FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX
A: REQUIREMENTS TRACEABILITY MATRIX
The Requirements Traceability Matrix (RTM) organizes and tracks the requirements discussed in the FRED-E. While developed in the requirements gathering phase, the RTM can be used in a variety of ways throughout the systems development life cycle. For example, the RTM can be used during all phases of a WIC project to: • • • • • Compare how various vendors propose to implement the requirements; Track whether and how all requirements have been met by the system design; Identify the similarities and differences in the implementation of the requirements in different states; Assist in the development test scripts for the functional demonstration phase of the system testing; and Support the documentation that all system requirements have been met in the acceptance testing phase of the project.
States can use the following RTM as a guideline in developing their own requirements. A State may choose to add or delete columns, as necessary.
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 1
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No 1.0 1.1
1.1.1 1.1.1.1 1.1.1.2 1.1.1.3 1.1.1.4 1.1.1.5 1.1.1.6 1.1.1.7 1.1.1.8 1.1.2 1.1.2.1 1.1.2.2 1.1.2.3 1.1.2.4 1.1.2.5 1.1.2.6 1.1.2.7 1.1.2.8 1.1.2.9 1.1.3 1.1.3.1 1.1.3.2
Description
Comments
How Implemented
1.1.3.3 1.1.3.4
CERTIFICATION Manage Application Process Schedule Certification Appointment Accept user input of preference parameters or retrieve preference information from data store Collect and store daily appointment schedule data and applicant data in data store Check for appointment availability at particular time at date that meet preference parameters Adjust the Event Slot Maximum Number of Slots each time a new appointment is scheduled Generate screen display of appointment schedule availability Generate screen display of applicant’s appointment schedule Generate daily schedule of events Provide appointment notice to applicant Maintain Waiting List Accept CPA identity and post to applicable certification sessions Accept input of participant status code and update applicant status Calculate waiting list priority Retrieve participant records with waiting list active status Sort records by waiting list priority Display waiting list in priority order Update participant waiting list status Generate printed report or screen display of waiting list Generate notice of waiting list status for applicant Maintain Basic Information on Applicant Accept CPA identity and post to applicable certification sessions Assign application identification number and create new participant record or accept user input of participant identification number to access existing data Add new applicant demographic data to data store or update existing records in data store Generate or accept user input of family/household identification number and associate it to the applicant
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 3
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Link applicant to the family/household identification number Associate all other family/household members to the family/household identification number Make changes to basic applicant data to all records associated with Core the family/household identification number Generate screen display of applicant data Screen Applicant for Prior Enrollment Accept CPA identity and post to applicable certification sessions Maintain statewide centralized database for dual participation/ dual enrollment matching Match newly entered applicant data with data resident in data store Generate screen display of potential matches Accept user input to potential matches Generate screen display with dual enrollment status Notice of dual enrollment to applicant Determine Adjunct or Automatic Income Eligibility Accept CPA identity and post to applicable certification sessions Accept user input of proof of participation in an adjunctive eligibility program, self declared income, and participant income range Add to data store for all family/household members Retrieve data through interface with other health and social service systems (e.g. Food Stamps, TANF, or Medicaid) Generate screen display of adjunctive eligibility status Determine Documented Income Eligibility Core Accept annual updates to income guidelines Accept CPA identity and post to applicable certification sessions Add, update, and delete income and family/household data Calculate annual (or monthly) income Retrieve and compare annual income with allowable annual income for family/household size Description
Req No
1.1.3.5 1.1.3.6 1.1.3.7 1.1.3.8
Comments
How Implemented
1.1.4
1.1.4.1 1.1.4.2 1.1.4.3 1.1.4.4 1.1.4.5 1.1.4.6 1.1.4.7 1.1.5 1.1.5.1 1.1.5.2
1.1.5.3 1.1.5.4 1.1.5.5 1.1.6 1.1.6.1 1.1.6.2 1.1.6.3 1.1.6.4 1.1.6.5
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 4
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Allow user input of income levels that exceed maximum allowed level if the participant has provided proof of participation in TANF, FSP, or Medicaid, or any other automatic income eligibility program Determine income eligibility status and alert user to applicant’s adjunctive or automatic income eligibility Display income eligibility status and update data store (if ineligible, update ineligibility date and reason) Generate screen display of income eligibility status Compare income data entered for all members of the family/household and produce a screen display of inconsistencies Allow user to accept or reject income data displayed as inconsistencies across family/household members, as appropriate Apply income eligibility determination to all members of the family/household Maintain Eligibility Documentation and Status Accept input of source of income information (i.e. pay stub, letter Future Core from Medicaid, etc ) Capture applicant’s physical presence at certification visit or reason for exception Calculate date income documents or the nutrition assessment are due (if not provided) Provide a notification that benefits will terminate if income documentation or the nutrition assessment is not completed by a specific date (30 days from date of temporary certification for temporary certification and 60 days from date of certification for women deemed presumptively eligible) Automatically terminate after 30 or 60 days and prevent issuance of Core food instruments past 30 or 60 days from date of certification if documents are not provided Generate Notice to applicants of the specific documents needed and the date by which they must be provided Generate Ineligibility Notice Generate screen display of documentation provided Description
Req No
1.1.6.6
Comments
How Implemented
1.1.6.7 1.1.6.8 1.1.6.9 1.1.6.10 1.1.6.11 1.1.6.12 1.1.7 1.1.7.1 1.1.7.2 1.1.7.3 1.1.7.4
1.1.7.5
1.1.7.6 1.1.7.7 1.1.7.8
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 5
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No 1.2
1.2.1 1.2.1.1 1.2.1.2 1.2.1.3 1.2.1.4 1.2.2 1.2.2.1 1.2.2.2 1.2.2.3 1.2.2.4 1.2.2.5 1.2.2.6 1.2.2.7 1.2.3 1.2.3.1 1.2.3.2 1.2.3.3 1.2.3.4 1.2.3.5 1.2.3.6 1.2.3.7 1.2.4 1.2.4.1 1.2.4.2
Description
Comments
How Implemented
1.2.4.3 1.2.4.4 1.2.5 1.2.5.1
Determine Nutrition Risk of Applicant Maintain Applicant Nutrition and Health Characteristics Accept CPA identity and post it to applicable certification sessions Accept user entered participant, participant health, and breastfeeding data Update data stores Generate screen display of participant health data Perform Dietary Assessment Accept CPA identity and post it to applicable certification sessions Accept user input of food and amounts consumed Calculate actual daily food intake amount Compare actual daily food intake to required daily food intake Assign food/dietary score (automatically) Store data in data store Generate screen display of participant dietary assessment Perform Measurement and Calculate Body Mass Index Accept CPA identity and post it to applicable certification sessions Accept user input of anthropometric data or retrieve data from data store Compare actual measurements to CDC standards Assign BMI score and weight status classification Generate Graphic Growth Chart or Percentile Chart with participant’s data Screen display or printout of participant growth chart Participant percentile change chart (optional) Capture and Document Blood Test Results Accept user input of bloodwork or retrieve data from data stores Run an algorithm to determine if bloodwork is needed in a specified time period based on participant category, participant age, date of certification, and date of last bloodwork Determine participants requiring bloodwork Screen display or printed list of participants needing bloodwork Determine Nutrition Risk and Certify Applicant Accept CPA identity and post it to applicable certification sessions
Future Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 6
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Core
Req No
1.2.5.2 1.2.5.3
Description
Comments
How Implemented
1.2.5.4 1.2.5.5
1.2.5.6 1.2.5.7 1.2.5.8 1.2.5.9
1.2.5.10
1.2.5.11 1.2.5.12 1.2.5.13 1.2.5.14 1.2.6 1.2.6.1 1.2.6.2
Retrieve data from data stores Enable entry of a Participant Nutrition Risk Code or automatically calculate the Participant Nutrition Risk Code based on Participant’s Health and Nutrition data and store in the Participant Health data store Accept additional Participant Nutrition Risks and store in the Participant Health data store Automatically assign Participant Priority based on Participant Risk Factor and Participant Category, with the opportunity to allow staff to override the value, and store in the Participant Health data store Automatically update Priority based on status changes (e.g., infants reaching 1 year) Accept user input of new Participant Priority Level Code and store in the Participant data store Retrieve data from Participant data store Update Participant Certification Status Code to Certified and assign a Participant Identification number (if not already assigned) or update ineligibility/termination information System automatically calculates the next certification date and store in the Participant data store [calculated field Participant Certification End Date] (Note: Under certain circumstances, the certification period may be shortened or extended by a period not to exceed 30 days ) Screen display of dietary/nutrition risk assessment Screen display of priority level Notification of next certification date Notification of ineligibility, if applicable Assess Applicant for Temporary Certification/ Presumptive Eligibility Requirements Retrieve certification data from Participant, Participant Health, and Nutrition Assessment data stores Determine type of documentation missing from required certification data
Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 7
