PPPL_RTM_BSUP_FINAL.pdf

PPPL Business System Upgrade Project

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GENERAL

GEN-001-00 The system will be consistent with the Governmental Accounting Standard Board and Generally Accepted Accounting Principles.

GEN-002-00 The system will provide all procedural functions of a fund accounting system in conformity with US government accounting and GAAP, and regulatory standards and guidelines.

GEN-003-00 The system will provide the ability for appropriation and encumbrance accounting.

GEN-004-00 The system will provide a fully integrated system where all of the financial and accounting solutions link seamlessly with all the other functional module, including:

GEN-004-01 General Ledger (including Accounts Receivables) GEN-004-02 Accounts Payable GEN-004-03 Budgeting & Commitment Control GEN-004-04 Project Costing GEN-004-05 Procurement (including Requisitions & Purchase Orders & Receivings) GEN-004-06 Shipping Order GEN-004-07 Labor Distribution GEN-004-08 Inventory GEN-005-00 Transactions processed in the following sub-systems will update the general ledger on-demand or by schedule.

GEN-005-01 Asset Management GEN-005-02 Accounts Payable GEN-005-03 Project Costing GEN-005-04 Labor Distribution GEN-005-06 Inventory GEN-006-00 The system will have controls to ensure detail account balance in sub-ledgers listed above are in agreement with control account balances in the general ledger.

GEN-007-00 System interface processes are validated the same as real-time entries GEN-008-00 The system architecture shall be consistent across all modules.

GEN-009-00 The system will provide the ability to export records and transactions to either a file in the formats of PDF, CSV, TXT, XLSX, XML, etc, or to a data repository.

GEN-010-00 The system will provide the ability for authorized users to configure business rules, e.g. add, change, disable.

GEN-011-00 The system will provide the ability to accommodate effective dating on all setup tables to keep track of the history of setup data and business rules.

GEN-012-00 The system will provide the ability to interface with various PPPL systems, either in real time or in batch. Detail interface requirements can be found in each module

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-013-00 The system will provide quick data entry capability for high volume entries (e.g. spreadsheet upload).

GEN-014-00 The system will provide the ability for authorized users to create, edit, display and store templates for generating forms/outputs (e.g. purchase orders, term contracts, and notifications).

GEN-015-00 The system will provide the ability for authorized users to add, edit or drop user defined fields on the entry page

GEN-016-00 The system will support electronic signature methods for single and multiple signatures consistent with regulatory and statutory requirements, and PPPL business rules for documents that require signature(s).

GEN-017-00 In addition to record, edit and process those transactions entered directly in the system, the system must be able to record and process transactions originating in other systems, such as an excel invoice from a vendor, timesheet from a 3rd party timesheet system, etc. All transactions must be handled consistently, regardless of their point of origin.

GEN-018-00 The system will provide the ability to support a User Defined Fiscal Calendar with an October through September Fiscal Year.

GEN-019-00

The system will provide for at least 16 user-definable accounting periods per year that can either be used for transacting against financial balances, adjusting periods against financial balances, or adjusting periods that are for memo entries only and do not update financial balances, but will be reflected in annual reports.

GEN-020-00 The system will provide the ability to validate that certain expense types are appropriate for the funds/projects to which they are charged

GEN-021-00 The system will edit transactions to ensure that each entry to a fund is balanced and complete, and each fund is maintained as a self-balancing entity during all processing.

GEN-022-00 The system will provide the ability to integrate with a document management system for document attachments.

GEN-023-00 The system will provide the capability to reject a transaction or provide a warning message when attempting to post a transaction that would cause general ledger debits and credits to be out of balance at business unit level and fund level

GEN-024-00 The system will provide the capability to allow users to define and maintain standard rules that control general ledger account postings for all accounting events

GEN-025-00 The system will provide the capability to enable users to selectively require, omit, or set a default value for individual accounting classification elements

GEN-026-00 The system will provide the capability to allow users to define, schedule and process system-generated transactions, such as automated accruals (e.g., payroll accrual entries), preclosing and closing entries, cost allocation, recurring payments.

GEN-027-00 The system will provide the capability to automatically liquidate, partially or in full, the balance of open documents by line item

GEN-028-00 The system will provide the capability to automatically determine and record the amount of upward or downward adjustments to existing obligations upon liquidation, cancellation, or other adjustment

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-029-00 The system will provide the capability to control the correction and reprocessing of all erroneous transactions through the use of error/suspense files GEN-030-00 The system will provide the capability to maintain erroneous transactions until either corrected and posted or deleted at the specific request of a user GEN-031-00 The system will have the capability to provide immediate, online notification to the user of erroneous transactions, the reason for the errors, and the ability to enter corrections online GEN-032-00 The system will have the capability to provide controls to prevent the creation of duplicate transactions, per user defined rules.

GEN-033-00 The system will allow scheduling of processes/jobs to recur at set intervals

GEN-034-00 The system will provide for integration between sub-systems and GL/PC such that all subsystem transactions will be posted to project costing and general ledger on a periodic (batch job) schedule.

GEN-035-00 The system will provide the ability to define an unlimited number of banks and unlimited bank accounts for each bank, and provide the ability to pay from different banks for different purposes (WFO, Conferences, DOE vs. non- DOE separation with zero balance funding).

