Allocation Date
AC.015 Accounting Allocation Report to investments Fund Required (2)

473265619.xlsx
Track based on
Investment
Investment Type
Interest Report interest applied Interest Allocation Date
AC.016 Accounting Allocation Report to Funds Fund Required (2)
Treasurer's Administration Fee for

investment and safekeeping of state
funds. (State Appropriations Fund
103 is primary driver.) (15 ILCS
505/20)
Fee is applied only to calculated
earned income.
Annual fee review and adjustment

per fiscal year.
Fees are applied on a monthly basis

Interest to the pooled funds with a few
AC.017 Accounting Allocation Calculations Create fee calculations exclusions. Required (2)
Interest Search for fee
AC.018 Accounting Allocation Calculations calculations Required (2)
Interest
AC.019 Accounting Allocation Calculations View fee calculations Required (2)
Interest
AC.020 Accounting Allocation Calculations Edit fee calculations Required (2)
Interest
AC.021 Accounting Allocation Fees Import fees Required (2)
Interest
AC.022 Accounting Allocation Fees Export fees Required (2)
Interest
AC.023 Accounting Allocation Fees Indicate fee status Required (2)
Interest
AC.024 Accounting Allocation Fees Indicate fee status date Required (2)

473265619.xlsx
Interest
AC.025 Accounting Allocation Calculations Calculate fees Required (2)
Interest
AC.026 Accounting Allocation Fees Apply fees Required (2)
Interest Track the history of
AC.027 Accounting Allocation Fees fees Required (2)
Interest By Fund by Month
AC.028 Accounting Allocation Report Report fees Fiscal Year Required (2)

473265619.xlsx
Financial Institution daily statement

indicates receipted deposit
Treasurer Investments identifies IOC
ID based on IOC designated
'available' IDs
Treasurer Investment 'deposits'
monies into appropriate Fund and
Receipt Type (IOC instrument based
on Investment Type).
IOC processes transaction then
Treasurer Warrants receives IOC
electronic file for transaction
Treasurer Warrants posts deposit
receipt
IOC ID associates Investment and
Warrant processing for the deposit
receipt
Treasurer Accounting reconciles
receipts and calculates deposits in
transit based on IOC ID (currently
Investments amounts and Warrant
amount do not match due to
current system limitations.
Apply fee to receipted Assumption is new solution
deposits as deposits amounts will match between
Interest are posted to general Investments and Warrants.)
AC.029 Accounting Allocation Fees ledger. Required (2)

473265619.xlsx
IOC = Illinois Office of the

Comptroller
IOC specifies their ID
Interest IOC limits up to and including 50
AC.030 Accounting Allocation Funding Identify IOC ID deposits to one IOC ID Required (2)
Interest Post fee to current
AC.031 Accounting Allocation Fees month Required (2)
Interest Reflect fee in future Display
AC.032 Accounting Allocation Fees months Add fee debit Required (2)
Interest Identify Sweep Source
AC.033 Accounting Allocation Sweeps Accounts Required (2)
Interest Identify Sweep

AC.034 Accounting Allocation Sweeps Destination Accounts Required (2)
Ability to drill down

from summary account
General Chart of totals to the underlying
AC.035 Accounting Ledger Accounts detailed transactions. Required (2)
Ability to
General Chart of accommodate multiple
AC.036 Accounting Ledger Accounts fiscal year calendars Required (2)
Ability to store
historical, future and
current account
numbers, in the
General Chart of general ledger and
AC.037 Accounting Ledger Accounts chart of accounts. Required (2)
Ability to accept both

General Chart of standard journal
AC.038 Accounting Ledger Accounts entries to account Required (2)

473265619.xlsx
Ability to accept both

General Chart of standard journal
AC.039 Accounting Ledger Accounts entries to amount Required (2)
Ability to accept
General Chart of recurring journal
AC.040 Accounting Ledger Accounts entries to account Required (2)
Ability to accept
General Chart of recurring journal
AC.041 Accounting Ledger Accounts entries as to amount Required (2)
Accommodate
General Chart of narrative description at
AC.042 Accounting Ledger Accounts the line item level Required (2)
Accommodate
General Chart of narrative description at
AC.043 Accounting Ledger Accounts the journal level Required (2)
General Delete the journal

AC.044 Accounting Ledger Adjustments entry before approval Required (2)
General Change/edit the
AC.045 Accounting Ledger Adjustments journal entry Required (2)
Reference the original

General entry that is being
AC.046 Accounting Ledger Adjustments corrected by number Required (2)
Suspend the
General Chart of transaction for later
AC.047 Accounting Ledger Accounts handling Required (2)
Ability to
General Chart of accommodate non-
AC.048 Accounting Ledger Accounts receivable revenues Required (2)

473265619.xlsx
Ability to have a 'Year

End' general ledger for
General Chart of annual financial
AC.049 Accounting Ledger Accounts reporting Required (2)
Enter journal entries

into 'Year End' general
General Chart of ledger used for
AC.050 Accounting Ledger Accounts financial reporting Required (2)
Generate year end

general ledger reports
General Chart of for year end financial
AC.051 Accounting Ledger Accounts reporting Required (2)
General Chart of Ability to automatically

AC.052 Accounting Ledger Accounts reverse journal entries Required (2)
Ability to automatically
edit fields if necessary
General Chart of when reversing a
AC.053 Accounting Ledger Accounts journal entry Required (2)
Ability to process
journal entries
immediately, in
General Chart of real time or in batch
AC.054 Accounting Ledger Accounts Ability to prevent Required (2)
transactions from
General Chart of being processed after
AC.055 Accounting Ledger Accounts close of day Required (2)
Generate Exception
reporting for General
General Chart of Ledger items that were
AC.056 Accounting Ledger Accounts not posted Required (2)
General Chart of General Ledger entries
AC.057 Accounting Ledger Accounts report Required (2)

473265619.xlsx
Search by General
General Chart of Ledger posted
AC.058 Accounting Ledger Accounts transactions Required (2)
e.g.
Account Balances
Balance Sheet
General Chart of Account History
AC.059 Accounting Ledger Accounts Run Standard Reports Outstanding Draft Required (2)
Create Adhoc
General Chart of Reporting based on
AC.060 Accounting Ledger Accounts accounts Required (2)
Create Adhoc
General Chart of Reporting based on
AC.061 Accounting Ledger Accounts date range Required (2)
General Chart of Create reports that will
AC.062 Accounting Ledger Accounts run on demand Required (2)
Export all Reports in
General Chart of .cvs, .txt. Excel, PDF
AC.063 Accounting Ledger Accounts formats Required (2)
Create new
Account Balancing / reconciliation mapping
AC.064 Accounting Management Reconciliation rules Required (2)
View un-reconciled
Account Balancing / and reconciled items
AC.065 Accounting Management Reconciliation concurrently Required (2)
Reconcile check
Account Balancing / transactions based on
AC.066 Accounting Management Reconciliation reference field Required (2)
Money Create Money

BK.001 Banking Movement Liquidity Movement Transaction Required (2)
Money Search for Money


473265619.xlsx
Money View Money

Money Edit Money Movement

BK.004 Banking Movement Liquidity Transaction Required (2)
Submit Money
Money Movement Transaction
BK.005 Banking Movement Liquidity for Review Required (2)
Money Review Money

Money Approve Money

Money Reject Money

Money Post Money

Report Money
Money Movement
BK.010 Banking Movement Liquidity Transactions Required (2)
Archive Money
Money Movement
Adjust Posted Money
Money Movement
Indicate Source Bank
Money to Transfer money
BK.013 Banking Movement Liquidity from. Required (2)

473265619.xlsx
Indicate Source Bank

Money Account to Transfer
BK.014 Banking Movement Liquidity money from. Required (2)
Indicate Destination
Money Bank to Transfer
BK.015 Banking Movement Liquidity money to. Required (2)
Indicate Destination
Money Bank Account to
BK.016 Banking Movement Liquidity Transfer money to. Required (2)
Money Enter Money Amount Credits
BK.017 Banking Movement Liquidity to Transfer Debits Required (2)
Money Indicate Money

BK.018 Banking Movement Liquidity Transfer Effective Date Required (2)
Adjustment
Money Indicate Money Pay Warrant
BK.019 Banking Movement Liquidity Transfer Type Other Required (2)
Indicate Money
Money Transfer Adjustment
BK.020 Banking Movement Liquidity Type Required (2)
Money Indicate Money
BK.021 Banking Movement Liquidity Transfer Reason Required (2)
Money Calculate Cash Position
BK.022 Banking Movement Liquidity Daily Required (2)
Money
BK.023 Banking Movement Liquidity Indicate if ACH Required (2)
Money Indicate if Wire
BK.024 Banking Movement Liquidity Transfer Required (2)
Money Release wire transfers

BK.025 Banking Movement Liquidity to Fed in real time Required (2)
Deposit
BK.026 Banking Processing General Manage deposits Required (2)

473265619.xlsx
Maintain demand
deposit accounts with
Deposit multiple financial
BK.027 Banking Processing General institutions Required (2)
Accept receipts from

multiple financial
institutions into
Deposit demand deposit
BK.028 Banking Processing General accounts Required (2)
Disperse payments to
third parties from
demand deposit
Deposit accounts with multiple
BK.029 Banking Processing General financial institutions (IOC and State Agencies) Required (2)
Data
BK.030 Banking Management Technology Access bank data Required (2)
Data Access bank data on an Important
BK.031 Banking Management Technology automated basis (3)
Process General
Obligation Bond
transactions through General Obligation bonds are a debt
BK.032 Banking Workflow Liquidity lifecycle of the debt instrument Required (2)
Support General
Obligation Bond
transactions through
BK.033 Banking Workflow Liquidity lifecycle of the debt Required (2)
Post General
Obligation Bond
General transactions to General
BK.034 Banking Ledger General Ledger Required (2)

473265619.xlsx
Account Manage Bank
BK.035 Banking Management General Statements Required (2)
Money
BK.036 Banking Movement General Manage Cash Transfers Required (2)
BK.037 Banking Technology Security Manage user access Required (2)
Allow external state

agencies to securely
Agency Web view banking
(Banking) transactions for their
BK.038 Banking Portal Security accounts. Required (2)
Integrate investments
Liquidity Forecasting / information with cash
BK.039 Banking Management Positioning position Required (2)
Integrate investments
Liquidity Forecasting / information with
BK.040 Banking Management Positioning payments Required (2)
Identify originating
Liquidity Forecasting / data source for cash
BK.041 Banking Management Positioning positioning Required (2)
Account Maintain bank
BK.042 Banking Management History transaction history Required (2)
Account Maintain bank balance
BK.043 Banking Management History history Required (2)
Account Search bank's historical

BK.044 Banking Management History transaction data Required (2)
View historical
Account transaction data
BK.045 Banking Management History results Required (2)
Filter historical
Account transaction data
BK.046 Banking Management History results Required (2)

473265619.xlsx
Link a bank account

with corresponding
Account Chart of General Ledger
BK.057 Banking Management Accounts number Required (2)
Include bank accounts

in system for which
Account Chart of balance information is
BK.060 Banking Management Accounts not received regularly Required (2)
Include bank accounts

in system that are not
Account included in primary
BK.061 Banking Management Liquidity cash positioning Required (2)
Report on active
Account accounts using a
BK.062 Banking Management Report specified date range Required (2)
Report on inactive
Account accounts using a
BK.063 Banking Management Report specified date range Required (2)
Corresponden
ce (Letters / Generate letters from
BK.064 Banking Forms) Report templates Required (2)
Corresponden Create letter templates
ce (Letters / for each
BK.065 Banking Forms) Report service/module Required (2)
Corresponden
ce (Letters / Modify letter
BK.066 Banking Forms) Report templates Required (2)
Corresponden Publish letter
ce (Letters / templates for
BK.067 Banking Forms) Report production use Required (2)
Liquidity Forecasting / Create current day
BK.068 Banking Management Positioning cash position report Required (2)

473265619.xlsx
Include imported prior

day bank data in
current day cash
position report to
Liquidity Forecasting / project current day
BK.069 Banking Management Positioning ending balance Required (2)
Include imported prior

day bank data in
current day cash
position report to
Liquidity Forecasting / forecast for current
BK.070 Banking Management Positioning day Required (2)
Include imported
current day bank data
in current day cash
position report to
Liquidity Forecasting / project current day
BK.071 Banking Management Positioning ending balance Required (2)
Include imported
current day bank data
in current day cash
position report to
Liquidity Forecasting / forecast for current
BK.072 Banking Management Positioning day Required (2)
User search data imported

Experience / from financial
BK.073 Banking Usability Search institutions Required (2)
User
Experience / search by bank
BK.074 Banking Usability Search Required (2)
User
Experience /
BK.075 Banking Usability Search search by account Required (2)

473265619.xlsx
User
Experience / search by transaction
BK.076 Banking Usability Search code Required (2)
User
Experience /
BK.077 Banking Usability Search search by agency code Required (2)
Search data imported

from financial
institutions by any
User combination of bank,
Experience / account, transaction
BK.078 Banking Usability Search code or agency code Required (2)
User
Experience /
BK.079 Banking Usability Search track data by category Required (2)
view the actual cash
Liquidity position for any
BK.080 Banking Management History historical day Required (2)
view the forecasted
Liquidity cash position for any
BK.081 Banking Management History historical day Required (2)
Store seven years
Liquidity worth of actual cash
BK.082 Banking Management History position data Required (2)
Store seven years
Liquidity worth of forecasted
BK.083 Banking Management History cash position data Required (2)
Manually add balances

on accounts that are
Account not electronically
BK.084 Banking Management Import reported Required (2)

473265619.xlsx
Liquidity Manually input

BK.085 Banking Management Transactions expected transactions Required (2)
Liquidity Manually input future

BK.086 Banking Management Transactions dated transaction Required (2)
Liquidity Forecasting /
BK.087 Banking Management Positioning Set target balances Required (2)
Recommend transfers
Liquidity based on set target
BK.088 Banking Management Transactions balances Required (2)
Execute transfers
Liquidity based on set target
BK.089 Banking Management Transactions balances Required (2)
Amend transfer
amounts suggested by
Liquidity target balancing
BK.090 Banking Management Transactions function Required (2)
Require final approval

Liquidity of the transfer amount
BK.091 Banking Management Transactions prior to release Required (2)
Approve transfer
Liquidity amount prior to
BK.092 Banking Management Transactions release Required (2)
track previously
forecasted items with
Liquidity Forecasting / matching bank actuals
BK.093 Banking Management Positioning in current day data Required (2)

473265619.xlsx
differentiate previously
replace previously
Import data from other

ISTO internal systems
Liquidity Forecasting / to reflect anticipated
BK.096 Banking Management Positioning cash flows Required (2)
Roll current day

forecasted items to
next business day if
Liquidity Forecasting / the item is not
BK.097 Banking Management Positioning received Required (2)
Update Daily Cash

Position Worksheet
automatically if
Liquidity Forecasting / changes are made in
BK.098 Banking Management Positioning Investments modules Required (2)
Update Daily Cash

Position Worksheet
automatically if
Liquidity Forecasting / changes are made in
BK.099 Banking Management Positioning other modules Desired (4)

473265619.xlsx
Transaction Types:
State Agency Identifier
Wire Transfer
ACH
Cash Deposits
Generate detailed Check Deposits
deposit reports by Credit Card Deposits
BK.103 Banking Reports Search transaction type Others as needed Required (2)
Export generated on
demand files of agency
BK.105 Banking File Transfer Clearing deposit details Required (2)
Calculate agency net
BK.106 Banking Reports Clearing position on demand Required (2)
Export generated on
demand files of agency
BK.108 Banking File Transfer Clearing net position Required (2)
Indicate bank accounts

where reported
balance and system
calculated bank
BK.110 Banking Exceptions Clearing balance do not match Required (2)
Assign cashflow
Account Chart of categories to bank Important
BK.111 Banking Management Accounts statement transactions (3)
Account Import existing cash
BK.112 Banking Management Import mapping rules ISTO Feedback to TS RFP Required (2)