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Accept user input of certification status code for temporarily certified or presumptively eligible and verify that the applicant is eligible to be classified for this status Calculate date documentation is required to complete certification Flag record to ensure that benefits cannot be issued for a timeframe greater than the approved timeframe for temporarily certified or presumptively eligible participants If documentation is not provided by the required date, the system Core should automatically terminate the participant Screen display of participants that need to provide documentation Screen display or printed report of participants automatically terminated by the system because of missing certification data Generate notice of ineligibility for temporarily certified applicants that fail to bring in documentation within 30 days of certification Generate notice of ineligibility for pregnant women presumptively certified that do not meet any risk conditions within 60 days of certification Conduct On-going Assessment of Bloodwork Needed Retrieve bloodwork data from data stores Calculate due date of bloodwork based on certification date and last bloodwork date Flag records in which bloodwork is missing within 90 days of certification Screen display or printed report of participants missing bloodwork Generate notice to participant of missing bloodwork Maintain Participant Data Automatically generate the Family/Household Identification Number or input an existing number Associate participant to the appropriate Family/Household Identification Number Automatically generate the Participant Identification Number (if system generated) or input number Accept user entered Proxy data Store Participant ID and Proxy data in data store Description
Req No
1.2.6.3
Comments
How Implemented
1.2.6.4 1.2.6.5
1.2.6.6 1.2.6.7 1.2.6.8 1.2.6.9 1.2.6.10
1.2.7 1.2.7.1 1.2.7.2 1.2.7.3 1.2.7.4 1.2.7.5 1.2.8 1.2.8.1 1.2.8.2 1.2.8.3 1.2.8.4 1.2.8.5
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 8
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
1.2.8.6 1.2.9 1.2.9.1
Description
Comments
How Implemented
1.2.9.2 1.2.9.3 1.2.9.4 1.2.9.5
1.3
1.3.1 1.3.1.1 1.3.1.2 1.3.1.3 1.3.1.4 1.3.1.5 1.3.1.6 1.3.1.7 1.3.1.8 1.3.1.9 1.3.2 1.3.2.1 1.3.2.2 1.3.2.3
Screen display of proxy information Issue Identification Card Using data contained in the Participant data store (including parent/guardian name for infants and children), the system should produce an identification card The system should track card replacements The system should flag records of participants with multiple card replacements for local agency follow-up Participant identification card Report of participants with multiple card replacements Prescribe Food Package Assess/Select Food Prescription Accept user input of participant identification number Retrieve participant’s category from data store Display appropriate standard packages, in addition to recommended package Select food benefit package based on participant category code and display food package with assigned food items to user Accept user food package confirmation or food package change Alert user to inappropriate food package selection and flag for overissuance Update data store to assign a food package to the participant Generate screen display of participant food package data Printed report of food benefits prescribed Tailor/Change Food Prescription Accept user input of participant identification and food package identification Retrieve and display existing food prescription Accept new food package selection and update food benefit prescription with new food package identification number
Core
Core
Core
Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 9
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Alternatively, accept new food items/quantities and update data store Link to food benefit prescription (in an EBT system) or to food instrument type (in paper system) Assign new identifier for changed package Generate screen display of participant updated food package data Printed report of food benefits prescribed Core Schedule Appointment for Food Benefit Pick-Up Accept user input of scheduling parameters and participant data for all family/household members Collect and store appointment schedule data in data store Decrement number of slots available for the pickup appointment Generate appointment notice for participant or family/household Generate screen display of appointment schedule Process Participant Changes and Transfers Change Family/Household Grouping Accept user input of participant identification number and family/household identification number and retrieve participant’s existing household grouping Display list of existing family/household groupings Accept user selection of existing family/household grouping or generate new family/household grouping Link participant to selected/newly created family/household grouping Update data store with new participant family/household identification number Generate screen display of updated participant family/household grouping Generate screen display of changes to participant records Change Participation Status Accept user input of participant identification number and retrieve and display existing participant participation status or category Update data store Description
Req No
1.3.2.4
Comments
How Implemented
1.3.2.5 1.3.2.6 1.3.3 1.3.3.1 1.3.3.2 1.3.3.3 1.3.3.4 1.3.3.5
1.4
1.4.1 1.4.1.1
1.4.1.2 1.4.1.3 1.4.1.4 1.4.1.5 1.4.1.6 1.4.1.7 1.4.2 1.4.2.1 1.4.2.2
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 10
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Add a record to or update an existing record in the Participant data store to show an applicant as ineligible or a participant’s termination reason Notify user of food package changes due to status change Generate screen display of participant status change Generate notice of participant status change Process In-State Transfers At Originating Agency: Retrieve existing participant or family/household data from data store Create transfer file and upload to central host Terminate participant at originating agency Update Authorization to Access Records (centralized database only) At Receiving Agency: Receive file from originating agency Update data store with participant or family/household information Update authorization to access records (centralized database only) Generate participant transfer file Screen display of transfer information Process Transfers to Other States and Overseas Retrieve data from data stores Produce a VOC from data resident in the system Generate VOC document Establish EBT/ESD Account and Authorize Benefits Establish EBT/ESD Account Accept user input of participant identification number and family/household identification number Retrieve appropriate data from data store Generate food benefit family/household account number (or receive and manually enter) Create account set-up file Transmit account set-up file to ESD/EBT processor Authorize Benefits Accept user input of family/household account number Description
Req No
1.4.2.3
Comments
How Implemented
1.4.2.4 1.4.2.5 1.4.2.6 1.4.3 1.4.3.1 1.4.3.2 1.4.3.3 1.4.3.4 1.4.3.5 1.4.3.6 1.4.3.7 1.4.3.8 1.4.3.9 1.4.4 1.4.4.1 1.4.4.2 1.4.4.3
1.5
1.5.1 1.5.1.1 1.5.1.2 1.5.1.3 1.5.1.4 1.5.1.5 1.5.2 1.5.2.1
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 11
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Retrieve individual food prescriptions for each participant in a household Aggregate prescribed quantities for each food item Compile food package prescriptions for all participants in household and update appropriate data stores Create benefit authorization file Transmit benefit authorization file with food benefit household account balance information that provides a consolidated food list to the ESD/EBT processor Load EBT/ESD Data on Card Perform card personalization Accept participant input of personal identification number (PIN) Retrieve EBT/ESD data from data stores Verify for adequate access privileges (e.g., input of both participant and user PIN) Write EBT/ESD data to card Conduct Certification Reporting Generate Standard Reports Appointment Listing for Date Report Appointments Kept vs. Missed Summary Report Clinic Calendar Report Disqualified Participants Report Dual Enrollment/Dual Participation Report How Participant Heard About WIC Local Agency and State Summary Reports Ineligibility Summary Reports for Local Agency and State Migrant Participation Report Missed Appointments Outstanding Delayed Blood Work Report Participant Local WIC Agency and State Summary Reports Participant Services Summary Report Participant Source of Health Care Report Participant Summary Document Description
Req No
1.5.2.2 1.5.2.3 1.5.2.4 1.5.2.5 1.5.2.6
Comments
How Implemented
1.5.3 1.5.3.1 1.5.3.2 1.5.3.3 1.5.3.4 1.5.3.5
1.6
1.6.1 1.6.1.1 1.6.1.2 1.6.1.3 1.6.1.4 1.6.1.5 1.6.1.6 1.6.1.7 1.6.1.8 1.6.1.9 1.6.1.10 1.6.1.11 1.6.1.12 1.6.1.13 1.6.1.14
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 12
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Participants by County and Municipality Local Agency and State Summary Reports Pending Applications Referrals from WIC to External Agencies Summary Report Referrals from WIC to Outside Agencies Local Agency and State Reports Subsequent Certifications Due Summary Report System Access Log Listing Report Termination Report Upcoming Appointments Report Upcoming High-Risk Appointments Report Waiting List Local Agency Report and State Summary Reports WIC Priority Participation Report Conduct Ad Hoc Queries and Generate Reports Future Core Enter selection parameters and query system Display results and generate reports Maintain Data Warehouse Transmit and store appropriate certification information in the Certification data warehouse NUTRITION EDUCATION, HEALTH SURVEILLANCE, AND REFERRALS Maintain Nutrition Education Data Create Participant Care Plan Retrieve participant care plan template appropriate for participant risk category Retrieve relevant participant data from data store and populate template Generate screen display of populated participant care plan template Accept updates to participant care plan template Retrieve relevant data from data stores Accept participant care plan updates Display participant care plan template and participant care plan updates Update data stores Generate participant care plan Description
Req No
1.6.1.15 1.6.1.16 1.6.1.17 1.6.1.18 1.6.1.19 1.6.1.20 1.6.1.21 1.6.1.22 1.6.1.23 1.6.1.24 1.6.1.25 1.6.2 1.6.2.1 1.6.2.2 1.6.3 1.6.3.1
Comments
How Implemented
2.0 2.1
2.1.1 2.1.1.1 2.1.1.2 2.1.1.3 2.1.1.4 2.1.1.5 2.1.1.6 2.1.1.7 2.1.1.8 2.1.1.9
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 13
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
2.1.2 2.1.2.1 2.1.2.2 2.1.2.3 2.1.2.4 2.1.2.5 2.1.2.6 2.1.2.7 2.1.2.8 2.1.2.9 2.1.3 2.1.3.1 2.1.3.2 2.1.3.3 2.1.3.4 2.1.3.5 2.1.4 2.1.4.1 2.1.4.2 2.1.4.3 2.1.4.4 2.1.4.5 2.1.4.6 2.1.4.7 2.1.4.8
