Quarterly Wage and Tax Statement

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					                                                                          State of New Mexico - Department of Workforce Solutions
                                                                         UI Tax Modernization Business Use Case Traceability Matrix
                                                                                                Instructions

Introduction
1. The Future State Business Use Case traceability matrix contains a listings of future state business use cases, and use case cross references to functional
   requirements, general business requirements, special requirements and business rules referenced in those use cases. Traceability matrix is for information
   reference purposes only and is not to be considered as a statement of requirements.

2. These requirements and business rules are captured in Rational Requisite Pro and use the following prefix identifiers:
      "BUC" - Business Use Case
      "BRQ" - Business Requirement
      "GRQ" - General Requirement
      "SPR" - Special Requirement
      "BR" - Business Rule




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   Instructions                                                                                    Page 1 of 462                                                Date Printed: 7/27/2011
                                                                                State of New Mexico - Department of Workforce Solutions
                                                                                        UI Tax Modernization Requirements Matrix
                                                                                                       Use Cases

ID          BUC ID                           Business Use Cases
     1.01            Obsolete
     1.02 BUC1       BUC1 Register an Employer via Internet
     1.03 BUC2       BUC2 Register an Employer in Core Tax (Other)
     1.04 BUC3       BUC3 Annual Quarterly Report Forms Generation
     1.05 BUC4       BUC4 Annual Quarterly Report Electronic Notifications
     1.06 BUC5       BUC5 Employer Liability Maintenance via Internet
     1.07 BUC6       BUC6 Employer Liability Maintenance (Other)
     1.08 BUC7       BUC7 Payment Method Change via Internet
     1.09 BUC8       BUC8 Payment Method Change in Core Tax (Other)
     1.10 BUC9       BUC9 Account Cancellations via Internet
     1.11 BUC10      BUC10 Account Cancellations in Core Tax (Other)
     1.12 BUC11      BUC11 Account Reactivations via Internet
     1.13 BUC12      BUC12 Account Reactivations in Core Tax (Other)
     1.14 BUC13      BUC13 Coverage Terminations via Internet
     1.15 BUC14      BUC14 Coverage Terminations in Core Tax (Other)
     1.17 BUC15      BUC15 Account Terminations in Core Tax (Other)
     1.18 BUC16      BUC16 Account Suspensions via Internet
     1.19 BUC17      BUC17 Account Suspensions in Core Tax (Other)
     1.20 BUC18      BUC18 Employer Profile Maintenance via Internet
     1.21 BUC19      BUC19 Employer Profile Maintenance in Core Tax (Other)
     1.22 BUC20      BUC20 History Transfer Application via Internet
     1.23 BUC21      BUC21 Total History Transfers in Core Tax (Other)
     1.24 BUC22      BUC22 Partial History Transfers in Core Tax (Other)
     1.25 BUC23      BUC23 Out of State History Transfers in Core Tax
     1.26 BUC24      BUC24 History Transfer Reversals in Core Tax
     1.27 BUC25      BUC25 Potential Account Cancellations
     1.28 BUC26      BUC26 Potential Account Suspensions
     1.29 BUC27      BUC27 History Transfer Reversal Application via Internet
     1.30 BUC28      BUC28 Individual Examiner Performance Report
     2.01 BUC29      BUC29 Quarterly Report Filing via Internet
     2.02 BUC30      BUC30 Electronic Quarterly Reports Editing
     2.03 BUC31      BUC31 Paper Reports Processing
     2.04 BUC32      BUC32 Bulk Report Filing via Magnetic Media - Obsolete
     2.05 BUC33      BUC33 Editing Quarterly Paper Reports
     2.06 BUC34      BUC34 Loading Reports
     2.07 BUC35      BUC35 Editing Wage Detail
     2.08 BUC36      BUC36 Payment Processing via Internet
     2.09 BUC37      BUC37 Processing Payments without Reports


2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
Use Cases                                                                                            Page 2 of 462                        Date Printed: 7/27/2011
                                                                      State of New Mexico - Department of Workforce Solutions
                                                                              UI Tax Modernization Requirements Matrix
                                                                                             Use Cases

ID        BUC ID                           Business Use Cases
     2.10 BUC38    BUC38 Cash Payment Processing
     2.11 BUC39    BUC39 Editing Payments
     2.12 BUC40    BUC40 Posting Payments
     3.01 BUC41    BUC41 Filing Report Corrections via Internet
     3.02 BUC42    BUC42 Employer Report Corrections
     3.03 BUC43    BUC43 Employer Report Balancing
     3.04 BUC44    BUC44 Working Discrepancy Notices
     3.05 BUC45    BUC45 Reports adn Payments Transfers
     3.06 BUC46    BUC46 Reports and Payments Adjustments
     3.07 BUC47    BUC47 Posting Miscellaneous Transactions
     3.08 BUC48    BUC48 Payment Reversals
     3.09 BUC49    BUC49 Daily Due Diligence Process
     3.10 BUC50    BUC50 Collections Processed and Deposited Report
     3.11 BUC51    BUC51 Review Frozen Credits
     3.12 BUC52    BUC52 Employer Refund Processing
     3.13 BUC53    BUC53 Returned Warrants Processing
     3.14 BUC54    BUC54 Replacement Refund Warrants
     3.15 BUC55    BUC55 Trial Balance
     3.16 BUC56    BUC56 Accounting Summary
     3.17 BUC57    BUC57 Daily Transaction Detail
     3.18 BUC58    BUC58 Aging of Receivables
     4.01 BUC59    BUC59 Generate Report Delinquency Assignments
     4.02 BUC60    BUC60 Collect Report Delinquencies
     4.03 BUC61    BUC61 UCBF Subpoenas
     4.04 BUC62    BUC62 UCBF Estimate Wages
     4.05 BUC63    BUC63 10-Day Notices
     4.06 BUC64    BUC64 Liens
     4.07 BUC65    BUC65 Title Company Request for Payoff
     4.08 BUC66    BUC66 Maintain Liens
     4.09 BUC67    BUC67 Execute Lien
     4.10 BUC68    BUC68 NSF Checks
     4.11 BUC69    BUC69 Current Quarter Collection Assignments
     4.12 BUC70    BUC70 Tax Intercepts
     4.13 BUC71    BUC71 Create Garnish Wages
     4.14 BUC72    BUC72 Maintain Garnish Wages
     4.15 BUC73    BUC73 Collection Case Assignments
     4.16 BUC74    BUC74 Uncollectible Suspense
     4.17 BUC75    BUC75 Create Payment Plan


2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
Use Cases                                                                                  Page 3 of 462                        Date Printed: 7/27/2011
                                                                        State of New Mexico - Department of Workforce Solutions
                                                                                UI Tax Modernization Requirements Matrix
                                                                                               Use Cases

ID          BUC ID                           Business Use Cases
     4.18 BUC76      BUC76 Maintain Payment Plans
     4.19 BUC77      BUC77 Generate Billing Statement
     4.20 BUC78      BUC78 Generate Monthly Account Statement
     4.21 BUC79      BUC79 On Demand Statement of Account
     4.22 BUC80      BUC80 Prior Delinquency Collection Assignments
     4.23 BUC81      BUC81 Maintain Bankruptcy Attorney-Trustee Table
     4.24 BUC82      BUC82 Create a Bankruptcy Case
     4.25 BUC83      BUC83 File a Bankruptcy Proof of Claim
     4.26 BUC84      BUC84 Update a Bankruptcy Case File
     5.01 BUC86      BUC86 Annual Prepayment Notices
     5.02 BUC87      BUC87 Quarterly Reimbursable Billings
     5.03 BUC88      BUC88 Benefit Charge Adjustments
     5.04 BUC89      BUC89 Benefit Charge Statements
     5.05 BUC90      BUC90 FUTA Re-Certification via Internet
     5.06 BUC91      BUC91 FUTA Re-Certification (Employer-Initiated)
     5.07 BUC92      BUC92 FUTA Re-Certification (IRS-initiated)
     5.08 BUC93      BUC93 FUTA Certification
     5.09 BUC94      BUC94 Process Voluntary Contributions
     5.10            Obsolete
     5.11 BUC85      BUC85 Annual Rate Processing
     6.01 BUC95      BUC95 Select and Assign Verification Audits
     6.02 BUC96      BUC96 Assign Targeted Audits
     6.03 BUC97      BUC97 Schedule and Audit
     6.04 BUC98      BUC98 Cancel an Audit
     6.05 BUC99      BUC99 Conduct an Audit
     6.06 BUC100     BUC100 Process an Audit
     6.07 BUC101     BUC101 Blocked Wage Claim Investigation
     6.08 BUC102     BUC102 Status Investigations
  10.01 BUC103       BUC103 TPS Conducting Systems Review
  10.02 BUC104       BUC104 TPS Create TPS Universes
  10.03 BUC105       BUC105 TPS Select and Review Sample
  10.04 BUC106       BUC106 Prepare Annual TPS Report
     9.01 BUC107     BUC107 File Appeal Electronically
     9.02 BUC108     BUC108 File Appeal by Mail
     9.03 BUC109     BUC109 Process Appeal - Tax Section
     9.04 BUC110     BUC110 Process Appeal - Appeals Tribunal
     9.05 BUC111     BUC111 Process Appeal - Higher Authority
     7.01 BUC112     BUC112 Processing a Faxed Document


2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
Use Cases                                                                                    Page 4 of 462                        Date Printed: 7/27/2011
                                                                 State of New Mexico - Department of Workforce Solutions
                                                                         UI Tax Modernization Requirements Matrix
                                                                                        Use Cases

ID        BUC ID                            Business Use Cases
     7.02 BUC113   BUC113 Imaging Documents
     7.03 BUC114   BUC114 OCR-Scanning Documents
     8.01 BUC115   BUC115 Mail Handling
     8.02 BUC116   BUC116 Automatic Correspondence Generation
     8.03 BUC117   BUC117 Portal Use Profile Setup
     8.04 BUC118   BUC118 Portal User Authentication
  11.01 BUC119     BUC119 ER&A New Employer Verification
  11.02 BUC120     BUC120 ER&A QECW Quarterly Extract
  13.01 BUC121     BUC121 Data Validation
  12.01 BUC122     BUC122 ES204 Details Report
  12.02 BUC123     BUC123 ES204 Experience Rating
  12.03 BUC124     BUC124 ES205 Details Report
  12.04 BUC125     BUC125 ES205 Average Employer Contributions
  12.05 BUC126     BUC126 Receivables Details Report
  12.06 BUC127     BUC127 ETA 581 Contributions Operations
  14.01 BUC128     BUC128 Initial Claim Filing Process
  14.02 BUC129     BUC129 CWC IB-6 Receivables Establishment
  15.01 BUC137     BUC137 Post Journal Transactions to SHARE
  15.02 BUC138     BUC138 CWC Payments via ASAP
  15.03 BUC139     BUC139 Quarterly Receivables Posting
  15.04 BUC140     BUC140 Redeemed Warrants Reconciliation
  15.05 BUC141     BUC141 Unredeemed Credits Selection
  15.12 BUC142     BUC142 Supplemental Functional Requirements




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Use Cases                                                                             Page 5 of 462                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1:    BUC2:     BUC3:    BUC4:        BUC5:        BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ1: BRQ: Employers shall be able to initiate and submit new                   X
                                                                             Register Register   Annual   Annual      Employer     Employer   Payment   Payment   Account   Account   Account   Account   Coverage
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,           X
BRQ3: BRQ: Successor employers shall the registration information
save the information entered, and updatebe able to register as a new            X
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system                                                    X
BRQ5: BRQ: registrant’s case shall make an initial liability determination
examiner to aThe UI tax systemwhen the registrant submits the registration      X
BRQ6: BRQ: information provided in the a message window indicating the
based on the The registrant shall receive employer portal.                      X
disposition of The registration after submitting the registration request.
BRQ7: BRQ: the UI tax system shall make an initial rate assignment              X
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.                                                        X
system BRQ: The registrant confirms the registrationassign an employer
BRQ9: when the UI tax system shall automatically information and                X
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.          X
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
based on previous answers. For example, capable of capturing multiple           X
physical BRQ: Theand tax system shall follow FUTA guidelines for
BRQ12: locations UI multiple owners/partners/officers.                                   X
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability                            X
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount                      X
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ15: recording UI tax system shall allow queries on all accounts with                  X
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation                  X
of appropriate employer packets, forms, and authorized users to update
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI                             X
parameters that control the data extract quarterly report schedule the job.
BRQ18: BRQ: The data tape extract for job and to then generation shall                             X
BRQ19: BRQ: The whose quarterly method of communication is mail.
exclude employers annual preferred report generation process shall send                                     X
an e-mail notificationrequest cannot be processed automatically, the
BRQ20: BRQ: If the to those employers whose preferred method of                                                          X
employer shall The UI taxmessage window stating the liability date span of
BRQ21: BRQ: receive a system shall automatically trigger the printing                                                                 X
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For                                                                                X
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the                                                                                            X
BRQ24: amount when a system shall have the converted to a
paymentBRQ: The UI tax contributory account is capability of processing                                                                                   X
BRQ25: BRQ: excess of $1M.
total payrolls inThe change packet consists of ES 802 (application to                                                                                     X
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
change payment method) system shall and change from reimbursing to                                                                                        X
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized                                                                                                X
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain                                                                                                                         X
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their                                                                                             X
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI                                                                                                                                                            X
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation                                                                                                                     X
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow                                                                                                        X
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to automatically initiatecontain theof reports and wages an                                                                                                   X
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the                                                                                                        X
BRQ35: BRQ: an account has been suspended.
employer whenAccount reactivation requests are routed to the appropriate                                                                                                                X
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters                                                                                                                                                     X
system shall search the production databaseaccountaccount. If the
BRQ37: BRQ: The UI tax system shall route for the reactivation requests                                                                                                                           X
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax                                                                                                                            X
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination                                                                                                                                               X
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to                                                                                                                                             X
BRQ41: BRQ: The about shall prompt the user to request based on
provide information systemthe coverage termination enter a narrative                                                                                                                                         X
explaining the reason theysystem shall display account.
BRQ42: BRQ: The UI tax are terminating the a message window with                                                                                                                                             X
BRQ43: BRQ: The UI tax system shall coverage termination request
information about the disposition of the route coverage termination
requests to the ES Supervisor, Office Section based on business rules.

    2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
    BRQ-BUC Functional Reqs                                                                                        Page 6 of 462                                                                Date Printed: 7/27/2011
                                                                                      State of New Mexico - Department of Workforce Solutions
                                                                                              UI Tax Modernization Requirements Matrix
                                                                                                      BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1: BUC2:   BUC3:    BUC4:        BUC5:        BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change Register Register    Annual   Annual      Employer     Employer   Payment   Payment   Account   Account   Account   Account   Coverage
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
automatic job run shalltax system shall contain functionality to support a
BRQ50: BRQ: The UI include notification of employer appeal rights.
batch job run to identify and terminate employeremployer termination
BRQ51: BRQ: The UI tax system shall produce accounts based on
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
submit an account suspension request prompt employerto provide and
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
verify information about the business based onthe user to enter awhen
explaining the reason theysystem shall issue a suspension approved
BRQ56: BRQ: The UI tax are terminating their account.
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
authorized user to submit system shall generate inactivation/suspension
BRQ60: BRQ: The UI tax an inactivation/suspension request.
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
BRQ63: BRQ: Employers the be able has granted the vendor/agent
employer’s account only if shallemployerto update their profiles, save the
BRQ64: BRQ: The employer portal profile information previously entered
information entered, and update theshall dynamically prompt the user for
information if the user tax system shall assign a field powerandattorney
BRQ65: BRQ: The UI wishes to establish or rescind code of status
examiner to a registrant’s case when the employer submits theindicating
BRQ66: BRQ: The registrant shall receive a message window profile
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
system until the employer system shall route profile maintenance"signs"
BRQ68: BRQ: The UI tax confirms the updated information and requests
to the appropriate status examiner able to on businesssubmit history
BRQ69: BRQ: Employers shall be based initiate and rules.
transfer applications in theshall be able to begin the history transfer
BRQ70: BRQ: Employers employer portal.
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application
BRQ72: BRQ: of the application after submitting the request.
the disposition Employers shall be dynamically prompted for all of the
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
BRQ74: required when an employer is completing a history to
might beBRQ: The UI tax system shall prompt the employer transfer via
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
the employer portalUI tax system shall application process enterupdated
BRQ76: BRQ: The during the transfer allow employers to and one or
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.
the status supervisor a quarterly report the authoritya predecessor’s
BRQ80: BRQ: When or examiner III’s) is posted to to override total
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
transfer all of the predecessor’s history apply business rules to recalculate
BRQ83: BRQ: The UI tax system shall experience, including wages
BRQ84: BRQ: successor a new shall automatically inactivate the
and assign the The UI tax systemrate based on the transferred history.
predecessor employertax system shall automatically transfer reports
BRQ85: BRQ: The UI account.
BRQ86: after The UI tax system the generate transfer of history notices
received BRQ: the effective date ofshall transfer from the predecessor’s
(e.g. denial notice, approval notice).

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    BRQ-BUC Functional Reqs                                                                                   Page 7 of 462                                                                Date Printed: 7/27/2011
                                                                                               State of New Mexico - Department of Workforce Solutions
                                                                                                       UI Tax Modernization Requirements Matrix
                                                                                                               BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC1:    BUC2:     BUC3:    BUC4:        BUC5:        BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                  Register Register   Annual   Annual      Employer     Employer   Payment   Payment   Account   Account   Account   Account   Coverage
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,
BRQ90: BRQ: Employers shall be dynamically prompted to to override
the status supervisor or examiner III’s) to have the authority enter ES 903A
information via The portal as part of a partial history transfer application. to
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
extend the timeline for receipt of report is posted to a predecessor’s and/or
BRQ92: BRQ: When a quarterly partial history transfer applications
account for a period ending after the effective date functionalitythe UI tax
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
BRQ94: and The UI partial history transfers.
to recordBRQ:process tax system shall automatically validate history
BRQ95: BRQ: The data or prompt a status examiner when appropriate
transfer application UI tax system shall display determination results for all
BRQ96: BRQ: criteria.
history transferThe UI tax system shall automatically calculate the
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
date on the successor tax systemaccount based onrelationship between the
BRQ98: BRQ: The UI employer shall establish a business rules.
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
predecessor employer rates based shall automatically generate internal
BRQ100: BRQ: The UI tax system on transferred data and update the
BRQ101: BRQ: The required to adjust allow an monetary user to
account transactionsUI tax system shallemployer authorizedaccount
override history transfertax system shall allow an authorized user to record
BRQ102: BRQ: The UI actions based on business rules.
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
(e.g., the status The UI tax system shall III’s) the authority to override out of
BRQ106: BRQ: supervisor or examiner automatically calculate an
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
of-state history transfer tax system shall generate notices for supporting
BRQ108: BRQ: The UI has been completed.
documentation whenUI tax system shall on business rules. to support
BRQ109: BRQ: The appropriate based contain functionality
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
(e.g., the status When a quarterly reportIII’s) the authority to override total
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
account for a period endingsystem shall prompt authorized users to initiate
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
other processesThe UI tax system shall automatically generate history
BRQ113: BRQ: required to be completed during the history transfer
BRQ114: BRQ: transactions to restore generate new liability back to the
transfer reversalThe UI tax system shall all experience recordspackets for
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
identify potentialThe UI tax system shall have the capability to allow users
BRQ119: BRQ: cancellations.
BRQ120: BRQ: The UI tax system shall have account cancellations
to modify the selection criteria for the potentialthe capability to allow users
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
identify potentialThe UI tax system shall generate a potential
BRQ123: BRQ: inactivations/suspensions.
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the
reversal process, save the information entered, and employer toapplication
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
acknowledgement prior taxsubmitting a request for history transfer. notice
BRQ127: BRQ: The UI to system shall provide the employer with
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
Examiner BRQ: The UI tax system shall for a single individual the Individual
BRQ129: Performance report to be run allow the user to run examiner or
Status Examiner Performance report daily, weekly, monthly, quarterly,

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    BRQ-BUC Functional Reqs                                                                                             Page 8 of 462                                                                Date Printed: 7/27/2011
                                                                                      State of New Mexico - Department of Workforce Solutions
                                                                                              UI Tax Modernization Requirements Matrix
                                                                                                      BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1: BUC2:   BUC3:    BUC4:        BUC5:        BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet Register Register       Annual   Annual      Employer     Employer   Payment   Payment   Account   Account   Account   Account   Coverage
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
to allow an authorized user system shall view results of the completed TPS
ability to upload The UI tax system shall route work queue tasks to
BRQ135: BRQ: completed TPS system review questionnaires to the
BRQ136: BRQ: based business rules and the appropriate messaging on
appropriate staffThe UI tax system shall create program area up for review.
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
BRQ139: BRQ: The UI on system shall automatically generate a work list
create universes based tax the annual work plan data and business rules
BRQ140: BRQ: The UI tax system shall contain the universe has been
item to the appropriate user to notify them when functionality to allow an
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete
BRQ142: BRQ: The universe and shall a new functionality and business
a previously created UI tax systemcreatecontain universe.
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
rules necessary The UI tax system shall generateincludes the use of the
BRQ144: with The UI tax system ETA 407 Handbook for each work list
populatedBRQ:data specified in theshall automatically generate a sample.
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
of electronically The UI source documents to be identified and attached to
BRQ146: BRQ: stored tax system shall allow an authorized user to access
sample worksheets andtax system shallreview an authorized user to update
BRQ147: BRQ: The UI record sample allow results.
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
create universes based tax the annual work plan functionality to allow an
BRQ150: BRQ: The UI on system shall contain data.
authorized user Theability to reviewshall allow an sample records. to delete
BRQ151: BRQ: the UI tax system and validate authorized user
BRQ152: BRQ: The sample and create allow sample.
a previously created UI tax system shall a newan authorized user to delete
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
a request BRQ:preliminary annual report.
BRQ154: for a The UI tax system shall allow an authorized user to submit
BRQ155: for a The UI tax report.
a request BRQ:final annual system shall contain the capability to
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
BRQ158: BRQ: The code.
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
captured during The 802tax system Registration process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
BRQ161: BRQ: New Employer Verification or using a payroll service
Professional Employer Organization (PEO) Report shall contain the to
BRQ162: Account Number, Employer County Code, Employer Name,
Employer BRQ: The UI tax system shall allow the New Employer
BRQ163: BRQ: The UI tax system shall allow Excel.
Verification Report to be exported to Microsoft Multi-Establishment
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
as a by-product The UIannual experience rate the ES204 details report to
BRQ167: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
annually as well Thefor a specified date range.
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
BRQ171: BRQ: The will allow for reports to query display all non-charges
specified data which UI tax system shall track and the data’s actual state at
and allow BRQ: The UI tax system non-charges or contain an drill down to
BRQ172: users to report on these shall provide the ability to interface on
fields in the ES204 report. This drill down functionality should show the

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    BRQ-BUC Functional Reqs                                                                                   Page 9 of 462                                                                Date Printed: 7/27/2011
                                                                                        State of New Mexico - Department of Workforce Solutions
                                                                                                UI Tax Modernization Requirements Matrix
                                                                                                        BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC1: BUC2:   BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report Register Register       Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
as a by-product The UIannual experience rate the ES205 details report to
BRQ174: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
annually as well Thefor a specified date range by to andrun the report by
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
BRQ179: BRQ: The UI legal entities.
the different employer’stax system shall provide the ability to drill down on
BRQ180: BRQ: The This drill down functionality should show details report
fields in the ES205. UI tax system shall allow the receivables the
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
specified receivable type orsystemreceivable types.
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
to be run quarterly as well as for a specified date range (tochanges to
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
quarterly as wellThefor a specified date range by to all the changes to any
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
581 at any pointThe UI tax system request.
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
BRQ189: BRQ: 581. This drill down functionality files for: Active
fields in the ETASystem shall generate data extractshould show the
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
notice of potential work list time shall be generated and routed to the
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
modify and delete the othersystem shall allow for the processing of
BRQ197: BRQ: The UI tax state agency’s contact information (agency
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
BRQ201: BRQ: When report the Internet that the files are being
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
shall be able to submit shall be able toreportsand update information
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
required to enterData files that are uploaded shall be validated before the
BRQ207: BRQ: quarterly report summary information (ES 903A) before
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
to complete any If the user is returning to complete an incomplete quarterly
BRQ209: BRQ: transactions.
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
BRQ213: BRQ: The the employer is a registered employer.
tax system to ensureportal shall also validate the year/quarter to ensure
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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    BRQ-BUC Functional Reqs                                                                                     Page 10 of 462                                                                Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC1:    BUC2:     BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance             Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
and excess wages for theshall also be able to turn on/off the multi-state
BRQ220: BRQ: The user existing employees.
BRQ221: indicator.
employee BRQ: To add an employee, the user shall tab to the first
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
BRQ223: to the next shall
continuingBRQ: Users page. not continue to the next page until the current
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
information, the Reportshall validate theshall be performed onthe detailed
BRQ226: well as bulk-loaded wages.
wages as BRQ: Appropriate error messages shall be displayed to the user
indicating BRQ: data elements are in error.
BRQ227: what The UI tax system shall allow the user to edit the data.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
BRQ230: BRQ: The acknowledgement form.
be prompted with an acknowledgement form shall state that all the
information contained in the report (orthe registration application by best
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ233: BRQ: The UI tax pending status and a unique transaction
BRQ234: (or file) which shall also function as the user’s report
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ235: BRQ: The UI tax system shall also return a customized payment
voucher to the portalportal shall the user’sconfirmation message providing
BRQ236: BRQ: The containing display a employer demographic
a report confirmationportal shall not display complete SSNs for existingand
BRQ237: BRQ: The number and a reminder about potential penalties
BRQ238: BRQ: The portal displayed in complete format, such
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
to make an electronic payment or print aallow employers tofor each report
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
BRQ243: BRQ: Employers in the employer portal.
quarterly reporting activitiesshall be able to begin the quarterly reporting
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
BRQ245: reports and editing corrected reports, the system shall verify
and wage BRQ: When payments for at least three years.
BRQ246: BRQ: Each a quarterly report on the system data enter a report
that the employer has employer shall have the option towith the same
directly into the portal or to shall readdata file.
BRQ247: BRQ: The editor upload a each report in the staging file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
BRQ249: BRQ: case 2.11)
number. (In use The system shall validate the account status.
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
report EAN is an active account or a suspended account ifon ayear/quarter
BRQ253: BRQ: The system shall verify that FEIN entered the report is
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ256: when Records discrepancy with the employer’s quarterly
BRQ257: BRQ: The accounts examiners shall run each check through a
BRQ258: and ACH ACH conversion machine shall link into a third-party
validation BRQ: Theconversion machine.
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                            Page 11 of 462                                                                Date Printed: 7/27/2011
                                                                                       State of New Mexico - Department of Workforce Solutions
                                                                                               UI Tax Modernization Requirements Matrix
                                                                                                       BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1: BUC2:    BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
payment record The status of all matched payment records shall be set to
BRQ260: BRQ: in the OCR scanning processing.
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the
check shall be pulled, the NSF date shall be updated ES the payment
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to
BRQ263: BRQ: The UI tax system shall contain functionality quarterly
an employer when there is a discrepancy with the employer’swhich allows
an accounts examiner to validate the format ofan authorized individual to
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic
correct errors on magnetic load from the on business rules. the staging
BRQ265: BRQ: Files shall media based magnetic media to
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall
maintain business rulestax system payments, reports, and adjustments.
BRQ267: BRQ: The UI for editing shall not limit the number of batches
that may be processed tax system shall e-mail an adjustment notification
BRQ268: BRQ: The UI in a 24-hour period.
(ES 542) to an employer when there is averify that thewith the employer’s
BRQ269: BRQ: The UI tax system shall discrepancy account associated
BRQ270: BRQ: is an active account or verify that the employer does
with report EAN The UI tax system shalla suspended account if the not
have a quarterlyIf an employerUI tax system with the same year/quarter as
BRQ271: BRQ: report on the submits an electronic tax return or
payment, BRQ: If the report shall deliverUI tax system shall post the
BRQ272: the UI tax system is new, the any subsequent correspondence
BRQ273: report and employee is data to as employer’s employee,
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s
UI tax system shall generateis corrected, the UI tax system shall post the
updated summary report and wages report data toan electronic transaction
BRQ275: BRQ: The UI tax system shall generate the employer’s account.
journal entry for The journal shall list employer information, status (new or
BRQ276: BRQ: each report processed.
BRQ277: report), summary shall list employer reported, and cumulative
corrected BRQ: The journal (ES 903A) data as information, status (new or
BRQ278: report), summary (ES 903A) data as reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment
notification to anAuthorized when there is a discrepancy with the this
BRQ279: BRQ: employer users shall have the capability to run
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The
employer BRQ: For each report, the edit process shall compute report
BRQ283: contribution reports on the UI tax system.
BRQ284: BRQ: The edit process shall compare the and total totals to the
totals for total wages, taxable wages, excess wages,computed amount due
summary BRQ: If the on thedetail does not balance to the report summary,
BRQ285: report total wage report.
the UI tax BRQ: The edit process shall generate for electronic edit report
BRQ286: system shall route a work queue task an an accounts examiner
BRQ287: BRQ: The balance report employer
entry for each out of report shall list identified. information, summary data
BRQ288: BRQ: The UI tax system the accept the as posted, the date
as posted, the cumulative totals forshallwage detail following account and
payment types: contributory accounts (regular users to make payments
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,
payment amount, an employer has monetary delinquencies, prompt the
BRQ291: BRQ: If and payment method information to the UI tax system.
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments
for one or BRQ: Payments made with a credit or debit card shall be for
BRQ293: multiple quarters, or payments for one or more employers
processed immediately, while bank account debits may take up tomain
BRQ294: BRQ: The user shall select "Make a Payment" from the three
menu then select account type anda quarterly report prior to beginning to
BRQ295: BRQ: If the user entered payment type from the sub-menus this
transaction, the The portal shall validate employer’s EAN and FEIN; the UI
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ298: BRQ: If the payment.
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
the user to designate the payment to be automatically applied tothe portal
shall also BRQ: The portal shall retrieve and display the employer’s owes
BRQ300: validate the year/quarter(s) and determine if the employer
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports
account balanceThe user shall be prompted well asthe amount owed in full
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                    Page 12 of 462                                                                Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1:    BUC2:     BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.        Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
BRQ303: BRQ: The portal shall prompt the user to enter the payment
BRQ304: BRQ: The user’s responses shall be edited based on the
method and prompt the user for additional informationbefore submittal.
BRQ305: BRQ: The portal shall submit the payment information to the
BRQ306: payment payment and to the be updated with
third-partyBRQ: The processorrecord shallUI tax system. the unique
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:
confirmation number and documenting the a unique transaction ID to the
BRQ308: BRQ: UI tax system shall assign payment received date,
BRQ309: BRQ: The also function as be user’s from the confirmation
payment which shall check data shall the loaded payment OCR interpreter
into a staging file oneach payment in the queue, Staff shall FEIN) if
BRQ310: BRQ: For the UI tax system using the EAN (and review the
images of BRQ: The UI tax system shall contain functionality to allow an
BRQ311: the check and enclosure to resolve the issues with the check
authorized user The UI taxfor the employer on an examiner to update the
BRQ312: BRQ: to search system shall allow the UI tax system using the
BRQ313: BRQ: and release the payment for processing.
payment record The UI tax system shall contain functionality to allow an
authorized user The UI tax system shall contain functionality to allow an
BRQ314: BRQ: to record when a payment received is cash.
authorized user The editor shall read each payment with the cash staging
BRQ315: BRQ: to record a deposit date associated record in the
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged
check. BRQ: The editor shall verify that the check is payable to
BRQ317:
NMDWS or some variationshall validate the account status (active or
BRQ318: BRQ: The editor of the name.
suspended - see business shall validate that the year/quarter are valid
BRQ319: BRQ: The editor rules).
BRQ320: that the employer owes money payment record shall
dates andBRQ: If all edits are passed, thefor that year/quarter. be
BRQ321: BRQ: The UI tax system it stays in that the account associated
released for processing; otherwise,shall verify a pending status until all
with report EAN Whenactive account or a suspended account shall verify
BRQ322: BRQ: is an editing new reports, the UI tax system if the
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
that the employer does tax system quarterly report on the UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI
BRQ325: BRQ: The UI tax based shall payment type and how to
how to post the transaction system on thegenerate an electronic transaction
journal entry for The journal shall list employer information, the
BRQ326: BRQ: each payment processed.
year/quarter, monetary transaction information, and howsystem shall was
BRQ327: BRQ: As each report is processed, the UI tax the payment
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the
BRQ331: BRQ: The UI tax included).
imaged report and check (ifsystem shall verify that the check is payable to
NMDWS or some variation system shall validate that the EAN is a valid
BRQ332: BRQ: The UI tax of the name.
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.
BRQ336: BRQ: The editor shall validate that the year/quarter are valid
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify
that the employer does tax system quarterly reportan ES 542 tax system to
BRQ338: BRQ: The UI not have a shall generate on the UI notification
an employer when there is a discrepancy with the itemized deposit reports
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report
interpreterBRQ:an amended returns staging file on the UI tax system using
BRQ341: into Payment information shall be captured separately from the
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
report information and placed in an amended returns payment data
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.
BRQ344: and ACH machine shall link into
validation BRQ: Thisconversion machine. a third-party service that
validates the check, the issuer, and the available balance before creating a

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    BRQ-BUC Functional Reqs                                                                                        Page 13 of 462                                                                Date Printed: 7/27/2011
                                                                                       State of New Mexico - Department of Workforce Solutions
                                                                                               UI Tax Modernization Requirements Matrix
                                                                                                       BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1: BUC2:    BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the
with the transaction date of of all matched payment records shall be set to
BRQ348: BRQ: The status the credit transaction.
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check
BRQ350: BRQ: An accounts examiner shall updated on the payment
check shall be pulled, the NSF date shall be retrieve an out of balance
BRQ351: from The UI queue.
work task BRQ:the worktax system shall contain functionality allowing the
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow
for the examinerThe UI tax system shall allow anto employer user to
BRQ353: BRQ: to make necessary corrections authorized quarterly
generate a request for information when allow users with appropriate
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of entering a recordaselection date by the for
BRQ356: BRQ: The UI tax system shall run (on schedule set range
users) an BRQ: The report of outstanding discrepancy notices based on
BRQ357: electronic UI tax system shall create incomplete report penalty
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an
authorized user The UI taximaged documents an authorized user to
BRQ362: BRQ: to access system shall allow attached to an employer
BRQ363: BRQ: Transactions that have been employer account.
remove an incomplete report penalty from an released for processing shall
be processed during UI tax system user transaction posting run. access
BRQ364: BRQ: Any the next monetary with appropriate security
shall be able to complete an online request forbe placed in a "pending"
BRQ365: BRQ: Online transfer requests shall transfer.
status. (InBRQ: The 3.06)
BRQ366: use case information shall be edited to ensure accuracy. (In
use case 3.06) The UI tax system shall validate that the EAN’s are valid
BRQ367: BRQ:
account numbers, the "to" employer is inensure thatcontributory status, the
BRQ368: BRQ: The UI tax system shall an active, the items requested
for transfer existIf the request passes theaccount. report and/or payment
BRQ369: BRQ: on the "from" employer edits, the
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open
incomplete report penalty for the year/quarter, the UIemployer information
BRQ374: BRQ: The transfer, as well as the date and time the to adjust
and details about theUI tax system shall allow authorized users transfer or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access
remove/abate penaltiestax system user with they were assessed in error or
shall be able to complete an online shall validate that the EAN is a valid
BRQ376: BRQ: The UI tax system request for adjustment.
account numberThe UI tax system shall ensuredates. items requested
BRQ377: BRQ: and the year/quarter are valid that the
BRQ378: BRQ: If the request passes account.
for adjustment exist on the employer’sthe edits, the request status shall be
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall
BRQ380: BRQ: If the payment, or been (or abate) late report the
reapply any specified account has adjustassessed aand P&I on or
incomplete report penalty for the year/quarter, the an electronic transaction
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open
journal entry for The journal shall list employer information and details
BRQ382: BRQ: each request processed.
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI
BRQ386: BRQ: The UI tax based shall transaction type.
how to post the transaction system on thegenerate an electronic transaction
journal entry for The journal shall list employer information, the
BRQ387: BRQ: each transaction processed.
year/quarter, monetary transaction information, and how the transaction

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    BRQ-BUC Functional Reqs                                                                                    Page 14 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC1:    BUC2:     BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as         Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
BRQ389: BRQ: The was posted.
the original payment UI tax system shall require users to enter the exact
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,
shall be able to complete an online request for bepayment reversal. to
BRQ391: BRQ: Online reversal requests shall a routed via work flow
an accounts examiner basedshall include as much information as the
BRQ392: BRQ: The request on business rules.
BRQ393: can provide.
requestor BRQ: If the examiner cannot locate the payment the UI tax
system shall allow the examiner to updatethe reversal transaction into the
BRQ394: BRQ: The examiner shall enter the reversal request with the
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the
BRQ398: as completed and the UI tax system shall generate having
work task BRQ: The UI tax system shall have the capability of a noticeato
suspense BRQ: Users shall be able used solely to post reportsposted to
BRQ399: employer account that is to query each transaction and
the suspense account and view theshall allow users withfor that
BRQ400: BRQ: The UI tax system imaged information appropriate
BRQ401: BRQ: If capability of setting and maintaining still in pending
security levels thethe records (report and payment) are the runaschedule
BRQ402: BRQ: At the end of three days, the trigger a work queue task
status after two days, the UI tax system shall UI tax system shall updateto
the report BRQ: On a daily basis, the the tax system shall review the the
BRQ403: and payment records with UI "suspense" EAN and release
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the
appropriate accounts examiner’s work queue to able to retrieve a work task
BRQ408: BRQ: An accounts examiner shall be work the assigned
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also
task.
BRQ412: BRQ: The reports and payments shall be processed during the
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on
BRQ415: accounts UI tax system shall maintain business rules to
employer BRQ: Theto record the occurrence of certain actions. For control
BRQ416: BRQ: The UI tax system on potential tax intercept drill
selection of employers for inclusionshall have the capability tolist. down to
the detailsBRQ: The UI tax in the collections processedand posted
BRQ417: of the amounts system shall track pending and deposited
BRQ418: BRQ: The UI tax system shall allow deposited report can be
transactions so the collections processed and the capability to run the run
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
collections processed and deposited report byauthorized users the ability
BRQ420: BRQ: pre-defined reports.
to view and printThe UI tax system shall freeze credit accounts balances at
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have
BRQ422: BRQ: The credits for refund processing.
credits and releasingUI tax system shall allow users with appropriate
security levels the capability of setting and maintaining credit report
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
BRQ424: to the user-defined run schedule.
according BRQ: The UI tax system shall automatically route an electronic
BRQ425: BRQ: The the accounts supervisor.
copy of the report to accounts supervisor shall retrieve the report from
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the
work queue and If the examiner determines the credit is valid, the examiner
BRQ428: BRQ: review the assigned account.
BRQ429: BRQ: credit and enter shall have the capability of releasing all
shall release theAuthorized users a brief narrative about why the credit is
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of setting and maintaining the run schedule

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    BRQ-BUC Functional Reqs                                                                                         Page 15 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC1:    BUC2:     BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the            Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
BRQ432: the refund on the warrant processing job shall run in ‘no
reason forBRQ: The employer refundstub.
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic
BRQ434: BRQ: The refund report to the accounts supervisor.
copy of the employerUI tax system shall allow the examiner to review the
report andBRQ: Whenof the transactions completed his/heronly somethe
BRQ435: release all the examiner has for processing or review of of
BRQ436: UI tax system shall trigger the final refund job to job which
report, theBRQ: The UI tax system shall run the final refund run during
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts
posts the refundThe refund warrantsemployer’s account and generates
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When
refund theBRQ: The UI tax system shall FMB examiner examiner to record
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
all of the information UI tax system shallshall be included in the task notes.
BRQ440: BRQ: The about the warrant contain functionality to allow for a
BRQ441: be voided and a refund reversal to be recorded.
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI
tax system shallThe UI tax system shall freeze credit balances when they
BRQ442: BRQ: turn on the invalid address flag for the mailing address
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall
BRQ445: accounts UI tax system shall allow authorized users to define
employer BRQ: Theto record the occurrence of certain actions. For
BRQ446: BRQ: The UI tax system running the all balance transaction
and maintain the business rules forshall contain trialdata and (e.g.,
details required to generatesystem shall allow authorized users to define
BRQ447: BRQ: The UI tax the trial balance.
and maintain the business rules forshall allow authorizedsummary define
BRQ448: BRQ: The UI tax system running the account users to (e.g.,
BRQ449: BRQ: The UI tax system running the daily transaction detail
and maintain the business rules forshall allow authorized users to define
and maintain the business rules delinquent contribution report shall be
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
scheduledBRQ: The UI tax system shall have the ability to send a
BRQ451: to run automatically every quarter.
notification to each Field District Supervisor when ability to assign a field
BRQ452: BRQ: The UI tax system shall have the the preliminary
code to a BRQ: employer account and tax representative based on
BRQ453: given The UI tax system shall have the ability to automatically
assign delinquent report work items to a allow authorized individuals to
BRQ454: BRQ: The UI tax system shall tax representative based on
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:
employer BRQ: Authorized users shall be able to view only and history
BRQ457: accounts declared delinquent for a given quarter the the current
BRQ458: to a specific delinquency or to coded messages recorded
notes tied BRQ: All history notes shall be see all by type of activity. in the
BRQ459: BRQ: The UI tax system shall allow an authorized user to record
BRQ460: a report delinquency assignment.
results forBRQ: The UI tax system shall automatically change the status of
the assignment when a report hasphone received, an estimated report
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,
BRQ462: be noted in a history section of each employer account.
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena
BRQ464: BRQ: the UI tax system.
cover letter fromAn authorized user shall be able to record updates to the
BRQ465: assignment history user shall have status from issued to
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a
BRQ466: BRQ: The UI case assignment.
scanned document to atax system shall allow an authorized user to create
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate
BRQ468: report accounting transactions to support the approval to
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an
BRQ469: BRQ: The UI tax system shall report worksheet assignment.
employers for each approved estimated automatically update an estimated
report assignment with the system of an original report as is appropriate.
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
to update BRQ: The UI tax system shall automatically generate a work
BRQ471: an estimated report assignment.
BRQ472: BRQ: The if tax system shall is received after report in a
item to the Tax ChiefUI an original report place the original an estimated
holding/staging tableUI tax reviewed andbe able to archive estimated wage
BRQ473: BRQ: The to be system shall disposition by authorized users
reports when they are replaced by an actual estimated wage report with

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    BRQ-BUC Functional Reqs                                                                                          Page 16 of 462                                                                Date Printed: 7/27/2011
                                                                                        State of New Mexico - Department of Workforce Solutions
                                                                                                UI Tax Modernization Requirements Matrix
                                                                                                        BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC1: BUC2:   BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
rejected, the UI tax system system shall generate notice of report wage
BRQ475: BRQ: The UI tax shall be able to archive the submitted
BRQ476: BRQ: The UI tax an estimated report has been superseded by
acceptance to employers if system shall allow an authorized user to place
BRQ477: 10-day notices for a specified allow of time.
a stop on BRQ: The UI tax system shall periodan authorized user to
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain
BRQ479: BRQ: notices.
generate 10-dayThe UI tax system shall generate 10-day notices to
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall
BRQ481: BRQ: The payment is received.
system tasks when aUI tax system shall allow an authorized user the ability
BRQ482: a previously tax system on a 10-day notice notice actions
to removeBRQ: The UI placed stopshall record 10-day item. This will on
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI
BRQ484: BRQ: The UI tax system shall automatically (In use case
letters and documents to be generated from a pick list.initiate the lien4.07)
BRQ485: BRQ: The on business shall
generation job basedUI tax system rules. place the appropriate district
supervisor electronicUI tax system the lien.
BRQ486: BRQ: The signature on shall contain a lien history file/record.
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:
BRQ489: BRQ: The case system shall keep a collections information,
establish a collectionUI tax and record the results, pertinenthistory file of
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The
generate a statement oftax system shall allow an authorized user to
BRQ491: BRQ: The UI account on demand.
generate a zero The UI tax system shall automatically default signature to
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
BRQ493: BRQ: The UI but also allow the user to enter another name
user initiating the actiontax system shall allow an authorized user to for
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks
in NMDWS employee work system shall create lien-related messaging on
BRQ495: BRQ: The UI tax queues
employer BRQ: Theto record the occurrence of certain actions
BRQ496: accounts UI tax system shall allow an authorized user to
establish a lien collection case and shall keep a lien collections history file
BRQ497: BRQ: The UI tax system record the results, pertinent
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax
generate a payment UI tax systemgiven employer account. (Inwork case
BRQ499: BRQ: The coupon for a shall automatically assign use queue
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections
assignment to the appropriate Field Tax allow an authorized user the ability
BRQ501: BRQ: The UI tax system shall Representative when a payment
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized
BRQ503: BRQ: The actions and results generate collection case
NSF collection case UI tax system shall in the UI tax system.
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall
BRQ505: BRQ: The UI tax system shall allow rules.
assignments to individuals based on business an authorized user to record
BRQ506: BRQ: collections assignment cases.
actions taken onThe UI tax system shall keep a collections history file of
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling
software for the The UI tax system shall maintain collection case status
BRQ509: BRQ: scheduling of period jobs.
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection of employers for inclusionshall maintain business rules to control
selection for certain periodic extract file creation. For example, to modify a
BRQ512: BRQ: The UI tax system shall allow authorized users the annual
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                     Page 17 of 462                                                                Date Printed: 7/27/2011
                                                                                      State of New Mexico - Department of Workforce Solutions
                                                                                              UI Tax Modernization Requirements Matrix
                                                                                                      BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1: BUC2:   BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand Register Register      Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
documentBRQ:the appropriate datashall allow business rules.
BRQ518: with The UI tax system based on an authorized user to enter a
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all
BRQ520: BRQ: garnishment cases.
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The
to attach electronic document images to keep a history file on all
BRQ522: BRQ: The UI tax system shall a garnishment case.
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The
actions taken onThe UI tax system shall keep a history file on all Collection
BRQ526: BRQ: Collection Case assignments.
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system
assign Collection Case tax system shall allow anto a tax representative
BRQ529: BRQ: The UI assignments work items authorized user to record
actions taken to The UI tax system shall maintain business rules to control
BRQ530: BRQ: clear the delinquency on the case file.
BRQ531: BRQ: The UI tax system on potential declaring an entire
selection of employers for inclusionshall support uncollectible lists.
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
BRQ533: on payment tax timelines greater an 12 months
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,
BRQ535: and final payments based on place the payment entered
timelines, BRQ: The UI tax system shall specific information plan into on the
BRQ536: BRQ: The UI not filed or payment authorized
suspension if a report istax system shall allownot made. user to change
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change
the terms BRQ: The UI tax system shall allow an authorized user to record
BRQ538: of the payment plan.
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan
documents fromThe UI tax system history file. an authorized individual to
BRQ541: BRQ: the payment plan shall allow
submit a payment plan request via shall allow an self service user to
BRQ542: BRQ: The UI tax system the employer authorized portal.
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan
place an alert in The Field Tax Representative’s work queue if payment is
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work
case in the FieldThe UI tax system shall generate the Defaulted Payment
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment
BRQ548: BRQ: the UI tax system shall allow an authorized user
Plan notice with The appropriate data based on business rules. to enter a
BRQ549: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
BRQ550: BRQ: Defaulted Payment Plan cases.
actions taken onThe UI tax system shall keep a history file on all payment
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers
have filed BRQ: The UI tax system shall automatically generate a
BRQ553: electronically and submitted payments via payment coupon.
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ554: of account to employers with be able to deficiency meeting
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In
secondary liability (predecessor debt) and generating aprinting a text the
BRQ557: BRQ: The UI tax system shall be capable of statement to
BRQ558: BRQ: statement of account. (In use generation
message on theThe UI tax system shall recordcase 4.20) of statements of
account and keep a history. (In useshall allow an authorized user to view
BRQ559: BRQ: The UI tax system case 4.20)
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                   Page 18 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC1:    BUC2:     BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak               Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The
report and/or wage datatax system shall not include accounts that have
BRQ562: BRQ: The UI delinquencies by quarter.
BRQ563: BRQ: The UI tax suspense indicators.
bankruptcy or uncollectible system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ564: of account to employers with be able to deficiency meeting
accounts to multiple UI tax system shall bemonthly job identifying
BRQ565: BRQ: The addresses during the capable of run.
BRQ566: BRQ: The UI tax system shall allow an authorized user to
secondary liability (predecessor debt) and generating a statementto the
generate an accountUI tax system any account, including accounts that
BRQ567: BRQ: The statement on shall present a Statement of Account
online to an employer requesting a shall allow via authorized user to print a
BRQ568: BRQ: The UI tax system statement an the internet.
statementBRQ: The UI tax the employer allow an authorized user to
BRQ569: of account from system shall self service portal.
BRQ570: BRQ: The UI tax statement of account. The view the will be
request online printing of a system shall allow a user tostatementstatement
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record
a text message to beUI tax system shall recordof account. of a statement
BRQ572: BRQ: The printed on the statement generation
BRQ573: BRQ: The the account history file.
of account online on UI tax system shall allow indicator alert to employer
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate
a Prior Delinquent Contribution Report and Case authorized user to by
BRQ576: BRQ: The UI tax system shall allow an Assignments Report
change the status of UIcollection case toautomatically generate a Prior
BRQ577: BRQ: The a tax system shall a priority assignment.
BRQ578: BRQ: The UI Old report.
Assignments - 90 Days tax system shall initiate a work item to each District
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is
BRQ579: BRQ: The them system shall allow an - 90 Days user to
remove a BRQ:Collection Case Assignment from authorized user to record
BRQ580: Prior The UI tax system shall allow an a work queue.
actions taken onThe UICollection Case assignments. file on all Prior
BRQ581: BRQ: Prior tax system shall keep a history
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.
scheduledBRQ: The UI tax system shall have the ability to automatically
BRQ583: to run automatically every quarter.
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI
establish, BRQ: The UI tax system shall allow an authorized userdata and
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
BRQ587: a record from the Bankruptcy allow an authorized user the
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability
BRQ588: Bankruptcy tax system shall allow an authorized user
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter
bankruptcy caseThe UI taxthe system and will store the data in a
BRQ592: BRQ: data into system shall contain the data and business
rules necessary The UI tax system shall place a ability to establish a on an
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ594: account when a system shall take or stop actions
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
required on bankruptcy tax systemprescribed business rules.
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a
BRQ597: BRQ: The UI tax system given period of time.
user to assign an interest rate for ashall include a Proof of Claim screen.
BRQ598: BRQ: The UI tax system shall allow an authorized user to record
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an
the bankruptcy case UI tax system shall maintain a history for anmissing
BRQ600: BRQ: The file on the employer’s account for any data
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system
rules necessary The UI bankruptcy documents toan update bankruptcy
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
case file function.

