iTRAK Attachment B Business Requirements Final.doc
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- DACS12P2108
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Attachment B - iTRAK Business Requirements Version 1.0 Table of Contents
- 1 -1.0 Master Requirements List
- 127 -2.0 iTRAK To Be Process Flows and Requirements Traceability Matrices
- 127 -2.1 General Ledger
- 134 -2.2 Cash Management (FBwT)
- 142 -2.3 Payments
- 149 -2.4 Receivables (Collections)
- 155 -2.5 Budget Execution
- 165 -2.6 Purchasing (NSF Forms 31/32 and DAS Contracting Process)
- 168 -2.7 Purchasing (eJacket Purchasing Process)
- 173 -2.8 Incoming Interagency Agreements
- 178 -2.9 Outgoing Interagency Agreements
- 184 -2.10 Cooperative Agreements
- 192 -2.11 Fellowships
- 199 -2.12 Fixed Price Awards
- 205 -2.13 Foreign Grants
- 213 -2.14 SBIR
- 219 -2.15 Special Payments
- 229 -2.16 Standard Grants
1.0 Master Requirements List
| Abbreviation |
| Requirements Categories |
| TC |
| Technical Capability |
| SM |
| System Management |
| GL |
| General Ledger |
| AR |
| Receivables Management |
| FB |
| Fund Balance with Treasury |
| FM |
| Funds Management |
| AP |
| Payments Management |
| BE |
| Budget Execution |
| CM |
| Cost Management |
| RM |
| Reimbursable Management |
| PM |
| Purchasing Management |
| IA |
| Interagency Agreements |
| GN |
| Grants Management |
| RP |
| Reporting Management |
| CA |
| Cost Allocation Management |
Technical Capability
| Req ID # |
| Requirement |
| Source |
| Mandatory or |
Value-Added
| Software Meets Requirement Out of the Box? (Yes or No) |
| Comments |
TC-01: Accounting Period Maintenance and Closing Subfunction
| TC-01-01 |
| The delivered system must be modular and highly scalable, and it must incorporate an open-standard architecture. |
| FSIO, TLA-01 |
| M |
| TC-01-02 |
| The delivered system must be configurable to meet agency-defined business practices. |
| FSIO, TLA-02 |
| M |
| TC-01-03 |
| The delivered system must be upgradable to accommodate changes in laws, regulations, best practices, or new technology. |
| FSIO, TLA-03 |
| M |
| TC-01-04 |
| The delivered system must generate output reports, query results, and data files using multiple formats as specified by functional requirements. The output reports, query results and data files must be made available in standard, industry leading formats including but not limited to: online display, printed report, PDF, MS Word, Excel, .xml, ASCII, or delimited text file. In cases where an output format is not specified within a requirement, the requested information must be viewable to the agency online, using the API. |
| FSIO, TLA-04 |
| M |
| TC-01-05 |
| The system must deliver fault-free performance in the processing of date and date-related data (including calculating, comparing, and sequencing) by all hardware and software products included as part of the application both individually and in combination (i.e., be Y2K compliant). |
| FSIO, TLA-05 |
| M |
| TC-01-06 |
| The system must have the capability to handle XBRL open data standard. |
| NSF Requirement |
| M |
| TC-01-07 |
| The system must provide open standard architecture to allow for extensions. |
| NSF Requirement |
| M |
TC-02: User Interfaces
| TC-02-01 |
| The system must at least one (preferably multiple) online GUI that, at the agency’s discretion, can provide consistent data entry, navigation, and information presentation across all modules and subsystems used in the online transaction processing environment to satisfy core financial system requirements. |
| FSIO, TLC-01 |
| M |
| TC-02-02 |
| The system must comply with Section 508 of the Rehabilitation Act provisions, as detailed in 36 CFR 1194, Subpart B. |
| FSIO, TLC-02 |
| M |
| TC-02-03 |
| The system must provide a context-sensitive, online help facility that is customizable by the agency. |
| FSIO, TLC-03 |
| M |
| TC-02-04 |
| The system must provide the capability to customize error message text. |
| FSIO, TLC-04 |
| M |
| TC-02-05 |
| The system must provide automated functionality that increases system usability for end users, including user interface features designed to reduce the amount of direct keying required for transaction processing. The following are examples of such functionality: |
• Default values based on system maintained transaction and user profiles
• Value look-up tables
• Highlighting or accentuating of required fields
• Grayed data fields that are unavailable for user entry
• Auto tabs
• Automatic data recall
• Auto-fill text
• Cut, copy, and paste
• Keyboard shortcuts (function keys to invoke help facility, clear screen, etc.)
• Menu mode of screen navigation
• Undo/redo
• Disabling of unsupported function keys
• Ability to select records from a list by scrolling or typing only part of an entry
• Ability to pass common data from field to field, screen to screen, and transaction to transaction.
| FSIO, TLC-05 |
| M |
| TC-02-06 |
| The system must provide the capability to customize warning messages. |
| NSF Requirement |
| M |
| TC-02-07 |
| The system must provide the capability to include customizable text on the login screen to communicate messages and announcements (e.g., system maintenance, status, suspensions, etc) |
| NSF Requirement |
| M |
TC-03: Interoperability
| TC-03-01 |
| The system must provide automated functionality that imports and processes standard transactions generated by other systems. |
| FSIO, TLD-01 |
| M |
| TC-03-02 |
| The system must process interfaced transactions applying the same business rules, program logic, and validity checks used by the system in processing transactions submitted through a GUI. |
| FSIO, TLD-03 |
| M |
| TC-03-03 |
| The system must deliver the capability to suspend erroneous API transactions. Suspense processing must include the ability to perform the following functions: |
• Report suspended transactions
• Retrieve, view, correct and process, roll back transactions,or cancel suspended transactions
• Automatically reprocess transactions
• Report reprocessed transactions.
