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					State of Nebraska (State Purchasing Bureau)                                            RETURN TO:
                                                                                          State Purchasing Bureau
                                                                                          301 Centennial Mall South, 1st Floor
REQUEST FOR PROPOSAL                                                                      Lincoln, Nebraska 68508
                                                                                       OR
FOR CONTRACTUAL SERVICES FORM                                                             P.O. Box 94847
                                                                                          Lincoln, Nebraska 68509-4847
                                                                                          Phone: 402-471-2401
                                                                                          Fax: 402-471-2089


 REQUEST FOR PROPOSAL NUMBER                                          RELEASE DATE

                               80Z1                                                  January 13, 2004
 OPENING DATE AND TIME                                                PROCUREMENT CONTACT

     February 25, 2004, 2:00 p.m. Central Time                                          Ruth Gray

This form is part of the specification package and must be signed and returned, along with proposal documents, by the
opening date and time specified.

                                              PLEASE READ CAREFULLY!
                                         SCOPE OF SERVICE
The State of Nebraska, Department of Administrative Services, Materiel Division, Purchasing Bureau, is
issuing this Request for Proposal, RFP Number 80Z1, for the Nebraska Workforce Development, Department
of Labor (NWD-DOL), for the purpose of selecting a qualified contractor to provide a modernized
Unemployment Insurance Benefits Payment System at a competitive and reasonable cost.

Written questions are due no later than January 30, 2004, and should be submitted via e-mail to
matpurc@notes.state.ne.us, written questions may also be sent by facsimile to 402-471-2089.

Sealed proposals must be received in the State Purchasing Bureau, 301 Centennial Mall South, Mall Level,
Lincoln, Nebraska 68508 on or before February 25, 2004 at 2:00 p.m. Central Time.

One (1) Original and ten (10) copies of the entire proposal, as well as electronic copies as indicated in Section
III.G. should be submitted by the proposal due date and time.

PROPOSALS MUST MEET THE FOLLOWING REQUIREMENTS TO BE CONSIDERED VALID.
PROPOSALS WILL BE REJECTED IF NOT IN COMPLIANCE WITH THESE REQUIREMENTS.

1.   Proposals must be received in State Purchasing by the date and time of proposal opening indicated
     above. NO late proposals will be accepted. NO fax proposals will be accepted.
2.   Proposals must meet all specifications of the RFP and terms and conditions of this form.
3.   This form “REQUEST FOR PROPOSAL FOR CONTRACTUAL SERVICES” MUST be manually signed, in
     ink, and returned by the proposal opening date and time along with your proposal and any other
     requirements as specified in the RFP in order to be considered for an award.
                                                STATE OF NEBRASKA

                         CONTRACTOR MUST COMPLETE THE FOLLOWING
By signing this Request For Proposal For Contractual Services form, the Contractor guarantees compliance with the
provisions stated in this Request for Proposal, agrees to the Standard Conditions and Terms of Contractual Services and
Leasing Solicitation and Offer and certifies that they maintain a drug free work place environment.

FIRM:
COMPLETE ADDRESS:
TELEPHONE NUMBER:                                          FAX NUMBER:
SIGNATURE:                                                                DATE:
TYPED NAME & TITLE OF SIGNER:
                                                     Lincoln, Nebraska

 STANDARD CONDITIONS AND TERMS OF CONTRACTUAL SERVICES AND LEASING SOLICITATION AND OFFER

SCOPE: These standard conditions and terms of Request for Proposal and acceptance apply in like force to this inquiry and
to any subsequent contract resulting there from.

EXECUTION: Proposals must be signed in ink by the contractor on the State of Nebraska's Request for Proposal form. All
proposals must be typewritten or in ink and include the signed State of Nebraska's Request for Proposal form. Erasures and
alterations must be initialed by the contractor in ink. No telephone, facsimile or voice proposals will be accepted. Failure to
comply with these provisions may result in the rejection of the proposal.

PAYMENT: Payment will be made by the responsible agency in conjunction with the State of Nebraska Prompt Payment Act
(Neb. Rev. Stat. §81-2401 through 81-2408). The State may request that payment be made electronically instead of by
State warrant.

COLLUSIVE BIDDING: The contractor’s signature on the State of Nebraska's Request for Proposal form is a guarantee that
the prices quoted have been arrived at without collusion with other eligible contractors and without effort to preclude the
State of Nebraska from obtaining the lowest possible competitive price.

SPECIFICATIONS: Contractors should submit a proposal in accordance with the Terms and Conditions of the Request for
Proposal.

ALTERNATE PROPOSALS: The State, at its sole discretion, may entertain alternative proposals, or proposals which
deviate from the Request for Proposal requirements, provided the contractor also submits a proposal for the work described
herein.

PROPOSAL OPENING: Openings shall be public on the date and time specified in the Request for Proposal. It is the
bidder’s responsibility to assure the proposal is delivered no later than the designated date, time and place of the proposal
opening. Telephone and/or fax proposals are not acceptable. A proposal may not be altered after opening of the proposals.

LATE PROPOSALS: Proposals received after the time and date of the proposal opening will be considered late proposals.
Proposals will be returned to the contractor unopened. The State is not responsible for late proposals or lost requests due to
mail service inadequacies, traffic or other similar reasons.

RECYCLING: Preference will be given to items which are manufactured or produced from recycled material or which can be
readily reused or recycled after their normal use as per state statute (Neb. Rev. Stat. §81-15, 159).

AWARD: All purchases, leases, or contracts which are based on competitive proposals will be awarded according to the
provisions in the Request for Proposal. The State reserves the right to reject any or all proposals, wholly or in part, or to
award to multiple bidders in whole or in part. The State reserves the right to waive any deviations or errors that are not
material, do not invalidate the legitimacy of the proposal, and do not improve the contractors competitive position. All awards
will be made in a manner deemed in the best interest of the State.

PERFORMANCE AND DEFAULT: The State reserves the right to require a performance bond from the successful
contractor, as provided by law, without expense to the State. Otherwise, in case of default of the contractor, the State may
contract the service from other sources and hold the contractor responsible for any excess cost occasioned thereby.

NONDISCRIMINATION: The Nebraska Fair Employment Practice Act prohibits contractors of the State of Nebraska, and
their subcontractors, from discriminating against any employee or applicant for employment, with respect to hire, tenure,
terms, conditions or privileges of employment because of race, color, religion, sex, disability, or national origin (Neb. Rev.
Stat. §§48-1101 to 48-1125). The contractor guarantees compliance with the Nebraska Fair Employment Practice Act, and
breach of this provision shall be regarded as a material breach of contract. The contractor shall insert a similar provision in
all subcontracts for services to be covered by any contract resulting from this proposal.

DRUG POLICY: Contractor certifies that it maintains a drug free work place environment to ensure worker safety and
workplace integrity. Contractor agrees to provide a copy of its drug free workplace policy at any time upon request by the
State.

