1. 0 Collections 2011 and Beyond- Technical Requirements for Your Agency’s Conversion Financial Management Service U.S. Department of the Treasury Presented by:

2. Welcome 2 Craig Sadick Acting Director, Agency Relationship Management Division

3. Collections and Cash Management Modernization Gregory Till Director, Modernization Planning Office 3

4. Collections and Cash Management Modernization (CCMM) 4 CCMM is an initiative to simplify and modernize FMS’s and Treasury’s collections and cash management programs It began in 2006 and is expected to be complete by the end of 2012 Several programs have ongoing CCMM changes that will impact agencies –Transaction Reporting System (TRS) –Over the Counter Channel Application (OTCnet) –Pay.gov –Credit Gateway –Treasury Collateral Management and Monitoring (TCMM) System The changes caused by TRS and OTCnet are the most significant for agencies In addition, CA$HLINK II is being decommissioned These changes are mentioned in a recent letter from the FMS Commissioner to agency CFOs (available at: fms.treas.gov/ccmm)

5. Collections and Cash Management Modernization (CCMM) 5

6. 6 An easier-to-understand mix of revenue collection programs Consolidation of transaction and deposit reporting in a centralized location Elimination of daily reconciliations to deposit reports (CA$HLINK II) Capturing of TAS/BETC information at the time of transaction Standardization of file format (XML) for transaction details Improved access to collateral data Better service in general Agency Benefits

7. Collections and Cash Management Modernization (CCMM) Convert to the end-state systems sooner rather than later Work with FMS to determine the Treasury Account Symbols (TASs), Business Event Type Codes (BETCs) and Classification Keys (C-Keys) that channel applications should capture when processing revenue collections Stop using paper SF 215 deposit tickets and start using OTCnet’s electronic deposit processes Re-program agency systems that receive automated files from CA$HLINK II (and ACH credit & Fedwire electronic lockboxes) to instead receive XML files from TRS Inform Fedwire and Automatic Clearing House (ACH) credit electronic lockbox remitters of the need to use new routing numbers 7 Agency Preparation

8. 8

9. 9

10. Contact Information - CCMM Website: https://fms.treas.gov/ccmmhttps://fms.treas.gov/ccmm -CCMM Email: ccmm@fms.treas.govccmm@fms.treas.gov -Agency Customer Relationship Managers (CRMs): www.fms.treas.gov/crm/contacts.html -Director of Modernization Planning Office: Greg Till (202) 874-6935 gregory.till@fms.treas.gov 10 Collections and Cash Management Modernization (CCMM)

11. OTCnet Reginald McKinney Business Lead, Over the Counter Revenue Collection Division 11

12. Over the Counter Channel Application (OTCnet) Program Overview Web-based application for Check Capture and Deposit Reporting Client software program for Check Capture Single touch point for over the counter collections Support agencies receiving collections (cash, coins, checks) who are making deposits to a Treasury General Account (TGA) or Federal Reserve Bank (FRB) financial institution Provides a central database for research and reporting 12

13. Benefits of OTCnet Easy to Use  Simple. A user friendly and easy to navigate system  Convenient. One system to use for deposit processing  Accessible. Access information and reports anytime, anywhere One System  Efficient. Use of Single Sign On—One secure username and password combination to access OTCnet and other FMS systems  Flexible. A new web-based application that can be accessed online and offline (Check Capture activities only)  More Control. Security Administrators from each agency will manage their users centrally Training and Fully Compliant  Online Training. Integrated Web-based-Training (WBT) can be easily accessed by agencies and financial institutions  Governmentwide Accounting (GWA) Compliant. Accommodates deposit reporting and check capture "the GWA way” (check capture will be in a future release)  Secure. Compliant with FISMA, 508 regulations, and HSPD-12 and PIV standards Easy to Use  Simple. A user friendly and easy to navigate system  Convenient. One system to use for deposit processing  Accessible. Access information and reports anytime, anywhere One System  Efficient. Use of Single Sign On—One secure username and password combination to access OTCnet and other FMS systems  Flexible. A new web-based application that can be accessed online and offline (Check Capture activities only)  More Control. Security Administrators from each agency will manage their users centrally Training and Fully Compliant  Online Training. Integrated Web-based-Training (WBT) can be easily accessed by agencies and financial institutions  Governmentwide Accounting (GWA) Compliant. Accommodates deposit reporting and check capture "the GWA way” (check capture will be in a future release)  Secure. Compliant with FISMA, 508 regulations, and HSPD-12 and PIV standards Over the Counter Channel Application (OTCnet) 13