Description
Comments
How Implemented
Schedule Nutrition Education Appointment Accept user input on participant preferences Assign resources available for conducting nutrition education class Check for appointment availability at particular time and date Coordinate appointment scheduling with other family/household members Collect and store appointment schedule data in data store Decrement the Event Slot Number of Spaces each time a new appointment is scheduled Generate screen display of local agency/clinic’s nutrition education appointment schedule Generate screen display of participant’s nutrition education appointment schedule Generate participant appointment notice Track Nutrition Education Contacts and Topics Covered Display education/training input screen Accept input of offered education/training and appointment outcome Update data stores for all family/household members Generate screen display of updated nutrition education Generate screen and report of nutrition education offered Document Missed Nutrition Education Appointment Retrieve class roster or accept card input Update class roster with participants’ attendance status Generate no show report or no show file for auto-dialer system and generate follow-up calls Update scheduled appointment outcome code/appointment missed reason in data store Update participant care plan with attendance status or appointment missed reason for specific class Generate screen display or report of participants who did not participate in nutrition education Generate screen display or report of updated individual care plan Generate screen display or report of nutrition education attendance
Core Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 14
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Assess Individual Participant Dietary Intake Assess/Reassess Changes in Nutrition Risk Accept user input of participant’s nutrition assessment and care plan information Retrieve data from the data store Accept updates to data store Update existing participant records in data store Generate screen display of participant dietary assessment Maintain Information on Food Purchased (EBT/ESD Only) Future Core Accept user input of card primary account number, food item category and subcategory and UPC Receive vendor transaction detail file and update local database Display participant food purchases Retrieve and display participant care plan Accept updates to participant care plan Update appropriate data stores Generate screen or report of participant/household food purchases Generate screen or report of participant care plan Perform Participant Referrals Track Incoming and Outgoing Referrals Core Accept user entered participant referral data Accept required location and match for referral agencies in close proximity Display list of agencies in close proximity and accept agency referral selection Update appropriate data stores Retrieve demographic, health, and referral data from ESD card and update system data stores Update ESD card Retrieve and display participant care plan and update data store Retrieve referral agency location information, referral data, and appointment data from appropriate data stores Update referral data stores with appropriate data Generate referral notice Description
Req No 2.2
2.2.1 2.2.1.1 2.2.1.2 2.2.1.3 2.2.1.4 2.2.1.5 2.2.2 2.2.2.1 2.2.2.2 2.2.2.3 2.2.2.4 2.2.2.5 2.2.2.6 2.2.2.7 2.2.2.8
Comments
How Implemented
2.3
2.3.1 2.3.1.1 2.3.1.2 2.3.1.3 2.3.1.4 2.3.1.5 2.3.1.6 2.3.1.7 2.3.1.8 2.3.1.9 2.3.1.10
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 15
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
2.3.1.11
Description
Comments
How Implemented
2.4
2.4.1 2.4.1.1 2.4.1.2 2.4.1.3
2.5
2.5.1 2.5.1.1 2.5.1.2 2.5.2 2.5.2.1 2.5.2.2 2.5.3 2.5.3.1 2.5.3.2
2.6
2.6.1 2.6.1.1 2.6.1.2 2.6.1.3 2.6.1.4 2.6.1.5 2.6.1.6
2.7
2.7.1 2.7.1.1 2.7.1.2
Generate referral transaction file Provide Voter Registration Information Provide Voter Registration Information Accept user input of participants offered voter registration services Create Voter Registration Report Generate Voter Registration report Provide WIC Health Statistics and Other Information to External Entities Provide WIC Population Data to External Entities Summarize and calculate various health statistics from data stores Generate various participant statistics reports Provide Participant Characteristics Minimum Data Sets to FNS Core Summarize and calculate various health statistics retrieved from data stores Generate Participant Characteristics Minimum and Supplemental Data Set File for transmission to FNS Provide WIC Participant Characteristics Data to the Centers for Core Disease Control and Prevention (CDC) Summarize and calculate various health statistics from data stores Generate CDC statistics report or data file Determine Immunization Status Screen and Refer Participant for Immunization Services Accept user input of immunization status, data sharing, and referral information and update data stores Display list of participants by immunization status, using sort parameters Generate lists of participants who have granted consent for sharing with outside entities List of participants referred (with desired parameters) Electronic file on appropriate media for sharing Screen display of reason referral not made Conduct Nutrition Education, Health Surveillance, and Referrals Reporting Generate Standard Reports Aggregate Health and Social Service Program Referrals Report Nutrition Education Attendance Report
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 16
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
2.7.1.3 2.7.1.4 2.7.1.5 2.7.1.6 2.7.1.7 2.7.1.8 2.7.1.9 2.7.1.10 2.7.2 2.7.2.1 2.7.2.2
Description
Comments
How Implemented
3.0 3.1
3.1.1 3.1.1.1 3.1.1.2 3.1.1.3 3.1.1.4 3.1.1.5 3.1.1.6 3.1.1.7 3.1.2 3.1.2.1 3.1.2.2 3.1.2.3 3.1.2.4 3.1.2.5 3.1.3
Nutrition Education Report Participant Care Plan Participant Food Item Purchases Report (EBT Only) Participant Percentile Change Report Participant Referral Report Report of High-Risk Participants Voter Registration Report WIC Program Participant Characteristics Minimum and Supplemental Data Sets for FNS and CDC Conduct Ad Hoc Queries and Generate Reports Enter selection parameters and query system Display results and generate reports FOOD BENEFIT ISSUANCE Maintain Food Package Data Maintain Approved Foods and Food Package Data Establish and enforce food package limit edits Accept user input food item and food package data Add or update new approved foods in data store Add or update new approved food packages in data store Add or update special formula/medical foods received and reason in data store Generate screen displays or reports of approved foods and food packages Generate screen display or report of special formula/medical foods received and reason code Record Food Package Variations and Food Instrument Types Display appropriate standard, pre-defined food packages Allow user to add or update new food instrument types and store in Food Instrument Type data store Prevent user from issuing foods that are disallowed or in quantities that exceed regulatory limits Screen display of customized food package Generate screen display or report of food instruments types Reduce Food Quantities for Late Pick-Up
Core Future Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 17
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Accept user input of food instrument type identification and food instrument type days late Enter the number of days late Select the appropriate food instrument type according to the number of days late Generate pro-rated food instruments Estimate Redemption Value For paper food instrument systems, retrieve the actual redemption value for each food instrument type over a period of time and calculate a food instrument type average value Store the food instrument type actual value in the appropriate data store Calculate a food instrument type maximum value by multiplying the food instrument type average value by an inflation factor Store the food instrument type maximum value in the appropriate data store For EBT systems, retrieve the actual redemption value for each food UPC over a period of time Group all UPC prices together for each food item (e.g., For cereal – all General Mills, Kellogg’s, and store brand cereals) and calculate a food item average composite price Store the food item average composite price in the appropriate data store Calculate a food item maximum composite price by inflating the food item average composite price Store the food item maximum composite price in the appropriate data store Generate screen display or report or food instrument type average and maximum values Generate screen display or report of food item average and maximum composite prices Maintain UPC Database for WIC Authorized Foods Accept input of category, subcategory, description, unit, and UPC data for food items Description
Req No
3.1.3.1 3.1.3.2 3.1.3.3 3.1.3.4 3.1.4 3.1.4.1
Comments
How Implemented
3.1.4.2 3.1.4.3 3.1.4.4 3.1.4.5 3.1.4.6
3.1.4.7 3.1.4.8 3.1.4.9 3.1.4.10 3.1.4.11 3.1.5 3.1.5.1
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 18
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Add, update, and delete food UPCs and PLUs in data store Retrieve food transaction data and vendor prices for each UPC Generate screen display, report, or electronic file for UPC food list, which displays the UPC and the description for each food category/subcategory Issue Paper Food Instruments (Paper Food Instrument Systems) Prepare Individual Food Instruments Core Retrieve participant record and food package description data Make food item changes if requested and update data store Select the vendor identification number corresponding to the name and address of the vendor selected by the participant Prompt the user to enter the appropriate number of months for each food package and calculate the food instrument valid start and end dates for each month’s issuance Retrieve food package prescription on other household members if food instrument printing is consolidated Generate screen display of food instrument issuance information to assure all information is correct Print Food Instruments Core Initialize the serial numbers (if pre-printed on food instrument stock) using a new counter for each user session that tracks the serial numbers (Also check the serial number several times during the day to ensure that the counter matches the serial number appearing on the actual paper food instrument ) Check that user-entered serial number for each food instrument matches the serial number tracked within system Check that user has entered data for a valid participant and food package Confirm that the food instrument valid end date is based on number of days in the month of issuance or to the end of the calendar month Confirm that the proper MAXIMUM value is noted on the food instrument Update the count of participants for the month and store in data store for later reporting and management purposes Description