GRIEVANCE & PROTEST PROCEDURE: Grievance and protest procedure is available on the internet at:
http://www.das.state.ne.us/materiel/purchasing/rfpmanual/rfpmanual.htm - all protests must be filed by the Contractor within
ten (10) calendar days after the intent to award decision is posted to the internet.


                                                                                                                    2
  IV.        TERMS AND CONDITIONS
The terms and conditions stated herein are in addition to those stated in the “Standard Conditions and Terms of
Contractual Services and Leasing Solicitation and Offer” form and apply in like force to this Request for
Proposal and any contract resulting there from.

By signing the “Request For Proposal For Contractual Services” form, the Contractor guarantees compliance
with the provisions stated in this Request for Proposal, agrees to the Standard Conditions and Terms of
Contractual Services and Leasing Solicitation and Offer and certifies it maintains a drug free work place.

A.    GENERAL
      The contract resulting from this Request for Proposal shall incorporate the following documents:
      1.    The signed Request for Proposal form;
      2.    The original RFP document;
      3.    Any Request for Proposal Addenda and or Amendments to include Questions and Answers;
      4.    The Contractor’s Proposal;
      5.    Any Contract Amendments, in order of significance; and
      6.    Contract Award.

      Once proposals are opened they become the property of the State of Nebraska and will not be returned.

      This Request for Proposal does not commit the State to award a contract. The State reserves the right to
      reject all proposals, and at its discretion, may withdraw or amend this Request for Proposal at any time.
      If, in the opinion of the State, revisions or amendments will require substantive changes in proposals, the
      due date may be extended.

      By submitting a proposal in response to this Request for Proposal, the contractor grants to the State the
      right to contact or arrange a visit in person with any or all of the contractor’s clients.

      Once an intent to award decision has been determined, it will be posted to the internet at:

      http://www.das.state.ne.us/materiel/purchasing/rfp.htm

      Grievance and protest procedure is available on the internet at:

      http://www.das.state.ne.us/materiel/purchasing/rfpmanual/rfpmanual.htm

      All protests must be filed by the Contractor within ten (10) calendar days after the intent to award decision
      is posted to the internet.

B.    COMPLIANCE WITH CIVIL RIGHTS LAWS AND EQUAL OPPORTUNITY
      EMPLOYMENT
      The contractor shall comply with all applicable local, State and Federal statutes and regulations regarding
      civil rights laws and equal opportunity employment. Neither the contractor nor any subcontractors shall
      discriminate against any employee or applicant for employment, to be employed in the performance of
      such contract, with respect to the employee or applicant’s hire, tenure, terms, conditions, or privileges of
      employment, because of his race, color, religion, sex, disability, or national origin.

C.    CLEAN AIR AND WATER LAWS
      The contractor must comply with all applicable local, State and Federal statutes and regulations regarding
      Clean Air and Water.




                                                                                                        3
D.   OWNERSHIP OF INFORMATION AND DATA
     The State of Nebraska shall have the unlimited right to publish, duplicate, use and disclose all information
     and data developed or derived by the contractor pursuant to this contract.

     The contractor must guarantee that it has the full legal right to the materials, supplies, equipment, and
     other items necessary to execute this contract. The contract price shall without exception, include
     compensation for all royalties and costs arising from patents, trademarks and copyrights that are in any
     way involved in the contract. It shall be the responsibility of the contractor to pay for all royalties and
     costs, and the State must be held harmless from any such claims.

E.   PERMITS AND REGULATIONS
     All contractors shall be authorized to do business within the United States, and shall obtain a Certificate
     of Authority to Transact Business in the State of Nebraska, from the Nebraska Secretary of State’s
     Office. The contractor shall procure and pay for all permits, licenses and approvals necessary for the
     execution of the contract. The contractor shall comply with all laws, ordinances, rules, orders and
     regulations related to the performance of the contract.

F.   COOPERATION WITH OTHER CONTRACTORS
     The State may award supplemental contracts for work related to this Request for Proposal, or any portion
     thereof.
     1.    The State reserves the right to award the contract jointly between two or more potential
           contractors, if such an arrangement is in the best interest of the State.
     2.    The contractor shall agree to cooperate with such other contractors, and shall not commit or permit
           any act which may interfere with the performance of work by any other contractor.

G.   INDEPENDENT CONTRACTOR
     It is agreed that nothing contained herein is intended or should be construed in any manner as creating or
     establishing the relationship of partners between the parties hereto. The contractor represents that it has,
     or will secure at its own expense, all personnel required to perform the services under this agreement.
     The contractor’s employees and other persons engaged in work or services required by the contractor
     under this agreement shall have no contractual relationship with the State; they shall not be considered
     employees of the State.

     All claims on behalf of any person arising out of employment or alleged employment (including without
     limit claims of discrimination against the contractor, its officers or its agents) shall in no way be the
     responsibility of the State. The contractor will hold the State harmless from any and all such claims.
     Such personnel or other persons shall not require nor be entitled to any compensation, rights or benefits
     from the State including without limit, tenure rights, medical and hospital care, sick and vacation leave,
     severance pay or retirement benefits.

H.   CONTRACTOR RESPONSIBILITY
     The contractor is solely responsible for fulfilling the contract, with responsibility for all services offered and
     products to be delivered as stated in the RFP, the Contractor’s proposal, and the resulting contract. The
     contractor shall be the sole point of contact regarding all contractual matters.

     If the contractor intends to utilize any subcontractors' services, the subcontractors' level of effort, tasks
     and time allocation must be clearly defined in the contractor's proposal. The contractor shall agree that it
     will not utilize any subcontractors not specifically included in its proposal, in the performance of the
     contract, without the prior written authorization of the State.




                                                                                                           4
V.      PROJECT OVERVIEW
      The Nebraska Workforce Development, Department of Labor (NWD-DOL) is seeking a partnership with a
      qualified vendor to deploy a modernized Unemployment Insurance Benefit Payment System (BPS) to be
      delivered within 24 months and in consideration of a highly constrained project budget.

      This section of the RFP introduces the vendor to NWD-DOL, provides a high-level overview of the
      requirements for a modernized Unemployment Insurance Benefits Payment System, and refers to
      additional detailed requirements documentation located in the appendices.

A.    Requirements Documentation Organization
        This Project Overview references the following RFP appendices. These appendices further detail the
        requirements for Nebraska’s modernized BPS system.




                                                  BPS RFP

                                              Project Overview




                   Appendix A          Appendix B          Appendix C          Appendix D

                     BPS                 Tax                Proposal            Technical
                  Modernization      Modernization         Response             Proposal
                  Requirements       Requirements*         Templates            Glossary




                * Vendors may, but are not required to, prepare a separately priced proposal component which
                includes Tax Modernization.
B.    Current State of BPS
BPS is the legacy component used to support the NWD-DOL’s service objectives to pay unemployment
benefits. The Benefits Payment System (BPS) is used by NWD-DOL to facilitate the eligibility determination,
and payment of unemployment claims. Additionally, BPS supports all the major UI business processes to
handle appeals, produce management information reports and track overpayments. BPS integrates with
multiple systems that are also part of the overall process to administer UI in Nebraska.

