The Requirements Compliance Matrix columns are defined as follows:

Transcription

1 1 DETAILED REQUIREMENTS AND REQUIREMENTS COMPLIANCE The following s Compliance Matrices present the detailed requirements for the P&I System. Completion of all matrices is required; proposals submitted with missing or incomplete matrices may be deemed non-responsive. The s Compliance Matrix columns are defined as follows: REQ Unique identifier for this requirement. Description of the requirement. Proposed solution completely fulfills the requirement features and functions provided by the COTS system s default, out of the box configuration Config Proposed solution meets the requirement through configuration of the COTS software ( a standard user interface with no custom programming required) Proposed solution does not meet the requirement Proposed solution meets the requirement through development of custom code Please provide a cross reference by listing major sections in your proposal where this requirement is addressed Any line item marked as Configuration, ization, or, requires additional explanation in writing as follows: Config Please indicate which specific aspects of the requirement are addressed additional configuration (vs. out of the box), key configuration parameters employed, and the mechanism which the configuration is specified and maintained. Please indicate the precise nature of and scope of the custom component(s), and the mechanism which those components integrate with the COTS system. Please indicate by what alternative means you propose that this requirement be met. Explanations for all lines in the requirements matrix marked as Configuration, ization, or, should immediately follow the completed matrix in the Vendor response. Each individual matrix line explanation must be clearly delineated with the heading: Additional Explanation <REQ > where <REQ > is the unique identifier for the requirement given in the first column of the matrix.

2 1.1 Core AP, AR, GL REQ Config FR1.1 Maintain AR History allowing for different levels of detail reporting (i.e., Report Source, District or Member level) FR1.1.1 Provide a complete audit trail for all account activity FR1.2 Include the complete accounts receivable cycle from establishment, billing, dunning, collection, reversal, credit memo, adjustment, and write-off FR1.3 Allow authorized users to create and update Employer account records with contact information and other Employer specific information based on user configurable business rules FR1.3.1 Allow authorized users to create and update processing requirements, typical payment types based on configurable business rules FR1.4 customer self-service for account management and payment application based on user-configurable business rules FR1.5 Allow authorized users to merge, relate, inactivate, and delete Employer accounts based on user configurable business rules, including effective dates FR1.6 Allow authorized users to attach various types of files / documents to Employer accounts and specific transactions within accounts based on user configurable business rules FR1.8 Automatically generate GL entries for all AR activity (transactions) with a financial impact based on user configurable rules for fund, program, account, financial reporting period, organization, revenue source / object of expense, included in a predefined chart of accounts FR1.9 Run configurable simple and / or rolled up journal imports from AR into GL, generating reports on general ledger entries created in detailed and summary form FR1.11 Perform automated AR aging with configurable business logic on-demand and based on scheduled events FR1.12 Perform configurable bad debt calculation and then determine and generate necessary journal entries

3 REQ Config FR1.13 Provide the ability to import receivables into the AR module that were created by an external system based on user configurable business rules FR1.14 Systematically create receivables based on events and other transactions using configurable business logic FR1.15 Manually generate AR entries (augment / override the automated process) FR1.16 Systematically and manually adjust AR balances based on user configurable business rules FR1.17 Create and manage varying payment and receivable types through system configuration FR1.18 Automatically and manually apply and override account holds based on configurable business logic FR1.19 Automatically compound interest / apply additional penalties and interest to amounts due for certain types of account activity at specified intervals based on user configurable business rules FR1.20 ability to apply different penalty and interest rates by fund, program, transaction, and customer based on user configurable business rules FR1.21 Provide the ability to search for Employer accounts and activity based on multiple criteria FR2.4 Calculate report correction due dates based on configurable criteria and record due dates on Employer account FR2.6 Systematically check open exceptions to determine if report is past due (e.g., the report was not submitted error free prior to report correction due date) (frequency based on business rules) FR2.7 Calculate incoming report line and remittance due dates based on configurable business rules (e.g., current and prior pay period end dates) FR2.8 Automatically calculate penalties and interest based on established due dates and actual receipts based on user configurable business rules that vary by program and transaction type