14. Over the Counter Channel Application (OTCnet) System Update  December 2010 Completed User Acceptance Testing for release 1.0  January 31, 2011 Completed Certification and Accreditation (C&A) for Release 1.0  February 5, 2011 Completed Release 1.0 – Deposit Reporting and Online Check Capture  March 5, 2011 Completed Release 1.1 – Technology refresh  April 30, 2011 Completed Pilot period for Release 1.0  May 5, 2011 Completed Release 1.1.2 – Minor defect release  June 18, 2011 Completed Release 1.2 – Check Capture Offline 14

15. Over the Counter Channel Application (OTCnet) Timeline of upcoming releases (release functionality) ReleaseFunctionalityEst. Release Date 1.3This release will provide the capability to report the check capture accounting data at the individual check level the GWA way. Check capture transactions will be reflected in TRS. Update for the online batch upload service interface specifications to include the check conversion accounting data. 3Q FY 2012 15

16. Over the Counter Channel Application (OTCnet) Timeline for agency conversions  April 2011—October 2012 – Paper Check Conversion Over the Counter (PCC OTC) Conversion to OTCnet. All agencies using PCC OTC must convert to OTCnet.  April 2011—October 2012 – All agencies preparing paper SF 215 deposit tickets must onboard onto OTCnet for Deposit Reporting. This is not optional. All prior TGAnet agencies and users were converted over to OTCnet in March 2011. OTCnet has a total of 64 agencies and over 6,000 users. 16

17. Over the Counter Channel Application (OTCnet) 17 Requirements for Agency Conversions Technical System Requirements -Web Browser: Internet Explorer 7.0 or 8.0. -Operating system independent: compatible with Windows XP, Vista, and Windows 7 -Treasury Root Certificate: The Treasury Root Certificate must be installed in the “Trusted Root Certification Authorities“ certificate store on the “local machine” (all user profiles) for the workstation. -Entrust Root Certificate: The Entrust (2048) Root Certificate must be installed in the “Trusted Root Certification Authorities“ certificate store on the “local machine” (all user profiles) for the workstation. This certificate is normally installed by default with Internet Explorer. If it has been removed, you will need to have your agency re-install the certificate. -Internet Options Security Settings: “Use TLS 1.0” must be enabled in the advanced tab of Internet Options for all user profiles on the workstation. -Ports: Router/Firewall Administrators must ensure and verify that outbound ACL (Access Control List) has complete https access on port 443. -Workstation Memory: 1 GB physical memory is required; 2 GB is recommended. -Free Disk Space: 20 MB of free disk space is required. -Window Resolution: Windows Resolution should be 1024x768 or 800x600.

18. Over the Counter Channel Application (OTCnet) Additional System Requirements for OTCnet Check Capture functionality -ActiveX must be enabled in browser – This must be enabled for all user profiles on the workstation that use OTCnet. It may be enabled by default.  Scanner Drivers (MSI installation file) – Scanner driver and firmware (provided in an MSI installation file) must be installed on the workstation.  Java Runtime Environment (JRE) 1.6.0_20 – The Java Runtime Environment 1.6.0_20 (Java SE 6 Update 20) must be installed and enabled on the workstation.  Adobe Reader – Adobe Reader version 7.x or higher must be installed on the workstation to support the optional receipt printing functionality.  OTCnet URLs Added to Trusted Sites Zone – OTCnet URLs must be assigned to the Trusted Sites zone for Windows Vista and Windows 7 for all user profiles on the workstation. Note that this requirement is not necessary for Windows XP workstations. 18 Requirements for Agency Conversions (cont’d)