In the 20 years since BPS was implemented, it has undergone only two major enhancements. In 1992 the first
major enhancement was performed with the addition of much needed functionality and significant reengineering
of specific functional components. The second major enhancement was for Y2K preparedness. Since its initial
rollout 20 years ago, the architecture has remained the same, consisting primarily of COBOL, CICS, VSAM, and
some assembler program modules, running on IBM System 390 processor platform.


                                                                                                    5
BPS is part of a multi-tiered, Internet-based, technical architecture used to carry out current service delivery
objectives. UI has deployed key components that are built on a multi-tier technical architecture. In 2001, a
client-server based call center solution was implemented and an Internet Initial Claims Filing System was
recently brought online in 2003.


C.    Project Scope
The scope of this project is to deliver, within a highly constrained project budget, and within 24 months, a
modernized Unemployment Insurance Benefits Payment System (BPS), meeting all requirements as described
in this RFP, and which, at the minimum, equals or exceeds the functionality, reliability, security, efficiency, and
overall capabilities of the current system.

This modernization effort will place emphasis on a technology upgrade (versus reengineering of business
processes) consistent with our Strategic Technology Architecture Roadmap (STAR).
In general, a modernized BPS is understood to be that which …
            1. is built upon an integrated data model, using a relational database system.
            2. employs n-tier, component-based, application computing architecture based on J2EE or
               .NET technology
            3. is highly integrated, among internal and external systems, using loosely-coupled, standards-
               based service oriented architecture.

Our requirements for a modernized BPS are described within Appendix A. Vendors should indicate using the
BPS Requirements Fit Analysis template in Appendix C which of these enhancements may be already included
as part of their proposed solution.

Additionally, NWD-DOL will entertain alternative proposals for a modernized Tax System, embracing the same
architectural principles as outlined above, and which is integrated into a modernized Benefits Payment System.
Requirements for Tax System modernization are included within Appendix B. Vendors responding to the Tax
System modernization component, shall indicate, using the Tax System Requirements Fit Analysis template in
Appendix C, which of these enhancements may be already included as part of their proposed solution.

D.    Project Approach
NWD-DOL entertains vendor proposals which will fully address project risk, and will insure successful project
delivery. NWD-DOL expects the vendor to fully describe in their proposed approach how to expand and confirm
the completeness the requirements identified in this document. NWD-DOL is requesting vendors to take into
consideration the proposed Project Organization and Project System Development Life Cycle in their proposals.




                                                                                                         6
E.   Stakeholder Profiles
      1.         Department of Administrative Services (DAS)
      Provides centralized administrative support services for Nebraska state agencies
      2.         DAS, Information Management Services (IMS)
      IMS provides hosting, network (LAN), and application support for all Nebraska state government
      agencies. Their web site can be found at www.ims.state.ne.us
      3.         DAS Division of Communications (DOC)
      DOC provides telecommunications and network (WAN) services for all Nebraska state government
      agencies. Their web site can be found at www.doc.state.ne.us
      4.         DAS, Materiel Division
      DAS provides purchasing/procurement and contract management services for all Nebraska state
      agencies. Their web site can be found at www.das.state.ne.us/materiel
      5.         United States Department of Labor (USDOL)
      The United States Department of Labor provides federal oversight and guidance to state UI programs.
      www.dol.gov


F.   Requirements Summary
     1.      Use Case Specifications Summary
      Forty-eight (48) Use Cases describe the high level functionality of the current BPS and Tax Systems.
      The Use Cases are elaborated within the requirements documentation appendices.

      A Use Case describes the process steps (both automated and manual) that an actor performs and the
      system responds to, in order to complete a specific business goal. Describing business processes in
      this manner allows both the business and system developers to visualize the use of the new system as
      part of the business processes, clearly defining what the system must do at each step in the process.

      Use Cases form the basis for detailed design of the new application, and are leveraged throughout the
      entire systems development lifecycle. In addition to requirements management, Use Cases are
      transformed into development test cases (scenarios) and system/user documentation for the newly
      modernized system.

     2.    Actor (User) Profiles
      Actors are systems or people which interact with the automated system, as described within
      the requirements documentation. Actors are defined below.

      Actors Table
          Actor Name         Primary       PERSON    Description
                             Actor         or
                             Touchpoint:   SYSTEM
                             BPS / TAX
          Accounting Staff   TAX           PERSON     This actor is responsible for debit and credit functions within Tax
                                                     administration and with the Tax system.
          LMI Analyst        BOTH          PERSON     This actor is responsible for data manipulation and summarization for
                                                     federal and state reporting.
          Appeal Staff       BOTH          PERSON     This actor is responsible for processing benefit and tax appeals processes
                                                     that involve claimants, employers and other interested parties
          Appeal Tribunal    BOTH          PERSON     This actor is responsible for the actual hearing or venue for considering
                                                     and validating an unemployment insurance claim or tax liability appeal
                                                     raised by claimant, UI staff or employer.
          BATS               BOTH          SYSTEM     Benefit Audit Tracking System. This system actor provides for tracking of
                                                     investigations of improper payment of benefits. BATS interact with Tax
                                                     and Benefits as well as reads data from the Wage System.
          BPC Staff          BPS           PERSON    Benefit Payment Control staff. This actor is responsible for establishing
                                                     and collecting overpayment of unemployment insurance.
          BPS aka “The       BPS           SYSTEM    Benefit Payment System. This system actor is the primary actor of
          System”                                    concern for the request for proposal.
                                                                                                              7
       Claimant            BPS             PERSON      This actor is the person who applies for unemployment benefits.
       Collections Staff   TAX             PERSON      This actor is responsible for collections within the TAX system and
                                                       processes.
       Department of  BOTH                 SYSTEM      This system actor interfaces with BPS for electronic data exchange of
       Revenue System                                  data.
       Employer       BOTH                 PERSON       This actor is responsible for contribution of FUTA once determined liable.
                                                       It is referenced in Benefit and Tax use cases.