473265619.xlsx
Payment Methods:
ACH CCD
ACH CCD+
ACH Drawdowns
General Accept payment Fedwire
BK.113 Banking Ledger Transactions methods Others Required (2)
User
Experience / Query historical
BK.114 Banking Usability History transactions Required (2)
User
Experience / Save query of historical
BK.115 Banking Usability History transactions Required (2)
User Export historical
Experience / transactions query
BK.116 Banking Usability History results Required (2)
BK.117 Banking Workflow Transactions Create wire template Required (2)

Require dual approval
of wire template
BK.118 Banking Workflow Transactions creation Required (2)
BK.119 Banking Workflow Transactions Modify wire template Required (2)

of wire template
BK.120 Banking Workflow Transactions modification Required (2)
BK.121 Banking Workflow Transactions Create ACH template Required (2)

of ACH template
BK.122 Banking Workflow Transactions creation Required (2)
BK.123 Banking Workflow Transactions Modify ACH template Required (2)

473265619.xlsx

of ACH template
BK.124 Banking Workflow Transactions modification Required (2)
Track all changes made

BK.125 Banking Audit Report to payment templates Required (2)
Highlight revised fields

BK.126 Banking Audit Report in payment templates Required (2)
Account Set release limits by
BK.127 Banking Management Transactions user Required (2)
BK.128 Banking Management Transactions bank account Required (2)
BK.129 Banking Management Transactions transaction type Required (2)
Set release limits by

any combination of
Account user, bank account or
Account Set approval limits by
BK.131 Banking Management Transactions user Required (2)
BK.132 Banking Management Transactions bank account Required (2)
Set approval limits by

any combination of
Account user, bank account or
Money Indicate if 'Repurchase

BK.143 Banking Movement Liquidity Agreement' Trade Required (2)

473265619.xlsx
Set maximum value
Account limits per user per
BK.144 Banking Management Threshold transaction Required (2)
Account Set maximum value
BK.145 Banking Management Threshold limits per bank Required (2)
Set maximum approval
Account levels per user per
BK.146 Banking Management Threshold transaction Required (2)
Set maximum approval
Account levels per user per
BK.147 Banking Management Threshold bank Required (2)
Contact Person
CN.001 Management Management Business Create a person record Required (2)
Contact Person Search for a person

CN.002 Management Management Business record Required (2)
Contact Person
CN.003 Management Management Business View a person record Required (2)
Contact Person
CN.004 Management Management Business Edit a person record Required (2)
Contact Person Associate a person to

CN.005 Management Management Business an Organization Required (2)
Associate a person to
Contact Person an Organization
CN.006 Management Management Business Location Required (2)
Contact Account Associate a person to Bank Account, Investment Account,

CN.007 Management Management Business an Account Fund Account, OTHER??? Required (2)
Contact Person Export person records File must be in acceptable format Important
CN.008 Management Management Technology to a file which may be .csv, .txt, other??? (3)

473265619.xlsx
Contact Vendor Create an organization

Contact Vendor Search for an

CN.010 Management Management Business organization record Required (2)
Contact Vendor View an organization

Contact Vendor Edit an organization

Contact Vendor Associate a contract to Important

CN.013 Management Management Business an Organization (3)
Contact Account Associate an account

CN.014 Management Management Business to an Organization Required (2)
Contact Account Associate an account

CN.015 Management Management Business to a Contract Required (2)
Contact Vendor Export organization File must be in acceptable format

CN.016 Management Management Technology records to a file which may be .csv, .txt, other??? Required (2)
Contact Vendor Track organization's Important

CN.017 Management Management Business diversity (3)
Contact Vendor Track organization's Important

CN.018 Management Management Business Illinois presence (3)
Contact Vendor Track organization Important

CN.019 Management Management Business certification (3)

473265619.xlsx
Contact Person Track person Important

CN.020 Management Management Business certifications (3)
Contact Vendor Track organization Important

CN.021 Management Management Business Disaster Recovery Plan (3)
Track Organization
Contact Vendor Business Continuity Important
CN.022 Management Management Business Plan (3)
Create data analytic
DA.001 Data Analytics Report reports Required (2)
Create reports for
auditing purposes Is reporting 'SOC'?
DA.002 Data Audit Report Required (2)
Export system data
DA.003 Data File Transfer Export in .bai format Required (2)
Export system data
DA.004 Data File Transfer Export in .csv format Required (2)
Export system data
DA.005 Data File Transfer Export in .pdf format Required (2)
Export system data
DA.006 Data File Transfer Export in .txt format Required (2)
Export system data
DA.007 Data File Transfer Export in .xls format Required (2)
Unsure of proper owner

Import data into the Unsure if there is a need for all the
DA.008 Data File Transfer Import system from a .bai file listed file formats to be importable Required (2)

DA.009 Data File Transfer Import system from a .csv file listed file formats to be importable Required (2)

DA.010 Data File Transfer Import system from a .pdf file listed file formats to be importable Required (2)

473265619.xlsx

DA.011 Data File Transfer Import system from a .txt file listed file formats to be importable Required (2)

DA.012 Data File Transfer Import system from a .xls file listed file formats to be importable Required (2)
Run custom reports
DA.013 Data Reports Report Required (2)
Run standard reports
DA.014 Data Reports Report Required (2)
Search on key words
User
Experience /
DA.015 Data Usability Search Required (2)
Search on key words
User
Experience /
Create combination
User searches
Experience /
Save combination
User search criteria for later
Experience / use
Share saved
User combination search
Experience / criteria
Filter search results
User
Experience /
Sort screen columns
User
Experience /

473265619.xlsx
Create user defined
fields that can be
configured to include
drop down menus, text
fields, numeric fields,
date fields, etc.;
User
Experience /
Create searches from
User user defined fields
Experience /
Search for user defined
User fields
Experience /
View user defined
User fields
Experience /
Edit user defined fields
User
Experience /
Edit current data by
importing a file which
replaces the current
data with new data
DA.027 Data File Transfer General Required (2)

Track history of data
changes including, but
not limited to user id,
date and time stamp.
DA.028 Data Audit General Required (2)

473265619.xlsx
Review data changes
prior to 'replacing' the
existing data (For
example: You have
indicated you wish to
replace data, are you
sure you want to
change this data?)
DA.029 Data Audit General Required (2)

Drill down into search Allows for the ability to track a
results to view multi-layered organization and
historical information account structure and designate
accounts such as Clearing, Regular,
Trust, and Disbursement
DA.030 Data Analytics Search Required (2)

Drill down into Allows for the ability to track a
summary search multi-layered organization and
results to view detail account structure and designate
accounts such as Clearing, Regular,
Trust, and Disbursement
DA.031 Data Analytics Search Required (2)

Reflect real-time
updates and
information on
dashboards when
available
DA.032 Data Analytics Dashboards Required (2)
Define dashboard Key
Performance
Indicators (KPIs)
Define dashboard
DA.034 Data Analytics Dashboards financial indicators Required (2)
Display defined Key
Performance
Indicators (KPIs) on TBD during requirements
dashboards elaboration sessions and design
DA.035 Data Analytics Dashboards sessions with Contractor Required (2)

473265619.xlsx
Display financial
indicators on
dashboards
Display 'actual' versus
'target' KPIs on
DA.037 Data Analytics Dashboards dashboards Required (2)
Display 'actual' versus
'target' financial
DA.038 Data Analytics Dashboards indicators Required (2)
Define goals /
objectives for
DA.039 Data Analytics Dashboards dashboard targets Required (2)
Display KPI 'trends' on

Display financial
indicator 'trends' on
Group KPIs together on
Group financial
indicators on
dashboards
Customize dashboards
per user role
DA.045 Data Analytics Dashboards per user Required (2)
on an ad-hoc basis

473265619.xlsx
Include charts, graphs,
and other illustrations
of data on dashboards
Link supporting details
to dashboard items

Drill into supporting
details from dashboard
items

Filter dashboard data
Sort dashboard data
Create strategic
DA.052 Data Analytics Dashboards dashboards Align to strategic goals Required (2)
Edit strategic
Customize strategic
dashboards for
DA.054 Data Analytics Dashboards individual users Align to strategic goals Required (2)
Customize strategic
dashboards for user
DA.055 Data Analytics Dashboards role Align to strategic goals Required (2)
Customize strategic
dashboards for user
DA.056 Data Analytics Dashboards groups Align to strategic goals Required (2)
Share strategic
Create tactical
DA.058 Data Analytics Dashboards dashboards Measure progress Required (2)

473265619.xlsx
Edit tactical
Customize tactical
dashboards for
DA.060 Data Analytics Dashboards individual users Measure progress Required (2)
Customize tactical
dashboards for user
DA.061 Data Analytics Dashboards role Measure progress Required (2)
Customize tactical
dashboards for user
DA.062 Data Analytics Dashboards groups Measure progress Required (2)
Share tactical
Create operational
DA.064 Data Analytics Dashboards dashboards Monitor and analyze activities Required (2)
Edit operational
Customize operational
dashboards for
DA.066 Data Analytics Dashboards individual users Monitor and analyze activities Required (2)
dashboards for user
DA.067 Data Analytics Dashboards role Monitor and analyze activities Required (2)
dashboards for user
DA.068 Data Analytics Dashboards groups Monitor and analyze activities Required (2)
Share operational
Define dashboard
DA.070 Data Analytics Dashboards alerts Required (2)

473265619.xlsx
Display dashboard
DA.071 Data Analytics Dashboards alerts Required (2)
Define frequency of
dashboard data
updates per dashboard
KPI
Define frequency of
dashboard data
updates per dashboard
financial indicator

Define dashboard KPI
DA.074 Data Analytics Dashboards thresholds Required (2)
Define dashboard
financial indicator
thresholds
Define dashboard
dimensions (filters /
slicers / categories,
etc.)
Define dashboard data
DA.077 Data Analytics Dashboards sources Required (2)
Connect disparate data
sources into a single
platform for dashboard
analytics
Display cash
management data in
summary dashboard
Display cash
management data in
detail dashboard

473265619.xlsx
Display cash
management data in
chart format on
dashboards
Display cash position
by bank on dashboards
by transaction
currency on dashboard

by source set on
dashboard
by business unit on
dashboard
by worksheet line item
on dashboard
Display deal
management data in
summary dashboard
Display deal
management data in
detail dashboard
Display deal
management data in
chart format on
dashboards
Display investment mix
per deal on dashboard

473265619.xlsx
Compare amounts of
long and short term
investments
Display debt mix per
DA.092 Data Analytics Dashboards deal on dashboard Required (2)
Compare amounts of
long and short term
debt
Display fixed versus
floating rate
investment on
dashboard
Display fixed versus
floating rate debt on
dashboard
Display payments data
in summary dashboard
in detail dashboard
in chart format on
dashboards
Display payments by
source on dashboards
Display payments by
status on dashboards
Display payments by
DA.101 Data Analytics Dashboards bank on dashboards Required (2)
Display payments by
payment method on
dashboards

473265619.xlsx
Display bank
statement load
dashboard
View overview of
liquidity / current cash
flow situation on
dashboard
View overview of cash
balance on dashboard
View overview of
outstanding debt on
dashboard
View current accounts
payable on dashboard
View current accounts
receivable on
dashboard
View current assets on
DA.109 Data Analytics Dashboards dashboard Required (2)
View current liabilities
on dashboard
View net profit on
View expected profit
DA.112 Data Analytics Dashboards on dashboard Required (2)
View variances on
View Weighted
Average Life (WAL) on
dashboards

473265619.xlsx
View Weighted
Average Maturity
(WAM) on dashboards
View Weighted
Average Yield (WAY)
on dashboards
Governmenta Import Financial
l Fund Warrant Institution Payment User ID, Date and Timestamp of
GA.001 Accounting Management Business File import Required (2)
Includes IOC Fund Number
ISSUE: IOC reuses Fund Numbers

after a Fund Number has been
inactive for 10 years.
Current ISTO work around: TIS
Warrant automatically identifies
Fund Numbers being reused by IOC
and forces the end user to change
the Fund characteristics, including
name, of the reused Fund Number
and effective date of fund - basically
a complete edit of the existing Fund
Records with the exception of the
Fund Number.
Governmenta Current Record Retention Policy

l Fund Account requires ISTO to retain warrant
GA.002 Accounting Management Business Create a Fund Record image records for 10 years. Required (2)
Governmenta
l Fund Account Search for a Fund
GA.003 Accounting Management Business Record Required (2)

473265619.xlsx
Governmenta
l Fund Account
GA.004 Accounting Management Business View a Fund Record Required (2)
Governmenta
l Fund Account
GA.005 Accounting Management Business Edit a Fund Record Required (2)
Governmenta
l Fund Account
GA.006 Accounting Management Business Track History of a Fund Required (2)
Governmenta
l Fund Account
GA.007 Accounting Management Business Report Fund Activity Required (2)
Currently IOC sends a letter / memo

in a hard copy to ISTO Fiscal
Operations / Warrant and Warrant
enters Fund info from hard copy
into TIS Warrant to create fund at
ISTO.
IOC also sends an email with
Governmenta additional information that is
l Fund Import Fund required to establish the fund for Important
GA.008 Accounting File Transfer Import Information warrant processing. RISK ISSUE (3)
Governmenta
l Fund Export Fund Important
GA.009 Accounting File Transfer Export Information (3)
Governmenta
l Fund Account Notes / Add Notes to Fund User ID, Date and Time Stamp of Important
GA.010 Accounting Management Rationale Record note (3)
Governmenta
l Fund Account Track Fund Record Important
GA.011 Accounting Management History Note History (3)

473265619.xlsx
Can this be electronically

determined based on a Fund
Account characteristic like 'Fund
Account Type'? NO - ISTO goes to
Illinois General Assembly website to
determine this ILGA.gov
PROCESS REINGINEERING
OPPORTUNITY
General Assembly documents
statute and provides info to IOC
who then distills into their systems
and processes. IOC then sends their
distilled info to ISTO which comes in
disparate, incomplete documents.
ISTO needs all IOC docs to create
Governmenta Indicate if a Fund the Fund record. CAN AND HAS
l Fund Account Record is Interest STALLED ISTO DAILY PROCESSING Important
GA.012 Accounting Management Business Bearing RISK ISSUE (3)

473265619.xlsx

OPPORTUNITY
Governmenta the Fund record. CAN AND HAS
l Fund Account Identify Fund Record STALLED ISTO DAILY PROCESSING
GA.013 Accounting Management Business Statutory Reference RISK ISSUE Required (2)

473265619.xlsx

OPPORTUNITY
Governmenta the Fund record. CAN AND HAS
l Fund Account Describe Fund Record STALLED ISTO DAILY PROCESSING
GA.014 Accounting Management Business Statutory Reference RISK ISSUE Required (2)
Governmenta Link Fund to IL
l Fund Account Statutory Reference on Important
GA.015 Accounting Management Business Web (3)
Separate & Apart

Governmenta Master Pool
l Fund Account Indicate Fund Option to add additional types in
GA.016 Accounting Management Business Investment Type the future Required (2)
Governmenta
l Fund Account Review Fund Setup for
GA.017 Accounting Management Workflow Initial Approval Required (2)

473265619.xlsx
Must provide rejection reason:

Data Entry Error
Obsolete
Duplicate
Other Reasons
Governmenta
l Fund Account Reject Initial Funds User ID, Date and Timestamp of
GA.018 Accounting Management Workflow Setup rejection Required (2)
Governmenta
l Fund Account Notes / Add Notes to Rejected User ID, Date and Timestamp of Important
GA.019 Accounting Management Rationale Fund Setup note (3)
Governmenta
l Fund Account Approve Initial Funds User ID, Date and Timestamp of
GA.020 Accounting Management Workflow Setup approval Required (2)
Governmenta
l Fund Account Notes / Add Notes to User ID, Date and Timestamp of Important
GA.021 Accounting Management Rationale Approved Fund Setup note (3)
Governmenta
l Fund Account Review Fund Setup for
GA.022 Accounting Management Workflow Final Approval Required (2)
Governmenta Add Notes to Review
l Fund Account Notes / of Fund Setup for Final User ID, Date and Timestamp of Important
GA.023 Accounting Management Rationale Approval note (3)
Must provide rejection reason:

Data Entry Error
Obsolete
Duplicate
Other
Governmenta
l Fund Account User ID, Date and Timestamp of
GA.024 Accounting Management Workflow Reject Funds Setup rejection Required (2)

473265619.xlsx
Governmenta
l Fund Account User ID, Date and Timestamp of
GA.025 Accounting Management Workflow Approve Funds Setup approval Required (2)
Right now this is a 'posted' letter

with a required hard copy signature
- Can this change to an electronic
approval process where IOC, as an
authorized user, can log into the
TMS system and 'approve' the Fund
Governmenta Setup with the 'approvers' user id,
l Fund Account Indicate IOC Approval date and time stamp of approval - Important
GA.026 Accounting Management Workflow for Fund Setup WORKFLOW Opportunity. (3)
Must have hard copy signature in

order to submit the fund record
setup approval
Users needs ability to begin creating

the Fund Record from an email
notification from IOC but cannot
submit for ISTO Fund Record
Creation until this flag is indicated.
Governmenta Indicate IOC Hard Copy
l Fund Account Signed Approval to Capture User Id, Date and Time
GA.027 Accounting Management Workflow Create Fund Stamp of indicator change Required (2)
Track History of IOC

Governmenta Hard Copy Signed
l Fund Account Approval to Create User ID, Date and Time Stamp of
GA.028 Accounting Management History Fund indicator change Required (2)
Governmenta
l Fund Document Attach Document to Attach IOC Email AND IOC signed
GA.029 Accounting Management General Fund Record letter Required (2)

473265619.xlsx
What are options - options better

than freeform entry
New
Submitted for Review
Submitted for Approval
Approved
Rejected
Governmenta Active
l Fund Account Status / Status Indicate Status of a Inactive
GA.030 Accounting Management Dates Fund Obsolete Required (2)
Governmenta
l Fund Account Status / Status Indicate Fund Status
GA.031 Accounting Management Dates Date Required (2)
Only required if Obsolete or Inactive
Duplicate
Legislative Change
Governmenta Sunset
l Fund Account Notes / Indicate Fund Status No Activity on Fund for 18 Months
GA.032 Accounting Management Rationale Reason Required (2)
Governmenta
l Fund Account
GA.033 Accounting Management History Track History of a Fund Required (2)

473265619.xlsx
Report includes:
Fund ID
Fund Name (Long)
Fund Name (Short)
Interest Allocation Type
Investment Type
Fund Statute Reference
Fund Status
Fund Status Date
Fund Owner
Fund Owner email
Fund Owner primary phone number
Last Posting Date to the Fund
Last Posting Dollar Amount (total)
on Last Posting Date
Current Fund Balance
Report criteria includes one or more
of the following:
Fund ID
Fund Short Name
Interest Allocation Type
Investment Type
Fund Statute Reference
Fund Status
Governmenta Fund Status Date
l Fund Account Generate a Report of Fund Owner
GA.034 Accounting Management Report Fund Accounts Last Posting Date to Fund Required (2)
Governmenta
l Fund Import IOC electronic User ID, Date and Timestamp of
GA.035 Accounting File Transfer Import .txt file for balancing import Required (2)

473265619.xlsx
Warrant Image File has been

presented to the FED for payment,
Governmenta Import Federal Reserve so FED sends Warrant Image (Check
l Fund Bank electronic 21 Image File) to ISTO for payment -
GA.036 Accounting File Transfer Import Warrant Image File also get a txt file and get a report. Required (2)
Governmenta Import Federal Reserve

l Fund Bank Warrant
GA.037 Accounting File Transfer Import electronic txt file Required (2)
Date of Import
Time of Import
Batch Number
System ID
Beginning Warrant
Ending Warrant
Create an Import Batch Count
Summary Report IOC Count
Calculating the totals Import Count
Governmenta included on IOC Batch Amount
l Fund Reconciliation electronic .txt batch IOC Amount
GA.038 Accounting / Balancing Business files Import Amount Required (2)
Batch Number
Batch Count
IOC Count
Governmenta Include on Import Import Count
l Fund Reconciliation Summary Report Batch Amount
GA.039 Accounting / Balancing Business individual batch totals Import Amount Required (2)
Batch Number
Batch Count
Include on Import IOC Count
Governmenta Summary Report any Import Count
l Fund Reconciliation exceptions during the Batch Amount
GA.040 Accounting / Balancing Business import Import Amount Required (2)

473265619.xlsx
Include on Import
Summary Report
indicating any
Governmenta exceptions from the
l Fund Reconciliation IOC .txt file header
GA.041 Accounting / Balancing Business record Required (2)
User ID, Date and Timestamp of

rejection
Rejection reason = Header Record
Reject IOC file if does not match file totals calculated
Governmenta calculated totals do by ISTO (provide both header
l Fund Reconciliation not match header record total and ISTO calculated
GA.042 Accounting / Balancing Business record total in rejection reason) Required (2)
Approve IOC file for

ISTO processing if
Governmenta calculated totals do
l Fund Reconciliation match IOC header User ID, Date and Timestamp of
GA.043 Accounting / Balancing Business record approval Required (2)
Include on Import
Summary Report the
Governmenta calculated totals that
l Fund Reconciliation are different than the
GA.044 Accounting / Balancing Business IOC .txt file. Required (2)

rejection
Rejection reason = File totals do not
Governmenta Reject IOC file if match file totals calculated by ISTO
l Fund Reconciliation calculated totals do (provide both file totals and ISTO
GA.045 Accounting / Balancing Business not match IOC file calculated totals in rejection reason) Required (2)
Governmenta Review / Approve /
l Fund Reconciliation Reject IOC file for ISTO User ID, Date and Timestamp of
GA.046 Accounting / Balancing Business processing approval Required (2)

473265619.xlsx
Governmenta
l Fund Reconciliation Track history of IOC file Important
GA.047 Accounting / Balancing Business import (3)
Image file may reside outside ISTO

system but is accessible from a link
on the IOC file record in ISTO
system.
Image file is NOT by individual IOC

Governmenta Link IOC Warrant record contained in the file but is a
l Fund Reconciliation image file to file import 'summary' file with ALL images for
GA.048 Accounting / Balancing Business record the IOC import file. Required (2)
Governmenta Link IOC file records to

l Fund Reconciliation IOC File Import Record
GA.049 Accounting / Balancing Business (ID) in ISTO system Required (2)
Governmenta Validate IOC File
l Fund Reconciliation records based on ISTO
GA.050 Accounting / Balancing Business business rules Required (2)
Display IOC File records

Governmenta with errors /
l Fund Reconciliation exceptions based on
GA.051 Accounting / Balancing Business ISTO business rules Required (2)
Edit IOC file records

Governmenta with error / exceptions
l Fund Reconciliation based on ISTO business
GA.052 Accounting / Balancing Business rules. User ID, Date and Timestamp of edit Required (2)
Governmenta
l Fund Reconciliation Important
GA.053 Accounting / Balancing Business Indicate edit reason (3)
Governmenta Approve IOC file

l Fund Reconciliation records for 'Ready for User ID, Date and Timestamp of
GA.054 Accounting / Balancing Business Posting' to ISTO system approval Required (2)

473265619.xlsx
Governmenta
l Fund Reconciliation Reject IOC file records User ID, Date and Timestamp of
GA.055 Accounting / Balancing Business requiring IOC response rejection Required (2)
Governmenta
l Fund Reconciliation Indicate IOC file record Important
GA.056 Accounting / Balancing Business rejection reason (3)
Governmenta Review 'Ready for
l Fund Reconciliation Posting' IOC file
GA.057 Accounting / Balancing Business records. Required (2)
Approve 'Ready for User ID, Date and Timestamp of

Governmenta Posting' IOC file approval
l Fund Reconciliation records to 'Approved Status of record goes to 'Approved
GA.058 Accounting / Balancing Business for Posting' for Posting' Required (2)
Governmenta
l Fund Reconciliation Edit 'Ready for Posting' User ID, Date and Timestamp of edit
GA.059 Accounting / Balancing Business IOC file records Status of records goes to 'Pending' Required (2)
Reject 'Ready for User ID, Date and Timestamp of edit

Governmenta Posting' IOC file Status of records goes to 'Rejected'
l Fund Reconciliation records to IOC Follow same rejection path as initial
GA.060 Accounting / Balancing Business response required rejection to IOC or ISTO Required (2)
Reject 'Ready for User ID, Date and Timestamp of edit

Governmenta Posting' IOC file Status of records goes to 'Rejected'
l Fund Reconciliation records to ISTO Follow same rejection path as initial
GA.061 Accounting / Balancing Business response required rejection to IOC or ISTO Required (2)
User ID, Date and Timestamp of edit

Governmenta Post 'Approved for Status of records goes to 'Rejected'
l Fund Reconciliation Posting' IOC file Follow same rejection path as initial
GA.062 Accounting / Balancing Business records to ISTO system rejection to IOC or ISTO Required (2)

473265619.xlsx
Include per record:

Import file ID
Import date
Import file approver User ID
Record Status
Record Status Date
Record Rejection Reason
Report criteria based on one or

more of the following:
Import File ID
Import Date
Import File Approver User ID
Governmenta Record Status
l Fund Reconciliation Record Status Date
GA.063 Accounting / Balancing Business Report IOC file records Record Rejection Reason Required (2)
Include per record:

Import file ID
Import date
Import file approver User ID
Record Status
Record Status Date
Record Rejection Reason
Report criteria based on one or

more of the following:
Import File ID
Import Date
Import File Status
Import File Approver User ID
Record Status
Record Status Date
Governmenta Report 'Rejected' IOC Record Rejection Reason
l Fund Reconciliation file records requiring
GA.064 Accounting / Balancing Business IOC response Required (2)

473265619.xlsx
Can this change to an electronic

approval process where IOC, as an
authorized user, can log into the
TMS system and 'approve' the file
for import to IOC with the
Governmenta 'approvers' user id, date and time
l Fund Reconciliation Approve IOC file for stamp of approval - WORKFLOW
GA.065 Accounting / Balancing Business import to ISTO Opportunity. Required (2)
GA.066 Accounting Management Business File import Required (2)

l Fund Warrant Institution Payment
GA.067 Accounting Management Business Instruments Image File Required (2)
Governmenta Display calculated total

l Fund Warrant vs Financial Institution
GA.068 Accounting Management Business Payment File totals Required (2)

rejection
Reject Financial Rejection reason = Header Record
Institution file if does not match file totals calculated
Governmenta calculated totals do by ISTO (provide both header
l Fund Warrant not match header record total and ISTO calculated
GA.069 Accounting Management Business record total in rejection reason) Required (2)
Create an Import
Summary Report
displaying calculated
Governmenta total vs Financial
GA.070 Accounting Management Business File totals Required (2)

473265619.xlsx
Indicate any calculated

totals that are different
Governmenta from the Financial
l Fund Warrant Institution Payment file
GA.071 Accounting Management Business footer record Required (2)

rejection
Reject Financial Rejection reason = Footer Record
Institution Payment file does not match file totals calculated
Governmenta if calculated totals do by ISTO (provide both footer record
l Fund Warrant not match footer total and ISTO calculated total in
GA.072 Accounting Management Business record rejection reason) Required (2)
Approve Financial
Institution Payment file
for ISTO processing if
calculated totals do
Governmenta match Financial
GA.073 Accounting Management Business File footer record approval Required (2)
Indicate any calculated

totals that are different
Governmenta than the Financial
GA.074 Accounting Management Business file. Required (2)
Reject Financial User ID, Date and Timestamp of

Institution Payment file rejection
if calculated totals do Rejection reason = File totals do not
Governmenta not match the match file totals calculated by ISTO
l Fund Warrant Financial Institution (provide both file totals and ISTO
GA.075 Accounting Management Business Payment file calculated totals in rejection reason) Required (2)

473265619.xlsx
Review / Approve /
Reject Financial
for ISTO processing if
Governmenta calculated totals do
l Fund Warrant match Financial User ID, Date and Timestamp of
GA.076 Accounting Management Business Institution Payment file approval Required (2)
Assign automatic
unique ID of Financial
Institution Payment
import file based on
date imported and
Governmenta Financial Institution
l Fund Warrant Payment File header Unique ID record criteria may
GA.077 Accounting Management Business record require further definition Required (2)
Include per inserted record:

Import file ID
Insert APPROVED IOC Import date
file records as Import file approver User ID
Governmenta 'Pending' into ISTO Record Status
l Fund Warrant system for transaction Record Status Date Important
GA.078 Accounting Management Business validation (3)
Link Financial
records to Financial
Governmenta Institution Payment
l Fund Warrant File Import Record (ID) Important
GA.079 Accounting Management Business in ISTO system (3)

473265619.xlsx
Validate Financial
l Fund Warrant File records based on Important
GA.080 Accounting Management Business ISTO business rules (3)
Display Financial
Institution Payment
Governmenta File records with errors
l Fund Warrant / exceptions based on
GA.081 Accounting Management Business ISTO business rules Required (2)
Review / Approve /
Reject Financial
Governmenta Institution Payment file
l Fund Warrant records for ISTO User ID, Date and Timestamp of
GA.082 Accounting Management Business processing approval Required (2)
Indicate Financial
l Fund Warrant file record rejection
GA.083 Accounting Management Business reason Required (2)
Governmenta
l Fund Warrant Create Receipt Code
GA.084 Accounting Management Business for Fiscal Year Required (2)
Governmenta
l Fund Warrant
GA.085 Accounting Management Business Search Receipt Code Required (2)
Governmenta
l Fund Warrant
GA.086 Accounting Management Business View Receipt Code Required (2)
Governmenta
l Fund Warrant
GA.087 Accounting Management Business Edit Receipt Code Required (2)
Governmenta
l Fund Warrant Track History of
GA.088 Accounting Management Business Receipt Code Required (2)

473265619.xlsx
Governmenta
l Fund Warrant View History of Receipt Important
GA.089 Accounting Management Business Code (3)
Governmenta
l Fund Warrant Report History of Important
GA.090 Accounting Management Business Receipt Code (3)
Governmenta
l Fund Warrant Archive History of Important
GA.091 Accounting Management Business Receipt Code (3)
Manage Check Images

Governmenta as supporting
l Fund Warrant document to bank
GA.092 Accounting Management General statements Required (2)
Governmenta Track history of
l Fund Warrant Financial Institution file
GA.093 Accounting Management Business import Required (2)
Governmenta
l Fund Money Create Money
GA.094 Accounting Movement Liquidity Movement Transaction Required (2)
Governmenta
l Fund Money Search for Money
Governmenta
l Fund Money Edit Money Movement
GA.096 Accounting Movement Liquidity Transaction Required (2)
Governmenta Submit Money

l Fund Money Movement Transaction
GA.097 Accounting Movement Liquidity for Review Required (2)
Governmenta
l Fund Money Review Money

473265619.xlsx
Governmenta
l Fund Money Approve Money
Governmenta
l Fund Money Reject Money
Governmenta
l Fund Money Post Money
Governmenta Report Money
l Fund Money Movement
GA.102 Accounting Movement Liquidity Transactions Required (2)
Governmenta Archive Money
l Fund Money Movement
GA.103 Accounting Movement Liquidity Transactions Required (2)
Governmenta Indicate Destination
l Fund Money Bank to Transfer
GA.104 Accounting Movement Liquidity money to. Required (2)
Governmenta Indicate Destination
l Fund Money Bank Account to
GA.105 Accounting Movement Liquidity Transfer money to. Required (2)
Governmenta
l Fund Money Enter Money Amount Credits (Positive Numbers)
GA.106 Accounting Movement Liquidity to Transfer. Debits (Negative Numbers) Required (2)
Governmenta
l Fund Money Indicate Money
GA.107 Accounting Movement Liquidity Transfer Effective Date Required (2)
Governmenta
l Fund Money Indicate Money Adjustment
GA.108 Accounting Movement Liquidity Transfer Type Pay Warrant Required (2)
Governmenta Indicate Money
l Fund Money Transfer Adjustment
GA.109 Accounting Movement Liquidity Type Required (2)