| FSIO, TLD-04 |
| M |
| TC-03-04 |
| The system must deliver strong interface processing controls that ensure real-time, near real-time and batch files are received from authorized sources, are complete, and are not duplicates. For batch processing, the interface controls must ensure the following: |
• The number of transactions in a received file matches a control record count
• The dollar total of transactions in a file matches a control amount
• The sender is notified of erroneous transactions
• The erroneous transactions are automatically returned to the sender
| FSIO, TLD-05 |
| M |
| TC-03-05 |
| The system must provide the automated capability to capture interface transactions that fail validity checks. Both the reason for the error and the transaction that produced the error must be logged. |
| FSIO, TLD-06 |
| M |
| TC-03-06 |
| The system must provide the automated capability to connect to a SMTP-compliant email system. This capability must include the ability to distribute application-generated text messages with attached files. |
| FSIO, TLD-07 |
| M |
| TC-03-07 |
| The system must provide the automated capability, when needed, to allow those records in a batch processed interface file that pass validity checks to be processed even though some records in the same batch failed the validity checks. |
| FSIO, TLD-11 |
| M |
| TC-03-08 |
| The system must provide the capability to determine interface import statuses like success, pending (for routing to others for further analysis), or reject. |
| FSIO, TLD-12 |
| M |
| TC-03-09 |
| The system must accommodate open standards, including web services (e.g., Changes on the back end of iTRAK database will cause minimal or no disruption to interfaces). |
| NSF Requirement |
| M |
| TC-03-10 |
| The system must deliver strong interface processing controls that ensure real-time, near real-time and batch files are received from authorized sources, are complete, and are not duplicates. For batch processing, the interface controls must ensure the following: |
• The system prevents duplicate processing of batch files.
| NSF Requirement |
| M |
| TC-03-11 |
| The system must provide the capability to communicate interfaced transactions that fail validity checks to the interfaced system. |
| NSF Requirement |
| M |
TC-04: Workflow/Messaging
| TC-04-01 |
| The system must deliver an integrated workflow management capability to automate internal routing of documents, transactions, forms, or reports for online approval processing. |
| FSIO, TLE-01 |
| M |
| TC-04-02 |
| The system must provide the capability to customize workflow processes to automate agency-defined business rules, required approvers, pooled or proxy approving authorities, and workload balancing. Agency customization must include the capability to apply start and end dates to approvers and their proxies. |
| FSIO, TLE-02 |
| M |
| TC-04-03 |
| The system must provide the capability to define multiple levels of document approvals based on agency-defined criteria, including dollar amounts, types of items purchased, and document types. |
| FSIO, TLE-03 |
| M |
| TC-04-04 |
| The system must enable a single user to establish and maintain multiple approval levels and must prevent a user from applying more than one level of approval to the same document in order to conform to the principle of separation of duties. For example, a disbursing officer must not be allowed to certify payment of a payment request he/she entered, and a certifying officer must not be allowed to schedule a payment he/she certified. |
| FSIO, TLE-04 |
| M |
| TC-04-05 |
| The system must deliver a workflow calendaring capability to generate date-based process exception reports and alerts. For example, the system must notify an accounts payable office when payment requests are held over 30 days with no matching receiving report. |
| FSIO, TLE-05 |
| M |
| TC-04-06 |
| The system must provide the capability to capture approval actions by transaction, including the system identifier (source) time and date and the user ID of the approving official. |
| FSIO, TLE-06 |
| M |
| TC-04-07 |
| The system must deliver automated functionality that routes action requests and status messages internally and externally to individuals, groups, and trading partners using communication channels, including agency email, Blackberry, and internal application messaging. |
| FSIO, TLE-07 |
| M |
| TC-04-08 |
| The system must provide the capability to generate workflow event-based user alerts. For example, it must notify a traveler when an emergency travel voucher is approved. |
| FSIO, TLE-08 |
| M |
| TC-04-09 |
| The system must deliver automated functionality that generates user alerts based on agency-defined thresholds (trigger events) (for example, notify a budget officer when available funds reach 50% of the allotment). |
| FSIO, TLE-09 |
| M |
| TC-04-10 |
| Workflow decisions in iTRAK must be able to initiate workflow based on industry-standards, including BPEL and BPM. |
| NSF Requirement |
| M |
TC-05: Document Management
| TC-05-01 |
| The system must provide the capability to index and store file reference materials received or generated by the agency in electronic format. |
| FSIO, TLF-01 |
| M |
| TC-05-02 |
| The system must provide the capability to electronically image, index, and store file reference materials delivered in a hard-copy format (e.g., a signed contract, bill of lading, or vendor payment request). |
| FSIO, TLF-02 |
| M |
TC-06: Internet Access
| TC-06-01 |
| The delivered system must support the industry leading standard for application component connectivity (e.g. - TCP/IP, TLS-SSL, HTTPS) |
| FSIO, TLG-01 |
| M |
| TC-06-02 |
| The system must deliver multiple industry leading browser access to all system modules/functionality (e.g. - Mozilla Firefox, Safari, Internet Explorer, Chrome, etc.) |
| FSIO, TLG-02 |
| M |
| TC-06-03 |
| The system must provide the capability to receive vendor payment requests and payments from the public via the Internet. |
| FSIO, TLG-03 |
| M |
| TC-06-04 |
| The system must support secure Internet access to the integrated ad hoc data query facility. |
| FSIO, TLG-04 |
| M |
TC-07: Security
| TC-07-01 |
| The system must deliver integrated security functionality compliant with the current NIST security standards. |
| FSIO, TLH-01 |
| M |
| TC-07-02 |
| The system must ensure that the management, operations, and technical baseline security controls are implemented in accordance with current FIPS 200 Minimum Security Requirements for Federal Information and Information System, NIST 800-53 Rev 3, Recommended Security Controls for Federal Information Systems and Organizations, and other current NIST guidance on selecting the appropriate security controls. The target FISMA security baseline level is Moderate. |
| FSIO, TLH-02 |
| M |
| TC-07-03 |
| The system must provide the capability to control function access (e.g., system modules, transactions, approval authorities) and data access (create, read, update, delete) by attribute: |
• User ID
• Functional role (e.g., payable technician)
• Organization.