G.   Architecture Design Requirements

      1.       N-Tier Architecture based on J2EE or .NET technologies
      A n-tier architecture is one which includes (at least) a database layer, application layer, and
      presentation layer, all of which communicate through a set of open, widely supported, interface
      standards. The current Nebraska state government strategic direction, as well as that of NWD-DOL, is
      J2EE-based, n-tier architecture, utilizing IBM Websphere technologies. Vendors who propose solutions
      based on J2EE/Websphere will score higher in the “technical fit” scoring category. Alternative solutions
      (Microsoft .NET-based or other) are certainly entertained, and will be fully evaluated, in consideration of
      the total cost of ownership of a modernized BPS system based on that technology.
                  a.       Database Tier
                  The Nebraska state government enterprise-wise relational database services platform which
                  NWD-DOL utilizes is IBM DB2. DB2 is hosted on the state’s OS/390 mainframe.
                  Alternative hardware platforms for hosting DB2 may be evaluated, but would only be
                  considered following a total cost of ownership analysis.
                  b.       Application Tier
                  The Nebraska state government strategic enterprise direction is IBM Websphere Application
                  Server. NWD-DOL has both IBM Websphere and Microsoft IIS. A decision on what platform
                  to host this application has not yet been determined.
                  c.       Presentation Tier
                  Industry accepted best practices and de-facto standards for web-based, user interface design
                  will be employed throughout the application. Deviations from these standards may be
                  proposed, on an exception basis, to accommodate special requirements which may be
                  discovered in the detailed systems design and/or following usability/acceptance testing.
      2.       Table-Driven Application Configuration Architecture
      Wherever practical and appropriate, the application shall be designed to be database “table driven”, so
      that business rule parameters and code lookup tables can be easily updated without changing the
      overall application program logic.
      3.       Interactive vs. Batch Oriented Processing Application Mix
      A significant proportion of the current BPS application architecture is batch-oriented. In the modernized
      BPS, consideration should be given, where practical and appropriate, to conduct the majority of
      processing in a real-time, interactive-based model.
      4.       Postal Address Formatting
      The system shall have capability to store, process, and manage both U.S. and Canadian formatted
      postal addresses, and to store, process, and manage both physical and mailing addresses for all
      entities.




                                                                                                                 8
H.       Availability of System
As the NWD-DOL extends more services to the web, and in order to meet future business demands, a targeted
annual overall availability percentage for the production BPS system is to be 99.0% or higher. This availability
target shall consider the impact of both planned and unplanned events.
          1.      Planned Outages
          Planned outages or scheduled maintenance should result in less than 1.0% reduction in overall
          availability. This equates to approximately 1.7 hours of planned downtime per week .
          2.      Unplanned Outages
          Unplanned outages or unscheduled maintenance should result in less than 0.1% reduction in overall
          availability. This equates to approximately 10 minutes of downtime per week.


I.       Disaster Recovery and Business Contingency Planning
A formal disaster recovery plan and supporting processes shall be invoked by the contractor, within the startup
phase of the project to insure that adequate system redundancy and backup are in place to support system
development and implementation phases.
NWD has a formal business contingency plan, in effect, to mitigate the loss of any computing resources. The
plan outlines a practical course of action to enable NWD staff to continue providing services in an effective and
efficient manner, should normal computer services become unavailable for an extended period. This plan, as it
relates to the newly modernized system, shall be updated by the contractor.
J.       Performance
The modernized BPS shall meet performance and response time targets which will be fully documented in the
detailed system design phase. These performance targets will be customer/business/function driven, and
consistent with those of similar (size/complexity) n-tier based applications.
K.       Supportability
NWD-DOL has conducted a staff skills inventory which identifies training and future skill sets needed to support
a modernized n-tier BPS. Among the strategies for growing the needed internal skill sets are:
         Acquire externally provided, instructor led, classroom training
         Facilitate internal, “peer to peer” skills and knowledge transfer among existing staff
         Facilitate “vendor to staff” skills transfer and collaborative learning opportunities
         Procure computer-based training or self-paces “on-the-job” learning opportunities
L.       Navigation
Data entry or screen navigation will lead users through a process, requesting information as needed and
providing helpful hints and/or error messages that are meaningful and English-like. The interface will be
intuitive, such that a new user, who is reasonably familiar with navigation of web-based interfaces, can use the
system with a minimal amount of training. Alternatively, advanced users of the system should be able to
navigate the screens quickly, using short-cut keys, and keyboard equivalents to mouse-functions.
M.       Automatic Coding and Decoding
Text will be displayed rather than codes, where practical and appropriate. Examples include display of county
name and not the county number, or display of the employer’s status and not the status code. Automatic
encoding and decoding will reduce data entry and should automatically fill data when there is only one
relationship or default entry to be made.
N.    Accessibility
The Nebraska Information Technology Commission, as directed by Nebraska Rev. Stat. Section 73-
205, promotes accessibility standards which are designed to ensure that the needs of Nebraskans
with disabilities are met through reasonable accommodation of the information technology products

                                                                                                       9
and services of the state. All new systems shall be developed in consideration of policies as
described at http://www.nitc.state.ne.us/standards/index.html.
O.    Additional Language Support
The modernized BPS shall be architected in consideration of a possible future requirement for additional
languages support (for example, Spanish language). This architecture for language support shall encompass
internal (NWD-DOL) interfaces/reports, external (customer facing) interfaces/reports, as well as application code
table lookups (for example, adjudication codes).
P.    System Access and Security
Security authentication, authorization, and audit processes shall be integrated into the underlying design of the
modernized BPS. LDAP (Lightweight Directory Access Protocol) standards will be leveraged where practical
and appropriate. Single sign-on architecture shall be employed, and password expiration shall be adjustable,
and enforced to a period of less than 30 days. The system shall be designed so that security is flexible and
adaptable, and can easily be extended to leverage newer security standards or technologies that may be
considered in the future (i.e., 3-factor authentication, PKI, biometrics, etc.)
        1.       Claim Fraud Prevention, Detection, and Audit
        NWD-DOL’s Internal Security Unit is charged with the responsibility of protecting Unemployment
        Insurance assets, including the Unemployment Insurance Trust Fund, by the prevention, detection, and
        investigation of fraud, waste, and abuse. Requirements for integrated capabilities, related to this area,
        are now defined.
        2.       Auditing/Logging
        The system will log transactions where appropriate and practical. Each transaction will be identified
        with a time/date stamp and identification of system or person who initiated and/or authorized the
        transaction. Auditing/logging history shall be readily available, for data mining/reporting purposes, to
        authorized audit staff.
        3.       Fraud Crosschecking
        A significant proportion of fraud detection cross checking activity is manual, or requires manual access
        to a remote automated system. The system shall be developed in such a way as to facilitate the
        development of automated software “agents” which perform crosschecking activities on a continual
        basis with a broad number of sources.
        A number of fraud crosschecks have been implemented, are in development, or are being proposed for
        implementation. The system shall accommodate security fraud detection/prevention via external
        system crosschecks to include, but not limited to, the following:
                Motor Vehicle Drivers License and state ID number cross-match with RIC claimant file to verify identify of
                 claimant
                Social Security Administration cross-match to detect claimants attempting to use fraudulent SSN’s
                Benefits/Tax cross-match to reconcile benefit payments with employer charges
                SAVE (Alien certification) cross-match to identify illegal alien’s who are attempting to draw benefits
                FEDS (Fictitious Employer Detection System) cross-match with quarterly listing of possible fictitious
                 employers. Used to produce annual federal required Report 9000.
                Department of Corrections information cross-match to detect inmates who are attempting to collect
                 benefits

Q.    Logical Application Environments
NWD-DOL has outlined the following environments required to support and maintain a modernized BPS.
        1.       Production Environment
        The production environment takes into consideration the fact that customers may seek services 24
        hours a day, but the agency understands that a small percentage of downtime is acceptable. NWD
        does NOT require full system redundancy. The environment also anticipates a substantial user load.
        When a large number of internal and external users need to access a system for real-time information at
        the same time, a robust architecture that can grow and scale as needed is required.