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                                                                                        State of New Mexico - Department of Workforce Solutions
                                                                                                UI Tax Modernization Requirements Matrix
                                                                                                        BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC1: BUC2:    BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
to update BRQ: The UI tax system shallthe update case file function.
BRQ604: bankruptcy case file data via support the generation of
BRQ605: BRQ: The UI tax correspondence.
bankruptcy documents andsystem shall automatically update the
BRQ606: BRQ: history file when the update an authorized user function
employer’s caseThe UI tax system shall allowbankruptcy case file to record
BRQ607: BRQ: The UI tax system shall the court orders on the to control
the disposition of a bankruptcy case per maintain business rulesemployers
selection and printing oftax system shallprocessing jobs. For example,
BRQ608: BRQ: The UI certain annual allow users with adequate security
to trigger the sampleUI tax system shall allow use business rules to
BRQ609: BRQ: The prepayment job.
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security
to override zero Prepayment notices shall be bar coded with the EAN,
BRQ611: BRQ: dollar prepayment amounts.
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax
selection and printing oftax system shall allow users with adequate security
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,
BRQ614: BRQ: The quarterly reimbursable billing job
to trigger the sampleUI tax system shall allow use of business rules to
calculate quarterly benefit chargingshall allow users with valid security
BRQ615: BRQ: The UI tax system amounts.
(e.g., the status The UI tax system shall III’s) the authority to override tax
BRQ616: BRQ: supervisor or examiner automatically trigger the
BRQ617: BRQ: The UI tax system notices. For example, the UI tax
generation of appropriate employershall allow employers the option to
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
select Appeals, Tax, or Board of Review when filingnumber) is corrected in
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
BRQ619: system, denial correspondence attached to notification of be
employer’s next The UI tax system shall maintain business rules to control
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
selection and printing oftax system shall allow users with adequate security
BRQ622: BRQ: The quarterly reimbursable billing job.
to trigger the sampleUI tax system shall allow use business rules to
calculate quarterly benefit chargingpersonnel shall have authorization to
BRQ623: BRQ: Authorized claims amounts.
BRQ624: UI tax system.
query the BRQ: Benefit charge statements shall be bar coded with the
EAN’s, amountsRe-certification documents (940Cs) shall include an
BRQ625: BRQ: due, and due dates.
BRQ626: signature UI tax may be sent electronically to employers. (In
electronic BRQ: The so theysystem shall compare the employer’s liability
date spans on record totax system shall allow employers to and reject any
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
years individually on UIre-certification request.
BRQ628: BRQ: The a tax system shall compare the employer’s liability
date spans on record totax system shall allow re-certification requests any
BRQ629: BRQ: The UI the re-certification periods entered and reject for
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an
BRQ631: signature UI tax may be sent electronically to employers.
electronic BRQ: The so theysystem shall allow re-certification requests for
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system
annual IRS 940 The UI tax system shall allow authorized personnel toon
BRQ633: BRQ: certification tape and match employer records based
BRQ634: BRQ: The using system shall maintain have not yet posted to
recalculate tax rates UI tax payment amounts that business rules to control
BRQ635: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
BRQ636: BRQ: The annual rate job
to trigger the sampleUI tax system shall allow use business rules to
BRQ637: BRQ: rates.
calculate annualThe UI tax system shall allow users with adequate security
BRQ638: BRQ: percent rate be able
to override zero The job shallamountsto be run in two modes: preliminary
(no update) and The preliminary job runany time. affect the prior production
BRQ639: BRQ: production (update) at shall not
BRQ640: selection.
employer BRQ: The job shall include variable parameters in the selection
BRQ641: BRQ: The run schedule shall be coordinated with the Field the
process. Examples of the parameters that shall be modifiable includeSub-
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and
maintain the business rulessystem shall route work queue tasks to Field
BRQ643: BRQ: The UI tax that direct the employer selection for the
BRQ644: BRQ: based tax system code of the account. user to initiate a
Operations staff The UI on the field shall allow authorized(In use case 1.07,
target audit assignmenttax system shall allow an authorized user to
BRQ645: BRQ: The UI request.
change a target audit assignment to approved or denied.

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                                                                                              UI Tax Modernization Requirements Matrix
                                                                                                      BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC1: BUC2:   BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor Register Register    Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
informing BRQ: whenUI tax system shall allow authorized approved or the
BRQ647: them The a status change has occurred (e.g. users to view
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route
BRQ649: BRQ: based on users shall be the to record actions taken on
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI
notices, letters, forms, etc to employer be able tothe audit notification and
BRQ652: BRQ: Authorized users shall including record actions taken
regarding BRQ: The UI tax system shall tax system.
BRQ653: an audit assignment in the UI allow an authorized user to modify
BRQ654: of an audit assignment shall allow for different audit statuses
the status BRQ: The UI tax system(e.g. change from requested to
BRQ655: BRQ: The UI tax system in the audit history file.
and maintain audit status changes shall allow for employer information that
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system
synchronization The UI tax system shall contain an audit program that can
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system
BRQ660: BRQ: The UI tax in the audit results. This will users generating
account changes indicated system shall allow authorizedincludeto modify
BRQ661: BRQ: various audit assignment statuses based store audit
audit results for The UI tax system shall have the ability toon business
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax
BRQ664: BRQ: based on the field submits a account. (In information,
Operations staff When an employercode of theform or other use case 1.07,
BRQ665: system shall automatically create work items and main record,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the
as well asBRQ: The UI tax systemwork items. a blocked wage claim
BRQ666: related documents and shall contain
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
blocked wage claim has been resolved and results haveallowed to set up
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim
work item BRQ: The UI tax system shall generate a another when the
BRQ672: information from one account number to determination letter
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to
BRQ674: BRQ: The UI wage claim on the case authorized screen.
the finding of a blocked tax system shall allow anassignment user to
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the
appropriate work queuetax systempre-defined an authorized user to record
BRQ676: BRQ: The UI based on shall allow business rules.
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:
BRQ679: BRQ: from one system shall generate a determination letter
item informationThe UI taxaccount number to another when instructed by
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
and submit new The UI tax system informationan authorized update the an
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
appeal after the If an authorized user saves the appeal but does provided
BRQ683: BRQ: deadline (based on business rules) has passed not submit
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
summary BRQ: The UI tax system shall return an acknowledgement form
BRQ686: data.
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
message once the appeals system shall automatically assign a case
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
number to new appeals. (In use case 9.02)

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                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC1:    BUC2:     BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ689: BRQ: Work items shall contain links to the employer’s main            Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
BRQ690: the appeals case file, and shall original determination that was
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
entered before allowing the user to proceedan appeals form with a bar
BRQ693: BRQ: The system shall generate to next "page."
code and include it with requests shall be scanned and indexed to the
BRQ694: BRQ: Appeal a determination.
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
BRQ696: BRQ: The system shall be an to generate an appeal from item
request and automatically generatingableappeal case worksheet work the
for the appropriate individual based shall be able rules. update the
BRQ697: BRQ: An authorized user on business to enter
BRQ698: BRQ: The system shall additional information related to modify
appeals worksheet to include any allow an authorized user to add, the
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
BRQ700: notifying employer that automatically assign a case number to
employer BRQ: The system shall appeal has been received and requesting
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
to the appeals case file, and to the original determination that was main
record and the original determination that was track the status of the
BRQ703: BRQ: The employer shall be able to appealed.
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
determination using theon items selected, the UI tax system shall create
BRQ709: BRQ: Based correspondence component that includes the
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
BRQ713: BRQ: he UI tax system shall is read.
when an email is delivered and when it allow authorized staff to view all
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
BRQ716: account and tax system shall maintain a history of an appeal
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
including data on each level of appeal and links to all linking of related
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
generate correspondence using templates. The templates shallbased on
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
automatically determine the typechecked inand route it tothe UI tax system
BRQ723: BRQ: Based on items of appeal the decision the appropriate
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
record, the original determination that was appealed,related, scanned
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
letter using a templateto the decision letter shall be created within the
BRQ729: BRQ: A link that includes the following fields: original
BRQ730: BRQ: Based letter of checked in the saved.
appeals case when theon items determination istemplate the UI tax system
shall create work items Tax system shall generate the appropriate
BRQ731: BRQ: The UI directing Tax Section to make summary
accounting transactions from the Accounting Summary report.

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                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC1:    BUC2:     BUC3:    BUC4:        BUC5:         BUC6:      BUC7:     BUC8:     BUC9:    BUC10:    BUC11:    BUC12:     BUC13:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting           Register Register   Annual   Annual      Employer      Employer   Payment   Payment   Account   Account   Account   Account   Coverage
transactions that support each day’s summary journal entryactual totals for
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
each revenue type (e.g., federal clearing calculate state trust fund, revenue
distributions for eachUI Taxdeposit basedallow authorized users totals for
BRQ735: BRQ: The bank system shall on the running actual to adjust
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
the running, actual totals to reflect transfers out of thein the accounts to
BRQ737: BRQ: The program transactions fulfill the requirements
and the summary accounting developed toto SHARE shall reflect that
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
documented in NMDWSof adjusting journal entries shall reflect the shall
BRQ739: the accounts receivables balance since the end of the prior
change ofBRQ: The UI Tax system shall breakdown the receivables
BRQ740: BRQ: The business rules.
balance according tosystem shall allow authorized users to locate warrants
using the warrant number and/or employer shall include error handling for
BRQ741: BRQ: The reconciliation process account number.
situations BRQ: as invalid warrant allow an interface from the bank to the
BRQ742: such The system shall numbers or a warrant number already
BRQ743: BRQ: The system shall contain reconciliation process.
UI Tax System for the redeemed warrantsthe capability to identify credits
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
BRQ746: property.
unclaimedBRQ: The system shall generate the appropriate accounting
BRQ747: BRQ: credits classified have the capability to allow refund
transactions for The system shall as unclaimed property.
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
account for the breakdown ofamounts shall payments and charges for to
an employer’s account as a payment when a benefit and journal entries
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
shall be generated when a prepayment is reclassified as a payment to a




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    BRQ-BUC Functional Reqs                                                                                         Page 23 of 462                                                                Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ1: BRQ: Employers shall be able to initiate and submit new                  Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
BRQ3: BRQ: Successor employers shall the registration information
save the information entered, and updatebe able to register as a new
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
BRQ6: BRQ: information provided in the a message window indicating the
based on the The registrant shall receive employer portal.
disposition of The registration after submitting the registration request.
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
BRQ9: when the UI tax system shall automatically information and
system BRQ: The registrant confirms the registrationassign an employer
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.
based on previous answers. For example, capable of capturing multiple
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
BRQ12: locations UI multiple owners/partners/officers.
physical BRQ: Theand tax system shall follow FUTA guidelines for
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
BRQ15: recording UI tax system shall allow queries on all accounts with
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
of appropriate employer packets, forms, and authorized users to update
BRQ18: BRQ: The data tape extract for job and to then generation shall
parameters that control the data extract quarterly report schedule the job.
exclude employers annual preferred report generation process shall send
BRQ19: BRQ: The whose quarterly method of communication is mail.
an e-mail notificationrequest cannot be processed automatically, the
BRQ20: BRQ: If the to those employers whose preferred method of
BRQ21: BRQ: receive a system shall automatically trigger the printing
employer shall The UI taxmessage window stating the liability date span of
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
paymentBRQ: The UI tax contributory account is capability of processing
BRQ24: amount when a system shall have the converted to a
BRQ25: BRQ: excess of $1M.
total payrolls inThe change packet consists of ES 802 (application to
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
BRQ35: BRQ: an account has been suspended.
employer whenAccount reactivation requests are routed to the appropriate
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
system shall search the production databaseaccountaccount. If the
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
BRQ41: BRQ: The about shall prompt the user to request based on
provide information systemthe coverage termination enter a narrative
explaining the reason theysystem shall display account.
BRQ42: BRQ: The UI tax are terminating the a message window with
BRQ43: BRQ: The UI tax system shall coverage termination request
information about the disposition of the route coverage termination               X
requests to the ES Supervisor, Office Section based on business rules.

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                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change             X
                                                                                Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain                                        X
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and            X
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall                                                  X
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.                                              X
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system                       X
automatic job run shalltax system shall contain functionality to support a
BRQ50: BRQ: The UI include notification of employer appeal rights.                           X
batch job run to identify and terminate employeremployer termination
BRQ51: BRQ: The UI tax system shall produce accounts based on                                X
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:                                                                                       X
BRQ53: BRQ: The UI tax system shall allow an authenticated user to                                     X
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
submit an account suspension request prompt employerto provide and                                     X
verify information about the business based onthe user to enter awhen
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative                                     X
explaining the reason theysystem shall issue a suspension approved
BRQ56: BRQ: The UI tax are terminating their account.                                                  X
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:                                                                                                 X
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent                                    X
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ59: (ES 961).                                                                                                 X
authorized user to submit system shall generate inactivation/suspension
BRQ60: BRQ: The UI tax an inactivation/suspension request.                                                       X
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The                                                                                                  X
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an                                                            X
BRQ63: BRQ: Employers the be able has granted the vendor/agent
employer’s account only if shallemployerto update their profiles, save the                                                  X
information entered, and update theshall dynamically prompt the user for
BRQ64: BRQ: The employer portal profile information previously entered                                                      X
BRQ65: BRQ: The UI wishes to establish or rescind code of status
information if the user tax system shall assign a field powerandattorney                                                    X
BRQ66: BRQ: The registrant shall receive a message window profile
examiner to a registrant’s case when the employer submits theindicating                                                     X
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.                                                             X
system until the employer system shall route profile maintenance"signs"
BRQ68: BRQ: The UI tax confirms the updated information and requests                                                                   X
to the appropriate status examiner able to on businesssubmit history
BRQ69: BRQ: Employers shall be based initiate and rules.                                                                                         X
BRQ70: BRQ: Employers employer portal.
transfer applications in theshall be able to begin the history transfer                                                                          X
BRQ71: save The registrant entered, and message application
process, BRQ: the informationshall receive aupdate the window indicating                                                                         X
BRQ72: BRQ: of the application after submitting the request.
the disposition Employers shall be dynamically prompted for all of the                                                                           X
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that                                                                            X
might beBRQ: The UI tax system shall prompt the employer transfer via
BRQ74: required when an employer is completing a history to                                                                                      X
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on                                                                             X
BRQ76: BRQ: The during the transfer allow employers to and one or
the employer portalUI tax system shall application process enterupdated                                                                          X
BRQ77: BRQ: All EAN’s during the history application process. (In the
more predecessordenial correspondence shall include notification ofuse                                                                                     X
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations                                                                                     X
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.                                                                                                                            X
the status supervisor a quarterly report the authoritya predecessor’s
BRQ80: BRQ: When or examiner III’s) is posted to to override total                                                                                         X
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the                                                                                           X
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to                                                                                      X
transfer all of the predecessor’s history apply business rules to recalculate
BRQ83: BRQ: The UI tax system shall experience, including wages                                                                                            X
BRQ84: BRQ: successor a new shall automatically inactivate the
and assign the The UI tax systemrate based on the transferred history.                                                                                     X
BRQ85: BRQ: The UI account.
predecessor employertax system shall automatically transfer reports                                                                                        X
received BRQ: the effective date ofshall transfer from the predecessor’s
BRQ86: after The UI tax system the generate transfer of history notices                                                                                    X
(e.g. denial notice, approval notice).

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                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                  Coverage   Account   Account   Account   Employer   Employer   History     X
                                                                                                                                                            Total   Partial    of State    History   Potential   Potential
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer                                                                                                                X
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,                                                                                           X
BRQ90: BRQ: Employers shall be dynamically prompted to to override
the status supervisor or examiner III’s) to have the authority enter ES 903A                                                                                          X
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
information via The portal as part of a partial history transfer application. to                                                                                      X
extend the timeline for receipt of report is posted to a predecessor’s and/or
BRQ92: BRQ: When a quarterly partial history transfer applications                                                                                                    X
account for a period ending after the effective date functionalitythe UI tax
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary                                                                                                X
to recordBRQ:process tax system shall automatically validate history
BRQ94: and The UI partial history transfers.                                                                                                                          X
transfer application UI tax system shall display determination results for all
BRQ95: BRQ: The data or prompt a status examiner when appropriate                                                                                                     X
history transferThe UI tax system shall automatically calculate the
BRQ96: BRQ: criteria.                                                                                                                                                 X
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
percentage to transfer tax system shall automatically update the liability                                                                                            X
BRQ98: BRQ: The UI employer shall establish a business rules.
date on the successor tax systemaccount based onrelationship between the                                                                                              X
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate                                                                                                                       X
BRQ100: BRQ: The UI tax system on transferred data and update the
predecessor employer rates based shall automatically generate internal                                                                                                X
BRQ101: BRQ: The required to adjust allow an monetary user to
account transactionsUI tax system shallemployer authorizedaccount                                                                                                     X
override history transfertax system shall allow an authorized user to record
BRQ102: BRQ: The UI actions based on business rules.                                                                                                                  X
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall                                                                                                                                  X
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer                                                                                                                   X
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users                                                                                                                                  X
(e.g., the status The UI tax system shall III’s) the authority to override out of
BRQ106: BRQ: supervisor or examiner automatically calculate an                                                                                                                    X
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-                                                                                                           X
of-state history transfer tax system shall generate notices for supporting
BRQ108: BRQ: The UI has been completed.                                                                                                                                           X
documentation whenUI tax system shall on business rules. to support
BRQ109: BRQ: The appropriate based contain functionality                                                                                                                                     X
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security                                                                                                                         X
(e.g., the status When a quarterly reportIII’s) the authority to override total
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s                                                                                                                             X
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
account for a period endingsystem shall prompt authorized users to initiate                                                                                                                  X
BRQ113: BRQ: required to be completed during the history transfer
other processesThe UI tax system shall automatically generate history                                                                                                                        X
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the                                                                                                                      X
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial                                                                                                                        X
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:                                                                                                                                                                                      X
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax                                                                                                                                                                                 X
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow                                                                                                                                                              X
BRQ119: BRQ: cancellations.
identify potentialThe UI tax system shall have the capability to allow users                                                                                                                            X
to modify the selection criteria for the potentialthe capability to allow users
BRQ120: BRQ: The UI tax system shall have account cancellations                                                                                                                                         X
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI                                                                                                                                                                                                 X
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to                                                                                                                                                 X
identify potentialThe UI tax system shall generate a potential
BRQ123: BRQ: inactivations/suspensions.                                                                                                                                                                             X
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
BRQ125: BRQ: applications in be able to begin the
transfer reversalEmployers shallthe employer portal. history transfer
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
reversal process, save the information entered, and employer toapplication
acknowledgement prior taxsubmitting a request for history transfer. notice
BRQ127: BRQ: The UI to system shall provide the employer with
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
Examiner BRQ: The UI tax system shall for a single individual the Individual
BRQ129: Performance report to be run allow the user to run examiner or
Status Examiner Performance report daily, weekly, monthly, quarterly,

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                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet             Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the
to allow an authorized user system shall view results of the completed TPS
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
BRQ135: BRQ: completed TPS system review questionnaires to the
ability to upload The UI tax system shall route work queue tasks to
appropriate staffThe UI tax system shall create program area up for review.
BRQ136: BRQ: based business rules and the appropriate messaging on
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
BRQ139: BRQ: The UI on system shall automatically generate a work list
create universes based tax the annual work plan data and business rules
item to the appropriate user to notify them when functionality to allow an
BRQ140: BRQ: The UI tax system shall contain the universe has been
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete
BRQ142: BRQ: The universe and shall a new functionality and business
a previously created UI tax systemcreatecontain universe.
rules necessary The UI tax system shall generateincludes the use of the
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
BRQ144: with The UI tax system ETA 407 Handbook for each work list
populatedBRQ:data specified in theshall automatically generate a sample.
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
BRQ146: BRQ: stored tax system shall allow an authorized user to access
of electronically The UI source documents to be identified and attached to
BRQ147: BRQ: The UI record sample allow results.
sample worksheets andtax system shallreview an authorized user to update
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
BRQ150: BRQ: The UI on system shall contain data.
create universes based tax the annual work plan functionality to allow an
BRQ151: BRQ: the UI tax system and validate authorized user
authorized user Theability to reviewshall allow an sample records. to delete
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:preliminary annual report.
a request BRQ:final annual system shall contain the capability to
BRQ155: for a The UI tax report.
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ158: BRQ: The code.
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
captured during The 802tax system Registration process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
BRQ162: Account Number, Employer County Code, Employer Name,
Employer BRQ: The UI tax system shall allow the New Employer
Verification Report to be exported to Microsoft Multi-Establishment
BRQ163: BRQ: The UI tax system shall allow Excel.
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
as a by-product The UIannual experience rate the ES204 details report to
BRQ167: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
annually as well Thefor a specified date range.
specified data which UI tax system shall track and the data’s actual state at
BRQ171: BRQ: The will allow for reports to query display all non-charges
BRQ172: users to report on these shall provide the ability to interface on
and allow BRQ: The UI tax system non-charges or contain an drill down to
fields in the ES204 report. This drill down functionality should show the

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                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report             Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
as a by-product The UIannual experience rate the ES205 details report to
BRQ174: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
annually as well Thefor a specified date range by to andrun the report by
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
the different employer’stax system shall provide the ability to drill down on
BRQ179: BRQ: The UI legal entities.
BRQ180: BRQ: The This drill down functionality should show details report
fields in the ES205. UI tax system shall allow the receivables the
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
specified receivable type orsystemreceivable types.
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
to be run quarterly as well as for a specified date range (tochanges to
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
quarterly as wellThefor a specified date range by to all the changes to any
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
581 at any pointThe UI tax system request.
BRQ189: BRQ: 581. This drill down functionality files for: Active
fields in the ETASystem shall generate data extractshould show the
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
notice of potential work list time shall be generated and routed to the
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
BRQ197: BRQ: The UI tax state agency’s contact information (agency
modify and delete the othersystem shall allow for the processing of
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ201: BRQ: When report the Internet that the files are being
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
shall be able to submit shall be able toreportsand update information
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
required to enterData files that are uploaded shall be validated before the
BRQ207: BRQ: quarterly report summary information (ES 903A) before
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
BRQ209: BRQ: transactions.
to complete any If the user is returning to complete an incomplete quarterly
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
tax system to ensureportal shall also validate the year/quarter to ensure
BRQ213: BRQ: The the employer is a registered employer.
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                      BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance               Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
and excess wages for theshall also be able to turn on/off the multi-state
BRQ220: BRQ: The user existing employees.
BRQ221: indicator.
employee BRQ: To add an employee, the user shall tab to the first
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
continuingBRQ: Users page. not continue to the next page until the current
BRQ223: to the next shall
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
information, the Reportshall validate theshall be performed onthe detailed
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
BRQ226: well as bulk-loaded wages.
wages as BRQ: Appropriate error messages shall be displayed to the user
BRQ227: what The UI tax system shall allow the user to edit the data.
indicating BRQ: data elements are in error.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
be prompted with an acknowledgement form shall state that all the
BRQ230: BRQ: The acknowledgement form.
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
information contained in the report (orthe registration application by best
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
BRQ233: BRQ: The UI tax pending status and a unique transaction
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ234: (or file) which shall also function as the user’s report
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ235: BRQ: The UI tax system shall also return a customized payment
voucher to the portalportal shall the user’sconfirmation message providing
BRQ236: BRQ: The containing display a employer demographic
BRQ237: BRQ: The number and a reminder about potential penalties
a report confirmationportal shall not display complete SSNs for existingand
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
to make an electronic payment or print aallow employers tofor each report
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
quarterly reporting activitiesshall be able to begin the quarterly reporting
BRQ243: BRQ: Employers in the employer portal.
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
and wage BRQ: When payments for at least three years.
BRQ245: reports and editing corrected reports, the system shall verify
that the employer has employer shall have the option towith the same
BRQ246: BRQ: Each a quarterly report on the system data enter a report
BRQ247: BRQ: The editor upload a each report in the staging file.
directly into the portal or to shall readdata file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
number. (In use The system shall validate the account status.
BRQ249: BRQ: case 2.11)
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
report EAN is an active account or a suspended account ifon ayear/quarter
BRQ253: BRQ: The system shall verify that FEIN entered the report is
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
BRQ256: when Records discrepancy with the employer’s quarterly
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ257: BRQ: The accounts examiners shall run each check through a
validation BRQ: Theconversion machine.
BRQ258: and ACH ACH conversion machine shall link into a third-party
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                       Page 29 of 462                                                                  Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the        Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
payment record The status of all matched payment records shall be set to
BRQ260: BRQ: in the OCR scanning processing.
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to
check shall be pulled, the NSF date shall be updated ES the payment
BRQ263: BRQ: The UI tax system shall contain functionality quarterly
an employer when there is a discrepancy with the employer’swhich allows
an accounts examiner to validate the format ofan authorized individual to
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic
correct errors on magnetic load from the on business rules. the staging
BRQ265: BRQ: Files shall media based magnetic media to
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall
maintain business rulestax system payments, reports, and adjustments.
BRQ267: BRQ: The UI for editing shall not limit the number of batches
BRQ268: BRQ: The UI in a 24-hour period.
that may be processed tax system shall e-mail an adjustment notification
(ES 542) to an employer when there is averify that thewith the employer’s
BRQ269: BRQ: The UI tax system shall discrepancy account associated
with report EAN The UI tax system shalla suspended account if the not
BRQ270: BRQ: is an active account or verify that the employer does
BRQ271: BRQ: report on the submits an electronic tax return or
have a quarterlyIf an employerUI tax system with the same year/quarter as
payment, BRQ: If the report shall deliverUI tax system shall post the
BRQ272: the UI tax system is new, the any subsequent correspondence
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ273: report and employee is data to as employer’s employee,
UI tax system shall generateis corrected, the UI tax system shall post the
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s
BRQ275: BRQ: The UI tax system shall generate the employer’s account.
updated summary report and wages report data toan electronic transaction
BRQ276: BRQ: each report processed.
journal entry for The journal shall list employer information, status (new or
corrected BRQ: The journal (ES 903A) data as information, status (new or
BRQ277: report), summary shall list employer reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment
BRQ278: report), summary (ES 903A) data as reported, and cumulative
BRQ279: BRQ: employer users shall have the capability to run
notification to anAuthorized when there is a discrepancy with the this
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The
BRQ283: contribution reports on the UI tax system.
employer BRQ: For each report, the edit process shall compute report
totals for total wages, taxable wages, excess wages,computed amount due
BRQ284: BRQ: The edit process shall compare the and total totals to the
summary BRQ: If the on thedetail does not balance to the report summary,
BRQ285: report total wage report.
the UI tax BRQ: The edit process shall generate for electronic edit report
BRQ286: system shall route a work queue task an an accounts examiner
entry for each out of report shall list identified. information, summary data
BRQ287: BRQ: The balance report employer
BRQ288: BRQ: The UI tax system the accept the as posted, the date
as posted, the cumulative totals forshallwage detail following account and
payment types: contributory accounts (regular users to make payments
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,
BRQ291: BRQ: If and payment method information to the UI tax system.
payment amount, an employer has monetary delinquencies, prompt the
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments
for one or BRQ: Payments made with a credit or debit card shall be for
BRQ293: multiple quarters, or payments for one or more employers
processed immediately, while bank account debits may take up tomain
BRQ294: BRQ: The user shall select "Make a Payment" from the three
menu then select account type anda quarterly report prior to beginning to
BRQ295: BRQ: If the user entered payment type from the sub-menus this
transaction, the The portal shall validate employer’s EAN and FEIN; the UI
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.
BRQ298: BRQ: If the payment.
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
the user to designate the payment to be automatically applied tothe portal
shall also BRQ: The portal shall retrieve and display the employer’s owes
BRQ300: validate the year/quarter(s) and determine if the employer
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports
account balanceThe user shall be prompted well asthe amount owed in full
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                    Page 30 of 462                                                                  Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.          Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
BRQ303: BRQ: The portal shall prompt the user to enter the payment
BRQ304: BRQ: The user’s responses shall be edited based on the
method and prompt the user for additional informationbefore submittal.
BRQ305: BRQ: The portal shall submit the payment information to the
third-partyBRQ: The processorrecord shallUI tax system. the unique
BRQ306: payment payment and to the be updated with
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:
confirmation number and documenting the a unique transaction ID to the
BRQ308: BRQ: UI tax system shall assign payment received date,
payment which shall check data shall the loaded payment OCR interpreter
BRQ309: BRQ: The also function as be user’s from the confirmation
BRQ310: BRQ: For the UI tax system using the EAN (and review the
into a staging file oneach payment in the queue, Staff shall FEIN) if
BRQ311: the check and enclosure to resolve the issues with the check
images of BRQ: The UI tax system shall contain functionality to allow an
BRQ312: BRQ: to search system shall allow the UI tax system using the
authorized user The UI taxfor the employer on an examiner to update the
payment record The UI tax system shall contain functionality to allow an
BRQ313: BRQ: and release the payment for processing.
BRQ314: BRQ: to record when a payment received is cash.
authorized user The UI tax system shall contain functionality to allow an
BRQ315: BRQ: to record a deposit date associated record in the
authorized user The editor shall read each payment with the cash staging
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged
check. BRQ: The editor shall verify that the check is payable to
BRQ317:
BRQ318: BRQ: The editor of the name.
NMDWS or some variationshall validate the account status (active or
BRQ319: BRQ: The editor rules).
suspended - see business shall validate that the year/quarter are valid
dates andBRQ: If all edits are passed, thefor that year/quarter. be
BRQ320: that the employer owes money payment record shall
released for processing; otherwise,shall verify a pending status until all
BRQ321: BRQ: The UI tax system it stays in that the account associated
with report EAN Whenactive account or a suspended account shall verify
BRQ322: BRQ: is an editing new reports, the UI tax system if the
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
that the employer does tax system quarterly report on the UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ325: BRQ: The UI tax based shall payment type and how to
BRQ326: BRQ: each payment processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and howsystem shall was
BRQ327: BRQ: As each report is processed, the UI tax the payment
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the
BRQ331: BRQ: The UI tax included).
imaged report and check (ifsystem shall verify that the check is payable to
NMDWS or some variation system shall validate that the EAN is a valid
BRQ332: BRQ: The UI tax of the name.
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.
BRQ336: BRQ: The editor shall validate that the year/quarter are valid
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify
BRQ338: BRQ: The UI not have a shall generate on the UI notification
that the employer does tax system quarterly reportan ES 542 tax system to
an employer when there is a discrepancy with the itemized deposit reports
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report
BRQ341: into Payment information shall be captured separately from the
interpreterBRQ:an amended returns staging file on the UI tax system using
report information and placed in an amended returns payment data
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.
BRQ344: and ACH machine shall link into
validation BRQ: Thisconversion machine. a third-party service that
validates the check, the issuer, and the available balance before creating a

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    BRQ-BUC Functional Reqs                                                                                   Page 31 of 462                                                                  Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the        Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the
BRQ348: BRQ: The status the credit transaction.
with the transaction date of of all matched payment records shall be set to
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check
BRQ350: BRQ: An accounts examiner shall updated on the payment
check shall be pulled, the NSF date shall be retrieve an out of balance
BRQ351: from The UI queue.
work task BRQ:the worktax system shall contain functionality allowing the
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow
BRQ353: BRQ: to make necessary corrections authorized quarterly
for the examinerThe UI tax system shall allow anto employer user to
generate a request for information when allow users with appropriate
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of entering a recordaselection date by the for
BRQ356: BRQ: The UI tax system shall run (on schedule set range
users) an BRQ: The report of outstanding discrepancy notices based on
BRQ357: electronic UI tax system shall create incomplete report penalty
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an
authorized user The UI taximaged documents an authorized user to
BRQ362: BRQ: to access system shall allow attached to an employer
remove an incomplete report penalty from an released for processing shall
BRQ363: BRQ: Transactions that have been employer account.
be processed during UI tax system user transaction posting run. access
BRQ364: BRQ: Any the next monetary with appropriate security
BRQ365: BRQ: Online transfer requests shall transfer.
shall be able to complete an online request forbe placed in a "pending"
status. (InBRQ: The 3.06)
BRQ366: use case information shall be edited to ensure accuracy. (In
use case 3.06) The UI tax system shall validate that the EAN’s are valid
BRQ367: BRQ:
account numbers, the "to" employer is inensure thatcontributory status, the
BRQ368: BRQ: The UI tax system shall an active, the items requested
BRQ369: BRQ: on the "from" employer edits, the
for transfer existIf the request passes theaccount. report and/or payment
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:
incomplete report penalty for the year/quarter, the UIemployer information
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open
BRQ374: BRQ: The transfer, as well as the date and time the to adjust
and details about theUI tax system shall allow authorized users transfer or
remove/abate penaltiestax system user with they were assessed in error or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access
shall be able to complete an online shall validate that the EAN is a valid
BRQ376: BRQ: The UI tax system request for adjustment.
BRQ377: BRQ: and the year/quarter are valid that the
account numberThe UI tax system shall ensuredates. items requested
for adjustment exist on the employer’sthe edits, the request status shall be
BRQ378: BRQ: If the request passes account.
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall
reapply any specified account has adjustassessed aand P&I on or
BRQ380: BRQ: If the payment, or been (or abate) late report the
incomplete report penalty for the year/quarter, the an electronic transaction
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open
journal entry for The journal shall list employer information and details
BRQ382: BRQ: each request processed.
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ386: BRQ: The UI tax based shall transaction type.
BRQ387: BRQ: each transaction processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and how the transaction

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                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as           Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
the original payment UI tax system shall require users to enter the exact
BRQ389: BRQ: The was posted.
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,
shall be able to complete an online request for bepayment reversal. to
BRQ391: BRQ: Online reversal requests shall a routed via work flow
BRQ392: BRQ: The request on business rules.
an accounts examiner basedshall include as much information as the
BRQ393: can provide.
requestor BRQ: If the examiner cannot locate the payment the UI tax
BRQ394: BRQ: The examiner shall enter the reversal request with the
system shall allow the examiner to updatethe reversal transaction into the
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the
work task BRQ: The UI tax system shall have the capability of a noticeato
BRQ398: as completed and the UI tax system shall generate having
BRQ399: employer account that is to query each transaction and
suspense BRQ: Users shall be able used solely to post reportsposted to
BRQ400: BRQ: The UI tax system imaged information appropriate
the suspense account and view theshall allow users withfor that
BRQ401: BRQ: If capability of setting and maintaining still in pending
security levels thethe records (report and payment) are the runaschedule
status after two days, the UI tax system shall UI tax system shall updateto
BRQ402: BRQ: At the end of three days, the trigger a work queue task
BRQ403: and payment records with UI "suspense" EAN and release
the report BRQ: On a daily basis, the the tax system shall review the the
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the
BRQ408: BRQ: An accounts examiner shall be work the assigned
appropriate accounts examiner’s work queue to able to retrieve a work task
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also
task.
BRQ412: BRQ: The reports and payments shall be processed during the
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on
employer BRQ: Theto record the occurrence of certain actions. For control
BRQ415: accounts UI tax system shall maintain business rules to
selection of employers for inclusionshall have the capability tolist. down to
BRQ416: BRQ: The UI tax system on potential tax intercept drill
BRQ417: of the amounts system shall track pending and deposited
the detailsBRQ: The UI tax in the collections processedand posted
transactions so the collections processed and the capability to run the run
BRQ418: BRQ: The UI tax system shall allow deposited report can be
collections processed and deposited report byauthorized users the ability
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
BRQ420: BRQ: pre-defined reports.
to view and printThe UI tax system shall freeze credit accounts balances at
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have
credits and releasingUI tax system shall allow users with appropriate
BRQ422: BRQ: The credits for refund processing.
security levels the capability of setting and maintaining credit report
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
BRQ424: to the user-defined run schedule.
according BRQ: The UI tax system shall automatically route an electronic
copy of the report to accounts supervisor shall retrieve the report from
BRQ425: BRQ: The the accounts supervisor.
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the
work queue and If the examiner determines the credit is valid, the examiner
BRQ428: BRQ: review the assigned account.
shall release theAuthorized users a brief narrative about why the credit is
BRQ429: BRQ: credit and enter shall have the capability of releasing all
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of setting and maintaining the run schedule

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                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the              Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
reason forBRQ: The employer refundstub.
BRQ432: the refund on the warrant processing job shall run in ‘no
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic
BRQ434: BRQ: The refund report to the accounts supervisor.
copy of the employerUI tax system shall allow the examiner to review the
BRQ435: release all the examiner has for processing or review of of
report andBRQ: Whenof the transactions completed his/heronly somethe
report, theBRQ: The UI tax system shall run the final refund run during
BRQ436: UI tax system shall trigger the final refund job to job which
posts the refundThe refund warrantsemployer’s account and generates
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When
refund theBRQ: The UI tax system shall FMB examiner examiner to record
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
BRQ440: BRQ: The about the warrant contain functionality to allow for a
all of the information UI tax system shallshall be included in the task notes.
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI
BRQ441: be voided and a refund reversal to be recorded.
tax system shallThe UI tax system shall freeze credit balances when they
BRQ442: BRQ: turn on the invalid address flag for the mailing address
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall
employer BRQ: Theto record the occurrence of certain actions. For
BRQ445: accounts UI tax system shall allow authorized users to define
and maintain the business rules forshall contain trialdata and (e.g.,
BRQ446: BRQ: The UI tax system running the all balance transaction
BRQ447: BRQ: The UI tax the trial balance.
details required to generatesystem shall allow authorized users to define
BRQ448: BRQ: The UI tax system running the account users to (e.g.,
and maintain the business rules forshall allow authorizedsummary define
and maintain the business rules forshall allow authorized users to define
BRQ449: BRQ: The UI tax system running the daily transaction detail
and maintain the business rules delinquent contribution report shall be
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
BRQ451: to run automatically every quarter.
scheduledBRQ: The UI tax system shall have the ability to send a
notification to each Field District Supervisor when ability to assign a field
BRQ452: BRQ: The UI tax system shall have the the preliminary
code to a BRQ: employer account and tax representative based on
BRQ453: given The UI tax system shall have the ability to automatically
assign delinquent report work items to a allow authorized individuals to
BRQ454: BRQ: The UI tax system shall tax representative based on
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:
employer BRQ: Authorized users shall be able to view only and history
BRQ457: accounts declared delinquent for a given quarter the the current
notes tied BRQ: All history notes shall be see all by type of activity. in the
BRQ458: to a specific delinquency or to coded messages recorded
BRQ459: BRQ: The UI tax system shall allow an authorized user to record
BRQ460: a report delinquency assignment.
results forBRQ: The UI tax system shall automatically change the status of
the assignment when a report hasphone received, an estimated report
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
BRQ462: be noted in a history section of each employer account.
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena
cover letter fromAn authorized user shall be able to record updates to the
BRQ464: BRQ: the UI tax system.
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a
BRQ465: assignment history user shall have status from issued to
scanned document to atax system shall allow an authorized user to create
BRQ466: BRQ: The UI case assignment.
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an
BRQ468: report accounting transactions to support the approval to
employers for each approved estimated automatically update an estimated
BRQ469: BRQ: The UI tax system shall report worksheet assignment.
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
report assignment with the system of an original report as is appropriate.
BRQ471: an estimated report assignment.
to update BRQ: The UI tax system shall automatically generate a work
item to the Tax ChiefUI an original report place the original an estimated
BRQ472: BRQ: The if tax system shall is received after report in a
BRQ473: BRQ: The to be system shall disposition by authorized users
holding/staging tableUI tax reviewed andbe able to archive estimated wage
reports when they are replaced by an actual estimated wage report with

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    BRQ-BUC Functional Reqs                                                                                     Page 34 of 462                                                                  Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and         Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
rejected, the UI tax system system shall generate notice of report wage
BRQ475: BRQ: The UI tax shall be able to archive the submitted
BRQ476: BRQ: The UI tax an estimated report has been superseded by
acceptance to employers if system shall allow an authorized user to place
BRQ477: 10-day notices for a specified allow of time.
a stop on BRQ: The UI tax system shall periodan authorized user to
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain
BRQ479: BRQ: notices.
generate 10-dayThe UI tax system shall generate 10-day notices to
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall
BRQ481: BRQ: The payment is received.
system tasks when aUI tax system shall allow an authorized user the ability
to removeBRQ: The UI placed stopshall record 10-day item. This will on
BRQ482: a previously tax system on a 10-day notice notice actions
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI
letters and documents to be generated from a pick list.initiate the lien4.07)
BRQ484: BRQ: The UI tax system shall automatically (In use case
BRQ485: BRQ: The on business shall
generation job basedUI tax system rules. place the appropriate district
BRQ486: BRQ: The signature on shall contain a lien history file/record.
supervisor electronicUI tax system the lien.
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:
establish a collectionUI tax and record the results, pertinenthistory file of
BRQ489: BRQ: The case system shall keep a collections information,
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The
BRQ491: BRQ: The UI account on demand.
generate a statement oftax system shall allow an authorized user to
generate a zero The UI tax system shall automatically default signature to
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
user initiating the actiontax system shall allow an authorized user to for
BRQ493: BRQ: The UI but also allow the user to enter another name
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks
BRQ495: BRQ: The UI tax queues
in NMDWS employee work system shall create lien-related messaging on
employer BRQ: Theto record the occurrence of certain actions
BRQ496: accounts UI tax system shall allow an authorized user to
establish a lien collection case and shall keep a lien collections history file
BRQ497: BRQ: The UI tax system record the results, pertinent
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax
generate a payment UI tax systemgiven employer account. (Inwork case
BRQ499: BRQ: The coupon for a shall automatically assign use queue
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections
assignment to the appropriate Field Tax allow an authorized user the ability
BRQ501: BRQ: The UI tax system shall Representative when a payment
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized
BRQ503: BRQ: The actions and results generate collection case
NSF collection case UI tax system shall in the UI tax system.
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall
assignments to individuals based on business an authorized user to record
BRQ505: BRQ: The UI tax system shall allow rules.
BRQ506: BRQ: collections assignment cases.
actions taken onThe UI tax system shall keep a collections history file of
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling
software for the The UI tax system shall maintain collection case status
BRQ509: BRQ: scheduling of period jobs.
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall
selection of employers for inclusionshall maintain business rules to control
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection for certain periodic extract file creation. For example, to modify a
BRQ512: BRQ: The UI tax system shall allow authorized users the annual
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                      Page 35 of 462                                                                  Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand            Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
documentBRQ:the appropriate datashall allow business rules.
BRQ518: with The UI tax system based on an authorized user to enter a
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all
BRQ520: BRQ: garnishment cases.
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The
BRQ522: BRQ: The UI tax system shall a garnishment case.
to attach electronic document images to keep a history file on all
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The
BRQ526: BRQ: Collection Case assignments.
actions taken onThe UI tax system shall keep a history file on all Collection
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system
BRQ529: BRQ: The UI assignments work items authorized user to record
assign Collection Case tax system shall allow anto a tax representative
BRQ530: BRQ: clear the delinquency on the case file.
actions taken to The UI tax system shall maintain business rules to control
selection of employers for inclusionshall support uncollectible lists.
BRQ531: BRQ: The UI tax system on potential declaring an entire
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be
BRQ533: on payment tax timelines greater an 12 months
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,
BRQ535: and final payments based on place the payment entered
timelines, BRQ: The UI tax system shall specific information plan into on the
suspension if a report istax system shall allownot made. user to change
BRQ536: BRQ: The UI not filed or payment authorized
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change
BRQ538: of the payment plan.
the terms BRQ: The UI tax system shall allow an authorized user to record
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan
BRQ541: BRQ: the payment plan shall allow
documents fromThe UI tax system history file. an authorized individual to
submit a payment plan request via shall allow an self service user to
BRQ542: BRQ: The UI tax system the employer authorized portal.
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system
place an alert in The Field Tax Representative’s work queue if payment is
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work
case in the FieldThe UI tax system shall generate the Defaulted Payment
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment
Plan notice with The appropriate data based on business rules. to enter a
BRQ548: BRQ: the UI tax system shall allow an authorized user
BRQ549: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all payment
BRQ550: BRQ: Defaulted Payment Plan cases.
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers
BRQ553: electronically and submitted payments via payment coupon.
have filed BRQ: The UI tax system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ554: of account to employers with be able to deficiency meeting
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In
BRQ557: BRQ: The UI tax system shall be capable of statement to
secondary liability (predecessor debt) and generating aprinting a text the
message on theThe UI tax system shall recordcase 4.20) of statements of
BRQ558: BRQ: statement of account. (In use generation
BRQ559: BRQ: The UI tax system case 4.20)
account and keep a history. (In useshall allow an authorized user to view
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                    Page 36 of 462                                                                  Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak                 Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The
BRQ562: BRQ: The UI delinquencies by quarter.
report and/or wage datatax system shall not include accounts that have
BRQ563: BRQ: The UI tax suspense indicators.
bankruptcy or uncollectible system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ564: of account to employers with be able to deficiency meeting
BRQ565: BRQ: The addresses during the capable of run.
accounts to multiple UI tax system shall bemonthly job identifying
secondary liability (predecessor debt) and generating a statementto the
BRQ566: BRQ: The UI tax system shall allow an authorized user to
generate an accountUI tax system any account, including accounts that
BRQ567: BRQ: The statement on shall present a Statement of Account
BRQ568: BRQ: The UI tax system statement an the internet.
online to an employer requesting a shall allow via authorized user to print a
BRQ569: of account from system shall self service portal.
statementBRQ: The UI tax the employer allow an authorized user to
request online printing of a system shall allow a user tostatementstatement
BRQ570: BRQ: The UI tax statement of account. The view the will be
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record
BRQ572: BRQ: The printed on the statement generation
a text message to beUI tax system shall recordof account. of a statement
of account online on UI tax system shall allow indicator alert to employer
BRQ573: BRQ: The the account history file.
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate
BRQ576: BRQ: The UI tax system shall allow an Assignments Report
a Prior Delinquent Contribution Report and Case authorized user to by
BRQ577: BRQ: The a tax system shall a priority assignment.
change the status of UIcollection case toautomatically generate a Prior
Assignments - 90 Days tax system shall initiate a work item to each District
BRQ578: BRQ: The UI Old report.
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is
BRQ579: BRQ: The them system shall allow an - 90 Days user to
BRQ580: Prior The UI tax system shall allow an a work queue.
remove a BRQ:Collection Case Assignment from authorized user to record
BRQ581: BRQ: Prior tax system shall keep a history
actions taken onThe UICollection Case assignments. file on all Prior
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.
scheduledBRQ: The UI tax system shall have the ability to automatically
BRQ583: to run automatically every quarter.
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI
establish, BRQ: The UI tax system shall allow an authorized userdata and
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability
BRQ587: a record from the Bankruptcy allow an authorized user the
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability
BRQ588: Bankruptcy tax system shall allow an authorized user
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter
bankruptcy caseThe UI taxthe system and will store the data in a
BRQ592: BRQ: data into system shall contain the data and business
rules necessary The UI tax system shall place a ability to establish a on an
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
BRQ594: account when a system shall take or stop actions
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
required on bankruptcy tax systemprescribed business rules.
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a
user to assign an interest rate for ashall include a Proof of Claim screen.
BRQ597: BRQ: The UI tax system given period of time.
BRQ598: BRQ: The UI tax system shall allow an authorized user to record
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an
BRQ600: BRQ: The file on the employer’s account for any data
the bankruptcy case UI tax system shall maintain a history for anmissing
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system
rules necessary The UI bankruptcy documents toan update bankruptcy
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
case file function.