19. Over the Counter Channel Application (OTCnet) Check Processing Hardware Requirements OTCnet will be compatible with the suite of scanners and keypads currently in the field - Supported Hardware for Windows XP, Windows 7, and Vista - Scanners: RDM EC601x and EC7000i Panini Myvision and visionX - Keypads: Ingenico i3050 and eN-Crypt Supported Hardware for Windows XP (vendor has discontinued support for scanner in Windows 7 and Vista) - Scanner: RDM EC5000i FMS encourages agencies using the RDM EC5000i and early versions of the EC6000i to transition to the current EC7000i model 19

20. Over the Counter Channel Application (OTCnet) Special Instructions for Agency Conversions Agencies using PCC OTC Conversion Steps High-Level Summary Continue to use PCC OTC until you have been contacted by the Conversion Team to schedule your migration Step 1Visit the OTCnet and TRS Websites: http://www.fms.treas.gov/otcnet/index.html and http://www.fms.treas.gov/trs to review documentation provided.http://www.fms.treas.gov/otcnet/index.html http://www.fms.treas.gov/trs Step 2Review the System Requirement Documentation for both OTCnet and TRS to ensure your workstation has the necessary system requirements Step 3Complete training prior to making your first deposit in OTCnet (Go To http://fms.treas.gov/otcnet/training/wbt/index.htm). Training must be completed by all OTCnet users. Step 4The OTCnet and TRS teams will be working with your agency jointly to begin the conversion process Step 5Complete conversion to OTCnet and enrollment into TRS Step 6Begin making deposit using check capture and viewing deposit information in TRS (available 3Q FY12) 20

21. Over the Counter Channel Application (OTCnet) Special Instructions for CA$HLINK II Agency Onboarding Agencies preparing SF 215 Onboarding Steps Conversion Steps High-Level Summary Step 1Visit the OTCnet and TRS Websites: http://www.fms.treas.gov/otcnet/index.html and http://www.fms.treas.gov/trs to review documentation providedhttp://www.fms.treas.gov/otcnet/index.html http://www.fms.treas.gov/trs Step 2Review the System Requirement Documentation for both OTCnet and TRS to ensure your workstation has the necessary system requirements Step 3FMS will contact your agency with onboarding information for both OTCnet and TRS Step 4FMS will work with your agency to complete necessary steps to onboard to OTCnet and TRS Step 5Begin preparing deposit tickets using OTCnet Deposit Reporting and viewing deposit information in TRS 21

22. OTCnet Technical Questions? Do we need a dedicated workstation for OTCnet? No, you only need a workstation that has access to the internet Do we need a Interconnection Security Agreement (ISA)? No, OTCnet is a web-based application with no ISA needed Do we have to establish special ports from our firewall? OTCnet will need to have complete https access to port 443 What Internet browser does OTCnet support? OTCnet supports Internet Explorer version 7.0 or 8.0 What operating system does OTCnet support? OTCnet supports Windows XP, Vista and Windows 7 Over the Counter Channel Application (OTCnet) 22

23. OTCnet Agency Testimonials Customs and Border Protection (CBP) –Staff was very courteous and helpful –Everything was well planned out and worked perfectly with little effort National Park Service (NPS) –Excellent website training –It was a very smooth transition Immigration and Customs Enforcement (ICE) –OTCnet is very simple and quicker for us U.S. Courts –Web-Based-Training was easily accessible and very intuitive –Enjoyed working with a very responsive and knowledgeable staff Over the Counter Channel Application (OTCnet) 23 *Input based on the TGAnet Full Migration Feedback Form

24. Over the Counter Channel Application (OTCnet) Next Steps  Pass on the OTCnet technical requirements contained in this presentation to your agency technical/IT support personnel.  Agencies making Treasury General Account (TGA), International TGA, and Federal Reserve Bank TGA deposits must contact Financial Management Service (FMS) OTCnet representatives as soon as possible to be informed of your projected conversion date and the requirements to do deposit reporting in OTCnet. CA$HLINK II is being decommissioned in December 2012.  Continue using PCC OTC until contacted by FMS. Conversion will take place between now and October 2012.  Take advantage of the OTCnet Web-based-Training (WBT) and learn more about the new web-based OTCnet system. 24

25. Over the Counter Channel Application (OTCnet) Contact Information - OTCnet Website: www.fms.treas.gov/otcnetwww.fms.treas.gov/otcnet -OTCnet Technical Contact: Customer Service Call Center 1-866-945-7920 fms.otcchannel@citi.com -OTCnet Agency Adoption Team 703-377-5586 fms.otcdeployment@citi.comms.otcdeployment@citi.com 25