Req No
3.1.5.2 3.1.5.3 3.1.5.4
Comments
How Implemented
3.2
3.2.1 3.2.1.1 3.2.1.2 3.2.1.3 3.2.1.4
3.2.1.5 3.2.1.6 3.2.2 3.2.2.1
3.2.2.2 3.2.2.3 3.2.2.4 3.2.2.5 3.2.2.6
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 19
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core 3.2.2.7 Update the estimated food instrument redemption values for the month and store in data store for later reporting and management purposes 3.2.2.8 Generate food instruments and food instrument register 3.2.2.8.1 Generate enough food instruments to ensure formula costs do not exceed maximum per voucher 3.2.2.8.2 Generate enough food instruments to provide adequate breakdown of perishables to accommodate special situations (homelessness, etc ) 3.2.2.9 Generate updated participation count by local agency, updated food obligations, and updated food instrument issuance file 3.2.3 Process Food Instrument Changes Core 3.2.3.1 Accept user input of participant identification number and food instrument data 3.2.3.2 Retrieve participant record 3.2.3.3 Void food instrument serial numbers for damaged/lost/stolen food instruments and update data store 3.2.3.4 Deobligate the food instrument estimated redemption 3.2.3.5 Prepare notification to vendors/ bank/ or processor with the food instrument serial numbers to not transact 3.2.3.6 Reissue and print food instruments with new serial numbers, if appropriate and update data store 3.2.3.7 Food Instruments (if reissued) 3.2.3.8 Generate screen display or report of food instrument loss history 3.2.3.9 Generate notice to vendor or bank of lost food instruments 3.2.4 Maintain Inventory of Food Instruments Issued to Local Agency 3.2.4.1 Capture and record all food instrument stock received and update data store 3.2.4.2 Generate screen display or report of local agency food instrument inventory status 3.3 Issue Electronic Benefit Card (EBT Systems) 3.3.1 Prepare to Load Benefits on Card 3.3.1.1 Retrieve the household account information including any demographic and proxy information from the appropriate data store Req No Description
Comments
How Implemented
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 20
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Prompt the participant to choose a PIN, verify, and update data store To make food changes, accept input of changes and update data store Recalculate the food benefit household account balance aggregated food item prescribed amounts (i.e., add and subtract food items) and update data store Retrieve aggregated food items from the data store If it is a vendor specific system, input the vendor identification number corresponding to the name and address of the vendor selected by the participant Prompt for the number of months of aggregated benefits for the household Update data store Calculate the estimated redemption value obligation for the foods in the prescription based on the prices maintained in data store Generate screen display of participant and food data to be loaded on the card Load Card and Print Food Prescription Prompt system to download household account data onto card that is inserted into a card reader/writer Print copy of food prescription Update and store the new estimated redemption value obligation for the household food benefit prescription in data store For all participants within the family/household account, update the count of participants for the month and store in data store Generate register of food benefits received Generate register of cards issued Generate updated count of participants for the local agency Process Card Changes Retrieve the family/household record Void card PAN number for damaged/lost/stolen cards and update food benefit household account old PAN with the entered card PAN for the lost/damaged/stolen card Description
Req No
3.3.1.2 3.3.1.3 3.3.1.4
Comments
How Implemented
3.3.1.5 3.3.1.6
3.3.1.7 3.3.1.8 3.3.1.9 3.3.1.10 3.3.2 3.3.2.1 3.3.2.2 3.3.2.3 3.3.2.4 3.3.2.5 3.3.2.6 3.3.2.7 3.3.3 3.3.3.1 3.3.3.2
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 21
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
3.3.3.3 3.3.3.4 3.3.3.5 3.3.3.6 3.3.3.7 3.3.3.8 3.3.3.9 3.3.4 3.3.4.1 3.3.4.2
Description
Comments
How Implemented
3.4
3.4.1 3.4.1.1 3.4.1.2 3.4.1.3 3.4.1.4 3.4.1.5 3.4.1.6 3.4.1.7 3.4.1.8 3.4.1.9 3.4.1.10 3.4.1.11 3.4.1.12 3.4.1.13 3.4.1.14 3.4.1.15
Assign new card PAN and update data store Retrieve family/household account data and remaining balance for each food item from the appropriate data stores Retrieve remaining balance for each food item from Food Benefit Family/Household Account Balance data store Prompt the participant to choose PIN, verify Personalize new card, load balance of food benefits, and reissue new card Generate screen display of void and updated information Generate screen display or report of household card loss history Maintain Inventory of Cards Issued to Local Agency Capture and record all food instrument stock received and update data store Generate screen display or report of local agency card inventory status Conduct Food Benefit Issuance Reporting Generate Standard Reports EBT Only: Estimated Food Redemption Values EBT Only: Estimated Redemption Value for Family/Household Food Accounts EBT Only: Local Agency Card Inventory Status EBT Only: Lost and Stolen Cards by Local Agency EBT Only: Lost and Stolen Cards by Participant Monthly Food Obligations and Redemption Report WIC Family/Household Monthly Benefit Report Paper and EBT: Approved Food Packages Paper and EBT: Approved Foods Paper and EBT: Food Price List Paper and EBT: Participants to Date by Local Agency Report Paper and EBT: Rebate Report Paper and EBT: Special Formula/ Medical Foods Received Paper and EBT: UPC Database for WIC Authorized Foods Paper Only: Estimated Food Instrument and Maximum Values
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 22
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Paper Only: Estimated Redemption Value for Food Instruments Issued Paper Only: List of Approved Food Instrument Types Paper Only: Local Agency Food Instrument Inventory Status Paper Only: Lost and Stolen Food Instruments by Local Agency Conduct Ad Hoc Queries and Generate Reports Future Core Enter selection parameters and query system Display results and generate reports Maintain Data Warehouse Transmit appropriate food instrument, food package, card issuance and household prescription data and maintain data warehouse FOOD BENEFIT REDEMPTION, SETTLEMENT, AND RECONCILIATION Pay Vendor for Food Benefits Redeemed (Paper Food Instrument Systems) Compile File of Transaction Data Compile issuance data Accept input of redemption data from direct data entry or redemption file Create a file of the transaction data Generate food instrument transaction file Perform Edits and Authorize Vendor Payment Perform edits by comparing food instrument issuance and redemption data in transaction file Input the Vendor Identification Number for the redeeming vendor (if not a vendor specific system) Identify food instruments that fail screening and input the Food Instrument Reject Reason Prepare an electronic payment detail report for all food instruments authorized for payment Prepare a rejection file for all food instruments that failed screening Update Food Instrument data store Compile Food Instruments Redeemed File Electronic payment detail report for food instruments paid and food instruments rejected Description
Req No
3.4.1.16 3.4.1.17 3.4.1.18 3.4.1.19 3.4.2 3.4.2.1 3.4.2.2 3.4.3 3.4.3.1
Comments
How Implemented
4.0 4.1
4.1.1 4.1.1.1 4.1.1.2 4.1.1.3 4.1.1.4 4.1.2 4.1.2.1 4.1.2.2 4.1.2.3 4.1.2.4 4.1.2.5 4.1.2.6 4.1.2.7 4.1.2.8
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 23
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
4.1.3 4.1.3.1
Description
Comments
How Implemented
4.1.3.2 4.1.3.3 4.1.3.4 4.1.3.5 4.1.3.6 4.1.3.7 4.1.3.8 4.1.3.9 4.1.3.10
4.2
4.2.1 4.2.1.1 4.2.1.2 4.2.1.3 4.2.1.4 4.2.2 4.2.2.1 4.2.2.2 4.2.2.3 4.2.2.4
Pay Vendor Transmit transaction file requesting a debit to the State agency bank and credit to the vendor or vendor’s bank for the total approved food instrument redemption amount Transmit rejection report notice to the vendor for food instruments where funds were withheld and/or a bill Transmit rejection report bill to the vendor for rejected food instruments already paid Compile all redemptions by issue month and by vendor and store in the appropriate data store Generate ACH transaction file Generate screen display or report of food instruments rejected Generate notice to vendor of food instrument amounts not paid Generate bill to vendor for rejected food instruments repayment Generate screen display or report of value of food instruments redeemed by issue month Generate screen display or report of value of redemptions by vendor Pay Vendor for Food Benefits Redeemed (EBT Systems) Verify WIC Card At POS, read participant card and prompt participant to enter PIN Verify the card and PIN are valid Check hot card list to verify that the card PAN is valid for transactions Accept or reject the card Screen for Food Item Eligibility and Verify Available Balance After the UPC of each WIC food item is scanned, confirm that the item is WIC-approved by checking the vendor UPC database Confirm that the family/household account has a sufficient food balance to redeem this item Deduct the food item from the family/household account food balance on the card Update the vendor transaction file to reflect the purchase of this item
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 24
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
4.2.2.5 4.2.2.6 4.2.3 4.2.3.1 4.2.3.2 4.2.3.3 4.2.3.4 4.2.3.5 4.2.4 4.2.4.1 4.2.4.2 4.2.4.3 4.2.5 4.2.5.1 4.2.5.2 4.2.5.3 4.2.5.4
Description
Comments
How Implemented
4.3
4.3.1 4.3.1.1 4.3.1.2 4.3.1.3
Update vendor transaction file Update food benefit account balance information Approve Purchase Total the WIC transaction sale Scan UPC for any coupons and deduct value from total sale Combine any non-WIC sales with WIC sales and print cash register receipt In an ESD environment, check card for appointments to add to the cash register receipt Cash register produces receipt with food balance and appointment reminder notice Compile File of Transaction Data and Upload to Processor Update card to close transaction Compile vendor transaction file and vendor transaction detail file with transaction total amount and transaction sales detail Transmit vendor transaction file and vendor transaction detail file to the EBT processor Conduct Settlement Retrieve vendor transaction file Calculate vendor credits and State WIC debits Generate ACH transaction file for transmission to vendor, vendor’s bank, and the State’s bank Generate and transmit vendor transaction detail file to the State agency IS Maintain Food Transaction Data (EBT Systems) Maintain Family/Household Food Account Balance1 Retrieve vendor transaction files and vendor transaction detail files for redemption transactions Debit food benefit household account and food benefit household account balance for the food used and value of food used Update the appropriate data stores to reflect the food transaction value