473265619.xlsx
Governmenta
l Fund Money Indicate Money
GA.110 Accounting Movement Liquidity Transfer Reason Default to 'Pay Warrant' Required (2)
Governmenta
l Fund Money Calculate Cash Position
GA.111 Accounting Movement Liquidity Daily Required (2)
Governmenta
l Fund Money Indicate if 'Repurchase
GA.112 Accounting Movement Liquidity Agreement' Trade Required (2)
Governmenta
l Fund Money
GA.113 Accounting Movement Liquidity Indicate if ACH Required (2)
Governmenta
l Fund Money Indicate if Wire
GA.114 Accounting Movement Liquidity Transfer Required (2)
Account Indicate Investments Foreign
IN.001 Investments Management Business Allowed Domestic Required (2)
Liquidity Forecasting / Forecast cash at least 3 Important
IN.002 Investments Management Positioning days out. (3)
Interest Create interest
IN.003 Investments Allocation Calculations calculation formula Required (2)
Interest Search for interest
Interest View interest
Interest Edit interest
Indicate interest
Interest calculation formula
IN.007 Investments Allocation Calculations status Required (2)
Indicate interest
Interest calculation formula
IN.008 Investments Allocation Calculations status date Required (2)

473265619.xlsx
Assign interest
Interest calculation formula to
IN.009 Investments Allocation Calculations an investment type Required (2)
Assign interest
Interest calculation formula to
IN.010 Investments Allocation Calculations an investment pool Required (2)
Interest
IN.011 Investments Allocation Rates Add interest rates Required (2)
Search for interest rates based on:

Interest rate create date
Interest rate active date
Interest allocation date
Interest Search for interest Investment type
IN.012 Investments Allocation Rates rates Investment Required (2)
Interest
IN.013 Investments Allocation Rates View interest rates Required (2)
Interest
IN.014 Investments Allocation Rates Edit interest rates Required (2)
Interest
IN.015 Investments Allocation Rates Import interest rates Required (2)
Interest
IN.016 Investments Allocation Rates Export interest rates Required (2)
Interest Indicate interest rate
IN.017 Investments Allocation Rates status Required (2)
Interest Indicate interest rate
IN.018 Investments Allocation Rates status date Required (2)
Apply interest rates to
Interest specified interest
Interest
IN.020 Investments Allocation Calculations Calculate interest Required (2)

473265619.xlsx
Indicate interest
receipt based on
Broker Dealer business
Interest cycle calendar days in a
IN.021 Investments Allocation Rates month Required (2)
Indicate interest
receipt based on
Broker Dealer
business cycle
Interest business days in a
Indicate interest
receipt based on
Financial Institution
Interest business cycle calendar
IN.023 Investments Allocation Rates days in a month Required (2)
Indicate interest
receipt based on
Financial Institution
business cycle
Interest business days in a
Automatically alert
identified users of
Interest upcoming 'borrow' pay
IN.025 Investments Allocation Report back deadline Required (2)
Interest Create target balances
IN.026 Investments Allocation Clearing for sweeps Required (2)
Interest Create minimum
IN.027 Investments Allocation Clearing transfers for sweeps Required (2)
Interest Schedule Sweeps for
IN.028 Investments Allocation Clearing automatic sweep Required (2)

473265619.xlsx
Interest Override scheduled Postpone
IN.029 Investments Allocation Clearing sweeps Cancel Required (2)
Interest Automatically run
IN.030 Investments Allocation Clearing sweeps Required (2)
Interest
IN.031 Investments Allocation Clearing Track sweeps Required (2)
Interest
IN.032 Investments Allocation Clearing Report sweeps Required (2)
Interest
IN.033 Investments Allocation Clearing Postpone sweeps Required (2)
Track investments
Portfolio throughout investment
IN.034 Investments Management General lifecycle Required (2)
Customize accrual
IN.035 Investments Analytics General calculations Required (2)
Customize interest
Customize
amortization
Portfolio Track securities lending
IN.038 Investments Management General program Required (2)
Portfolio Manage securities
IN.039 Investments Management General lending program Required (2)
Account Support future Equities
IN.040 Investments Management Transactions investment categories Others as needed Required (2)
Account Support government
IN.041 Investments Management Transactions money market funds Required (2)
Account Support US Treasury
IN.042 Investments Management Transactions investments Required (2)
Account Support agency
Account Support prime money
IN.044 Investments Management Transactions market funds Required (2)

473265619.xlsx
Establish rules to
manage investment
Account restrictions/requireme
IN.045 Investments Management Transactions nts Required (2)
Liquidity Support commercial
IN.046 Investments Management Transactions paper investments Required (2)
Support repurchase
Account agreement
Account
IN.048 Investments Management General filter broker list Required (2)
Account
IN.049 Investments Management General Search broker list Required (2)
Account
IN.050 Investments Management General Sort broker list Required (2)
Generate report of
brokers to include
Account levels of activity by
IN.051 Investments Management Report frequency Required (2)
Generate report of
brokers to include
Account levels of activity by
IN.052 Investments Management Report dollar value Required (2)
Account
IN.053 Investments Management Import Import broker list Required (2)
Account
IN.054 Investments Management General Maintain broker list Required (2)
Account create new broker
IN.055 Investments Management General records. Required (2)
Account edit existing broker
Account deactivate broker
Account Sort list of broker
IN.058 Investments Management General records Required (2)

473265619.xlsx
Account Search list of broker
IN.059 Investments Management General records Required (2)
Create report of broker
Account level activity by
IN.060 Investments Management Report frequency Required (2)
Create report of broker
Account level activity by dollar
IN.061 Investments Management Report value Required (2)
Account limit brokers to specific

IN.062 Investments Management Threshold investment types Required (2)
Restrict the limiting of

brokers to specific
Account investment types to
IN.063 Investments Management Threshold authorized users Required (2)
Generate an electronic
form/trade
IN.064 Investments Workflow Report confirmation Required (2)
Include e-signature in
electronic form/trade
IN.065 Investments Workflow Technology confirmation Required (2)
Export electronic
form/trade
confirmation for trade
IN.066 Investments Workflow Export verification Required (2)
Store standard
settlement instructions
Account for each trade
IN.067 Investments Management General type/broker Required (2)

473265619.xlsx
Interest Calculate interest

IN.068 Investments Allocation Calculations based on trade terms Required (2)
Specify number of
decimal places to
support automated
matching of forecast
Interest cash flows to actual
IN.069 Investments Allocation General interest received Required (2)
Support all interest
Account rate calculation
IN.070 Investments Management General conventions Required (2)
Establish rules to
manage trade
authorization and
IN.071 Investments Audit Transactions confirmation Required (2)
Include user(s) who
initiated the trade in
IN.072 Investments Audit Transactions an audit record Required (2)
Include user(s) who
approved the trade in
Include the date the
trade was initiated in
Include the date the
trade was approved in
Create investment
General related general ledger
IN.076 Investments Ledger General entries Required (2)

473265619.xlsx
Accommodate general
ledger entries for
General investments sold prior
IN.077 Investments Ledger General to maturity date Required (2)
Account Indicate a preferred
IN.078 Investments Management General financial institution Required (2)
Reconcile banks record

of securities
committed in securities
Reconciliation lending program with
IN.082 Investments / Balancing General the TMS record Required (2)
Reconciliation Import bank's record

IN.083 Investments / Balancing Import from multiple formats Required (2)
Generate an exception
Reconciliation report for differences
IN.084 Investments / Balancing Report in file Required (2)
Export exception
Reconciliation report to pdf file
IN.085 Investments / Balancing Export format Required (2)
Export exception
Reconciliation report to excel file
IN.086 Investments / Balancing Export format Required (2)
Generate a holdings
report showing
Reconciliation securities lent by
IN.087 Investments / Balancing Report financial institution Required (2)
Reconciliation Export holdings report

IN.088 Investments / Balancing Export to pdf file format Required (2)

473265619.xlsx
Reconciliation Export holdings report

IN.089 Investments / Balancing Export to excel file format Required (2)
limit individual
Account brokers to specific
IN.090 Investments Management Threshold investment types. Duplicate Required (2)
Portfolio Track money market
IN.091 Investments Management General fund investments Required (2)
Portfolio Settle money market
IN.092 Investments Management General fund investments Required (2)
Account for money
Portfolio market fund
IN.093 Investments Management General investments Required (2)
Support variable Net
Portfolio Asset Value (NAV)
IN.094 Investments Management General funds Required (2)
Import money market

fund daily dividend
Transaction information (e.g. yield
IN.095 Investments Management Import factors) Required (2)
import money market
Transaction fund issuer credit
IN.096 Investments Management Import ratings Required (2)
Track investment
Transaction restrictions for money
IN.097 Investments Management General markets Required (2)
Support government
bond investments
(e.g., US
Portfolio Treasuries/Agencies,
IN.098 Investments Management General etc.) Required (2)

473265619.xlsx
Generate wire
transfers for
investment settlement
Transaction after trade
IN.099 Investments Management General confirmation Required (2)
Interface with
Transaction investment online
IN.100 Investments Management technology trading portals (e.g. Trade Web, Bloomberg) Required (2)
Transaction Assign portfolio code

IN.101 Investments Management General to an individual trade Required (2)
Transaction Assign portfolio code

IN.102 Investments Management General to multiple trades Required (2)
Transaction Support rollover of
IN.103 Investments Management General time deposit trades Required (2)
Support early
Transaction withdrawal of a time
IN.104 Investments Management General deposit trade Required (2)
Support rollover of
Transaction time deposit trades for
IN.105 Investments Management General entry of new rate Required (2)
Support rollover of
Transaction time deposit trades for
IN.106 Investments Management General maturity date Required (2)
Import financial (e.g.IDC, Call Report, and CRA)
information for time Transaction Management for
IN.107 Investments File Transfer Import deposit trades category Required (2)
Transaction Manage time deposit
IN.108 Investments Management General restrictions Required (2)
Generate reports on
Transaction time deposit
IN.109 Investments Management General restrictions Required (2)
Transaction track dealer rate quote
IN.110 Investments Management General history Required (2)

473265619.xlsx
Transaction retain dealer rate
IN.111 Investments Management General quote history Required (2)
Transaction report on dealer rate
IN.112 Investments Management Report quote history Required (2)
Populate cash position

Transaction worksheet with cash
IN.113 Investments Management General settlements Required (2)
Transaction Populate cash forecast

IN.114 Investments Management General with cash settlements Required (2)
Calculate interest
accruals at month-end (e.g. US Agency, Treasury,
Interest on non-money market Municipal, Corporate Securities,
IN.115 Investments Allocation Calculations fund investments etc.) Required (2)
set limits on maximum

amount in a fund (e.g.
limit on investments as
% of total money
IN.116 Investments Business Rules Threshold market fund assets) Required (2)
Accurately Import
current interest
Interest accruals from existing
IN.117 Investments Allocation Import Treasurer's system Critical (1)
Accurately Import
current market
valuations from
Interest existing Treasurer's
IN.118 Investments Allocation Import system Critical (1)
define benchmarks for
Transaction portfolio evaluation
IN.119 Investments Management Threshold purposes Required (2)

473265619.xlsx
track benchmarks
Transaction against portfolio for
IN.120 Investments Management Threshold evaluation purposes Required (2)
report benchmarks for
Transaction portfolio evaluation
IN.121 Investments Management Threshold purposes Required (2)
Interest Calculate total yield on

IN.122 Investments Allocation Calculations investment portfolio Required (2)
allocate total
investment pool
interest to pool
participants ("funds")
at month end based on
Interest each fund's average
IN.123 Investments Allocation General daily balance (approx. 190 funds). Required (2)
Interest import fund balances
IN.124 Investments Allocation Import from a file Required (2)
Interest import total debits
Interest import total credits
Interest Generate a report of
IN.127 Investments Allocation Report interest payable Required (2)
Export a report of
Interest interest payable by
IN.128 Investments Allocation Export fund to Excel Required (2)
Calculate money
available to trade
Transaction based on target bank
IN.129 Investments Management Calculations balances Required (2)

473265619.xlsx
Calculate money
available to trade
Transaction based on other
IN.130 Investments Management Calculations forecast entries. Required (2)
include a what-if
Portfolio scenario for impact of
IN.131 Investments Management technology trade to portfolio Required (2)
Match investment
transactions to bank
reported transaction Important
IN.132 Investments File Transfer Transactions by date (3)
Match investment
IN.133 Investments File Transfer Transactions by account (3)
Match investment
IN.134 Investments File Transfer Transactions by vendor (3)
Match investment
IN.135 Investments File Transfer Transactions by amount (3)
Match investment
reported transaction
by any combination of:
Date, amount, account Important
IN.136 Investments File Transfer Transactions or vendor (3)
Risk Automate workflow

RS.001 Management Human Error Workflow tasks Required (2)

473265619.xlsx
Separate duties into at

least two levels of Example: Person that submits
Risk permission for specific cannot approve; person who
RS.002 Management Human Error Workflow tasks or processes approves cannot edit, etc. Required (2)
Perform auto-compare
of files to find
Risk anomalous data or
RS.003 Management Fraud Import unusual patterns Required (2)
Analyze data across
Risk different areas and/or
RS.004 Management Fraud Business systems Required (2)
Automatically identify
Risk potentially fraudulent
RS.005 Management Fraud Fraud activity Required (2)
Receive notification of
Risk identified potentially
RS.006 Management Fraud Fraud fraudulent activity Required (2)
Automatically stop a
transaction from
completing when
potentially fraudulent
Risk activity has been
RS.007 Management Fraud Transactions identified Required (2)
Manually stop a
transaction from
completing when
potential fraudulent
Risk activity has been
RS.008 Management Fraud Transactions identified Required (2)

473265619.xlsx
Investigate identified
Escalate identified
Override identified
RS.011 Management Fraud Fraud activity as not fraud Required (2)
Limit the override
Risk ability to specified
RS.012 Management Fraud Fraud users Required (2)
Provide reason for

override of identified
Monitor for
connectivity failures
Risk between ISTO and Example: the count of files expected
RS.014 Management Fraud Connectivity external partners vs. count of files received Required (2)
Risk Receive notification of

RS.015 Management Fraud Connectivity connectivity failures Required (2)
Identify payment files

where the final
Risk acknowledgement was
RS.016 Management Fraud Transactions not received Required (2)
Require multi-factor
Risk authentication for
RS.017 Management Fraud Human Error approval of payments Required (2)

473265619.xlsx
Risk Data
RS.018 Management Management Encryption Encrypt data in transit Required (2)
Risk Data
RS.019 Management Management Encryption Encrypt data at rest Required (2)
Risk Maintain standardized

RS.020 Management Human Error Workflow processes Required (2)
Configure
Risk controls/limits by
RS.021 Management Fraud Threshold financial institution Required (2)
Edit controls/limits set
Risk for financial
RS.022 Management Fraud Threshold institutions. Required (2)
Deactivate
Risk controls/limits set for
RS.023 Management Fraud Threshold financial institutions Required (2)
Warn users when

financial institutions
Risk are approaching set
RS.024 Management Fraud Threshold controls/limits Required (2)
Warn users when

controls/limits set for
Risk financial institutions
RS.025 Management Fraud Threshold are reached Required (2)
Stop transactions
when the
RS.026 Management Fraud Threshold are reached Required (2)

473265619.xlsx
Override when the

RS.027 Management Fraud Human Error have been reached Required (2)
Provide reason for
Risk override of
RS.028 Management Fraud Human Error controls/limits Required (2)
Keep an audit log of all

user interaction with
Risk the system including
RS.029 Management Fraud Human Error date/time stamp Required (2)
Restrict transactions
Risk from occurring on
RS.030 Management Fraud Human Error weekends Required (2)
Risk from occurring on
RS.031 Management Fraud Human Error holidays Required (2)
Risk from occurring after
RS.032 Management Fraud Human Error business hours Required (2)
Risk Override transaction