4 REQ Config FR2.9 Establish, update, and apply threshold amounts for calculating interest versus assigning a penalty based on configurable business rules (e.g., calculate the greater of regular interest for contributions due daily or $500 for late reports) FR2.10 Calculate compounded and / or simple interest at configurable intervals FR2.11 Leverage various fiscal interest rates based on configurable business rules (e.g., report or penalty assessment date) FR2.12 Perform data updates based on configurable business rules (e.g., report and report line data) FR2.13 Provide automated posting to GL system FR3.1 Establish remittance amount due based on configurable business rules (e.g., first acceptable report for current month) FR3.2 Calculate remittance due date based on configurable business rules (e.g., pay period end date) FR3.3 Calculate variance based on configurable business rules (e.g., actual / contribution payment amounts and projected / reported remittance amounts) to determine if remittances were underpaid FR3.4 Calculate variance based on configurable business rules (e.g., date submitted and remittance due dates) to determine if remittances were late FR3.5 Create refund notices and route to the SCO based on configurable business rules (e.g., if Employer remittance calculation determines remittance was overpaid) FR3.6 Calculate and assess penalties and interest for remittances based on configurable business rules (e.g., past due and / or underpaid) FR3.7 Flag and transfer accounts to collections (SCO) based on configurable business rules (actual transfer will be initiated mailing of printed reports detailing key account information) FR5.1 Perform automated billing and other AR activities based on configurable time intervals (e.g., 30, 60, 90 days) and for configurable amounts (e.g., amounts due 30 days following billing date)

5 REQ Config FR5.2 user configurable thresholds for billing and dunning based on account balance, transaction amounts, and transaction types FR5.3 electronic and hardcopy billing based on activity type, account balance, and Employer preferences using configurable business rules FR5.5 Provide automated billing notifications to Employers electronically the P&I Portal based on configurable business rules FR5.6 Provide users with the ability to configure billing notices and invoices FR5.7 Provide the ability to generate summary level and detailed billing information based on Employer preferences, automatically linking summary bills to supporting details FR5.8 configurable electronic bill tracking FR5.9 Generate configurable invoices displaying summary data and amounts due based on configurable business rules FR5.10 Trigger Employer and CalSTRS notifications of delinquency based on configurable timelines FR6.5 interface with Banking Institutions for electronic retrieval of bank deposit update notifications (electronic deposit slips) and returned items FR6.6 Link supporting payment and / or bank deposit documentation to an Employer record or AR entries FR6.8 manual application or reapplication of payments to specific line items or to account balances FR6.9 application of single payment to multiple Employer accounts based on user configurable business rules FR6.10 Automatically update Employer accounts and create GL entries for items returned by banking institutions, applying additional fees and penalties based on user configurable business rules FR6.11 Automatically generate GL entries to reflect the application of Employer payment FR6.12 Process delinquent payments, automatically updating penalty and interest amounts to reflect payment dates and amounts

6 REQ Config FR6.13 Integrate Employer payment history with credit management FR6.15 Apply payments to specific AR entries based on configurable business rules (e.g., FIFO) FR6.17 Automatically generate refunds for overpaid amounts by transaction type and account balance based on user configurable business rules FR6.18 Automatically reconcile payment application to deposit amounts base on configurable business rules FR6.19 Allocate lump sum payments across various reporting periods based on configurable business rules FR6.20 Create and route configurable documents for payments and refunds (e.g., a RA) to the SCO FR6.21 authorized user establishment and / or trigger Employer installment payment plans based on configurable business rules (e.g., for amounts due over $100,000 per Employer per year using regular interest) FR6.22 authorized user combination of amounts due for various penalties and interest assessments into one installment plan based on configurable business rules FR6.23 Limit installment plan content based on configurable business rules (e.g., exclude overpaid benefits and refund amounts) FR6.24 Restrict the maximum term for installment plans based on configurable business rules (e.g., 36 months) FR7.16 Generate customer delinquent notices based on configurable business rules FR7.19x Write off AR amounts based on configurable business rules