1
These processes occur at the EBT processor, which may be the State agency IS or a third party
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 25
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Process Inquiries for Food Account Balance and Last Date to Spend After participant enters card at an inquiry terminal, prompt participant for PIN Verify the card and PIN are valid Request statement of food remaining in the food benefit household account balance Print statement with food account balance by food item Food benefit family/household account balance of foods and last date to spend statement Track Food Purchases By Family/Household Retrieve vendor transaction detail file Sort foods purchased by households into food category/subcategory and UPC to identify the number of households that selected particular food products Extract infant formula purchases by brand and quantity and store in data store Generate report of infant formula purchased Generate report of household food purchase frequency by food item and brand Track Food Purchases and Price Retrieve vendor transaction detail file Sort foods purchased by UPC and price and average for all vendors to determine the respective prices for different brands of food Sort foods purchased by food category/subcategory and price and average for all vendors to determine the respective prices for different types of food Generate food purchase price report Reconcile Food Instruments (Paper Food Instrument Systems) Retrieve Food Issuance File Core Retrieve food issuance file for all food instruments that have a food instrument use/disposition date within the month of issue that will be reconciled Generate food instrument issuance file by month of issue Description
Req No
4.3.2 4.3.2.1 4.3.2.2 4.3.2.3 4.3.2.4 4.3.2.5 4.3.3 4.3.3.1 4.3.3.2
Comments
How Implemented
4.3.3.3 4.3.3.4 4.3.3.5 4.3.4 4.3.4.1 4.3.4.2 4.3.4.3
4.3.4.4
4.4
4.4.1 4.4.1.1
4.4.1.2
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 26
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Reconcile Redeemed File with Issuance File Core Conduct a food instrument serial/identification number match between food instruments on the issuance file and food instruments on the redemption file Replace food instrument obligations with actual redemption amounts for all food instruments paid For pre-edit systems, update any food instrument redemption amounts for food instruments that were not paid pending dispute resolution where the State agency and vendor have resolved the final redemption amount For post-payment systems, enter any food instrument amounts collected from the vendor Update food instrument obligations and outlays Reconcile Food Instruments Core For any food instruments that are unredeemed and expired (those that are beyond the maximum allowable days from the first valid date for the participant to use and vendor to request payment), reduce the food instrument obligation to zero, and code these food instruments as “void-expired ” Retrieve the file on food instruments that were voided, reduce the food instrument obligation to zero and code these food instruments as “void – staff void ” Update the data store for expenditure tracking purposes Run a match of the redeemed but unissued food instruments against the issuance file For food instruments that still have no matching issuance record, prepare an exception report for the local agency that issued the food instrument with information on the food instrument and its disposition Update appropriate data stores Conduct Food Benefit Redemption, Settlement and Reconciliation Reporting Generate Standard Reports Paper System: Food instrument rejection reports by vendor Paper System: Infant formula purchases Description
Req No
4.4.2 4.4.2.1
Comments
How Implemented
4.4.2.2 4.4.2.3
4.4.2.4 4.4.2.5 4.4.3 4.4.3.1
4.4.3.2
4.4.3.3 4.4.3.4 4.4.3.5
4.4.3.6
4.5
4.5.1 4.5.1.1 4.5.1.2
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 27
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
4.5.1.3 4.5.1.4 4.5.1.5 4.5.1.6 4.5.1.7 4.5.1.8 4.5.1.9 4.5.1.10 4.5.1.11 4.5.1.12 4.5.1.13 4.5.2 4.5.2.1 4.5.2.2 4.5.3 4.5.3.1
Description
Comments
How Implemented
5.0 5.1
5.1.1 5.1.1.1 5.1.1.2 5.1.1.3 5.1.1.4 5.1.1.5 5.1.1.6 5.1.2 5.1.2.1 5.1.2.2 5.1.2.3 5.1.2.4 5.1.2.5 5.1.2.6 5.1.2.7
Paper System: Reconciliation report Paper System: Redeemed but not issued report Paper System: Redemption value by issue month Paper System: Summary food instrument redemptions by vendor EBT System: Balance inquiries EBT System: Food transaction rejection reports by vendor EBT System: Foods purchased EBT System: Foods purchased by Family/Household EBT System: Infant formula purchases EBT System: Redemption value by issue month EBT System: Summary household of food redemptions by vendor Conduct Ad Hoc Queries and Generate Reports Enter selection parameters and query system Display results and generate reports Maintain Data Warehouse Transmit food instrument reconciliation data and maintain in Food Instrument data warehouse FINANCIAL MANAGEMENT Manage Grants and Budgets Track NSA and Food Grants Accept user input of Federal and State grant funding information Adjust the State grant to correspond to Federal fiscal year funding Calculate total available Federal and State funds for food Calculate total available Federal and State funds for NSA Update appropriate data store Generate screen display or report of food and NSA grant status Maintain State Agency Budget Information Calculate total available Federal and State funds for food Calculate total available Federal and State funds for NSA Calculate total NSA budget for local agencies Calculate total NSA budget for the State agency Update data store Generate screen display or report of State budget for food and NSA Generate screen display or report of food and NSA grants status
Core Future Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 28
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Maintain and Transmit Local Agency Budget Information Record budget information for each local agency and update data store Transmit NSA budget allocations to local agencies Generate screen display or report of Local Agency Budgets by Core Budget Category Monitor Program Expenditures Monitor NSA Expenditures Calculate actual NSA expenditures from State and local agency expenditure reports Calculate any unliquidated NSA obligations for upcoming months Update expenditures to date in the data store Compare expenditures as a proportion of the budget amounts for each category Generate screen display or report showing NSA expenditures Core compared to budget Screen display or hard copy report showing NSA Expenditures to date Monitor Food Expenditures Paper Food Instrument System – Obligations Retrieve the estimate of future months food obligations from data store Retrieve the estimated food instrument redemption values for the month and past months that are not closed out For each upcoming month, add any estimates for breast pump costs Retrieve any vendor collections, participant collections, and program income from the data store and subtract this from the obligation amount Retrieve estimated rebates from the data store Subtract the estimated rebates from the food obligation balance to get the net obligation The system should revise net obligations each month as actual outlay data is received Paper Food Instrument System – Outlays Retrieve the total of all redemptions by issue month Description
Req No
5.1.3 5.1.3.1 5.1.3.2 5.1.3.3
Comments
How Implemented
5.2
5.2.1 5.2.1.1 5.2.1.2 5.2.1.3 5.2.1.4 5.2.1.5 5.2.1.6 5.2.2 5.2.2.1 5.2.2.2 5.2.2.3 5.2.2.4
5.2.2.5 5.2.2.6
5.2.2.7
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 29
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Subtract any vendor or participant collections and program income needed to fund food outlays for the month Add any food expenditures for breast pump costs to the outlays Retrieve total value of rebates billed from the data store Subtract the rebates billed from actual outlays to arrive at the net federal outlays for each issue month EBT System – Obligations Retrieve the estimate of future month food obligations from data store Retrieve the estimate of gross food obligations for the report month, and past months that are not closed out, from the monthly estimated redemption value of food for each household in data store Add any estimates for breast pump costs Subtract any vendor or participant collections and program income from obligations Retrieve estimated rebates from data store Calculate net obligations by subtracting the estimated rebates from the gross food obligation The system should revise net obligations each month as actual outlay data is received EBT System – Outlays Retrieve actual food outlays from the data store Subtract any vendor or participant collections and program income needed to fund food outlays for the month Add any food fund expenditures for breast pump costs Retrieve total value of rebates billed from data store Calculate net federal outlays by subtracting the rebates billed from actual outlays to arrive at the net federal outlays for each issue month Generate screen display or report of Federal food obligations and outlays Generate screen display or report of Federal food obligations and outlays compared to the budget Perform Financial Modeling Description
Req No
5.2.2.8 5.2.2.9 5.2.2.10 5.2.2.11
Comments
How Implemented
5.2.2.12 5.2.2.13
5.2.2.14 5.2.2.15 5.2.2.16 5.2.2.17
5.2.2.18 5.2.2.19
5.2.2.20 5.2.2.21
5.2.2.22 5.2.2.23 5.2.3
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 30
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Use projected participation and food cost data to estimate future months obligations Calculate an estimate of future expenditures under various scenarios using different food cost and/or participation variables Store future obligations by month in data store Generate screen display or report of estimated future obligations Core and expenditures Manage Cash Flow Calculate the total cash inflows by adding Federal grants, State grants, manufacturer rebates, program income and vendor/participant collections from the data store Calculate total cash outflows by adding vendor payments and NSA expenditures from the appropriate data stores Calculate the current cash balances for NSA and food funds by adding total cash inflows to the previous cash balance for each and subtracting the total cash outflows Generate screen display or report of cash flows Process Manufacturer Rebates Estimate Total Annual Rebates Capture information about rebate manufacturer Calculate the number of infants estimated to receive each type and form of formula Calculate the total number of cans to be sold by multiplying the number of infants by an estimated number of cans per infant by type and form of infant formula Calculate the estimated total rebate by multiplying the rebate for each formula type by the estimated number of cans for that formula type Calculate the total estimated rebate amount from the sum of the rebates for all of the individual formula types and store in data store Generate screen display or report on projected total rebate for each Core formula type Assess Rebates Core Description