GEN-036-00 The system will be able to distribute reports and notifications to a designated individual or groups of users via emails or worklist

GEN-037-00 The system will provide the capability to validate the fields for all COA elements required to process the transaction prior to posting to prevent transactions from posting de-activated COA elements or invalid combination of COA elements

GEN-038-00 The system will provide the capability to enter, edit, and save transactions in the current accounting period for automatic processing in a future accounting period

CHART OF ACCOUNT (COA)

GEN-039-00 To accommodate both DOE Fund Accounting and Projects Accounting account structures, the system will provide the capability to classify accounting transactions by the following COA elements:

GEN-039-01 Business Unit GEN-039-02 Fund GEN-039-03 Hierarchical Organization (e.g. Department, Division) GEN-039-04 Program - B&R code GEN-039-05 Account - Expense class GEN-039-06 Project/Grant - Cost Center GEN-039-07 Activity level 1 - Work Package GEN-039-08 Activity level 2 - Job Package GEN-039-09 Resource Type GEN-039-10 Resource Category GEN-039-11 Resource Sub-category

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-039-12 Budget Reference GEN-039-13 InterUnit affiliate GEN-039-14 IntraUnit affiliate GEN-039-15 Accounting Period GEN-039-16 Fiscal Year GEN-039-17 Object Class GEN-039-18 Employee Home Division - HOD (may be replaced with Department code as the 2nd or 3rd level department)

GEN-039-19 Payroll Demographic Code - PDG (may be replaced with Job code in PU payroll system) GEN-039-20 Other U.S. Government Standard General Ledger (SGL) attributes not specified above GEN-040-00 The system will have the ability for COA elements to be shared by all cost centers or defined separately by projects

(cost centers) with adequate controls, e.g. account numbers and projects are defined lab-wide, project activities (work package & job package) may be defined by projects.

GEN-041-00 At a minimum, The system will provide the capability to support the following fund characteristics:

GEN-041-01 fund type, e.g. Operating funds, Capital equipment funds, Construction funds, etc GEN-041-02 funding source, e.g. DOE programs, Work-for-Other Federal agencies, Non-Federal Work-for-Others, etc.

GEN-042-00 The system will provide GL account type (for example, budgetary, assets, liabilities, revenues, and expenses), account categories (for example, labor, travel), and account subcategories (for example, engineering labor, research labor, etc.)

GEN-043-00 The system will provide the capability to further classify/clarify each COA element by user defined element attributes to meet DOE and Princeton University reporting requirements.

GEN-043-01 Cost center must have a Cost Center Manager for purposes of the Signature Authority setup GEN-043-02 Cost center must have a Cost Center P&C officer for purposes of the Signature Authority setup GEN-043-03 Cost Centers must have associated burden codes.

GEN-043-04 Cost Centers must have a 'DOE' flag to identify whether it funded by 'DOE' GEN-043-05 Cost Centers need to be identified as on or off-site projects GEN-043-06 Cost Centers need to be identified as Direct or Indirect GEN-043-07 Cost Centers need to be identified as SPP or non-SPP GEN-043-08 Cost Centers need to be assigned a Field Work Proposal (FWP) ID GEN-043-09 Cost Centers need to be identified as Overhead or non-overhead GEN-043-10 Cost Centers need to be identified as exempt from severance or not GEN-043-11 Cost Centers need to be identified as exempt from vacation or not GEN-043-12 Cost Centers need to be identified as exempt from benefit or not

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-043-13 Cost Centers need to be identified as exempt from labor burden or not GEN-043-14 Cost Centers must belong to a cost center group GEN-043-15 Cost Centers can be assigned a customer GEN-043-16 Expense Classes may have associated burden codes GEN-043-17 Expense Classes must have expense category and subcategory GEN-044-00 The system will provide the capability to further classify/clarify each COA element by element attributes to meet

DOE and Princeton University reporting requirements.

GEN-045-00 The system will provide the ability to crosswalk the PPPL's COA elements to an external-designated (e.g. DOE, Princeton University, etc.) coding structure, e.g. grant, project, department. At a minimum, the system will be able to:

GEN-045-01 Map PPPL account to Princeton University Account GEN-044-02 Map PPPL project to Princeton University project GEN-045-03 Map PPPL project to DOE B&R code GEN-045-04 Map PPPL department to Princeton University department GEN-045-05 Map PPPL fund to Princeton University fund GEN-045-06 Map PPPL program to Princeton University program GEN-045-07 Map PPPL account to DOE SGL Account GEN-045-08 Map PPPL account to DOE environmental liability value GEN-045-09 Map PPPL fund to DOE B&R code GEN-045-10 Map PPPL fund to DOE Program Task GEN-045-11 Map PPPL fund to DOE STARS Fund GEN-045-12 Map PPPL fund to DOE STARS Program GEN-045-13 Map PPPL fund to DOE STARS Project GEN-045-14 Map PPPL fund to Local Use GEN-045-15 Define WFO status for each project GEN-045-16 Define OPI for each project GEN-046-00 The system will have the ability to change COA elements, and crosswalk by effective date and status GEN-047-00 The system will allow authorized users to request, create, modify, delete changes to the chart of account elements, subject to configurable workflow approvals.