7 1.2 Dispute Case Management REQ Config FR7.1 Permit Employer dispute submission electronically the P&I Portal FR7.2 Create new dispute cases and assign unique dispute identifiers for tracking purposes based on configurable business rules (e.g., dispute was submitted within 30 days of notice) FR7.3 Permit CalSTRS to initiate a new dispute case FR7.4 Link a dispute case to an AR entry and supporting details and calculations based on configurable business rules FR7.5 Automatically calculate Dispute Case response due date based on configurable business rules (e.g., creation / submittal date) FR7.6 Permit Employers to edit and / or update dispute cases electronically the P&I Portal FR7.7 Permit CalSTRS to edit and / or update dispute cases FR7.8 Perform validation of dispute against invoice / billing notice based on configurable business rules, providing immediate response to Employer FR7.9 Provide configurable dispute confirmation, information requests, update notifications and / or correspondence to Employers electronically the P&I Portal FR7.14 Automatically create Employer account adjustment for certain dispute resolution types based on user configurable business rules FR7.15 CalSTRS requests for additional information from Employers related to specific disputes, pending case and recalculating response due date based on user configurable business rules FR7.17 Maintain customer dispute request FR7.18 Automatically update dispute case file based on work queue, caseworker, review, and Employer actions, retaining a complete audit trail

8 1.3 Employer Payment REQ Config FR6.4 interface with banking institutions and other third parties for electronic deposit FR6.14 Import payments from external systems (i.e., START) FR6.16 the entry of payments from varying sources. (e.g., EFT, ACH, etc.) 1.4 Reporting REQ Config FR1.7 Run configurable ad hoc or standard reports to validate AR activities prior to interfacing to the GL authorized user ad hoc report creation and execution online and scheduled jobs. Provide standard reports to support industry standard accounts receivable management that adhere to best practices and the General Accepted Accounting Principles (GAAP). FR1.10 Run configurable month-end AR reports for use in reconciliations, providing automated comparisons between Employer account activity by transaction type and total GL entries for the month FR1.22 Automatically notify the Employer of all activity in their account based on user configurable business rules and Employer preferences FR2.2 Provide configurable confirmations, notifications, and / or correspondence to Employers electronically the P&I Portal FR2.3 Provide Employer notification and reports detailing errors discovered during validation and due date for corrections based on configurable business rules FR6.25 Systematically provide notifications of late and / or under payment of installment plan payments based on configurable business rules

9 1.5 Self Service REQ Config FR5.4 Perform ad hoc billing based on Employer requests FR6.1 Employer electronic payment submission the P&I Portal FR6.2 Permit Employer supporting payment documentation submission electronically the P&I Portal (in the case of mailed payment vs. electronic payment) FR6.3 Provide configurable payment and / or supporting documentation confirmation to Employers electronically the P&I Portal FR6.7 Employer self-service for application of both electronic and nonelectronic payments using current Employer account open items and balances (e.g., posting money on account or for specific designated purposes as well as against particular line items) 1.6 Workflow REQ Config FR7.10 Route new / updated dispute case to applicable queues based on configurable business rules FR7.11 Assign a primary dispute caseworker based on configurable business rules FR7.12 multiple work flows for a single dispute based on the work queues assigned FR7.13 multiple review and approval paths for dispute resolution recommendations based on user configurable business rules