                                                                                                             10
        2.      Test Environment
        In order to maintain an application environment properly, it is desired to maintain a lab environment that
        mimics the live production environment at all times, including hardware and software. This test
        environment can be used to test application changes before they are deployed to the real world. This
        step is an important part of the quality assurance model, where all changes are thoroughly tested to
        minimize the risk of adverse reactions in the production environment. While it is necessary to mimic all
        of the functions of the production environment, it is not necessary to maintain the same load capacity.
        The test environment will not generally handle the same production load; however, it is the practice of
        NWD to maintain this database as an exact copy of the production database. Note: The hardware for
        this environment should be consistent with the production environment.
        3.      Development Environment
        While the test environment mimics the production environment at all times, it is necessary to have a
        separate environment where developers can work on and test future application functionality. This
        Development environment needs to be robust enough to deal with multiple unique application groups.
        4.      Training Environment
        A Training environment can also be used to provide for department application training or other forms of
        testing as needed. This environment will require servers and databases that will be used for training
        classes that must support an average class size of 10 with a maximum of 25 students at any given time.


R.     Reporting Environment (Enterprise Data Warehouse)
This environment will house a reporting subset of the production database files which are refreshed daily using
production file updates. Pre-defined database views will provide the capability for users to execute complex
queries and perform ad-hoc reporting using standard query tools. NWD-DOL’s current standard is Crystal
Reports.
S.     New Technology Document Management, Workflow, and COLD
In parallel to the BPS modernization project, NWD-DOL’s is exploring opportunities for application of enhanced
document imaging, document management, workflow, and Computer Output to Laser Disk (COLD)
technologies. NWD-DOL has recently migrated to a product called Papervision, by DSI (www.dsiflow.com).
Several of the larger state agencies in Nebraska are moving to this product, and it will be well supported through
the Secretary of State’s Records Management Division. Papervision is a web-based image and document
retrieval system, which offers us much-needed enhancements and functionality over our old image management
product. Papervision supports integration into an enterprise application environment through a comprehensive
set of application programming interfaces (API’s). This product supports Web Services calls, and/or
ActiveX/COM interfaces.
Vendors should propose solutions and describe approaches that would facilitate application integration between
a modernized BPS, and Papervision. For example, this may include application integration such that a user
could easily, through a button or control on the BPS user interface, view “related document images” applicable
to the context which they’re working in. Also, via application integration, a user could easily, within the context
of their BPS application, invoke an external process to save or index a document to the preferred document
library.
Although extensive re-engineering of existing workflow, or application of COLD technologies are outside the
scope of this project, NWD-DOL would strongly encourage vendors to identify additional opportunities for
enhanced workflow and COLD technology integration which their product may afford, and offer approaches
which NWD-DOL may want to consider in projects which are parallel to the modernized BPS development
project.
T.     Supporting References
     1. Strategic Technology Architecture Roadmap (STAR) version 1.0 (public version)
        http://www.dol.state.ne.us/nwd/pdf/star_public.pdf
     2. Federal Employment Training Administration (ETA) Guidelines: Publications and Handbooks -
        http://atlas.doleta.gov
     3. State of Nebraska Technical Infrastructure - Standards and Guidelines and
        Planning and Project Management http://www.nitc.state.ne.us/standards/index.html
                                                                                                       11
4.  Information Technology Support Center Best Practices www.itsc.org
5.  United States Department of Labor Regulations, Policies, and Guidelines www.dol.gov
6.  State of Nebraska Statutes, Policies, and Guidelines www.state.ne.us
7.  Software Engineering Institute (research note) CMU/SEI-2001-TN-006 entitled Incremental
    Modernization of Legacy System
    http://www.sei.cmu.edu/pub/documents/01.reports/pdf/01tn006.pdf
8. NIST Security Guidelines SP 800-26 http://www.nist.gov
9. References to Laws and Regulations Which Govern NWD-DOL UI Operations-
    http://www.dol.state.ne.us/legallaws/toc.pdf
10. DOL IT Strategic Plan http://www.dol.state.ne.us/nwd/info/initiatives/itsp2002.pdf




                                                                                              12
VII. APPENDIX A - BPS MODERNIZATION
REQUIREMENTS
A.        Introduction
This appendix specifies the system-wide design requirements for the BPS Modernization Project. An overview
of the current system NWD-DOL uses is offered for background and further understanding of the BPS functional
requirements. NWD-DOL expects the vendor to include in their proposed approach how to expand and confirm
the requirements identified in this document.
B.        Functional Requirements
To create the core functional requirements use in Nebraska, a team of Subject Matter Experts and Information
Technology staff, prepared eighty-seven (87) Business Rules, thirty seven (37) Use Cases for Benefits and a list
of new features. The business rules begin in the next section.
C.        Business Rules
The following Business Rules have been identified, are briefly described, and shall influence the business
processing logic of the modernized BPS application. The business rules represent generally accepted
practices and/or are required to meet state/federal legislative requirements. The complexity of each business
rule varies. Some business rules consist of a single rule – others may represent a complex series of rules
(perhaps dozens), which govern the processing of a particular UI function.

Business Rules Table
          Business Rule                 Description of Business Rule
          Name
     1.      1st Payment                Federal mandate to have a specified percentage or number of first payments made within
                                        thresholds set.
     2.      350 due date               The request for separation information (UI-350) must be returned so it is received by the
                                        Department within seven days from the date mailed.
     3.      Appeals Time Lapse         Length of time after an appeal is filed until disposition of appeal is complete.
     4.      Approved training          Approved training waives work search requirements.

     5.      Claimant attachment        Determines eligibility date, need to register and work search It is a one digit code showing
             codes                      whether the claimant is attached to an employer industry or union hiring hall, or if unattached
                                        the approved method for meeting the work search requirement.

                                        1 = unattached – in person work search required and must register with Employment Security.

                                        2 = Attached – Employer/Industry (no ES registration required)
                                        3 = Attached – Union Hiring Hall (no ES registration required)
     6.      Base Period                In Nebraska, by statute, the base period is the first 4 of the last 5 completed calendar quarters
                                        immediately proceeding the first day of an individual’s benefit year.

     7.      TEUC - Predetermined       Identified account created for purpose of charging a monetary on a TEUC claim
             Employer account
     8.      Canceled wages             Canceled wages can not be used to establish a claim's monetary.