Req No
5.2.3.1 5.2.3.2 5.2.3.3 5.2.3.4 5.2.4 5.2.4.1
Comments
How Implemented
5.2.4.2 5.2.4.3
5.2.4.4
5.3
5.3.1 5.3.1.1 5.3.1.2 5.3.1.3
5.3.1.4
5.3.1.5 5.3.1.6 5.3.2
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 31
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core For EBT systems, retrieve the food item transaction data for infant formula from data store and multiply the number of cans redeemed by the rebate rate for each type/form For paper food instrument systems: - Retrieve data on redeemed food instruments with infant formula and calculate number of cans of each infant formula form and type that were purchased for a given issue month - Verify the reasonableness of the number of cans reported sold (based on issuance records) by comparing it to the estimated number of cans sold (the total redemption value of all the redeemed food instruments for the food product divided by the average food prices) - Calculate the rebate for each product form and type by multiplying the rebate rate by the number of cans of that type purchased Prepare rebate bill for manufacturer Generate screen display or report on rebate amount for each product form and type Generate rebate bill for infant formula manufacturer Assess Rebate Alternatives Retrieve data on redeemed food instruments with infant formula and calculate number of cans of each infant formula form and type that were purchased for a given issue month For paper food instruments, verify the reasonableness of the number of cans reported sold (based on issuance records) by comparing it to the estimated number of cans sold (the total redemption value of all the redeemed food instruments for the food product divided by the average food prices) Calculate the rebate for each product form and type by multiplying the rebate rate by the number of cans of that type purchased times each manufacturer’s rebate market share Prepare infant formula rebate bill Generate screen display and report on rebate amount for each product form and type Monitor Rebate Collections Description
Req No
5.3.2.1
Comments
How Implemented
5.3.2.2
5.3.2.3 5.3.2.4 5.3.2.5 5.3.3 5.3.3.1
5.3.3.2
5.3.3.3
5.3.3.4 5.3.3.5 5.3.4
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 32
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core As rebate payments are received, enter the amount collected Enter any adjustments made and the reason code and update data store Generate screen display and report of rebate status Conduct Financial Management Reporting Generate Standard Reports Financial Management and Participation Report (FNS 798 Report) Addendum to WIC Financial Management and Participation Report (FNS-798A) WIC Local Agency Directory Report (FNS-648) Breast Pump Budget and Expenditures Cash Flow Local Agency NSA Expenditures NSA Budget by Local Agency Rebate Status State Agency NSA Budget Summary of Food Expenditures Summary of Funds Receipts Summary of Grants Conduct Ad Hoc Queries and Generate Reports Future Core Enter selection parameters and query system Display results and generate reports Maintain Data Warehouse Transmit financial management information and store in Financial data warehouse CASELOAD MANAGEMENT Capture and Maintain Caseload Data Capture Data on Potential Eligible Population Add, update, or delete potential eligibles data Update data stores Generate screen display or report of potential eligibles Description
Req No
5.3.4.1 5.3.4.2 5.3.4.3
Comments
How Implemented
5.4
5.4.1 5.4.1.1 5.4.1.2 5.4.1.3 5.4.1.4 5.4.1.5 5.4.1.6 5.4.1.7 5.4.1.8 5.4.1.9 5.4.1.10 5.4.1.11 5.4.1.12 5.4.2 5.4.2.1 5.4.2.2 5.4.3 5.4.3.1
6.0 6.1
6.1.1 6.1.1.1 6.1.1.2 6.1.1.3
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 33
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Core
Req No
6.1.2 6.1.2.1
Description
Comments
How Implemented
6.1.2.2 6.1.2.3
6.2
6.2.1 6.2.1.1 6.2.1.2 6.2.1.3 6.2.1.4 6.2.2 6.2.2.1 6.2.2.2 6.2.2.3 6.2.2.4 6.2.3 6.2.3.1 6.2.3.2 6.2.3.3 6.2.3.4
Capture Historical Participation Data Retrieve participation data for each local agency from appropriate data stores Prior Year Caseload Level Participation by Participant Category Waiting List Applicants Participation by Priority Level Local Agency Migrant Participation Update data stores Generate screen display or report of local agency participation profile Allocate Caseload Determine Maximum State Caseload Adjust monthly State agency caseload with any caseload achievement rate factor Adjust monthly caseload to allow for participation level fluctuations and/or targeted growth or reduction rates Store maximum State agency caseload level by month in data store Generate screen display showing monthly State caseload target Prepare Local Agency Caseload Allocation Estimates Retrieve data from the appropriate data stores Apportion caseload among local agencies according to the State caseload allocation method Provide “what if” analysis capability to demonstrate the impact on caseload allocation by changing the caseload allocation parameters Generate screen display or report showing proposed caseload allocation by local agency Record Caseload Allocation Collect and store local agency caseload allocation data in data store Compare sum of local agency caseload allocation to maximum State allocation Update data store with monthly caseload assignment Generate screen display or report of caseload by local agency
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 34
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Transmit Caseload Allocation Data to Local Agencies Retrieve caseload assignment from data store Generate caseload allocation transmission file, caseload allocation report, or caseload allocation Email Monitor Caseload Track Actual Participation Calculate caseload achievement rate and current rate of change (from previous months) in caseload achievement rate Update data store Generate screen display or report on local agency caseload utilization Conduct Caseload Reallocations Monitor participation, food costs, and expenditure patterns for significant changes from the original data used to allocate caseload If substantial changes have occurred, input the necessary updated data and recalculate caseload allocations Collect and store local agency caseload allocation in the appropriate data store Compare sum of local agency caseload allocations to maximum state caseload Update data store with monthly caseload assignment Generate screen display or report with updated caseload allocations Conduct Caseload Management Reporting Generate Standard Reports Caseload by Local Agency Local Agency Caseload Utilization Local Agency Participation Profile Monthly State Caseload Target Potential Eligibles Data Conduct Ad Hoc Queries and Generate Reports Future Core Enter selection parameters and query system Display results and generate reports Description
Req No
6.2.4 6.2.4.1 6.2.4.2
Comments
How Implemented
6.3
6.3.1 6.3.1.1 6.3.1.2 6.3.1.3 6.3.2 6.3.2.1 6.3.2.2 6.3.2.3 6.3.2.4 6.3.2.5 6.3.2.6
6.4
6.4.1 6.4.1.1 6.4.1.2 6.4.1.3 6.4.1.4 6.4.1.5 6.4.2 6.4.2.1 6.4.2.2
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 35
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
6.4.3 6.4.3.1
Description
Comments
How Implemented
7.0 7.1
7.1.1 7.1.1.1 7.1.1.2 7.1.1.3 7.1.1.4 7.1.1.5 7.1.1.6 7.1.2 7.1.2.1 7.1.2.2 7.1.2.3 7.1.2.4 7.1.2.5 7.1.2.6
7.2
7.2.1 7.2.1.1 7.2.1.2 7.2.1.3 7.2.2 7.2.2.1 7.2.2.2
Maintain Data Warehouse Transmit WIC Caseload data and maintain in the Caseload data warehouse OPERATIONS MANAGEMENT Monitor Administrative Operations Maintain Information on Local Agencies and Clinics Input data on local agencies and clinics and store in data store Retrieve participation data Retrieve administrative cost information from data store and calculate the NSA cost per participant by local agency Upon receipt, calculate clinic/local agency factors Generate screen display or report on local agency/clinic profile data Generate screen display or report on NSA cost per participant by local agency/clinic Track Staff Time Allocation Retrieve staff and space information on local agencies and clinics from data store Retrieve data on number of participants served from data store Retrieve “no show” data from data store and calculate “no show” rates Calculate staff-to-participant and footage-to-participant ratios Prepare analysis report by local agency/clinic of participant to staff type and square feet of space Generate screen display or report of local agency/clinic participant to staff/facility statistics Manage Participant Outreach Maintain Outreach List for Local Agencies Add, update, or delete outreach organizations Update data store Generate screen display or report of outreach organizations Track Outreach Campaign Activities Retrieve participant source of information about WIC data from data store Accept user input of outreach campaign cost
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 36
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Retrieve data on the number of participants for each local agency involved in the campaign for the month before and after the outreach campaign from the data store Compute the participation difference between the participation for the month before and after the outreach campaign Divide the cost by the participant difference to obtain a cost per participant Generate screen display or report of outreach campaign cost-benefit Monitor Customer Service for Participants, Vendors, and Providers Receive and Route WIC Customer Service Calls Input service requested code into data store Answer call and provide recorded message or accept caller input to menu choices Assign appropriate call type based on caller input to menu Update data store Determine appropriate customer service representative based on menu input Determine queue size of appropriate customer service representatives Determine routing disposition Track Call Outcomes Accept customer service representative input Route call to next level of escalation Update problem resolution data in data store Generate screen display or report of customer service calls and outcomes Provide Survey Capability Monitor Participants’ Views of WIC Program Services Design survey instrument for type of customer and services received and update data stores Accept user entered survey results and update in data stores Generate analyses of survey responses Generate screen display or report of customer survey opinions Description