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    BRQ-BUC Functional Reqs                                                                                    Page 37 of 462                                                                  Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability        Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
to update BRQ: The UI tax system shallthe update case file function.
BRQ604: bankruptcy case file data via support the generation of
BRQ605: BRQ: The UI tax correspondence.
bankruptcy documents andsystem shall automatically update the
BRQ606: BRQ: history file when the update an authorized user function
employer’s caseThe UI tax system shall allowbankruptcy case file to record
BRQ607: BRQ: The UI tax system shall the court orders on the to control
the disposition of a bankruptcy case per maintain business rulesemployers
selection and printing oftax system shallprocessing jobs. For example,
BRQ608: BRQ: The UI certain annual allow users with adequate security
to trigger the sampleUI tax system shall allow use business rules to
BRQ609: BRQ: The prepayment job.
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security
to override zero Prepayment notices shall be bar coded with the EAN,
BRQ611: BRQ: dollar prepayment amounts.
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax
selection and printing oftax system shall allow users with adequate security
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use of business rules to
BRQ614: BRQ: The quarterly reimbursable billing job
BRQ615: BRQ: The UI tax system amounts.
calculate quarterly benefit chargingshall allow users with valid security
(e.g., the status The UI tax system shall III’s) the authority to override tax
BRQ616: BRQ: supervisor or examiner automatically trigger the
generation of appropriate employershall allow employers the option to
BRQ617: BRQ: The UI tax system notices. For example, the UI tax
select Appeals, Tax, or Board of Review when filingnumber) is corrected in
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
BRQ619: system, denial correspondence attached to notification of be
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
employer’s next The UI tax system shall maintain business rules to control
selection and printing oftax system shall allow users with adequate security
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ622: BRQ: The quarterly reimbursable billing job.
BRQ623: BRQ: Authorized claims amounts.
calculate quarterly benefit chargingpersonnel shall have authorization to
BRQ624: UI tax system.
query the BRQ: Benefit charge statements shall be bar coded with the
EAN’s, amountsRe-certification documents (940Cs) shall include an
BRQ625: BRQ: due, and due dates.
electronic BRQ: The so theysystem shall compare the employer’s liability
BRQ626: signature UI tax may be sent electronically to employers. (In
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
date spans on record totax system shall allow employers to and reject any
years individually on UIre-certification request.
BRQ628: BRQ: The a tax system shall compare the employer’s liability
date spans on record totax system shall allow re-certification requests any
BRQ629: BRQ: The UI the re-certification periods entered and reject for
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an
electronic BRQ: The so theysystem shall allow re-certification requests for
BRQ631: signature UI tax may be sent electronically to employers.
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system
annual IRS 940 The UI tax system shall allow authorized personnel toon
BRQ633: BRQ: certification tape and match employer records based
recalculate tax rates UI tax payment amounts that business rules to control
BRQ634: BRQ: The using system shall maintain have not yet posted to
BRQ635: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ636: BRQ: The annual rate job
calculate annualThe UI tax system shall allow users with adequate security
BRQ637: BRQ: rates.
to override zero The job shallamountsto be run in two modes: preliminary
BRQ638: BRQ: percent rate be able
(no update) and The preliminary job runany time. affect the prior production
BRQ639: BRQ: production (update) at shall not
employer BRQ: The job shall include variable parameters in the selection
BRQ640: selection.
process. Examples of the parameters that shall be modifiable includeSub-
BRQ641: BRQ: The run schedule shall be coordinated with the Field the
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and
BRQ643: BRQ: The UI tax that direct the employer selection for the
maintain the business rulessystem shall route work queue tasks to Field
Operations staff The UI on the field shall allow authorized(In use case 1.07,
BRQ644: BRQ: based tax system code of the account. user to initiate a
BRQ645: BRQ: The UI request.
target audit assignmenttax system shall allow an authorized user to
change a target audit assignment to approved or denied.

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    BRQ-BUC Functional Reqs                                                                                     Page 38 of 462                                                                  Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor          Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
informing BRQ: whenUI tax system shall allow authorized approved or the
BRQ647: them The a status change has occurred (e.g. users to view
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
BRQ649: BRQ: based on users shall be the to record actions taken on
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI
BRQ652: BRQ: Authorized users shall including record actions taken
notices, letters, forms, etc to employer be able tothe audit notification and
regarding BRQ: The UI tax system shall tax system.
BRQ653: an audit assignment in the UI allow an authorized user to modify
the status BRQ: The UI tax system(e.g. change from requested to
BRQ654: of an audit assignment shall allow for different audit statuses
BRQ655: BRQ: The UI tax system in the audit history file.
and maintain audit status changes shall allow for employer information that
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system
synchronization The UI tax system shall contain an audit program that can
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system
account changes indicated system shall allow authorizedincludeto modify
BRQ660: BRQ: The UI tax in the audit results. This will users generating
audit results for The UI tax system shall have the ability toon business
BRQ661: BRQ: various audit assignment statuses based store audit
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax
Operations staff When an employercode of theform or other use case 1.07,
BRQ664: BRQ: based on the field submits a account. (In information,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the
BRQ665: system shall automatically create work items and main record,
BRQ666: related documents and shall contain
as well asBRQ: The UI tax systemwork items. a blocked wage claim
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.
blocked wage claim has been resolved and results haveallowed to set up
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim
work item BRQ: The UI tax system shall generate a another when the
BRQ672: information from one account number to determination letter
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to
the finding of a blocked tax system shall allow anassignment user to
BRQ674: BRQ: The UI wage claim on the case authorized screen.
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the
appropriate work queuetax systempre-defined an authorized user to record
BRQ676: BRQ: The UI based on shall allow business rules.
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:
item informationThe UI taxaccount number to another when instructed by
BRQ679: BRQ: from one system shall generate a determination letter
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
and submit new The UI tax system informationan authorized update the an
appeal after the If an authorized user saves the appeal but does provided
BRQ683: BRQ: deadline (based on business rules) has passed not submit
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
BRQ686: data.
summary BRQ: The UI tax system shall return an acknowledgement form
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
message once the appeals system shall automatically assign a case
number to new appeals. (In use case 9.02)

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    BRQ-BUC Functional Reqs                                                                                    Page 39 of 462                                                                  Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ689: BRQ: Work items shall contain links to the employer’s main              Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ690: the appeals case file, and shall original determination that was
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
BRQ693: BRQ: The system shall generate to next "page."
entered before allowing the user to proceedan appeals form with a bar
BRQ694: BRQ: Appeal a determination.
code and include it with requests shall be scanned and indexed to the
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
BRQ696: BRQ: The system shall be an to generate an appeal from item
request and automatically generatingableappeal case worksheet work the
for the appropriate individual based shall be able rules. update the
BRQ697: BRQ: An authorized user on business to enter
BRQ698: BRQ: The system shall additional information related to modify
appeals worksheet to include any allow an authorized user to add, the
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
BRQ700: notifying employer that automatically assign a case number to
employer BRQ: The system shall appeal has been received and requesting
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
to the appeals case file, and to the original determination that was main
record and the original determination that was track the status of the
BRQ703: BRQ: The employer shall be able to appealed.
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
determination using theon items selected, the UI tax system shall create
BRQ709: BRQ: Based correspondence component that includes the
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
BRQ713: BRQ: he UI tax system shall is read.
when an email is delivered and when it allow authorized staff to view all
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ716: account and tax system shall maintain a history of an appeal
including data on each level of appeal and links to all linking of related
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
generate correspondence using templates. The templates shallbased on
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
BRQ723: BRQ: Based on items of appeal the decision the appropriate
automatically determine the typechecked inand route it tothe UI tax system
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
record, the original determination that was appealed,related, scanned
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
letter using a templateto the decision letter shall be created within the
BRQ729: BRQ: A link that includes the following fields: original
appeals case when theon items determination istemplate the UI tax system
BRQ730: BRQ: Based letter of checked in the saved.
BRQ731: BRQ: The UI directing Tax Section to make summary
shall create work items Tax system shall generate the appropriate
accounting transactions from the Accounting Summary report.

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    BRQ-BUC Functional Reqs                                                                                    Page 40 of 462                                                                  Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC14:    BUC15:    BUC16:    BUC17:     BUC18:     BUC19:    BUC20:    BUC21:   BUC22:    BUC23: Out   BUC24:    BUC25:      BUC26:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting             Coverage   Account   Account   Account   Employer   Employer   History    Total   Partial    of State    History   Potential   Potential
transactions that support each day’s summary journal entryactual totals for
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
each revenue type (e.g., federal clearing calculate state trust fund, revenue
BRQ735: BRQ: The bank system shall on the running actual to adjust
distributions for eachUI Taxdeposit basedallow authorized users totals for
the running, actual totals to reflect transfers out of thein the accounts to
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
and the summary accounting developed toto SHARE shall reflect that
BRQ737: BRQ: The program transactions fulfill the requirements
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
documented in NMDWSof adjusting journal entries shall reflect the shall
change ofBRQ: The UI Tax system shall breakdown the receivables
BRQ739: the accounts receivables balance since the end of the prior
balance according tosystem shall allow authorized users to locate warrants
BRQ740: BRQ: The business rules.
BRQ741: BRQ: The reconciliation process account number.
using the warrant number and/or employer shall include error handling for
BRQ742: such The system shall numbers or a warrant number already
situations BRQ: as invalid warrant allow an interface from the bank to the
UI Tax System for the redeemed warrantsthe capability to identify credits
BRQ743: BRQ: The system shall contain reconciliation process.
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
BRQ746: property.
unclaimedBRQ: The system shall generate the appropriate accounting
transactions for The system shall as unclaimed property.
BRQ747: BRQ: credits classified have the capability to allow refund
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track
account for the breakdown ofamounts shall payments and charges for to
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
an employer’s account as a payment when a benefit and journal entries
shall be generated when a prepayment is reclassified as a payment to a




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    BRQ-BUC Functional Reqs                                                                                    Page 41 of 462                                                                  Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ1: BRQ: Employers shall be able to initiate and submit new                  History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
BRQ3: BRQ: Successor employers shall the registration information
save the information entered, and updatebe able to register as a new
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
BRQ6: BRQ: information provided in the a message window indicating the
based on the The registrant shall receive employer portal.
disposition of The registration after submitting the registration request.
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
BRQ9: when the UI tax system shall automatically information and
system BRQ: The registrant confirms the registrationassign an employer
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.
based on previous answers. For example, capable of capturing multiple
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
BRQ12: locations UI multiple owners/partners/officers.
physical BRQ: Theand tax system shall follow FUTA guidelines for
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
BRQ15: recording UI tax system shall allow queries on all accounts with
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
of appropriate employer packets, forms, and authorized users to update
BRQ18: BRQ: The data tape extract for job and to then generation shall
parameters that control the data extract quarterly report schedule the job.
exclude employers annual preferred report generation process shall send
BRQ19: BRQ: The whose quarterly method of communication is mail.
an e-mail notificationrequest cannot be processed automatically, the
BRQ20: BRQ: If the to those employers whose preferred method of
BRQ21: BRQ: receive a system shall automatically trigger the printing
employer shall The UI taxmessage window stating the liability date span of
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
paymentBRQ: The UI tax contributory account is capability of processing
BRQ24: amount when a system shall have the converted to a
BRQ25: BRQ: excess of $1M.
total payrolls inThe change packet consists of ES 802 (application to
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
employer whenAccount reactivation requests are routed to the appropriate
BRQ35: BRQ: an account has been suspended.
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
system shall search the production databaseaccountaccount. If the
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
BRQ41: BRQ: The about shall prompt the user to request based on
provide information systemthe coverage termination enter a narrative
explaining the reason theysystem shall display account.
BRQ42: BRQ: The UI tax are terminating the a message window with
BRQ43: BRQ: The UI tax system shall coverage termination request
information about the disposition of the route coverage termination
requests to the ES Supervisor, Office Section based on business rules.

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    BRQ-BUC Functional Reqs                                                                                        Page 42 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change          History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
BRQ47: BRQ: The on business shall
denial letters basedUI tax systemrules. generate the ES804 Termination of
Coverage Request UI tax a request is submitted.
BRQ48: BRQ: The when system shall have an automatic method to purge
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
automatic job run shalltax system shall contain functionality to support a
BRQ50: BRQ: The UI include notification of employer appeal rights.
batch job run to identify and terminate employeremployer termination
BRQ51: BRQ: The UI tax system shall produce accounts based on
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
submit an account suspension request prompt employerto provide and
verify information about the business based onthe user to enter awhen
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
BRQ56: BRQ: The UI tax are terminating their account.
explaining the reason theysystem shall issue a suspension approved
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ60: BRQ: The UI tax an inactivation/suspension request.
authorized user to submit system shall generate inactivation/suspension
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
employer’s account only if shallemployerto update their profiles, save the
BRQ63: BRQ: Employers the be able has granted the vendor/agent
information entered, and update theshall dynamically prompt the user for
BRQ64: BRQ: The employer portal profile information previously entered
information if the user tax system shall assign a field powerandattorney
BRQ65: BRQ: The UI wishes to establish or rescind code of status
BRQ66: BRQ: The registrant shall receive a message window profile
examiner to a registrant’s case when the employer submits theindicating
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
BRQ68: BRQ: The UI tax confirms the updated information and requests
system until the employer system shall route profile maintenance"signs"
to the appropriate status examiner able to on businesssubmit history
BRQ69: BRQ: Employers shall be based initiate and rules.
BRQ70: BRQ: Employers employer portal.
transfer applications in theshall be able to begin the history transfer
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application                       X
the disposition Employers shall be dynamically prompted for all of the
BRQ72: BRQ: of the application after submitting the request.
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
BRQ74: required when an employer is completing a history to
might beBRQ: The UI tax system shall prompt the employer transfer via
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
the employer portalUI tax system shall application process enterupdated
BRQ76: BRQ: The during the transfer allow employers to and one or                 X
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.
the status supervisor a quarterly report the authoritya predecessor’s
BRQ80: BRQ: When or examiner III’s) is posted to to override total
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
BRQ83: BRQ: The UI tax system shall experience, including wages
transfer all of the predecessor’s history apply business rules to recalculate
and assign the The UI tax systemrate based on the transferred history.
BRQ84: BRQ: successor a new shall automatically inactivate the
predecessor employertax system shall automatically transfer reports
BRQ85: BRQ: The UI account.
received BRQ: the effective date ofshall transfer from the predecessor’s
BRQ86: after The UI tax system the generate transfer of history notices
(e.g. denial notice, approval notice).

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    BRQ-BUC Functional Reqs                                                                                         Page 43 of 462                                                                    Date Printed: 7/27/2011
                                                                                               State of New Mexico - Department of Workforce Solutions
                                                                                                       UI Tax Modernization Requirements Matrix
                                                                                                               BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                      BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                    History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,
BRQ90: BRQ: Employers shall be dynamically prompted to to override
the status supervisor or examiner III’s) to have the authority enter ES 903A
information via The portal as part of a partial history transfer application. to
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
BRQ92: BRQ: When a quarterly partial history transfer applications
extend the timeline for receipt of report is posted to a predecessor’s and/or
account for a period ending after the effective date functionalitythe UI tax
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
BRQ94: and The UI partial history transfers.
to recordBRQ:process tax system shall automatically validate history
BRQ95: BRQ: The data or prompt a status examiner when appropriate
transfer application UI tax system shall display determination results for all
history transferThe UI tax system shall automatically calculate the
BRQ96: BRQ: criteria.
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
date on the successor tax systemaccount based onrelationship between the
BRQ98: BRQ: The UI employer shall establish a business rules.
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
predecessor employer rates based shall automatically generate internal
BRQ100: BRQ: The UI tax system on transferred data and update the
account transactionsUI tax system shallemployer authorizedaccount
BRQ101: BRQ: The required to adjust allow an monetary user to
BRQ102: BRQ: The UI actions based on business rules.
override history transfertax system shall allow an authorized user to record
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
(e.g., the status The UI tax system shall III’s) the authority to override out of
BRQ106: BRQ: supervisor or examiner automatically calculate an
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
BRQ108: BRQ: The UI has been completed.
of-state history transfer tax system shall generate notices for supporting
documentation whenUI tax system shall on business rules. to support
BRQ109: BRQ: The appropriate based contain functionality
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
(e.g., the status When a quarterly reportIII’s) the authority to override total
account for a period endingsystem shall prompt authorized users to initiate
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
BRQ113: BRQ: required to be completed during the history transfer
other processesThe UI tax system shall automatically generate history
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
identify potentialThe UI tax system shall have the capability to allow users
BRQ119: BRQ: cancellations.
BRQ120: BRQ: The UI tax system shall have account cancellations
to modify the selection criteria for the potentialthe capability to allow users
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
identify potentialThe UI tax system shall generate a potential
BRQ123: BRQ: inactivations/suspensions.
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall                                                          X
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the                                     X
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
reversal process, save the information entered, and employer toapplication            X
acknowledgement prior taxsubmitting a request for history transfer. notice
BRQ127: BRQ: The UI to system shall provide the employer with                         X
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status                                  X
Examiner BRQ: The UI tax system shall for a single individual the Individual
BRQ129: Performance report to be run allow the user to run examiner or                            X
Status Examiner Performance report daily, weekly, monthly, quarterly,

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    BRQ-BUC Functional Reqs                                                                                             Page 44 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet             History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the
to allow an authorized user system shall view results of the completed TPS
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
BRQ135: BRQ: completed TPS system review questionnaires to the
ability to upload The UI tax system shall route work queue tasks to
appropriate staffThe UI tax system shall create program area up for review.
BRQ136: BRQ: based business rules and the appropriate messaging on
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
BRQ139: BRQ: The UI on system shall automatically generate a work list
create universes based tax the annual work plan data and business rules
item to the appropriate user to notify them when functionality to allow an
BRQ140: BRQ: The UI tax system shall contain the universe has been
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete
BRQ142: BRQ: The universe and shall a new functionality and business
a previously created UI tax systemcreatecontain universe.
rules necessary The UI tax system shall generateincludes the use of the
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
BRQ144: with The UI tax system ETA 407 Handbook for each work list
populatedBRQ:data specified in theshall automatically generate a sample.
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
BRQ146: BRQ: stored tax system shall allow an authorized user to access
of electronically The UI source documents to be identified and attached to
BRQ147: BRQ: The UI record sample allow results.
sample worksheets andtax system shallreview an authorized user to update
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
BRQ150: BRQ: The UI on system shall contain data.
create universes based tax the annual work plan functionality to allow an
BRQ151: BRQ: the UI tax system and validate authorized user
authorized user Theability to reviewshall allow an sample records. to delete
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:preliminary annual report.
a request BRQ:final annual system shall contain the capability to
BRQ155: for a The UI tax report.
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ158: BRQ: The code.
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
captured during The 802tax system Registration process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
BRQ162: Account Number, Employer County Code, Employer Name,
Employer BRQ: The UI tax system shall allow the New Employer
Verification Report to be exported to Microsoft Multi-Establishment
BRQ163: BRQ: The UI tax system shall allow Excel.
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
as a by-product The UIannual experience rate the ES204 details report to
BRQ167: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
annually as well Thefor a specified date range.
specified data which UI tax system shall track and the data’s actual state at
BRQ171: BRQ: The will allow for reports to query display all non-charges
BRQ172: users to report on these shall provide the ability to interface on
and allow BRQ: The UI tax system non-charges or contain an drill down to
fields in the ES204 report. This drill down functionality should show the

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    BRQ-BUC Functional Reqs                                                                                         Page 45 of 462                                                                    Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report             History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
BRQ174: BRQ: of the tax system shall allow determination and
as a by-product The UIannual experience rate the ES205 details report to
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
annually as well Thefor a specified date range by to andrun the report by
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
BRQ179: BRQ: The UI legal entities.
the different employer’stax system shall provide the ability to drill down on
BRQ180: BRQ: The This drill down functionality should show details report
fields in the ES205. UI tax system shall allow the receivables the
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
specified receivable type orsystemreceivable types.
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
to be run quarterly as well as for a specified date range (tochanges to
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
quarterly as wellThefor a specified date range by to all the changes to any
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
581 at any pointThe UI tax system request.
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
fields in the ETASystem shall generate data extractshould show the
BRQ189: BRQ: 581. This drill down functionality files for: Active
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
notice of potential work list time shall be generated and routed to the
BRQ195: BRQ: The UI tax system an employer responds to a notice of
appropriate claims personnel whenshall contain the functionality required
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
modify and delete the othersystem shall allow for the processing of
BRQ197: BRQ: The UI tax state agency’s contact information (agency
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the                                              X
BRQ200: BRQ: of employees in wage detail.
defined number The portal shall generate a message to users who upload                                      X
BRQ201: BRQ: When report the Internet that the files are being
and submit wage detailafiles viais submitted via the Internet, the portal shall                             X
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")                                     X
shall be able to submit shall be able toreportsand update information
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred                                    X
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the                                           X
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two                                         X
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.                                                               X
BRQ207: BRQ: quarterly report summary information (ES 903A) before
required to enterData files that are uploaded shall be validated before the                                 X
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.                                                                        X
BRQ209: BRQ: transactions.
to complete any If the user is returning to complete an incomplete quarterly                                X
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main                                          X
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
menu then select either "Data Entry" mandatory reporting identification to                                  X
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI                                      X
tax system to ensureportal shall also validate the year/quarter to ensure
BRQ213: BRQ: The the employer is a registered employer.                                                     X
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already                                           X
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display                                  X
the employer’s tax rate and last year/quarter filed then prompt the user to

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    BRQ-BUC Functional Reqs                                                                                           Page 46 of 462                                                                    Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance               History   Individual      X
                                                                                                          Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:                                                                                                      X
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,                                     X
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
name, SSN, YTD total wages, YTD total total wages, total taxable wages,                                      X
BRQ220: BRQ: The user existing employees.
and excess wages for theshall also be able to turn on/off the multi-state                                    X
employee BRQ: To add an employee, the user shall tab to the first
BRQ221: indicator.                                                                                           X
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before                                              X
BRQ223: to the next shall
continuingBRQ: Users page. not continue to the next page until the current                                   X
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When                                                                                            X
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
information, the Reportshall validate theshall be performed onthe detailed                                   X
wages as BRQ: Appropriate error messages shall be displayed to the user
BRQ226: well as bulk-loaded wages.                                                                           X
BRQ227: what The UI tax system shall allow the user to edit the data.
indicating BRQ: data elements are in error.                                                                  X
BRQ228: BRQ: The portal shall not allow the user to submit the final report                                  X
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall                                    X
BRQ230: BRQ: The acknowledgement form.
be prompted with an acknowledgement form shall state that all the                                            X
information contained in the report (orthe registration application by best
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the                                         X
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or                                               X
BRQ233: BRQ: The UI tax pending status and a unique transaction
transactions in the file) in a system shall assign submit it to the UI taxID to                              X
BRQ234: (or file) which shall also function as the user’s report
the report BRQ: The report shall be updated with the unique transaction ID.                                  X
BRQ235: BRQ: The UI tax system shall also return a customized payment                                        X
BRQ236: BRQ: The containing display a employer demographic
voucher to the portalportal shall the user’sconfirmation message providing                                   X
BRQ237: BRQ: The number and a reminder about potential penalties
a report confirmationportal shall not display complete SSNs for existingand                                  X
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such                                                   X
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer                                       X
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
to make an electronic payment or print aallow employers tofor each report                                    X
BRQ241: reports in UI tax system shall allow users the currently accepted
employer BRQ: Themultiple formats in addition to those option of saving                                      X
BRQ242: BRQ: Employers number and payment and submit new
the transaction confirmationshall be able to initiate voucher to a local file on                             X
BRQ243: BRQ: Employers in the employer portal.
quarterly reporting activitiesshall be able to begin the quarterly reporting                                 X
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer                                     X
and wage BRQ: When payments for at least three years.
BRQ245: reports and editing corrected reports, the system shall verify                                                    X
BRQ246: BRQ: Each a quarterly report on the system data enter a report
that the employer has employer shall have the option towith the same                                                      X
directly into the portal or to shall readdata file.
BRQ247: BRQ: The editor upload a each report in the staging file.                                                         X
BRQ248: BRQ: The editor shall validate that the EAN is a valid account                                                    X                                                                                                 X
BRQ249: BRQ: case 2.11)
number. (In use The system shall validate the account status.                                                             X
BRQ250: BRQ: The system shall validate the payment method for the                                                         X
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:                                                                                                                   X
dates andBRQ: The system shall verify thata report posted for the same
BRQ252: that the employer does not have the account associated with                                                       X
report EAN is an active account or a suspended account ifon ayear/quarter
BRQ253: BRQ: The system shall verify that FEIN entered the report is                                                      X                                 X                                                               X
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that                                                     X
BRQ255: does The system shall e-mail an ES 542 notification to an
employer BRQ:not have a quarterly report on the system with the same                                                      X
BRQ256: when Records discrepancy with the employer’s quarterly
employer BRQ: there is ashall OCR scan the reports and checks. report.                                                               X
BRQ257: BRQ: The accounts examiners shall run each check through a                                                                   X
BRQ258: and ACH ACH conversion machine shall link into a third-party
validation BRQ: Theconversion machine.                                                                                               X
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                            Page 47 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the        History   Individual   Quarterly   Electronic      X
                                                                                                                                 Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
payment record The status of all matched payment records shall be set to
BRQ260: BRQ: in the OCR scanning processing.                                                                                       X
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the                                                               X
check shall be pulled, the NSF date shall be updated ES the payment
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to                                                            X
an employer when there is a discrepancy with the employer’swhich allows
BRQ263: BRQ: The UI tax system shall contain functionality quarterly                                                                         X
an accounts examiner to validate the format ofan authorized individual to
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic                                                                         X
BRQ265: BRQ: Files shall media based magnetic media to
correct errors on magnetic load from the on business rules. the staging                                                                      X
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall                                                                                                                     X
maintain business rulestax system payments, reports, and adjustments.
BRQ267: BRQ: The UI for editing shall not limit the number of batches                                                                                    X
BRQ268: BRQ: The UI in a 24-hour period.
that may be processed tax system shall e-mail an adjustment notification                                                                                 X
(ES 542) to an employer when there is averify that thewith the employer’s
BRQ269: BRQ: The UI tax system shall discrepancy account associated                                                                                      X
BRQ270: BRQ: is an active account or verify that the employer does
with report EAN The UI tax system shalla suspended account if the not                                                                                    X
have a quarterlyIf an employerUI tax system with the same year/quarter as
BRQ271: BRQ: report on the submits an electronic tax return or                                                                                                     X
payment, BRQ: If the report shall deliverUI tax system shall post the
BRQ272: the UI tax system is new, the any subsequent correspondence                                                                                                X
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ273: report and employee is data to as employer’s employee,                                                                                                     X
UI tax system shall generateis corrected, the UI tax system shall post the
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s                                                                                         X
updated summary report and wages report data toan electronic transaction
BRQ275: BRQ: The UI tax system shall generate the employer’s account.                                                                                              X
BRQ276: BRQ: each report processed.
journal entry for The journal shall list employer information, status (new or                                                                                      X
BRQ277: report), summary shall list employer reported, and cumulative
corrected BRQ: The journal (ES 903A) data as information, status (new or                                                                                           X
BRQ278: report), summary (ES 903A) data as reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment                                                                                                      X
notification to anAuthorized when there is a discrepancy with the this
BRQ279: BRQ: employer users shall have the capability to run                                                                                                                 X
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the                                                                                                       X
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an                                                                                                                          X
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The                                                                                                                                                             X
employer BRQ: For each report, the edit process shall compute report
BRQ283: contribution reports on the UI tax system.                                                                                                                           X
totals for total wages, taxable wages, excess wages,computed amount due
BRQ284: BRQ: The edit process shall compare the and total totals to the                                                                                                      X
BRQ285: report total wage report.
summary BRQ: If the on thedetail does not balance to the report summary,                                                                                                     X
BRQ286: system shall route a work queue task an an accounts examiner
the UI tax BRQ: The edit process shall generate for electronic edit report                                                                                                   X
entry for each out of report shall list identified. information, summary data
BRQ287: BRQ: The balance report employer                                                                                                                                     X
as posted, the cumulative totals forshallwage detail following account and
BRQ288: BRQ: The UI tax system the accept the as posted, the date                                                                                                                      X
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
payment types: contributory accounts (regular users to make payments                                                                                                                   X
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,                                                                                                                X
BRQ291: BRQ: If and payment method information to the UI tax system.
payment amount, an employer has monetary delinquencies, prompt the                                                                                                                     X
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments                                                                                                                  X
BRQ293: multiple quarters, or payments for one or more employers
for one or BRQ: Payments made with a credit or debit card shall be for                                                                                                                 X
BRQ294: BRQ: The user shall select "Make a Payment" from the three
processed immediately, while bank account debits may take up tomain                                                                                                                    X
menu then select account type anda quarterly report prior to beginning to
BRQ295: BRQ: If the user entered payment type from the sub-menus this                                                                                                                  X
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
transaction, the The portal shall validate employer’s EAN and FEIN; the UI                                                                                                             X
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.                                                                                                                                X
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ298: BRQ: If the payment.                                                                                                                                                           X
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
the user to designate the payment to be automatically applied tothe portal                                                                                                             X
BRQ300: validate the year/quarter(s) and determine if the employer
shall also BRQ: The portal shall retrieve and display the employer’s owes                                                                                                              X
account balanceThe user shall be prompted well asthe amount owed in full
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports                                                                                                                   X
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                         Page 48 of 462                                                                    Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:     BUC39:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.          History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing      X
                                                                                                                                                                                    Payment   Processing    Cash      Editing
BRQ303: BRQ: The portal shall prompt the user to enter the payment                                                                                                                     X
method and prompt the user for additional informationbefore submittal.
BRQ304: BRQ: The user’s responses shall be edited based on the                                                                                                                         X
BRQ305: BRQ: The portal shall submit the payment information to the
BRQ306: payment payment and to the be updated with
third-partyBRQ: The processorrecord shallUI tax system. the unique                                                                                                                    X
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:                                                                                                                                                                          X
BRQ308: BRQ: UI tax system shall assign payment received date,
confirmation number and documenting the a unique transaction ID to the                                                                                                                X
payment which shall check data shall the loaded payment OCR interpreter
BRQ309: BRQ: The also function as be user’s from the confirmation                                                                                                                                 X
into a staging file oneach payment in the queue, Staff shall FEIN) if
BRQ310: BRQ: For the UI tax system using the EAN (and review the                                                                                                                                  X
BRQ311: the check and enclosure to resolve the issues with the check
images of BRQ: The UI tax system shall contain functionality to allow an                                                                                                                          X
authorized user The UI taxfor the employer on an examiner to update the
BRQ312: BRQ: to search system shall allow the UI tax system using the                                                                                                                             X
payment record The UI tax system shall contain functionality to allow an
BRQ313: BRQ: and release the payment for processing.                                                                                                                                                         X
authorized user The UI tax system shall contain functionality to allow an
BRQ314: BRQ: to record when a payment received is cash.                                                                                                                                                      X
authorized user The editor shall read each payment with the cash staging
BRQ315: BRQ: to record a deposit date associated record in the                                                                                                                                                           X
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged                                                                                                                                                   X
check. BRQ: The editor shall verify that the check is payable to
BRQ317:                                                                                                                                                                                                                  X
BRQ318: BRQ: The editor of the name.
NMDWS or some variationshall validate the account status (active or                                                                                                                                                      X
BRQ319: BRQ: The editor rules).
suspended - see business shall validate that the year/quarter are valid                                                                                                                                                  X
BRQ320: that the employer owes money payment record shall
dates andBRQ: If all edits are passed, thefor that year/quarter. be                                                                                                                                                      X
released for processing; otherwise,shall verify a pending status until all
BRQ321: BRQ: The UI tax system it stays in that the account associated                                                                                                                                                   X
BRQ322: BRQ: is an editing new reports, the UI tax system if the
with report EAN Whenactive account or a suspended account shall verify                                                                                                                                                   X
that the employer does tax system quarterly report on the UI tax system
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI
BRQ325: BRQ: The UI tax based shall payment type and how to
how to post the transaction system on thegenerate an electronic transaction
BRQ326: BRQ: each payment processed.
journal entry for The journal shall list employer information, the
BRQ327: BRQ: As each report is processed, the UI tax the payment
year/quarter, monetary transaction information, and howsystem shall was
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the
imaged report and check (ifsystem shall verify that the check is payable to
BRQ331: BRQ: The UI tax included).
BRQ332: BRQ: The UI tax of the name.
NMDWS or some variation system shall validate that the EAN is a valid
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.
BRQ336: BRQ: The editor shall validate that the year/quarter are valid
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify
that the employer does tax system quarterly reportan ES 542 tax system to
BRQ338: BRQ: The UI not have a shall generate on the UI notification
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
an employer when there is a discrepancy with the itemized deposit reports
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report
interpreterBRQ:an amended returns staging file on the UI tax system using
BRQ341: into Payment information shall be captured separately from the
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
report information and placed in an amended returns payment data
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.
validation BRQ: Thisconversion machine. a third-party service that
BRQ344: and ACH machine shall link into
validates the check, the issuer, and the available balance before creating a

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                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the        History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the
BRQ348: BRQ: The status the credit transaction.
with the transaction date of of all matched payment records shall be set to
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check
BRQ350: BRQ: An accounts examiner shall updated on the payment
check shall be pulled, the NSF date shall be retrieve an out of balance
BRQ351: from The UI queue.
work task BRQ:the worktax system shall contain functionality allowing the
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow
BRQ353: BRQ: to make necessary corrections authorized quarterly
for the examinerThe UI tax system shall allow anto employer user to
generate a request for information when allow users with appropriate
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of entering a recordaselection date by the for
BRQ356: BRQ: The UI tax system shall run (on schedule set range
users) an BRQ: The report of outstanding discrepancy notices based on
BRQ357: electronic UI tax system shall create incomplete report penalty
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an
authorized user The UI taximaged documents an authorized user to
BRQ362: BRQ: to access system shall allow attached to an employer
remove an incomplete report penalty from an released for processing shall
BRQ363: BRQ: Transactions that have been employer account.
be processed during UI tax system user transaction posting run. access
BRQ364: BRQ: Any the next monetary with appropriate security
BRQ365: BRQ: Online transfer requests shall transfer.
shall be able to complete an online request forbe placed in a "pending"
status. (InBRQ: The 3.06)
BRQ366: use case information shall be edited to ensure accuracy. (In
use case 3.06) The UI tax system shall validate that the EAN’s are valid
BRQ367: BRQ:
account numbers, the "to" employer is inensure thatcontributory status, the
BRQ368: BRQ: The UI tax system shall an active, the items requested
BRQ369: BRQ: on the "from" employer edits, the
for transfer existIf the request passes theaccount. report and/or payment
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:
incomplete report penalty for the year/quarter, the UIemployer information
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open
BRQ374: BRQ: The transfer, as well as the date and time the to adjust
and details about theUI tax system shall allow authorized users transfer or
remove/abate penaltiestax system user with they were assessed in error or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access
shall be able to complete an online shall validate that the EAN is a valid
BRQ376: BRQ: The UI tax system request for adjustment.
BRQ377: BRQ: and the year/quarter are valid that the
account numberThe UI tax system shall ensuredates. items requested
for adjustment exist on the employer’sthe edits, the request status shall be
BRQ378: BRQ: If the request passes account.
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall
reapply any specified account has adjustassessed aand P&I on or
BRQ380: BRQ: If the payment, or been (or abate) late report the
incomplete report penalty for the year/quarter, the an electronic transaction
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open
journal entry for The journal shall list employer information and details
BRQ382: BRQ: each request processed.
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ386: BRQ: The UI tax based shall transaction type.
BRQ387: BRQ: each transaction processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and how the transaction

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                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as           History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
the original payment UI tax system shall require users to enter the exact
BRQ389: BRQ: The was posted.
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,
shall be able to complete an online request for bepayment reversal. to
BRQ391: BRQ: Online reversal requests shall a routed via work flow
BRQ392: BRQ: The request on business rules.
an accounts examiner basedshall include as much information as the
BRQ393: can provide.
requestor BRQ: If the examiner cannot locate the payment the UI tax
BRQ394: BRQ: The examiner shall enter the reversal request with the
system shall allow the examiner to updatethe reversal transaction into the
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the
work task BRQ: The UI tax system shall have the capability of a noticeato
BRQ398: as completed and the UI tax system shall generate having
BRQ399: employer account that is to query each transaction and
suspense BRQ: Users shall be able used solely to post reportsposted to
BRQ400: BRQ: The UI tax system imaged information appropriate
the suspense account and view theshall allow users withfor that
BRQ401: BRQ: If capability of setting and maintaining still in pending
security levels thethe records (report and payment) are the runaschedule
status after two days, the UI tax system shall UI tax system shall updateto
BRQ402: BRQ: At the end of three days, the trigger a work queue task
BRQ403: and payment records with UI "suspense" EAN and release
the report BRQ: On a daily basis, the the tax system shall review the the
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the
BRQ408: BRQ: An accounts examiner shall be work the assigned
appropriate accounts examiner’s work queue to able to retrieve a work task
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also
task.
BRQ412: BRQ: The reports and payments shall be processed during the
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on
employer BRQ: Theto record the occurrence of certain actions. For control
BRQ415: accounts UI tax system shall maintain business rules to
selection of employers for inclusionshall have the capability tolist. down to
BRQ416: BRQ: The UI tax system on potential tax intercept drill
BRQ417: of the amounts system shall track pending and deposited
the detailsBRQ: The UI tax in the collections processedand posted
transactions so the collections processed and the capability to run the run
BRQ418: BRQ: The UI tax system shall allow deposited report can be
collections processed and deposited report byauthorized users the ability
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
BRQ420: BRQ: pre-defined reports.
to view and printThe UI tax system shall freeze credit accounts balances at
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have
credits and releasingUI tax system shall allow users with appropriate
BRQ422: BRQ: The credits for refund processing.
security levels the capability of setting and maintaining credit report
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
BRQ424: to the user-defined run schedule.
according BRQ: The UI tax system shall automatically route an electronic
copy of the report to accounts supervisor shall retrieve the report from
BRQ425: BRQ: The the accounts supervisor.
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the
work queue and If the examiner determines the credit is valid, the examiner
BRQ428: BRQ: review the assigned account.
shall release theAuthorized users a brief narrative about why the credit is
BRQ429: BRQ: credit and enter shall have the capability of releasing all
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of setting and maintaining the run schedule

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                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the              History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
reason forBRQ: The employer refundstub.
BRQ432: the refund on the warrant processing job shall run in ‘no
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic
BRQ434: BRQ: The refund report to the accounts supervisor.
copy of the employerUI tax system shall allow the examiner to review the
BRQ435: release all the examiner has for processing or review of of
report andBRQ: Whenof the transactions completed his/heronly somethe
report, theBRQ: The UI tax system shall run the final refund run during
BRQ436: UI tax system shall trigger the final refund job to job which
posts the refundThe refund warrantsemployer’s account and generates
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When
refund theBRQ: The UI tax system shall FMB examiner examiner to record
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
BRQ440: BRQ: The about the warrant contain functionality to allow for a
all of the information UI tax system shallshall be included in the task notes.
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI
BRQ441: be voided and a refund reversal to be recorded.
tax system shallThe UI tax system shall freeze credit balances when they
BRQ442: BRQ: turn on the invalid address flag for the mailing address
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall
employer BRQ: Theto record the occurrence of certain actions. For
BRQ445: accounts UI tax system shall allow authorized users to define
and maintain the business rules forshall contain trialdata and (e.g.,
BRQ446: BRQ: The UI tax system running the all balance transaction
BRQ447: BRQ: The UI tax the trial balance.
details required to generatesystem shall allow authorized users to define
BRQ448: BRQ: The UI tax system running the account users to (e.g.,
and maintain the business rules forshall allow authorizedsummary define
and maintain the business rules forshall allow authorized users to define
BRQ449: BRQ: The UI tax system running the daily transaction detail
and maintain the business rules delinquent contribution report shall be
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
BRQ451: to run automatically every quarter.
scheduledBRQ: The UI tax system shall have the ability to send a
notification to each Field District Supervisor when ability to assign a field
BRQ452: BRQ: The UI tax system shall have the the preliminary
code to a BRQ: employer account and tax representative based on
BRQ453: given The UI tax system shall have the ability to automatically
assign delinquent report work items to a allow authorized individuals to
BRQ454: BRQ: The UI tax system shall tax representative based on
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:
employer BRQ: Authorized users shall be able to view only and history
BRQ457: accounts declared delinquent for a given quarter the the current
notes tied BRQ: All history notes shall be see all by type of activity. in the
BRQ458: to a specific delinquency or to coded messages recorded
BRQ459: BRQ: The UI tax system shall allow an authorized user to record
BRQ460: a report delinquency assignment.
results forBRQ: The UI tax system shall automatically change the status of
the assignment when a report hasphone received, an estimated report
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
BRQ462: be noted in a history section of each employer account.
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena
cover letter fromAn authorized user shall be able to record updates to the
BRQ464: BRQ: the UI tax system.
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a
BRQ465: assignment history user shall have status from issued to
scanned document to atax system shall allow an authorized user to create
BRQ466: BRQ: The UI case assignment.
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an
BRQ468: report accounting transactions to support the approval to
employers for each approved estimated automatically update an estimated
BRQ469: BRQ: The UI tax system shall report worksheet assignment.
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
report assignment with the system of an original report as is appropriate.
BRQ471: an estimated report assignment.
to update BRQ: The UI tax system shall automatically generate a work
item to the Tax ChiefUI an original report place the original an estimated
BRQ472: BRQ: The if tax system shall is received after report in a
BRQ473: BRQ: The to be system shall disposition by authorized users
holding/staging tableUI tax reviewed andbe able to archive estimated wage
reports when they are replaced by an actual estimated wage report with