GEN-048-00 The system will provide the capability to retain the historical definition of COA elements, and allow the new/updated definitions automatically become effective at any future date determined by the user GEN-049-00 The system will provide the capability to establish organizational/account/fund/project hierarchy structures to support budget control and reporting needs GEN-050-00 The system will have the ability to create a budget at one level and spend the budget on a lower level based on the

COA element hierarchy structure

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-051-00 The system will provide the capability to establish relationships among COA elements, such as tying the responsible organizational units to programs, projects, and activities, etc.

GEN-052-00 The system will provide the capability to define additional COA elements to classify and report accounting transactions by each additional element of chart of account.

GEN-053-00 The system will provide the capability to create/update a list of valid combination of COA elements, according to business rules GEN-054-00 The system will provide the capability to validate all transactions for valid combinations of COA elements

GEN-055-00 The system will have the capability to reject or suspend transactions that contain COA elements that have been deactivated, or contain invalid COA element combination.

GEN-056-00 The system will provide the capability to maintain an audit trail for any COA element changes.

GEN-057-00 The system will have the ability to deactivate an existing account with all historical data maintained.

GEN-058-00 The system will prevent deletion of an account with any activity.

GEN-059-00 The system will have ability to support G/L Account protection to prohibit manual data entries to specific accounts

GEN-056-00 The system will contain an effective-dated table containing DOE Contract ID, Allotte and Reporting Entity for DOE transmissions

GEN-057-00 The system will provide the ability to validate chart of account combinations to ensure transactions in all modules (GL, AP, PO, Requisition, Labor distribution, Timesheet, etc. ) are booked to the correct project account

GEN-057-01 Define chart of account combination rules GEN-057-02 Edit transactions against the combination rules before the transaction is budget-checked, and issue error message when the edit fails GEN-058-00 The system will provide a crosswalk table to map PPPL accounts to the SGL accounts and override default mapping when there is an exception (ie: account plus combination of other chartfields go to different SGL than just the account alone)

GEN-059-00 The system will have the ability to deactivate an existing account with all historical data maintained.

GEN-060-00 The system will prevent deletion of an account with any activity.

GEN-061-00 The system will have ability to support G/L Account protection to prohibit manual data entries to specific accounts

GEN-062-00 The system will have the ability to capture and validate against the expiration date of funds GEN-063-00 The system will have the ability to assign default COA element values, e.g. cost center, work package and job package, according to configurable business rules, e.g. by user ID and transaction type.

GEN-064-00 The system will have the ability to record "memorandum" accounts, which represent data required by DOE and not otherwise available within account balances. There are two types of memorandum account GEN-064-01 Recording Plant & Equipment Outstanding Encumbrances GEN-064-02 Entries for Inter-Entity Work Performed

DATA ENTRY

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-065-00 The system will provide the ability for users to manually input data.

GEN-066-00 The system will provide the ability for users to select an element from a set list of values, e.g. provided in a drop down list, provided via a pop-up window with search functionality.

GEN-067-00 The system will provide the ability for authorized users to edit data.

GEN-068-00 The system will allow data entry and transactions to be entered and posted in real time so that information available throughout the lab in real time.

GEN-069-00 The system will allow complete validation and editing of data at the point of entry (on-line or batch), according to configurable business rules, e.g. error checking by format, logic, data ranges.

GEN-070-00 The system will validate all imported information using same business rules as if information was manually keyed in.

GEN-071-00 The system will provide the ability to upload high volume data input via Excel upload template with complete data validation.

ATTACHMENT OF DOCUMENTS AND NOTES

GEN-072-00 The system will allow users to attach files e.g. MS Word, Excel, PDF, TXT, CSV, scanned images, JPEG, and others (excluding file types that are commonly used to propagate malware, such as.exe files) to:

GEN-072-01 Page/screen/record GEN-072-02 Transactions ( e.g. a journal, a purchase order, etc) GEN-073-00 The system will allow users to add notes to the following:

GEN-073-01 Page/screen/record GEN-073-02 Fields GEN-073-03 Transactions GEN-074-00 The system will uniquely identify each document received.

GEN-075-00 The system will provide the ability to integrate with a document management system for document attachments.

GEN-076-00 The system will provide the ability to version control attachments.

APPROVAL WORKFLOW

GEN-077-00 The system will deliver an integrated, event/process/schedule driven workflow management capability to automate internal routing of documents, transactions, forms or reports for online approval processing.

GEN-078-00 The system will provide the ability to maintain a spending authority approval hierarchy per Cost Center. The authority levels may go down to the Work Package and Job Package levels. Each hierarchy level shall be associated with a dollar limit. The initial Cost Center approver is an attribute of the Cost Center, Work Package or Job Package. This approval hierarchy shall be used throughout the system where financial approvals are needed.

Changes to the Signature Authority setup may be given effective dates so that changes to be effective in the future can be made any time.

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-079-00 The system will provide for online configuration of approval workflow based on the spending authority approval hierarchy, for the following financial transactions:

GEN-079-01 Budget journal entry GEN-079-02 Actual journal entry, including standard journal, adjustment journal, accrual, allocation, reversal journal, etc.