Req No
7.2.2.3
Comments
How Implemented
7.2.2.4 7.2.2.5 7.2.2.6
7.3
7.3.1 7.3.1.1 7.3.1.2 7.3.1.3 7.3.1.4 7.3.1.5 7.3.1.6 7.3.1.7 7.3.2 7.3.2.1 7.3.2.2 7.3.2.3 7.3.2.4
7.4
7.4.1 7.4.1.1 7.4.1.2 7.4.1.3 7.4.1.4
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 37
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No 7.5
7.5.1 7.5.1.1 7.5.1.2 7.5.1.3 7.5.1.4 7.5.1.5 7.5.1.6 7.5.2 7.5.2.1 7.5.2.2 7.5.2.3 7.5.2.4 7.5.2.5
Description
Comments
How Implemented
7.6
7.6.1 7.6.1.1
7.6.1.2
7.6.1.3 7.6.1.4
Maintain Inventory Maintain Inventory of Serialized Items Accept user input of serial numbers when shipments are received by State agency Accept user input of serial numbers or equipment identification numbers for items sent to a local agency Input the local agency code for the local agency receiving the shipment Calculate number of day’s stock and anticipated replenishment date Update data store Generate screen display or report of serialized item stock inventory status Maintain Inventory of Non-Serialized Items Accept user input of number of items when shipments are received by State agency Accept user input of number of items for items sent to a local agency Input the local agency code for the local agency receiving the shipment Update data store Generate screen display or report of non-serialized item stock inventory status Monitor Program Integrity Monitor Participant Integrity Retrieve data on participant certifications from data store and determine if there are multiple duplications in certification data (e.g. name, address, date of birth, etc ) Load participant data from other State agencies or CSFP and match that participant data against the State’s participant data to determine if there are any matches Store matches in data store Input complaint data on participants in data store and generate report of complaints for follow-up action
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 38
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Retrieve data on participants from appropriate data stores and determine the vendor where the participant redeemed her food benefits Compare vendor and participant addresses to determine how many participants are shopping at vendors outside the normal geographic radius of the participant’s address Input data on participant violations, sanctions and claims assessed and claims collected along with the corresponding date in the data store Separate clinics into peer groups according to caseload size to set baseline trend data for differing clinic caseloads Monitor reports based on the baseline trend data Generate screen display or report on potential dual participation matches Generate screen display or report of complaints about participants Generate screen display or report of participants shopping outside their neighborhoods Generate screen display or report of participant sanctions and claims status Monitor Clinic Integrity Retrieve data for all local agencies on: no-show rates, attendance rates at nutrition education classes, number of infants (who have high redemption value food benefits), number or twins, number of certifications, and number of participants with no reported income from the appropriate data stores Calculate percentages of no-shows, participants not receiving nutrition education, infants, twins, certifications, and issuance of benefits at abnormal hours for each local agency and the average for all local agencies Compare each local agency average to the average of all local agencies Generate screen display or report of potential clinic abuse indicators Description
Req No
7.6.1.5
Comments
How Implemented
7.6.1.6
7.6.1.7
7.6.1.8 7.6.1.9 7.6.1.10 7.6.1.11 7.6.1.12 7.6.1.13 7.6.2 7.6.2.1
7.6.2.2
7.6.2.3 7.6.2.4
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 39
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
7.6.3 7.6.3.1 7.6.3.2
Description
Comments
How Implemented
7.7
7.7.1 7.7.1.1 7.7.1.2 7.7.1.3 7.7.1.4 7.7.1.5 7.7.1.6 7.7.1.7 7.7.1.8 7.7.1.9 7.7.1.10 7.7.1.11 7.7.1.12 7.7.1.13 7.7.2 7.7.2.1 7.7.2.2 7.7.3 7.7.3.1
8.0 8.1
8.1.1 8.1.1.1 8.1.1.2
Track Administrative Hearings Add, update, and delete administrative hearings data in data store Generate screen display or report on participant hearing status Conduct Operations Management Reporting Generate Standard Reports Report of Complaints About Participants Report of Customer Service Calls and Outcomes Report of Local Agency/Clinic Participant to Staff/Facility Statistics Report of Non-Serialized Item Stock Inventory Status Report of Outreach Organizations Report of Participant Violations, Sanctions, and Claims Report of Participants Shopping Outside Their Neighborhoods Report of Referrals to/from WIC by Program/Agency Report of Serialized Item Stock Inventory Status Report on Local Agency/Clinic Profile Data Report on NSA Cost per Participant by Local Agency/Clinic Report on Participant Hearing Status Report on Potential Participant Dual Participation Matches Conduct Ad Hoc Queries and Generate Reports Enter selection parameters and query system Display results and generate reports Maintain Data Warehouse Transmit caseload management data and store in Caseload data warehouse VENDOR MANAGEMENT Maintain Vendor Authorizations Maintain Vendor Application Data Input vendor characteristics data from vendor applications for new and currently authorized vendors and store results in data store Generate screen display or report of vendor applications
Future Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 40
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
8.1.2 8.1.2.1 8.1.2.2 8.1.3 8.1.3.1 8.1.3.2 8.1.3.3 8.1.3.4
Description
Comments
How Implemented
8.1.3.5 8.1.3.6 8.1.3.7 8.1.3.8 8.1.3.9 8.1.3.10 8.1.3.11 8.1.4 8.1.4.1 8.1.4.2 8.1.4.3 8.1.4.4
Track Vendor Authorization Process Input activities scheduled and completed for each vendor and store results in data store Generate screen display or report on vendor authorizations milestones scheduled and completed Select Authorized Vendors Retrieve history of violations on vendors who are seeking reauthorization from data store Retrieve a compliance history on vendors who are seeking reauthorization from the data store Retrieve vendor application data from data store Calculate the food package price for each vendor based on the food price survey data submitted in the application by inputting the price for each food, and based on the food price provided by the vendor by UPC Array vendors by price for each location Select the required number of vendors for authorization For competitive bid systems, store the vendors contract price for food as the not to exceed value in the data store Generate screen display or report of all violations and compliance activities for the vendor within a user specified timeframe Generate screen display or report of vendor’s food prices by location in descending order Generate screen display or report of participant to applicant vendor ratio by location Generate list of selected vendors Maintain Authorized Vendor Data Input vendor identification number for newly authorized vendors Update vendor status Update data store and assign a vendor identification number Generate list of authorized vendors by identification number
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 41
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No 8.2
8.2.1 8.2.1.1 8.2.1.2 8.2.1.3 8.2.2 8.2.2.1 8.2.2.2
Description
Comments
How Implemented
8.3
8.3.1 8.3.1.1 8.3.1.2 8.3.1.3 8.3.1.4
8.4 8.5
8.5.1 8.5.1.1 8.5.1.2 8.5.1.3
Monitor Vendor Training Track Scheduled Vendor Training Input scheduled vendor training dates, locations and vendor and store in data store Generate vendor training schedule Generate vendor training notice Track Attendance at Vendor Training and Technical Assistance Conducted Input vendors’ attendance at planned sessions and record in data store Generate screen display or report of vendor attendance at training sessions Support Vendor Communications Produce Correspondence to Vendors Accept user input of selection of authorized vendors to receive information or correspondence Retrieve vendor name and address information from data store Generate customized correspondence Generate mailing labels Perform High-Risk Vendor Analysis (See Confidential Document) Track Compliance Investigations and Routine Monitoring Maintain Special Investigator Record for Compliance Investigations Add or update a participant record for the investigation in the data store to enable the issuance of food benefits Generate participant identification card Generate listing of investigator participant records
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 42
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
8.5.2 8.5.2.1 8.5.2.2
Description
Comments
How Implemented
8.5.2.3 8.5.3 8.5.3.1 8.5.3.2 8.5.3.3 8.5.3.4 8.5.3.5 8.5.4 8.5.4.1 8.5.4.2
8.5.4.3 8.5.4.4
8.6
8.6.1 8.6.1.1 8.6.1.2 8.6.1.3 8.6.1.4 8.6.1.5 8.6.1.6
Maintain Food Benefit Redemption Data Accept user input of investigator participant identification number Retrieve the food benefit redemption data for the vendor under investigation using the investigator’s participant identification number Generate food benefit redemption values for foods purchased during the compliance buy Maintain Compliance Investigation and Routine Monitoring Data Accept user input of data about the compliance activity and record in data store Accept user input of data from vendor complaints and record in data store Generate compliance summary report Generate vendor compliance history Generate vendor complaint log Support Inventory Audits Accept user input of record audit purchase value of WIC food item, date of record audit, and vendor identification number For each WIC food item, compare the total amount of food the vendor purchased for sale in his store to the total amount of WIC redemptions Flag any food items where the vendor redeemed more WIC food than he had purchased for sale and store in data store Generate sales analysis report Monitor Sanctions and Appeals Manage Vendor Sanctions Input the violation code for each vendor that is charged with a violation Assign a corresponding sanction for the particular violation Calculate the total sanction points for each vendor Prepare a notice to the vendor of any sanction imposed Establish account receivable if a CMP is applied and store in appropriate data store Track CMP payments
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 43
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
8.6.1.7 8.6.1.8 8.6.1.9 8.6.1.10 8.6.2 8.6.2.1 8.6.2.2 8.6.2.3 8.6.2.4 8.6.2.5
Description
Comments
How Implemented
8.7