RS.033 Management Fraud Human Error restrictions Required (2)
Provide reason for

Risk override of transaction
RS.034 Management Fraud Human Error restrictions Required (2)

473265619.xlsx
Create business rules

for transaction
Risk restrictions by financial
RS.035 Management Fraud Human Error institution Required (2)
Maintain business
rules for transaction
Risk restrictions by financial
RS.036 Management Fraud Human Error institution Required (2)
Create alert of cash
Risk position based on
RS.037 Management Human Error Transactions thresholds Required (2)
Restrict creation of
Risk freeform money
RS.038 Management Fraud Transactions movement by user Required (2)

473265619.xlsx
TECHNICAL REQUIREMENTS
Out of the Box Config Required Code Customization Work Around Do Not Meet
REQ ID SERVICE CATEGORY SUB-CATEGORY REQUIREMENT PRIORITY Required
Remove imported bank files on a
BK.047 Banking File Transfer Import scheduled basis Required (2)
Remove imported bank files on a ad-
BK.048 Banking File Transfer Import hoc basis Required (2)
Backout imported bank files on a
Backout imported bank files on a ad-
Manually re-import bank files on a
Manually re-import bank files on a ad-
Automatically flag bank accounts,
from prior day bank statement file,
BK.053 Banking File Transfer Import not yet updated in system Required (2)
Create new bank account by importing
BK.054 Banking File Transfer Import bank account data Important (3)
Require two levels of authorization to

BK.055 Banking File Transfer Approval create a new bank account Required (2)
Require two levels of authorization to

BK.056 Banking File Transfer Approval modify an existing bank account Required (2)
BK.058 Banking File Transfer Import Upload pdf document Required (2)
Associate/link uploaded pdf document
BK.059 Banking File Transfer Import with transactions Required (2)
BK.100 Banking File Transfer Import Import all data from bank deposits Required (2)
Deposit Establish unique agency identifiers by
BK.101 Banking Processing Clearing financial institution Required (2)
Associate bank deposits to General
Deposit Ledger accounts using agency
BK.102 Banking Processing Clearing identifier Required (2)
473265619.xlsx - TECHNICAL REQUIREMENTS Page 75 of 131

473265619.xlsx
Generate on demand file of agency
deposit details using a specified date
BK.104 Banking File Transfer Clearing range Required (2)
Generate on demand file of agency
net position using a specified date
BK.107 Banking File Transfer Clearing range Required (2)
Upload CSV file of transaction data
BK.109 Banking File Transfer Clearing from non-bank sources Required (2)
BK.135 Banking File Transfer Export Export reports to .xls format Required (2)
BK.136 Banking File Transfer Export Export reports to .csv format Required (2)
BK.137 Banking File Transfer Export Export reports to .pdf format Required (2)
BK.138 Banking File Transfer Export Export reports to .txt format Required (2)
BK.139 Banking File Transfer Import Import reports to .xls format Required (2)
BK.140 Banking File Transfer Import Import reports to .csv format Required (2)
BK.141 Banking File Transfer Import Import reports to .pdf format Required (2)
BK.142 Banking File Transfer Import Import reports to .txt format Required (2)
BK.143 Banking File Transfer Import Import files in .bai format Required (2)
Generate a nightly file that contains all

IN.079 Investments File Transfer Report required lending eligible securities Critical (1)

473265619.xlsx
Deliver the nightly file that lists all

lending eligible securities to the
indicated preferred financial
IN.080 Investments File Transfer Export institution Critical (1)
Account Identify assets to add to nightly
IN.081 Investments Management General securities lending file Required (2)
User Provide data access based on user role
TE-001 Security Audit Permissions Required (2)
User Provide system access based on user
TE-002 Security Audit Permissions role Required (2)
User Control security through user
TE-003 Security Audit Permissions roles/groups Required (2)
Define user roles/groups based in
CRUD (Create, Read, Update, Delete)
User
TE-004 Security Audit Permissions Required (2)
Connect to the Treasurer’s email
TE-005 Integration Architecture Connectivity server Required (2)
Import (direct or indirect) Bloomberg’s
TE-006 Integration Architecture Connectivity market data Required (2)
Can export Committee on Uniform
Securities Identification Procedures
(“CUSIP”) data to Bloomberg
TE-007 Integration File Transfer Export Required (2)

473265619.xlsx
Can import Committee on Uniform
Securities Identification Procedures
(“CUSIP”) data to Bloomberg
TE-008 Integration File Transfer Import Required (2)
Support Security Assertion Markup
User Language (SAML) based single sign-on
Experience / User (SSO)
TE-009 Security Usability Permissions Required (2)
Encrypt a password simultaneously as
a user is typing their password
TE-010 Security Audit Encryption Required (2)
Configure password standards (e.g.,
the number of characters/numbers
needed, password expirations, non-
repeating passwords, etc.)
TE-011 Security Audit Security Required (2)

Requires users re-enter their
credentials after the system is idle for
a (configurable) specified period
Prevents users from logon into
TE-013 Security Audit Security multiple active sessions. Required (2)
After a (configurable) pre-determined
number of failed logon attempts, lock
a user out.
Provides that if hosted or SaaS, vendor
staff (support, implementation,
hosting management) shall have no
access to the Treasurer’s data and
cannot log into the production system,
to ensure that there is no back door to
client data or functionality;

Change server settings (e.g., access
TE-016 Security Audit Security rights, indexes, collation, etc.); Required (2)

473265619.xlsx
Perform workflow tasks based on user
TE-017 Security Audit Workflow role / permissions Required (2)
Provides audit logs which include who
accessed the system when, what was
accessed, and what was changed;
Create audit log for user actions
Search audit logs
View audit logs
Export audit logs
Print audit logs
Track history of audit logs
Report audit logs
Archive audit logs
Record each transaction and its
modification(s) in an audit log
accessible within each transaction
Requires that user rights must be
entered by one user and approved by
another before activation;
TE-028 Security Audit Workflow Required (2)
Require a security procedure where 2
people are required to authorize the
creation of a new user to the system

473265619.xlsx
Entering new or changing static data
can require dual approval (at a
minimum ) ;
Require a security procedure where 2
people are required to authorize the
change of static data
Creates an audit report for user
additions, deletions and changes to
user permissions;
TE-032 Security Audit Report Required (2)
Creates an audit report of static data
changes made during a reporting
period;
TE-033 Security Audit Report Required (2)
Encrypt data in transit
Encrypt data at rest
Ability to deactivate/remove
fields/buttons for certain users in
certain modules
Provide required software, including
third-party software, required for
Implementati proposed and contracted
TE-037 on Scope Deliverable functionality. Required (2)
Support required software, including
third-party software, required for
Manage all hardware required for
Support all hardware required for

473265619.xlsx
Manage all virtual environments

required for proposed and contracted
functionality which are not part of the
Implementati Treasurer's platform.
TE-041 on Scope Deliverable Required (2)
Support all virtual environments

required for proposed and contracted
functionality which are not part of the
Implementati Treasurer's platform.
Manage the deployment of the code
Implementati required specific to the Treasurer's
Manage the deployment of the
Implementati configurations required specific to the
TE-044 on Scope Deliverable Treasurer's functionality. Required (2)
Manage the deployment of the data
Implementati specific to the Treasurer's
Manage the deployment of the scripts
Implementati specific to the Treasurer's
Manage the deployment of the
Implementati procedures specific to the Treasurer's
Deliver production ready / quality
Implementati code for User Acceptance Testing
TE-048 on Scope Deliverable (UAT). Required (2)
Deliver production ready / quality
Implementati data for User Acceptance Testing
TE-049 on Scope Deliverable (UAT) Required (2)

473265619.xlsx
UAT releases must include release

notes describing architecture or
design updates, new functionality
introduced, defects fixed,
modifications to interfaces with other
systems, other changes to existing
code, and any software and hardware
configuration changes
Implementati
Production releases must include

release notes describing architecture
or design updates, new functionality
introduced, defects fixed,
modifications to interfaces with other
systems, other changes to existing
code, and any software and hardware
configuration changes
Implementati
Implementati Support activities specific to retiring
TE-052 on Scope Deliverable legacy systems Required (2)
Implementati Support activities specific to retiring
TE-053 on Scope Deliverable legacy databases Required (2)

473265619.xlsx
PROJECT - IMPLEMENTATION MGMT

REQ ID SERVICE CATEGORY SUB-CATEGORY REQUIREMENT PRIORITY ACCEPT DO NOT ACCEPT
PI-001 Implementation Test Source Code Code must be system tested prior to release Required (2)
Release
PI-002 Implementation Management Test Releases must be stress tested prior to release Required (2)
Release
PI-003 Implementation Management Test Releases must be load tested load tested prior to release Required (2)
Release
PI-004 Implementation Management Test Releases must be regression tested Required (2)
Release must be certified as fully and successfully tested

including: unit tested, system tested, stress tested, load
Release tested, and regression tested prior to release to User
PI-005 Implementation Management Test Acceptance Testing. Required (2)
A summary of testing performed must accompany all test

certifications for all releases and must include a list of all
Release the tests performed as well as the results of the test and
PI-006 Implementation Management Test any errors discovered. Required (2)
Release Releases must be User Acceptance Test prior to release to
PI-007 Implementation Management Test Production Required (2)
Release Regression tests are required in the User Acceptance Test

PI-008 Implementation Management Test environment prior to being released to Production. Required (2)
Each build released to the Treasurer must have been
Release tested on converted data prior to being certified for
PI-009 Implementation Management Test release by the Respondent's test team. Required (2)
PI-010 Implementation Train Deliverable Training materials must be editable by the Treasurer Required (2)
End User Training Materials must provide step-by-step
PI-011 Implementation Train Deliverable guidance Required (2)
Data Prepare and implement a schedule approved by the
PI-012 Data Management Deliverable Treasurer for data migration from TIS Required (2)
Data Conversion / Migrate all data from TIS with 98% accuracy
PI-013 Data Management Migration Required (2)
Provide all necessary user documentation and support;
PI-014 Communication Deliverables General Required (2)
Provide training to the Treasurer’s staff to ensure that
TMS users are prepared for daily use of the system prior
PI-015 Planning Plan Train to go-live; and Required (2)
473265619.xlsx - PROJECT - IMPLEMENTATION MGMT Page 83 of 131

473265619.xlsx

Describes the testing methodology and plan for the
PI-016 Planning Plan Test vendor’s TMS system; Required (2)
Describes the Training (content development and
PI-017 Planning Plan Train delivery) methodology and plan; Required (2)
Requires that if SaaS, vendor provides a dedicated test

Release environment during implementation of the TMS system;
PI-018 Development Management Environment Required (2)
Maintenance & Release Service Level Describes timing of support coverage to accommodate
PI-019 Support Management Agreements (SLAs) users; Required (2)
Maintenance & Release Service Level Provides version update notes that are annotated and
PI-020 Support Management Agreements (SLAs) organized according to their function; Required (2)
Formal training curriculum available for all software
PI-021 Implementation Train Deliverable applications and tools. Required (2)
PI-022 Implementation Train Deliverable Virtual training courses available. Required (2)
Instructor-led, classroom training available on-site at
PI-023 Implementation Train Deliverable Treasurer's office Required (2)
Instructor-led, classroom training available at Bidder
PI-024 Implementation Train Deliverable location. Required (2)
PI-025 Implementation Train Deliverable Training videos available for on-demand training. Required (2)
Course material including training manuals, training
PI-026 Implementation Train Deliverable guides, quick tips, etc. are available. Required (2)
User Experience Conduct key word search in online help

PI-027 Implementation / Usability Search Required (2)
User Experience Access field level on-line help

PI-028 Implementation / Usability Train Required (2)
User Experience Print on-line help

PI-029 Implementation / Usability Train Required (2)
User Experience
PI-030 Implementation / Usability Train Train-the-Trainer courses are available Required (2)
Include Treasurer Subject Matter Experts (SMEs) in
PI-031 Implementation Staffing Define functional definition workshops Required (2)

473265619.xlsx

Include Treasurer Subject Matter Experts (SMEs) in design
PI-032 Implementation Staffing Design workshops Required (2)
Conduct Usability Workshops with Treasurer Subject
PI-033 Implementation Staffing Design Matter Experts (SMEs) Required (2)
Include stakeholders outside the Treasurer's SMEs e.g.
State Agencies, IOC, Financial Institutions, etc. in SME
PI-034 Implementation Staffing Define workshops when appropriate. Required (2)
PI-035 Communication Support Design Coordinate SME workshops Required (2)
PI-036 Communication Support Design Facilitated SME workshops Required (2)
Review and approve any changes to Functional
PI-037 Communication Support Design Requirements Required (2)
Review and approve any changes to Technical
Review and approve any changes to Operational
Review and approve any changes to Project /
PI-040 Communication Support Design Implementation Management Requirements Required (2)
Develop and document the detailed requirements
elaboration e.g. detailed functional
definition/design document, use cases, user story
with acceptance criteria, process flows, diagrams,
wireframes, etc. including detailed documentation
regarding business rules.
PI-041 Communication Deliverables Define Required (2)

Provide input into the detailed functional
definition/design while the documents are being
developed
PI-042 Communication Support Define Required (2)
Develop and document the detailed technical
design including data definition and data validations
e.g. Detailed Technical Design, process flows, screen
mocks, architecture diagrams, etc.
PI-043 Communication Deliverables Design Required (2)

473265619.xlsx

Provide input into the detailed technical design
while the documents are being developed
PI-044 Communication Support Design Required (2)
Based on the detailed design, develop a Security
Matrix which defines the Security profiles and
identifies the roles and permissions each user will
receive
PI-045 Communication Deliverables Security Required (2)
Provide input required to produce the Security
Matrix
PI-046 Communication Deliverables Security Required (2)
PI-047 Communication Deliverables Security Review and approve the Security Matrix Required (2)
As part of the detailed design, define the specific
reports required and identify opportunities to
consolidate reports into ad-hoc, parameter driven
reports
PI-048 Implementation Reports Deliverable Required (2)
Perform all necessary configuration, interface
development and unit testing required to implement
the functional design
PI-049 Development Deliverables Define Required (2)
Perform all necessary configuration, interface
development and unit testing required to implement
the technical design
PI-050 Development Deliverables Design Required (2)
Provide tools to manage the version control on
software configurations and interface development
PI-051 Development Deliverables Develop Required (2)
PI-052 Development Deliverables Develop The Contractor will own the Source Code. Required (2)
The Treasurer will have read access to the Source
Code.
Contractor will set up / provide a source code
repository and give Treasurer continuous read
access to source code for the life of the contract

473265619.xlsx

Coordinate and facilitate discussions with external
and internal data source owners / partners
Data
PI-055 Communication Management Define Required (2)
Facilitate define sessions required in support of the
development of interfaces to external partners and
Data internal data sources
Facilitate design sessions required in support of the
development of interfaces to external partners and
Data internal data sources
PI-057 Communication Management Design Required (2)
Perform all necessary requirements definition
activities required to implement the interfaces with
Data external partners
Perform all necessary design activities required to
implement the interfaces with external partners
PI-059 Integration Technology Design Required (2)
Perform all necessary configuration activities
required to implement the interfaces with external
partners
PI-060 Integration Technology Develop Required (2)
Perform all necessary development activities
partners
Perform all necessary unit testing activities required
to implement the interfaces with external partners
Perform all necessary code review activities required
Perform all necessary system test activities required

473265619.xlsx

Perform all necessary regression test activities
partners
PI-065 Integration Technology Test Required (2)
Facilitate all necessary User Acceptance Test
activities required to implement the interfaces with
external partners
PI-066 Integration Technology Test Required (2)
Develop, maintain and provide Treasurer Enterprise
Standards to which the external partners must
conform
PI-067 Integration Technology Deliverable Required (2)
Policies /
Provide input into the Treasurer Enterprise
Procedures / Standards
PI-068 Integration Technology Standards Required (2)
Lead Treasurer architecture and design discussions
including identifying components and services that
should be shared across the Treasurer's Platform
PI-069 Integration Technology Design Required (2)

Participate in architecture and design discussions to
identify potential components and services that can
be shared with other systems on the Treasurer
Platform
PI-070 Integration Architecture Design Required (2)
Decide on what services should be exposed as
shared services across the entire platform
PI-071 Integration Architecture Design Required (2)
Develop components and services that the Treasurer
deems to have the potential to be shared by other
systems on the Treasurer Platform so that they will
be available and have adequate documentation
PI-072 Integration Architecture Deliverable Required (2)

473265619.xlsx

Apply consistent configuration and development
standards for all work as described in the
Contractor's Development Methodology such as
coding convention, database and field naming
convention
PI-073 Development Scope Develop Required (2)
Provide Treasurer access to both source/object
codes for software components and documentation
Source Code /
PI-074 Development Controls Deliverable Required (2)
Perform code reviews to ensure customized
software and interfaces comply with coding
standards to reduce defects
PI-075 Development Scope Source Code Required (2)
Perform reviews of documentation to ensure the
compliance to Treasurer standards
PI-076 Development Scope Deliverable Required (2)

Perform reviews of code to ensure the compliance
to Treasurer standards
Provide Treasurer with well documented, readable
source code and object (executable) code,
documentation for all functionality developed by the
Contractor outside of the COTS configuration,
licenses to readable source code and object
(executable) code, and documentation for all COTS
functionality and escrow of source code for the
custom developed or integration related code. All
new software functionality built on top of COTS
software will be owned by Treasurer.