GEN-079-03 Requisition entry GEN-079-04 Purchase Order / Procurement Contract entry and change order GEN-079-05 Receipt Entry GEN-079-05 Timesheet entry GEN-079-06 AP Voucher entry GEN-079-07 Purchase Order close GEN-079-08 Shipping Order GEN-079-09 AP Voucher entry GEN-079-10 Payment Request GEN-079-11 Customer Creation/update GEN-079-11 Asset Retirements or Change of Status GEN-079-12 Asset Transfers GEN-079-13 COA elements (e.g. account, project etc.) creation/updates GEN-080-00 The system will provide the ability for approvals by:

GEN-080-01 Dollar Threshold GEN-080-02 Department GEN-080-03 Fund or other element of COA GEN-080-04 Project - Cost Center GEN-080-05 Document Type GEN-080-06 Expense category GEN-080-06 Inspection requirement GEN-080-07 Commodity type (e.g. chemical, IT-hardware..)

GEN-080-08 Combination of dollar, category, commodity, etc.

GEN-081-00 The system will provide the ability for workflow approval processes to include both reviewer and approver.

GEN-082-00 The system will provide the capability to apply effective dates and status for user-defined approval rules.

GEN-083-00 The system will provide the ability for the approvers to add an adhoc approver/reviewer during the approval process

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-084-00 The system will allow the user to assign approvers by roles, by customized sql statements or custom list

GEN-085-00 The system will provide the ability to escalate the document when the document is pending for approval for over curtain period of time

GEN-086-00 The system will provide authorized users with multiple options when processing a workflow, e.g. Approve, Send back, Hold, Reject, Reassign, Delegate.

GEN-087-00 The system will provide the ability for the approvers to add comments to the documents, where the users have to add comments to all actions except approval action

GEN-088-00 The system will provide the capability to capture approval history, approval steps and approval status by document number, including the time/date and approving party.

GEN-089-00 The system will provide workflow tools that integrate with e-mail for automated notifications. The system will allow users to setup and maintain email templates for the notification, such as adding a link to the document requiring approval.

GEN-090-00 The system will notify an approver when a document is routed to his/her queue, and notify the owner of the document when the document is approved, sent back or rejected.

GEN-091-00 The system will provide the capability for users to review and respond to all business process notifications from one central location, e.g. to-do-list, work center.

GEN-092-00 The system will allow approvals to be done from desktop, phone and pad, providing users with access to all supporting documentation.

GEN-093-00 The system will provide the ability to designate multiple approvers for a particular workflow step, where PPPL will be allowed to decide whether one of the approvers, or all approvers have to approve the document before the document can move to the next step.

GEN-092-00 The system will provide the capability for workflow administrators to reroute a document to another approver, without restarting the approval process from first step.

GEN-093-00 The system will provide the capability for configure approval escalation rule so that the document will be escalated to another user when it has remained in queue over certain period of time.

GEN-094-00 The system will provide the capability to approve a document in whole, or approve by line items GEN-095-00 The system will allow the users to assign a replacement approver temporarily during a period of time

AUDIT TRAIL

GEN-096-00 The system will maintain an audit trail for activities in the system, according to configurable business rules, e.g.

when, what and by whom data, tables, transactions, annotations, notes or documents have been added, modified, approved, deleted

GEN-097-00 The system will provide a configurable audit trail that can be turned on / turned off for components, e.g.:

GEN-097-01 Table GEN-097-02 Field GEN-097-03 Screen/Page/Form GEN-097-04 Process

REQ # SYSTEM GENERAL REQUIREMENTS USE CASE

GEN-097-05 COA elements GEN-098-00 The system will have ability to retain a detailed audit trail of creation of or changes to a general ledger transaction. This audit trail shall show person making the change, before and after values, and the date and time of the change.

GEN-099-00 The system will provide the capability to select items for review based on user-defined criteria by type of transaction (e.g., by obligation transactions, vendor, or date range)

PURGE AND RETENTION

GEN-100-00 The system will provide the ability to identify record type and the corresponding retention, destroy or archive the record and any referenced metadata at the end of retention, hold the record for litigation or audit purposes and provide various records management reports (i.e. destruction, holds).

GEN-101-00 The system will provide the ability to maintain a minimum of 8 years of historical financial data, e.g. transaction details, actual amounts for both budgetary and financial data. This information must be available for both system reports and inquiry functions.

GEN-102-00 The system will provide the ability to manually consolidate and archive data, and to purge historical data after it had been archived (e.g. purge old accounts after the retention period had been expired).

GEN-103-00 The system will allow users to select information to purge by:

GEN-103-01 Type of transaction GEN-103-02 Type of record GEN-103-03 User defined criteria to select transaction or record GEN-103-04 Date

PRINTING

GEN-104-00 The system will allow for volume printing of output.

GEN-105-00 The system will provide the ability for authorized users to select the default printer(s).

GEN-106-00 The system will provide the ability to restrict the viewing and/or printing of certain content within a document except to authorized users, e.g. a specific page or specific text.

GEN-107-00 The system will provide a common transfer method to be used for sending and receiving data and/or images in bulk to customers.

GEN-108-00 The system will allow authorized users to copy or export data and images to external storage media (e.g. external hard drive and DVD), based on user-defined selection criteria (e.g. bulk order request).

HELP

GEN-109-00 The system will provide on-line "help" aids including examples, with the ability to do full text search on help by word, phrase or subject.

GEN-110-00 The system will contain help features to guide users though transactions.