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                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and         History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
rejected, the UI tax system system shall generate notice of report wage
BRQ475: BRQ: The UI tax shall be able to archive the submitted
BRQ476: BRQ: The UI tax an estimated report has been superseded by
acceptance to employers if system shall allow an authorized user to place
BRQ477: 10-day notices for a specified allow of time.
a stop on BRQ: The UI tax system shall periodan authorized user to
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain
BRQ479: BRQ: notices.
generate 10-dayThe UI tax system shall generate 10-day notices to
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall
BRQ481: BRQ: The payment is received.
system tasks when aUI tax system shall allow an authorized user the ability
to removeBRQ: The UI placed stopshall record 10-day item. This will on
BRQ482: a previously tax system on a 10-day notice notice actions
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI
letters and documents to be generated from a pick list.initiate the lien4.07)
BRQ484: BRQ: The UI tax system shall automatically (In use case
BRQ485: BRQ: The on business shall
generation job basedUI tax system rules. place the appropriate district
BRQ486: BRQ: The signature on shall contain a lien history file/record.
supervisor electronicUI tax system the lien.
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:
establish a collectionUI tax and record the results, pertinenthistory file of
BRQ489: BRQ: The case system shall keep a collections information,
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The
BRQ491: BRQ: The UI account on demand.
generate a statement oftax system shall allow an authorized user to
generate a zero The UI tax system shall automatically default signature to
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
user initiating the actiontax system shall allow an authorized user to for
BRQ493: BRQ: The UI but also allow the user to enter another name
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks
BRQ495: BRQ: The UI tax queues
in NMDWS employee work system shall create lien-related messaging on
employer BRQ: Theto record the occurrence of certain actions
BRQ496: accounts UI tax system shall allow an authorized user to
establish a lien collection case and shall keep a lien collections history file
BRQ497: BRQ: The UI tax system record the results, pertinent
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax
generate a payment UI tax systemgiven employer account. (Inwork case
BRQ499: BRQ: The coupon for a shall automatically assign use queue
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections
assignment to the appropriate Field Tax allow an authorized user the ability
BRQ501: BRQ: The UI tax system shall Representative when a payment
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized
BRQ503: BRQ: The actions and results generate collection case
NSF collection case UI tax system shall in the UI tax system.
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall
assignments to individuals based on business an authorized user to record
BRQ505: BRQ: The UI tax system shall allow rules.
BRQ506: BRQ: collections assignment cases.
actions taken onThe UI tax system shall keep a collections history file of
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling
software for the The UI tax system shall maintain collection case status
BRQ509: BRQ: scheduling of period jobs.
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall
selection of employers for inclusionshall maintain business rules to control
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection for certain periodic extract file creation. For example, to modify a
BRQ512: BRQ: The UI tax system shall allow authorized users the annual
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                           Page 53 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand            History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
documentBRQ:the appropriate datashall allow business rules.
BRQ518: with The UI tax system based on an authorized user to enter a
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all
BRQ520: BRQ: garnishment cases.
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The
BRQ522: BRQ: The UI tax system shall a garnishment case.
to attach electronic document images to keep a history file on all
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The
BRQ526: BRQ: Collection Case assignments.
actions taken onThe UI tax system shall keep a history file on all Collection
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system
BRQ529: BRQ: The UI assignments work items authorized user to record
assign Collection Case tax system shall allow anto a tax representative
BRQ530: BRQ: clear the delinquency on the case file.
actions taken to The UI tax system shall maintain business rules to control
selection of employers for inclusionshall support uncollectible lists.
BRQ531: BRQ: The UI tax system on potential declaring an entire
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be
BRQ533: on payment tax timelines greater an 12 months
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,
BRQ535: and final payments based on place the payment entered
timelines, BRQ: The UI tax system shall specific information plan into on the
suspension if a report istax system shall allownot made. user to change
BRQ536: BRQ: The UI not filed or payment authorized
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change
BRQ538: of the payment plan.
the terms BRQ: The UI tax system shall allow an authorized user to record
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan
BRQ541: BRQ: the payment plan shall allow
documents fromThe UI tax system history file. an authorized individual to
submit a payment plan request via shall allow an self service user to
BRQ542: BRQ: The UI tax system the employer authorized portal.
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system
place an alert in The Field Tax Representative’s work queue if payment is
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work
case in the FieldThe UI tax system shall generate the Defaulted Payment
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment
Plan notice with The appropriate data based on business rules. to enter a
BRQ548: BRQ: the UI tax system shall allow an authorized user
BRQ549: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all payment
BRQ550: BRQ: Defaulted Payment Plan cases.
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers
BRQ553: electronically and submitted payments via payment coupon.
have filed BRQ: The UI tax system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ554: of account to employers with be able to deficiency meeting
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In
BRQ557: BRQ: The UI tax system shall be capable of statement to
secondary liability (predecessor debt) and generating aprinting a text the
message on theThe UI tax system shall recordcase 4.20) of statements of
BRQ558: BRQ: statement of account. (In use generation
BRQ559: BRQ: The UI tax system case 4.20)
account and keep a history. (In useshall allow an authorized user to view
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                         Page 54 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak                 History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The
BRQ562: BRQ: The UI delinquencies by quarter.
report and/or wage datatax system shall not include accounts that have
BRQ563: BRQ: The UI tax suspense indicators.
bankruptcy or uncollectible system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ564: of account to employers with be able to deficiency meeting
BRQ565: BRQ: The addresses during the capable of run.
accounts to multiple UI tax system shall bemonthly job identifying
secondary liability (predecessor debt) and generating a statementto the
BRQ566: BRQ: The UI tax system shall allow an authorized user to
generate an accountUI tax system any account, including accounts that
BRQ567: BRQ: The statement on shall present a Statement of Account
BRQ568: BRQ: The UI tax system statement an the internet.
online to an employer requesting a shall allow via authorized user to print a
BRQ569: of account from system shall self service portal.
statementBRQ: The UI tax the employer allow an authorized user to
request online printing of a system shall allow a user tostatementstatement
BRQ570: BRQ: The UI tax statement of account. The view the will be
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record
BRQ572: BRQ: The printed on the statement generation
a text message to beUI tax system shall recordof account. of a statement
of account online on UI tax system shall allow indicator alert to employer
BRQ573: BRQ: The the account history file.
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate
BRQ576: BRQ: The UI tax system shall allow an Assignments Report
a Prior Delinquent Contribution Report and Case authorized user to by
BRQ577: BRQ: The a tax system shall a priority assignment.
change the status of UIcollection case toautomatically generate a Prior
Assignments - 90 Days tax system shall initiate a work item to each District
BRQ578: BRQ: The UI Old report.
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is
BRQ579: BRQ: The them system shall allow an - 90 Days user to
BRQ580: Prior The UI tax system shall allow an a work queue.
remove a BRQ:Collection Case Assignment from authorized user to record
BRQ581: BRQ: Prior tax system shall keep a history
actions taken onThe UICollection Case assignments. file on all Prior
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.
scheduledBRQ: The UI tax system shall have the ability to automatically
BRQ583: to run automatically every quarter.
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI
establish, BRQ: The UI tax system shall allow an authorized userdata and
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability
BRQ587: a record from the Bankruptcy allow an authorized user the
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability
BRQ588: Bankruptcy tax system shall allow an authorized user
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter
bankruptcy caseThe UI taxthe system and will store the data in a
BRQ592: BRQ: data into system shall contain the data and business
rules necessary The UI tax system shall place a ability to establish a on an
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
BRQ594: account when a system shall take or stop actions
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
required on bankruptcy tax systemprescribed business rules.
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a
user to assign an interest rate for ashall include a Proof of Claim screen.
BRQ597: BRQ: The UI tax system given period of time.
BRQ598: BRQ: The UI tax system shall allow an authorized user to record
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an
BRQ600: BRQ: The file on the employer’s account for any data
the bankruptcy case UI tax system shall maintain a history for anmissing
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system
rules necessary The UI bankruptcy documents toan update bankruptcy
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
case file function.

    2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
    BRQ-BUC Functional Reqs                                                                                         Page 55 of 462                                                                    Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability        History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
to update BRQ: The UI tax system shallthe update case file function.
BRQ604: bankruptcy case file data via support the generation of
BRQ605: BRQ: The UI tax correspondence.
bankruptcy documents andsystem shall automatically update the
BRQ606: BRQ: history file when the update an authorized user function
employer’s caseThe UI tax system shall allowbankruptcy case file to record
BRQ607: BRQ: The UI tax system shall the court orders on the to control
the disposition of a bankruptcy case per maintain business rulesemployers
selection and printing oftax system shallprocessing jobs. For example,
BRQ608: BRQ: The UI certain annual allow users with adequate security
to trigger the sampleUI tax system shall allow use business rules to
BRQ609: BRQ: The prepayment job.
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security
to override zero Prepayment notices shall be bar coded with the EAN,
BRQ611: BRQ: dollar prepayment amounts.
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax
selection and printing oftax system shall allow users with adequate security
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use of business rules to
BRQ614: BRQ: The quarterly reimbursable billing job
BRQ615: BRQ: The UI tax system amounts.
calculate quarterly benefit chargingshall allow users with valid security
(e.g., the status The UI tax system shall III’s) the authority to override tax
BRQ616: BRQ: supervisor or examiner automatically trigger the
generation of appropriate employershall allow employers the option to
BRQ617: BRQ: The UI tax system notices. For example, the UI tax
select Appeals, Tax, or Board of Review when filingnumber) is corrected in
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
BRQ619: system, denial correspondence attached to notification of be
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
employer’s next The UI tax system shall maintain business rules to control
selection and printing oftax system shall allow users with adequate security
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ622: BRQ: The quarterly reimbursable billing job.
BRQ623: BRQ: Authorized claims amounts.
calculate quarterly benefit chargingpersonnel shall have authorization to
BRQ624: UI tax system.
query the BRQ: Benefit charge statements shall be bar coded with the
EAN’s, amountsRe-certification documents (940Cs) shall include an
BRQ625: BRQ: due, and due dates.
electronic BRQ: The so theysystem shall compare the employer’s liability
BRQ626: signature UI tax may be sent electronically to employers. (In
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
date spans on record totax system shall allow employers to and reject any
years individually on UIre-certification request.
BRQ628: BRQ: The a tax system shall compare the employer’s liability
date spans on record totax system shall allow re-certification requests any
BRQ629: BRQ: The UI the re-certification periods entered and reject for
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an
electronic BRQ: The so theysystem shall allow re-certification requests for
BRQ631: signature UI tax may be sent electronically to employers.
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system
annual IRS 940 The UI tax system shall allow authorized personnel toon
BRQ633: BRQ: certification tape and match employer records based
recalculate tax rates UI tax payment amounts that business rules to control
BRQ634: BRQ: The using system shall maintain have not yet posted to
BRQ635: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ636: BRQ: The annual rate job
calculate annualThe UI tax system shall allow users with adequate security
BRQ637: BRQ: rates.
to override zero The job shallamountsto be run in two modes: preliminary
BRQ638: BRQ: percent rate be able
(no update) and The preliminary job runany time. affect the prior production
BRQ639: BRQ: production (update) at shall not
employer BRQ: The job shall include variable parameters in the selection
BRQ640: selection.
process. Examples of the parameters that shall be modifiable includeSub-
BRQ641: BRQ: The run schedule shall be coordinated with the Field the
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and
BRQ643: BRQ: The UI tax that direct the employer selection for the
maintain the business rulessystem shall route work queue tasks to Field
Operations staff The UI on the field shall allow authorized(In use case 1.07,
BRQ644: BRQ: based tax system code of the account. user to initiate a
BRQ645: BRQ: The UI request.
target audit assignmenttax system shall allow an authorized user to
change a target audit assignment to approved or denied.

    2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
    BRQ-BUC Functional Reqs                                                                                          Page 56 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor          History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
informing BRQ: whenUI tax system shall allow authorized approved or the
BRQ647: them The a status change has occurred (e.g. users to view
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
BRQ649: BRQ: based on users shall be the to record actions taken on
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI
BRQ652: BRQ: Authorized users shall including record actions taken
notices, letters, forms, etc to employer be able tothe audit notification and
regarding BRQ: The UI tax system shall tax system.
BRQ653: an audit assignment in the UI allow an authorized user to modify
the status BRQ: The UI tax system(e.g. change from requested to
BRQ654: of an audit assignment shall allow for different audit statuses
BRQ655: BRQ: The UI tax system in the audit history file.
and maintain audit status changes shall allow for employer information that
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system
synchronization The UI tax system shall contain an audit program that can
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system
account changes indicated system shall allow authorizedincludeto modify
BRQ660: BRQ: The UI tax in the audit results. This will users generating
audit results for The UI tax system shall have the ability toon business
BRQ661: BRQ: various audit assignment statuses based store audit
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax
Operations staff When an employercode of theform or other use case 1.07,
BRQ664: BRQ: based on the field submits a account. (In information,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the
BRQ665: system shall automatically create work items and main record,
BRQ666: related documents and shall contain
as well asBRQ: The UI tax systemwork items. a blocked wage claim
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.
blocked wage claim has been resolved and results haveallowed to set up
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim
work item BRQ: The UI tax system shall generate a another when the
BRQ672: information from one account number to determination letter
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to
the finding of a blocked tax system shall allow anassignment user to
BRQ674: BRQ: The UI wage claim on the case authorized screen.
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the
appropriate work queuetax systempre-defined an authorized user to record
BRQ676: BRQ: The UI based on shall allow business rules.
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:
item informationThe UI taxaccount number to another when instructed by
BRQ679: BRQ: from one system shall generate a determination letter
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
and submit new The UI tax system informationan authorized update the an
appeal after the If an authorized user saves the appeal but does provided
BRQ683: BRQ: deadline (based on business rules) has passed not submit
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
BRQ686: data.
summary BRQ: The UI tax system shall return an acknowledgement form
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
message once the appeals system shall automatically assign a case
number to new appeals. (In use case 9.02)

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    BRQ-BUC Functional Reqs                                                                                         Page 57 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ689: BRQ: Work items shall contain links to the employer’s main              History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ690: the appeals case file, and shall original determination that was
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
BRQ693: BRQ: The system shall generate to next "page."
entered before allowing the user to proceedan appeals form with a bar
BRQ694: BRQ: Appeal a determination.
code and include it with requests shall be scanned and indexed to the
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
BRQ696: BRQ: The system shall be an to generate an appeal from item
request and automatically generatingableappeal case worksheet work the
for the appropriate individual based shall be able rules. update the
BRQ697: BRQ: An authorized user on business to enter
BRQ698: BRQ: The system shall additional information related to modify
appeals worksheet to include any allow an authorized user to add, the
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
BRQ700: notifying employer that automatically assign a case number to
employer BRQ: The system shall appeal has been received and requesting
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
to the appeals case file, and to the original determination that was main
record and the original determination that was track the status of the
BRQ703: BRQ: The employer shall be able to appealed.
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
determination using theon items selected, the UI tax system shall create
BRQ709: BRQ: Based correspondence component that includes the
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
BRQ713: BRQ: he UI tax system shall is read.
when an email is delivered and when it allow authorized staff to view all
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ716: account and tax system shall maintain a history of an appeal
including data on each level of appeal and links to all linking of related
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
generate correspondence using templates. The templates shallbased on
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
BRQ723: BRQ: Based on items of appeal the decision the appropriate
automatically determine the typechecked inand route it tothe UI tax system
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
record, the original determination that was appealed,related, scanned
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
letter using a templateto the decision letter shall be created within the
BRQ729: BRQ: A link that includes the following fields: original
appeals case when theon items determination istemplate the UI tax system
BRQ730: BRQ: Based letter of checked in the saved.
BRQ731: BRQ: The UI directing Tax Section to make summary
shall create work items Tax system shall generate the appropriate
accounting transactions from the Accounting Summary report.

    2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
    BRQ-BUC Functional Reqs                                                                                         Page 58 of 462                                                                    Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC27:     BUC28:       BUC29:      BUC30:      BUC31:     BUC32:      BUC33:    BUC34:    BUC35:    BUC36:      BUC37:     BUC38:    BUC39:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting             History   Individual   Quarterly   Electronic    Paper   Bulk Report   Editing   Loading   Editing   Payment   Processing    Cash     Editing
transactions that support each day’s summary journal entryactual totals for
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
each revenue type (e.g., federal clearing calculate state trust fund, revenue
BRQ735: BRQ: The bank system shall on the running actual to adjust
distributions for eachUI Taxdeposit basedallow authorized users totals for
the running, actual totals to reflect transfers out of thein the accounts to
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
and the summary accounting developed toto SHARE shall reflect that
BRQ737: BRQ: The program transactions fulfill the requirements
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
documented in NMDWSof adjusting journal entries shall reflect the shall
change ofBRQ: The UI Tax system shall breakdown the receivables
BRQ739: the accounts receivables balance since the end of the prior
balance according tosystem shall allow authorized users to locate warrants
BRQ740: BRQ: The business rules.
BRQ741: BRQ: The reconciliation process account number.
using the warrant number and/or employer shall include error handling for
BRQ742: such The system shall numbers or a warrant number already
situations BRQ: as invalid warrant allow an interface from the bank to the
UI Tax System for the redeemed warrantsthe capability to identify credits
BRQ743: BRQ: The system shall contain reconciliation process.
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
BRQ746: property.
unclaimedBRQ: The system shall generate the appropriate accounting
transactions for The system shall as unclaimed property.
BRQ747: BRQ: credits classified have the capability to allow refund
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track
account for the breakdown ofamounts shall payments and charges for to
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
an employer’s account as a payment when a benefit and journal entries
shall be generated when a prepayment is reclassified as a payment to a




    2a6a1ef3-9c8d-4c55-8737-c264013b4c9e.xls
    BRQ-BUC Functional Reqs                                                                                         Page 59 of 462                                                                    Date Printed: 7/27/2011
                                                                                         State of New Mexico - Department of Workforce Solutions
                                                                                                 UI Tax Modernization Requirements Matrix
                                                                                                         BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ1: BRQ: Employers shall be able to initiate and submit new                  Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
save the information entered, and updatebe able to register as a new
BRQ3: BRQ: Successor employers shall the registration information
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
BRQ6: BRQ: information provided in the a message window indicating the
based on the The registrant shall receive employer portal.
disposition of The registration after submitting the registration request.
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
BRQ9: when the UI tax system shall automatically information and
system BRQ: The registrant confirms the registrationassign an employer
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
based on previous answers. For example, capable of capturing multiple
BRQ12: locations UI multiple owners/partners/officers.
physical BRQ: Theand tax system shall follow FUTA guidelines for
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ15: recording UI tax system shall allow queries on all accounts with
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
of appropriate employer packets, forms, and authorized users to update
parameters that control the data extract quarterly report schedule the job.
BRQ18: BRQ: The data tape extract for job and to then generation shall
exclude employers annual preferred report generation process shall send
BRQ19: BRQ: The whose quarterly method of communication is mail.
an e-mail notificationrequest cannot be processed automatically, the
BRQ20: BRQ: If the to those employers whose preferred method of
BRQ21: BRQ: receive a system shall automatically trigger the printing
employer shall The UI taxmessage window stating the liability date span of
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
paymentBRQ: The UI tax contributory account is capability of processing
BRQ24: amount when a system shall have the converted to a
BRQ25: BRQ: excess of $1M.
total payrolls inThe change packet consists of ES 802 (application to
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
employer whenAccount reactivation requests are routed to the appropriate
BRQ35: BRQ: an account has been suspended.
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
system shall search the production databaseaccountaccount. If the
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
provide information systemthe coverage termination enter a narrative
BRQ41: BRQ: The about shall prompt the user to request based on
BRQ42: BRQ: The UI tax are terminating the a message window with
explaining the reason theysystem shall display account.
information about the disposition of the route coverage termination
BRQ43: BRQ: The UI tax system shall coverage termination request
requests to the ES Supervisor, Office Section based on business rules.

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                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change          Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
BRQ50: BRQ: The UI include notification of employer appeal rights.
automatic job run shalltax system shall contain functionality to support a
BRQ51: BRQ: The UI tax system shall produce accounts based on
batch job run to identify and terminate employeremployer termination
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
submit an account suspension request prompt employerto provide and
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
verify information about the business based onthe user to enter awhen
BRQ56: BRQ: The UI tax are terminating their account.
explaining the reason theysystem shall issue a suspension approved
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ60: BRQ: The UI tax an inactivation/suspension request.
authorized user to submit system shall generate inactivation/suspension
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
employer’s account only if shallemployerto update their profiles, save the
BRQ63: BRQ: Employers the be able has granted the vendor/agent
information entered, and update theshall dynamically prompt the user for
BRQ64: BRQ: The employer portal profile information previously entered
BRQ65: BRQ: The UI wishes to establish or rescind code of status
information if the user tax system shall assign a field powerandattorney
examiner to a registrant’s case when the employer submits theindicating
BRQ66: BRQ: The registrant shall receive a message window profile
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
BRQ68: BRQ: The UI tax confirms the updated information and requests
system until the employer system shall route profile maintenance"signs"
to the appropriate status examiner able to on businesssubmit history
BRQ69: BRQ: Employers shall be based initiate and rules.
transfer applications in theshall be able to begin the history transfer
BRQ70: BRQ: Employers employer portal.
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application
the disposition Employers shall be dynamically prompted for all of the
BRQ72: BRQ: of the application after submitting the request.
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
BRQ74: required when an employer is completing a history to
might beBRQ: The UI tax system shall prompt the employer transfer via
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
BRQ76: BRQ: The during the transfer allow employers to and one or
the employer portalUI tax system shall application process enterupdated
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.
BRQ80: BRQ: When or examiner III’s) is posted to to override total
the status supervisor a quarterly report the authoritya predecessor’s
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
transfer all of the predecessor’s history apply business rules to recalculate
BRQ83: BRQ: The UI tax system shall experience, including wages
and assign the The UI tax systemrate based on the transferred history.
BRQ84: BRQ: successor a new shall automatically inactivate the
predecessor employertax system shall automatically transfer reports
BRQ85: BRQ: The UI account.
received BRQ: the effective date ofshall transfer from the predecessor’s
BRQ86: after The UI tax system the generate transfer of history notices
(e.g. denial notice, approval notice).

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                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                      BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                    Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,
BRQ90: BRQ: Employers shall be dynamically prompted to to override
the status supervisor or examiner III’s) to have the authority enter ES 903A
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
information via The portal as part of a partial history transfer application. to
extend the timeline for receipt of report is posted to a predecessor’s and/or
BRQ92: BRQ: When a quarterly partial history transfer applications
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
account for a period ending after the effective date functionalitythe UI tax
BRQ94: and The UI partial history transfers.
to recordBRQ:process tax system shall automatically validate history
transfer application UI tax system shall display determination results for all
BRQ95: BRQ: The data or prompt a status examiner when appropriate
history transferThe UI tax system shall automatically calculate the
BRQ96: BRQ: criteria.
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
date on the successor tax systemaccount based onrelationship between the
BRQ98: BRQ: The UI employer shall establish a business rules.
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
BRQ100: BRQ: The UI tax system on transferred data and update the
predecessor employer rates based shall automatically generate internal
account transactionsUI tax system shallemployer authorizedaccount
BRQ101: BRQ: The required to adjust allow an monetary user to
BRQ102: BRQ: The UI actions based on business rules.
override history transfertax system shall allow an authorized user to record
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
(e.g., the status The UI tax system shall III’s) the authority to override out of
BRQ106: BRQ: supervisor or examiner automatically calculate an
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
of-state history transfer tax system shall generate notices for supporting
BRQ108: BRQ: The UI has been completed.
BRQ109: BRQ: The appropriate based contain functionality
documentation whenUI tax system shall on business rules. to support
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
(e.g., the status When a quarterly reportIII’s) the authority to override total
account for a period endingsystem shall prompt authorized users to initiate
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
other processesThe UI tax system shall automatically generate history
BRQ113: BRQ: required to be completed during the history transfer
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
identify potentialThe UI tax system shall have the capability to allow users
BRQ119: BRQ: cancellations.
to modify the selection criteria for the potentialthe capability to allow users
BRQ120: BRQ: The UI tax system shall have account cancellations
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
BRQ123: BRQ: inactivations/suspensions.
identify potentialThe UI tax system shall generate a potential
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the
reversal process, save the information entered, and employer toapplication
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
acknowledgement prior taxsubmitting a request for history transfer. notice
BRQ127: BRQ: The UI to system shall provide the employer with
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
BRQ129: Performance report to be run allow the user to run examiner or
Examiner BRQ: The UI tax system shall for a single individual the Individual
Status Examiner Performance report daily, weekly, monthly, quarterly,

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                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet             Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
methods surveys or an electronic link to contain document containing the
BRQ133: BRQ: The UI tax system shall a work the functionality required
to allow an authorized user system shall view results of the completed TPS
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
BRQ135: BRQ: completed TPS system review questionnaires to the
ability to upload The UI tax system shall route work queue tasks to
appropriate staffThe UI tax system shall create program area up for review.
BRQ136: BRQ: based business rules and the appropriate messaging on
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
BRQ139: BRQ: The UI on system shall automatically generate a work list
create universes based tax the annual work plan data and business rules
BRQ140: BRQ: The UI tax system shall contain the universe has been
item to the appropriate user to notify them when functionality to allow an
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete
BRQ142: BRQ: The universe and shall a new functionality and business
a previously created UI tax systemcreatecontain universe.
rules necessary The UI tax system shall generateincludes the use of the
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
populatedBRQ:data specified in theshall automatically generate a sample.
BRQ144: with The UI tax system ETA 407 Handbook for each work list
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
BRQ146: BRQ: stored tax system shall allow an authorized user to access
of electronically The UI source documents to be identified and attached to
sample worksheets andtax system shallreview an authorized user to update
BRQ147: BRQ: The UI record sample allow results.
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
BRQ150: BRQ: The UI on system shall contain data.
create universes based tax the annual work plan functionality to allow an
authorized user Theability to reviewshall allow an sample records. to delete
BRQ151: BRQ: the UI tax system and validate authorized user
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:preliminary annual report.
a request BRQ:final annual system shall contain the capability to
BRQ155: for a The UI tax report.
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ158: BRQ: The code.
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
captured during The 802tax system Registration process.
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
BRQ162: Account Number, Employer County Code, Employer Name,
Employer BRQ: The UI tax system shall allow the New Employer
Verification Report to be exported to Microsoft Multi-Establishment
BRQ163: BRQ: The UI tax system shall allow Excel.
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
BRQ167: BRQ: of the tax system shall allow determination and
as a by-product The UIannual experience rate the ES204 details report to
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
annually as well Thefor a specified date range.
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
BRQ171: BRQ: The will allow for reports to query display all non-charges
specified data which UI tax system shall track and the data’s actual state at
and allow BRQ: The UI tax system non-charges or contain an drill down to
BRQ172: users to report on these shall provide the ability to interface on
fields in the ES204 report. This drill down functionality should show the

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                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report             Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
as a by-product The UIannual experience rate the ES205 details report to
BRQ174: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
annually as well Thefor a specified date range by to andrun the report by
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
the different employer’stax system shall provide the ability to drill down on
BRQ179: BRQ: The UI legal entities.
BRQ180: BRQ: The This drill down functionality should show details report
fields in the ES205. UI tax system shall allow the receivables the
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
specified receivable type orsystemreceivable types.
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
to be run quarterly as well as for a specified date range (tochanges to
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
quarterly as wellThefor a specified date range by to all the changes to any
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
581 at any pointThe UI tax system request.
BRQ189: BRQ: 581. This drill down functionality files for: Active
fields in the ETASystem shall generate data extractshould show the
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
notice of potential work list time shall be generated and routed to the
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
BRQ197: BRQ: The UI tax state agency’s contact information (agency
modify and delete the othersystem shall allow for the processing of
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ201: BRQ: When report the Internet that the files are being
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
shall be able to submit shall be able toreportsand update information
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
required to enterData files that are uploaded shall be validated before the
BRQ207: BRQ: quarterly report summary information (ES 903A) before
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
BRQ209: BRQ: transactions.
to complete any If the user is returning to complete an incomplete quarterly
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
tax system to ensureportal shall also validate the year/quarter to ensure
BRQ213: BRQ: The the employer is a registered employer.
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance               Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
BRQ220: BRQ: The user existing employees.
and excess wages for theshall also be able to turn on/off the multi-state
employee BRQ: To add an employee, the user shall tab to the first
BRQ221: indicator.
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
BRQ223: to the next shall
continuingBRQ: Users page. not continue to the next page until the current
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
information, the Reportshall validate theshall be performed onthe detailed
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
wages as BRQ: Appropriate error messages shall be displayed to the user
BRQ226: well as bulk-loaded wages.
indicating BRQ: data elements are in error.
BRQ227: what The UI tax system shall allow the user to edit the data.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
be prompted with an acknowledgement form shall state that all the
BRQ230: BRQ: The acknowledgement form.
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
information contained in the report (orthe registration application by best
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ233: BRQ: The UI tax pending status and a unique transaction
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ234: (or file) which shall also function as the user’s report
BRQ235: BRQ: The UI tax system shall also return a customized payment
BRQ236: BRQ: The containing display a employer demographic
voucher to the portalportal shall the user’sconfirmation message providing
BRQ237: BRQ: The number and a reminder about potential penalties
a report confirmationportal shall not display complete SSNs for existingand
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
to make an electronic payment or print aallow employers tofor each report
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
quarterly reporting activitiesshall be able to begin the quarterly reporting
BRQ243: BRQ: Employers in the employer portal.
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
and wage BRQ: When payments for at least three years.
BRQ245: reports and editing corrected reports, the system shall verify
that the employer has employer shall have the option towith the same
BRQ246: BRQ: Each a quarterly report on the system data enter a report
BRQ247: BRQ: The editor upload a each report in the staging file.
directly into the portal or to shall readdata file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
number. (In use The system shall validate the account status.
BRQ249: BRQ: case 2.11)
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
report EAN is an active account or a suspended account ifon ayear/quarter
BRQ253: BRQ: The system shall verify that FEIN entered the report is
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ256: when Records discrepancy with the employer’s quarterly
BRQ257: BRQ: The accounts examiners shall run each check through a
validation BRQ: Theconversion machine.
BRQ258: and ACH ACH conversion machine shall link into a third-party
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                        Page 65 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the        Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
payment record The status of all matched payment records shall be set to
BRQ260: BRQ: in the OCR scanning processing.
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to
check shall be pulled, the NSF date shall be updated ES the payment
an employer when there is a discrepancy with the employer’swhich allows
BRQ263: BRQ: The UI tax system shall contain functionality quarterly
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic
an accounts examiner to validate the format ofan authorized individual to
BRQ265: BRQ: Files shall media based magnetic media to
correct errors on magnetic load from the on business rules. the staging
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall
BRQ267: BRQ: The UI for editing shall not limit the number of batches
maintain business rulestax system payments, reports, and adjustments.
that may be processed tax system shall e-mail an adjustment notification
BRQ268: BRQ: The UI in a 24-hour period.
BRQ269: BRQ: The UI tax system shall discrepancy account associated
(ES 542) to an employer when there is averify that thewith the employer’s
BRQ270: BRQ: is an active account or verify that the employer does
with report EAN The UI tax system shalla suspended account if the not
have a quarterlyIf an employerUI tax system with the same year/quarter as
BRQ271: BRQ: report on the submits an electronic tax return or
BRQ272: the UI tax system is new, the any subsequent correspondence
payment, BRQ: If the report shall deliverUI tax system shall post the
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ273: report and employee is data to as employer’s employee,
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s
UI tax system shall generateis corrected, the UI tax system shall post the
BRQ275: BRQ: The UI tax system shall generate the employer’s account.
updated summary report and wages report data toan electronic transaction
journal entry for The journal shall list employer information, status (new or
BRQ276: BRQ: each report processed.
corrected BRQ: The journal (ES 903A) data as information, status (new or
BRQ277: report), summary shall list employer reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment
BRQ278: report), summary (ES 903A) data as reported, and cumulative
BRQ279: BRQ: employer users shall have the capability to run
notification to anAuthorized when there is a discrepancy with the this
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The
BRQ283: contribution reports on the UI tax system.
employer BRQ: For each report, the edit process shall compute report
totals for total wages, taxable wages, excess wages,computed amount due
BRQ284: BRQ: The edit process shall compare the and total totals to the
summary BRQ: If the on thedetail does not balance to the report summary,
BRQ285: report total wage report.
the UI tax BRQ: The edit process shall generate for electronic edit report
BRQ286: system shall route a work queue task an an accounts examiner
entry for each out of report shall list identified. information, summary data
BRQ287: BRQ: The balance report employer
BRQ288: BRQ: The UI tax system the accept the as posted, the date
as posted, the cumulative totals forshallwage detail following account and
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
payment types: contributory accounts (regular users to make payments
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,
BRQ291: BRQ: If and payment method information to the UI tax system.
payment amount, an employer has monetary delinquencies, prompt the
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments
for one or BRQ: Payments made with a credit or debit card shall be for
BRQ293: multiple quarters, or payments for one or more employers
processed immediately, while bank account debits may take up tomain
BRQ294: BRQ: The user shall select "Make a Payment" from the three
BRQ295: BRQ: If the user entered payment type from the sub-menus this
menu then select account type anda quarterly report prior to beginning to
transaction, the The portal shall validate employer’s EAN and FEIN; the UI
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ298: BRQ: If the payment.
the user to designate the payment to be automatically applied tothe portal
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
shall also BRQ: The portal shall retrieve and display the employer’s owes
BRQ300: validate the year/quarter(s) and determine if the employer
account balanceThe user shall be prompted well asthe amount owed in full
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                     Page 66 of 462                                                                        Date Printed: 7/27/2011
                                                                                         State of New Mexico - Department of Workforce Solutions
                                                                                                 UI Tax Modernization Requirements Matrix
                                                                                                         BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.          Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
BRQ303: BRQ: The portal shall prompt the user to enter the payment
BRQ304: BRQ: The user’s responses shall be edited based on the
method and prompt the user for additional informationbefore submittal.
BRQ305: BRQ: The portal shall submit the payment information to the
BRQ306: payment payment and to the be updated with
third-partyBRQ: The processorrecord shallUI tax system. the unique
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:
BRQ308: BRQ: UI tax system shall assign payment received date,
confirmation number and documenting the a unique transaction ID to the
BRQ309: BRQ: The also function as be user’s from the confirmation
payment which shall check data shall the loaded payment OCR interpreter
BRQ310: BRQ: For the UI tax system using the EAN (and review the
into a staging file oneach payment in the queue, Staff shall FEIN) if
BRQ311: the check and enclosure to resolve the issues with the check
images of BRQ: The UI tax system shall contain functionality to allow an
authorized user The UI taxfor the employer on an examiner to update the
BRQ312: BRQ: to search system shall allow the UI tax system using the
BRQ313: BRQ: and release the payment for processing.
payment record The UI tax system shall contain functionality to allow an
authorized user The UI tax system shall contain functionality to allow an
BRQ314: BRQ: to record when a payment received is cash.
authorized user The editor shall read each payment with the cash staging
BRQ315: BRQ: to record a deposit date associated record in the
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged
check. BRQ: The editor shall verify that the check is payable to
BRQ317:
NMDWS or some variationshall validate the account status (active or
BRQ318: BRQ: The editor of the name.
BRQ319: BRQ: The editor rules).
suspended - see business shall validate that the year/quarter are valid
dates andBRQ: If all edits are passed, thefor that year/quarter. be
BRQ320: that the employer owes money payment record shall
released for processing; otherwise,shall verify a pending status until all
BRQ321: BRQ: The UI tax system it stays in that the account associated
BRQ322: BRQ: is an editing new reports, the UI tax system if the
with report EAN Whenactive account or a suspended account shall verify
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
that the employer does tax system quarterly report on the UI tax system          X
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI                                                              X
how to post the transaction system on thegenerate an electronic transaction
BRQ325: BRQ: The UI tax based shall payment type and how to                      X
journal entry for The journal shall list employer information, the
BRQ326: BRQ: each payment processed.                                             X
year/quarter, monetary transaction information, and howsystem shall was
BRQ327: BRQ: As each report is processed, the UI tax the payment                 X
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers                                                                     X
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the                           X
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the                     X
BRQ331: BRQ: The UI tax included).
imaged report and check (ifsystem shall verify that the check is payable to                X
BRQ332: BRQ: The UI tax of the name.
NMDWS or some variation system shall validate that the EAN is a valid                      X
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active                   X
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for                       X
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.                 X
BRQ336: BRQ: The editor shall validate that the year/quarter are valid                     X
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify                      X
that the employer does tax system quarterly reportan ES 542 tax system to
BRQ338: BRQ: The UI not have a shall generate on the UI notification                       X
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
an employer when there is a discrepancy with the itemized deposit reports                             X
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report                                                                               X
interpreterBRQ:an amended returns staging file on the UI tax system using
BRQ341: into Payment information shall be captured separately from the                                X
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
report information and placed in an amended returns payment data                                      X
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.                                                                        X
BRQ344: and ACH machine shall link into
validation BRQ: Thisconversion machine. a third-party service that                                    X
validates the check, the issuer, and the available balance before creating a

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    BRQ-BUC Functional Reqs                                                                                    Page 67 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the        Posting    Filing      X
                                                                                                    Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the                                                          X
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the                                                                   X
BRQ348: BRQ: The status the credit transaction.
with the transaction date of of all matched payment records shall be set to                            X
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check                                                                              X
BRQ350: BRQ: An accounts examiner shall updated on the payment
check shall be pulled, the NSF date shall be retrieve an out of balance                                           X
BRQ351: from The UI queue.
work task BRQ:the worktax system shall contain functionality allowing the                                         X
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow                                       X
for the examinerThe UI tax system shall allow anto employer user to
BRQ353: BRQ: to make necessary corrections authorized quarterly                                                   X
generate a request for information when allow users with appropriate
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.                                                             X
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate                                                           X
security levels the capability of entering a recordaselection date by the for
BRQ356: BRQ: The UI tax system shall run (on schedule set range                                                             X
BRQ357: electronic UI tax system shall create incomplete report penalty
users) an BRQ: The report of outstanding discrepancy notices based on                                                       X
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The                                                            X
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,                                                                                       X
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned                                                  X                                                        X                        X
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an                                                      X
BRQ362: BRQ: to access system shall allow attached to an employer
authorized user The UI taximaged documents an authorized user to                                                            X
remove an incomplete report penalty from an released for processing shall
BRQ363: BRQ: Transactions that have been employer account.                                                                  X
BRQ364: BRQ: Any the next monetary with appropriate security
be processed during UI tax system user transaction posting run. access                                                                  X
shall be able to complete an online request forbe placed in a "pending"
BRQ365: BRQ: Online transfer requests shall transfer.                                                                                   X           X
BRQ366: use case information shall be edited to ensure accuracy. (In
status. (InBRQ: The 3.06)                                                                                                               X           X
BRQ367: BRQ:
use case 3.06) The UI tax system shall validate that the EAN’s are valid                                                                X
account numbers, the "to" employer is inensure thatcontributory status, the
BRQ368: BRQ: The UI tax system shall an active, the items requested                                                                     X
BRQ369: BRQ: on the "from" employer edits, the
for transfer existIf the request passes theaccount. report and/or payment                                                               X
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer                                                                                           X
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both                                                                      X
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:                                                                                                                                 X
incomplete report penalty for the year/quarter, the UIemployer information
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open                                                               X
and details about theUI tax system shall allow authorized users transfer or
BRQ374: BRQ: The transfer, as well as the date and time the to adjust                                                                               X
remove/abate penaltiestax system user with they were assessed in error or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access                                                                               X
BRQ376: BRQ: The UI tax system request for adjustment.
shall be able to complete an online shall validate that the EAN is a valid                                                                          X
account numberThe UI tax system shall ensuredates. items requested
BRQ377: BRQ: and the year/quarter are valid that the                                                                                                X
BRQ378: BRQ: If the request passes account.
for adjustment exist on the employer’sthe edits, the request status shall be                                                                        X
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall                                                                                                                X
BRQ380: BRQ: If the payment, or been (or abate) late report the
reapply any specified account has adjustassessed aand P&I on or                                                                                     X
incomplete report penalty for the year/quarter, the an electronic transaction
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open                                                                              X
BRQ382: BRQ: each request processed.
journal entry for The journal shall list employer information and details                                                                           X
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system                                                                               X
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system                                                                                                                                  X
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI                                                                                                                                             X
BRQ386: BRQ: The UI tax based shall transaction type.
how to post the transaction system on thegenerate an electronic transaction                                                                                     X
journal entry for The journal shall list employer information, the
BRQ387: BRQ: each transaction processed.                                                                                                                        X
year/quarter, monetary transaction information, and how the transaction

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    BRQ-BUC Functional Reqs                                                                                     Page 68 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as           Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting      X
                                                                                                                                                                        Payment   Daily Due   Collections   Review   Employer
BRQ389: BRQ: The was posted.
the original payment UI tax system shall require users to enter the exact                                                                                                  X
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,                                                                                                       X
BRQ391: BRQ: Online reversal requests shall a routed via work flow
shall be able to complete an online request for bepayment reversal. to                                                                                                     X
BRQ392: BRQ: The request on business rules.
an accounts examiner basedshall include as much information as the                                                                                                         X
requestor BRQ: If the examiner cannot locate the payment the UI tax
BRQ393: can provide.                                                                                                                                                       X
system shall allow the examiner to updatethe reversal transaction into the
BRQ394: BRQ: The examiner shall enter the reversal request with the                                                                                                        X
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:                                                                                                                                                               X
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the                                                                                                                                                      X
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the                                                                                                       X
work task BRQ: The UI tax system shall have the capability of a noticeato
BRQ398: as completed and the UI tax system shall generate having                                                                                                                     X
BRQ399: employer account that is to query each transaction and
suspense BRQ: Users shall be able used solely to post reportsposted to                                                                                                               X
BRQ400: BRQ: The UI tax system imaged information appropriate
the suspense account and view theshall allow users withfor that                                                                                                                      X
security levels thethe records (report and payment) are the runaschedule
BRQ401: BRQ: If capability of setting and maintaining still in pending                                                                                                               X
BRQ402: BRQ: At the end of three days, the trigger a work queue task
status after two days, the UI tax system shall UI tax system shall updateto                                                                                                          X
the report BRQ: On a daily basis, the the tax system shall review the the
BRQ403: and payment records with UI "suspense" EAN and release                                                                                                                       X
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,                                                                                                                                                X
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts                                                                                                              X
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make                                                                                                                                               X
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the                                                                                                                        X                        X
BRQ408: BRQ: An accounts examiner shall be work the assigned
appropriate accounts examiner’s work queue to able to retrieve a work task                                                                                                           X
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.                                                                                                                    X
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the                                                                                                               X
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also                                                                                                                                                 X
task.
BRQ412: BRQ: The reports and payments shall be processed during the                                                                                                                  X
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall                                                                                                                                                 X
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on                                                                                                                   X
BRQ415: accounts UI tax system shall maintain business rules to
employer BRQ: Theto record the occurrence of certain actions. For control                                                                                                                         X
BRQ416: BRQ: The UI tax system on potential tax intercept drill
selection of employers for inclusionshall have the capability tolist. down to                                                                                                                     X
BRQ417: of the amounts system shall track pending and deposited
the detailsBRQ: The UI tax in the collections processedand posted                                                                                                                                 X
transactions so the collections processed and the capability to run the run
BRQ418: BRQ: The UI tax system shall allow deposited report can be                                                                                                                                X
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
collections processed and deposited report byauthorized users the ability                                                                                                                         X
BRQ420: BRQ: pre-defined reports.
to view and printThe UI tax system shall freeze credit accounts balances at                                                                                                                                   X
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have                                                                                                                                                                      X
BRQ422: BRQ: The credits for refund processing.
credits and releasingUI tax system shall allow users with appropriate                                                                                                                                         X
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
security levels the capability of setting and maintaining credit report                                                                                                                                       X
according BRQ: The UI tax system shall automatically route an electronic
BRQ424: to the user-defined run schedule.                                                                                                                                                                     X
copy of the report to accounts supervisor shall retrieve the report from
BRQ425: BRQ: The the accounts supervisor.                                                                                                                                                                     X
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make                                                                                                                                                                        X
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the                                                                                                                                         X
BRQ428: BRQ: review the assigned account.
work queue and If the examiner determines the credit is valid, the examiner                                                                                                                                   X
shall release theAuthorized users a brief narrative about why the credit is
BRQ429: BRQ: credit and enter shall have the capability of releasing all                                                                                                                                                 X
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate                                                                                                                                                        X
security levels the capability of setting and maintaining the run schedule