26. Transaction Reporting System (TRS) 26 Tamara Whitaker Director, Accounting & Data Management

27. Benefits of TRS Single Touch Point  Convenient. Exchange of all financial transactions across all collections systems  More information. Centralized repository containing detailed and summarized records of all revenue collections transactions processed by FMS systems  Accessible. Web-based application that allows access to information and reports anytime, anywhere Costs Savings  Efficient. Reduces redundancy in reporting and functionality across collections systems and business lines  Flexible. Reports can be accessed online or saved to the users’ workstations  Standardization. Normalizes financial transaction reporting and standardizes the availability of financial information across all settlement mechanisms and collections systems Compliance and Training  GWA Compliant. Supports the reporting of classification information for the Government-Wide Accounting (GWA) Modernization initiative  Online Training. Integrated Web-based-Training (WBT) can be easily accessed within the application Single Touch Point  Convenient. Exchange of all financial transactions across all collections systems  More information. Centralized repository containing detailed and summarized records of all revenue collections transactions processed by FMS systems  Accessible. Web-based application that allows access to information and reports anytime, anywhere Costs Savings  Efficient. Reduces redundancy in reporting and functionality across collections systems and business lines  Flexible. Reports can be accessed online or saved to the users’ workstations  Standardization. Normalizes financial transaction reporting and standardizes the availability of financial information across all settlement mechanisms and collections systems Compliance and Training  GWA Compliant. Supports the reporting of classification information for the Government-Wide Accounting (GWA) Modernization initiative  Online Training. Integrated Web-based-Training (WBT) can be easily accessed within the application Transaction Reporting System (TRS) 27

28. How TRS Benefits Enrolled Agencies Agencies working to use TRS as their primary source of collections information will have the opportunity to:  View detail transaction data (that is not available in CA$HLINK II) and its associated voucher information in one location  Gain a clear understanding of how TRS works prior to the CA$HLINK II decommission date  Compare system usability and overall functionality  Have sufficient lead time to implement data downloads and system to system interfaces before CA$HLINK II decommission date  Provide feedback to the TRS Team. Numerous TRS enhancements and features are the direct result of feedback from agency users. Agencies working to use TRS as their primary source of collections information will have the opportunity to:  View detail transaction data (that is not available in CA$HLINK II) and its associated voucher information in one location  Gain a clear understanding of how TRS works prior to the CA$HLINK II decommission date  Compare system usability and overall functionality  Have sufficient lead time to implement data downloads and system to system interfaces before CA$HLINK II decommission date  Provide feedback to the TRS Team. Numerous TRS enhancements and features are the direct result of feedback from agency users. Transaction Reporting System (TRS) 28

29. Transaction Reporting System (TRS) System Update (Status of Data Availability) Plan dates are current targets as of 5/20/2011 and subject to change 29

30. Transaction Reporting System (TRS) System Update (Timeline of Software Release Projects) Plan dates are current targets as of 5/20/2011 and subject to change 30

31. Transaction Reporting System (TRS) TRS Reporting Options & Delivery Methods TRS Output Options –Standard Reports – Provides a standard set of reports that can be produced on-demand or on a scheduled basis. Report output can be viewed online or can be saved to a user’s workstation in PDF, Excel, or CSV format. –XML Extract Files – Allows a user to schedule creation of a file of data in the FMS XML Transaction Schema format TRS Delivery Methods –Download – Allows a user to transfer or save a file from TRS to the user’s workstation. The download may be a TRS Standard Report or a XML Extract File. Most users will download TRS reports. –File Transmission – Provides the ability for an agency’s system to receive an extract of data directly from TRS 31

32. Transaction Reporting System (TRS) TRS Standard Reporting Functionality –Current TRS Standard Transaction Reports Voucher / Voucher Detail Financial Transaction Summary / Detail Fedwire Message Summary / Detail Plastic Card Summary / Detail ACH Summary / Detail GWA Entries / Detail Agencies may specify parameters (ALC, accounts, date range, etc.) Agencies may specify scheduling criteria (daily, weekly, monthly) –Upcoming Functionality in Agency Reporting Iteration 3 (ARI 3) Report updates to introduce optional prompts and scheduling Creation of downloadable reports with details Updates to the existing User Profile Summary Report to assist Security Users Updates to the existing Voucher Report to view preliminary vouchers 32