User Group Usage User Count Comments Business Staff Medium-Heavy 50-60 Use the system daily

Employees Light 500

Employee self-service, such as entering requisitions and timesheets;

Manager self-service such as approving requisition and timesheets, tracking project budgets

REQ # Interface Name Description IN/OUT

INT001 Accounts Payables Vouchers to Campus

Process for generating and transferring AP Vouchers to the Main Campus PEOPLESOFT system

Outbound

INT002 Journal Vouchers to Campus

Process for generating and transferring Journal Vouchers to the Main Campus PEOPLESOFT system

Outbound

INT003 Vendor Updates via email

Process email from PU and update Vendor in GreatPlains

Inbound

INT004 STARS Send monthly journal activity to

DOE STARS

Outbound

INT005 IPAC Interface to Intra-governmental Payment and Collection System

Outbound

INT006 TMS chartfield upload For TMS chartfield upload Outbound

INT007 Bi-weekly timesheet interface

Biweekly Employee timesheet, with name, chart string, and hours worked

Inbound

INT008 Payroll file Payroll payment info per employee with salary(gross amount) and department info from PU Labor accounting

Inbound

INT009 Employee base information and organization information interface from PU to PPPL

Create/update employee personal data, job data and organization data from PU to

PPPL

Inbound

INT010 Daily Copy of Pay Errors (Payment Recon)

Copy pay errors file from PU Inbound

INT011 Assign checks Update the check number in GP Inbound

INT012 JPM transaction data file upload

Load credit card transaction details from JPM

Inbound

INT013 CMF interface - PO order

Import invoice from CMF Inbound

INT014 Maximo Interface Chartfield, project, activity etc. Outbound

INT015 Maximo Interface Job orders Inbound INT016 1099 file interface Send 1099 vendor file to PU Outbound INT017 Interface with 3rd party barcode system Interface with 3rd party barcode system - out

Outbound

INT018 Interface with 3rd party barcode system

Interface with 3rd party barcode system- in

Inbound

INT019 Interface with 3rd travel & expense system

Outbound interface with 3rd travel & expense system -employee profile, and payment information, and chartfield info

Outbound

INT020 Interface with 3rd travel & expense system

Inbound interface with 3rd party travel and expense system for payment

Inbound

*Additional details specific to interfaces included in functional requirements.

REQ # ASSET MANAGMENT - FUNCTIONAL REQUIREMENTS USE CASE

ASSET ADD

AM-001-00 PPPL requires a system that shall capture, in addition to the standard financial capital asset information, the following attributes:

• DOE Status Code

• DOE Asset Type

AM-002-00 The system will have the ability to accomplish a way to identify purchase requisitions for items that qualify as capital equipment.

AM-003-00 The system will have the ability to identify expenses associated with received purchased capital assets that are not yet assigned to an asset. (These are the invoice cost of the asset, associated charges such as shipping or installation costs, and Material Handling burdens.)

• An easy-to-use method for the system user to assign qualifying costs to capital assets. A cost may be split between assets.

AM-004-00 The system will have the ability to convert completed capital projects into assets with asset status as "in-service" indicating that asset is in use.

AM-005-00 The system will have the ability to generate journal entries with specific attributes based on the changes to asset status .e.g In-service ,Transfer , retirement, location change etc

AM-006-00 The system will have the ability to automatically assign sequential numbers to new assets and system user will have the ability to specify the starting value.

AM-007-00 The system will have the ability for an asset to be funded by multiple funds, journal entry amounts shall be prorated across the funds. The system user shall have the ability to override the entries when desired(System will generate entries automatically , accounting will review before posting the Journal in the system.)

AM-008-00 The system will provide the ability to system user to attach any number of documents and description per attachment along with the date and Person's name making the attachment shall be retained .

AM-009-00 The system will maintain a history per asset of asset locations and dates.

AM-010-00 The system will have the ability to automatically assign sequential numbers to new assets and system user will have the ability to specify the starting value.

AM-011-00 The system will have the ability to allow users to enter, edit, and store the chart of account element(s) changes, retain the historical definition and allow the changes automatically become effective at any future date determined by the user. Along with the end dates for a Property Status value with specific valid values for descriptive asset codes and meaning per value.

AM-012-00 The system user shall have the ability to only select a valid custodian per department value. The system user may select significant digits of a HOD value. Custodians and contacts must be valid employees.

AM-013-00 The system will have the ability to optionally assign an employee to secondary HOD, referred to a project department (POD), meant to denote the project the employee is working.

REQ # ASSET MANAGMENT - FUNCTIONAL REQUIREMENTS USE CASE

AM-014-00 The system will have the ability to define the following categories:

• Equipment as capital ($500K and over), • Controlled ($10K to $499,999.99),

• Real property

• Sensitive

• Other Accountable

• Sensitive and Informational Asset.

The system will track informational assets as asset components and these will not need to be inventoried.

AM-015-00 The system user shall have the ability to define valid building codes and rooms per building with descriptions.

AM-016-00 The system user shall have an ability to define valid DOE asset codes with descriptions.

AM-017-00 The system user shall have an ability to define valid Status Codes with descriptions.(e.g. “Addition, off-the-shelf purchase”, “Write-off – Abandonment”, “Retired – Disposed of as Scrap”) based on the specific status code the system shall have an ability to automatically close the asset.

AM-018-00 The system will have the ability to allow the users to specify property status codes that pertain to acquisitions.

AM-019-00 The system will have the ability to define valid retirement reason codes.