10 1.7 Non-Functional s REQ Config NFR1.1 Use a leading practice, CalSTRSapproved, development methodology for solution implementation (e.g., SCRUM) NFR1.2 Provide a proven (repeatable) CalSTRS approved deployment methodology for solution implementation that conforms to project management leading practices (e.g., PMBOK Project Management Body of Knowledge) NFR1.3 Provide a detailed Implementation Plan for all required project activities based on established methodologies and recommended roll-out approach for all system modules and entities NFR1.4 Provide the ability to accelerate fulfillment in a compressed timeframe (such as 12 months) and include risk assessment and mitigations NFR1.5 Provide culture / change management activities to achieve 80% adoption rates for combined staff, supervisors, and managers, measured six (6) weeks following implementation NFR1.6 Simultaneously support multiple testing environments (system integration, user acceptance) and processes for different versions of components / modules NFR1.7 Provide detailed Test Plans, associated test tools, following a leading practice methodology for establishing the test environments, conducting system integration, acceptance, and regression testing, recording, tracking, and resolving defects, and updating related documentation NFR1.8 Incorporate testing of online and batch interfaces and integration of all application components NFR2.1 Provide for real-time processing and scheduled / background batch processing based on configurable criteria for long running functions without impacting online performance NFR2.2 Provide less than a three (3) second screen response time for typical desktop configuration

11 REQ Config NFR2.3 Scale through the addition of hardware capacity (e.g., servers / network bandwidth), and not require that the software solution be re-designed or modified NFR2.4 Handle assessment of and calculation upon 120 million batch input transactions on an annual basis (10 million monthly) and up to 1 million transactions per submitter / customer NFR2.5 Track / bill / receive payments / reports for 5000 customer / Employer accounts and for 100,000 open receivables NFR2.6 Solution support for 500 business users (250 concurrent) and report / view only users NFR3.1 The proposed solution shall have the capability to be available 24x7 (high availability architecture and design) NFR3.2 The proposed solution shall have failover capability to a back-up to provide continuous service in the event of an outage (e.g. power failure, system failure or catastrophic data failure) NFR4.1 Solution support for full auditing capabilities and accountability for transactions processed through the system by tracking all data change activity (e.g. user, date and time, type of change) NFR4.2 Solution support for audit trail reporting to support pre and post review of system transactions, business rules, database changes, module maintenance and other activities NFR4.3 Produce standard audit logs to support security and system management NFR5.1 Proposed platforms will be compatible with CalSTRS platform standards NFR5.2 Meet technical requirements derived from the Accounting Regulations Architecture including all statutes, regulations, policies, guidelines, and constraints NFR5.3 Include a portal-based / customer-centric web presence to facilitate communication

12 REQ Config NFR5.4 Provide web-based access for system maintenance and support (e.g. remote access a web-based interface) NFR7.1 Provide a process to allow for recovery in the event of a major hardware failure NFR7.2 Provide complete back-up functionality, including system compatibility with back-up data NFR8.1 Include a strategy and approach to maintain data integrity (management of the accuracy and completeness of data) NFR8.2 Archive, retain, and retrieve data and related metadata in accordance with the record retention policy NFR8.3 Maintain transaction integrity by validating transaction entries for logic errors or business rule violations, and log and report exceptions NFR8.4 Validate successful delivery and receipt of shared data with other internal and external systems and processes NFR8.5 Ensure system is backward and forward compatible for archived data NFR9.1 CalSTRS will own and have unrestricted access to the data NFR9.2 Provide database encryption for Personally Identifiable Information (PII) NFR9.3 Enforce referential integrity between related tables NFR10.1 Provide capability for authorized users to easily access and personalize reporting tools NFR10.2 Include an ad hoc report writer and query system with capabilities to create reports that sort, sum, and filter data by any field and defined criteria NFR10.3 Provide real time access to critical data NFR10.4 the use of notifications and other authorized user configurable alerts for query, report, batch processing, review, errors, and workflow