The system must enable the agency to define access rules based on any combination of these attributes.
| FSIO, TLH-03 |
| M |
| TC-07-04 |
| The system must consistently enforce the appropriate security controls in all modules, including software used for ad hoc data query and report generators. |
| FSIO, TLH-04 |
| M |
| TC-07-05 |
| The system must provide the capability to restrict access to sensitive data elements, such as social security numbers, banking information by user ID, assigned role, and organization. |
| FSIO, TLH-05 |
| M |
| TC-07-06 |
| The system must provide the capability to log user IDs of those users who access sensitive data. |
| NSF Requirement |
| M |
| TC-07-07 |
| The system must allow log files to be extracted in industry standard formats to be used by enterprise-level log tools. |
| NSF Requirement |
| M |
| TC-07-08 |
| The system must allow for the use of a "time-out" function for remote access, requiring user re-authentication after thirty minutes of inactivity (OMB M-07-16, p 1) |
| NSF Requirement |
| M |
| TC-07-09 |
| The system must be able to log all computer-readable data extracts from databases holding sensitive information (OMB M-07-16, p 7) |
| NSF Requirement |
| M |
TC-08: Operations
| TC-08-01 |
| The system must deliver a process scheduling capability that allows the agency to define, initiate, monitor, and stop system processes (e.g., online availability, batch jobs, and system maintenance). |
| FSIO, TLI-01 |
| M |
The system must maintain internal database consistency at all times. In the event of a system failure, the system must have the capability to do the following:
• Back out incompletely processed transactions
• Restore the system to its last consistent state before the failure occurred
• Reapply all incomplete transactions previously submitted by the user
• Validate internal database consistency to ensure that duplicate postings are avoided
| • Report any data or transactions that failed to process completely. |
| FSIO, TLI-02 |
| M |
| TC-08-03 |
| The system must generate online status messages to the operator that indicate the job or transaction type, name, time processing initiates, time processing is completed, and any processing errors encountered. |
| FSIO, TLI-03 |
| M |
| TC-08-04 |
| The system must deliver a restart capability for all application online and batch-processing components. Batch jobs must be segmented to facilitate restart in the event of a system failure. |
| FSIO, TLI-04 |
| M |
| TC-08-05 |
| The system must deliver common error-handling routines across functional modules, and it must generate meaningful/customizable, traceable error messages that allow the user or system operator to identify and respond to reported problems. |
| FSIO, TLI-05 |
| M |
| TC-08-06 |
| The system must provide a document archiving capability, including the ability to define, establish, and maintain archival criteria such as date, accounting period, closed items, and vendors/customers inactive for a specific time period. Archiving of closed or completed detail transactions must not affect related general ledger account balances. |
| FSIO, TLI-06 |
| M |
| TC-08-07 |
| The system must support data archiving and record retention in accordance with NSF policy which are in accordance with rules published by NARA, GAO, and NIST. For NSF Specific policy, see their website: http://www.nsf.gov/policies/records/index.jsp |
| FSIO, TLI-07 |
| M |
| TC-08-08 |
| The system must provide the capability to restore archived data based on agency-defined criteria such as date, accounting period, or vendor/customer. |
| FSIO, TLI-08 |
| M |
| TC-08-09 |
| The system must deliver an event logging capability for systems, transactions, tables, and system parameters. The logs must include the following: |
• User ID
• System date and time
• Type of activity (addition, modification, deletion)
• Old value
• New value.
For example, the system must provide a log of all attempts to log on to the system or a log of changes made to the interest values in a prompt payment interest rate table.
| FSIO, TLI-09 |
| M |
| TC-08-10 |
| The system must provide the automated capability to maintain and report application usage statistics. Productivity statistics should include concurrent users, job submissions, transactions throughput, and system availability. |
| FSIO, TLI-10 |
| M |
| TC-08-11 |
| The system must provide the capability to simulate different dates to support testing over multiple periods. |
| FSIO, TLI-11 |
| M |
| TC-08-12 |
| The system must provide the capability to process queued jobs (reports, transaction files from interfacing systems, bulk record updates) with no online performance degradation. |
| FSIO, TLI-12 |
| M |
| TC-08-13 |
| The system must provide the capability to customize system logging features. The system must allow the agency to specify which parameters (or tables) to log and must allow the agency to turn logging feature on or off as needed. |
| FSIO, TLI-13 |
| M |
| TC-08-14 |
| The system must provide capability to alert NSF operations of failed processes. |
| NSF Requirement |
| M |
| TC-08-15 |
| The system must provide the capability to export official records as required by NSF. |
| NSF Requirement |
| M |
TC-09: Ad-Hoc Query
| TC-09-01 |
| The system must deliver an integrated ad hoc query capability to support agency access to and analysis of system-maintained financial data. |
| FSIO, TLJ-01 |
| M |
| TC-09-02 |
| The system must provide the capability to define parameter-based query scripts that can be queued for execution, stored for reuse, and shared with other authorized agency users. |
| FSIO, TLJ-02 |
| M |
| TC-09-03 |
| The system must process submitted queries and queue output online for access by authorized users. |
| FSIO, TLJ-03 |
| M |
| TC-09-04 |
| The system must route query results to designated individuals or groups of individuals or notify individuals that query results are available online. |
| FSIO, TLJ-04 |
| M |
| TC-09-05 |
| The system must deliver run-time controls to prevent “run-away” queries and to restrict very large data download requests. |
| FSIO, TLJ-05 |
| M |
| TC-09-06 |
| The system must provide the capability to display graphical output on the desktop with dynamic report reformatting. |
| FSIO, TLJ-06 |
| M |
| TC-09-07 |
| The system must deliver an online drill-down capability from summary amounts in queries to supporting detail records. |
| FSIO, TLJ-07 |
| M |
| TC-09-08 |
| The system must provide the capability to download selected query data and to reformat downloaded query information for direct access by common desktop applications (spreadsheet, ASCII text, comma-delimited text, etc.). |
| FSIO, TLJ-08 |
| M |
| TC-09-09 |
| The system must provide the capability to preview a query, form, report, or other result before printing. |
| FSIO, TLJ-09 |
| M |
| TC-09-10 |
| The system must provide the capability to access current-year and historical financial data. |
| FSIO, TLJ-10 |
| M |
| TC-09-11 |
| The system must deliver the following ad hoc query interface features: |
• Graphical display of data sources
• Ability to point and click on table, data, and link objects for inclusion in a custom query
• Access to object definitions through a data dictionary.