     9.      Change effective date      Effective date can only be changed within a quarter. If outside the quarter, then special
                                        processing is required.
     10.     Character of service       Applies only to UCX (Unemployment Compensation Ex-Military Service) claims and indicates
                                        whether a claimant received an “Honorable”, “dishonorable” or other type of discharge from
                                        military service. Determines if UCX wages are usable to establish a claim.
     11.     Claim data                 Data necessary to complete a claim

     12.     Claimant Data - fields &   Data necessary to process a claimant.
             values
     13.     Claim effective date       Claim is effective on Sunday of the week in which it was filed.

                                                                                                                           13
14.   Conforming narrative         Conforming Narrative concerns UCX claims and the DD214. Each branch of the service has
                                   pre-defined conforming narrative statements for acceptable reasons for discharge and these
                                   reasons determine who can get UI benefits.
15.   County FIPS                  Used to determine federal reporting and commuter codes.
16.   CWC Acct Numbers &           CWC account number can not be used on additional claims
      restrict Additional claims


17.   CWC employer account         Employer account numbers used to file a claim against another state
      numbers
18.   Form DD214                   Military discharge statement
19.   Determine proper payment     Weekly payment is equal to the weekly benefit amount minus defined deductions on a dollar
      with dollar for dollar or    for dollar basis. The payment amount shall always be rounded down to the next whole dollar.
      earnings type deductions
20.   Divert checks conditions     Specific conditions that currently exist to forward the benefit check to either Benefits or BPCU.
                                   These conditions include: an OP recovery code = 4, payment of a BWE 8 weeks old or more, a
                                   duplicate or reissued benefit check, an adjustment to a BWE previously used as an offset.


21.   Domestic Violence and        If a quit is due to domestic abuse or a non-work related injury or illness, the separation may be
      Injury or Illness            allowed and the employer may also be granted non-charging.


22.   DUA base period              Calendar year base period for natural disasters declared in year previous.
23.   DUA Net wages                The DUA weekly benefit amount is determined under the same criteria used for computation of
                                   Nebraska unemployment insurance benefits, but uses the previous calendar year’s wages,
                                   instead of the base period used for Nebraska UI. If they are self-employed, the calculations
                                   are based on net earnings, as shown on the federal tax return. If a self-employed individual
                                   shows zero wages or show a net loss on their federal income tax return, they can still be
                                   eligible for a minimum weekly DUA amount.




                                                                                                                     14
D.    Internal Reporting
NWD-DOL expects proposals to include design and implementation of an integrated data warehouse to
accommodate future standardized and ad hoc reporting requirements. The information in the data warehouse
will be automatically extracted, transformed, and loaded from the operational data store, on a regular basis, in
consideration of future enterprise reporting requirements. The data warehouse will be accessible via standard
reporting and data visualization tools such as Crystal Reports and Crystal Enterprise, which are currently used
by NWD-DOL.
UI staff requires a variety of reports to address internal management information reporting needs. Reports are
currently generated using extracts from BPS, performed using ad-hoc reporting tools, and/or programmed by IT
staff for special batch reporting runs. The modernized BPS shall be designed to deliver these required reports
which are produced by the current system.
Additionally, the modernized BPS system shall support routine & ad-hoc queries and reporting requests
submitted by UI staff, as well as support for standardized (or volume) reporting. System users shall be able to
review the charging affecting claims, claimants, employers and trust fund at intervals specified by the user (from
hourly to yearly). System shall support query by example for direct user inquiry and retrieval of operational data.
E.    External Reporting
NWD-DOL has a number of required reports that must be submitted to the federal government. The
modernized BPS shall support the production these reports. The following is a representative listing of the
required reports, and their frequency, currently produced by the current system. (Frequency – weekly (W),
monthly (M), quarterly (Q), annually (A)
External Reports Table
     Report        Name                                                                          Frequency

     ETA 538       Advance Weekly Initial & Continued Claims Report                              W
     ETA 539       Weekly Claims & Extended Benefits Trigger Data                                W
     ETA 5159      Claims & Payment Activities                                                   W/M
     ETA 5130      Benefit Appeals Report                                                        M
     ETA 203       Characteristics of the Insured Unemployed                                     M
     ETA 2112      UI Financial Transaction Summary                                              M
                   Statement of Expenditures and financial Adjustments of Federal Employees and
     ETA 191       ExService members                                                            Q
     ETA 8401      Monthly Analysis of Benefit Payment Account                                  M
     ETA 8403      Summary of Financial Transactions Title IX Funds (Reed Act Money)            M
     ETA 8405      Monthly Analysis of Clearing Account                                         M
     ETA 8413      Income-Expense Analysis, UC Fund, Benefit Payment Account                    M
     ETA 8414      Income-Expense Analysis, UC Fund, Clearing Account                           M
     ETA 9050      First Payment Time Lapse                                                     M
     ETA 9051      Continued Weeks Compensated Time Lapse                                       M
     ETA 9052      Nonmonetary Determinations Time Lapse, Detection Date                        M
     ETA 9053      Nonmonetary Determinations Time Lapse, Affected Date                         M
     ETA 9054      Appeals Time Lapse                                                           M
     ETA 9055      Appeals Case Aging                                                           M
     ETA 207       Nonmonetary Determinations Activities                                        M/Q
     ETA 218       Benefit Rights & Experience                                                  M/Q
                   Quarterly Determination of Allowance Activities & Reemployment Services Under
     ETA 563       the Trade Act                                                                 Q
     ETA 581       Contribution Operations                                                       Q
     ETA 586       Interstate Arrangement for Combining Employment & Wages                       Q
     ETA 227       Overpayment Detection & Recovery Activity                                     M/Q
     ETA 9016      Alien Claimant Activity Report                                                Q
     ETA 9048      Worker Profiling & Reemployment Services Activity Report                      Q

                                                                                                       15
     ETA 9049      Worker Profiling & Reemployment Services Outcomes Report                      Q
     ETA 9056      Nonmonetary Determinations Quality Review                                     Q
     ETA 9057      Lower Authority Appeals Quality Review                                        Q
     ETA 204       Experience Rating Report                                                      A
     ETA 205       Preliminary Estimates of Average Employer Contribution Rates                  A
     ETA 206       Annual Distribution of Claimants by Earnings                                  A
     BPS50035      Nonmonetary Issues by Deputy                                                  W/M
     BPS50150      Appeals Dismissed                                                             W/M
     BPS50220      Weekly Exhaustions                                                            W
     BPS50040      UI Staffing                                                                   W/M

F.    Data Exchange Agreements
NWD-DOL has approximately twenty-nine (29) information sharing agreements with external entities to provide
upon request data from the Benefits, Tax and Wage Record databases. The Information Exchange Network
(IEN) tracks all agreements and data that is shared with external entities. Typically, the data shared includes an
individual’s wages, claim, and employment data for the last 5 quarters. The external entity provides individual
identification factors that are matched against the UI databases. Matching information is formatted exchanged
according to contractual terms. Among the information that may be shared include:
      1. Claimant name, address and social security number.
      2. Employer name, address and federal identification number.
      3. Quarterly wage information, limited to the last five completed calendar quarters.
      4. Weekly benefit amount.
      5. Maximum potential entitlement.
      6. Total benefits paid.
      7. Date of last payment.
      8. Balance remaining.