AM-020-00 The system will have the ability to define all Property Types as one of the following:

• High Risk

• Sensitive

• Both

AM-021-00 The system will have the ability to identify items as assets when items are purchased or at receiving time or prior to receipt of the item.

AM-022-00 The system will have the following asset attributes included for the purchased items:

o Manufacturer’s name o Manufacturer’s model number o Manufacturer’s serial number o Total cost o Asset tag number o Asset descriptive values such as Sensitive, Hazardous Material, Condition, o Photograph of asset taken at receiving dock o Asset description o Receipt date o Shipping order number and date

AM-023-00 The system user will have the ability to transfer all assets for an new contact , custodian or an individual in an operation in the event the employee is terminated or retried from PPPL.

REQ # ASSET MANAGMENT - FUNCTIONAL REQUIREMENTS USE CASE

AM-024-00 The system user shall have the capability to allow the user to enter, edit, and store cost object definition changes, retain the historical definition and allow the changes automatically become effective at any future date determined by the user for the transfer so that the transfer may be done ahead of time.

AM-025-00 The system user shall have the ability to specify a percentage of items or an actual number per property type.

The system will have a ability to assist with this decision, by displaying per property type an item count and a total dollar value.

AM-026-00 The system will provide the ability to choose the following:

•Include items flagged as missing or lost •To include or exclude level two Sensitive or High Risk items per property type •To include all Sensitive items or all High Risk items.

• To include or exclude contract ID’s. Assets of Property Type “Informational” shall be excluded from inventory counts

AM-027-00 The system user will have the ability to specify a percentage count of each property type per custodian

AM-028-00 The system will have an ability to integrate with hand-held scanning devices for entry of counting results.

Counting results will be status and location changes, not inventory counts. Inventory is always one since each asset is unique.

AM-029-00 The system will provide the ability to track items selected for counting.

AM-030-00 The System will provide controls to prevent capitalization costs from being accumulated on an operating project – must be a capital project; and to capitalize vendor costs only when they total at least $500,000 or $750,000 on software; trigger will differ between DOE (i.e.: project type) and SPP (i.e.: combination of project type and funding source)

AM-031-00 The system shall provide the ability to the system user to add assets after review of the Asset Management team

AM-032-00 The system will provide the ability to enter and maintain fixed asset records online and properly accounts for assets in accordance with the PPPL's Chart of Accounts

AM-033-00 Capitalize assets based upon a user-specified criteria, including amount threshold by asset type.

AM-034-00 Track assets (non-capitalized equipment) that are not to be capitalized per PPPL's policy but have been deemed to be secured by PPPL's or department policy (e.g., mobile phones).

AM-035-00 The system will generate accounting entries to maintain assets, e.g. transfers, impairments, acquisitions, additions, expensing of non-capitalized costs, depreciation, and disposals of assets, according to configurable business rules, e.g. workflow, GL account.

AM-036-01 PPPL requires a system that shall capture the following attributes per asset:

AM-036-02 o Asset Status – new, active , closed AM-036-03 o Asset ID (M or P # following 5 to 6 numbers) AM-036-04 o Property Status at time of purchase (New, Used, Leased) AM-036-05 o Property Status Codes

REQ # ASSET MANAGMENT - FUNCTIONAL REQUIREMENTS USE CASE

AM-036-06 o Acquisition Codes AM-036-07 o DOE Asset Code (Personal Property is 7 hundreds) AM-036-08 o Equipment Type (CA, CO, IN, OA, SE) AM-036-09 o Property type – Capital, Controlled, Other Accountable, Real, Informational, Sensitive.

AM-036-10 o Federal Supply Class AM-036-11 o Property Type – (Personal/Real) AM-036-12 o Contact Employee (User) AM-036-13 o Custodian Employee (Designated by management usually a Branch Head or higher) AM-036-14 o Asset Location – Building/room or warehouse location AM-036-15 o Inventory Noun (Noun #, Noun Name, IT or not, DOE Status Code , Federal Supply Class) AM-036-16 o Inventory Code (missing/lost) AM-036-17 o Last Inventory Date AM-036-18 o Last Inventory touched by AM-036-19 o Estimated Completion date for Fabrications AM-036-20 o Property status Code AM-036-21 o Acquisition Status Code Acquisition Date

AM-036-22 o Acquisition Cost AM-036-23 o Contract ID

AM-036-24 o Asset Description (text field of unlimited length) AM-036-25 o Maintenance AM-036-26 o Maintenance Date AM-036-27 o Document Number/Information o In Service status, yes or no AM-036-28 o Property status/type (level two) – High Risk, Sensitive, (can be one, both or none).

AM-036-29 o Physical Condition - DOE code for (new, used, no longer any good-1,4,7) High Risk Review indicator status and date AM-036-30 o Export control Classification Number (EAR99) AM-036-31 o Sanitized number & date – used for IT assets when disposition changes AM-036-32 o EPP – Environmentally Preferred Product Number (E-star) AM-036-33 o Model Number, Serial Number, Manufacturer Name AM-036-34 o Supplier ID for purchased assets (vendor) AM-036-35 o Project Account(s) for acquisition cost. There may be multiple project accounts . When there are multiples, amount per account should be given as well as the total amount.

AM-037-00 The system will provide the ability to generate "mass" asset transactions (such as mass additions, mass disposals, mass transfers, and mass changes) by user-defined criteria, with proper security/authority.