33. Transaction Reporting System (TRS) TRS XML Extract Functionality - Deliver data in one standard FMS XML Transaction Schema format - Flexibility to specify selection and scheduling criteria –Agency selects content Summary Only  Voucher-level information Detail Only  Individual collection transaction-level information (credit card transactions, wires, ACH transactions) Summary and Detail  Voucher-level information along with any associated detail transactions –Agency selects parameters Frequency (daily, weekly, monthly) Selection criteria (ALCs, accounts, date range, input systems, etc.) 33

34. Transaction Reporting System (TRS) TRS Technical Requirements –TRS Standard Reports - Created in Business Objects can be accessed online and may be downloaded into PDF, Excel and CSV formats  TRS supports: –Internet Explorer 7.0 and 8.0 –Adobe Reader 9.0 –TRS XML Extract Files - Created in the FMS XML Schema format  TRS XML Extract Files Specification http://www.fms.treas.gov/trs/documents/xml_spec.pdf http://www.fms.treas.gov/trs/documents/xml_spec.pdf  FMS XML Schema http://fms.treas.gov/eda/xml  Files under 10 MB require no additional software if downloaded from TRS application  Files over 10 MB are pushed automatically via Connect: Direct.  TRS standard for system-to-system interface is VPN over the Internet using Connect:Direct 34

35. Transaction Reporting System (TRS) Do I Need a System-to-System Connection? Existing Connections Have existing System-to-System Connections with CA$HLINK II or other collections systems REX Download Agency uses the REX download function in CA$HLINK II to download ACH Credit data Large Volumes Have large volume of daily transactions Automated Processing Prefer automated processing of collections data –You may need a System-to-System Connection via Connect:Direct if any of the following apply to your agency: 35

36. Transaction Reporting System (TRS) 36 I Think I Need a Connection, Now What? Start-up Enroll your agency in TRS, if not already enrolled, and review your data Review the TRS XML Extract Files specification on the TRS website Create small XML Extract Files (downloadable online) for review Complete required documentation  TRS Request Form - Documents your request for a system-to-system connection  TRS XML System-to-System File Transfer Questionnaire - Determines the basic requirements for a system-to-system connection  TRS Extranet Trading-Partner Setup Form - One-page detailed Technical Configuration Form  Interconnection Security Agreement (ISA) and Memorandum of Understanding (MOU) between requesting agency and FMS

37. Transaction Reporting System (TRS) 37 I Think I Need a Connection, Now What? (cont’d) Interface Configure your internal financial system to accept TRS XML Download files Work with TRS Team to establish the required network connectivity -Completing the interface project will enable the automated delivery of TRS XML Extract files to your environment -The network connectivity project will take approximately 4-6 weeks -Once the connection project is completed, and the ISA and MOU are finalized, your agency can receive production XML Extract files of any size from TRS

38. Transaction Reporting System (TRS) Timeline for Agency Enrollment (High-Level) –As of June 10, 2011 –Target: 177 Agencies 122 Agencies 2,845 Users Enrolled in TRS 47 Agencies in progress 8 Remaining Currently Turn off CA$HLINK II December 31, 2012 38

39. Transaction Reporting System (TRS) Timeline for transitioning from CA$HLINK II to TRS 39 OTCnet Check Capture in TRS Agency Preparation to Stop Using TRS CA$HLINK TURNED OFF December 31, 2012 Agencies Enroll in TRS Agencies Prepare to Stop Using CA$HLINK II CY Q4 2011 CY Q1 2012 CY Q2 2012 CY Q3 2012 CY Q3 2011 CY Q4 2012 CY Q2 2011