There are entities that have direct access to the current BPS database.            Consideration of security and
information privacy will need to be factored into the requirements.



G.    Current Systems State

        1.      Current State Architecture
        BPS is part of a multi-tiered, Internet-based, technical architecture used to carry out current service
        delivery objectives. UI has deployed key components that are built on a multi-tier technical
        architecture. In 2001, a client-server based call center solution was implemented and an Internet Initial
        Claims Filing System was deployed recently in 2003. The strategy of this project is to leverage recent
        investments in technology and focus on the most vulnerable part of this system, the mainframe BPS
        legacy application.

        2.      Current BPS Systems Overview
        The following table provides a high level overview of the current Benefits Payment System. The
        primary focus here is to help identify a baseline understanding of the role BPS serves within UI, the
        mission critical nature of the system, and the complexity associated with facilitating UI business within
        the system.




                                                                                                       16
Current BPS Systems Overview Table
      Area              Description

      System            BPS is the legacy component used to support the NWD-DOL’s service objectives to
      Description       pay unemployment benefits. The Benefits Payment System (BPS) is used by NWD-
                        DOL to facilitate the eligibility determination, and payment of unemployment claims.
                        Additionally, BPS supports all the major UI business processes to handle appeals,
                        produce management information reports and track overpayments. BPS integrates
                        with multiple systems that are also part of the overall process to administer UI in
                        Nebraska.
                         Business and technical documentation is either outdated or simply does not exist.
                        This poses both usability and support challenges for UI staff.
                        The system handles a variety of users, interfaces, and processes approximately 80,000
                        claims annually (highly dependent upon economic conditions). Claims processing
                        utilizes several sources of external data as well as a highly complex set of business
                        rules that are based upon several factors including (but not limited to) state and federal
                        legislation, economic conditions, and customer needs. Accounting for all payments
                        and providing for ongoing case management.
                        Federal and State laws both influence the requirements that UI must fulfill. BPS is the
                        core system to help facilitate meeting these requirements.

      Main Functional   Initial Claims – New, Additional and reopens, Profiling
      Areas             Eligibility – Monetary, Nonmonetary, Continuing eligibility reviews
                        Benefit Payments - Employer charging, Benefit Payment Control/Overpayments
                        Appeals

      Supporting        Security – Organized by functional area, Requires staff to support, Embedded in coding
      areas:            of system
                        Reports - Internal management, Federally required, Ad-hoc, Funding
                        Transaction audits

      Interfaces:       Internal NWD-DOL:                      External to NWD-DOL:
                        Tax                                    Child Support
                        RES                                    Federal Withholding
                        ICON                                   Income Tax Intercept
                        Wage                                   Federal New Hires
                        RIC                                    HHS
                        NWAS                                   SSA
                        Exchange                               SAVE (Immigration)
                        BATS
                        BTQ/BAM
                        LMI/LAUS
                        OWS / SASi




                                                                                                            17
Area                Description

BPS Technical       Desktop - PC with emulation package
Architecture        Operations Hardware - IBM 3828 & 3160 laser printers; Bell and Howell Intelligent mail
                    inserter
                    Image archive and retrieval - Papervision.
                    Data - VSAM version/release - z/OS 1.4 and DB2 version/release - V7
                    Segmented VSAM file that uses an Assembler I/O module for all database create, read,
                    update and delete activities.
                    Language - COBOL II (moving to COBOL OS/390 v2.1 when programs are maintained)
                    & Assembler

                    # of Programs and Complexity by Functional Area
                    Initial Claims - 132 Medium Complexity Modules
                    Eligibility –       124 High Complexity Modules
                    Payments –          182 High Complexity Modules
                    Appeals –           64 Medium Complexity Modules
                    TOTAL 502 Modules most being High Complexity

                    73 Forms (External Reports – Presentation Quality) are created by the system
                    85 Internal reports are created by the system
                    61 VSAM files are used by the system
                    20 DB2 tables are used by the system

Statistics (2003)   BPS Users - 268
                    Active Network Accounts for Partners - 29
                    IBIQ (Inquiries received from other states) - 39,000
                    IB-4 Wage Requests (from other states) – 6700
                    Total Amount of Claims Paid - $144,632,000
                    # Initial Claims– 88,290
                    # Weeks– 788,550
                    # Nonmonetary– 104,950
                    # Appeals – 4,500

The majority of the processing for BPS is performed on the State’s mainframe computer that is
physically located and managed by a different state agency, the Department of Administrative Services,
Information Management Services (IMS). However, NWD-DOL has a computer operations unit that
handles all batch job scheduling, monitoring and printing. See STAR 1.0 for further details.
NWD-DOL reimburses IMS for usage of mainframe computer resources on a monthly basis. It is highly
desirable for NWD-DOL to better control overall computing costs. Primary IMS services used by NWD-
DOL include systems programming, database administration and change management of mainframe
hardware and software components. On an annual basis IMS publishes a Cost Allocation Plan (CAP)
to inform clients of the rates for the upcoming fiscal year. The CAP is available at:
http://www.ims.state.ne.us/IMSCost/fy2003/planrates03.html




                                                                                                    18
H.    BPS Use Case Specifications

1. Initial Claim

1. Initial Claims

1.1 Brief Description
        This use case allows UI staff to file/create/accept an initial claim including claimant and employer data. This use
        case receives data from Tax and Wage. This use case sends data to Wage (marks wages used). UI Staff identifies
        eligibility issues.

2. Flow of Events

2.1 Basic Flow
        2.1.1 UI staff enters SSN

        UI Staff enters the claimants SSN. The system displays available claimant data. (BR)

        2.1.2 UI staff gathers claimant data

        UI staff verifies and enters in the claimant information as claimant data/initial claim. (BR) System validates data
        and displays.

        2.1.3 UI staff gathers data for all employers.

        UI staff verifies and enters in the associated employer data for the claimant. (BR)

           Displayed from the Wage and Tax System.

        2.1.4 UI staff submits

        UI staff submits the data and system verifies.

2.2 Alternative Flows

        2.2.1 There is no employer for the claimant on the Wage File
        In Step 3 of the basic flow, if base period employer data doesn’t exist in Wage, UI staff enters employer ID and
        address. Use case resumes at step 3.

        2.2.2 Employer data for the claimant is incorrect
                In Step 3 of the basic flow, if base period employer data is incorrect, UI staff gathers correct data. Use
        case resumes at step 3.

        2.2.3 Interstate Employer
                  In Step 3 of the basic flow, if base period wages are reported to another state, UI staff gathers additional
        interstate information and files an interstate claim IB1 via ICON. The other state’s law dictates. Use case resumes
        at step 3.