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    BRQ-BUC Functional Reqs                                                                                     Page 69 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the              Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review      X
                                                                                                                                                                                                                      Employer
BRQ432: the refund on the warrant processing job shall run in ‘no
reason forBRQ: The employer refundstub.                                                                                                                                                                                  X
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic                                                                                                                                                   X
copy of the employerUI tax system shall allow the examiner to review the
BRQ434: BRQ: The refund report to the accounts supervisor.                                                                                                                                                               X
report andBRQ: Whenof the transactions completed his/heronly somethe
BRQ435: release all the examiner has for processing or review of of                                                                                                                                                      X
BRQ436: UI tax system shall trigger the final refund job to job which
report, theBRQ: The UI tax system shall run the final refund run during                                                                                                                                                  X
posts the refundThe refund warrantsemployer’s account and generates
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts                                                                                                                                                   X
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When
refund theBRQ: The UI tax system shall FMB examiner examiner to record
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
BRQ440: BRQ: The about the warrant contain functionality to allow for a
all of the information UI tax system shallshall be included in the task notes.
BRQ441: be voided and a refund reversal to be recorded.
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI
tax system shallThe UI tax system shall freeze credit balances when they
BRQ442: BRQ: turn on the invalid address flag for the mailing address
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall
BRQ445: accounts UI tax system shall allow authorized users to define
employer BRQ: Theto record the occurrence of certain actions. For
and maintain the business rules forshall contain trialdata and (e.g.,
BRQ446: BRQ: The UI tax system running the all balance transaction
details required to generatesystem shall allow authorized users to define
BRQ447: BRQ: The UI tax the trial balance.
BRQ448: BRQ: The UI tax system running the account users to (e.g.,
and maintain the business rules forshall allow authorizedsummary define
BRQ449: BRQ: The UI tax system running the daily transaction detail
and maintain the business rules forshall allow authorized users to define
and maintain the business rules delinquent contribution report shall be
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
scheduledBRQ: The UI tax system shall have the ability to send a
BRQ451: to run automatically every quarter.
notification to each Field District Supervisor when ability to assign a field
BRQ452: BRQ: The UI tax system shall have the the preliminary
code to a BRQ: employer account and tax representative based on
BRQ453: given The UI tax system shall have the ability to automatically
BRQ454: BRQ: The UI tax system shall tax representative based on
assign delinquent report work items to a allow authorized individuals to
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:
BRQ457: accounts declared delinquent for a given quarter the the current
employer BRQ: Authorized users shall be able to view only and history
notes tied BRQ: All history notes shall be see all by type of activity. in the
BRQ458: to a specific delinquency or to coded messages recorded
BRQ459: BRQ: The UI tax system shall allow an authorized user to record
results forBRQ: The UI tax system shall automatically change the status of
BRQ460: a report delinquency assignment.
the assignment when a report hasphone received, an estimated report
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
BRQ462: be noted in a history section of each employer account.
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena
BRQ464: BRQ: the UI tax system.
cover letter fromAn authorized user shall be able to record updates to the
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a
BRQ465: assignment history user shall have status from issued to
scanned document to atax system shall allow an authorized user to create
BRQ466: BRQ: The UI case assignment.
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate
BRQ468: report accounting transactions to support the approval to
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an
employers for each approved estimated automatically update an estimated
BRQ469: BRQ: The UI tax system shall report worksheet assignment.
report assignment with the system of an original report as is appropriate.
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
to update BRQ: The UI tax system shall automatically generate a work
BRQ471: an estimated report assignment.
item to the Tax ChiefUI an original report place the original an estimated
BRQ472: BRQ: The if tax system shall is received after report in a
holding/staging tableUI tax reviewed andbe able to archive estimated wage
BRQ473: BRQ: The to be system shall disposition by authorized users
reports when they are replaced by an actual estimated wage report with

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    BRQ-BUC Functional Reqs                                                                                      Page 70 of 462                                                                        Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and         Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
rejected, the UI tax system system shall generate notice of report wage
BRQ475: BRQ: The UI tax shall be able to archive the submitted
BRQ476: BRQ: The UI tax an estimated report has been superseded by
acceptance to employers if system shall allow an authorized user to place
a stop on BRQ: The UI tax system shall periodan authorized user to
BRQ477: 10-day notices for a specified allow of time.
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain
BRQ479: BRQ: notices.
generate 10-dayThe UI tax system shall generate 10-day notices to
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall
system tasks when aUI tax system shall allow an authorized user the ability
BRQ481: BRQ: The payment is received.
to removeBRQ: The UI placed stopshall record 10-day item. This will on
BRQ482: a previously tax system on a 10-day notice notice actions
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI
letters and documents to be generated from a pick list.initiate the lien4.07)
BRQ484: BRQ: The UI tax system shall automatically (In use case
generation job basedUI tax system rules. place the appropriate district
BRQ485: BRQ: The on business shall
supervisor electronicUI tax system the lien.
BRQ486: BRQ: The signature on shall contain a lien history file/record.
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:
BRQ489: BRQ: The case system shall keep a collections information,
establish a collectionUI tax and record the results, pertinenthistory file of
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The
generate a statement oftax system shall allow an authorized user to
BRQ491: BRQ: The UI account on demand.
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
generate a zero The UI tax system shall automatically default signature to
user initiating the actiontax system shall allow an authorized user to for
BRQ493: BRQ: The UI but also allow the user to enter another name
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks
BRQ495: BRQ: The UI tax queues
in NMDWS employee work system shall create lien-related messaging on
employer BRQ: Theto record the occurrence of certain actions
BRQ496: accounts UI tax system shall allow an authorized user to
establish a lien collection case and shall keep a lien collections history file
BRQ497: BRQ: The UI tax system record the results, pertinent
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax
generate a payment UI tax systemgiven employer account. (Inwork case
BRQ499: BRQ: The coupon for a shall automatically assign use queue
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections
assignment to the appropriate Field Tax allow an authorized user the ability
BRQ501: BRQ: The UI tax system shall Representative when a payment
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized
BRQ503: BRQ: The actions and results generate collection case
NSF collection case UI tax system shall in the UI tax system.
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall
assignments to individuals based on business an authorized user to record
BRQ505: BRQ: The UI tax system shall allow rules.
BRQ506: BRQ: collections assignment cases.
actions taken onThe UI tax system shall keep a collections history file of
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling
software for the The UI tax system shall maintain collection case status
BRQ509: BRQ: scheduling of period jobs.
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall
selection of employers for inclusionshall maintain business rules to control
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection for certain periodic extract file creation. For example, to modify a
BRQ512: BRQ: The UI tax system shall allow authorized users the annual
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                       Page 71 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand            Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
documentBRQ:the appropriate datashall allow business rules.
BRQ518: with The UI tax system based on an authorized user to enter a
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
BRQ520: BRQ: garnishment cases.
actions taken onThe UI tax system shall keep a history file on all
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The
to attach electronic document images to keep a history file on all
BRQ522: BRQ: The UI tax system shall a garnishment case.
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The
BRQ526: BRQ: Collection Case assignments.
actions taken onThe UI tax system shall keep a history file on all Collection
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system
BRQ529: BRQ: The UI assignments work items authorized user to record
assign Collection Case tax system shall allow anto a tax representative
actions taken to The UI tax system shall maintain business rules to control
BRQ530: BRQ: clear the delinquency on the case file.
BRQ531: BRQ: The UI tax system on potential declaring an entire
selection of employers for inclusionshall support uncollectible lists.
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be
BRQ533: on payment tax timelines greater an 12 months
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,
timelines, BRQ: The UI tax system shall specific information plan into on the
BRQ535: and final payments based on place the payment entered
suspension if a report istax system shall allownot made. user to change
BRQ536: BRQ: The UI not filed or payment authorized
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change
the terms BRQ: The UI tax system shall allow an authorized user to record
BRQ538: of the payment plan.
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan
BRQ541: BRQ: the payment plan shall allow
documents fromThe UI tax system history file. an authorized individual to
submit a payment plan request via shall allow an self service user to
BRQ542: BRQ: The UI tax system the employer authorized portal.
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system
place an alert in The Field Tax Representative’s work queue if payment is
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work
case in the FieldThe UI tax system shall generate the Defaulted Payment
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment
Plan notice with The appropriate data based on business rules. to enter a
BRQ548: BRQ: the UI tax system shall allow an authorized user
BRQ549: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all payment
BRQ550: BRQ: Defaulted Payment Plan cases.
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers
BRQ553: electronically and submitted payments via payment coupon.
have filed BRQ: The UI tax system shall automatically generate a
BRQ554: of account to employers with be able to deficiency meeting
statementBRQ: The UI tax system shall a monetarygenerate statement of
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In
secondary liability (predecessor debt) and generating aprinting a text the
BRQ557: BRQ: The UI tax system shall be capable of statement to
BRQ558: BRQ: statement of account. (In use generation
message on theThe UI tax system shall recordcase 4.20) of statements of
account and keep a history. (In useshall allow an authorized user to view
BRQ559: BRQ: The UI tax system case 4.20)
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                     Page 72 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak                 Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The
BRQ562: BRQ: The UI delinquencies by quarter.
report and/or wage datatax system shall not include accounts that have
bankruptcy or uncollectible system shall automatically generate a
BRQ563: BRQ: The UI tax suspense indicators.
BRQ564: of account to employers with be able to deficiency meeting
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ565: BRQ: The addresses during the capable of run.
accounts to multiple UI tax system shall bemonthly job identifying
secondary liability (predecessor debt) and generating a statementto the
BRQ566: BRQ: The UI tax system shall allow an authorized user to
BRQ567: BRQ: The statement on shall present a Statement of Account
generate an accountUI tax system any account, including accounts that
online to an employer requesting a shall allow via authorized user to print a
BRQ568: BRQ: The UI tax system statement an the internet.
statementBRQ: The UI tax the employer allow an authorized user to
BRQ569: of account from system shall self service portal.
BRQ570: BRQ: The UI tax statement of account. The view the will be
request online printing of a system shall allow a user tostatementstatement
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record
a text message to beUI tax system shall recordof account. of a statement
BRQ572: BRQ: The printed on the statement generation
BRQ573: BRQ: The the account history file.
of account online on UI tax system shall allow indicator alert to employer
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate
BRQ576: BRQ: The UI tax system shall allow an Assignments Report
a Prior Delinquent Contribution Report and Case authorized user to by
change the status of UIcollection case toautomatically generate a Prior
BRQ577: BRQ: The a tax system shall a priority assignment.
Assignments - 90 Days tax system shall initiate a work item to each District
BRQ578: BRQ: The UI Old report.
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is
BRQ579: BRQ: The them system shall allow an - 90 Days user to
BRQ580: Prior The UI tax system shall allow an a work queue.
remove a BRQ:Collection Case Assignment from authorized user to record
actions taken onThe UICollection Case assignments. file on all Prior
BRQ581: BRQ: Prior tax system shall keep a history
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.
scheduledBRQ: The UI tax system shall have the ability to automatically
BRQ583: to run automatically every quarter.
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI
establish, BRQ: The UI tax system shall allow an authorized userdata and
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability
BRQ587: a record from the Bankruptcy allow an authorized user the
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability
BRQ588: Bankruptcy tax system shall allow an authorized user
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter
bankruptcy caseThe UI taxthe system and will store the data in a
BRQ592: BRQ: data into system shall contain the data and business
rules necessary The UI tax system shall place a ability to establish a on an
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
BRQ594: account when a system shall take or stop actions
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
required on bankruptcy tax systemprescribed business rules.
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a
user to assign an interest rate for ashall include a Proof of Claim screen.
BRQ597: BRQ: The UI tax system given period of time.
BRQ598: BRQ: The UI tax system shall allow an authorized user to record
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an
BRQ600: BRQ: The file on the employer’s account for any data
the bankruptcy case UI tax system shall maintain a history for anmissing
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
rules necessary The UI bankruptcy documents toan update bankruptcy
case file function.

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    BRQ-BUC Functional Reqs                                                                                     Page 73 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability        Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
to update BRQ: The UI tax system shallthe update case file function.
BRQ604: bankruptcy case file data via support the generation of
BRQ605: BRQ: The UI tax correspondence.
bankruptcy documents andsystem shall automatically update the
BRQ606: BRQ: history file when the update an authorized user function
employer’s caseThe UI tax system shall allowbankruptcy case file to record
the disposition of a bankruptcy case per maintain business rulesemployers
BRQ607: BRQ: The UI tax system shall the court orders on the to control
BRQ608: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
BRQ609: BRQ: The prepayment job.
to trigger the sampleUI tax system shall allow use business rules to
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security
BRQ611: BRQ: dollar prepayment amounts.
to override zero Prepayment notices shall be bar coded with the EAN,
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,
selection and printing oftax system shall allow users with adequate security
BRQ614: BRQ: The quarterly reimbursable billing job
to trigger the sampleUI tax system shall allow use of business rules to
calculate quarterly benefit chargingshall allow users with valid security
BRQ615: BRQ: The UI tax system amounts.
BRQ616: BRQ: supervisor or examiner automatically trigger the
(e.g., the status The UI tax system shall III’s) the authority to override tax
generation of appropriate employershall allow employers the option to
BRQ617: BRQ: The UI tax system notices. For example, the UI tax
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
select Appeals, Tax, or Board of Review when filingnumber) is corrected in
BRQ619: system, denial correspondence attached to notification of be
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
employer’s next The UI tax system shall maintain business rules to control
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
selection and printing oftax system shall allow users with adequate security
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ622: BRQ: The quarterly reimbursable billing job.
BRQ623: BRQ: Authorized claims amounts.
calculate quarterly benefit chargingpersonnel shall have authorization to
query the BRQ: Benefit charge statements shall be bar coded with the
BRQ624: UI tax system.
EAN’s, amountsRe-certification documents (940Cs) shall include an
BRQ625: BRQ: due, and due dates.
electronic BRQ: The so theysystem shall compare the employer’s liability
BRQ626: signature UI tax may be sent electronically to employers. (In
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
date spans on record totax system shall allow employers to and reject any
years individually on UIre-certification request.
BRQ628: BRQ: The a tax system shall compare the employer’s liability
date spans on record totax system shall allow re-certification requests any
BRQ629: BRQ: The UI the re-certification periods entered and reject for
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an
electronic BRQ: The so theysystem shall allow re-certification requests for
BRQ631: signature UI tax may be sent electronically to employers.
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system
BRQ633: BRQ: certification tape and match employer records based
annual IRS 940 The UI tax system shall allow authorized personnel toon
recalculate tax rates UI tax payment amounts that business rules to control
BRQ634: BRQ: The using system shall maintain have not yet posted to
BRQ635: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ636: BRQ: The annual rate job
calculate annualThe UI tax system shall allow users with adequate security
BRQ637: BRQ: rates.
to override zero The job shallamountsto be run in two modes: preliminary
BRQ638: BRQ: percent rate be able
BRQ639: BRQ: production (update) at shall not
(no update) and The preliminary job runany time. affect the prior production
employer BRQ: The job shall include variable parameters in the selection
BRQ640: selection.
process. Examples of the parameters that shall be modifiable includeSub-
BRQ641: BRQ: The run schedule shall be coordinated with the Field the
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and
maintain the business rulessystem shall route work queue tasks to Field
BRQ643: BRQ: The UI tax that direct the employer selection for the
Operations staff The UI on the field shall allow authorized(In use case 1.07,
BRQ644: BRQ: based tax system code of the account. user to initiate a
target audit assignmenttax system shall allow an authorized user to
BRQ645: BRQ: The UI request.
change a target audit assignment to approved or denied.

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    BRQ-BUC Functional Reqs                                                                                      Page 74 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor          Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
informing BRQ: whenUI tax system shall allow authorized approved or the
BRQ647: them The a status change has occurred (e.g. users to view
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route
BRQ649: BRQ: based on users shall be the to record actions taken on
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI
BRQ652: BRQ: Authorized users shall including record actions taken
notices, letters, forms, etc to employer be able tothe audit notification and
BRQ653: an audit assignment in the UI allow an authorized user to modify
regarding BRQ: The UI tax system shall tax system.
BRQ654: of an audit assignment shall allow for different audit statuses
the status BRQ: The UI tax system(e.g. change from requested to
and maintain audit status changes shall allow for employer information that
BRQ655: BRQ: The UI tax system in the audit history file.
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
synchronization The UI tax system shall contain an audit program that can
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system
account changes indicated system shall allow authorizedincludeto modify
BRQ660: BRQ: The UI tax in the audit results. This will users generating
BRQ661: BRQ: various audit assignment statuses based store audit
audit results for The UI tax system shall have the ability toon business
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax
Operations staff When an employercode of theform or other use case 1.07,
BRQ664: BRQ: based on the field submits a account. (In information,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the
BRQ665: system shall automatically create work items and main record,
BRQ666: related documents and shall contain
as well asBRQ: The UI tax systemwork items. a blocked wage claim
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.
blocked wage claim has been resolved and results haveallowed to set up
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim
work item BRQ: The UI tax system shall generate a another when the
BRQ672: information from one account number to determination letter
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to
the finding of a blocked tax system shall allow anassignment user to
BRQ674: BRQ: The UI wage claim on the case authorized screen.
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the
BRQ676: BRQ: The UI based on shall allow business rules.
appropriate work queuetax systempre-defined an authorized user to record
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:
item informationThe UI taxaccount number to another when instructed by
BRQ679: BRQ: from one system shall generate a determination letter
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
and submit new The UI tax system informationan authorized update the an
BRQ683: BRQ: deadline (based on business rules) has passed not submit
appeal after the If an authorized user saves the appeal but does provided
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
summary BRQ: The UI tax system shall return an acknowledgement form
BRQ686: data.
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
message once the appeals system shall automatically assign a case
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
number to new appeals. (In use case 9.02)

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                                                                                          State of New Mexico - Department of Workforce Solutions
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                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ689: BRQ: Work items shall contain links to the employer’s main              Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ690: the appeals case file, and shall original determination that was
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
BRQ693: BRQ: The system shall generate to next "page."
entered before allowing the user to proceedan appeals form with a bar
code and include it with requests shall be scanned and indexed to the
BRQ694: BRQ: Appeal a determination.
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
BRQ696: BRQ: The system shall be an to generate an appeal from item
request and automatically generatingableappeal case worksheet work the
BRQ697: BRQ: An authorized user on business to enter
for the appropriate individual based shall be able rules. update the
BRQ698: BRQ: The system shall additional information related to modify
appeals worksheet to include any allow an authorized user to add, the
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
BRQ700: notifying employer that automatically assign a case number to
employer BRQ: The system shall appeal has been received and requesting
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
to the appeals case file, and to the original determination that was main
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
BRQ703: BRQ: The employer shall be able to appealed.
record and the original determination that was track the status of the
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
BRQ709: BRQ: Based correspondence component that includes the
determination using theon items selected, the UI tax system shall create
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
BRQ713: BRQ: he UI tax system shall is read.
when an email is delivered and when it allow authorized staff to view all
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ716: account and tax system shall maintain a history of an appeal
including data on each level of appeal and links to all linking of related
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
generate correspondence using templates. The templates shallbased on
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
BRQ723: BRQ: Based on items of appeal the decision the appropriate
automatically determine the typechecked inand route it tothe UI tax system
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
record, the original determination that was appealed,related, scanned
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
letter using a templateto the decision letter shall be created within the
BRQ729: BRQ: A link that includes the following fields: original
appeals case when theon items determination istemplate the UI tax system
BRQ730: BRQ: Based letter of checked in the saved.
shall create work items Tax system shall generate the appropriate
BRQ731: BRQ: The UI directing Tax Section to make summary
accounting transactions from the Accounting Summary report.

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    BRQ-BUC Functional Reqs                                                                                     Page 76 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC40:    BUC41:     BUC42:     BUC43:    BUC44:      BUC45:      BUC46:      BUC47:    BUC48:     BUC49:      BUC50:       BUC51:    BUC52:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting             Posting    Filing   Employer   Employer   Working   Reports adn Reports and   Posting   Payment   Daily Due   Collections   Review   Employer
transactions that support each day’s summary journal entryactual totals for
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
each revenue type (e.g., federal clearing calculate state trust fund, revenue
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
distributions for eachUI Taxdeposit basedallow authorized users totals for
BRQ735: BRQ: The bank system shall on the running actual to adjust
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
the running, actual totals to reflect transfers out of thein the accounts to
and the summary accounting developed toto SHARE shall reflect that
BRQ737: BRQ: The program transactions fulfill the requirements
documented in NMDWSof adjusting journal entries shall reflect the shall
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
BRQ739: the accounts receivables balance since the end of the prior
change ofBRQ: The UI Tax system shall breakdown the receivables
balance according tosystem shall allow authorized users to locate warrants
BRQ740: BRQ: The business rules.
using the warrant number and/or employer shall include error handling for
BRQ741: BRQ: The reconciliation process account number.
BRQ742: such The system shall numbers or a warrant number already
situations BRQ: as invalid warrant allow an interface from the bank to the
BRQ743: BRQ: The system shall contain reconciliation process.
UI Tax System for the redeemed warrantsthe capability to identify credits
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
unclaimedBRQ: The system shall generate the appropriate accounting
BRQ746: property.
transactions for The system shall as unclaimed property.
BRQ747: BRQ: credits classified have the capability to allow refund
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track                      X
account for the breakdown ofamounts shall payments and charges for to
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
an employer’s account as a payment when a benefit and journal entries
shall be generated when a prepayment is reclassified as a payment to a




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    BRQ-BUC Functional Reqs                                                                                     Page 77 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ1: BRQ: Employers shall be able to initiate and submit new                  Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
BRQ3: BRQ: Successor employers shall the registration information
save the information entered, and updatebe able to register as a new
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
BRQ6: BRQ: information provided in the a message window indicating the
based on the The registrant shall receive employer portal.
disposition of The registration after submitting the registration request.
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
BRQ9: when the UI tax system shall automatically information and
system BRQ: The registrant confirms the registrationassign an employer
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.
based on previous answers. For example, capable of capturing multiple
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
BRQ12: locations UI multiple owners/partners/officers.
physical BRQ: Theand tax system shall follow FUTA guidelines for
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
BRQ15: recording UI tax system shall allow queries on all accounts with
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
of appropriate employer packets, forms, and authorized users to update
BRQ18: BRQ: The data tape extract for job and to then generation shall
parameters that control the data extract quarterly report schedule the job.
exclude employers annual preferred report generation process shall send
BRQ19: BRQ: The whose quarterly method of communication is mail.
an e-mail notificationrequest cannot be processed automatically, the
BRQ20: BRQ: If the to those employers whose preferred method of
BRQ21: BRQ: receive a system shall automatically trigger the printing
employer shall The UI taxmessage window stating the liability date span of
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
paymentBRQ: The UI tax contributory account is capability of processing
BRQ24: amount when a system shall have the converted to a
BRQ25: BRQ: excess of $1M.
total payrolls inThe change packet consists of ES 802 (application to
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
employer whenAccount reactivation requests are routed to the appropriate
BRQ35: BRQ: an account has been suspended.
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
system shall search the production databaseaccountaccount. If the
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
BRQ41: BRQ: The about shall prompt the user to request based on
provide information systemthe coverage termination enter a narrative
explaining the reason theysystem shall display account.
BRQ42: BRQ: The UI tax are terminating the a message window with
BRQ43: BRQ: The UI tax system shall coverage termination request
information about the disposition of the route coverage termination
requests to the ES Supervisor, Office Section based on business rules.

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    BRQ-BUC Functional Reqs                                                                                      Page 78 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change          Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
automatic job run shalltax system shall contain functionality to support a
BRQ50: BRQ: The UI include notification of employer appeal rights.
batch job run to identify and terminate employeremployer termination
BRQ51: BRQ: The UI tax system shall produce accounts based on
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
submit an account suspension request prompt employerto provide and
verify information about the business based onthe user to enter awhen
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
BRQ56: BRQ: The UI tax are terminating their account.
explaining the reason theysystem shall issue a suspension approved
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ60: BRQ: The UI tax an inactivation/suspension request.
authorized user to submit system shall generate inactivation/suspension
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
employer’s account only if shallemployerto update their profiles, save the
BRQ63: BRQ: Employers the be able has granted the vendor/agent
information entered, and update theshall dynamically prompt the user for
BRQ64: BRQ: The employer portal profile information previously entered
BRQ65: BRQ: The UI wishes to establish or rescind code of status
information if the user tax system shall assign a field powerandattorney
examiner to a registrant’s case when the employer submits theindicating
BRQ66: BRQ: The registrant shall receive a message window profile
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
system until the employer system shall route profile maintenance"signs"
BRQ68: BRQ: The UI tax confirms the updated information and requests
BRQ69: BRQ: Employers shall be based initiate and rules.
to the appropriate status examiner able to on businesssubmit history
transfer applications in theshall be able to begin the history transfer
BRQ70: BRQ: Employers employer portal.
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application
the disposition Employers shall be dynamically prompted for all of the
BRQ72: BRQ: of the application after submitting the request.
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
might beBRQ: The UI tax system shall prompt the employer transfer via
BRQ74: required when an employer is completing a history to
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
BRQ76: BRQ: The during the transfer allow employers to and one or
the employer portalUI tax system shall application process enterupdated
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.
BRQ80: BRQ: When or examiner III’s) is posted to to override total
the status supervisor a quarterly report the authoritya predecessor’s
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
BRQ83: BRQ: The UI tax system shall experience, including wages
transfer all of the predecessor’s history apply business rules to recalculate
BRQ84: BRQ: successor a new shall automatically inactivate the
and assign the The UI tax systemrate based on the transferred history.
predecessor employertax system shall automatically transfer reports
BRQ85: BRQ: The UI account.
received BRQ: the effective date ofshall transfer from the predecessor’s
BRQ86: after The UI tax system the generate transfer of history notices
(e.g. denial notice, approval notice).

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    BRQ-BUC Functional Reqs                                                                                       Page 79 of 462                                                                Date Printed: 7/27/2011
                                                                                                State of New Mexico - Department of Workforce Solutions
                                                                                                        UI Tax Modernization Requirements Matrix
                                                                                                                BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                       BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                    Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,
the status supervisor or examiner III’s) to have the authority enter ES 903A
BRQ90: BRQ: Employers shall be dynamically prompted to to override
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
information via The portal as part of a partial history transfer application. to
BRQ92: BRQ: When a quarterly partial history transfer applications
extend the timeline for receipt of report is posted to a predecessor’s and/or
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
account for a period ending after the effective date functionalitythe UI tax
BRQ94: and The UI partial history transfers.
to recordBRQ:process tax system shall automatically validate history
transfer application UI tax system shall display determination results for all
BRQ95: BRQ: The data or prompt a status examiner when appropriate
BRQ96: BRQ: criteria.
history transferThe UI tax system shall automatically calculate the
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
BRQ98: BRQ: The UI employer shall establish a business rules.
date on the successor tax systemaccount based onrelationship between the
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
BRQ100: BRQ: The UI tax system on transferred data and update the
predecessor employer rates based shall automatically generate internal
account transactionsUI tax system shallemployer authorizedaccount
BRQ101: BRQ: The required to adjust allow an monetary user to
BRQ102: BRQ: The UI actions based on business rules.
override history transfertax system shall allow an authorized user to record
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
(e.g., the status The UI tax system shall III’s) the authority to override out of
BRQ106: BRQ: supervisor or examiner automatically calculate an
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
BRQ108: BRQ: The UI has been completed.
of-state history transfer tax system shall generate notices for supporting
documentation whenUI tax system shall on business rules. to support
BRQ109: BRQ: The appropriate based contain functionality
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
(e.g., the status When a quarterly reportIII’s) the authority to override total
account for a period endingsystem shall prompt authorized users to initiate
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
other processesThe UI tax system shall automatically generate history
BRQ113: BRQ: required to be completed during the history transfer
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
BRQ119: BRQ: cancellations.
identify potentialThe UI tax system shall have the capability to allow users
to modify the selection criteria for the potentialthe capability to allow users
BRQ120: BRQ: The UI tax system shall have account cancellations
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
BRQ123: BRQ: inactivations/suspensions.
identify potentialThe UI tax system shall generate a potential
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the
reversal process, save the information entered, and employer toapplication
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
BRQ127: BRQ: The UI to system shall provide the employer with
acknowledgement prior taxsubmitting a request for history transfer. notice
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
BRQ129: Performance report to be run allow the user to run examiner or
Examiner BRQ: The UI tax system shall for a single individual the Individual
Status Examiner Performance report daily, weekly, monthly, quarterly,

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    BRQ-BUC Functional Reqs                                                                                           Page 80 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet             Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the
to allow an authorized user system shall view results of the completed TPS
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
BRQ135: BRQ: completed TPS system review questionnaires to the
ability to upload The UI tax system shall route work queue tasks to
appropriate staffThe UI tax system shall create program area up for review.
BRQ136: BRQ: based business rules and the appropriate messaging on
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
BRQ139: BRQ: The UI on system shall automatically generate a work list
create universes based tax the annual work plan data and business rules
item to the appropriate user to notify them when functionality to allow an
BRQ140: BRQ: The UI tax system shall contain the universe has been
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete
BRQ142: BRQ: The universe and shall a new functionality and business
a previously created UI tax systemcreatecontain universe.
rules necessary The UI tax system shall generateincludes the use of the
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
BRQ144: with The UI tax system ETA 407 Handbook for each work list
populatedBRQ:data specified in theshall automatically generate a sample.
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
BRQ146: BRQ: stored tax system shall allow an authorized user to access
of electronically The UI source documents to be identified and attached to
BRQ147: BRQ: The UI record sample allow results.
sample worksheets andtax system shallreview an authorized user to update
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
BRQ150: BRQ: The UI on system shall contain data.
create universes based tax the annual work plan functionality to allow an
BRQ151: BRQ: the UI tax system and validate authorized user
authorized user Theability to reviewshall allow an sample records. to delete
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:preliminary annual report.
a request BRQ:final annual system shall contain the capability to
BRQ155: for a The UI tax report.
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ158: BRQ: The code.
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
captured during The 802tax system Registration process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
BRQ162: Account Number, Employer County Code, Employer Name,
Employer BRQ: The UI tax system shall allow the New Employer
Verification Report to be exported to Microsoft Multi-Establishment
BRQ163: BRQ: The UI tax system shall allow Excel.
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
as a by-product The UIannual experience rate the ES204 details report to
BRQ167: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
annually as well Thefor a specified date range.
specified data which UI tax system shall track and the data’s actual state at
BRQ171: BRQ: The will allow for reports to query display all non-charges
BRQ172: users to report on these shall provide the ability to interface on
and allow BRQ: The UI tax system non-charges or contain an drill down to
fields in the ES204 report. This drill down functionality should show the

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    BRQ-BUC Functional Reqs                                                                                       Page 81 of 462                                                                Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report             Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
as a by-product The UIannual experience rate the ES205 details report to
BRQ174: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
annually as well Thefor a specified date range by to andrun the report by
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
the different employer’stax system shall provide the ability to drill down on
BRQ179: BRQ: The UI legal entities.
BRQ180: BRQ: The This drill down functionality should show details report
fields in the ES205. UI tax system shall allow the receivables the
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
specified receivable type orsystemreceivable types.
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
to be run quarterly as well as for a specified date range (tochanges to
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
quarterly as wellThefor a specified date range by to all the changes to any
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
581 at any pointThe UI tax system request.
BRQ189: BRQ: 581. This drill down functionality files for: Active
fields in the ETASystem shall generate data extractshould show the
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
notice of potential work list time shall be generated and routed to the
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
BRQ197: BRQ: The UI tax state agency’s contact information (agency
modify and delete the othersystem shall allow for the processing of
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ201: BRQ: When report the Internet that the files are being
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
shall be able to submit shall be able toreportsand update information
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
required to enterData files that are uploaded shall be validated before the
BRQ207: BRQ: quarterly report summary information (ES 903A) before
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
BRQ209: BRQ: transactions.
to complete any If the user is returning to complete an incomplete quarterly
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
tax system to ensureportal shall also validate the year/quarter to ensure
BRQ213: BRQ: The the employer is a registered employer.
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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    BRQ-BUC Functional Reqs                                                                                         Page 82 of 462                                                                Date Printed: 7/27/2011
                                                                                               State of New Mexico - Department of Workforce Solutions
                                                                                                       UI Tax Modernization Requirements Matrix
                                                                                                               BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                      BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance               Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
and excess wages for theshall also be able to turn on/off the multi-state
BRQ220: BRQ: The user existing employees.
BRQ221: indicator.
employee BRQ: To add an employee, the user shall tab to the first
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
continuingBRQ: Users page. not continue to the next page until the current
BRQ223: to the next shall
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
information, the Reportshall validate theshall be performed onthe detailed
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
BRQ226: well as bulk-loaded wages.
wages as BRQ: Appropriate error messages shall be displayed to the user
BRQ227: what The UI tax system shall allow the user to edit the data.
indicating BRQ: data elements are in error.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
be prompted with an acknowledgement form shall state that all the
BRQ230: BRQ: The acknowledgement form.
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
information contained in the report (orthe registration application by best
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
BRQ233: BRQ: The UI tax pending status and a unique transaction
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ234: (or file) which shall also function as the user’s report
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ235: BRQ: The UI tax system shall also return a customized payment
voucher to the portalportal shall the user’sconfirmation message providing
BRQ236: BRQ: The containing display a employer demographic
BRQ237: BRQ: The number and a reminder about potential penalties
a report confirmationportal shall not display complete SSNs for existingand
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
to make an electronic payment or print aallow employers tofor each report
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
quarterly reporting activitiesshall be able to begin the quarterly reporting
BRQ243: BRQ: Employers in the employer portal.
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
and wage BRQ: When payments for at least three years.
BRQ245: reports and editing corrected reports, the system shall verify
that the employer has employer shall have the option towith the same
BRQ246: BRQ: Each a quarterly report on the system data enter a report
BRQ247: BRQ: The editor upload a each report in the staging file.
directly into the portal or to shall readdata file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
number. (In use The system shall validate the account status.
BRQ249: BRQ: case 2.11)
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
report EAN is an active account or a suspended account ifon ayear/quarter
BRQ253: BRQ: The system shall verify that FEIN entered the report is
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
BRQ256: when Records discrepancy with the employer’s quarterly
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ257: BRQ: The accounts examiners shall run each check through a
validation BRQ: Theconversion machine.
BRQ258: and ACH ACH conversion machine shall link into a third-party
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                          Page 83 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the        Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
payment record The status of all matched payment records shall be set to
BRQ260: BRQ: in the OCR scanning processing.
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to
check shall be pulled, the NSF date shall be updated ES the payment
BRQ263: BRQ: The UI tax system shall contain functionality quarterly
an employer when there is a discrepancy with the employer’swhich allows
an accounts examiner to validate the format ofan authorized individual to
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic
correct errors on magnetic load from the on business rules. the staging
BRQ265: BRQ: Files shall media based magnetic media to
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall
maintain business rulestax system payments, reports, and adjustments.
BRQ267: BRQ: The UI for editing shall not limit the number of batches
BRQ268: BRQ: The UI in a 24-hour period.
that may be processed tax system shall e-mail an adjustment notification
(ES 542) to an employer when there is averify that thewith the employer’s
BRQ269: BRQ: The UI tax system shall discrepancy account associated
with report EAN The UI tax system shalla suspended account if the not
BRQ270: BRQ: is an active account or verify that the employer does
BRQ271: BRQ: report on the submits an electronic tax return or
have a quarterlyIf an employerUI tax system with the same year/quarter as
payment, BRQ: If the report shall deliverUI tax system shall post the
BRQ272: the UI tax system is new, the any subsequent correspondence
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ273: report and employee is data to as employer’s employee,
UI tax system shall generateis corrected, the UI tax system shall post the
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s
BRQ275: BRQ: The UI tax system shall generate the employer’s account.
updated summary report and wages report data toan electronic transaction
BRQ276: BRQ: each report processed.
journal entry for The journal shall list employer information, status (new or
corrected BRQ: The journal (ES 903A) data as information, status (new or
BRQ277: report), summary shall list employer reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment
BRQ278: report), summary (ES 903A) data as reported, and cumulative
BRQ279: BRQ: employer users shall have the capability to run
notification to anAuthorized when there is a discrepancy with the this
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The
BRQ283: contribution reports on the UI tax system.
employer BRQ: For each report, the edit process shall compute report
totals for total wages, taxable wages, excess wages,computed amount due
BRQ284: BRQ: The edit process shall compare the and total totals to the
summary BRQ: If the on thedetail does not balance to the report summary,
BRQ285: report total wage report.
the UI tax BRQ: The edit process shall generate for electronic edit report
BRQ286: system shall route a work queue task an an accounts examiner
entry for each out of report shall list identified. information, summary data
BRQ287: BRQ: The balance report employer
BRQ288: BRQ: The UI tax system the accept the as posted, the date
as posted, the cumulative totals forshallwage detail following account and
payment types: contributory accounts (regular users to make payments
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,
BRQ291: BRQ: If and payment method information to the UI tax system.
payment amount, an employer has monetary delinquencies, prompt the
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments
for one or BRQ: Payments made with a credit or debit card shall be for
BRQ293: multiple quarters, or payments for one or more employers
processed immediately, while bank account debits may take up tomain
BRQ294: BRQ: The user shall select "Make a Payment" from the three
menu then select account type anda quarterly report prior to beginning to
BRQ295: BRQ: If the user entered payment type from the sub-menus this
transaction, the The portal shall validate employer’s EAN and FEIN; the UI
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.
BRQ298: BRQ: If the payment.
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
the user to designate the payment to be automatically applied tothe portal
shall also BRQ: The portal shall retrieve and display the employer’s owes
BRQ300: validate the year/quarter(s) and determine if the employer
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports
account balanceThe user shall be prompted well asthe amount owed in full
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                       Page 84 of 462                                                                Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.          Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
BRQ303: BRQ: The portal shall prompt the user to enter the payment
BRQ304: BRQ: The user’s responses shall be edited based on the
method and prompt the user for additional informationbefore submittal.
BRQ305: BRQ: The portal shall submit the payment information to the
third-partyBRQ: The processorrecord shallUI tax system. the unique
BRQ306: payment payment and to the be updated with
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:
confirmation number and documenting the a unique transaction ID to the
BRQ308: BRQ: UI tax system shall assign payment received date,
payment which shall check data shall the loaded payment OCR interpreter
BRQ309: BRQ: The also function as be user’s from the confirmation
BRQ310: BRQ: For the UI tax system using the EAN (and review the
into a staging file oneach payment in the queue, Staff shall FEIN) if
BRQ311: the check and enclosure to resolve the issues with the check
images of BRQ: The UI tax system shall contain functionality to allow an
BRQ312: BRQ: to search system shall allow the UI tax system using the
authorized user The UI taxfor the employer on an examiner to update the
payment record The UI tax system shall contain functionality to allow an
BRQ313: BRQ: and release the payment for processing.
BRQ314: BRQ: to record when a payment received is cash.
authorized user The UI tax system shall contain functionality to allow an
BRQ315: BRQ: to record a deposit date associated record in the
authorized user The editor shall read each payment with the cash staging
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged
check. BRQ: The editor shall verify that the check is payable to
BRQ317:
BRQ318: BRQ: The editor of the name.
NMDWS or some variationshall validate the account status (active or
BRQ319: BRQ: The editor rules).
suspended - see business shall validate that the year/quarter are valid
dates andBRQ: If all edits are passed, thefor that year/quarter. be
BRQ320: that the employer owes money payment record shall
released for processing; otherwise,shall verify a pending status until all
BRQ321: BRQ: The UI tax system it stays in that the account associated
with report EAN Whenactive account or a suspended account shall verify
BRQ322: BRQ: is an editing new reports, the UI tax system if the
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
that the employer does tax system quarterly report on the UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ325: BRQ: The UI tax based shall payment type and how to
BRQ326: BRQ: each payment processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and howsystem shall was
BRQ327: BRQ: As each report is processed, the UI tax the payment
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the
BRQ331: BRQ: The UI tax included).
imaged report and check (ifsystem shall verify that the check is payable to
NMDWS or some variation system shall validate that the EAN is a valid
BRQ332: BRQ: The UI tax of the name.
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.
BRQ336: BRQ: The editor shall validate that the year/quarter are valid
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify
BRQ338: BRQ: The UI not have a shall generate on the UI notification
that the employer does tax system quarterly reportan ES 542 tax system to
an employer when there is a discrepancy with the itemized deposit reports
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report
BRQ341: into Payment information shall be captured separately from the
interpreterBRQ:an amended returns staging file on the UI tax system using
report information and placed in an amended returns payment data
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.
BRQ344: and ACH machine shall link into
validation BRQ: Thisconversion machine. a third-party service that
validates the check, the issuer, and the available balance before creating a

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    BRQ-BUC Functional Reqs                                                                                      Page 85 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the        Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the
BRQ348: BRQ: The status the credit transaction.
with the transaction date of of all matched payment records shall be set to
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check
BRQ350: BRQ: An accounts examiner shall updated on the payment
check shall be pulled, the NSF date shall be retrieve an out of balance
BRQ351: from The UI queue.
work task BRQ:the worktax system shall contain functionality allowing the
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow
BRQ353: BRQ: to make necessary corrections authorized quarterly
for the examinerThe UI tax system shall allow anto employer user to
generate a request for information when allow users with appropriate
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of entering a recordaselection date by the for
BRQ356: BRQ: The UI tax system shall run (on schedule set range
users) an BRQ: The report of outstanding discrepancy notices based on
BRQ357: electronic UI tax system shall create incomplete report penalty
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an
authorized user The UI taximaged documents an authorized user to
BRQ362: BRQ: to access system shall allow attached to an employer
remove an incomplete report penalty from an released for processing shall
BRQ363: BRQ: Transactions that have been employer account.
be processed during UI tax system user transaction posting run. access
BRQ364: BRQ: Any the next monetary with appropriate security
BRQ365: BRQ: Online transfer requests shall transfer.
shall be able to complete an online request forbe placed in a "pending"
status. (InBRQ: The 3.06)
BRQ366: use case information shall be edited to ensure accuracy. (In
use case 3.06) The UI tax system shall validate that the EAN’s are valid
BRQ367: BRQ:
account numbers, the "to" employer is inensure thatcontributory status, the
BRQ368: BRQ: The UI tax system shall an active, the items requested
BRQ369: BRQ: on the "from" employer edits, the
for transfer existIf the request passes theaccount. report and/or payment
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:
incomplete report penalty for the year/quarter, the UIemployer information
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open
BRQ374: BRQ: The transfer, as well as the date and time the to adjust
and details about theUI tax system shall allow authorized users transfer or
remove/abate penaltiestax system user with they were assessed in error or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access
shall be able to complete an online shall validate that the EAN is a valid
BRQ376: BRQ: The UI tax system request for adjustment.
BRQ377: BRQ: and the year/quarter are valid that the
account numberThe UI tax system shall ensuredates. items requested
for adjustment exist on the employer’sthe edits, the request status shall be
BRQ378: BRQ: If the request passes account.
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall
reapply any specified account has adjustassessed aand P&I on or
BRQ380: BRQ: If the payment, or been (or abate) late report the
incomplete report penalty for the year/quarter, the an electronic transaction
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open
journal entry for The journal shall list employer information and details
BRQ382: BRQ: each request processed.
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ386: BRQ: The UI tax based shall transaction type.
BRQ387: BRQ: each transaction processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and how the transaction

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    BRQ-BUC Functional Reqs                                                                                       Page 86 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as           Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
the original payment UI tax system shall require users to enter the exact
BRQ389: BRQ: The was posted.
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,
shall be able to complete an online request for bepayment reversal. to
BRQ391: BRQ: Online reversal requests shall a routed via work flow
BRQ392: BRQ: The request on business rules.
an accounts examiner basedshall include as much information as the
BRQ393: can provide.
requestor BRQ: If the examiner cannot locate the payment the UI tax
BRQ394: BRQ: The examiner shall enter the reversal request with the
system shall allow the examiner to updatethe reversal transaction into the
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the
work task BRQ: The UI tax system shall have the capability of a noticeato
BRQ398: as completed and the UI tax system shall generate having
BRQ399: employer account that is to query each transaction and
suspense BRQ: Users shall be able used solely to post reportsposted to
BRQ400: BRQ: The UI tax system imaged information appropriate
the suspense account and view theshall allow users withfor that
BRQ401: BRQ: If capability of setting and maintaining still in pending
security levels thethe records (report and payment) are the runaschedule
status after two days, the UI tax system shall UI tax system shall updateto
BRQ402: BRQ: At the end of three days, the trigger a work queue task
BRQ403: and payment records with UI "suspense" EAN and release
the report BRQ: On a daily basis, the the tax system shall review the the
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the
BRQ408: BRQ: An accounts examiner shall be work the assigned
appropriate accounts examiner’s work queue to able to retrieve a work task
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also
task.
BRQ412: BRQ: The reports and payments shall be processed during the
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on
employer BRQ: Theto record the occurrence of certain actions. For control
BRQ415: accounts UI tax system shall maintain business rules to
selection of employers for inclusionshall have the capability tolist. down to
BRQ416: BRQ: The UI tax system on potential tax intercept drill
BRQ417: of the amounts system shall track pending and deposited
the detailsBRQ: The UI tax in the collections processedand posted
transactions so the collections processed and the capability to run the run
BRQ418: BRQ: The UI tax system shall allow deposited report can be
collections processed and deposited report byauthorized users the ability
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
BRQ420: BRQ: pre-defined reports.
to view and printThe UI tax system shall freeze credit accounts balances at
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have
credits and releasingUI tax system shall allow users with appropriate
BRQ422: BRQ: The credits for refund processing.
security levels the capability of setting and maintaining credit report
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
BRQ424: to the user-defined run schedule.
according BRQ: The UI tax system shall automatically route an electronic
copy of the report to accounts supervisor shall retrieve the report from
BRQ425: BRQ: The the accounts supervisor.
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the
work queue and If the examiner determines the credit is valid, the examiner
BRQ428: BRQ: review the assigned account.
shall release theAuthorized users a brief narrative about why the credit is
BRQ429: BRQ: credit and enter shall have the capability of releasing all
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of setting and maintaining the run schedule