| FSIO, TLJ-11 |
| M |
| TC-09-12 |
| The system must provide the ability to obtain a comprehensive data extract for free form query manipulation. |
| NSF Requirement |
| M |
| TC-09-13 |
| The system must provide the capability to print a query, form, report, or other result. |
| NSF Requirement |
| M |
TC-10: Documentation
| TC-10-01 |
| The system must be delivered with documentation that identifies all software and hardware products needed by an agency to install, operate, access, and maintain the application. The documentation must specifically identify those products that are intended to be purchased or licensed as part of the product licensing agreement and those products needed to meet any technical and functional requirement that must be acquired separately by the agency. |
| FSIO, TLK-01 |
| M |
| TC-10-02 |
| The system must have application design documentation and provide the capability to be delivered within 30 days upon request by NSF . This documentation must include the following: |
• Description of the application’s design/architecture and integrated technologies
• Database specifications
• Data dictionary
• Entity relationship diagrams
• Internal file record layouts
• Cross references between internal files, database tables, and data-entry screens
• Program module specifications, including firmware and program source code
• System flowcharts.
Application documentation must identify known problems (software bugs) and recommended work-arounds.
| FSIO, TLK-02 |
| M |
The system must be delivered with product installation and maintenance documentation and provide capability to be delivered within 30 days as per request by NSF. Installation documentation must describe the following items:
• Product release content
• Third-party software configuration requirements
• Database installation steps
• Directory structure for locating application data, programs, files, and tables, including drive mappings
• Hardware driver installation and configuration
• Application security setup and maintenance
• Software configuration instructions
• Operating parameter definitions and any other required setup data
• Software build instructions
• Vendor-supplied configuration tools
• Interface processes to be installed
• Startup scripts needed to initiate the software
| • Test steps needed to verify correct installation. |
| FSIO, TLK-03 |
| M |
| TC-10-04 |
| The system must be delivered with system operations and user manuals. Documentation must explain the following system operations: |
• System start-up
• Shutdown
• Monitoring
• Recovery and restart
• Internal processing controls
• Archiving and application security.
User documentation must explain in detail how to execute available functionality in each application component and must cover instructions for the following:
• Access procedures
• User screen layout
• Standard report layout and content
• Transaction entry
• Workflow
• Batch job initiation
• General ledger and transaction maintenance
• Year-end processing
• Error codes with descriptions
• Recovery steps
• Troubleshooting procedures.
The system must be delivered with system operations and user manuals. Documentation must explain the following system operations:
• System start-up
• Shutdown
• Monitoring
• Recovery and restart
• Internal processing controls
• Archiving and application security.
User documentation must explain in detail how to execute available functionality in each application component and must cover instructions for the following:
• Access procedures
• User screen layout
• Standard report layout and content
• Transaction entry
• Workflow
• Batch job initiation
• General ledger and transaction maintenance
• Year-end processing
• Error codes with descriptions
• Recovery steps
• Troubleshooting procedures.
| FSIO, TLK-04 |
| M |
| TC-10-05 |
| The system must be delivered with electronic and hard-copy documentation updates concurrent with the distribution of new software releases. Release notes must clearly identify all changes made to the system’s functionality, operation, or required computing hardware and software. |
| FSIO, TLK-05 |
| M |
TC-11: System Performance
| TC-11-01 |
| The system must process the agency’s specified accounting workload without adversely impacting projected online response times. |
| FSIO, TLL-01 |
| M |
| TC-11-02 |
| The system must process scheduled work (e.g., batch jobs) within an agency-specified batch-processing window. Scheduled work can include the following: |
• Daily system assurance reports
• Daily backups
• Daily interface processing
• General ledger posting
• Table updates
• Standard reporting.
| FSIO, TLL-02 |
| M |
| TC-11-03 |
| The system must maintain the agency’s specified current and historical financial data (e.g., general ledger records, documents, transactions, lines, and vendor records) storage needs with no degradation to online or batch processing performance. |
| FSIO, TLL-03 |
| M |
| TC-11-04 |
| The system must support concurrent access to functional modules for the agency’s specified user community. |
| FSIO, TLL-04 |
| M |
| TC-11-05 |
| The system must be delivered with computing performance metrics for platforms and systems environments on which the application is certified to run. Performance metrics provided by the vendor should describe the following: |
• Transaction processing throughput capacity
• Expected workstation client response time by transaction type
• Data storage capacity
• Limitations on concurrent user connectivity.
• Maximum number of concurrent users
• Number of transactions, processing windows, and volume of agency information expected to be maintained online or archived
• Average response time for user requests
• Request capacity or throughput that the system must support (the rate at which transactions are processed by the system)
• Peak load
• Peak period
• Intensity level
| FSIO, TLL-05 |
| M |
| TC-11-06 |
| The system must process scheduled work (e.g., batch jobs) and/or real time interfaces within an agency-specified batch-processing window or an agency specified real time interface window. Scheduled work can include the following: |
• Ad Hoc Reporting
• Daily, monthly, quarterly, and/or annually.