        2.2.4 Combined Wage Claim
               In Step 3 of the basic flow, if base period wages are reported in 2 or more states, UI staff files CWC
        (Combined Wage Claim) claim and IB4 request is sent via ICON. Nebraska law dictates. Use case resumes at step
        3.




                                                                                                                  19
       2.2.5 UCX Employer
       In Step 3 of the basic flow, if claimant has base period UCX wages from a military employer, UI staff gathers UCX
            data. If UCX employer, then send UCX notification to FCCC via ICON request employer data. (see Modify
            Employer Data use case) Use case resumes at step 3.

       2.2.6 UCFE Employer
       In Step 3 of the basic flow, if claimant has base period UCFE wages from a federal employer, UI staff gathers
            UCFE data. If UCFE employer, then send UCFE notification and 931 electronic or paper form to FCCC via
            ICON request employer data. (see Modify Employer Data use case) Use case resumes at step 3.

       2.2.6.1.1 Combinations – Joint claims

       There can be combinations of claim programs as noted in this use case.

       2.2.7 Quit

       2.2.8 Non Citizen
       In Step 2 of the basic flow, if claimant is a non-citizen, UI staff gathers INS information. Use case resumes at step 2.

       2.2.9 Attachment
       In Step 2 of the basic flow, if the claimant is unattached, UI staff explains work search & requires claimant to
            register with OWS. Use case resumes at step 2.

       2.2.10 Change Effective Dates
       In Step 2 of the basic flow, Establish different effective dates for the claim. UI staff gathers additional information
            and captures reason. Use case resumes at step 3

       2.2.11 .Wage Protest

       In Step 3 of the basic flow, UI staff enters wage protest for an interested party. Use case resumes at step 3.

               Alternate Sub-flow When requested, UI staff generates wage affidavit request which is sent to claimant –
              see (BR) – 417 codes for wage protest.

3. Special Requirements
       Exclude used wages.
       Enter an A7 transaction to return wages to a state that previously transferred them to Nebraska for a CWC.
       In future reduction on prior claim, write record to R03 report (prior claim / future reduction report).
       R02 - Eligibility Review(ER) – currently functional on system but not being utilized (but will be).
       Write records to R01 daily entry report if zip & county zips are not equal, or if zip does not exist or was added.
4. Preconditions
       UI staff must be logged onto the system.

5. Post Conditions
       System creates an initial claim.
       Wage system is updated
       Issues established
       CCR created – Printed notification sent to office when claim is filed or employer is added to the claim
       Create or update Pin File
       Put week out to claim
       Overpayment new claims report
       From Use Case 32 – System passes data to NWAS concerning claimant.
       From Use Case 32 – BPS staff advise certain claimants to register with ES (manual process)



                                                                                                                   20
2. Modify Claimant Data
1. Modify Claimant Data

1.1 Brief Description
        This use case allows UI staff to modify claimant data and creates an audit history trail.

2. Flow of Events

2.1 Basic Flow
        2.1.1 UI staff / RIC enters SSN

        UI Staff /RIC enters the claimants SSN. The system displays available claimant data.

        2.1.2 UI staff gathers claimant data

        UI staff /RIC gather/enters revised claimant data. System validates data and displays.

        2.1.3 UI staff / RIC submits

        UI staff / RIC submit and system updates audit trail.

2.2 Alternative Flows

        2.2.1 Invalid SSN
        In Step 1 of the basic flow, if SSN not found, UI Staff tells claimant that SSN is invalid & system displays
        appropriate message. Use case resumes at step 1.

        2.2.2 Invalid data entered
        In Step 2 of the basic flow, if invalid data has been entered, system displays appropriate error message. Use case
        resumes at step 2.

        2.2.3 Claimant’s PIN number is reset
        In step 2 of the basic flow, if a claimant’s pin number is reset, system updates. Use case resumes at step 3.

        2.2.4 Quit


3. Special Requirements
        Write records to R01 daily entry report if zip & county fips are not equal, or if zip does not exist or was added.
4. Preconditions
        UI staff must be logged onto the system.
        Claim must exist.
5. Post Conditions
        BPS system updated.
        Create / Update PIN file




                                                                                                                   21
3. Modify Claim Data
1.   Modify Claim Data


1.1 Brief Description
         This use case allows UI staff / RIC system to modify claim data and create an audit history trail.

2. Flow of Events

2.1 Basic Flow


         2.1.1. UI staff / RIC enters SSN

         UI staff /RIC enters the claimants SSN. The system displays available claim data.

         2..1.2 UI staff / RIC gathers claim data

         UI staff /RIC gather/enters revised claim data. System validates data and displays.

         2.1.3. UI staff / RIC submits

         UI staff / RIC submit and system updates audit trail.

2.2 Alternative Flows

         2.2.1.1 SSN not found
         In Step 2 of the basic flow, if SSN not found, UI staff tells claimant that SSN is invalid, system displays appropriate
         error message. Use case resumes at step 1.

         2.2.1.2 Invalid data entered
         In Step 2 of the basic flow, if invalid data has been entered, system displays appropriate error message. Use case
         resumes at step 2.

         2.2.1.3 New Claim status shows deceased
         In Step 2 of the basic flow, if new claim status shows deceased, the system is updated and payment on claim is
         stopped based on system permissions & prevents future transactions, except if deceased status is reversed(A7).
         Use case resumes at step 1.

         2.2.1.4 Effective date changed
         In Step 2 of the basic flow, if effective date is changed – recalculates monetary……Overpayments could be
         calculated because of this step. Use case resumes at step 2.

         2.2.1.5 New claim status is withdrawn
         In Step 2 of the basic flow, if new claim status is withdrawn. IB5 generated if CWC withdraw – A7. Use case
         resumes at step 2.

         2.2.1.6 Make claim active
         In Step 2 of the basic flow, if UI Staff makes claim active – undo fraud. Use case resumes at step 2.

         2.2.1.7 Delete a claim
         In Step 2 of the basic flow, if UI Staff deletes a claim when no payments have been made. Use case resumes at
         step 2.



                                                                                                                   22
       2.2.1.8 Change SSN
       In Step 2 of the basic flow, if UI Staff changes SSN. Use case resumes at step 2.

       2.2.1.9 Child support deduction
       In Step 2 of the basic flow, if UI Staff enter a child support deduction. Use case resumes at step 2.

       2.2.1.10 Quit

3. Special Requirements

       The OP bad address indicator is removed by entering a new address via the A3 transaction.
       Total wages on NE claim – BYE cancelled
4. Preconditions
       UI staff must be logged onto the system.
       Claim exists
5. Post Conditions
       BPS system updated
       Monetary & payments recalculated (AF4)
       Trigger Overpayment Cycle
       Wage system updated
       Info from SASi is obtained about registration – update registration by adjudicator.
       Write records to R01 daily entry report.




                                                                                                               23

				
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