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    BRQ-BUC Functional Reqs                                                                                       Page 87 of 462                                                                Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the              Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
reason forBRQ: The employer refundstub.
BRQ432: the refund on the warrant processing job shall run in ‘no
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic
BRQ434: BRQ: The refund report to the accounts supervisor.
copy of the employerUI tax system shall allow the examiner to review the
report andBRQ: Whenof the transactions completed his/heronly somethe
BRQ435: release all the examiner has for processing or review of of
BRQ436: UI tax system shall trigger the final refund job to job which
report, theBRQ: The UI tax system shall run the final refund run during
posts the refundThe refund warrantsemployer’s account and generates
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When                                                                   X
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
refund theBRQ: The UI tax system shall FMB examiner examiner to record              X
all of the information UI tax system shallshall be included in the task notes.
BRQ440: BRQ: The about the warrant contain functionality to allow for a             X
BRQ441: be voided and a refund reversal to be recorded.
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI           X
BRQ442: BRQ: turn on the invalid address flag for the mailing address
tax system shallThe UI tax system shall freeze credit balances when they            X
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:                                                                                    X
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall                                                            X
BRQ445: accounts UI tax system shall allow authorized users to define
employer BRQ: Theto record the occurrence of certain actions. For                                          X
and maintain the business rules forshall contain trialdata and (e.g.,
BRQ446: BRQ: The UI tax system running the all balance transaction                                         X
details required to generatesystem shall allow authorized users to define
BRQ447: BRQ: The UI tax the trial balance.                                                                            X
and maintain the business rules forshall allow authorizedsummary define
BRQ448: BRQ: The UI tax system running the account users to (e.g.,                                                               X
BRQ449: BRQ: The UI tax system running the daily transaction detail
and maintain the business rules forshall allow authorized users to define                                                                  X
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
and maintain the business rules delinquent contribution report shall be                                                                               X
scheduledBRQ: The UI tax system shall have the ability to send a
BRQ451: to run automatically every quarter.                                                                                                           X
BRQ452: BRQ: The UI tax system shall have the the preliminary
notification to each Field District Supervisor when ability to assign a field                                                                         X
BRQ453: given The UI tax system shall have the ability to automatically
code to a BRQ: employer account and tax representative based on                                                                                       X
assign delinquent report work items to a allow authorized individuals to
BRQ454: BRQ: The UI tax system shall tax representative based on                                                                                      X
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices                                                                               X
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:                                                                                                                                          X
BRQ457: accounts declared delinquent for a given quarter the the current
employer BRQ: Authorized users shall be able to view only and history                                                                                           X
BRQ458: to a specific delinquency or to coded messages recorded
notes tied BRQ: All history notes shall be see all by type of activity. in the                                                                                  X
BRQ459: BRQ: The UI tax system shall allow an authorized user to record                                                                                         X
BRQ460: a report delinquency assignment.
results forBRQ: The UI tax system shall automatically change the status of                                                                                      X
the assignment when a report hasphone received, an estimated report
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,                                                                                     X
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
BRQ462: be noted in a history section of each employer account.                                                                                                           X
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena                                                                                                      X
cover letter fromAn authorized user shall be able to record updates to the
BRQ464: BRQ: the UI tax system.                                                                                                                                           X
BRQ465: assignment history user shall have status from issued to
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a                                                                                                       X
scanned document to atax system shall allow an authorized user to create
BRQ466: BRQ: The UI case assignment.                                                                                                                                               X
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate                                                                                                                      X
BRQ468: report accounting transactions to support the approval to
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an                                                                                                                X
employers for each approved estimated automatically update an estimated
BRQ469: BRQ: The UI tax system shall report worksheet assignment.                                                                                                                  X
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
report assignment with the system of an original report as is appropriate.                                                                                                         X
to update BRQ: The UI tax system shall automatically generate a work
BRQ471: an estimated report assignment.                                                                                                                                            X
BRQ472: BRQ: The if tax system shall is received after report in a
item to the Tax ChiefUI an original report place the original an estimated                                                                                                         X
holding/staging tableUI tax reviewed andbe able to archive estimated wage
BRQ473: BRQ: The to be system shall disposition by authorized users                                                                                                                X
reports when they are replaced by an actual estimated wage report with

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    BRQ-BUC Functional Reqs                                                                                        Page 88 of 462                                                                Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:     BUC65:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and         Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF      X
                                                                                                                                                                                   UCBF      Day        Liens:      Title
BRQ475: BRQ: The UI tax shall be able to archive the submitted
rejected, the UI tax system system shall generate notice of report wage                                                                                                             X
acceptance to employers if system shall allow an authorized user to place
BRQ476: BRQ: The UI tax an estimated report has been superseded by                                                                                                                             X
a stop on BRQ: The UI tax system shall periodan authorized user to
BRQ477: 10-day notices for a specified allow of time.                                                                                                                                          X
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain                                                                                                                                                   X
generate 10-dayThe UI tax system shall generate 10-day notices to
BRQ479: BRQ: notices.                                                                                                                                                                          X
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall                                                                                                                                                           X
system tasks when aUI tax system shall allow an authorized user the ability
BRQ481: BRQ: The payment is received.                                                                                                                                                          X
BRQ482: a previously tax system on a 10-day notice notice actions
to removeBRQ: The UI placed stopshall record 10-day item. This will on                                                                                                                         X
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI                                                                                                                                                                                       X           X
BRQ484: BRQ: The UI tax system shall automatically (In use case
letters and documents to be generated from a pick list.initiate the lien4.07)                                                                                                                             X
BRQ485: BRQ: The on business shall
generation job basedUI tax system rules. place the appropriate district                                                                                                                                   X
BRQ486: BRQ: The signature on shall contain a lien history file/record.
supervisor electronicUI tax system the lien.                                                                                                                                                              X
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the                                                                                                                                    X
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:                                                                                                                                                                                                          X
BRQ489: BRQ: The case system shall keep a collections information,
establish a collectionUI tax and record the results, pertinenthistory file of                                                                                                                                         X
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The                                                                                                                                                                                                      X
BRQ491: BRQ: The UI account on demand.
generate a statement oftax system shall allow an authorized user to                                                                                                                                                   X
generate a zero The UI tax system shall automatically default signature to
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
BRQ493: BRQ: The UI but also allow the user to enter another name
user initiating the actiontax system shall allow an authorized user to for
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks
in NMDWS employee work system shall create lien-related messaging on
BRQ495: BRQ: The UI tax queues
BRQ496: accounts UI tax system shall allow an authorized user to
employer BRQ: Theto record the occurrence of certain actions
establish a lien collection case and shall keep a lien collections history file
BRQ497: BRQ: The UI tax system record the results, pertinent
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax
generate a payment UI tax systemgiven employer account. (Inwork case
BRQ499: BRQ: The coupon for a shall automatically assign use queue
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections
BRQ501: BRQ: The UI tax system shall Representative when a payment
assignment to the appropriate Field Tax allow an authorized user the ability
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized
NSF collection case UI tax system shall in the UI tax system.
BRQ503: BRQ: The actions and results generate collection case
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall
assignments to individuals based on business an authorized user to record
BRQ505: BRQ: The UI tax system shall allow rules.
actions taken onThe UI tax system shall keep a collections history file of
BRQ506: BRQ: collections assignment cases.
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling
software for the The UI tax system shall maintain collection case status
BRQ509: BRQ: scheduling of period jobs.
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection of employers for inclusionshall maintain business rules to control
BRQ512: BRQ: The UI tax system shall allow authorized users the annual
selection for certain periodic extract file creation. For example, to modify a
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                         Page 89 of 462                                                                 Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand            Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
documentBRQ:the appropriate datashall allow business rules.
BRQ518: with The UI tax system based on an authorized user to enter a
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all
BRQ520: BRQ: garnishment cases.
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The
BRQ522: BRQ: The UI tax system shall a garnishment case.
to attach electronic document images to keep a history file on all
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The
BRQ526: BRQ: Collection Case assignments.
actions taken onThe UI tax system shall keep a history file on all Collection
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system
BRQ529: BRQ: The UI assignments work items authorized user to record
assign Collection Case tax system shall allow anto a tax representative
BRQ530: BRQ: clear the delinquency on the case file.
actions taken to The UI tax system shall maintain business rules to control
selection of employers for inclusionshall support uncollectible lists.
BRQ531: BRQ: The UI tax system on potential declaring an entire
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be
BRQ533: on payment tax timelines greater an 12 months
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,
BRQ535: and final payments based on place the payment entered
timelines, BRQ: The UI tax system shall specific information plan into on the
suspension if a report istax system shall allownot made. user to change
BRQ536: BRQ: The UI not filed or payment authorized
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change
BRQ538: of the payment plan.
the terms BRQ: The UI tax system shall allow an authorized user to record
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan
BRQ541: BRQ: the payment plan shall allow
documents fromThe UI tax system history file. an authorized individual to
submit a payment plan request via shall allow an self service user to
BRQ542: BRQ: The UI tax system the employer authorized portal.
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system
place an alert in The Field Tax Representative’s work queue if payment is
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work
case in the FieldThe UI tax system shall generate the Defaulted Payment
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment
Plan notice with The appropriate data based on business rules. to enter a
BRQ548: BRQ: the UI tax system shall allow an authorized user
BRQ549: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all payment
BRQ550: BRQ: Defaulted Payment Plan cases.
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers
BRQ553: electronically and submitted payments via payment coupon.
have filed BRQ: The UI tax system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ554: of account to employers with be able to deficiency meeting
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In
BRQ557: BRQ: The UI tax system shall be capable of statement to
secondary liability (predecessor debt) and generating aprinting a text the
message on theThe UI tax system shall recordcase 4.20) of statements of
BRQ558: BRQ: statement of account. (In use generation
BRQ559: BRQ: The UI tax system case 4.20)
account and keep a history. (In useshall allow an authorized user to view
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                       Page 90 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak                 Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The
BRQ562: BRQ: The UI delinquencies by quarter.
report and/or wage datatax system shall not include accounts that have
BRQ563: BRQ: The UI tax suspense indicators.
bankruptcy or uncollectible system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ564: of account to employers with be able to deficiency meeting
BRQ565: BRQ: The addresses during the capable of run.
accounts to multiple UI tax system shall bemonthly job identifying
secondary liability (predecessor debt) and generating a statementto the
BRQ566: BRQ: The UI tax system shall allow an authorized user to
generate an accountUI tax system any account, including accounts that
BRQ567: BRQ: The statement on shall present a Statement of Account
BRQ568: BRQ: The UI tax system statement an the internet.
online to an employer requesting a shall allow via authorized user to print a
BRQ569: of account from system shall self service portal.
statementBRQ: The UI tax the employer allow an authorized user to
request online printing of a system shall allow a user tostatementstatement
BRQ570: BRQ: The UI tax statement of account. The view the will be
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record
BRQ572: BRQ: The printed on the statement generation
a text message to beUI tax system shall recordof account. of a statement
of account online on UI tax system shall allow indicator alert to employer
BRQ573: BRQ: The the account history file.
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate
BRQ576: BRQ: The UI tax system shall allow an Assignments Report
a Prior Delinquent Contribution Report and Case authorized user to by
BRQ577: BRQ: The a tax system shall a priority assignment.
change the status of UIcollection case toautomatically generate a Prior
Assignments - 90 Days tax system shall initiate a work item to each District
BRQ578: BRQ: The UI Old report.
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is
BRQ579: BRQ: The them system shall allow an - 90 Days user to
BRQ580: Prior The UI tax system shall allow an a work queue.
remove a BRQ:Collection Case Assignment from authorized user to record
BRQ581: BRQ: Prior tax system shall keep a history
actions taken onThe UICollection Case assignments. file on all Prior
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.
scheduledBRQ: The UI tax system shall have the ability to automatically
BRQ583: to run automatically every quarter.
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI
establish, BRQ: The UI tax system shall allow an authorized userdata and
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability
BRQ587: a record from the Bankruptcy allow an authorized user the
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability
BRQ588: Bankruptcy tax system shall allow an authorized user
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter
bankruptcy caseThe UI taxthe system and will store the data in a
BRQ592: BRQ: data into system shall contain the data and business
rules necessary The UI tax system shall place a ability to establish a on an
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
BRQ594: account when a system shall take or stop actions
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
required on bankruptcy tax systemprescribed business rules.
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a
user to assign an interest rate for ashall include a Proof of Claim screen.
BRQ597: BRQ: The UI tax system given period of time.
BRQ598: BRQ: The UI tax system shall allow an authorized user to record
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an
BRQ600: BRQ: The file on the employer’s account for any data
the bankruptcy case UI tax system shall maintain a history for anmissing
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system
rules necessary The UI bankruptcy documents toan update bankruptcy
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
case file function.

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    BRQ-BUC Functional Reqs                                                                                       Page 91 of 462                                                                Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability        Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
to update BRQ: The UI tax system shallthe update case file function.
BRQ604: bankruptcy case file data via support the generation of
BRQ605: BRQ: The UI tax correspondence.
bankruptcy documents andsystem shall automatically update the
BRQ606: BRQ: history file when the update an authorized user function
employer’s caseThe UI tax system shall allowbankruptcy case file to record
BRQ607: BRQ: The UI tax system shall the court orders on the to control
the disposition of a bankruptcy case per maintain business rulesemployers
selection and printing oftax system shallprocessing jobs. For example,
BRQ608: BRQ: The UI certain annual allow users with adequate security
to trigger the sampleUI tax system shall allow use business rules to
BRQ609: BRQ: The prepayment job.
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security
to override zero Prepayment notices shall be bar coded with the EAN,
BRQ611: BRQ: dollar prepayment amounts.
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax
selection and printing oftax system shall allow users with adequate security
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use of business rules to
BRQ614: BRQ: The quarterly reimbursable billing job
BRQ615: BRQ: The UI tax system amounts.
calculate quarterly benefit chargingshall allow users with valid security
(e.g., the status The UI tax system shall III’s) the authority to override tax
BRQ616: BRQ: supervisor or examiner automatically trigger the
generation of appropriate employershall allow employers the option to
BRQ617: BRQ: The UI tax system notices. For example, the UI tax
select Appeals, Tax, or Board of Review when filingnumber) is corrected in
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
BRQ619: system, denial correspondence attached to notification of be
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
employer’s next The UI tax system shall maintain business rules to control
selection and printing oftax system shall allow users with adequate security
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ622: BRQ: The quarterly reimbursable billing job.
BRQ623: BRQ: Authorized claims amounts.
calculate quarterly benefit chargingpersonnel shall have authorization to
BRQ624: UI tax system.
query the BRQ: Benefit charge statements shall be bar coded with the
EAN’s, amountsRe-certification documents (940Cs) shall include an
BRQ625: BRQ: due, and due dates.
electronic BRQ: The so theysystem shall compare the employer’s liability
BRQ626: signature UI tax may be sent electronically to employers. (In
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
date spans on record totax system shall allow employers to and reject any
years individually on UIre-certification request.
BRQ628: BRQ: The a tax system shall compare the employer’s liability
date spans on record totax system shall allow re-certification requests any
BRQ629: BRQ: The UI the re-certification periods entered and reject for
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an
electronic BRQ: The so theysystem shall allow re-certification requests for
BRQ631: signature UI tax may be sent electronically to employers.
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system
annual IRS 940 The UI tax system shall allow authorized personnel toon
BRQ633: BRQ: certification tape and match employer records based
recalculate tax rates UI tax payment amounts that business rules to control
BRQ634: BRQ: The using system shall maintain have not yet posted to
BRQ635: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ636: BRQ: The annual rate job
calculate annualThe UI tax system shall allow users with adequate security
BRQ637: BRQ: rates.
to override zero The job shallamountsto be run in two modes: preliminary
BRQ638: BRQ: percent rate be able
(no update) and The preliminary job runany time. affect the prior production
BRQ639: BRQ: production (update) at shall not
employer BRQ: The job shall include variable parameters in the selection
BRQ640: selection.
process. Examples of the parameters that shall be modifiable includeSub-
BRQ641: BRQ: The run schedule shall be coordinated with the Field the
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and
BRQ643: BRQ: The UI tax that direct the employer selection for the
maintain the business rulessystem shall route work queue tasks to Field
Operations staff The UI on the field shall allow authorized(In use case 1.07,
BRQ644: BRQ: based tax system code of the account. user to initiate a
BRQ645: BRQ: The UI request.
target audit assignmenttax system shall allow an authorized user to
change a target audit assignment to approved or denied.

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    BRQ-BUC Functional Reqs                                                                                        Page 92 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor          Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
informing BRQ: whenUI tax system shall allow authorized approved or the
BRQ647: them The a status change has occurred (e.g. users to view
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
BRQ649: BRQ: based on users shall be the to record actions taken on
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI
BRQ652: BRQ: Authorized users shall including record actions taken
notices, letters, forms, etc to employer be able tothe audit notification and
regarding BRQ: The UI tax system shall tax system.
BRQ653: an audit assignment in the UI allow an authorized user to modify
the status BRQ: The UI tax system(e.g. change from requested to
BRQ654: of an audit assignment shall allow for different audit statuses
BRQ655: BRQ: The UI tax system in the audit history file.
and maintain audit status changes shall allow for employer information that
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system
synchronization The UI tax system shall contain an audit program that can
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system
account changes indicated system shall allow authorizedincludeto modify
BRQ660: BRQ: The UI tax in the audit results. This will users generating
audit results for The UI tax system shall have the ability toon business
BRQ661: BRQ: various audit assignment statuses based store audit
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax
Operations staff When an employercode of theform or other use case 1.07,
BRQ664: BRQ: based on the field submits a account. (In information,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the
BRQ665: system shall automatically create work items and main record,
BRQ666: related documents and shall contain
as well asBRQ: The UI tax systemwork items. a blocked wage claim
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.
blocked wage claim has been resolved and results haveallowed to set up
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim
work item BRQ: The UI tax system shall generate a another when the
BRQ672: information from one account number to determination letter
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to
the finding of a blocked tax system shall allow anassignment user to
BRQ674: BRQ: The UI wage claim on the case authorized screen.
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the
appropriate work queuetax systempre-defined an authorized user to record
BRQ676: BRQ: The UI based on shall allow business rules.
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:
item informationThe UI taxaccount number to another when instructed by
BRQ679: BRQ: from one system shall generate a determination letter
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
and submit new The UI tax system informationan authorized update the an
appeal after the If an authorized user saves the appeal but does provided
BRQ683: BRQ: deadline (based on business rules) has passed not submit
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
BRQ686: data.
summary BRQ: The UI tax system shall return an acknowledgement form
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
message once the appeals system shall automatically assign a case
number to new appeals. (In use case 9.02)

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                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ689: BRQ: Work items shall contain links to the employer’s main              Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ690: the appeals case file, and shall original determination that was
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
BRQ693: BRQ: The system shall generate to next "page."
entered before allowing the user to proceedan appeals form with a bar
BRQ694: BRQ: Appeal a determination.
code and include it with requests shall be scanned and indexed to the
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
BRQ696: BRQ: The system shall be an to generate an appeal from item
request and automatically generatingableappeal case worksheet work the
for the appropriate individual based shall be able rules. update the
BRQ697: BRQ: An authorized user on business to enter
BRQ698: BRQ: The system shall additional information related to modify
appeals worksheet to include any allow an authorized user to add, the
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
BRQ700: notifying employer that automatically assign a case number to
employer BRQ: The system shall appeal has been received and requesting
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
to the appeals case file, and to the original determination that was main
record and the original determination that was track the status of the
BRQ703: BRQ: The employer shall be able to appealed.
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
determination using theon items selected, the UI tax system shall create
BRQ709: BRQ: Based correspondence component that includes the
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
BRQ713: BRQ: he UI tax system shall is read.
when an email is delivered and when it allow authorized staff to view all
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ716: account and tax system shall maintain a history of an appeal
including data on each level of appeal and links to all linking of related
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
generate correspondence using templates. The templates shallbased on
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
BRQ723: BRQ: Based on items of appeal the decision the appropriate
automatically determine the typechecked inand route it tothe UI tax system
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
record, the original determination that was appealed,related, scanned
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
letter using a templateto the decision letter shall be created within the
BRQ729: BRQ: A link that includes the following fields: original
appeals case when theon items determination istemplate the UI tax system
BRQ730: BRQ: Based letter of checked in the saved.
BRQ731: BRQ: The UI directing Tax Section to make summary
shall create work items Tax system shall generate the appropriate
accounting transactions from the Accounting Summary report.

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    BRQ-BUC Functional Reqs                                                                                       Page 94 of 462                                                                Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC53:      BUC54:     BUC55:    BUC56:      BUC57:   BUC58:     BUC59:     BUC60:    BUC61:   BUC62:   BUC63: 10-   BUC64:    BUC65:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting             Returned   Replacemen    Trial   Accounting    Daily   Aging of   Generate   Collect    UCBF     UCBF      Day        Liens:     Title
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
transactions that support each day’s summary journal entryactual totals for
each revenue type (e.g., federal clearing calculate state trust fund, revenue
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
distributions for eachUI Taxdeposit basedallow authorized users totals for
BRQ735: BRQ: The bank system shall on the running actual to adjust
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
the running, actual totals to reflect transfers out of thein the accounts to
and the summary accounting developed toto SHARE shall reflect that
BRQ737: BRQ: The program transactions fulfill the requirements
documented in NMDWSof adjusting journal entries shall reflect the shall
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
BRQ739: the accounts receivables balance since the end of the prior
change ofBRQ: The UI Tax system shall breakdown the receivables
BRQ740: BRQ: The business rules.
balance according tosystem shall allow authorized users to locate warrants
BRQ741: BRQ: The reconciliation process account number.
using the warrant number and/or employer shall include error handling for
situations BRQ: as invalid warrant allow an interface from the bank to the
BRQ742: such The system shall numbers or a warrant number already
UI Tax System for the redeemed warrantsthe capability to identify credits
BRQ743: BRQ: The system shall contain reconciliation process.
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
BRQ746: property.
unclaimedBRQ: The system shall generate the appropriate accounting
transactions for The system shall as unclaimed property.
BRQ747: BRQ: credits classified have the capability to allow refund                X           X
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate                                       X
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track                                              X          X          X
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
account for the breakdown ofamounts shall payments and charges for to
an employer’s account as a payment when a benefit and journal entries
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
shall be generated when a prepayment is reclassified as a payment to a




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    BRQ-BUC Functional Reqs                                                                                       Page 95 of 462                                                                Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ1: BRQ: Employers shall be able to initiate and submit new                  Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
BRQ3: BRQ: Successor employers shall the registration information
save the information entered, and updatebe able to register as a new
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
BRQ6: BRQ: information provided in the a message window indicating the
based on the The registrant shall receive employer portal.
disposition of The registration after submitting the registration request.
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
BRQ9: when the UI tax system shall automatically information and
system BRQ: The registrant confirms the registrationassign an employer
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.
based on previous answers. For example, capable of capturing multiple
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
BRQ12: locations UI multiple owners/partners/officers.
physical BRQ: Theand tax system shall follow FUTA guidelines for
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
BRQ15: recording UI tax system shall allow queries on all accounts with
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
of appropriate employer packets, forms, and authorized users to update
BRQ18: BRQ: The data tape extract for job and to then generation shall
parameters that control the data extract quarterly report schedule the job.
exclude employers annual preferred report generation process shall send
BRQ19: BRQ: The whose quarterly method of communication is mail.
an e-mail notificationrequest cannot be processed automatically, the
BRQ20: BRQ: If the to those employers whose preferred method of
BRQ21: BRQ: receive a system shall automatically trigger the printing
employer shall The UI taxmessage window stating the liability date span of
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
paymentBRQ: The UI tax contributory account is capability of processing
BRQ24: amount when a system shall have the converted to a
BRQ25: BRQ: excess of $1M.
total payrolls inThe change packet consists of ES 802 (application to
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
employer whenAccount reactivation requests are routed to the appropriate
BRQ35: BRQ: an account has been suspended.
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
system shall search the production databaseaccountaccount. If the
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
BRQ41: BRQ: The about shall prompt the user to request based on
provide information systemthe coverage termination enter a narrative
explaining the reason theysystem shall display account.
BRQ42: BRQ: The UI tax are terminating the a message window with
BRQ43: BRQ: The UI tax system shall coverage termination request
information about the disposition of the route coverage termination
requests to the ES Supervisor, Office Section based on business rules.

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                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change          Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
automatic job run shalltax system shall contain functionality to support a
BRQ50: BRQ: The UI include notification of employer appeal rights.
batch job run to identify and terminate employeremployer termination
BRQ51: BRQ: The UI tax system shall produce accounts based on
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
submit an account suspension request prompt employerto provide and
verify information about the business based onthe user to enter awhen
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
BRQ56: BRQ: The UI tax are terminating their account.
explaining the reason theysystem shall issue a suspension approved
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ60: BRQ: The UI tax an inactivation/suspension request.
authorized user to submit system shall generate inactivation/suspension
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
employer’s account only if shallemployerto update their profiles, save the
BRQ63: BRQ: Employers the be able has granted the vendor/agent
information entered, and update theshall dynamically prompt the user for
BRQ64: BRQ: The employer portal profile information previously entered
BRQ65: BRQ: The UI wishes to establish or rescind code of status
information if the user tax system shall assign a field powerandattorney
examiner to a registrant’s case when the employer submits theindicating
BRQ66: BRQ: The registrant shall receive a message window profile
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
system until the employer system shall route profile maintenance"signs"
BRQ68: BRQ: The UI tax confirms the updated information and requests
BRQ69: BRQ: Employers shall be based initiate and rules.
to the appropriate status examiner able to on businesssubmit history
transfer applications in theshall be able to begin the history transfer
BRQ70: BRQ: Employers employer portal.
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application
the disposition Employers shall be dynamically prompted for all of the
BRQ72: BRQ: of the application after submitting the request.
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
might beBRQ: The UI tax system shall prompt the employer transfer via
BRQ74: required when an employer is completing a history to
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
BRQ76: BRQ: The during the transfer allow employers to and one or
the employer portalUI tax system shall application process enterupdated
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.
BRQ80: BRQ: When or examiner III’s) is posted to to override total
the status supervisor a quarterly report the authoritya predecessor’s
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
BRQ83: BRQ: The UI tax system shall experience, including wages
transfer all of the predecessor’s history apply business rules to recalculate
BRQ84: BRQ: successor a new shall automatically inactivate the
and assign the The UI tax systemrate based on the transferred history.
predecessor employertax system shall automatically transfer reports
BRQ85: BRQ: The UI account.
received BRQ: the effective date ofshall transfer from the predecessor’s
BRQ86: after The UI tax system the generate transfer of history notices
(e.g. denial notice, approval notice).

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    BRQ-BUC Functional Reqs                                                                                       Page 97 of 462                                                                         Date Printed: 7/27/2011
                                                                                               State of New Mexico - Department of Workforce Solutions
                                                                                                       UI Tax Modernization Requirements Matrix
                                                                                                               BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                      BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                    Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,
the status supervisor or examiner III’s) to have the authority enter ES 903A
BRQ90: BRQ: Employers shall be dynamically prompted to to override
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
information via The portal as part of a partial history transfer application. to
BRQ92: BRQ: When a quarterly partial history transfer applications
extend the timeline for receipt of report is posted to a predecessor’s and/or
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
account for a period ending after the effective date functionalitythe UI tax
BRQ94: and The UI partial history transfers.
to recordBRQ:process tax system shall automatically validate history
transfer application UI tax system shall display determination results for all
BRQ95: BRQ: The data or prompt a status examiner when appropriate
BRQ96: BRQ: criteria.
history transferThe UI tax system shall automatically calculate the
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
BRQ98: BRQ: The UI employer shall establish a business rules.
date on the successor tax systemaccount based onrelationship between the
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
BRQ100: BRQ: The UI tax system on transferred data and update the
predecessor employer rates based shall automatically generate internal
account transactionsUI tax system shallemployer authorizedaccount
BRQ101: BRQ: The required to adjust allow an monetary user to
BRQ102: BRQ: The UI actions based on business rules.
override history transfertax system shall allow an authorized user to record
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
(e.g., the status The UI tax system shall III’s) the authority to override out of
BRQ106: BRQ: supervisor or examiner automatically calculate an
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
BRQ108: BRQ: The UI has been completed.
of-state history transfer tax system shall generate notices for supporting
documentation whenUI tax system shall on business rules. to support
BRQ109: BRQ: The appropriate based contain functionality
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
(e.g., the status When a quarterly reportIII’s) the authority to override total
account for a period endingsystem shall prompt authorized users to initiate
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
other processesThe UI tax system shall automatically generate history
BRQ113: BRQ: required to be completed during the history transfer
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
BRQ119: BRQ: cancellations.
identify potentialThe UI tax system shall have the capability to allow users
to modify the selection criteria for the potentialthe capability to allow users
BRQ120: BRQ: The UI tax system shall have account cancellations
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
BRQ123: BRQ: inactivations/suspensions.
identify potentialThe UI tax system shall generate a potential
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the
reversal process, save the information entered, and employer toapplication
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
BRQ127: BRQ: The UI to system shall provide the employer with
acknowledgement prior taxsubmitting a request for history transfer. notice
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
BRQ129: Performance report to be run allow the user to run examiner or
Examiner BRQ: The UI tax system shall for a single individual the Individual
Status Examiner Performance report daily, weekly, monthly, quarterly,

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                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet             Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the
to allow an authorized user system shall view results of the completed TPS
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
BRQ135: BRQ: completed TPS system review questionnaires to the
ability to upload The UI tax system shall route work queue tasks to
appropriate staffThe UI tax system shall create program area up for review.
BRQ136: BRQ: based business rules and the appropriate messaging on
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
BRQ139: BRQ: The UI on system shall automatically generate a work list
create universes based tax the annual work plan data and business rules
item to the appropriate user to notify them when functionality to allow an
BRQ140: BRQ: The UI tax system shall contain the universe has been
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete
BRQ142: BRQ: The universe and shall a new functionality and business
a previously created UI tax systemcreatecontain universe.
rules necessary The UI tax system shall generateincludes the use of the
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
BRQ144: with The UI tax system ETA 407 Handbook for each work list
populatedBRQ:data specified in theshall automatically generate a sample.
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
BRQ146: BRQ: stored tax system shall allow an authorized user to access
of electronically The UI source documents to be identified and attached to
BRQ147: BRQ: The UI record sample allow results.
sample worksheets andtax system shallreview an authorized user to update
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
BRQ150: BRQ: The UI on system shall contain data.
create universes based tax the annual work plan functionality to allow an
BRQ151: BRQ: the UI tax system and validate authorized user
authorized user Theability to reviewshall allow an sample records. to delete
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:preliminary annual report.
a request BRQ:final annual system shall contain the capability to
BRQ155: for a The UI tax report.
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ158: BRQ: The code.
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
captured during The 802tax system Registration process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
BRQ162: Account Number, Employer County Code, Employer Name,
Employer BRQ: The UI tax system shall allow the New Employer
Verification Report to be exported to Microsoft Multi-Establishment
BRQ163: BRQ: The UI tax system shall allow Excel.
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
as a by-product The UIannual experience rate the ES204 details report to
BRQ167: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
annually as well Thefor a specified date range.
specified data which UI tax system shall track and the data’s actual state at
BRQ171: BRQ: The will allow for reports to query display all non-charges
BRQ172: users to report on these shall provide the ability to interface on
and allow BRQ: The UI tax system non-charges or contain an drill down to
fields in the ES204 report. This drill down functionality should show the

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    BRQ-BUC Functional Reqs                                                                                       Page 99 of 462                                                                         Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report             Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
as a by-product The UIannual experience rate the ES205 details report to
BRQ174: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
annually as well Thefor a specified date range by to andrun the report by
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
the different employer’stax system shall provide the ability to drill down on
BRQ179: BRQ: The UI legal entities.
BRQ180: BRQ: The This drill down functionality should show details report
fields in the ES205. UI tax system shall allow the receivables the
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
specified receivable type orsystemreceivable types.
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
to be run quarterly as well as for a specified date range (tochanges to
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
quarterly as wellThefor a specified date range by to all the changes to any
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
581 at any pointThe UI tax system request.
BRQ189: BRQ: 581. This drill down functionality files for: Active
fields in the ETASystem shall generate data extractshould show the
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
notice of potential work list time shall be generated and routed to the
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
BRQ197: BRQ: The UI tax state agency’s contact information (agency
modify and delete the othersystem shall allow for the processing of
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ201: BRQ: When report the Internet that the files are being
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
shall be able to submit shall be able toreportsand update information
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
required to enterData files that are uploaded shall be validated before the
BRQ207: BRQ: quarterly report summary information (ES 903A) before
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
BRQ209: BRQ: transactions.
to complete any If the user is returning to complete an incomplete quarterly
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
tax system to ensureportal shall also validate the year/quarter to ensure
BRQ213: BRQ: The the employer is a registered employer.
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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    BRQ-BUC Functional Reqs                                                                                         Page 100 of 462                                                                        Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance               Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
and excess wages for theshall also be able to turn on/off the multi-state
BRQ220: BRQ: The user existing employees.
BRQ221: indicator.
employee BRQ: To add an employee, the user shall tab to the first
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
continuingBRQ: Users page. not continue to the next page until the current
BRQ223: to the next shall
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
information, the Reportshall validate theshall be performed onthe detailed
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
BRQ226: well as bulk-loaded wages.
wages as BRQ: Appropriate error messages shall be displayed to the user
BRQ227: what The UI tax system shall allow the user to edit the data.
indicating BRQ: data elements are in error.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
be prompted with an acknowledgement form shall state that all the
BRQ230: BRQ: The acknowledgement form.
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
information contained in the report (orthe registration application by best
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
BRQ233: BRQ: The UI tax pending status and a unique transaction
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ234: (or file) which shall also function as the user’s report
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ235: BRQ: The UI tax system shall also return a customized payment
voucher to the portalportal shall the user’sconfirmation message providing
BRQ236: BRQ: The containing display a employer demographic
BRQ237: BRQ: The number and a reminder about potential penalties
a report confirmationportal shall not display complete SSNs for existingand
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
to make an electronic payment or print aallow employers tofor each report
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
quarterly reporting activitiesshall be able to begin the quarterly reporting
BRQ243: BRQ: Employers in the employer portal.
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
and wage BRQ: When payments for at least three years.
BRQ245: reports and editing corrected reports, the system shall verify
that the employer has employer shall have the option towith the same
BRQ246: BRQ: Each a quarterly report on the system data enter a report
BRQ247: BRQ: The editor upload a each report in the staging file.
directly into the portal or to shall readdata file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
number. (In use The system shall validate the account status.
BRQ249: BRQ: case 2.11)
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
report EAN is an active account or a suspended account ifon ayear/quarter
BRQ253: BRQ: The system shall verify that FEIN entered the report is
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
BRQ256: when Records discrepancy with the employer’s quarterly
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ257: BRQ: The accounts examiners shall run each check through a
validation BRQ: Theconversion machine.
BRQ258: and ACH ACH conversion machine shall link into a third-party
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                          Page 101 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the        Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
payment record The status of all matched payment records shall be set to
BRQ260: BRQ: in the OCR scanning processing.
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to
check shall be pulled, the NSF date shall be updated ES the payment
BRQ263: BRQ: The UI tax system shall contain functionality quarterly
an employer when there is a discrepancy with the employer’swhich allows
an accounts examiner to validate the format ofan authorized individual to
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic
correct errors on magnetic load from the on business rules. the staging
BRQ265: BRQ: Files shall media based magnetic media to
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall
maintain business rulestax system payments, reports, and adjustments.
BRQ267: BRQ: The UI for editing shall not limit the number of batches
BRQ268: BRQ: The UI in a 24-hour period.
that may be processed tax system shall e-mail an adjustment notification
(ES 542) to an employer when there is averify that thewith the employer’s
BRQ269: BRQ: The UI tax system shall discrepancy account associated
with report EAN The UI tax system shalla suspended account if the not
BRQ270: BRQ: is an active account or verify that the employer does
BRQ271: BRQ: report on the submits an electronic tax return or
have a quarterlyIf an employerUI tax system with the same year/quarter as
payment, BRQ: If the report shall deliverUI tax system shall post the
BRQ272: the UI tax system is new, the any subsequent correspondence
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ273: report and employee is data to as employer’s employee,
UI tax system shall generateis corrected, the UI tax system shall post the
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s
BRQ275: BRQ: The UI tax system shall generate the employer’s account.
updated summary report and wages report data toan electronic transaction
BRQ276: BRQ: each report processed.
journal entry for The journal shall list employer information, status (new or
corrected BRQ: The journal (ES 903A) data as information, status (new or
BRQ277: report), summary shall list employer reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment
BRQ278: report), summary (ES 903A) data as reported, and cumulative
BRQ279: BRQ: employer users shall have the capability to run
notification to anAuthorized when there is a discrepancy with the this
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The
BRQ283: contribution reports on the UI tax system.
employer BRQ: For each report, the edit process shall compute report
totals for total wages, taxable wages, excess wages,computed amount due
BRQ284: BRQ: The edit process shall compare the and total totals to the
summary BRQ: If the on thedetail does not balance to the report summary,
BRQ285: report total wage report.
the UI tax BRQ: The edit process shall generate for electronic edit report
BRQ286: system shall route a work queue task an an accounts examiner
entry for each out of report shall list identified. information, summary data
BRQ287: BRQ: The balance report employer
BRQ288: BRQ: The UI tax system the accept the as posted, the date
as posted, the cumulative totals forshallwage detail following account and
payment types: contributory accounts (regular users to make payments
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,
BRQ291: BRQ: If and payment method information to the UI tax system.
payment amount, an employer has monetary delinquencies, prompt the
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments
for one or BRQ: Payments made with a credit or debit card shall be for
BRQ293: multiple quarters, or payments for one or more employers
processed immediately, while bank account debits may take up tomain
BRQ294: BRQ: The user shall select "Make a Payment" from the three
menu then select account type anda quarterly report prior to beginning to
BRQ295: BRQ: If the user entered payment type from the sub-menus this
transaction, the The portal shall validate employer’s EAN and FEIN; the UI
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.
BRQ298: BRQ: If the payment.
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
the user to designate the payment to be automatically applied tothe portal
shall also BRQ: The portal shall retrieve and display the employer’s owes
BRQ300: validate the year/quarter(s) and determine if the employer
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports
account balanceThe user shall be prompted well asthe amount owed in full
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                       Page 102 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.          Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
BRQ303: BRQ: The portal shall prompt the user to enter the payment
BRQ304: BRQ: The user’s responses shall be edited based on the
method and prompt the user for additional informationbefore submittal.
BRQ305: BRQ: The portal shall submit the payment information to the
third-partyBRQ: The processorrecord shallUI tax system. the unique
BRQ306: payment payment and to the be updated with
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:
confirmation number and documenting the a unique transaction ID to the
BRQ308: BRQ: UI tax system shall assign payment received date,
payment which shall check data shall the loaded payment OCR interpreter
BRQ309: BRQ: The also function as be user’s from the confirmation
BRQ310: BRQ: For the UI tax system using the EAN (and review the
into a staging file oneach payment in the queue, Staff shall FEIN) if
BRQ311: the check and enclosure to resolve the issues with the check
images of BRQ: The UI tax system shall contain functionality to allow an
BRQ312: BRQ: to search system shall allow the UI tax system using the
authorized user The UI taxfor the employer on an examiner to update the
payment record The UI tax system shall contain functionality to allow an
BRQ313: BRQ: and release the payment for processing.
BRQ314: BRQ: to record when a payment received is cash.
authorized user The UI tax system shall contain functionality to allow an
BRQ315: BRQ: to record a deposit date associated record in the
authorized user The editor shall read each payment with the cash staging
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged
check. BRQ: The editor shall verify that the check is payable to
BRQ317:
BRQ318: BRQ: The editor of the name.
NMDWS or some variationshall validate the account status (active or
BRQ319: BRQ: The editor rules).
suspended - see business shall validate that the year/quarter are valid
dates andBRQ: If all edits are passed, thefor that year/quarter. be
BRQ320: that the employer owes money payment record shall
released for processing; otherwise,shall verify a pending status until all
BRQ321: BRQ: The UI tax system it stays in that the account associated
with report EAN Whenactive account or a suspended account shall verify
BRQ322: BRQ: is an editing new reports, the UI tax system if the
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
that the employer does tax system quarterly report on the UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ325: BRQ: The UI tax based shall payment type and how to
BRQ326: BRQ: each payment processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and howsystem shall was
BRQ327: BRQ: As each report is processed, the UI tax the payment
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the
BRQ331: BRQ: The UI tax included).
imaged report and check (ifsystem shall verify that the check is payable to
NMDWS or some variation system shall validate that the EAN is a valid
BRQ332: BRQ: The UI tax of the name.
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.
BRQ336: BRQ: The editor shall validate that the year/quarter are valid
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify
BRQ338: BRQ: The UI not have a shall generate on the UI notification
that the employer does tax system quarterly reportan ES 542 tax system to
an employer when there is a discrepancy with the itemized deposit reports
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report
BRQ341: into Payment information shall be captured separately from the
interpreterBRQ:an amended returns staging file on the UI tax system using
report information and placed in an amended returns payment data
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.
BRQ344: and ACH machine shall link into
validation BRQ: Thisconversion machine. a third-party service that
validates the check, the issuer, and the available balance before creating a

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    BRQ-BUC Functional Reqs                                                                                      Page 103 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the        Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the
BRQ348: BRQ: The status the credit transaction.
with the transaction date of of all matched payment records shall be set to
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check
BRQ350: BRQ: An accounts examiner shall updated on the payment
check shall be pulled, the NSF date shall be retrieve an out of balance
BRQ351: from The UI queue.
work task BRQ:the worktax system shall contain functionality allowing the
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow
BRQ353: BRQ: to make necessary corrections authorized quarterly
for the examinerThe UI tax system shall allow anto employer user to
generate a request for information when allow users with appropriate
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of entering a recordaselection date by the for
BRQ356: BRQ: The UI tax system shall run (on schedule set range
users) an BRQ: The report of outstanding discrepancy notices based on
BRQ357: electronic UI tax system shall create incomplete report penalty
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an
authorized user The UI taximaged documents an authorized user to
BRQ362: BRQ: to access system shall allow attached to an employer
remove an incomplete report penalty from an released for processing shall
BRQ363: BRQ: Transactions that have been employer account.
be processed during UI tax system user transaction posting run. access
BRQ364: BRQ: Any the next monetary with appropriate security
BRQ365: BRQ: Online transfer requests shall transfer.
shall be able to complete an online request forbe placed in a "pending"
status. (InBRQ: The 3.06)
BRQ366: use case information shall be edited to ensure accuracy. (In
use case 3.06) The UI tax system shall validate that the EAN’s are valid
BRQ367: BRQ:
account numbers, the "to" employer is inensure thatcontributory status, the
BRQ368: BRQ: The UI tax system shall an active, the items requested
BRQ369: BRQ: on the "from" employer edits, the
for transfer existIf the request passes theaccount. report and/or payment
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:
incomplete report penalty for the year/quarter, the UIemployer information
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open
BRQ374: BRQ: The transfer, as well as the date and time the to adjust
and details about theUI tax system shall allow authorized users transfer or
remove/abate penaltiestax system user with they were assessed in error or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access
shall be able to complete an online shall validate that the EAN is a valid
BRQ376: BRQ: The UI tax system request for adjustment.
BRQ377: BRQ: and the year/quarter are valid that the
account numberThe UI tax system shall ensuredates. items requested
for adjustment exist on the employer’sthe edits, the request status shall be
BRQ378: BRQ: If the request passes account.
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall
reapply any specified account has adjustassessed aand P&I on or
BRQ380: BRQ: If the payment, or been (or abate) late report the
incomplete report penalty for the year/quarter, the an electronic transaction
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open
journal entry for The journal shall list employer information and details
BRQ382: BRQ: each request processed.
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ386: BRQ: The UI tax based shall transaction type.
BRQ387: BRQ: each transaction processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and how the transaction

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    BRQ-BUC Functional Reqs                                                                                       Page 104 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as           Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
the original payment UI tax system shall require users to enter the exact
BRQ389: BRQ: The was posted.
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,
shall be able to complete an online request for bepayment reversal. to
BRQ391: BRQ: Online reversal requests shall a routed via work flow
BRQ392: BRQ: The request on business rules.
an accounts examiner basedshall include as much information as the
BRQ393: can provide.
requestor BRQ: If the examiner cannot locate the payment the UI tax
BRQ394: BRQ: The examiner shall enter the reversal request with the
system shall allow the examiner to updatethe reversal transaction into the
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the
work task BRQ: The UI tax system shall have the capability of a noticeato
BRQ398: as completed and the UI tax system shall generate having
BRQ399: employer account that is to query each transaction and
suspense BRQ: Users shall be able used solely to post reportsposted to
BRQ400: BRQ: The UI tax system imaged information appropriate
the suspense account and view theshall allow users withfor that
BRQ401: BRQ: If capability of setting and maintaining still in pending
security levels thethe records (report and payment) are the runaschedule
status after two days, the UI tax system shall UI tax system shall updateto
BRQ402: BRQ: At the end of three days, the trigger a work queue task
BRQ403: and payment records with UI "suspense" EAN and release
the report BRQ: On a daily basis, the the tax system shall review the the
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the
BRQ408: BRQ: An accounts examiner shall be work the assigned
appropriate accounts examiner’s work queue to able to retrieve a work task
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also
task.
BRQ412: BRQ: The reports and payments shall be processed during the
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on
employer BRQ: Theto record the occurrence of certain actions. For control
BRQ415: accounts UI tax system shall maintain business rules to
selection of employers for inclusionshall have the capability tolist. down to
BRQ416: BRQ: The UI tax system on potential tax intercept drill
BRQ417: of the amounts system shall track pending and deposited
the detailsBRQ: The UI tax in the collections processedand posted
transactions so the collections processed and the capability to run the run
BRQ418: BRQ: The UI tax system shall allow deposited report can be
collections processed and deposited report byauthorized users the ability
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
BRQ420: BRQ: pre-defined reports.
to view and printThe UI tax system shall freeze credit accounts balances at
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have
credits and releasingUI tax system shall allow users with appropriate
BRQ422: BRQ: The credits for refund processing.
security levels the capability of setting and maintaining credit report
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
BRQ424: to the user-defined run schedule.
according BRQ: The UI tax system shall automatically route an electronic
copy of the report to accounts supervisor shall retrieve the report from
BRQ425: BRQ: The the accounts supervisor.
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the
work queue and If the examiner determines the credit is valid, the examiner
BRQ428: BRQ: review the assigned account.
shall release theAuthorized users a brief narrative about why the credit is
BRQ429: BRQ: credit and enter shall have the capability of releasing all
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of setting and maintaining the run schedule