| NSF Requirement |
| M |
TC-12: System Authorization/Authentication
| TC-12-01 |
| The system must provide the capability for enterprise level Single Sign On (SSO) using Security Assertion Markup Language (SAML) based architecture. |
| NSF Requirement |
| M |
| TC-12-02 |
| The system must have the capability to incorporate enterprise Governance, Risk, and Compliance (GRC) controls within the financial system (GRC implementation to occur at a later date and not in scope for this effort). |
| NSF Requirement |
| M |
| TC-12-03 |
| The system must have the capability to incorporate enterprise Governance, Risk, and Compliance (GRC) controls across all systems (GRC implementation to occur at a later date and not in scope for this effort). |
| NSF Requirement |
| M |
| TC-12-04 |
| The system must utilize two-factor based authentication when accessed from outside NSF's private network. |
| NSF Requirement |
| M |
| TC-12-05 |
| For system authentication/authorization, the system must provide for the use of service-enabled components. |
| NSF Requirement |
| M |
| TC-12-06 |
| The system must provide a User Rules of Behavior screen at each login that requires users to consent to the Rules prior to accessing the system. The Rules should appear after the initial login system warning banner. |
| NSF Requirement |
| M |
System Management
| Req ID # |
| Requirement |
| Source |
| Mandatory or |
Value-Added
| Software Meets Requirement Out of the Box? (Yes or No) |
| Comments |
SM-01: Accounting Classification
| SM-01-01 |
| The system must provide the capability to maintain an accounting classification structure that includes the following elements, as described in both OMB and Treasury guidance: |
• TAS
• Internal fund
• Agency
• Bureau
• Internal organization
• Strategic goal/strategic goal extension
• Program
• Project
• Governmentwide project
• Line of business subfunction
• USSGL account/USSGL account extension
• USSGL account attributes
• Accounting period
• Object class/object class extension
• Revenue source
• Business event type
• ALC
• Cost center
• Activity.
The system must maintain each classification element independently.
| FSIO, SMA-01 |
| M |
| SM-01-02 |
| The system must provide the capability to establish and maintain at least five agency mission-specific accounting classification data elements in conformity with OMB and Treasury guidance. |
| FSIO, SMA-02 |
| M |
| SM-01-03 |
| The system must classify transactions by any element of the accounting classification structure, including any of the five agency mission-specific classification elements. |
| FSIO, SMA-03 |
| M |
| SM-01-04 |
| The system must allow a qualified end user to maintain accounting classification elements without the need to request technical support. |
| FSIO, SMA-04 |
| M |
| SM-01-05 |
| The system must provide automated functionality that controls the use of accounting classification elements by validity period. In other words, the system must activate or deactivate accounting classification changes based on start and end dates (effective period or validity period) during which each element will be available for use. |
| FSIO, SMA-05 |
| M |
| SM-01-06 |
| The system must allow for the entry, import, retrieval, summarization, and reporting of a TAS structure that includes the following components defined by Treasury and OMB: |
• Sublevel prefix
• Allocation transfer agency identifier
• Agency identifier
• Beginning period of availability
• Ending period of availability
• Main account code
• Subaccount code.
| FSIO, SMA-06 |
| M |
| SM-01-07 |
| The system must provide the capability to establish additional (lower) levels of hierarchical accounting structure data elements, such as internal organization, program, project, object class/object class extension, and cost center (e.g., establish parent-child relationships with the ability to summarize, distribute funds, and report data at all defined levels). |
| FSIO, SMA-07 |
| M |
| SM-01-08 |
| The system must provide the automated capability to maintain an accounting classification structure and related data relationships as prescribed in OMB and Treasury guidance for common governmentwide and agency-specific data relationships, including the following: |
• TAS to multiple internal funds
• Internal fund to multiple USSGL attributes and fund attributes
• Program to multiple USSGL attributes, internal funds, projects, organizations, or activities
• Strategic goal to multiple programs and projects.
| FSIO, SMA-08 |
| M |
| SM-01-09 |
| The system must maintain an object class structure consistent with the standard object class codes defined in OMB Circular No. A-11 and for the lower level agency-specific object class extension codes permitted by OMB and Treasury guidance. |
| FSIO, SMA-09 |
| M |
| SM-01-10 |
| The system must be delivered pre-populated with the object classification codes specified in OMB Circular No. A-11. |
| FSIO, SMA-10 |
| M |
| SM-01-11 |
| The system must provide the automated capability to load governmentwide (e.g., Treasury, OMB) and agency-specific classification elements. |
| FSIO, SMA-11 |
| M |
| SM-01-12 |
| The system must provide automated capability to derive accounting classification element values based on agency-defined data relationships or business rules. |
| FSIO, SMA-12 |
| M |
| SM-01-13 |
| The system must provide the capability to derive USSGL account attributes used to classify accounting transactions for reporting to Treasury systems (e.g., FACTS I, FACTS II, GFRS, and GTAS) from the internal fund code, including, at a minimum, apportionment category, BEA category, borrowing source, budget function or subfunction, custodial or noncustodial, definite or indefinite, direct or reimbursable, and exchange or nonexchange. |
| FSIO, SMA-13 |
| M |
| SM-01-14 |
| The system must provide the capability to link a fund origination year to an internal fund. |
| FSIO, SMA-14 |
| M |
| SM-01-15 |
| The system must have the capability to record additional reporting attributes outside the line of accounting in order to capture reference information and/or details at the lowest transaction level. |
| NSF Requirement |
| M |
SM-02: Document and Transaction Control
| SM-02-01 |
| The system must capture a unique system-generated or agency-assigned document number for each document and document modification. |
| FSIO, SMB-01 |
| M |
| SM-02-02 |
| The system must capture a unique system-generated number to identify each general ledger transaction, and it must associate one or more general ledger transactions with a document and document modifications. |
| FSIO, SMB-02 |
| M |
| SM-02-03 |
| The system must provide automated capability to link referenced documents in the processing chain, including purchasing (or spending chain) documents. For example, when an obligation document references multiple commitment documents, that obligation must remain linked to each commitment document. |
| FSIO, SMB-03 |
| M |
| SM-02-04 |
| The system must provide the capability to inextricably link financial management transactions to related reimbursable agreements, while maintaining traceability to the associated source documents, including purchase requisitions, contracts, delivery orders, task orders, purchase orders, BPAs, grants, and travel orders. |
| FSIO, SMB-04 |
| M |
The system must provide automated internal control functionality designed to do the following:
• Prevent the entry of duplicate documents
• Identify potential duplicate documents
| • Correct duplications. |
| FSIO, SMB-06 |
| M |
| SM-02-06 |
| The system must capture the source system identifier and the source system unique document number (or other unique identifier) of each interfaced or converted document. |
| FSIO, SMB-07 |
| M |
| SM-02-07 |
| The system must capture goods delivery and service performance period start and end dates at the document and document line level on documents where the period of performance is a validation for future processing, such as the following: |
• Spending documents
• Contracts
• BPAs
• Reimbursable agreements
• Grants.
