Product Requirements Analysis – Along with the Compliance Management Solution Requirement Matrix (Exhibit 1), Treasury will evaluate the capabilities and maturity of each proposed solution in the areas outlined below. Proposals should clearly outline how the solution can help Treasury manage its cases effectively and efficiently. If hosted and on-premises options are available both should be included in the pricing proposal, and any differences between the two clearly stated. A proposed solution must have the following attributes: Functional - Mandatory (250 points) The proposed solution must: be user-friendly, configurable, scalable, and compatible with Windows servers; allow multiple brokerage accounts per user; allow electronic direct feeds from multiple broker dealers; allow for automatic and manual entry of brokerage statements; have the ability to track private investments; allow for forensic testing of employee and firm data; have the ability to track gifts, entertainment, political activity, and outside business activity; allow for customized attestation forms; have the ability to monitor and track disclosures and attestations; maintain an audit trail of all filings, certifications, reports, violations, and trade and statement data for a minimum of seven years; allow for the creation and maintenance of restriction and watch lists; allow for the pre-clearance of trades; have the ability to provide scheduled or ad-hoc reports that can be configured and exported; have the ability to easily query data, create a variety of reports and have a management dashboard that shows real-time information by case or by user; provide single sign on; demonstrate ability to secure access and protect data; and have the ability to allow users to submit confidential reports of receipts of material non-public information; comply with Treasury’s Cloud Computing Policy as set forth in Attachment K, if a hosted solution. Functional - Preferable (50 points) The proposed solution should: be fully functional on mobile devices; have the ability to aggregate data across users into a single file; have the ability to connect to our Order Management System in order to incorporate Treasury positions and trades into analysis of personal trading; have the ability to create customized training materials; and include a compliance calendar; Implementation Support (100 Points) Treasury will evaluate each proposer’s ability to deploy the proposed solution: Understanding of business needs and plan for customization; Transfer data from current system; System deployment; and Initial training;