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    BRQ-BUC Functional Reqs                                                                                       Page 105 of 462                                                                        Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the              Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
reason forBRQ: The employer refundstub.
BRQ432: the refund on the warrant processing job shall run in ‘no
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic
BRQ434: BRQ: The refund report to the accounts supervisor.
copy of the employerUI tax system shall allow the examiner to review the
report andBRQ: Whenof the transactions completed his/heronly somethe
BRQ435: release all the examiner has for processing or review of of
BRQ436: UI tax system shall trigger the final refund job to job which
report, theBRQ: The UI tax system shall run the final refund run during
posts the refundThe refund warrantsemployer’s account and generates
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
refund theBRQ: The UI tax system shall FMB examiner examiner to record
all of the information UI tax system shallshall be included in the task notes.
BRQ440: BRQ: The about the warrant contain functionality to allow for a
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI
BRQ441: be voided and a refund reversal to be recorded.
tax system shallThe UI tax system shall freeze credit balances when they
BRQ442: BRQ: turn on the invalid address flag for the mailing address
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall
employer BRQ: Theto record the occurrence of certain actions. For
BRQ445: accounts UI tax system shall allow authorized users to define
BRQ446: BRQ: The UI tax system running the all balance transaction
and maintain the business rules forshall contain trialdata and (e.g.,
BRQ447: BRQ: The UI tax the trial balance.
details required to generatesystem shall allow authorized users to define
BRQ448: BRQ: The UI tax system running the account users to (e.g.,
and maintain the business rules forshall allow authorizedsummary define
and maintain the business rules forshall allow authorized users to define
BRQ449: BRQ: The UI tax system running the daily transaction detail
and maintain the business rules delinquent contribution report shall be
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
scheduledBRQ: The UI tax system shall have the ability to send a
BRQ451: to run automatically every quarter.
BRQ452: BRQ: The UI tax system shall have the the preliminary
notification to each Field District Supervisor when ability to assign a field                                                                                      X
code to a BRQ: employer account and tax representative based on
BRQ453: given The UI tax system shall have the ability to automatically
BRQ454: BRQ: The UI tax system shall tax representative based on
assign delinquent report work items to a allow authorized individuals to                                             X
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:
employer BRQ: Authorized users shall be able to view only and history
BRQ457: accounts declared delinquent for a given quarter the the current
BRQ458: to a specific delinquency or to coded messages recorded
notes tied BRQ: All history notes shall be see all by type of activity. in the
BRQ459: BRQ: The UI tax system shall allow an authorized user to record
BRQ460: a report delinquency assignment.
results forBRQ: The UI tax system shall automatically change the status of
the assignment when a report hasphone received, an estimated report
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
BRQ462: be noted in a history section of each employer account.
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena
cover letter fromAn authorized user shall be able to record updates to the
BRQ464: BRQ: the UI tax system.
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a
BRQ465: assignment history user shall have status from issued to
BRQ466: BRQ: The UI case assignment.
scanned document to atax system shall allow an authorized user to create
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an
BRQ468: report accounting transactions to support the approval to
employers for each approved estimated automatically update an estimated
BRQ469: BRQ: The UI tax system shall report worksheet assignment.
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
report assignment with the system of an original report as is appropriate.
to update BRQ: The UI tax system shall automatically generate a work
BRQ471: an estimated report assignment.
item to the Tax ChiefUI an original report place the original an estimated
BRQ472: BRQ: The if tax system shall is received after report in a
holding/staging tableUI tax reviewed andbe able to archive estimated wage
BRQ473: BRQ: The to be system shall disposition by authorized users
reports when they are replaced by an actual estimated wage report with

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    BRQ-BUC Functional Reqs                                                                                        Page 106 of 462                                                                        Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and         Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
rejected, the UI tax system system shall generate notice of report wage
BRQ475: BRQ: The UI tax shall be able to archive the submitted
BRQ476: BRQ: The UI tax an estimated report has been superseded by
acceptance to employers if system shall allow an authorized user to place
BRQ477: 10-day notices for a specified allow of time.
a stop on BRQ: The UI tax system shall periodan authorized user to
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain
generate 10-dayThe UI tax system shall generate 10-day notices to
BRQ479: BRQ: notices.
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall
system tasks when aUI tax system shall allow an authorized user the ability
BRQ481: BRQ: The payment is received.
to removeBRQ: The UI placed stopshall record 10-day item. This will on
BRQ482: a previously tax system on a 10-day notice notice actions
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI
BRQ484: BRQ: The UI tax system shall automatically (In use case
letters and documents to be generated from a pick list.initiate the lien4.07)
generation job basedUI tax system rules. place the appropriate district
BRQ485: BRQ: The on business shall
BRQ486: BRQ: The signature on shall contain a lien history file/record.
supervisor electronicUI tax system the lien.
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:
establish a collectionUI tax and record the results, pertinenthistory file of
BRQ489: BRQ: The case system shall keep a collections information,
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The
BRQ491: BRQ: The UI account on demand.
generate a statement oftax system shall allow an authorized user to
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
generate a zero The UI tax system shall automatically default signature to           X
user initiating the actiontax system shall allow an authorized user to for
BRQ493: BRQ: The UI but also allow the user to enter another name                    X
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks            X
BRQ495: BRQ: The UI tax queues
in NMDWS employee work system shall create lien-related messaging on                 X
BRQ496: accounts UI tax system shall allow an authorized user to
employer BRQ: Theto record the occurrence of certain actions                                   X
BRQ497: BRQ: The UI tax system record the results, pertinent
establish a lien collection case and shall keep a lien collections history file                X
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax                                                                        X                                  X           X
BRQ499: BRQ: The coupon for a shall automatically assign use queue
generate a payment UI tax systemgiven employer account. (Inwork case                                       X                                                                      X
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections                                      X
assignment to the appropriate Field Tax allow an authorized user the ability
BRQ501: BRQ: The UI tax system shall Representative when a payment                                         X
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized                                                   X
BRQ503: BRQ: The actions and results generate collection case
NSF collection case UI tax system shall in the UI tax system.                                                         X
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall                                                                                  X
assignments to individuals based on business an authorized user to record
BRQ505: BRQ: The UI tax system shall allow rules.                                                                     X
actions taken onThe UI tax system shall keep a collections history file of
BRQ506: BRQ: collections assignment cases.                                                                            X
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The                                                                                                      X
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling                                                 X
BRQ509: BRQ: scheduling of period jobs.
software for the The UI tax system shall maintain collection case status                                              X
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall                                                                                              X
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection of employers for inclusionshall maintain business rules to control                                                      X
selection for certain periodic extract file creation. For example, to modify a
BRQ512: BRQ: The UI tax system shall allow authorized users the annual                                                            X
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security                                                           X
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax                                                     X
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control                                                           X
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice                                                                          X
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                         Page 107 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand            Maintain   Execute    Checks:     Current   Intercepts:     X
                                                                                                                                          Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
documentBRQ:the appropriate datashall allow business rules.
BRQ518: with The UI tax system based on an authorized user to enter a                                                                       X
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record                                                                  X
BRQ520: BRQ: garnishment cases.
actions taken onThe UI tax system shall keep a history file on all                                                                          X
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The                                                                                                                            X
to attach electronic document images to keep a history file on all
BRQ522: BRQ: The UI tax system shall a garnishment case.                                                                                    X
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The                                                                                                                                      X
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all                                                                                       X
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The                                                                                                                                                  X
BRQ526: BRQ: Collection Case assignments.
actions taken onThe UI tax system shall keep a history file on all Collection                                                                                     X
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The                                                                                                                                                  X
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system                                                                                                                                    X
BRQ529: BRQ: The UI assignments work items authorized user to record
assign Collection Case tax system shall allow anto a tax representative                                                                                           X
actions taken to The UI tax system shall maintain business rules to control
BRQ530: BRQ: clear the delinquency on the case file.                                                                                                                            X
selection of employers for inclusionshall support uncollectible lists.
BRQ531: BRQ: The UI tax system on potential declaring an entire                                                                                                                 X
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be                                                                                                                      X
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
BRQ533: on payment tax timelines greater an 12 months                                                                                                                                       X
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,                                                                                                                            X
BRQ535: and final payments based on place the payment entered
timelines, BRQ: The UI tax system shall specific information plan into on the                                                                                                               X
suspension if a report istax system shall allownot made. user to change
BRQ536: BRQ: The UI not filed or payment authorized                                                                                                                                         X
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change                                                                                                                        X
the terms BRQ: The UI tax system shall allow an authorized user to record
BRQ538: of the payment plan.                                                                                                                                                                X
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain                                                                                                                                                  X
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan                                                                                                                          X
BRQ541: BRQ: the payment plan shall allow
documents fromThe UI tax system history file. an authorized individual to                                                                                                                   X
BRQ542: BRQ: The UI tax system the employer authorized portal.
submit a payment plan request via shall allow an self service user to                                                                                                                       X
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.                                                                                                                                             X
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system                                                                                                                                                                        X
place an alert in The Field Tax Representative’s work queue if payment is
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan                                                                                                                                 X
case in the FieldThe UI tax system shall generate the Defaulted Payment
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work                                                                                                                                  X
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment                                                                                                                                   X
Plan notice with The appropriate data based on business rules. to enter a
BRQ548: BRQ: the UI tax system shall allow an authorized user                                                                                                                                         X
BRQ549: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record                                                                                                                            X
BRQ550: BRQ: Defaulted Payment Plan cases.
actions taken onThe UI tax system shall keep a history file on all payment                                                                                                                            X
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary                                                                                                                                             X
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers                                                                                                                                           X
BRQ553: electronically and submitted payments via payment coupon.
have filed BRQ: The UI tax system shall automatically generate a                                                                                                                                                 X
BRQ554: of account to employers with be able to deficiency meeting
statementBRQ: The UI tax system shall a monetarygenerate statement of                                                                                                                                            X
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.                                                                                                                                                                                      X           X
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In                                                                                                                                           X
secondary liability (predecessor debt) and generating aprinting a text the
BRQ557: BRQ: The UI tax system shall be capable of statement to                                                                                                                                                  X           X
message on theThe UI tax system shall recordcase 4.20) of statements of
BRQ558: BRQ: statement of account. (In use generation                                                                                                                                                            X           X
account and keep a history. (In useshall allow an authorized user to view
BRQ559: BRQ: The UI tax system case 4.20)                                                                                                                                                                        X           X
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                       Page 108 of 462                                                                         Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak                 Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain      X
                                                                                                                                                                                                              Generate   Generate
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The                                                                                                                                                                                                            X
BRQ562: BRQ: The UI delinquencies by quarter.
report and/or wage datatax system shall not include accounts that have                                                                                                                                                      X
BRQ563: BRQ: The UI tax suspense indicators.
bankruptcy or uncollectible system shall automatically generate a                                                                                                                                                           X
BRQ564: of account to employers with be able to deficiency meeting
statementBRQ: The UI tax system shall a monetarygenerate statement of                                                                                                                                                       X
accounts to multiple UI tax system shall bemonthly job identifying
BRQ565: BRQ: The addresses during the capable of run.                                                                                                                                                                       X
BRQ566: BRQ: The UI tax system shall allow an authorized user to
secondary liability (predecessor debt) and generating a statementto the
BRQ567: BRQ: The statement on shall present a Statement of Account
generate an accountUI tax system any account, including accounts that
BRQ568: BRQ: The UI tax system statement an the internet.
online to an employer requesting a shall allow via authorized user to print a
statementBRQ: The UI tax the employer allow an authorized user to
BRQ569: of account from system shall self service portal.
request online printing of a system shall allow a user tostatementstatement
BRQ570: BRQ: The UI tax statement of account. The view the will be
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record
BRQ572: BRQ: The printed on the statement generation
a text message to beUI tax system shall recordof account. of a statement
of account online on UI tax system shall allow indicator alert to employer
BRQ573: BRQ: The the account history file.
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate
a Prior Delinquent Contribution Report and Case authorized user to by
BRQ576: BRQ: The UI tax system shall allow an Assignments Report
BRQ577: BRQ: The a tax system shall a priority assignment.
change the status of UIcollection case toautomatically generate a Prior
BRQ578: BRQ: The UI Old report.
Assignments - 90 Days tax system shall initiate a work item to each District
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is
BRQ579: BRQ: The them system shall allow an - 90 Days user to
remove a BRQ:Collection Case Assignment from authorized user to record
BRQ580: Prior The UI tax system shall allow an a work queue.
actions taken onThe UICollection Case assignments. file on all Prior
BRQ581: BRQ: Prior tax system shall keep a history
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.
BRQ583: to run automatically every quarter.
scheduledBRQ: The UI tax system shall have the ability to automatically
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI
establish, BRQ: The UI tax system shall allow an authorized userdata and
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
BRQ587: a record from the Bankruptcy allow an authorized user the
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability
BRQ588: Bankruptcy tax system shall allow an authorized user
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter
BRQ592: BRQ: data into system shall contain the data and business
bankruptcy caseThe UI taxthe system and will store the data in a
rules necessary The UI tax system shall place a ability to establish a on an
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ594: account when a system shall take or stop actions
required on bankruptcy tax systemprescribed business rules.
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a
BRQ597: BRQ: The UI tax system given period of time.
user to assign an interest rate for ashall include a Proof of Claim screen.
BRQ598: BRQ: The UI tax system shall allow an authorized user to record
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an
the bankruptcy case UI tax system shall maintain a history for anmissing
BRQ600: BRQ: The file on the employer’s account for any data
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system
rules necessary The UI bankruptcy documents toan update bankruptcy
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
case file function.

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    BRQ-BUC Functional Reqs                                                                                       Page 109 of 462                                                                        Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability        Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
to update BRQ: The UI tax system shallthe update case file function.
BRQ604: bankruptcy case file data via support the generation of
BRQ605: BRQ: The UI tax correspondence.
bankruptcy documents andsystem shall automatically update the
BRQ606: BRQ: history file when the update an authorized user function
employer’s caseThe UI tax system shall allowbankruptcy case file to record
BRQ607: BRQ: The UI tax system shall the court orders on the to control
the disposition of a bankruptcy case per maintain business rulesemployers
selection and printing oftax system shallprocessing jobs. For example,
BRQ608: BRQ: The UI certain annual allow users with adequate security
to trigger the sampleUI tax system shall allow use business rules to
BRQ609: BRQ: The prepayment job.
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security
to override zero Prepayment notices shall be bar coded with the EAN,
BRQ611: BRQ: dollar prepayment amounts.
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax
selection and printing oftax system shall allow users with adequate security
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use of business rules to
BRQ614: BRQ: The quarterly reimbursable billing job
BRQ615: BRQ: The UI tax system amounts.
calculate quarterly benefit chargingshall allow users with valid security
(e.g., the status The UI tax system shall III’s) the authority to override tax
BRQ616: BRQ: supervisor or examiner automatically trigger the
generation of appropriate employershall allow employers the option to
BRQ617: BRQ: The UI tax system notices. For example, the UI tax
select Appeals, Tax, or Board of Review when filingnumber) is corrected in
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
BRQ619: system, denial correspondence attached to notification of be
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
employer’s next The UI tax system shall maintain business rules to control
selection and printing oftax system shall allow users with adequate security
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ622: BRQ: The quarterly reimbursable billing job.
BRQ623: BRQ: Authorized claims amounts.
calculate quarterly benefit chargingpersonnel shall have authorization to
BRQ624: UI tax system.
query the BRQ: Benefit charge statements shall be bar coded with the
EAN’s, amountsRe-certification documents (940Cs) shall include an
BRQ625: BRQ: due, and due dates.
electronic BRQ: The so theysystem shall compare the employer’s liability
BRQ626: signature UI tax may be sent electronically to employers. (In
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
date spans on record totax system shall allow employers to and reject any
years individually on UIre-certification request.
BRQ628: BRQ: The a tax system shall compare the employer’s liability
date spans on record totax system shall allow re-certification requests any
BRQ629: BRQ: The UI the re-certification periods entered and reject for
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an
electronic BRQ: The so theysystem shall allow re-certification requests for
BRQ631: signature UI tax may be sent electronically to employers.
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system
annual IRS 940 The UI tax system shall allow authorized personnel toon
BRQ633: BRQ: certification tape and match employer records based
recalculate tax rates UI tax payment amounts that business rules to control
BRQ634: BRQ: The using system shall maintain have not yet posted to
BRQ635: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
to trigger the sampleUI tax system shall allow use business rules to
BRQ636: BRQ: The annual rate job
calculate annualThe UI tax system shall allow users with adequate security
BRQ637: BRQ: rates.
to override zero The job shallamountsto be run in two modes: preliminary
BRQ638: BRQ: percent rate be able
(no update) and The preliminary job runany time. affect the prior production
BRQ639: BRQ: production (update) at shall not
employer BRQ: The job shall include variable parameters in the selection
BRQ640: selection.
process. Examples of the parameters that shall be modifiable includeSub-
BRQ641: BRQ: The run schedule shall be coordinated with the Field the
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and
BRQ643: BRQ: The UI tax that direct the employer selection for the
maintain the business rulessystem shall route work queue tasks to Field
Operations staff The UI on the field shall allow authorized(In use case 1.07,
BRQ644: BRQ: based tax system code of the account. user to initiate a
BRQ645: BRQ: The UI request.
target audit assignmenttax system shall allow an authorized user to
change a target audit assignment to approved or denied.

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    BRQ-BUC Functional Reqs                                                                                        Page 110 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor          Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
informing BRQ: whenUI tax system shall allow authorized approved or the
BRQ647: them The a status change has occurred (e.g. users to view
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
BRQ649: BRQ: based on users shall be the to record actions taken on
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI
BRQ652: BRQ: Authorized users shall including record actions taken
notices, letters, forms, etc to employer be able tothe audit notification and
regarding BRQ: The UI tax system shall tax system.
BRQ653: an audit assignment in the UI allow an authorized user to modify
the status BRQ: The UI tax system(e.g. change from requested to
BRQ654: of an audit assignment shall allow for different audit statuses
BRQ655: BRQ: The UI tax system in the audit history file.
and maintain audit status changes shall allow for employer information that
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system
synchronization The UI tax system shall contain an audit program that can
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system
account changes indicated system shall allow authorizedincludeto modify
BRQ660: BRQ: The UI tax in the audit results. This will users generating
audit results for The UI tax system shall have the ability toon business
BRQ661: BRQ: various audit assignment statuses based store audit
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax
Operations staff When an employercode of theform or other use case 1.07,
BRQ664: BRQ: based on the field submits a account. (In information,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the
BRQ665: system shall automatically create work items and main record,
BRQ666: related documents and shall contain
as well asBRQ: The UI tax systemwork items. a blocked wage claim
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.
blocked wage claim has been resolved and results haveallowed to set up
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim
work item BRQ: The UI tax system shall generate a another when the
BRQ672: information from one account number to determination letter
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to
the finding of a blocked tax system shall allow anassignment user to
BRQ674: BRQ: The UI wage claim on the case authorized screen.
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the
appropriate work queuetax systempre-defined an authorized user to record
BRQ676: BRQ: The UI based on shall allow business rules.
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:
item informationThe UI taxaccount number to another when instructed by
BRQ679: BRQ: from one system shall generate a determination letter
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
and submit new The UI tax system informationan authorized update the an
appeal after the If an authorized user saves the appeal but does provided
BRQ683: BRQ: deadline (based on business rules) has passed not submit
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
BRQ686: data.
summary BRQ: The UI tax system shall return an acknowledgement form
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
message once the appeals system shall automatically assign a case
number to new appeals. (In use case 9.02)

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    BRQ-BUC Functional Reqs                                                                                       Page 111 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ689: BRQ: Work items shall contain links to the employer’s main              Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ690: the appeals case file, and shall original determination that was
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
BRQ693: BRQ: The system shall generate to next "page."
entered before allowing the user to proceedan appeals form with a bar
BRQ694: BRQ: Appeal a determination.
code and include it with requests shall be scanned and indexed to the
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
BRQ696: BRQ: The system shall be an to generate an appeal from item
request and automatically generatingableappeal case worksheet work the
for the appropriate individual based shall be able rules. update the
BRQ697: BRQ: An authorized user on business to enter
BRQ698: BRQ: The system shall additional information related to modify
appeals worksheet to include any allow an authorized user to add, the
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
BRQ700: notifying employer that automatically assign a case number to
employer BRQ: The system shall appeal has been received and requesting
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
to the appeals case file, and to the original determination that was main
record and the original determination that was track the status of the
BRQ703: BRQ: The employer shall be able to appealed.
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
determination using theon items selected, the UI tax system shall create
BRQ709: BRQ: Based correspondence component that includes the
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
BRQ713: BRQ: he UI tax system shall is read.
when an email is delivered and when it allow authorized staff to view all
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ716: account and tax system shall maintain a history of an appeal
including data on each level of appeal and links to all linking of related
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
generate correspondence using templates. The templates shallbased on
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
BRQ723: BRQ: Based on items of appeal the decision the appropriate
automatically determine the typechecked inand route it tothe UI tax system
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
record, the original determination that was appealed,related, scanned
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
letter using a templateto the decision letter shall be created within the
BRQ729: BRQ: A link that includes the following fields: original
appeals case when theon items determination istemplate the UI tax system
BRQ730: BRQ: Based letter of checked in the saved.
BRQ731: BRQ: The UI directing Tax Section to make summary
shall create work items Tax system shall generate the appropriate
accounting transactions from the Accounting Summary report.

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    BRQ-BUC Functional Reqs                                                                                       Page 112 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC66:     BUC67:    BUC68: NSF   BUC69:    BUC70: Tax    BUC71:   BUC72:      BUC73:        BUC74:       BUC75:   BUC76:     BUC77:     BUC78:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting             Maintain   Execute    Checks:     Current   Intercepts:   Create   Maintain   Collection   Uncollectibl   Create   Maintain   Generate   Generate
transactions that support each day’s summary journal entryactual totals for
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
each revenue type (e.g., federal clearing calculate state trust fund, revenue
BRQ735: BRQ: The bank system shall on the running actual to adjust
distributions for eachUI Taxdeposit basedallow authorized users totals for
the running, actual totals to reflect transfers out of thein the accounts to
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
and the summary accounting developed toto SHARE shall reflect that
BRQ737: BRQ: The program transactions fulfill the requirements
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
documented in NMDWSof adjusting journal entries shall reflect the shall
change ofBRQ: The UI Tax system shall breakdown the receivables
BRQ739: the accounts receivables balance since the end of the prior
balance according tosystem shall allow authorized users to locate warrants
BRQ740: BRQ: The business rules.
BRQ741: BRQ: The reconciliation process account number.
using the warrant number and/or employer shall include error handling for
BRQ742: such The system shall numbers or a warrant number already
situations BRQ: as invalid warrant allow an interface from the bank to the
UI Tax System for the redeemed warrantsthe capability to identify credits
BRQ743: BRQ: The system shall contain reconciliation process.
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
BRQ746: property.
unclaimedBRQ: The system shall generate the appropriate accounting
transactions for The system shall as unclaimed property.
BRQ747: BRQ: credits classified have the capability to allow refund
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track
account for the breakdown ofamounts shall payments and charges for to
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
an employer’s account as a payment when a benefit and journal entries
shall be generated when a prepayment is reclassified as a payment to a




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    BRQ-BUC Functional Reqs                                                                                       Page 113 of 462                                                                        Date Printed: 7/27/2011
                                                                                         State of New Mexico - Department of Workforce Solutions
                                                                                                 UI Tax Modernization Requirements Matrix
                                                                                                         BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                               BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ1: BRQ: Employers shall be able to initiate and submit new                 Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
BRQ3: BRQ: Successor employers shall the registration information
save the information entered, and updatebe able to register as a new
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
based on the The registrant shall receive employer portal.
BRQ6: BRQ: information provided in the a message window indicating the
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
disposition of The registration after submitting the registration request.
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
BRQ9: when the UI tax system shall automatically information and
system BRQ: The registrant confirms the registrationassign an employer
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
based on previous answers. For example, capable of capturing multiple
physical BRQ: Theand tax system shall follow FUTA guidelines for
BRQ12: locations UI multiple owners/partners/officers.
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
BRQ15: recording UI tax system shall allow queries on all accounts with
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
of appropriate employer packets, forms, and authorized users to update
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
parameters that control the data extract quarterly report schedule the job.
BRQ18: BRQ: The data tape extract for job and to then generation shall
exclude employers annual preferred report generation process shall send
BRQ19: BRQ: The whose quarterly method of communication is mail.
BRQ20: BRQ: If the to those employers whose preferred method of
an e-mail notificationrequest cannot be processed automatically, the
employer shall The UI taxmessage window stating the liability date span of
BRQ21: BRQ: receive a system shall automatically trigger the printing
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
paymentBRQ: The UI tax contributory account is capability of processing
BRQ24: amount when a system shall have the converted to a
total payrolls inThe change packet consists of ES 802 (application to
BRQ25: BRQ: excess of $1M.
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
BRQ35: BRQ: an account has been suspended.
employer whenAccount reactivation requests are routed to the appropriate
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
system shall search the production databaseaccountaccount. If the
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
provide information systemthe coverage termination enter a narrative
BRQ41: BRQ: The about shall prompt the user to request based on
explaining the reason theysystem shall display account.
BRQ42: BRQ: The UI tax are terminating the a message window with
BRQ43: BRQ: The UI tax system shall coverage termination request
information about the disposition of the route coverage termination
requests to the ES Supervisor, Office Section based on business rules.

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    BRQ-BUC Functional Reqs                                                                                  Page 114 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change         Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
automatic job run shalltax system shall contain functionality to support a
BRQ50: BRQ: The UI include notification of employer appeal rights.
batch job run to identify and terminate employeremployer termination
BRQ51: BRQ: The UI tax system shall produce accounts based on
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
submit an account suspension request prompt employerto provide and
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
verify information about the business based onthe user to enter awhen
explaining the reason theysystem shall issue a suspension approved
BRQ56: BRQ: The UI tax are terminating their account.
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ60: BRQ: The UI tax an inactivation/suspension request.
authorized user to submit system shall generate inactivation/suspension
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
employer’s account only if shallemployerto update their profiles, save the
BRQ63: BRQ: Employers the be able has granted the vendor/agent
BRQ64: BRQ: The employer portal profile information previously entered
information entered, and update theshall dynamically prompt the user for
information if the user tax system shall assign a field powerandattorney
BRQ65: BRQ: The UI wishes to establish or rescind code of status
examiner to a registrant’s case when the employer submits theindicating
BRQ66: BRQ: The registrant shall receive a message window profile
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
system until the employer system shall route profile maintenance"signs"
BRQ68: BRQ: The UI tax confirms the updated information and requests
to the appropriate status examiner able to on businesssubmit history
BRQ69: BRQ: Employers shall be based initiate and rules.
transfer applications in theshall be able to begin the history transfer
BRQ70: BRQ: Employers employer portal.
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application
the disposition Employers shall be dynamically prompted for all of the
BRQ72: BRQ: of the application after submitting the request.
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
BRQ74: required when an employer is completing a history to
might beBRQ: The UI tax system shall prompt the employer transfer via
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
BRQ76: BRQ: The during the transfer allow employers to and one or
the employer portalUI tax system shall application process enterupdated
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.
BRQ80: BRQ: When or examiner III’s) is posted to to override total
the status supervisor a quarterly report the authoritya predecessor’s
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
transfer all of the predecessor’s history apply business rules to recalculate
BRQ83: BRQ: The UI tax system shall experience, including wages
and assign the The UI tax systemrate based on the transferred history.
BRQ84: BRQ: successor a new shall automatically inactivate the
BRQ85: BRQ: The UI account.
predecessor employertax system shall automatically transfer reports
received BRQ: the effective date ofshall transfer from the predecessor’s
BRQ86: after The UI tax system the generate transfer of history notices
(e.g. denial notice, approval notice).

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    BRQ-BUC Functional Reqs                                                                                   Page 115 of 462                                                                        Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                   Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ88: BRQ: The UI tax system shall make date transfer
account for a period ending after the effectivepartialof the transfer, the UI
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,
BRQ90: BRQ: Employers shall be dynamically prompted to to override
the status supervisor or examiner III’s) to have the authority enter ES 903A
information via The portal as part of a partial history transfer application. to
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
extend the timeline for receipt of report is posted to a predecessor’s and/or
BRQ92: BRQ: When a quarterly partial history transfer applications
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
account for a period ending after the effective date functionalitythe UI tax
BRQ94: and The UI partial history transfers.
to recordBRQ:process tax system shall automatically validate history
BRQ95: BRQ: The data or prompt a status examiner when appropriate
transfer application UI tax system shall display determination results for all
history transferThe UI tax system shall automatically calculate the
BRQ96: BRQ: criteria.
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
date on the successor tax systemaccount based onrelationship between the
BRQ98: BRQ: The UI employer shall establish a business rules.
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
BRQ100: BRQ: The UI tax system on transferred data and update the
predecessor employer rates based shall automatically generate internal
account transactionsUI tax system shallemployer authorizedaccount
BRQ101: BRQ: The required to adjust allow an monetary user to
BRQ102: BRQ: The UI actions based on business rules.
override history transfertax system shall allow an authorized user to record
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
BRQ106: BRQ: supervisor or examiner automatically calculate an
(e.g., the status The UI tax system shall III’s) the authority to override out of
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
of-state history transfer tax system shall generate notices for supporting
BRQ108: BRQ: The UI has been completed.
documentation whenUI tax system shall on business rules. to support
BRQ109: BRQ: The appropriate based contain functionality
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
(e.g., the status When a quarterly reportIII’s) the authority to override total
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
account for a period endingsystem shall prompt authorized users to initiate
other processesThe UI tax system shall automatically generate history
BRQ113: BRQ: required to be completed during the history transfer
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
identify potentialThe UI tax system shall have the capability to allow users
BRQ119: BRQ: cancellations.
to modify the selection criteria for the potentialthe capability to allow users
BRQ120: BRQ: The UI tax system shall have account cancellations
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
BRQ123: BRQ: inactivations/suspensions.
identify potentialThe UI tax system shall generate a potential
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the
reversal process, save the information entered, and employer toapplication
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
acknowledgement prior taxsubmitting a request for history transfer. notice
BRQ127: BRQ: The UI to system shall provide the employer with
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
BRQ129: Performance report to be run allow the user to run examiner or
Examiner BRQ: The UI tax system shall for a single individual the Individual
Status Examiner Performance report daily, weekly, monthly, quarterly,

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                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet            Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the
to allow an authorized user system shall view results of the completed TPS
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
ability to upload The UI tax system shall route work queue tasks to
BRQ135: BRQ: completed TPS system review questionnaires to the
BRQ136: BRQ: based business rules and the appropriate messaging on
appropriate staffThe UI tax system shall create program area up for review.
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
BRQ139: BRQ: The UI on system shall automatically generate a work list
create universes based tax the annual work plan data and business rules
BRQ140: BRQ: The UI tax system shall contain the universe has been
item to the appropriate user to notify them when functionality to allow an
authorized user Theability to reviewshall allow an universe records. delete
BRQ141: BRQ: the UI tax system and validate authorized user to
a previously created UI tax systemcreatecontain universe.
BRQ142: BRQ: The universe and shall a new functionality and business
rules necessary The UI tax system shall generateincludes the use of the
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
BRQ144: with The UI tax system ETA 407 Handbook for each work list
populatedBRQ:data specified in theshall automatically generate a sample.
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
of electronically The UI source documents to be identified and attached to
BRQ146: BRQ: stored tax system shall allow an authorized user to access
sample worksheets andtax system shallreview an authorized user to update
BRQ147: BRQ: The UI record sample allow results.
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
create universes based tax the annual work plan functionality to allow an
BRQ150: BRQ: The UI on system shall contain data.
authorized user Theability to reviewshall allow an sample records. to delete
BRQ151: BRQ: the UI tax system and validate authorized user
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
a request BRQ:preliminary annual report.
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:final annual system shall contain the capability to
BRQ155: for a The UI tax report.
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
BRQ158: BRQ: The code.
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
captured during The 802tax system Registration process.
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
Employer BRQ: The UI tax system shall allow the New Employer
BRQ162: Account Number, Employer County Code, Employer Name,
Verification Report to be exported to Microsoft Multi-Establishment
BRQ163: BRQ: The UI tax system shall allow Excel.
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
as a by-product The UIannual experience rate the ES204 details report to
BRQ167: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
annually as well Thefor a specified date range.
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
specified data which UI tax system shall track and the data’s actual state at
BRQ171: BRQ: The will allow for reports to query display all non-charges
BRQ172: users to report on these shall provide the ability to interface on
and allow BRQ: The UI tax system non-charges or contain an drill down to
fields in the ES204 report. This drill down functionality should show the

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    BRQ-BUC Functional Reqs                                                                                   Page 117 of 462                                                                        Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report            Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ174: BRQ: of the tax system shall allow determination and
as a by-product The UIannual experience rate the ES205 details report to
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
annually as well Thefor a specified date range by to andrun the report by
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
BRQ179: BRQ: The UI legal entities.
the different employer’stax system shall provide the ability to drill down on
fields in the ES205. UI tax system shall allow the receivables the
BRQ180: BRQ: The This drill down functionality should show details report
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
specified receivable type orsystemreceivable types.
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
to be run quarterly as well as for a specified date range (tochanges to
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
quarterly as wellThefor a specified date range by to all the changes to any
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
581 at any pointThe UI tax system request.
fields in the ETASystem shall generate data extractshould show the
BRQ189: BRQ: 581. This drill down functionality files for: Active
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
is action that needs to be taken by shall allowproceed in theto respond to a
notice of potential work list time shall be generated and routed to the
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
to allow an authorized user system shalla "charging only account" to add,UI
modify and delete the othersystem shall allow for the processing of
BRQ197: BRQ: The UI tax state agency’s contact information (agency
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
BRQ201: BRQ: When report the Internet that the files are being
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
shall be able to submit shall be able toreportsand update information
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
BRQ207: BRQ: quarterly report summary information (ES 903A) before
required to enterData files that are uploaded shall be validated before the
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
BRQ209: BRQ: transactions.
to complete any If the user is returning to complete an incomplete quarterly
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
tax system to ensureportal shall also validate the year/quarter to ensure
BRQ213: BRQ: The the employer is a registered employer.
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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    BRQ-BUC Functional Reqs                                                                                     Page 118 of 462                                                                        Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance              Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
and excess wages for theshall also be able to turn on/off the multi-state
BRQ220: BRQ: The user existing employees.
BRQ221: indicator.
employee BRQ: To add an employee, the user shall tab to the first
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
continuingBRQ: Users page. not continue to the next page until the current
BRQ223: to the next shall
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
information, the Reportshall validate theshall be performed onthe detailed
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
BRQ226: well as bulk-loaded wages.
wages as BRQ: Appropriate error messages shall be displayed to the user
indicating BRQ: data elements are in error.
BRQ227: what The UI tax system shall allow the user to edit the data.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
BRQ230: BRQ: The acknowledgement form.
be prompted with an acknowledgement form shall state that all the
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
information contained in the report (orthe registration application by best
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ233: BRQ: The UI tax pending status and a unique transaction
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ234: (or file) which shall also function as the user’s report
BRQ235: BRQ: The UI tax system shall also return a customized payment
BRQ236: BRQ: The containing display a employer demographic
voucher to the portalportal shall the user’sconfirmation message providing
a report confirmationportal shall not display complete SSNs for existingand
BRQ237: BRQ: The number and a reminder about potential penalties
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
to make an electronic payment or print aallow employers tofor each report
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
quarterly reporting activitiesshall be able to begin the quarterly reporting
BRQ243: BRQ: Employers in the employer portal.
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
BRQ245: reports and editing corrected reports, the system shall verify
and wage BRQ: When payments for at least three years.
BRQ246: BRQ: Each a quarterly report on the system data enter a report
that the employer has employer shall have the option towith the same
directly into the portal or to shall readdata file.
BRQ247: BRQ: The editor upload a each report in the staging file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
number. (In use The system shall validate the account status.
BRQ249: BRQ: case 2.11)
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
BRQ253: BRQ: The system shall verify that FEIN entered the report is
report EAN is an active account or a suspended account ifon ayear/quarter
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ256: when Records discrepancy with the employer’s quarterly
BRQ257: BRQ: The accounts examiners shall run each check through a
validation BRQ: Theconversion machine.
BRQ258: and ACH ACH conversion machine shall link into a third-party
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                      Page 119 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the       Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ260: BRQ: in the OCR scanning processing.
payment record The status of all matched payment records shall be set to
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to
check shall be pulled, the NSF date shall be updated ES the payment
an employer when there is a discrepancy with the employer’swhich allows
BRQ263: BRQ: The UI tax system shall contain functionality quarterly
an accounts examiner to validate the format ofan authorized individual to
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic
BRQ265: BRQ: Files shall media based magnetic media to
correct errors on magnetic load from the on business rules. the staging
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall
BRQ267: BRQ: The UI for editing shall not limit the number of batches
maintain business rulestax system payments, reports, and adjustments.
BRQ268: BRQ: The UI in a 24-hour period.
that may be processed tax system shall e-mail an adjustment notification
BRQ269: BRQ: The UI tax system shall discrepancy account associated
(ES 542) to an employer when there is averify that thewith the employer’s
with report EAN The UI tax system shalla suspended account if the not
BRQ270: BRQ: is an active account or verify that the employer does
have a quarterlyIf an employerUI tax system with the same year/quarter as
BRQ271: BRQ: report on the submits an electronic tax return or
payment, BRQ: If the report shall deliverUI tax system shall post the
BRQ272: the UI tax system is new, the any subsequent correspondence
BRQ273: report and employee is data to as employer’s employee,
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s
UI tax system shall generateis corrected, the UI tax system shall post the
updated summary report and wages report data toan electronic transaction
BRQ275: BRQ: The UI tax system shall generate the employer’s account.
journal entry for The journal shall list employer information, status (new or
BRQ276: BRQ: each report processed.
corrected BRQ: The journal (ES 903A) data as information, status (new or
BRQ277: report), summary shall list employer reported, and cumulative
BRQ278: report), summary (ES 903A) data as reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment
notification to anAuthorized when there is a discrepancy with the this
BRQ279: BRQ: employer users shall have the capability to run
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The
employer BRQ: For each report, the edit process shall compute report
BRQ283: contribution reports on the UI tax system.
BRQ284: BRQ: The edit process shall compare the and total totals to the
totals for total wages, taxable wages, excess wages,computed amount due
summary BRQ: If the on thedetail does not balance to the report summary,
BRQ285: report total wage report.
the UI tax BRQ: The edit process shall generate for electronic edit report
BRQ286: system shall route a work queue task an an accounts examiner
BRQ287: BRQ: The balance report employer
entry for each out of report shall list identified. information, summary data
BRQ288: BRQ: The UI tax system the accept the as posted, the date
as posted, the cumulative totals forshallwage detail following account and
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
payment types: contributory accounts (regular users to make payments
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,
payment amount, an employer has monetary delinquencies, prompt the
BRQ291: BRQ: If and payment method information to the UI tax system.
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments
BRQ293: multiple quarters, or payments for one or more employers
for one or BRQ: Payments made with a credit or debit card shall be for
processed immediately, while bank account debits may take up tomain
BRQ294: BRQ: The user shall select "Make a Payment" from the three
BRQ295: BRQ: If the user entered payment type from the sub-menus this
menu then select account type anda quarterly report prior to beginning to
transaction, the The portal shall validate employer’s EAN and FEIN; the UI
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ298: BRQ: If the payment.
the user to designate the payment to be automatically applied tothe portal
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
shall also BRQ: The portal shall retrieve and display the employer’s owes
BRQ300: validate the year/quarter(s) and determine if the employer
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports
account balanceThe user shall be prompted well asthe amount owed in full
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                   Page 120 of 462                                                                        Date Printed: 7/27/2011
                                                                                         State of New Mexico - Department of Workforce Solutions
                                                                                                 UI Tax Modernization Requirements Matrix
                                                                                                         BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                               BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.         Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ303: BRQ: The portal shall prompt the user to enter the payment
BRQ304: BRQ: The user’s responses shall be edited based on the
method and prompt the user for additional informationbefore submittal.
BRQ305: BRQ: The portal shall submit the payment information to the
third-partyBRQ: The processorrecord shallUI tax system. the unique
BRQ306: payment payment and to the be updated with
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:
confirmation number and documenting the a unique transaction ID to the
BRQ308: BRQ: UI tax system shall assign payment received date,
BRQ309: BRQ: The also function as be user’s from the confirmation
payment which shall check data shall the loaded payment OCR interpreter
BRQ310: BRQ: For the UI tax system using the EAN (and review the
into a staging file oneach payment in the queue, Staff shall FEIN) if
BRQ311: the check and enclosure to resolve the issues with the check
images of BRQ: The UI tax system shall contain functionality to allow an
BRQ312: BRQ: to search system shall allow the UI tax system using the
authorized user The UI taxfor the employer on an examiner to update the
BRQ313: BRQ: and release the payment for processing.
payment record The UI tax system shall contain functionality to allow an
BRQ314: BRQ: to record when a payment received is cash.
authorized user The UI tax system shall contain functionality to allow an
authorized user The editor shall read each payment with the cash staging
BRQ315: BRQ: to record a deposit date associated record in the
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged
check. BRQ: The editor shall verify that the check is payable to
BRQ317:
BRQ318: BRQ: The editor of the name.
NMDWS or some variationshall validate the account status (active or
BRQ319: BRQ: The editor rules).
suspended - see business shall validate that the year/quarter are valid
dates andBRQ: If all edits are passed, thefor that year/quarter. be
BRQ320: that the employer owes money payment record shall
BRQ321: BRQ: The UI tax system it stays in that the account associated
released for processing; otherwise,shall verify a pending status until all
BRQ322: BRQ: is an editing new reports, the UI tax system if the
with report EAN Whenactive account or a suspended account shall verify
that the employer does tax system quarterly report on the UI tax system
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI
BRQ325: BRQ: The UI tax based shall payment type and how to
how to post the transaction system on thegenerate an electronic transaction
journal entry for The journal shall list employer information, the
BRQ326: BRQ: each payment processed.
year/quarter, monetary transaction information, and howsystem shall was
BRQ327: BRQ: As each report is processed, the UI tax the payment
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the
BRQ331: BRQ: The UI tax included).
imaged report and check (ifsystem shall verify that the check is payable to
BRQ332: BRQ: The UI tax of the name.
NMDWS or some variation system shall validate that the EAN is a valid
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.
BRQ336: BRQ: The editor shall validate that the year/quarter are valid
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify
BRQ338: BRQ: The UI not have a shall generate on the UI notification
that the employer does tax system quarterly reportan ES 542 tax system to
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
an employer when there is a discrepancy with the itemized deposit reports
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report
interpreterBRQ:an amended returns staging file on the UI tax system using
BRQ341: into Payment information shall be captured separately from the
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
report information and placed in an amended returns payment data
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.
BRQ344: and ACH machine shall link into
validation BRQ: Thisconversion machine. a third-party service that
validates the check, the issuer, and the available balance before creating a

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                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the       Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the
with the transaction date of of all matched payment records shall be set to
BRQ348: BRQ: The status the credit transaction.
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check
check shall be pulled, the NSF date shall be retrieve an out of balance
BRQ350: BRQ: An accounts examiner shall updated on the payment
work task BRQ:the worktax system shall contain functionality allowing the
BRQ351: from The UI queue.
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow
BRQ353: BRQ: to make necessary corrections authorized quarterly
for the examinerThe UI tax system shall allow anto employer user to
generate a request for information when allow users with appropriate
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate
BRQ356: BRQ: The UI tax system shall run (on schedule set range
security levels the capability of entering a recordaselection date by the for
users) an BRQ: The report of outstanding discrepancy notices based on
BRQ357: electronic UI tax system shall create incomplete report penalty
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an
authorized user The UI taximaged documents an authorized user to
BRQ362: BRQ: to access system shall allow attached to an employer
BRQ363: BRQ: Transactions that have been employer account.
remove an incomplete report penalty from an released for processing shall
BRQ364: BRQ: Any the next monetary with appropriate security
be processed during UI tax system user transaction posting run. access
shall be able to complete an online request forbe placed in a "pending"
BRQ365: BRQ: Online transfer requests shall transfer.
BRQ366: use case information shall be edited to ensure accuracy. (In
status. (InBRQ: The 3.06)
use case 3.06) The UI tax system shall validate that the EAN’s are valid
BRQ367: BRQ:
BRQ368: BRQ: The UI tax system shall an active, the items requested
account numbers, the "to" employer is inensure thatcontributory status, the
for transfer existIf the request passes theaccount. report and/or payment
BRQ369: BRQ: on the "from" employer edits, the
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open
incomplete report penalty for the year/quarter, the UIemployer information
BRQ374: BRQ: The transfer, as well as the date and time the to adjust
and details about theUI tax system shall allow authorized users transfer or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access
remove/abate penaltiestax system user with they were assessed in error or
BRQ376: BRQ: The UI tax system request for adjustment.
shall be able to complete an online shall validate that the EAN is a valid
account numberThe UI tax system shall ensuredates. items requested
BRQ377: BRQ: and the year/quarter are valid that the
for adjustment exist on the employer’sthe edits, the request status shall be
BRQ378: BRQ: If the request passes account.
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall
BRQ380: BRQ: If the payment, or been (or abate) late report the
reapply any specified account has adjustassessed aand P&I on or
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open
incomplete report penalty for the year/quarter, the an electronic transaction
journal entry for The journal shall list employer information and details
BRQ382: BRQ: each request processed.
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ386: BRQ: The UI tax based shall transaction type.
BRQ387: BRQ: each transaction processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and how the transaction

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                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as          Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ389: BRQ: The was posted.
the original payment UI tax system shall require users to enter the exact
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,
BRQ391: BRQ: Online reversal requests shall a routed via work flow
shall be able to complete an online request for bepayment reversal. to
an accounts examiner basedshall include as much information as the
BRQ392: BRQ: The request on business rules.
requestor BRQ: If the examiner cannot locate the payment the UI tax
BRQ393: can provide.
BRQ394: BRQ: The examiner shall enter the reversal request with the
system shall allow the examiner to updatethe reversal transaction into the
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the
BRQ398: as completed and the UI tax system shall generate having
work task BRQ: The UI tax system shall have the capability of a noticeato
suspense BRQ: Users shall be able used solely to post reportsposted to
BRQ399: employer account that is to query each transaction and
the suspense account and view theshall allow users withfor that
BRQ400: BRQ: The UI tax system imaged information appropriate
security levels thethe records (report and payment) are the runaschedule
BRQ401: BRQ: If capability of setting and maintaining still in pending
BRQ402: BRQ: At the end of three days, the trigger a work queue task
status after two days, the UI tax system shall UI tax system shall updateto
BRQ403: and payment records with UI "suspense" EAN and release
the report BRQ: On a daily basis, the the tax system shall review the the
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the
appropriate accounts examiner’s work queue to able to retrieve a work task
BRQ408: BRQ: An accounts examiner shall be work the assigned
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also
task.
BRQ412: BRQ: The reports and payments shall be processed during the
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on
employer BRQ: Theto record the occurrence of certain actions. For control
BRQ415: accounts UI tax system shall maintain business rules to
BRQ416: BRQ: The UI tax system on potential tax intercept drill
selection of employers for inclusionshall have the capability tolist. down to
BRQ417: of the amounts system shall track pending and deposited
the detailsBRQ: The UI tax in the collections processedand posted
BRQ418: BRQ: The UI tax system shall allow deposited report can be
transactions so the collections processed and the capability to run the run
collections processed and deposited report byauthorized users the ability
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
to view and printThe UI tax system shall freeze credit accounts balances at
BRQ420: BRQ: pre-defined reports.
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have
BRQ422: BRQ: The credits for refund processing.
credits and releasingUI tax system shall allow users with appropriate
security levels the capability of setting and maintaining credit report
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
BRQ424: to the user-defined run schedule.
according BRQ: The UI tax system shall automatically route an electronic
copy of the report to accounts supervisor shall retrieve the report from
BRQ425: BRQ: The the accounts supervisor.
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the
work queue and If the examiner determines the credit is valid, the examiner
BRQ428: BRQ: review the assigned account.
shall release theAuthorized users a brief narrative about why the credit is
BRQ429: BRQ: credit and enter shall have the capability of releasing all
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of setting and maintaining the run schedule