| FSIO, SMB-08 |
| M |
| SM-02-08 |
| The system must provide automated functionality to define and maintain funds control edits and tolerance checks (on variances in document quantity or dollar amount) as one of the following: |
• Rejection
• Warning (override authority needed to post transaction)
• Information only (no override needed).
| FSIO, SMB-10 |
| M |
| SM-02-09 |
| The system must provide the capability to prevent the recording of erroneous transactions by rejecting documents that fail transaction processing validity checks (e.g., edits) or lack required verifications. |
| FSIO, SMB-11 |
| M |
| SM-02-10 |
| The system must provide automated functionality that notifies the user when online documents fail funds control edits, transaction processing edits, or tolerance checks. The system must provide the notification on the document entry screen and include the nature of each error and the validation edit (rejection, warning, or information only). The system must retain errors with the document until they have been resolved. |
| FSIO, SMB-12 |
| M |
| SM-02-11 |
| The system must provide the capability to suspend documents that fail transaction processing edits, funds control edits, or tolerance checks. |
| FSIO, SMB-13 |
| M |
| SM-02-12 |
| The system must provide the capability to allow users to hold documents for completion or processing at a later date and to segregate held documents from suspended documents. |
| FSIO, SMB-14 |
| M |
| SM-02-13 |
| The system must provide the capability to reprocess suspended documents when external referenced data that caused the system to suspend processing of a document is corrected (e.g., when a vendor’s CCR status changes from expired to active). |
| FSIO, SMB-15 |
| M |
| SM-02-14 |
| The system must provide automated functionality that allows users to select suspended and held documents for continued processing. |
| FSIO, SMB-16 |
| M |
| SM-02-15 |
| The system must provide automated functionality that allows users to cancel (reverse) posted documents, including all associated general ledger transactions and system table updates (e.g., funds availability updates.) |
| FSIO, SMB-17 |
| M |
| SM-02-16 |
| The system must provide the capability to allow users to delete unposted documents in a held or suspended status. |
| FSIO, SMB-18 |
| M |
| SM-02-17 |
| The system must provide the capability to establish tolerances for both quantity and dollar amounts at the document line level in percentages and/or “not-to-exceed” amounts, and the system must use tolerances to validate against variations in both quantity and dollar amounts at the document line level for the following relationships: |
• Obligations to commitments
• Receipts to obligations
• Payment requests to obligations.
| FSIO, SMB-19 |
| M |
| SM-02-18 |
| The system must provide the capability to define dollar and quantity tolerances by type of obligation or for all obligations independent of their obligation type. |
| FSIO, SMB-20 |
| M |
| SM-02-19 |
| The system must capture the following accounting line detail on all documents: |
• Line number
• Line amount
• Line accounting classification information.
| FSIO, SMB-21 |
| M |
| SM-02-20 |
| The system must provide the capability to establish and maintain acquisition data elements and values, including the following: |
• NAICS business codes
• SIC codes
• Product and service codes
• FOB shipping points
• Ship to locations (destination codes).
| FSIO, SMB-22 |
| M |
| SM-02-21 |
| The system must provide the capability to validate acquisition data values captured on spending documents (e.g., product and service codes). |
| FSIO, SMB-23 |
| M |
| SM-02-22 |
| The system must provide the capability to capture the document line item information on spending documents, including the following: |
• Quantity
• Unit of measure
• Unit price
• Extended price
• Description
• Product and service codes
• FOB shipping points
• Ship to locations (destination codes).