473265619.xlsx

Conduct and provide the results of a security risk
and impact assessment "conducted by a third party
prior" to releasing the solution into UAT in alignment
with NIST 800-30 guidance methodology and certify
that the CWE/SNAS Top 25 Most Dangerous
Software Errors (http://cwe.mitre.org/top25) have
been mitigated (and document the mitigation). "All
critical vulnerabilities must be remediated before
system goes into production".
PI-079 Security Scope Source Code Required (2)

Follow the process and procedures defined by the
Treasurer or designee with respect to use of all
shared technical and business services and
components
PI-080 Security Scope Security Required (2)
Provide and implement Application Life-Cycle
Policies / Management to manage requirements through the
Procedures / entire SDLC process
PI-081 Development Scope Standards Required (2)
In alignment with the Data Conversion Plan, develop
procedures for converting data from legacy systems
Data Conversion /
In alignment with the Data Conversion Plan, develop
scripts to automatically convert high volume data
Data Conversion / objects
Review and assist in the development of procedures
Source Code / and scripts
PI-084 Development Controls Develop Required (2)
Define and document a schedule for all data
mapping and conversion activities including
Data Treasurer resources
PI-085 Planning Management Deliverable Required (2)

473265619.xlsx

Except when Treasurer input is required, perform
data conversion, mapping and loading
Data Conversion /
Perform data testing and validation and provide
tools to Treasurer to confirm the data testing results
Data Conversion /
Review and approve data conversion testing results
Data Conversion /
Acquire authorization from Treasurer for the use of
production System resources (legacy data or source
files), or data derived from Treasurer production
Data resources
PI-089 Data Management Security Required (2)
Coordinate all automated and manual data loads
Data during data conversion testing and UAT
PI-090 Data Management Test Required (2)
Provide a data dictionary, data models, data flow
models, process models and other related planning
and design documents to Treasurer
Data
PI-091 Data Management Deliverable Required (2)
Ensure data dictionary, data models, data flow
models, process models and other related planning
and design documents are in alignment with
Data Treasurer standards
Be an active member on the data governance body
Policies / and adhere to the data governance standards
Procedures / established by the governance body
Standards /
Data Methodologies /
PI-093 Data Management Approach Required (2)

473265619.xlsx

Provide tools to minimize manual effort required to
convert data from the legacy solution and/or
synchronize the data between the initial release and
the retirement of legacy care management systems
(assuming the new System is implemented in
Policies / multiple releases).
Procedures /
Standards /
Provide tools to help data conversion by identifying
common error conditions (e.g. duplicate records)
and minimizing manual effort during the data
conversion and migration process by automating
where possible the corrective action process (e.g.
Policies / merging duplicate records)
Procedures /
Standards /
Data conversion shall occur prior to UAT so that
Policies / converted data can be used for User Acceptance
Procedures / Testing.
Standards /
Data for the Pilot shall be converted just prior to the
start of the Pilot to ensure that all current data is
Data converted to the new system.
PI-097 Data Management Pilot Required (2)
Data conversion shall take place just prior to each
Policies / subsequent phase of the rollout to ensure that the
Procedures / data for those new sites is current.
Standards /
Validate data quality by running queries to validate
Data the transfer of new data is complete
Validate data quality by running queries to confirm
Data no data duplication / overlap.

473265619.xlsx

Validate data quality by identifying the number of
cells that are not populated for each required field.
Data
Validate data quality by running ad-hoc reports
indicating gaps in data for any attributes selected.
Data
Update system documentation to reflect current
state system throughout each release of to User
Acceptance Testing (UAT).
PI-103 Communication Deliverables Support Required (2)
Run validation and testing software against
externally facing Internet applications to help
identify potential security issues, and must agree to
repair any deficiencies found during this testing
PI-104 Security Technology Test Required (2)

Testing must include testing of time-sensitive
elements. As System events contain date and time-
sensitive elements, the testing infrastructure must
provide a method of altering and synchronizing the
System date throughout each test phase. This
requires the ability to change the System date and
time in some scenarios
Approach /
PI-105 Development Methodology Test Required (2)
Develop testing quality performance metrics and
Approach / reporting approach
PI-106 Development Methodology Test Required (2)
PI-107 Planning Plan Test Review and approve test plans Required (2)
Develop test scripts covering all of the functionality
included in the release for each testing cycle
PI-108 Development Test Deliverable Required (2)
PI-109 Development Test Test Review and approve test scripts Required (2)

473265619.xlsx

Prior to being promoted to UAT, the test scripts
must pass with user security/permissions enabled.
PI-110 Development Security Test Required (2)
Resolve all defects identified during testing.
PI-111 Development Test Support Required (2)
Treasurer requires the Contractor maintain a web-
based defect tracking solution for the life of the
contract and giving Treasurer access.

Re-test a test script in its entirety (and associated
test scripts) when a failure occurs at any stage of
testing (e.g., a failure in Acceptance Testing that
necessitates a change will require the component to
go back through Unit Testing, Integration Testing,
and so forth)
Data UAT must be performed on converted data
PI-114 Development Management Test Required (2)
PI-115 Development Scope Test Coordinate User Acceptance Testing (UAT) Required (2)
PI-116 Development Scope Test Facilitate User Acceptance Testing (UAT) Required (2)
PI-117 Development Scope Test Conduct performance testing. Required (2)
PI-118 Development Scope Test Report performance testing results. Required (2)
PI-119 Development Scope Test Conduct regression testing. Required (2)
PI-120 Development Scope Test Facilitate UAT regression testing. Required (2)
Perform regression, security, performance testing
and other shared software and shared assets related
testing required
PI-121 Development Scope Test Required (2)
Provide and leverage a testing tool which supports
automated regression testing and other testing
functions
Provide and use a testing tool which supports
performance testing.

473265619.xlsx

Conduct tests for High Availability prior to Pilot.
Conduct tests for Failover testing prior to Pilot.
Ensure testing is conducted on all supported device
types (e.g., laptop, tablet, smartphone),supported
operating systems (e.g., MS Windows, Apple iOS,
Android), and supported browsers (e.g., Explorer,
Edge, Chrome, FireFox, Safari).

Provide testing capability to identify and
troubleshoot browser specific configuration issues
including but limited to version, plug ins, and
security settings
Review all training packages in a timely manner (to
be agreed with the Contractor during contract
Policies / specification/negotiation) to allow updates to be
Procedures / made prior to training commencing
Standards /
Methodologies /
PI-128 Development Train Approach Required (2)
Schedule all training during regular work hours as
Policies / approved by Treasurer.
Procedures /
Standards /
Methodologies /
PI-129 Development Train Approach Critical (1)
PI-130 Development Train Deliverable Provide virtual training. Required (2)
PI-131 Development Train Deliverable Provide on-site, instructor-led training. Required (2)
PI-132 Development Train Deliverable Provided recorded, ad-hoc training. Required (2)
Schedule staff training in a manner that is least
Policies / disruptive to the normal business operations
Procedures /
Standards /
Methodologies /

473265619.xlsx

Ensure all staff attend scheduled sessions and are
Policies / available for the duration of the session
Procedures /
Standards /
Methodologies /
PI-135 Development Train Deliverable Track staff attendance at the training sessions Required (2)
Prior to completing training sessions, survey the
end-users, super users and support staff to validate
adequate training/knowledge transfer has been
performed. Any identified gaps will be addressed
before formal Release close out
PI-136 Development Train Deliverable Required (2)

Include in course specific progress quizzes to ensure
trainees understand the material prior to proceeding
Provide all training materials developed for the
system to Treasurer.
Training materials will become the property of the
Treasurer and may be modified and duplicated by
the Treasurer.
Complete a security and compliance audit to verify
system meets Treasurer standards.
PI-140 Security Audit Deliverable Required (2)
Define the pilot program and develop the Pilot
Program Plan
PI-141 Implementation Pilot Deliverable Required (2)
Conduct the Pilot in a live Production environment
with identified Treasurer partners.
PI-142 Implementation Pilot Environment Required (2)
Manage the pilot program which will include all
components of the Solution including trainings, the
core System, security, interfaces and data
conversion
PI-143 Implementation Pilot Support Required (2)

473265619.xlsx

PI-144 Implementation Pilot Support Perform tasks included in the pilot program Required (2)
Identify and track all issues identified during the
pilot
PI-145 Implementation Pilot Support Required (2)
PI-146 Implementation Pilot Support Address issues identified during the pilot Required (2)
Assess the pre-implementation readiness of each
part of the organization and document the status in
a pre-implementation readiness assessment
PI-147 Implementation Go Live Deliverable Required (2)

Define and document roll-out plan
PI-148 Implementation Go Live Deliverable Required (2)

Review and approve roll-out plan
Policies /
Procedures /
Standards /
Methodologies /
PI-149 Implementation Go Live Approach Required (2)
Manage the roll-out including, but not limited to,
providing additional support to new user groups and
enabling security access
PI-150 Implementation Go Live Support Required (2)
PI-151 Implementation Go Live Support Support roll-out activities Required (2)
As part of Project close out activities, update all
documentation.
PI-152 Close Transition Deliverable Required (2)
As part of Project close out activities, assist in the
smooth transition to the Maintenance and Support
Team.
PI-153 Close Transition Support Required (2)
Review and approve all changes to documents
Policies /
Procedures /
Standards /
Methodologies /
PI-154 Close Transition Approach Required (2)
Develop System Maintenance and Support
Maintenance & documentation.
PI-155 Support Transition Deliverable Required (2)

473265619.xlsx

Provide transition support at the end of the term of

PI-156 Close Transition Support the Contract Required (2)
Prepare / report status
PI-157 Monitor and Control Communication Deliverable Required (2)
Lead Status meetings including Weekly Team Status
Policies / Meetings and Executive governance meetings
Procedures /
Standards /
Methodologies /
PI-158 Monitor and Control Communication Approach Required (2)
Participate in Status meetings including Recurring
Team Status Meetings (minimum bi-weekly)
Participate in Status meetings including (minimum
monthly) Executive governance meetings
Manage risks with a shared, web-based risk register
in compliance with the approach outlined in the
Project Management Professional (PMP) designation
by Project Management Institute (PMI)

Manage issues with a shared, web-based issue
register in compliance with the approach outlined in
the Project Management Professional (PMP)
designation by Project Management Institute (PMI)

473265619.xlsx

Manage action items with a shared, web-based
action item register in compliance with the approach
outlined in the Project Management Professional
(PMP) designation by Project Management Institute
(PMI)
Manage decisions with a shared, web-based decision
register in compliance with the approach outlined in
the Project Management Professional (PMP)
designation by Project Management Institute (PMI)

Manage change requests with a shared, web-based
change register in compliance with the approach
outlined in the Project Management Professional
(PMP) designation by Project Management Institute
(PMI)
Collaborate with the Treasurer to mitigate risks
Policies /
Procedures /
Standards /
Methodologies /
Collaborate with the Treasurer to resolve issues
Policies /
Procedures /
Standards /
Methodologies /
Collaborate with the Treasurer to complete action
Policies / items
Procedures /
Standards /
Methodologies /

473265619.xlsx

Collaborate with the Treasurer to drive decisions
Policies /
Procedures /
Standards /
Methodologies /
Track progress against the baselined schedule and
Policies / report any deviations to Treasurer.
Procedures /
Standards /
Methodologies /
Develop recovery plans to address major deviations
to the baselined Project schedule
Develop Project schedule, resource demands and
coordinate Treasurer resources required to perform
tasks outlined in the Project schedule
PI-172 Planning Schedule / WBS Deliverable Required (2)

Migrate project / system documentation to the
Maintenance and Support Team and provide
support during the transition.
PI-173 Close Transition Support Required (2)
Track any changes to the scope, schedule or budget
and produce any formal Change Requests
Change
PI-174 Monitor and Control Management Deliverable Required (2)
Review and approve any formal Change Requests
Policies /
Procedures /
Standards /
Change Methodologies /
PI-175 Monitor and Control Management Approach Required (2)
Perform in compliance with SLAs and provide a
process for reviewing performance against SLAs
Maintenance & Service Level
PI-176 Support Support Agreements (SLAs) Required (2)
Track Project budget and Contractor's progress
Project Cost / against any invoicing activities
PI-177 Monitor and Control Traceability Invoicing Required (2)

473265619.xlsx

Invoice for deliverables in a timely manner as agreed
Project Cost / in final Contract
PI-178 Monitor and Control Traceability Invoicing Required (2)
Project Manager must actively maintain Project
documentation (e.g., Requirements Traceability
Matrix, Project Roster) for the duration of the
Project
PI-179 Monitor and Control Traceability Deliverable Required (2)
Trace requirements through the entire project and
produce a finalized Requirements Traceability Matrix
which maps the requirements to specific
requirements elaboration documents, design
documents, and test cases. Traceability to code /
configuration customizations is preferred.
PI-180 Monitor and Control Traceability Deliverable Required (2)

Comply with the Treasurer's security and ethical
Approach / standards and policies
PI-181 Implementation Methodology Security Required (2)
Ensure the Contractor's Project team will not
transmit or store any Personally Identifiable
Information (PII) using publicly available storage
over the internet or wireless communications device
unless 1) the PII is “de-identified” in accordance with
45 C.F.R § 164.514(b) (2); or 2) encrypted in
accordance with applicable law, including the
American Recovery and Reinvestment Act of 2009
and as required by policies and procedures
established by Treasurer.
Data
PI-182 Data Management Security Required (2)
Review and agree with proposed monitoring
Policies / procedures
Procedures /
Standards /
Methodologies /
PI-183 Data Security Approach Required (2)

473265619.xlsx

Perform all deployments of code between
environments. Participate in the production
deployments - checking logs, answering questions,
validating a successful deployment, and general
Release troubleshooting.
PI-184 Development Management Environment Required (2)
Monitor / Control / Report all System problems
PI-185 Monitor and Control Technology Support Required (2)
Monitor defined interfaces
PI-186 Monitor and Control Technology Support Required (2)
Establish incident/problem classification,
prioritization, workflow, escalation, communication
and reporting processes that help to achieve the
PI-187 Planning Support Deliverable SLAs Required (2)
Review and approve incident/problem classification,
Policies / prioritization and workflow, communication,
Procedures / escalation and reporting processes
Standards /
Methodologies /
PI-188 Planning Support Approach Required (2)
Manage entire incident/problem lifecycle including
Policies / detection, diagnosis, status reporting, repair and
Procedures / recovery
Standards /
Methodologies /
PI-189 Monitor and Control Support Approach Required (2)
Coordinate system incident management reporting,
Policies / tracking, escalation and resolution activities with the
Procedures / end user and the business
Standards /
Methodologies /
Provide Treasurer's external partners access to
Policies / Treasurer's Incident and Problem Management
Procedures / tracking system to allow for incident and related
Standards / problem updates, monitoring and ad hoc reporting
Methodologies /