AM-038-00 The system will record detailed costs related to asset acquisition, betterment, and additional capital costs, according to configurable business rules.

REQ # ASSET MANAGMENT - FUNCTIONAL REQUIREMENTS USE CASE

AM-039-00 The system will allocate non-purchase costs, e.g. interest, project management costs, to an asset during the construction period.

AM-040-00 The system will provide the ability to record auction proceeds and generate appropriate journal entry transactions, according to configurable business rules, e.g. gain or loss.

AM-041-00 The system will provide the ability to produce a physical inventory worksheet to be sorted, grouped and aggregated based on user defined criteria to assist in conducting physical inventory.

AM-042-00 The system will provide the ability to report and adjust variances between system amounts and physical counts.

AM-043-00 The system will provide the ability to enter data manually, in addition to using bar coding technology.

ASSET DISPOSAL

AM-044-00 The system will provide the ability for an authorized user to flag a specified number of assets for disposal, e.g. for retirement, transfer, or deletion.

AM-045-00 The system will provide the ability for an authorized user to approve action for all flagged assets, e.g. mass update.

AM-046-00 The system will provide the ability to record auction proceeds and generate appropriate journal entry transactions, according to configurable business rules, e.g. gain or loss.

DEPRECIATION

AM-047-00 The system will provide the ability for various depreciation methods, e.g. straight line, or accelerated, half-year convention.

AM-048-00 The system will have the ability to produce depreciation reports by multiple levels (e.g., All Chart of Account Elements, asset type, responsibility area, etc.).

AM-049-00 The system will provide the ability to store an acquisition date and a depreciation start date, without the dates AM-050-00 The system will provide the following depreciation functionality:

AM-051-00 Provide depreciation schedules on individual fixed assets AM-052-00 Generate periodic depreciation by asset for any element in the classification structure (current practice is annually).

AM-053-00 Automatically calculate depreciation in accordance with the depreciation method and convention where designated for an asset.

AM-054-00 Maintain multiple asset basis values for each asset if desired, utilizing industry-standard depreciation methods.

AM-055-00 Automatically charge depreciation to multiple accounting distributions for split-funded assets AM-056-00 Historical depreciation per accounting period for the life of the asset.

AM-057-00 Historical cost value per accounting period for the life of the asset.

AM-058-00 The system will provide an ability to report assets not yet in-service and to change status to in-service. The system will depreciate only assets with specified status codes. These status codes that qualify for depreciation shall be configurable and specified by the system user.

REQ # ASSET MANAGMENT - FUNCTIONAL REQUIREMENTS USE CASE

AM-059-00 The system will have the ability to follow the below rules in terms of depreciation:

AM-059-01 •Use only the straight line depreciation method AM-059-02 • Only capital equipment and real property assets are set up to be depreciated.

AM-059-03 • Only Assets with status codes that qualify for depreciation are depreciated.

AM-059-04 •Ability for system user to request all qualifying assets or just one asset be depreciated.

AM-059-05 • Ability for the system to generate depreciation for additional costs added to an asset over the asset’s remaining life.

AM-059-06 • Provide the ability for an asset to be funded by multiple funds, journal entry amounts shall be prorated across the funds. This may be overridden by the system user when desired.

AM-059-07 • Ability for the system user to choose allocation by percentage depreciation AM-059-08 • The appropriate journal entries shall be automatically generated.

AM-059-09 • The system will provide a method to define journal entries for all transactions and generated for the same fund as used to purchase the asset.

AUDIT

AM-060-00 Audit trail showing all financial activity for the asset such as cost change, depreciation, transfer, retirement.

AM-061-00 The system will have the ability to maintain history of who made a change and date of change was made to the AM-062-00 The system will have the ability to maintain history per asset of the asset status changes and dates and property status changes and dates

APPROVAL WORKFLOW

AM-063-00 The system will require acceptance of the asset by the new contact or the custodians when a new location is assigned or existing location is changed via a workflow.

AM-064-00 Ability to require an approval when the property status changes occur by an asset’s custodian through a workflow.

AM-065-00 The system user shall have an ability to override approval workflow for mass transfer so that mass transfer does not occur

REPORTS/ANALYTICS

AM-066-00 The system will have a ability to provide inquiry capability for users to view asset information including Asset Pictures

AM-067-00 The system user shall have a ability to drill down to one or many purchase order lines used to purchase the asset.

REQ# BUDGET REQUIREMENTS USE CASE Comments

BUDGET - GENERAL

BD-001-00 The system will provide a budget module that is fully integrated with the GL, AP, PC, LA, PO, ePro modules to ensure that all transactions using or affecting budget are validated online, real-time against up-to-date budget totals based on established budgetary controls.

BD-002-00 The system will provide the capability to establish budget plans by month, quarter or year at any level of the project/ organizational structure specified by the user

BD-003-00 The system will provide the capability to establish budget plans for multiple fiscal years, such current, and future years.

BD-004-00 The system will provide the capability to prepare budget plans based on multiple measures, including costs, labor hours, and full-time equivalents

BD-005-00 The system will provide the capability to modify/revise an existing budget plan by line items BD-006-00 The system may, as specified by the system user, retain one active budget plan plus multiple versions of the budget plan throughout the year.