| FSIO, SMB-24 |
| M |
| SM-02-23 |
| The system must validate that the sum of all document lines is equal to the document total. |
| FSIO, SMB-25 |
| M |
| SM-02-24 |
| The system must provide the capability to derive the default transaction date from the current system date. |
| FSIO, SMB-26 |
| M |
| SM-02-25 |
| The system must provide the capability to derive the accounting period from the transaction date and to prevent user override. |
| FSIO, SMB-27 |
| M |
| SM-02-26 |
| The system must capture an agency-specified transaction date (i.e., allow the agency to override the default transaction date with a date in any open accounting period). |
| FSIO, SMB-28 |
| M |
| SM-02-27 |
| The system must record subsequent activity against a document with the transaction date of that activity, not the transaction date of the original document (e.g., a receiving report must capture the transaction date of the receipt of goods or services, not the transaction date of the referenced obligation). |
| FSIO, SMB-29 |
| M |
| SM-02-28 |
| The system must validate accounting classification elements and prevent the recording of transactions when the accounting classification elements or values are missing, invalid, or inactive. |
| FSIO, SMB-30 |
| M |
| SM-02-29 |
| The system must validate Treasury trial balance system (e.g., FACTS I, FACTS II, or GTAS) attributes associated with transactions and prevent the recording of transactions when these attributes are missing, invalid, or inactive. |
| FSIO, SMB-31 |
| M |
| SM-02-30 |
| The system must validate transactions that would post to USSGL accounts (e.g., those used to record borrowing authority, contract authority, or investments) to ensure that the associated TAS is designated as having the appropriate RT7 code. |
| FSIO, SMB-32 |
| M |
| SM-02-31 |
| The system must capture a transaction date and system date on all transactions. |
| FSIO, SMB-33 |
| M |
| SM-02-32 |
| The system must provide the capability to inextricably link financial management transactions to related contracts, while maintaining traceability to the associated source documents, including purchase requisitions, delivery orders, task orders, purchase orders, BPAs, grants, and travel orders. |
| FSIO, SMB-37 |
| M |
| SM-02-33 |
| The system must provide the capability to establish and maintain a reimbursable (interagency) agreement identifier. |
| FSIO, SMB-38 |
| M |
| SM-02-34 |
| The system must record one or more accounting lines for each document line. |
| FSIO, SMB-39 |
| M |
SM-03: Document Referencing and Modification
| SM-03-01 |
| The system must link documents in the processing chain and must inherit accounting and nonfinancial information from one document to another, when the previously recorded document is referenced (e.g., commitment to obligation, receivable to collection). This must include accounting classification, payee, and customer information. |
| FSIO, SMC-01 |
| M |
| SM-03-02 |
| The system must provide automated functionality that updates the dollar amount and quantity balances of open documents by accounting line as they are referenced by subsequent documents in the processing chain. For example, it must reduce commitments when referenced by obligations, reduce obligations when referenced by expenditures, reclassify obligations when referenced by advances, and reduce accounts receivable when referenced by collections. |
| FSIO, SMC-02 |
| M |
| SM-03-03 |
| The system must associate documents with related source documents (e.g., reimbursable agreements, purchase orders, contracts and delivery orders, BPAs, and call numbers, and grants) so that queries show all related activity. |
| FSIO, SMC-03 |
| M |
| SM-03-04 |
| The system must capture document modifications at the accounting line level that affect the general ledger, including changes to dollar amounts and accounting classifications, and it must validate that funds are available prior to recording the modifications. |
| FSIO, SMC-04 |
| M |
| SM-03-05 |
| The system must capture document modifications that do not affect the general ledger or the status of budgetary resources (e.g., adding or changing reason codes and descriptions). |
| FSIO, SMC-05 |
| M |
| SM-03-06 |
| The system must associate document modifications and cancellations with the original documents so that queries show all related activity. |
| FSIO, SMC-06 |
| M |
| SM-03-07 |
| The system must provide the capability to reopen a closed document to allow further processing (i.e., modifications, referencing activity such as collections against receivables) against it, without requiring a new or amended document number. |
| FSIO, SMC-07 |
| M |
| SM-03-08 |
| The system must provide the capability to reference multiple documents, document lines, and accounting lines in a processing chain. For example, it must provide the capability for an obligating document to reference multiple commitment documents, commitment document lines, and commitment accounting lines. |
| FSIO, SMC-08 |
| M |
| SM-03-09 |
| The system must provide the capability to capture the latest system processing status on all documents, for example, a status of “held” on all documents for which the user has saved (held) the document for later processing. Other system statuses include open, closed, and canceled. |
| FSIO, SMC-09 |
| M |
| SM-03-10 |
| The system must provide the capability to reference one document with multiple subsequent documents, document lines, and accounting lines in the processing chain. For example, the system must allow a commitment to be referenced by multiple obligations and obligation lines. |
| FSIO, SMC-16 |
| M |
| SM-03-11 |
| The system must maintain open documents to show the dollar amount and quantity balances of documents by accounting line. Examples of documents are commitments, obligations, advances, receiving reports, accruals, and receivables. |
| FSIO, SMC-17 |
| M |
| SM-03-12 |
| The system must associate document references with the original documents so that queries show all related activity (a history of the document chain). |
| FSIO, SMC-18 |
| M |
SM-03: System-Generated Transactions
| SM-03-01 |
| The system must capture start and end dates and posting frequency (monthly, quarterly, or specified number of days) of recurring entries and reversals such as accruals and obligations. |
| FSIO, SMD-01 |
| M |
| SM-03-02 |
| The system must provide automated functionality that generates recurring entries and reversals in future accounting periods (e.g., payroll and travel accruals), when the specified transaction dates are reached. This must include entries that cross fiscal years. |
| FSIO, SMD-02 |
| M |
| SM-03-03 |
| The system must provide the capability to enter and store future-dated transactions, so that the recording of transactions and updates to funds availability balances occurs automatically when the specified transaction date is reached and the applicable accounting period is open. The system must validate the future-dated transaction upon initial entry and revalidate the transaction at the point it is recorded. |
| FSIO, SMD-03 |
| M |
| SM-03-04 |
| The system must provide the capability to be configured to generate batched reversal transactions by any one or a combination of the following parameters: |
• Accounting period
• Transaction or document type
• Accounting classification elements
• System date
• Transaction date
• Source system ID.
For example, the system must be able to reverse payroll transactions posted on January 1, 2009.
| FSIO, SMD-04 |
| M |
| SM-03-05 |
| The system must provide automated functionality that validates that transaction reversals do not violate the integrity of the document chain. For example, the system should not allow reversal of obligations that have been liquidated by payments. |
| FSIO, SMD-05 |
| M |
| SM-03-06 |
| The system must provide the automated capability to interface financial data and financial transactions to and from systems mandated for governmentwide use (e.g., GTAS, IPAC, TOP, SPS, FedReg, and CCR). |
| FSIO, SMD-07 |
| M |
SM-04: Audit Trails
| SM-04-01 |
| The system must capture and maintain an audit trail from the original postings to the final postings of a document. The audit trail must include, at a minimum, the following: |
• Document number (or other unique identifier)
• Source system identifier
• Document line number
• Accounting line number
• General ledger accounts
• Transaction amounts
• Transaction number
• Transaction date
• System date and time
• User ID
• Type of activity (addition, modification, liquidation, cancellation).
| FSIO, SME-01 |
| M |
| SM-04-02 |
| The system must capture all document change events (additions, modifications, and cancellations), including the date and time of the change and the user ID. |
| FSIO, SME-02 |
| M |
| SM-04-03 |
| The system must provide automated functionality to query document change events (additions, modifications, and cancellations) using one or a combination of the following query parameters: |
• User ID
• Document number
• Document type
• Change event type (addition, modification, cancellation)
• Transaction date range
• Accounting period.