473265619.xlsx

Periodically review the status of open incidents and
Policies / related problems and the progress being made in
Procedures / addressing problems related to the TMS solution
Standards /
Methodologies /
Conduct/participate in incident and problem
Policies / management review sessions and provide status and
Procedures / problem impact categorization
Standards /
Methodologies /
Identify and document root cause of the Treasurer
PI-194 Monitor and Control Support Deliverable reported issues Required (2)
Recommend appropriate resolution actions for
Policies / reported incidents.
Procedures /
Standards /
Methodologies /
Resolve reported incidents.
Policies /
Procedures /
Standards /
Methodologies /
Provide status report detailing the root cause of and
procedure for correcting recurring problems until
PI-197 Monitor and Control Support Deliverable closure as determined by Treasurer Required (2)
Define procedure to provide access keys, VPN, etc.
PI-198 Planning Support Deliverable Required (2)
Provide security plan and infrastructure based on
security requirements, standards, procedures,
policies, with national, Treasurer and local
PI-199 Planning Security Deliverable requirements and risks Required (2)
Review and approve security plans
Policies /
Procedures /
Standards /
Methodologies /
PI-200 Planning Security Approach Required (2)

473265619.xlsx

Implement physical and logical security plans
Policies / consistent with Treasurer's security policies and
Procedures / industry standards
Standards /
Methodologies /
PI-201 Monitor and Control Security Approach Required (2)
Establish and document access profiles and policies
for adding, changing, enabling/disabling and deleting
Log-On access of Treasurer employees, agents and
PI-202 Planning Security Deliverable subcontractors Required (2)
Perform log-on/security-level access changes at the
Policies / OS and system software levels as detailed in profiles
Procedures / and policies
Standards /
Methodologies /
Report security violations to Treasurer per Treasurer
Policies / policies
Procedures /
Standards /
Methodologies /
Resolve security violations internal to Treasurer
Policies /
Procedures /
Standards /
Methodologies /
Review all security patches relevant to the
Policies / environment and classify the need and speed in
Procedures / which the security patches should be installed as
Standards / defined by security policies
Methodologies /
Install security patches
Policies /
Procedures /
Standards /
Methodologies /
Perform periodic security audits
PI-208 Monitor and Control Security Deliverable Required (2)

473265619.xlsx

Provide documentation of the performance by an
experienced third-party consultancy of external
penetration tests on at least quarterly basis, and
internal network security audits at least annually.
The audits should be against International
Organization for Standardization (ISO) 27001/2 and
in compliance with Treasurer policies
Provide documented requirements (design and audit
procedures) for network security to ensure that other
customers will not compromise its shared-service
PI-210 Monitor and Control Security Deliverable infrastructure Required (2)
Develop and maintain all documentation required for
security audits and internal control and control testing
Place and support systems with particularly sensitive
data in controlled access areas. Only end-users with
authorized access permission will be allowed to enter
PI-212 Monitor and Control Security Deliverable these areas Required (2)
Assist with third party security audits
Policies /
Procedures /
Standards /
Methodologies /
Perform prompt removal of users when access is no
Policies / longer required
Procedures /
Standards /
Methodologies /
Review of the user access list at least every 90 days
Policies / to remove terminated staff accounts or unused user
Procedures / accounts (for investigation of reason to support
Standards / removing the account)
Methodologies /
Provide a documented set of controls that is used to
ensure the separation of data and security
PI-216 Monitor and Control Security Deliverable information among customer applications Required (2)

473265619.xlsx

Provide review of the security of applications and any
Policies / supporting code, such as Ajax, ActiveX controls and
Procedures / Java applets that is used
Standards /
Methodologies /
Provide adequate protection of data that is covered
Policies / by regulatory or other compliance requirements — for
Procedures / example, those of the U.S. HIPAA, ACA, FERPA and
Standards / Hitech Acts
Methodologies /
Provide documented identity management and help
desk procedures for authenticating callers and
resetting access controls, as well as for establishing
PI-219 Security Help Desk Deliverable and deleting accounts Required (2)
Perform / document impact analysis of any
patches/releases provided by the shared software
Change components Contractor
PI-220 Integration Management Deliverable Required (2)
Maintain implementation (e.g. global configurations)
Policies / of shared software components
Procedures /
Standards /
Methodologies /
PI-221 Integration Architecture Approach Required (2)
Provide Solution Stack Support – Guided support
and instructions for how the shared software
components are configured and utilized for the
Treasurer Platform
Evaluate impact on shared software component
implementation, capacity and performance for each
integration / interface
Perform database restoration from export dumps or
Data backups
PI-224 Data Management Backup / Restore Required (2)
Create/refresh development/test/QA databases
Data from production data
PI-225 Data Management Backup / Restore Required (2)

473265619.xlsx

Execute authorization change requests, database
system level changes (e.g., initialization parameters)
and execute all schema changes for all database
Data Change instances
PI-226 Data Management Management Required (2)
Define and execute database data definition
requirements for applications (e.g., MAC for tables,
Data triggers, and attributes)
PI-227 Data Management Define Required (2)
Maintain documentation for all database instance
Data parameters and System settings
Maintain consistency of non-sizing and non-Platform
specific database parameters and System settings
across all like instances; consistency must be
Policies / maintained according to established development to
Procedures / QA to production life cycle
Standards /
Define database definition and manipulation
requirements for applications and developer
Data schemas
Execute database data definitions for non-managed
Policies / applications and developer schemas
Procedures /
Standards /
Utilize and administer database management tools
across application database instances (i.e.,
Policies / performance metrics and historical data must be
Procedures / available for trending and reporting over a minimum
Standards / of 6 months)

473265619.xlsx

Perform database tuning and optimizations
Policies /
Procedures /
Standards /
Monitor database and generate automatic trouble
Data tickets for problems
PI-234 Data Management Support Required (2)
Identify, open, track and manage to resolution all
Data database problems
Plan and coordinate database upgrades and patches
Data
Data Patch database software as needed
Manage database communication software
Data configuration, installation and maintenance
Data Provide database storage management
Schedule database specific jobs (e.g., running
Data database statistics, etc.)
Perform database copies and application database
Data refreshes
Data Backup of database archive logs
Define, develop and implement tools that allow for
the effective Capacity Management
monitoring/trending of IT infrastructure, systems
Data Software and IT components
Participate in Treasurer Platform capacity planning
Policies / activities
Procedures /
Standards /

473265619.xlsx

Manage shared components capacity plan based on
Policies / requirements (users, new applications, etc.)
Procedures /
Standards /
Utilize application capacity forecasts to recommend
Policies / shared components modifications and issue
Procedures / appropriate change requests
Standards /
Assess common components capacity impacts when
Policies / adding, removing or modifying applications
Procedures /
Standards /
Provide utilization and capacity reporting
Policies /
Procedures /
Standards /
Provision new shared software components capacity
as required based on implementation capacity
Policies / requirements and/or implementation capabilities
Procedures / implemented by the Implementation Suppliers
Standards /
Proactively evaluate, identify and recommend
configurations or changes to configurations/design
Policies / (e.g., modify shared software components global
Procedures / configuration) which will enhance performance
Standards /

473265619.xlsx

Implement improvement plans and coordinate with
Policies / third parties as required
Procedures /
Standards /
Provide required documentation regarding each
Policies / shared software component change
Procedures /
Standards /
Develop release packages for each shared software
Policies / component changes which includes everything
Procedures / required to deploy the change
Standards /
Use configuration management tools
Policies /
Procedures /
Standards /
Capture any shared software components
Policies / configuration changes included in any change
Procedures / request
Standards /
Ensure shared components infrastructure
Policies / configuration captured in the configuration
Procedures / management tools is up to date; any errors should
Standards / be reported to Treasurer immediately
Ensure any changes to the shared software
Policies / components configuration are reflected in the
Procedures / configuration management tools upon completion of
Standards / a change

473265619.xlsx

Provide Tier 2 support and technology expertise for
Policies / escalated tickets related to the shared components
Procedures / as required to resolve ticket
Standards /
Track and report recurring shared software
Policies / components incidents or failures and provide
Procedures / associated consequences of repeating incidents if
Standards / there is a business impact to DPH
Recommend solutions to address recurring shared
Policies / software components problems or failures
Procedures /
Standards /
Provide guidance to Implementation Suppliers for
Policies / maintaining and supporting enterprise security and
Procedures / access management and management of IAM
Standards / infrastructure
Participate in and complete all shared software
Policies / component related disaster recovery activities
Procedures / outlined in the Disaster Recovery Plan
Standards /
Disaster Methodologies /
PI-262 Data Recovery Approach Required (2)
Participate in disaster recovery planning including
developing/updating the disaster recovery plan,
Policies / identifying required changes in the disaster recovery
Procedures / plan (e.g. a change in contact information)
Standards /

473265619.xlsx

Participate in and provide support for the Disaster
Recovery testing including, but not limited to:
a. Plan and schedule Disaster Recovery testing
b. Recovery of Treasurer Platform shared software
components in the secondary data center
c. Recover data and storage
d. Assist with/resolve remediation of recovery issues
Policies /
Procedures /
Standards /
Provide support to the Treasurer external Partners
Policies / with implementing and configuring the disaster
Procedures / recovery environment
Standards /
Identify appropriate resources to support Treasurer
Policies / disaster recovery planning, testing and execution
Procedures /
Standards /
Perform tasks outlined in the Disaster Recovery Plan
Policies / in the event Treasurer initiates a disaster
Procedures /
Standards /
PI-268 Planning Transition Deliverable Approve Transition Plan Required (2)
Manage regularly scheduled and ad hoc meetings, as
well as other communications, to address issues that
Policies / may affect how involved parties perform their
Procedures / responsibilities in relation to the Transition Plan
Standards /
Methodologies /
PI-269 Planning Transition Approach Required (2)
Develop the project close and acceptance criteria
PI-270 Close Plan Deliverable Required (2)

473265619.xlsx

Approve the project close and acceptance criteria
Policies /
Procedures /
Standards /
Methodologies /
PI-271 Close Plan Approach Required (2)
Technical Implementation Management Plan must define
PI-272 Implementation Plan Deliverable major tasks. Required (2)
Technical Implementation Plan must define key
PI-273 Implementation Plan Deliverable deliverables Required (2)
Technical Implementation Management Plan must
PI-274 Implementation Plan Deliverable include detailed release management plan. Required (2)
describe release notes and how they are created and
PI-275 Implementation Plan Deliverable included with each release. Required (2)
PI-276 Implementation Plan Deliverable include a sample of release notes. Required (2)
Implementation Management Plan must include details
regarding all environments including Development,
System Test, User Acceptance Test, Quality Assurance and
PI-277 Implementation Plan Deliverable Production. Required (2)
include definition of 'gates' or steps that must be
completed prior to code or database changes moving to
PI-278 Implementation Plan Deliverable the next environment. Required (2)
include security and privacy processes, tools, and
PI-279 Implementation Plan Deliverable information. Required (2)
PI-280 Implementation Plan Deliverable include Major Milestones linked to deliverables Required (2)

include Roles and Responsibilities including a RACI Chart.
PI-281 Implementation Plan Deliverable Required (2)

performance monitoring process and issue resolution

473265619.xlsx

measures of success / acceptance criteria for all technical
PI-283 Implementation Plan Deliverable implementation deliverables. Required (2)
PI-284 Implementation Plan Deliverable Pilot 'Go Live' Determination process Required (2)
PI-285 Implementation Plan Deliverable Production 'Go Live' Determination process Required (2)
Technical Implementation Plan must define Production
PI-286 Implementation Plan Deliverable 'Go Live' Determination process Required (2)
The Implementation Management Plan must include
system, database and network diagrams to support the
PI-287 Implementation Plan Deliverable development methodology. Required (2)
Data Migration / Conversion Management Plan must

define major tasks including Mock Conversions.
PI-288 Data Plan Deliverable Required (2)

define key deliverables including Mock Conversions
PI-290 Data Plan Deliverable include detailed release management plan. Required (2)
include details regarding all environments including
Development, System Test, User Acceptance Test, Quality
PI-291 Data Plan Deliverable Assurance and Production. Required (2)
include definition of 'gates' or steps that must be
completed prior to code or database changes moving to
PI-292 Data Plan Deliverable the next environment. Required (2)
include security and privacy processes, tools, and
PI-293 Data Plan Deliverable information. Required (2)

include Major Milestones linked to deliverables

473265619.xlsx


include Roles and Responsibilities including a RACI Chart.
define performance monitoring process and issue
PI-296 Data Plan Deliverable resolution Required (2)

define measures of success / acceptance criteria for all
technical implementation deliverables.
PI-298 Data Plan Deliverable describe the Mock Conversion process. Required (2)

define measures of success / acceptance criteria for all
technical implementation deliverables.

describe how converted Treasurer data will be prepared,
reviewed, and approved for System Testing.
describe how converted Treasurer data will be prepared,
reviewed, and approved for User Acceptance Testing
PI-301 Data Plan Deliverable (UAT). Required (2)
The Data Migration / Conversion Management Plan must
include system, database and network diagrams to
PI-302 Data Plan Deliverable support the plan. Required (2)
Test Plan Management Plan must define major tasks.
PI-304 Implementation Plan Deliverable Test Management Plan must define key deliverables Required (2)
Test Management Plan must define detailed test
PI-305 Implementation Plan Deliverable approach. Required (2)
Test Management Plan must define method, process and
tools used to test all environments for readiness to
PI-306 Implementation Plan Deliverable deploy code / data. Required (2)

473265619.xlsx

Test Management Plan must describe unit testing
PI-307 Implementation Plan Deliverable process. Required (2)
Test Management Plan must describe bench / integration
PI-308 Implementation Plan Deliverable testing process. Required (2)
Test Management Plan must describe code review
Test Management Plan must describe system testing
Test Management Plan must describe regression testing
PI-311 Implementation Plan Deliverable process during system testing Required (2)
Test Management Plan must describe User Acceptance
PI-312 Implementation Plan Deliverable Testing (UAT) process. Required (2)
Test Management Plan must describe User Acceptance
reporting channel for bugs / defects / enhancement
PI-313 Implementation Plan Deliverable requests Required (2)
Test Management Plan must describe tracking process for
bugs / defects / enhancement request reported during
PI-314 Implementation Plan Deliverable system testing Required (2)
Test Management Plan must describe tracking process for
bugs / defects / enhancement request reported during
PI-315 Implementation Plan Deliverable User Acceptance Testing (UAT). Required (2)
Test Management Plan must describe regression testing

process during User Acceptance Testing (UAT).
Test Management Plan must describe interface testing
Test Management Plan must describe integration testing
Test Management Plan must describe performance
PI-319 Implementation Plan Deliverable testing Required (2)
Test Management Plan must describe security testing
Test Management Plan must define detailed test
PI-321 Implementation Plan Deliverable approach. Required (2)

473265619.xlsx

Test Management Plan must include details regarding all

environments including Development, System Test, User
Acceptance Test, Quality Assurance and Production.
Test Management Plan must include definition of 'gates'

or steps that must be completed prior to code or
database changes moving to the next environment.
Test Management Plan must include security and privacy
PI-324 Implementation Plan Deliverable processes, tools, and information. Required (2)
Test Management Plan must include Major Milestones
PI-325 Implementation Plan Deliverable linked to deliverables Required (2)
Test Management Plan must include Roles and
PI-326 Implementation Plan Deliverable Responsibilities including a RACI Chart. Required (2)
Test Management Plan must describe how converted