BD-007-00 The system will have the capability to populate the current year budget plan with prior-year budgeted or actual amounts BD-008-00 The system will have the capability to populate the current year budget plan with an existing plan BD-009-00 The system will provide the capability to perform projections of revenue, expenditures and encumbrances at any level of the project/organizational structure (e.g., projecting encumbrance based on prior periods and applying these to a future period)

BD-010-00 The system will provide the capability to adjust projection rates (e.g., 90 percent, 100 percent, and 110 percent) and exclude specified encumbrance from projection

BD-011-00 The system will provide the capability to incorporate overhead distribution as part of budget formulation

BD-012-00 The system will provide the capability to develop budgets online and via upload from spreadsheets

BD-013-00 The system will provide the capability to distribute, track, and control funds at various levels, based on the elements of the chart of account and project structure

BD-014-00 The system will provide the capability to verify that funds distributed do not exceed the amount of funds available for allotment at each distribution level

BD-015-00 The system will provide the capability to identify the type of fundings and track expenditure/encumbrance by funding source

BD-016-00 The system will provide the capability to record the expiration and cancellation of the fundings that are not 'no-year'

BD-017-00 The system will provide the capability to separately track original budget, budget adjustment, and budget transfer line items

REQ# BUDGET REQUIREMENTS USE CASE Comments

BD-018-00 The system will provide the capability to create continuing resolution funding levels based on a percentage of prior-year funding

BD-019-00 The system will provide the capability to monitor costs against funding by elements of PPPL Chart Of Account , such as Project(cost center), fund, B&R code, fund type, work package, and job package

BD-020-00 The system will provide the capability to maintain a carryover amount (funds not spent in the previous year) per element of PPPL Chart Of Account , such as Project(cost center), fund, B&R code, fund type, work package, and job package

UC #7

BD-021-00 The system will provide the capability to track money on hand and expected fundings UC#1 BD-022-00 The system will provide the capability to track contingency funds, financial reserve, and Goods & Services on

Order (GSO) per project (cost center) BD-023-00 The system will retain a detailed audit trail of changes to all rates. The audit trail shall show person making the change, before and after values, and the date and time of the change.

BUDGET - PREPARATION

BD-024-00 The system will provide the ability to maintain the benefit/vacation accrual/severance rates, with the following attributes:

BD-024-01 Effective date BD-024-02 Rate status BD-024-03 Rate type BD-024-04 Fiscal year BD-024-05 Revision number BD-024-06 Percent BD-024-07 Average labor expense - account suffix The requirement may be removed if the account mapping can be saved in the allocation template

BD-024-08 Offset Average labor expense - account suffix The requirement may be removed if the account mapping can be saved in the allocation template

BD-024-09 Actual labor expense - account suffix The requirement may be removed if the account mapping can be saved in the allocation template

BD-024-10 Offset Actual labor expense - account suffix The requirement may be removed if the account mapping can be saved in the allocation template

REQ# BUDGET REQUIREMENTS USE CASE Comments

BD-024-11 Offset Actual labor expense - project The requirement may be removed if the account mapping can be saved in the allocation template

BD-025-00 The system will provide the ability to maintain the labor escalation definition with the following attributes:

BD-025-01 Effective date BD-025-02 Effective status BD-025-03 Fiscal year BD-025-04 Revision number BD-025-05 Fiscal out year BD-025-06 Escalation Rate BD-026-00 The system will provide the ability to maintain the spread code definition with the following attributes:

BD-025-01 Spread Code BD-026-02 Effective date BD-026-03 Effective status BD-026-04 Project BD-025-05 Month 1 percent BD-025-06 Month 2 percent BD-025-07 Month 3 percent BD-025-05 Month 4 percent BD-025-06 Month 5 percent BD-025-07 Month 6 percent BD-025-05 Month 7 percent BD-026-06 Month 8 percent BD-026-07 Month 9 percent BD-026-05 Month 10 percent BD-026-06 Month 11 percent BD-026-07 Month 12 percent BD-027-00 The system will provide the ability to maintain the labor rate defaults, with the following attributes: The defaults are used to pre-populate the productive time % and labor accounts in the labor rate setup page

REQ# BUDGET REQUIREMENTS USE CASE Comments

BD-027-01 Effective date

BD-027-02 status BD-027-03 Job Code BD-027-04 Division (2nd or 3rd level department) BD-027-05 Pay Class ( Pay Group plus Employee Class from PU Payroll system) BD-027-06 Productive Time Percent BD-027-07 Actual labor account The requirement may be removed if the account mapping can be saved in the allocation template

BD-027-08 Average labor account The requirement may be removed if the account mapping can be saved in the allocation template

BD-027-09 Offset account The requirement may be removed if the account mapping can be saved in the allocation template

BD-027-10 Offset project (indirect cost center) The requirement may be removed if the account mapping can be saved in the allocation template

BD-028-00 The system will provide the ability to maintain the overhead burden definition with the following attributes:

BD-027-01 Overhead Burden ID BD-028-02 Effective date BD-028-03 Rate status BD-028-04 Overhead type (e.g. On-site, LDRD, Safeguard & security…) BD-028-05 Description BD-029-00 The system will provide the ability to maintain the overhead burden rates with the following attributes:

BD-030-01 Effective date BD-030-02 Rate status BD-030-03 Overhead code BD-030-04 Fiscal year BD-030-05 Revision number BD-030-06 Percent BD-030-07 Charge-to account

REQ…