8.7.1 8.7.1.1 8.7.1.2 8.7.1.3 8.7.1.4 8.7.1.5 8.7.2 8.7.2.1
8.7.2.2
8.8
8.8.1 8.8.1.1 8.8.1.2 8.8.1.3 8.8.1.4
Update data stores Generate vendor sanction summary report Generate notice to vendor of sanction applied Generate summary of CMP’s due and paid to date Maintain Vendor Appeal Data Accept user input of data on vendor sanction cases initiated and store in data store Update data on vendor sanction cases that are resolved in data store Generate vendor sanction and appeal summary report Generate vendor sanction and appeal history Notice to vendor indicating outcome of appeal Coordinate with Food Stamp Program Maintain Food Stamp Program Violation Data Accept user input of Food Stamps Program vendor identification number Search list of authorized WIC vendors by the Food Stamps Program identification number and identify matches Generate list of matches between WIC and Food Stamp vendors Generate listing of WIC vendors that have been disqualified from the Food Stamps Program Generate notice to WIC vendors of disqualification due to Food Stamps Program abuse Report WIC Sanctions to the Food Stamp Program Fifteen days after the vendor date to appeal has expired, produce notice to the Food Stamps Program of the WIC vendor disqualified with the required vendor information Generate notice to Food Stamps Program of disqualified WIC vendors Conduct Vendor Management Reporting Generate Standard Reports Compliance Summary Report List of Authorized Vendors by Identification Number Listing of WIC/Food Stamps Program Dual Disqualification Report Report of High Risk Vendors and Their Risk Scores
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 44
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Core
Req No
8.8.1.5 8.8.1.6 8.8.1.7 8.8.1.8 8.8.1.9 8.8.1.10 8.8.1.11 8.8.1.12 8.8.1.13 8.8.1.14 8.8.1.15 8.8.1.16 8.8.1.17 8.8.1.18 8.8.1.19 8.8.2 8.8.2.1 8.8.2.2 8.8.3 8.8.3.1
Description
Comments
How Implemented
9.0 9.1
9.1.1.1 9.1.1.2 9.1.1.3 9.1.1.4 9.1.1.5
9.2
9.2.1 9.2.1.1
Routine Monitoring Schedule Report Summary of CMPs Due and Paid to Date The Integrity Profile (TIP) Report Vendor Applications Report Vendor Attendance at Training Sessions Vendor Authorizations Activities Scheduled and Completed Vendor Complaint Log Vendor Compliance History Vendor Education Schedule Vendor Sales Analysis Report Vendor Sanction and Appeal Summary Report Vendor Sanction Summary Report Vendor Selection Assessment Vendor Training Schedule Vendors By Peer Groups Conduct Ad Hoc Queries and Generate Reports Enter selection parameters and query system Display results and generate reports Maintain Data Warehouse Transmit vendor management data and maintain in Vendor data warehouse SCHEDULING Maintain Master Calendar Accept user input of specific parameters Generate calendar with available characteristics and slots based on these parameters Assign needed resources from the available resource list and remove the resource from the list for that slot Update the data stores Generate master calendar Schedule Appointments Perform Appointment Scheduling Accept user entered appointment preferences and store in appropriate data store
Future Core
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 45
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Check for appointment availability at particular time and date that meet preference parameters Adjust appointment time, when preferences can not be matched Collect and store daily appointment schedule data and applicant appointment data in appropriate data store Decrement the appointment maximum available slots each time a new appointment is scheduled Accept user entered attendance data or card swipe and update data store Generate screen display of appointment schedule availability Generate screen display of applicant’s appointment schedule Generate daily schedule of nutritional risk assessments Generate daily schedule of appointments by event type Perform Mass Rescheduling Retrieve appointment schedule for the selected day, time or event Update Scheduled Appointment Outcome Code to Rescheduled Update data stores with new appointment information List of rescheduled appointments Generate Appointment Notices Accept user request to generate an appointment notice or mailing labels Retrieve data from the appropriate data stores Create mailing labels Create appointment file Download appointment file to autodialer Generate appointment notices Generate mailing labels Conduct Scheduling Reporting Generate Standard Reports Applicant’s Appointment Schedule Appointment Schedule Availability Daily Schedule of Nutritional Risk Assessments Missed Appointment Report Description
Req No
9.2.1.2 9.2.1.3 9.2.1.4 9.2.1.5 9.2.1.6 9.2.1.7 9.2.1.8 9.2.1.9 9.2.1.10 9.2.2 9.2.2.1 9.2.2.2 9.2.2.3 9.2.2.4
Comments
How Implemented
9.3
9.3.1.1 9.3.1.2 9.3.1.3 9.3.1.4 9.3.1.5 9.3.1.6 9.3.1.7
9.4
9.4.1 9.4.1.1 9.4.1.2 9.4.1.3 9.4.1.4
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 46
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core Conduct Ad Hoc Queries and Generate Reports Future Core Accept user input of selection parameters and query system Display results and generate reports Maintain Data Warehouse Transmit and store appropriate scheduling information in the scheduling data warehouse SYSTEM ADMINISTRATION Maintain System Data Tables Maintain System Code Table Data Edit new and updated data elements Store edited data in appropriate data table Generate screen display and report of data table Administer System Security Maintain User Identification Create user identification (if not entered) Store edited user data in data store Generate user ID confirmation notice Generate screen display of all users Maintain User Capabilities Accept input of user access function and function privileges Validate user identification and capability data Store or update capability data in data store Generate user capability profile Generate audit file Monitor Unauthorized Access Record user ID, date, time, and terminal location for each unauthorized access attempt Generate unauthorized access report Monitor Record Updates Record user ID, date, and time of each modification of the system data Create audit file Generate modified data element and audit file/report Manage System Description
Req No
9.4.2 9.4.2.1 9.4.2.2 9.4.3 9.4.3.1
Comments
How Implemented
10.0 10.1
10.1.1 10.1.1.1 10.1.1.2 10.1.1.3
10.2
10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.2 10.2.2.1 10.2.2.2 10.2.2.3 10.2.2.4 10.2.2.5 10.2.3 10.2.3.1 10.2.3.2 10.2.4 10.2.4.1 10.2.4.2 10.2.4.3
10.3
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 47
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
10.3.1 10.3.1.1 10.3.1.2 10.3.1.3 10.3.1.4 10.3.2 10.3.2.1
Description
Comments
How Implemented
10.3.2.2
10.3.3 10.3.3.1
10.3.3.2
10.3.3.3 10.3.4 10.3.4.1 10.3.4.2 10.3.4.3 10.3.4.4 10.3.4.5 10.3.4.6
Manage System Sites Accept system configuration parameters Edit new and updated system configuration parameters Store edited parameters in appropriate data table Generate screen display or report of system parameter settings Manage Communications To transmit transactions: - Aggregate transactions - Create transaction file - Transmit/Route transaction file - Receive transaction response - Retransmit transaction To receive transactions: - Receive transaction - Check transaction for error - Generate transaction response - Update database with aggregated transactions Perform System Back-up/Restoration To back-up the data: - Initiate timed back-up procedure - Create back-up file To restore the data: - Load back-up file - Copy back-up file to database Generate screen display confirming successful completion of data back-up/restoration Perform End-of-Day Processing Retrieve transactions Create end-of-day transaction file Transmit/Route end-of-day transaction file Verify receipt of end-of-day transaction file Retransmit end-of-day transaction file Generate screen display confirming successful completion of endof-day transmission
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 48
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core
Req No
10.3.5 10.3.5.1
Description
Comments
How Implemented
10.3.5.2
10.3.5.3 10.3.6 10.3.6.1 10.3.6.2 10.3.6.3 10.3.6.4 10.3.6.5 10.3.6.6 10.3.6.7 10.3.7 10.3.7.1 10.3.7.2 10.3.7.3 10.3.7.4
10.3.7.5
10.4
10.4.1 10.4.1.1
Import/Export Data Files To export data: - Retrieve data - Format data - Create export file To import data: - Receive import file - Update system database with data from import file Generate required data elements depending on the export file type Create/Rebuild Clinic System Install hardware and software Configure the system Build the local database/convert data from legacy system/check-out satellite database from “owning” site Set-up system code tables Set-up security tables Set-up communications structure Set-up system parameters Provide Version Control/Distribute Updates Log software version release Poll terminals/workstations for software version Download software update to workstation Verify software version by retrieving current version number from local database and matching the retrieved version number with the required version number Install new software when retrieved version number does not match required version number Archive System Data Archive and Restore Historical Data To archive historical data: - Copy historical data to storage medium based on user-provided date parameters - Strip archived data from the system
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 49
FUNCTIONAL REQUIREMENTS DOCUMENT FOR A MODEL WIC INFORMATION SYSTEM, WITH EBT APPENDIX A: REQUIREMENTS TRACEABILITY MATRIX EQUIREMENTS TRACEABILITY MATRIX Core/ Future Core To restore archived data, load data files or individual records according to user-specified parameters Purge Unnecessary Data To purge data: - Retrieve data that meets the purge parameters - Strip data to be purged from the system Generate purge file Generate purge report Conduct System Administration Reporting Generate Standard Reports Authorized User Report Code Table Change Report Code Table Report Communications Exception Report End-of-Day Processing Transaction Log Modified Data Elements Report New User ID Report System Back-up/Restoration Report System Performance Report Terminal Configuration Report Transaction Processing Report Unauthorized Access Report User Profile Report Conduct Ad Hoc Queries and Generate Reports Future Core Enter selection parameters and query system Display results and generate reports Maintain Data Warehouse Maintain system administration data warehouse Description
Req No
10.4.1.2 10.4.2 10.4.2.1
Comments
How Implemented
10.4.2.2 10.4.2.3
10.5
10.5.1 10.5.1.1 10.5.1.2 10.5.1.3 10.5.1.4 10.5.1.5 10.5.1.6 10.5.1.7 10.5.1.8 10.5.1.9 10.5.1.10 10.5.1.11 10.5.1.12 10.5.1.13 10.5.2 10.5.2.1 10.5.2.2 10.5.3 10.5.3.1
USDA FOOD AND NUTRITION SERVICE VERSION 1.0 (SUMMER 2002)
PAGE A- 50