Treasurer data will be utilized for System Testing (UA).
describe how converted Treasurer data will be utilized for
PI-328 Implementation Plan Deliverable User Acceptance Testing (UA). Required (2)
The Development Methodology must include the
description of the methodology / approach / framework
for the development process e.g. Agile, Waterfall, Scrum,
PI-329 Implementation Plan Deliverable Kanban etc. Required (2)
The Development Methodology must define major tasks.
The Development Methodology must define key
PI-331 Implementation Plan Deliverable deliverables Required (2)
The Development Methodology must describe how the
Software Development Lifecycle (SDLC) will be employed
PI-332 Implementation Plan Deliverable for the project. Required (2)
The Development Methodology must describe the
development tools and process which will be employed
PI-333 Implementation Plan Deliverable on the project. Required (2)
PI-334 Implementation Plan Deliverable version / build control for the project. Required (2)

473265619.xlsx

The Development Methodology must define how system
PI-335 Implementation Plan Deliverable validations will be managed. Required (2)
The Development Methodology must define how data
PI-336 Implementation Plan Deliverable validations will be managed. Required (2)
The Development Methodology must define how
PI-337 Implementation Plan Deliverable integration between systems will be managed. Required (2)
The Development Methodology must define how file
PI-338 Implementation Plan Deliverable exchanges will be managed. Required (2)
The Development Methodology must define how batch
PI-339 Implementation Plan Deliverable processing is managed. Required (2)
The Development Methodology must define how real-
PI-340 Implementation Plan Deliverable time processing is managed. Required (2)
The Development Methodology must describe how the
initial database for development is 'seeded' for
PI-341 Implementation Plan Deliverable development. Required (2)
The Development Methodology must describe how data
is exchanged with partners including:
Financial Institutions
Broker Dealers
State Agencies
PI-343 Implementation Plan Deliverable is secured. Required (2)
PI-344 Implementation Plan Deliverable transfer is secure. Required (2)
process for reverting / restoring back to a previous
PI-345 Implementation Plan Deliverable version of the code / data. Required (2)
The Development Methodology must include definition of

'gates' or steps that must be completed prior to code or
database changes moving to the next environment.
The Development Methodology must include security and

privacy processes, tools, and information.
The Development Methodology must include Major
PI-348 Implementation Plan Deliverable Milestones linked to deliverables Required (2)

473265619.xlsx

The Development Methodology must include Roles and
PI-349 Implementation Plan Deliverable Responsibilities including a RACI Chart. Required (2)
The Development Methodology must define performance

monitoring process and issue resolution
The Development Methodology must define measures of

success / acceptance criteria for all deliverables.
The Development Methodology must include system,
database and network diagrams to support the
PI-352 Implementation Plan Deliverable development methodology. Required (2)
Close out project as defined in the approved
Policies / Transition Plan
Procedures /
Standards /
Methodologies /
PI-353 Close Transition Approach Required (2)
Define and Document Data Conversion / Migration
Plan
Perform a minimum of 3 Mock Data Conversion
Release prior to Pilot
Data conversion / migration must be performed in a
Release data staging environment
Release
PI-357 Data Management Deliverable Treasurer cleansed data must be used for System Testing Required (2)
Release Treasurer cleansed data must be used for User
PI-358 Data Management Deliverable Acceptance Testing. Required (2)
Data Conversion / Lead data conversion activities
PI-359 Planning Management Migration Required (2)
Define / Document Communication Management Plan for
PI-360 Monitor and Control Plan Deliverable Treasurer approval Required (2)
Define / Document Risk Management Plan for Treasurer
PI-361 Monitor and Control Plan Deliverable approval Required (2)
Define / Document Issue Management Plan for Treasurer
PI-362 Monitor and Control Plan Deliverable approval Required (2)

473265619.xlsx

Define / Document Change Management Plan for
Define / Document Project Management Plan for
PI-365 Implementation Train Deliverable Define / Document Training Plan for Treasurer approval Required (2)
PI-366 Implementation Test Deliverable Define / Document Test Plan for Treasurer Approval Required (2)

473265619.xlsx
OPERATIONS
Out of the Config Code Work

Box Required Customization Around Do Not Meet
REQ ID SERVICE CATEGORY SUB-CATEGORY REQUIREMENT NOTES PRIORITY Required
Provide secure website for
exchange of client user
OP.001 Data Security Technology information Required (2)
User ID
Date / Time Stamp
Transaction Type
Screen / Tab / Record IDs
Monitor and Original Data
OP.002 Control Audit Logs Security Record all system transactions Data Change Made Required (2)
Monitor and Report all system transactions User ID
OP.003 Control Audit Logs Security by user User Name Required (2)
Transaction Type
Monitor and Report all system transactions Transaction ID
OP.004 Control Audit Logs Security by transaction type Screen / Tab / Record ID Required (2)
Monitor and Report all system transactions Function Name
OP.005 Control Audit Logs Security by function Function ID Required (2)
Monitor and Report all system transactions
OP.006 Control Audit Logs Security by date range Required (2)
Testing must be performed

utilizing a representative data
Data set, not a selective set of 'clean'
OP.007 Implementation Management Test data. Required (2)
Data
OP.008 Implementation Management Test UAT data must be scrambled Required (2)
Data Training data must be
OP.009 Implementation Management Test scrambled Required (2)
Code must be Unit tested prior
OP.010 Implementation Deliverables Test to release Required (2)
473265619.xlsx - OPERATIONS Page 121 of 131

473265619.xlsx
OPERATIONS

Provide Treasurer a training
course outline and schedule
for review and acceptance at
least thirty (30) calendar
days prior to the beginning
of scheduled training
OP.011 Development Train Deliverable Required (2)

Submit all training packages
to Treasurer for review and
acceptance at least twenty-
one (21) calendar days prior
to the beginning of
scheduled training
OP.012 Development Train Deliverable Required (2)

Review and approve or reject
substitutions for key staff.
Treasurer reserves the right
to interview any substitute
key staff.
Monitor and
OP.013 Control Staffing Staffing Critical (1)
Provide an Project Manager
for the project who will serve
as the Treasurer's single
point of contact for the
duration of the Project.
OP.014 Staffing Staffing Staffing Critical (1)

473265619.xlsx
OPERATIONS

The Contractor Project
Manager must be
empowered to act on behalf
of the Contractor.
Contractor Project Manager
must resolve any problems
and contract disputes in an
efficient and timely manner
related to items such as
roles, responsibilities,
performance against SLAs or
Change Requests

Provide consistent coverage
for all roles being performed
by key resources

Provide a Data Migration /
Conversion Manager for the
duration of the project.

Provide document repository
tools and administer security
permissions for the tools
OP.019 Implementation Deliverables Security Required (2)

473265619.xlsx
OPERATIONS

Ensure the Contractor's
Project team has passed
privacy/security and data
handling training
OP.020 Data Security Staffing Critical (1)
Provide documented
procedures to perform
background checks on
personnel with administrative
or other privileged access to
servers, applications or
customer data
OP.021 Staffing Security Deliverable Critical (1)

Demonstrate that the security
Policies / staff average more than four
Procedures / years' experience in
Standards / information and network
Methodologies / security
OP.022 Staffing Security Approach Critical (1)
Demonstrate that more than
75% of the Contractor's
security staff has security
industry certification, such as
from the Certified Information
Systems Security
Professional certification
program (www.isc2.org),
Global Information
Policies / Assurance Certification or
Procedures / equivalent
Standards /
Methodologies /
OP.023 Staffing Security Approach Critical (1)
Import files in defined file
OP.024 Infrastructure File Transfer Import format CSV, XLS, BAI, PDF, TXT, OTHER Required (2)
Export files in defined file
OP.025 Infrastructure File Transfer Export format CSV, XLS, BAI, PDF, TXT, OTHER Required (2)

473265619.xlsx
OPERATIONS

Provide draft of the TMS

Technical Implementation
Management Plan to Treasurer
within 12 weeks from contract
execution.
OP.026 Implementation Plan Deliverable Required (2)
Review / Revise / Approve TMS

Implementation Plan with
Treasurer within 18 weeks from
contract execution.
OP.027 Implementation Plan Deliverable Required (2)

473265619.xlsx
MAINTENANCE & SUPPORT
Out of the Box Config Required Code Customization Work Do Not

REQ ID SERVICE CATEGORY SUB-CATEGORY REQUIREMENT PRIORITY Required Around Meet
Maintenance & Request Help Desk / Call Center support when
MS.001 Support Help Desk Support required during business hours Critical (1)
Maintenance & Request Help Desk / Call Center support when
MS.002 Support Help Desk Support required outside of business hours Critical (1)
Maintenance & Track reported bug / defect in a web-based
MS.003 Support Help Desk Support tracking tool. Required (2)
Maintenance & Provide on-going maintenance on the
MS.004 Support Help Desk Support application as defined. Critical (1)
Maintenance & Request enhancements / change
MS.005 Support Help Desk Support Required (2)
Provides customer support via phone
MS.006 Communication Help Desk Support Required (2)
Provides customer support via web-based
MS.007 Communication Help Desk Support chat Required (2)
Provides customer support via web portal help
MS.008 Communication Help Desk Support desk ticket submission. Required (2)
Provides self-service help desk 'ticket'
MS.009 Communication Help Desk Support submission Required (2)
Provides self-service help desk 'ticket' tracking
MS.010 Communication Help Desk Support Required (2)
Provides self-service help desk 'ticket'
MS.011 Communication Help Desk Support reporting Required (2)
Maintains that there is a guaranteed response
time to client queries/issues (as defined in the
MS.012 Communication Help Desk Support SLA) ; Critical (1)
Major version enhancements are scheduled at
MS.013 Development Deliverables Software least annually Important (3)
If SaaS, client may test functionality changes

Release before version upgrades or changes
MS.014 Development Management Test Critical (1)
Annual support and maintenance payment

covers upgrades to new releases of the system
MS.015 Development Deliverables Software Required (2)
Approach / Must describe the process for restoring data to
MS.016 Data Methodology Backup / Restore a previous day's data. Required (2)
473265619.xlsx - MAINTENANCE & SUPPORT Page 126 of 131

473265619.xlsx
MAINTENANCE & SUPPORT
Out of the Box Config Required Code Customization Work Do Not

REQ ID SERVICE CATEGORY SUB-CATEGORY REQUIREMENT PRIORITY Required Around Meet
Maintenance & Source Code / Must describe the process for restoring the
MS.017 Support Controls Backup / Restore code to a previous day's version. Required (2)
473265619.xlsx - MAINTENANCE & SUPPORT Page 127 of 131

473265619.xlsx
Control
TYPE Service CATEGORY SUBCATEGORY PRIORITY OWNER DE TYPE
Functional Accounting Account Management Adjustments Critical (1) Alan Duncan Alpha
General Banking ADA Compliance Alerts / Notifications Desired (4) Amy Edwards Alpha-Numeric
Project /
Implementation
Management Close Agency Web (Banking) Portal Allocation Important (3) April Woerner Date
Maintenance &
Support Communication Alerts / Notifications Approval Required (2) Deb Miller Date / Time
Operations Data Analytics Backup / Restore Jason Kates Decimals

Technical Development Approach / Methodology Balancing / Reconciliation Joe Daniels Hyperlink
Governmental Fund
Accounting Architecture Browsers Justin Dietrich Indicator / Flag
Implementation Assumptions Business Karry Hopkins Lookup
Infrastructure Audit Calculations Laura Duque Money
Integration Availability Certifications & Designations Leighann Manning Numeric

Investments Business Continuity Change Management Liz Turner Text
Maintenance & Support Business Rules Chart of Accounts Maria Oldani Time
Monitor and Control Capacity Clearing Wes Howerton
Planning Cash Management Connectivity
Records Retention Central Transaction Register Conversion / Migration
Risk Management Change Management Dashboards
Security Communication Define
Staffing Contact Management Deliverable
Vendor Management Contingency Design
Contract Management Develop
Correspondence (Letters &
Forms) Encryption
Data Management Environment
473265619.xlsx Page 128 of131

473265619.xlsx
Control
Debt Management Export
Deliverables Fail Back
Deposit Processing Fail Over
Disaster Recovery Fees
Document Management Forecasting / Positioning
Exceptions Fraud
Experience Funding
File Transfer General
Fraud Hardware
General Ledger History
Go Live Hot Spot
Help Desk Human Error
Human Error Import
Interest Allocation Interest Allocation (Income)
Issue Management Liquidity
Liquidity Management Multi-Tenant
Money Movement Network
Performance Notes / Rationale
Person Management Operating Systems
Pilot Pilot
Policies / Procedures / Standards /
Plan Methodologies / Approach
Portfolio Management Project Cost / Invoicing
Reconciliation / Balancing Rates
Release Management Schedule
Reports Report
Risk Management Search
Schedule / WBS Security
Scope Service Interruption
Security Service Level Agreements (SLAs)
Source Code / Controls Service Organization Controls (SOCs)
Staffing Software
Statutes / Rules / Policies Source Code
473265619.xlsx Page 129 of131

473265619.xlsx
Control
Support Staffing
Technology Status / Status Dates
Test Support
Traceability Sweeps
Train Technology
Transaction Management Test
Transition Threshold
User Experience / Usability Train
Volume Transactions
Warrant Management User Permissions
Workflow Workflow
Year End
473265619.xlsx Page 130 of131

473265619.xlsx
Control
STATUS INCLUDED IN RFP BASELINED RFP
Contract Execution
SME Team Approved RFP Project Define
Initial SME Review Contract Negotiation
Complete RFP Project Planning
New Initial RFP Contract Execution
PMO Review Complete Addendum RFP Project Initiation Note: The Control tab of this workbook is
where the information for the dropdown
Executive Steering selections on the other tabs is located.
Committee Approved Project Design
Project Develop It is for this purpose only.
Project Test
Project Train
Project PILOT
Project Transition
Project Warranty
Project Maintenance &
Support
473265619.xlsx Page 131 of131

RSD Document

Hochgeladen von

Dokumentinformationen

Originaltitel

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

RSD Document

Hochgeladen von

Copyright:

Verfügbare Formate

473265619.

Do Not Accept Bidder does not accept the requirement as written

473265619.xlsx - GUIDANCE Page 1 of 131

VENDOR RESPONSE REQUIRED

Threshold for interest adjustment is

In cases of $25.00 or less, Broker

Investment Pool Participants =

Investment Pool Participants =

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 2 of 131

VENDOR RESPONSE REQUIRED

Investment Pool Participants =

Investment Pool Participants =

Available includes amount of liquid

Calculating amount of income of

Take highest income funds and

Interest Allocate interest based 'Borrowed Funds' will be repaid at a

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 3 of 131

VENDOR RESPONSE REQUIRED

Investment Pool Participants =

Investment Pool Participants =

Interest Override scheduled Postpone

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 4 of 131

VENDOR RESPONSE REQUIRED

Treasurer's Administration Fee for

Annual fee review and adjustment

Fees are applied on a monthly basis

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 5 of 131

VENDOR RESPONSE REQUIRED

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 6 of 131

VENDOR RESPONSE REQUIRED

Financial Institution daily statement

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 7 of 131

VENDOR RESPONSE REQUIRED

IOC = Illinois Office of the

Interest Identify Sweep

Ability to drill down

Ability to accept both

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 8 of 131

VENDOR RESPONSE REQUIRED

Ability to accept both

General Delete the journal

Reference the original

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 9 of 131

VENDOR RESPONSE REQUIRED

Ability to have a 'Year

Enter journal entries

Generate year end

General Chart of Ability to automatically

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 10 of 131

VENDOR RESPONSE REQUIRED

Money Create Money

Money Search for Money

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 11 of 131

VENDOR RESPONSE REQUIRED

Money View Money

Money Edit Money Movement

Money Review Money

Money Approve Money

Money Reject Money

Money Post Money

473265619.xlsx - FUNCTIONAL REQUIREMENTS Page 12 of 131

VENDOR RESPONSE REQUIRED

Indicate Source Bank