Query results must include all parameter values, document numbers, and date and time of the event.
| FSIO, SME-03 |
| M |
| SM-04-04 |
| The system must provide the automated capability to generate an audit trail of all accounting classification structure additions, changes, and deactivations, including the system date and time of the change and the effective date of the change. |
| FSIO, SME-04 |
| M |
General Ledger
| Req ID # |
| Requirement |
| Source |
| Mandatory or |
Value-Added
| Software Meets Requirement Out of the Box? (Yes or No) |
| Comments |
GL-01: General Ledger Account Definition
| GL-01-01 |
| The system must maintain a chart of accounts consistent with the USSGL chart of accounts, including the proprietary, budgetary, and memorandum accounts; basic numbering structure; and account titles. |
| FSIO, GLA-01 |
| M |
| GL-01-02 |
| The system must maintain an association between the chart of accounts and valid USSGL attribute domain values used in Treasury systems (e.g., FACTS I, FACTS II, GFRS, and GTAS). |
| FSIO, GLA-02 |
| M |
| GL-01-03 |
| The system must track subsidiary ledger activity attributable to specific general ledger accounts known as control accounts. |
| FSIO, GLA-03 |
| M |
| GL-01-04 |
| The system must provide the capability to establish agency-specific USSGL account extensions that summarize to USSGL accounts. |
| FSIO, GLA-04 |
| M |
| GL-01-05 |
| The system must provide the capability to establish agency-specific memorandum accounts in the chart of accounts within the 800000 to 900000 series range. |
| FSIO, GLA-06 |
| M |
| GL-01-06 |
| The system must allow a qualified end user to add, change, or deactivate accounts in the chart of accounts without requiring support from a programmer or application developer. |
| FSIO, GLA-07 |
| M |
| GL-01-07 |
| The system must allow a qualified end user to add, change, or deactivate USSGL attribute domain values in order to accommodate changes in Treasury systems (e.g., FACTS I, FACTS II, GFRS, and GTAS) without requiring support from a programmer or application developer. |
| FSIO, GLA-08 |
| M |
| GL-01-08 |
| The system must deliver the core financial system software prepopulated with the current published values for the USSGL chart of accounts. |
| FSIO, GLA-09 |
| M |
| GL-01-09 |
| The system must deliver the core financial system software prepopulated with the current published USSGL account attribute values used in Treasury systems (e.g., FACTS I, FACTS II, GFRS, and GTAS). |
| FSIO, GLA-10 |
| M |
| GL-01-10 |
| The system must be automatically updated to be USSGL-compliant as federal requirements are revised over time. |
| NSF Requirement |
| M |
GL-02: Transaction Definition
| GL-02-01 |
| The system must provide automated functionality that records like accounting events consistently using standard transactions. |
| FSIO, GLB-01 |
| M |
| GL-02-02 |
| The system must allow a qualified end user to establish the general ledger account postings used in a standard transaction. |
| FSIO, GLB-02 |
| M |
| GL-02-03 |
| The system must allow a qualified end user to establish standard transactions that include proprietary, budgetary, and memorandum accounts. |
| FSIO, GLB-03 |
| M |
| GL-02-04 |
| The system must allow a qualified end user to establish standard transactions that reflect the accepted and/or approved posting models established by the Treasury USSGL (or other accounting authority, when not addressed by Treasury). |
| FSIO, GLB-04 |
| M |
| GL-02-05 |
| The system must allow a qualified end user to establish business rules or conditions that are used to determine the correct general ledger postings. These rules or conditions may include any accounting classification structure data element. |
| FSIO, GLB-05 |
| M |
| GL-02-06 |
| The system must allow a qualified end user to establish business rules that require, prohibit, or default accounting classification data elements for a particular general ledger account. |
| FSIO, GLB-06 |
| M |
| GL-02-07 |
| The system must provide the capability to establish multiple debit and credit pairs of general ledger accounts within a single standard transaction. |
| FSIO, GLB-07 |
| M |
| GL-02-08 |
| The system must update document balances and related tables (e.g., available funding) upon recording standard transactions. |
| FSIO, GLB-08 |
| M |
| GL-02-09 |
| The system must provide the capability to categorize Direct versus Reimbursable line items |
| NSF Requirement |
| M |
GL-03: General Ledger Updating and Editing
| GL-03-01 |
| The system must update all applicable general ledger account balances (budgetary, proprietary, and memorandum accounts) simultaneously in a single process as part of a single input transaction event. |
| FSIO, GLC-01 |
| M |
| GL-03-02 |
| The system must provide the capability to capture or derive USSGL account attributes used to classify accounting transactions for reporting to Treasury systems (e.g., FACTS I, FACTS II, GFRS, or GTAS). |
| FSIO, GLC-02 |
| M |
| GL-03-03 |
| The system must validate USSGL account attributes on transactions (whether entered or derived) prior to the posting. |
| FSIO, GLC-03 |
| M |
| GL-03-04 |
| The system must prevent transactions from posting that would cause a trial balance to become out of balance (i.e., debits must equal credits) at the internal fund level and at the accounting classification level of formal funds control. |
| FSIO, GLC-04 |
| M |
| GL-03-05 |
| The system must prevent transactions from posting that would cause general ledger debits and credits to be out of balance within the budgetary, proprietary, or memorandum accounts (i.e., budgetary, proprietary, and memorandum accounts must each be self-balancing within a single transaction). |
| FSIO, GLC-05 |
| M |
| GL-03-06 |
| The system must prevent transactions from posting that would cause the general ledger control accounts to be out of balance with the financial transaction activity of any subsidiary ledger. |
| FSIO, GLC-06 |
| M |
| GL-03-07 |
| The system must prevent transactions from posting to general ledger accounts that have been deactivated. |
| FSIO, GLC-07 |
| M |
GL-04: Upward/Downward Spending Adjustment
| GL-04-01 |
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