13 REQ Config NFR10.5 Provide a supervisor's view of reporting relationships, approval responsibilities, and data based on user configurable business rules NFR10.6 Provide reports in standard formats, including but not limited to Microsoft Excel, XML, Microsoft Word, PDF, Comma Separated Values (CSV) and ASCII text file NFR10.7 Provide the ability to drill-down through a web-based tool, from a transaction to the corresponding supporting documentation NFR11.1 Provide the ability to view a single transaction or a group of transactions on a single screen NFR11.2 Provide capability for authorized users to personalize the presentation of content and capabilities (e.g., screen layout, reports) NFR11.3 Provide the ability to retrieve archived invoices along with all supporting documents NFR11.4 Provide the ability to create, edit and maintain data entry templates (e.g. screens and / or external forms /.pdf format) with entry validation NFR11.5 Provide the ability to record entries individually and in batch NFR11.6 Provide the ability to add additional functionality to the application to fit new business requirements without invalidating Vendor support through API or other leading practices NFR11.7 Include the ability to search for data within the application (e.g., user help, key customer data elements, data base transaction queries) NFR11.8 Provide context driven user maintainable help NFR11.9 Provide warning and hard edits / errors based on configurable business rules NFR11.10 Eliminate redundant data entry NFR11.11 Provide the ability to log and automatically report error conditions

14 REQ Config NFR11.13 end user development of printed forms and notices NFR11.14 mass changes, deletes, reversals as well as the reporting and identification of invalid transactions NFR11.15 Provide the ability to automatically generate s or other alerts for error resolution NFR11.16 Comply with and support requirements of the Americans with Disabilities Act (ADA) NFR12.1 Utilize workflow to electronically route transactions, reports, and documents across all modules NFR12.2 Provide configurable automatic routing and notification of workflow steps / events and documentation of approvals and rejections NFR13.1 Provide the ability for Employers to view billing and invoice details and reports. NFR13.2 Provide the ability for Employers to submit payments online and define allocations NFR13.3 Provide the ability for Employers to submit disputes online and to monitor the dispute process NFR14.1 Provide the ability for configurable integration tools, including configuration for data exchange business rules NFR14.2 Provide the ability to integrate with internal and external web services, including but not limited to banking institutions, Electronic Fund Transfer (EFT), Automated Clearing House (ACH), START NFR14.3 Provide the ability to integrate with CalSTRS'.NET and web services architectures NFR14.4 Provide the ability to connect web services through Application Programming Interfaces (API) NFR14.5 dynamic and delayed (scheduled) integration

15 REQ Config NFR14.6 Provide automatic validation and reconciliation of exchanged data between CalSTRS' in-scope systems (i.e., START, SEW) NFR15.1 Protect Personally Identifiable Information (PII) by adhering to the FIPS (Federal Information Processing Standard) and CalSTRS' information security and privacy Standards and policies for viewing, reporting and transmission of at-rest and in-transit PII information NFR15.2 Handle data and transactions in a manner that complies with the Payment Card Industry Data Security Standard (PCI- DSS) NFR15.3 Provide role based access control for management and authorized user control over transactions, forms access, field updates, data queries, and other types of authorizations NFR15.4 single sign on, in compliance with CalSTRS' Security Standards and Policy, for CalSTRS' authorized users and Employers (Employers SEW) or, in the case of a hosted solution, enable integration with Microsoft Active Directory NFR15.5 single sign on or integration with custom security service used with SEW and conform to ISO Password Security Policy NFR15.6 Provide a web-based interface for administering security NFR15.7 Meet or exceed CalSTRS' Standards and Policy for the security principles of identification, authentication, authorization, and accountability NFR15.8 Comply with CalSTRS' Password (access restrictions) Standards and Policies NFR15.9 Comply with CalSTRS' Data Encryption Standards and Policies NFR16.1 Provide end user functional and technical training to prepare staff for launch and implementation. Provide training materials for implementation, ongoing and refresher training

16 REQ Config NFR16.2 Provide training for technical support personnel in preparation for implementation. Provide materials and tools for implementation, ongoing and refresher training NFR16.3 For proposed hosted solution, associated Vendor shall be SAS-70 certified for IT Controls. (Most recent SAS-70 Audit Report to be attached to the Proposal). Not Applicable