40. Transaction Reporting System (TRS) Life with TRS after CA$HLINK II 40

41. Transaction Reporting System (TRS) Next Steps / Agencies Preparation –Visit the TRS website (http://fms.treas.gov/trs/) and utilize a comprehensive set of resources:  Overview information about TRS  Information about preparing for TRS, data availability, and enrollment  Sign up for TRS Website updates to stay informed –Ensure staff is familiar with how TRS fits into your agency’s financial management processes –Increase your reliance on TRS for deposit reporting –Begin preparations to modify your systems and processes to accept downloads or interfaces from TRS, instead of CA$HLINK II Be ready when CA$HLINK II is turned off on December 31, 2012 41

42. Transaction Reporting System (TRS) Contact Information –TRS Website: http://fms.treas.gov/trs –TRS Agency Outreach Team: 301-699-6814 TRSAgencyOutreach@pnc.com –TRS Call Center 1-800-346-5465 or 301-887-6600 trs@pnc.com 42

43. Conclusions/Takeaways An easier to understand mix of revenue collection programs Consolidated transaction and deposit reporting Elimination of daily reconciliations to deposit reports (CA$LINK II) Standardization of file format (XML) for transaction details Capturing of TAS/BETC information at the time of transaction 43 Key CCMM Benefits

44. Conclusions/Takeaways  All agencies using CA$HLINK II for deposit reporting must convert to OTCnet between June 2011 through October 2012. OTCnet will enable agencies to prepare TGA Bank deposit electronically  All agencies must convert from the PCC OTC system to OTCnet from June 2011 through October 2012. The conversion from PCC OTC to OTCnet will allow your agency to integrate check capture and deposit reporting activities so that all check and cash deposits are handled by one web- based application.  All FPAs must enroll in the Transaction Reporting System (TRS) by September 30, 2012. All system to system interfaces and download capabilities must be completed by this date. 44 Key Dates Agency conversion to OTCnet and TRS is essential. CA$HLINK II will be turned off on December 31,2012.Therefore:

45. Conclusions/Takeaways Please review the system/technical requirements for OTCnet Please take advantage of our Web-based-Training for OTCnet Please visit OTCnet website (www.fms.treas.gov/otcnet)www.fms.treas.gov/otcnet 45 OTCnet Takeaways

46. Conclusions/Takeaways 46 TRS Takeaways Approximately 70% of the agencies using CA$HLINK II have been enrolled in TRS TRS has most of the collections data and reports that agencies need to transition their deposit reporting from CA$HLINK II to TRS By mid-2012, TRS will have the remaining collections data and the download report capabilities that agencies need to fully transition to TRS Agencies should be preparing now to use TRS, instead of CA$LINK II for their deposit reporting functions There may be technical changes that agencies have to make to use TRS for deposit reporting functions; agencies should begin planning for and implementing these technical changes immediately Please visit the TRS website (www.fms.treas.gov/trs)www.fms.treas.gov/trs

47. 47 ACRONYMS Collections and Cash Management Modernization (CCMM) ACH ALC Automated Clearing House Agency Location Code CCMMCollections and Cash Management Modernization CGACCommon Government-Wide Accounting Classification C-KeyClassification Keys ECPElectronic Check Processing EFTPSElectronic Federal Tax Payment System FBWTFund Balance with Treasury FDSFedwire Deposit System FMSFinancial Management Service FPAFederal Program Agency FRBFederal Reserve Bank GOALS IIGovernment On-line Accounting Link System GWAGovernment-Wide Accounting GWAMPGovernment-Wide Accounting Modernization Program

48. 48 ACRONYMS (cont’d) Collections and Cash Management Modernization (CCMM) IPACIntra-Governmental Payment and Collection ITGAInternational Treasury General Account (Depositary) OTCOver The Counter OTCnetOver The Counter Network PATAXPaper Tax System PCC OTCPaper Check Conversion Over The Counter POSPoint of Sale REXRemittance Express SAMShared Accounting Module TAS/BETCTreasury Account Symbol/Business Event Type Code TCMSTreasury Cash Management System TGATreasury General Account Depositary TGAnetTreasury General Account Deposit Reporting Network TIPTreasury Investment Program TRSTransaction Reporting System TT&LTreasury Tax & Loan (accounts) URLUniform Resource Locator VPNVirtual Private Network WBTWeb-Based Training XMLExtensible Markup Language

49. 48 For additional information, visit ww.fms.treas.gov/ccmm or email ccmm@fms.treas.govww.fms.treas.gov/ccmm Questions? 49