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    BRQ-BUC Functional Reqs                                                                                   Page 123 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the             Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ432: the refund on the warrant processing job shall run in ‘no
reason forBRQ: The employer refundstub.
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic
copy of the employerUI tax system shall allow the examiner to review the
BRQ434: BRQ: The refund report to the accounts supervisor.
report andBRQ: Whenof the transactions completed his/heronly somethe
BRQ435: release all the examiner has for processing or review of of
BRQ436: UI tax system shall trigger the final refund job to job which
report, theBRQ: The UI tax system shall run the final refund run during
posts the refundThe refund warrantsemployer’s account and generates
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
refund theBRQ: The UI tax system shall FMB examiner examiner to record
all of the information UI tax system shallshall be included in the task notes.
BRQ440: BRQ: The about the warrant contain functionality to allow for a
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI
BRQ441: be voided and a refund reversal to be recorded.
BRQ442: BRQ: turn on the invalid address flag for the mailing address
tax system shallThe UI tax system shall freeze credit balances when they
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall
BRQ445: accounts UI tax system shall allow authorized users to define
employer BRQ: Theto record the occurrence of certain actions. For
BRQ446: BRQ: The UI tax system running the all balance transaction
and maintain the business rules forshall contain trialdata and (e.g.,
details required to generatesystem shall allow authorized users to define
BRQ447: BRQ: The UI tax the trial balance.
and maintain the business rules forshall allow authorizedsummary define
BRQ448: BRQ: The UI tax system running the account users to (e.g.,
and maintain the business rules forshall allow authorized users to define
BRQ449: BRQ: The UI tax system running the daily transaction detail
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
and maintain the business rules delinquent contribution report shall be
BRQ451: to run automatically every quarter.
scheduledBRQ: The UI tax system shall have the ability to send a
notification to each Field District Supervisor when ability to assign a field
BRQ452: BRQ: The UI tax system shall have the the preliminary                                X
BRQ453: given The UI tax system shall have the ability to automatically
code to a BRQ: employer account and tax representative based on
assign delinquent report work items to a allow authorized individuals to
BRQ454: BRQ: The UI tax system shall tax representative based on                             X
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:
BRQ457: accounts declared delinquent for a given quarter the the current
employer BRQ: Authorized users shall be able to view only and history
notes tied BRQ: All history notes shall be see all by type of activity. in the
BRQ458: to a specific delinquency or to coded messages recorded
BRQ459: BRQ: The UI tax system shall allow an authorized user to record
BRQ460: a report delinquency assignment.
results forBRQ: The UI tax system shall automatically change the status of
the assignment when a report hasphone received, an estimated report
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,
BRQ462: be noted in a history section of each employer account.
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena
cover letter fromAn authorized user shall be able to record updates to the
BRQ464: BRQ: the UI tax system.
BRQ465: assignment history user shall have status from issued to
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a
scanned document to atax system shall allow an authorized user to create
BRQ466: BRQ: The UI case assignment.
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate
BRQ468: report accounting transactions to support the approval to
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an
employers for each approved estimated automatically update an estimated
BRQ469: BRQ: The UI tax system shall report worksheet assignment.
report assignment with the system of an original report as is appropriate.
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
to update BRQ: The UI tax system shall automatically generate a work
BRQ471: an estimated report assignment.
BRQ472: BRQ: The if tax system shall is received after report in a
item to the Tax ChiefUI an original report place the original an estimated
holding/staging tableUI tax reviewed andbe able to archive estimated wage
BRQ473: BRQ: The to be system shall disposition by authorized users
reports when they are replaced by an actual estimated wage report with

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    BRQ-BUC Functional Reqs                                                                                    Page 124 of 462                                                                        Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and Demand             Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
rejected, the UI tax system system shall generate notice of report wage
BRQ475: BRQ: The UI tax shall be able to archive the submitted
BRQ476: BRQ: The UI tax an estimated report has been superseded by
acceptance to employers if system shall allow an authorized user to place
BRQ477: 10-day notices for a specified allow of time.
a stop on BRQ: The UI tax system shall periodan authorized user to
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain
BRQ479: BRQ: notices.
generate 10-dayThe UI tax system shall generate 10-day notices to
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall
BRQ481: BRQ: The payment is received.
system tasks when aUI tax system shall allow an authorized user the ability
to removeBRQ: The UI placed stopshall record 10-day item. This will on
BRQ482: a previously tax system on a 10-day notice notice actions
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI
letters and documents to be generated from a pick list.initiate the lien4.07)
BRQ484: BRQ: The UI tax system shall automatically (In use case
BRQ485: BRQ: The on business shall
generation job basedUI tax system rules. place the appropriate district
supervisor electronicUI tax system the lien.
BRQ486: BRQ: The signature on shall contain a lien history file/record.
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:
BRQ489: BRQ: The case system shall keep a collections information,
establish a collectionUI tax and record the results, pertinenthistory file of
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The
generate a statement oftax system shall allow an authorized user to
BRQ491: BRQ: The UI account on demand.
generate a zero The UI tax system shall automatically default signature to
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
user initiating the actiontax system shall allow an authorized user to for
BRQ493: BRQ: The UI but also allow the user to enter another name
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks
in NMDWS employee work system shall create lien-related messaging on
BRQ495: BRQ: The UI tax queues
employer BRQ: Theto record the occurrence of certain actions
BRQ496: accounts UI tax system shall allow an authorized user to
establish a lien collection case and shall keep a lien collections history file
BRQ497: BRQ: The UI tax system record the results, pertinent
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax
generate a payment UI tax systemgiven employer account. (Inwork case
BRQ499: BRQ: The coupon for a shall automatically assign use queue
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections
assignment to the appropriate Field Tax allow an authorized user the ability
BRQ501: BRQ: The UI tax system shall Representative when a payment
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized
BRQ503: BRQ: The actions and results generate collection case
NSF collection case UI tax system shall in the UI tax system.
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall
BRQ505: BRQ: The UI tax system shall allow rules.
assignments to individuals based on business an authorized user to record
actions taken onThe UI tax system shall keep a collections history file of
BRQ506: BRQ: collections assignment cases.
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling
software for the The UI tax system shall maintain collection case status
BRQ509: BRQ: scheduling of period jobs.
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection of employers for inclusionshall maintain business rules to control
selection for certain periodic extract file creation. For example, to modify a
BRQ512: BRQ: The UI tax system shall allow authorized users the annual
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                     Page 125 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand           Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ518: with The UI tax system based on an authorized user to enter a
documentBRQ:the appropriate datashall allow business rules.
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
BRQ520: BRQ: garnishment cases.
actions taken onThe UI tax system shall keep a history file on all
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The
to attach electronic document images to keep a history file on all
BRQ522: BRQ: The UI tax system shall a garnishment case.
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The
BRQ526: BRQ: Collection Case assignments.
actions taken onThe UI tax system shall keep a history file on all Collection
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system
assign Collection Case tax system shall allow anto a tax representative
BRQ529: BRQ: The UI assignments work items authorized user to record
actions taken to The UI tax system shall maintain business rules to control
BRQ530: BRQ: clear the delinquency on the case file.
BRQ531: BRQ: The UI tax system on potential declaring an entire
selection of employers for inclusionshall support uncollectible lists.
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
BRQ533: on payment tax timelines greater an 12 months
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,
timelines, BRQ: The UI tax system shall specific information plan into on the
BRQ535: and final payments based on place the payment entered
BRQ536: BRQ: The UI not filed or payment authorized
suspension if a report istax system shall allownot made. user to change
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change
the terms BRQ: The UI tax system shall allow an authorized user to record
BRQ538: of the payment plan.
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan
documents fromThe UI tax system history file. an authorized individual to
BRQ541: BRQ: the payment plan shall allow
BRQ542: BRQ: The UI tax system the employer authorized portal.
submit a payment plan request via shall allow an self service user to
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan
place an alert in The Field Tax Representative’s work queue if payment is
case in the FieldThe UI tax system shall generate the Defaulted Payment
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment
Plan notice with The appropriate data based on business rules. to enter a
BRQ548: BRQ: the UI tax system shall allow an authorized user
future follow-up date UI tax systemuser via their work queue whento record
BRQ549: BRQ: The and alert the shall allow an authorized user that date
actions taken onThe UI tax system shall keep a history file on all payment
BRQ550: BRQ: Defaulted Payment Plan cases.
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers
BRQ553: electronically and submitted payments via payment coupon.
have filed BRQ: The UI tax system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ554: of account to employers with be able to deficiency meeting
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In
secondary liability (predecessor debt) and generating aprinting a text the
BRQ557: BRQ: The UI tax system shall be capable of statement to
message on theThe UI tax system shall recordcase 4.20) of statements of
BRQ558: BRQ: statement of account. (In use generation
BRQ559: BRQ: The UI tax system case 4.20)
account and keep a history. (In useshall allow an authorized user to view
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                   Page 126 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak                Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The
report and/or wage datatax system shall not include accounts that have
BRQ562: BRQ: The UI delinquencies by quarter.
BRQ563: BRQ: The UI tax suspense indicators.
bankruptcy or uncollectible system shall automatically generate a
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ564: of account to employers with be able to deficiency meeting
accounts to multiple UI tax system shall bemonthly job identifying
BRQ565: BRQ: The addresses during the capable of run.
secondary liability (predecessor debt) and generating a statementto the
BRQ566: BRQ: The UI tax system shall allow an authorized user to                 X
generate an accountUI tax system any account, including accounts that
BRQ567: BRQ: The statement on shall present a Statement of Account               X
BRQ568: BRQ: The UI tax system statement an the internet.
online to an employer requesting a shall allow via authorized user to print a    X
statementBRQ: The UI tax the employer allow an authorized user to
BRQ569: of account from system shall self service portal.                        X
BRQ570: BRQ: The UI tax statement of account. The view the will be
request online printing of a system shall allow a user tostatementstatement      X
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record          X
a text message to beUI tax system shall recordof account. of a statement
BRQ572: BRQ: The printed on the statement generation                             X
BRQ573: BRQ: The the account history file.
of account online on UI tax system shall allow indicator alert to employer       X
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign                     X
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate                     X
a Prior Delinquent Contribution Report and Case authorized user to by
BRQ576: BRQ: The UI tax system shall allow an Assignments Report                            X
change the status of UIcollection case toautomatically generate a Prior
BRQ577: BRQ: The a tax system shall a priority assignment.                                  X
BRQ578: BRQ: The UI Old report.
Assignments - 90 Days tax system shall initiate a work item to each District                X
BRQ579: BRQ: The them system shall allow an - 90 Days user to
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is                    X
remove a BRQ:Collection Case Assignment from authorized user to record
BRQ580: Prior The UI tax system shall allow an a work queue.                                X
actions taken onThe UICollection Case assignments. file on all Prior
BRQ581: BRQ: Prior tax system shall keep a history                                          X
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.                                                                   X
scheduledBRQ: The UI tax system shall have the ability to automatically
BRQ583: to run automatically every quarter.                                                 X
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy                                             X
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI                                                                                   X
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
establish, BRQ: The UI tax system shall allow an authorized userdata and                              X
BRQ587: a record from the Bankruptcy allow an authorized user the
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability                           X
BRQ588: Bankruptcy tax system shall allow an authorized user
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability                            X
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the                                X
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to                                                X
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter                                           X
bankruptcy caseThe UI taxthe system and will store the data in a
BRQ592: BRQ: data into system shall contain the data and business                                                X
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
rules necessary The UI tax system shall place a ability to establish a on an                                     X
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ594: account when a system shall take or stop actions                                                         X
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
required on bankruptcy tax systemprescribed business rules.                                                      X
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a                                        X
BRQ597: BRQ: The UI tax system given period of time.
user to assign an interest rate for ashall include a Proof of Claim screen.                                                  X
BRQ598: BRQ: The UI tax system shall allow an authorized user to record                                                      X
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an                                                                                X
BRQ600: BRQ: The file on the employer’s account for any data
the bankruptcy case UI tax system shall maintain a history for anmissing                                                     X
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system                                                                                               X
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
rules necessary The UI bankruptcy documents toan update bankruptcy                                                                        X
case file function.

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    BRQ-BUC Functional Reqs                                                                                   Page 127 of 462                                                                        Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                 BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability Demand            Prior   Maintain   Create a       a            X
                                                                                                                                        Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ604: bankruptcy case file data via support the generation of
to update BRQ: The UI tax system shallthe update case file function.                                                                       X
bankruptcy documents andsystem shall automatically update the
BRQ605: BRQ: The UI tax correspondence.                                                                                                    X
employer’s caseThe UI tax system shall allowbankruptcy case file to record
BRQ606: BRQ: history file when the update an authorized user function                                                                      X
BRQ607: BRQ: The UI tax system shall the court orders on the to control
the disposition of a bankruptcy case per maintain business rulesemployers                                                                                          X
BRQ608: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,                                                                                             X
BRQ609: BRQ: The prepayment job.
to trigger the sampleUI tax system shall allow use business rules to                                                                                               X
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security                                                                                            X
to override zero Prepayment notices shall be bar coded with the EAN,
BRQ611: BRQ: dollar prepayment amounts.                                                                                                                            X
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax                                                                                                                                                      X
selection and printing oftax system shall allow users with adequate security
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,                                                                                                          X
BRQ614: BRQ: The quarterly reimbursable billing job
to trigger the sampleUI tax system shall allow use of business rules to                                                                                                      X
calculate quarterly benefit chargingshall allow users with valid security
BRQ615: BRQ: The UI tax system amounts.                                                                                                                                                 X
(e.g., the status The UI tax system shall III’s) the authority to override tax
BRQ616: BRQ: supervisor or examiner automatically trigger the                                                                                                                           X
generation of appropriate employershall allow employers the option to
BRQ617: BRQ: The UI tax system notices. For example, the UI tax                                                                                                                         X
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
select Appeals, Tax, or Board of Review when filingnumber) is corrected in                                                                                                              X
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
BRQ619: system, denial correspondence attached to notification of be                                                                                                                    X
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
employer’s next The UI tax system shall maintain business rules to control                                                                                                                        X
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
selection and printing oftax system shall allow users with adequate security                                                                                                                      X
to trigger the sampleUI tax system shall allow use business rules to
BRQ622: BRQ: The quarterly reimbursable billing job.                                                                                                                                              X
calculate quarterly benefit chargingpersonnel shall have authorization to
BRQ623: BRQ: Authorized claims amounts.                                                                                                                                                           X
BRQ624: UI tax system.
query the BRQ: Benefit charge statements shall be bar coded with the                                                                                                                              X
BRQ625: BRQ: due, and due dates.
EAN’s, amountsRe-certification documents (940Cs) shall include an                                                                                                                                            X
BRQ626: signature UI tax may be sent electronically to employers. (In
electronic BRQ: The so theysystem shall compare the employer’s liability                                                                                                                                     X
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
date spans on record totax system shall allow employers to and reject any                                                                                                                                    X
BRQ628: BRQ: The a tax system shall compare the employer’s liability
years individually on UIre-certification request.                                                                                                                                                                        X
BRQ629: BRQ: The UI the re-certification periods entered and reject for
date spans on record totax system shall allow re-certification requests any                                                                                                                                              X
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an                                                                                                                                                         X
BRQ631: signature UI tax may be sent electronically to employers.
electronic BRQ: The so theysystem shall allow re-certification requests for
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system
annual IRS 940 The UI tax system shall allow authorized personnel toon
BRQ633: BRQ: certification tape and match employer records based
recalculate tax rates UI tax payment amounts that business rules to control
BRQ634: BRQ: The using system shall maintain have not yet posted to                                                                                    X
selection and printing oftax system shallprocessing jobs. For example,
BRQ635: BRQ: The UI certain annual allow users with adequate security                                                                                  X
BRQ636: BRQ: The annual rate job
to trigger the sampleUI tax system shall allow use business rules to                                                                                   X
calculate annualThe UI tax system shall allow users with adequate security
BRQ637: BRQ: rates.                                                                                                                                    X
to override zero The job shallamountsto be run in two modes: preliminary
BRQ638: BRQ: percent rate be able
(no update) and The preliminary job runany time. affect the prior production
BRQ639: BRQ: production (update) at shall not
employer BRQ: The job shall include variable parameters in the selection
BRQ640: selection.
BRQ641: BRQ: The run schedule shall be coordinated with the Field the
process. Examples of the parameters that shall be modifiable includeSub-
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and
maintain the business rulessystem shall route work queue tasks to Field
BRQ643: BRQ: The UI tax that direct the employer selection for the
Operations staff The UI on the field shall allow authorized(In use case 1.07,
BRQ644: BRQ: based tax system code of the account. user to initiate a
target audit assignmenttax system shall allow an authorized user to
BRQ645: BRQ: The UI request.
change a target audit assignment to approved or denied.

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    BRQ-BUC Functional Reqs                                                                                    Page 128 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor         Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
BRQ647: them The a status change has occurred (e.g. users to view
informing BRQ: whenUI tax system shall allow authorized approved or the
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
BRQ649: BRQ: based on users shall be the to record actions taken on
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI
BRQ652: BRQ: Authorized users shall including record actions taken
notices, letters, forms, etc to employer be able tothe audit notification and
regarding BRQ: The UI tax system shall tax system.
BRQ653: an audit assignment in the UI allow an authorized user to modify
BRQ654: of an audit assignment shall allow for different audit statuses
the status BRQ: The UI tax system(e.g. change from requested to
BRQ655: BRQ: The UI tax system in the audit history file.
and maintain audit status changes shall allow for employer information that
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
synchronization The UI tax system shall contain an audit program that can
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system
BRQ660: BRQ: The UI tax in the audit results. This will users generating
account changes indicated system shall allow authorizedincludeto modify
BRQ661: BRQ: various audit assignment statuses based store audit
audit results for The UI tax system shall have the ability toon business
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax
Operations staff When an employercode of theform or other use case 1.07,
BRQ664: BRQ: based on the field submits a account. (In information,
BRQ665: system shall automatically create work items and main record,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the
as well asBRQ: The UI tax systemwork items. a blocked wage claim
BRQ666: related documents and shall contain
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.
blocked wage claim has been resolved and results haveallowed to set up
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim
work item BRQ: The UI tax system shall generate a another when the
BRQ672: information from one account number to determination letter
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to
BRQ674: BRQ: The UI wage claim on the case authorized screen.
the finding of a blocked tax system shall allow anassignment user to
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the
BRQ676: BRQ: The UI based on shall allow business rules.
appropriate work queuetax systempre-defined an authorized user to record
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:
item informationThe UI taxaccount number to another when instructed by
BRQ679: BRQ: from one system shall generate a determination letter
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
and submit new The UI tax system informationan authorized update the an
appeal after the If an authorized user saves the appeal but does provided
BRQ683: BRQ: deadline (based on business rules) has passed not submit
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
summary BRQ: The UI tax system shall return an acknowledgement form
BRQ686: data.
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
message once the appeals system shall automatically assign a case
number to new appeals. (In use case 9.02)

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    BRQ-BUC Functional Reqs                                                                                   Page 129 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ689: BRQ: Work items shall contain links to the employer’s main             Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ690: the appeals case file, and shall original determination that was
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
BRQ693: BRQ: The system shall generate to next "page."
entered before allowing the user to proceedan appeals form with a bar
BRQ694: BRQ: Appeal a determination.
code and include it with requests shall be scanned and indexed to the
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
request and automatically generatingableappeal case worksheet work the
BRQ696: BRQ: The system shall be an to generate an appeal from item
BRQ697: BRQ: An authorized user on business to enter
for the appropriate individual based shall be able rules. update the
appeals worksheet to include any allow an authorized user to add, the
BRQ698: BRQ: The system shall additional information related to modify
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
employer BRQ: The system shall appeal has been received and requesting
BRQ700: notifying employer that automatically assign a case number to
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
to the appeals case file, and to the original determination that was main
BRQ703: BRQ: The employer shall be able to appealed.
record and the original determination that was track the status of the
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
BRQ709: BRQ: Based correspondence component that includes the
determination using theon items selected, the UI tax system shall create
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
when an email is delivered and when it allow authorized staff to view all
BRQ713: BRQ: he UI tax system shall is read.
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ716: account and tax system shall maintain a history of an appeal
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
including data on each level of appeal and links to all linking of related
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
generate correspondence using templates. The templates shallbased on
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
BRQ723: BRQ: Based on items of appeal the decision the appropriate
automatically determine the typechecked inand route it tothe UI tax system
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
record, the original determination that was appealed,related, scanned
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
BRQ729: BRQ: A link that includes the following fields: original
letter using a templateto the decision letter shall be created within the
appeals case when theon items determination istemplate the UI tax system
BRQ730: BRQ: Based letter of checked in the saved.
BRQ731: BRQ: The UI directing Tax Section to make summary
shall create work items Tax system shall generate the appropriate
accounting transactions from the Accounting Summary report.

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    BRQ-BUC Functional Reqs                                                                                   Page 130 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC79: On   BUC80:   BUC81:     BUC82:     BUC83: File   BUC84:       BUC85:      BUC86:    BUC87:     BUC88:    BUC89:     BUC90:     BUC91:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting            Demand      Prior   Maintain   Create a       a         Update a   Annual Rate   Annual   Quarterly   Benefit   Benefit   FUTA Re-   FUTA Re-
transactions that support each day’s summary journal entryactual totals for
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
each revenue type (e.g., federal clearing calculate state trust fund, revenue
distributions for eachUI Taxdeposit basedallow authorized users totals for
BRQ735: BRQ: The bank system shall on the running actual to adjust
the running, actual totals to reflect transfers out of thein the accounts to
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
BRQ737: BRQ: The program transactions fulfill the requirements
and the summary accounting developed toto SHARE shall reflect that
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
documented in NMDWSof adjusting journal entries shall reflect the shall
change ofBRQ: The UI Tax system shall breakdown the receivables
BRQ739: the accounts receivables balance since the end of the prior
balance according tosystem shall allow authorized users to locate warrants
BRQ740: BRQ: The business rules.
BRQ741: BRQ: The reconciliation process account number.
using the warrant number and/or employer shall include error handling for
situations BRQ: as invalid warrant allow an interface from the bank to the
BRQ742: such The system shall numbers or a warrant number already
UI Tax System for the redeemed warrantsthe capability to identify credits
BRQ743: BRQ: The system shall contain reconciliation process.
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
BRQ746: property.
unclaimedBRQ: The system shall generate the appropriate accounting
transactions for The system shall as unclaimed property.
BRQ747: BRQ: credits classified have the capability to allow refund
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
account for the breakdown ofamounts shall payments and charges for to                                                                                                                  X         X
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
an employer’s account as a payment when a benefit and journal entries                                                                                                                  X         X
shall be generated when a prepayment is reclassified as a payment to a




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    BRQ-BUC Functional Reqs                                                                                   Page 131 of 462                                                                        Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ1: BRQ: Employers shall be able to initiate and submit new                  FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
save the information entered, and updatebe able to register as a new
BRQ3: BRQ: Successor employers shall the registration information
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
BRQ6: BRQ: information provided in the a message window indicating the
based on the The registrant shall receive employer portal.
disposition of The registration after submitting the registration request.
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
BRQ9: when the UI tax system shall automatically information and
system BRQ: The registrant confirms the registrationassign an employer
BRQ10: BRQ: Registrant’s shall be submits the registration information
account number when the registrantdynamically prompted forinformation.
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
based on previous answers. For example, capable of capturing multiple
BRQ12: locations UI multiple owners/partners/officers.
physical BRQ: Theand tax system shall follow FUTA guidelines for
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
determination based on the informationcontain business rules necessary to
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ15: recording UI tax system shall allow queries on all accounts with
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
of appropriate employer packets, forms, and authorized users to update
parameters that control the data extract quarterly report schedule the job.
BRQ18: BRQ: The data tape extract for job and to then generation shall
exclude employers annual preferred report generation process shall send
BRQ19: BRQ: The whose quarterly method of communication is mail.
an e-mail notificationrequest cannot be processed automatically, the
BRQ20: BRQ: If the to those employers whose preferred method of
BRQ21: BRQ: receive a system shall automatically trigger the printing
employer shall The UI taxmessage window stating the liability date span of
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
paymentBRQ: The UI tax contributory account is capability of processing
BRQ24: amount when a system shall have the converted to a
BRQ25: BRQ: excess of $1M.
total payrolls inThe change packet consists of ES 802 (application to
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
employer whenAccount reactivation requests are routed to the appropriate
BRQ35: BRQ: an account has been suspended.
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
system shall search the production databaseaccountaccount. If the
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
provide information systemthe coverage termination enter a narrative
BRQ41: BRQ: The about shall prompt the user to request based on
BRQ42: BRQ: The UI tax are terminating the a message window with
explaining the reason theysystem shall display account.
information about the disposition of the route coverage termination
BRQ43: BRQ: The UI tax system shall coverage termination request
requests to the ES Supervisor, Office Section based on business rules.

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                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change          FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
BRQ50: BRQ: The UI include notification of employer appeal rights.
automatic job run shalltax system shall contain functionality to support a
BRQ51: BRQ: The UI tax system shall produce accounts based on
batch job run to identify and terminate employeremployer termination
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
submit an account suspension request prompt employerto provide and
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
verify information about the business based onthe user to enter awhen
BRQ56: BRQ: The UI tax are terminating their account.
explaining the reason theysystem shall issue a suspension approved
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ60: BRQ: The UI tax an inactivation/suspension request.
authorized user to submit system shall generate inactivation/suspension
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
employer’s account only if shallemployerto update their profiles, save the
BRQ63: BRQ: Employers the be able has granted the vendor/agent
information entered, and update theshall dynamically prompt the user for
BRQ64: BRQ: The employer portal profile information previously entered
BRQ65: BRQ: The UI wishes to establish or rescind code of status
information if the user tax system shall assign a field powerandattorney
examiner to a registrant’s case when the employer submits theindicating
BRQ66: BRQ: The registrant shall receive a message window profile
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
BRQ68: BRQ: The UI tax confirms the updated information and requests
system until the employer system shall route profile maintenance"signs"
to the appropriate status examiner able to on businesssubmit history
BRQ69: BRQ: Employers shall be based initiate and rules.
transfer applications in theshall be able to begin the history transfer
BRQ70: BRQ: Employers employer portal.
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application
the disposition Employers shall be dynamically prompted for all of the
BRQ72: BRQ: of the application after submitting the request.
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
BRQ74: required when an employer is completing a history to
might beBRQ: The UI tax system shall prompt the employer transfer via
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
BRQ76: BRQ: The during the transfer allow employers to and one or
the employer portalUI tax system shall application process enterupdated
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
based on the businesstax system shall allow users with valid security (e.g.,
BRQ79: BRQ: The UI rules above.
BRQ80: BRQ: When or examiner III’s) is posted to to override total
the status supervisor a quarterly report the authoritya predecessor’s
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
transfer all of the predecessor’s history apply business rules to recalculate
BRQ83: BRQ: The UI tax system shall experience, including wages
and assign the The UI tax systemrate based on the transferred history.
BRQ84: BRQ: successor a new shall automatically inactivate the
predecessor employertax system shall automatically transfer reports
BRQ85: BRQ: The UI account.
received BRQ: the effective date ofshall transfer from the predecessor’s
BRQ86: after The UI tax system the generate transfer of history notices
(e.g. denial notice, approval notice).

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                                                                                               State of New Mexico - Department of Workforce Solutions
                                                                                                       UI Tax Modernization Requirements Matrix
                                                                                                               BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                       BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                    FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer
BRQ89: BRQ: based tax system shall allow users
determinationsThe UI on the business rules above.with valid security (e.g.,
BRQ90: BRQ: Employers shall be dynamically prompted to to override
the status supervisor or examiner III’s) to have the authority enter ES 903A
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
information via The portal as part of a partial history transfer application. to
extend the timeline for receipt of report is posted to a predecessor’s and/or
BRQ92: BRQ: When a quarterly partial history transfer applications
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
account for a period ending after the effective date functionalitythe UI tax
BRQ94: and The UI partial history transfers.
to recordBRQ:process tax system shall automatically validate history
transfer application UI tax system shall display determination results for all
BRQ95: BRQ: The data or prompt a status examiner when appropriate
history transferThe UI tax system shall automatically calculate the
BRQ96: BRQ: criteria.
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
date on the successor tax systemaccount based onrelationship between the
BRQ98: BRQ: The UI employer shall establish a business rules.
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
BRQ100: BRQ: The UI tax system on transferred data and update the
predecessor employer rates based shall automatically generate internal
account transactionsUI tax system shallemployer authorizedaccount
BRQ101: BRQ: The required to adjust allow an monetary user to
BRQ102: BRQ: The UI actions based on business rules.
override history transfertax system shall allow an authorized user to record
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
(e.g., the status The UI tax system shall III’s) the authority to override out of
BRQ106: BRQ: supervisor or examiner automatically calculate an
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
of-state history transfer tax system shall generate notices for supporting
BRQ108: BRQ: The UI has been completed.
BRQ109: BRQ: The appropriate based contain functionality
documentation whenUI tax system shall on business rules. to support
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
(e.g., the status When a quarterly reportIII’s) the authority to override total
account for a period endingsystem shall prompt authorized users to initiate
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
other processesThe UI tax system shall automatically generate history
BRQ113: BRQ: required to be completed during the history transfer
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
identify potentialThe UI tax system shall have the capability to allow users
BRQ119: BRQ: cancellations.
to modify the selection criteria for the potentialthe capability to allow users
BRQ120: BRQ: The UI tax system shall have account cancellations
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
BRQ123: BRQ: inactivations/suspensions.
identify potentialThe UI tax system shall generate a potential
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the
reversal process, save the information entered, and employer toapplication
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
acknowledgement prior taxsubmitting a request for history transfer. notice
BRQ127: BRQ: The UI to system shall provide the employer with
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
BRQ129: Performance report to be run allow the user to run examiner or
Examiner BRQ: The UI tax system shall for a single individual the Individual
Status Examiner Performance report daily, weekly, monthly, quarterly,

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                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet             FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status      X
                                                                                                                                                                                                        TPS     TPS Create
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability                                                                                                                                X
to modify the worksheettax system shallyear.
BRQ132: BRQ: The UI during a given contain TPS review systems and                                                                                                                                        X
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the                                                                                                                                 X
to allow an authorized user system shall view results of the completed TPS
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the                                                                                                                                X
ability to upload The UI tax system shall route work queue tasks to
BRQ135: BRQ: completed TPS system review questionnaires to the                                                                                                                                           X
BRQ136: BRQ: based business rules and the appropriate messaging on
appropriate staffThe UI tax system shall create program area up for review.                                                                                                                              X
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ137: system to record the occurrence of certain actions. to allow an                                                                                                                                             X
authorized individual UI tax system annual TPS work plan.
BRQ138: BRQ: The to record the shall automatically execute jobs to                                                                                                                                                  X
create universes based tax the annual work plan data and business rules
BRQ139: BRQ: The UI on system shall automatically generate a work list                                                                                                                                              X
item to the appropriate user to notify them when functionality to allow an
BRQ140: BRQ: The UI tax system shall contain the universe has been                                                                                                                                                  X
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete                                                                                                                                         X
a previously created UI tax systemcreatecontain universe.
BRQ142: BRQ: The universe and shall a new functionality and business
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-
rules necessary The UI tax system shall generateincludes the use of the
BRQ144: with The UI tax system ETA 407 Handbook for each work list
populatedBRQ:data specified in theshall automatically generate a sample.
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking
of electronically The UI source documents to be identified and attached to
BRQ146: BRQ: stored tax system shall allow an authorized user to access
BRQ147: BRQ: The UI record sample allow results.
sample worksheets andtax system shallreview an authorized user to update
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to
BRQ150: BRQ: The UI on system shall contain data.
create universes based tax the annual work plan functionality to allow an
authorized user Theability to reviewshall allow an sample records. to delete
BRQ151: BRQ: the UI tax system and validate authorized user
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:preliminary annual report.
BRQ155: for a The UI tax report.
a request BRQ:final annual system shall contain the capability to
consolidate the various tax system shall allow an authorized user to
BRQ156: BRQ: The UI TPS review results into a single report document.
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
BRQ158: BRQ: The code.
and modify a NAICS UI tax system shall allow NAICS code to be captured
during theBRQ:Employer Registration Process.
BRQ159: 802 The UI tax system shall allow Industry Description to be
BRQ160: BRQ: the UI Employer shall allow whether employers are a
captured during The 802tax system Registration process.
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
Employer BRQ: The UI tax system shall allow the New Employer
BRQ162: Account Number, Employer County Code, Employer Name,
Verification Report to be exported to Microsoft Multi-Establishment
BRQ163: BRQ: The UI tax system shall allow Excel.
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
BRQ167: BRQ: of the tax system shall allow determination and
as a by-product The UIannual experience rate the ES204 details report to
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
annually as well Thefor a specified date range.
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
BRQ171: BRQ: The will allow for reports to query display all non-charges
specified data which UI tax system shall track and the data’s actual state at
and allow BRQ: The UI tax system non-charges or contain an drill down to
BRQ172: users to report on these shall provide the ability to interface on
fields in the ES204 report. This drill down functionality should show the

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                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report             FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
as a by-product The UIannual experience rate the ES205 details report to
BRQ174: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
annually as well Thefor a specified date range by to andrun the report by
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
the different employer’stax system shall provide the ability to drill down on
BRQ179: BRQ: The UI legal entities.
BRQ180: BRQ: The This drill down functionality should show details report
fields in the ES205. UI tax system shall allow the receivables the
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
specified receivable type orsystemreceivable types.
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
to be run quarterly as well as for a specified date range (tochanges to
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
quarterly as wellThefor a specified date range by to all the changes to any
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
581 at any pointThe UI tax system request.
BRQ189: BRQ: 581. This drill down functionality files for: Active
fields in the ETASystem shall generate data extractshould show the
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
notice of potential work list time shall be generated and routed to the
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
BRQ197: BRQ: The UI tax state agency’s contact information (agency
modify and delete the othersystem shall allow for the processing of
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ201: BRQ: When report the Internet that the files are being
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
shall be able to submit shall be able toreportsand update information
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
required to enterData files that are uploaded shall be validated before the
BRQ207: BRQ: quarterly report summary information (ES 903A) before
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
BRQ209: BRQ: transactions.
to complete any If the user is returning to complete an incomplete quarterly
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
information into Theemployer portal.
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
tax system to ensureportal shall also validate the year/quarter to ensure
BRQ213: BRQ: The the employer is a registered employer.
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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    BRQ-BUC Functional Reqs                                                                                      Page 136 of 462                                                                   Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                      BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance               FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
BRQ220: BRQ: The user existing employees.
and excess wages for theshall also be able to turn on/off the multi-state
employee BRQ: To add an employee, the user shall tab to the first
BRQ221: indicator.
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
BRQ223: to the next shall
continuingBRQ: Users page. not continue to the next page until the current
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
information, the Reportshall validate theshall be performed onthe detailed
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
wages as BRQ: Appropriate error messages shall be displayed to the user
BRQ226: well as bulk-loaded wages.
indicating BRQ: data elements are in error.
BRQ227: what The UI tax system shall allow the user to edit the data.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
be prompted with an acknowledgement form shall state that all the
BRQ230: BRQ: The acknowledgement form.
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
information contained in the report (orthe registration application by best
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ233: BRQ: The UI tax pending status and a unique transaction
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ234: (or file) which shall also function as the user’s report
BRQ235: BRQ: The UI tax system shall also return a customized payment
BRQ236: BRQ: The containing display a employer demographic
voucher to the portalportal shall the user’sconfirmation message providing
BRQ237: BRQ: The number and a reminder about potential penalties
a report confirmationportal shall not display complete SSNs for existingand
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
to make an electronic payment or print aallow employers tofor each report
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
quarterly reporting activitiesshall be able to begin the quarterly reporting
BRQ243: BRQ: Employers in the employer portal.
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
and wage BRQ: When payments for at least three years.
BRQ245: reports and editing corrected reports, the system shall verify
that the employer has employer shall have the option towith the same
BRQ246: BRQ: Each a quarterly report on the system data enter a report
BRQ247: BRQ: The editor upload a each report in the staging file.
directly into the portal or to shall readdata file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
number. (In use The system shall validate the account status.
BRQ249: BRQ: case 2.11)
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
report EAN is an active account or a suspended account ifon ayear/quarter
BRQ253: BRQ: The system shall verify that FEIN entered the report is
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ256: when Records discrepancy with the employer’s quarterly
BRQ257: BRQ: The accounts examiners shall run each check through a
validation BRQ: Theconversion machine.
BRQ258: and ACH ACH conversion machine shall link into a third-party
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                       Page 137 of 462                                                                   Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ259: BRQ: The UI tax system shall match the credit transaction to the        FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
payment record The status of all matched payment records shall be set to
BRQ260: BRQ: in the OCR scanning processing.
BRQ261: for processing".
"released BRQ: If the check cannot be converted to an ACH debit, the
BRQ262: BRQ: The UI tax system shall generate an on 542 notification to
check shall be pulled, the NSF date shall be updated ES the payment
an employer when there is a discrepancy with the employer’swhich allows
BRQ263: BRQ: The UI tax system shall contain functionality quarterly
BRQ264: BRQ: The UI tax system shall allow the files on the magnetic
an accounts examiner to validate the format ofan authorized individual to
BRQ265: BRQ: Files shall media based magnetic media to
correct errors on magnetic load from the on business rules. the staging
area of the UI tax system for processing.allow authorized system users to
BRQ266: BRQ: The UI tax system shall
BRQ267: BRQ: The UI for editing shall not limit the number of batches
maintain business rulestax system payments, reports, and adjustments.
that may be processed tax system shall e-mail an adjustment notification
BRQ268: BRQ: The UI in a 24-hour period.
BRQ269: BRQ: The UI tax system shall discrepancy account associated
(ES 542) to an employer when there is averify that thewith the employer’s
BRQ270: BRQ: is an active account or verify that the employer does
with report EAN The UI tax system shalla suspended account if the not
have a quarterlyIf an employerUI tax system with the same year/quarter as
BRQ271: BRQ: report on the submits an electronic tax return or
BRQ272: the UI tax system is new, the any subsequent correspondence
payment, BRQ: If the report shall deliverUI tax system shall post the
summary BRQ: If an wages reportmarked thea multi-stateaccount. the
BRQ273: report and employee is data to as employer’s employee,
BRQ274: BRQ: If the report a task in the appropriate district supervisor’s
UI tax system shall generateis corrected, the UI tax system shall post the
BRQ275: BRQ: The UI tax system shall generate the employer’s account.
updated summary report and wages report data toan electronic transaction
journal entry for The journal shall list employer information, status (new or
BRQ276: BRQ: each report processed.
corrected BRQ: The journal (ES 903A) data as information, status (new or
BRQ277: report), summary shall list employer reported, and cumulative
corrected BRQ: The UI tax system shall generate an adjustment
BRQ278: report), summary (ES 903A) data as reported, and cumulative
BRQ279: BRQ: employer users shall have the capability to run
notification to anAuthorized when there is a discrepancy with the this
process for user-specified year/quarters.
BRQ280: BRQ: Authorized users shall have the capability of running the
edit process immediately or at a later time (and date). edit process based
BRQ281: BRQ: An accounts examiner shall initiate an
on selection criteria. edit process shall read through posted quarterly
BRQ282: BRQ: The
BRQ283: contribution reports on the UI tax system.
employer BRQ: For each report, the edit process shall compute report
totals for total wages, taxable wages, excess wages,computed amount due
BRQ284: BRQ: The edit process shall compare the and total totals to the
summary BRQ: If the on thedetail does not balance to the report summary,
BRQ285: report total wage report.
the UI tax BRQ: The edit process shall generate for electronic edit report
BRQ286: system shall route a work queue task an an accounts examiner
entry for each out of report shall list identified. information, summary data
BRQ287: BRQ: The balance report employer
BRQ288: BRQ: The UI tax system the accept the as posted, the date
as posted, the cumulative totals forshallwage detail following account and
BRQ289: BRQ: The UI tax system shall allow payments [includes taxes,
payment types: contributory accounts (regular users to make payments
using credit or debit cards or direct account employer identification UI tax
BRQ290: BRQ: The portal shall transmit all debit information. The data,
BRQ291: BRQ: If and payment method information to the UI tax system.
payment amount, an employer has monetary delinquencies, prompt the
user to designate that the payment be applied to the oldest delinquency or
BRQ292: BRQ: The employer portal shall allow users to submit payments
for one or BRQ: Payments made with a credit or debit card shall be for
BRQ293: multiple quarters, or payments for one or more employers
processed immediately, while bank account debits may take up tomain
BRQ294: BRQ: The user shall select "Make a Payment" from the three
BRQ295: BRQ: If the user entered payment type from the sub-menus this
menu then select account type anda quarterly report prior to beginning to
transaction, the The portal shall validate employer’s EAN and FEIN; the UI
BRQ296: BRQ: portal pre-populates the the EAN and FEIN against
tax system to ensureuser employer is a prompted to enter the
BRQ297: BRQ: The the shall also be registered employer.
year/quarter(s) forthe account has a delinquency, the portal shall prompt
BRQ298: BRQ: If the payment.
the user to designate the payment to be automatically applied tothe portal
BRQ299: BRQ: If the user enters year/quarter information, then the oldest
shall also BRQ: The portal shall retrieve and display the employer’s owes
BRQ300: validate the year/quarter(s) and determine if the employer
account balanceThe user shall be prompted well asthe amount owed in full
BRQ301: BRQ: from the UI tax system, as to pay any quarterly reports
or to enter another payment amount (this is a required response).

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    BRQ-BUC Functional Reqs                                                                                    Page 138 of 462                                                                   Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                  BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ302: BRQ: The user shall be prompted to confirm his/her selection.          FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
BRQ303: BRQ: The portal shall prompt the user to enter the payment
BRQ304: BRQ: The user’s responses shall be edited based on the
method and prompt the user for additional informationbefore submittal.
BRQ305: BRQ: The portal shall submit the payment information to the
third-partyBRQ: The processorrecord shallUI tax system. the unique
BRQ306: payment payment and to the be updated with
transaction ID. The portal shall display a message providing a payment
BRQ307: BRQ:
confirmation number and documenting the a unique transaction ID to the
BRQ308: BRQ: UI tax system shall assign payment received date,
payment which shall check data shall the loaded payment OCR interpreter
BRQ309: BRQ: The also function as be user’s from the confirmation
BRQ310: BRQ: For the UI tax system using the EAN (and review the
into a staging file oneach payment in the queue, Staff shall FEIN) if
images of BRQ: The UI tax system shall contain functionality to allow an
BRQ311: the check and enclosure to resolve the issues with the check
authorized user The UI taxfor the employer on an examiner to update the
BRQ312: BRQ: to search system shall allow the UI tax system using the
payment record The UI tax system shall contain functionality to allow an
BRQ313: BRQ: and release the payment for processing.
authorized user The UI tax system shall contain functionality to allow an
BRQ314: BRQ: to record when a payment received is cash.
authorized user The editor shall read each payment with the cash staging
BRQ315: BRQ: to record a deposit date associated record in the
file.
BRQ316: BRQ: The editor shall verify that signatures are on the imaged
check. BRQ: The editor shall verify that the check is payable to
BRQ317:
BRQ318: BRQ: The editor of the name.
NMDWS or some variationshall validate the account status (active or
BRQ319: BRQ: The editor rules).
suspended - see business shall validate that the year/quarter are valid
BRQ320: that the employer owes money payment record shall
dates andBRQ: If all edits are passed, thefor that year/quarter. be
released for processing; otherwise,shall verify a pending status until all
BRQ321: BRQ: The UI tax system it stays in that the account associated
with report EAN Whenactive account or a suspended account shall verify
BRQ322: BRQ: is an editing new reports, the UI tax system if the
BRQ323: BRQ: The UI not have a shall post the monetary transaction to
that the employer does tax system quarterly report on the UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ324: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ325: BRQ: The UI tax based shall payment type and how to
BRQ326: BRQ: each payment processed.
journal entry for The journal shall list employer information, the
year/quarter, monetary transaction information, and howsystem shall was
BRQ327: BRQ: As each report is processed, the UI tax the payment
calculate cumulative totals. or their legal agents (also referred to as
BRQ328: BRQ: Employers
"employers") shall be able to submit their quarterly reports in paper form.
BRQ329: BRQ: The UI tax system shall OCR-scan each report in the
staging file.
BRQ330: BRQ: The UI tax system shall verify that signatures are on the
BRQ331: BRQ: The UI tax included).
imaged report and check (ifsystem shall verify that the check is payable to
NMDWS or some variation system shall validate that the EAN is a valid
BRQ332: BRQ: The UI tax of the name.
account number.
BRQ333: BRQ: The UI tax system shall validate the account status (active
or suspended - see business rules).
BRQ334: BRQ: The UI tax system shall validate the payment method for
the account.
BRQ335: BRQ: The editor shall validate that the FEIN is valid for the EAN.
BRQ336: BRQ: The editor shall validate that the year/quarter are valid
dates.
BRQ337: BRQ: When editing new reports, the UI tax system shall verify
BRQ338: BRQ: The UI not have a shall generate on the UI notification
that the employer does tax system quarterly reportan ES 542 tax system to
an employer when there is a discrepancy with the itemized deposit reports
BRQ339: BRQ: The UI tax system shall generate employer’s quarterly
for each batch of checks. and data shall be loaded from the OCR
BRQ340: BRQ: The report
BRQ341: into Payment information shall be captured separately from the
interpreterBRQ:an amended returns staging file on the UI tax system using
report information and placed in an amended returns payment data
BRQ342: BRQ: The EAN and FEIN of the report shall also be staging file.
attributes BRQ: The accounts examiners shall run each check through a
BRQ343: in the payment record.
validation BRQ: Thisconversion machine. a third-party service that
BRQ344: and ACH machine shall link into
validates the check, the issuer, and the available balance before creating a

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    BRQ-BUC Functional Reqs                                                                                   Page 139 of 462                                                                   Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ345: BRQ: The UI tax system shall match the credit transaction to the        FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
payment record The matching shall beprocessing. routing number,
BRQ346: BRQ: in the OCR scanning based on the
account number, and check amount. payment record shall be updated
BRQ347: BRQ: The deposit date in the
BRQ348: BRQ: The status the credit transaction.
with the transaction date of of all matched payment records shall be set to
be released for processing. cannot be converted to an ACH debit, the
BRQ349: BRQ: If the check
check shall be pulled, the NSF date shall be retrieve an out of balance
BRQ350: BRQ: An accounts examiner shall updated on the payment
BRQ351: from The UI queue.
work task BRQ:the worktax system shall contain functionality allowing the
BRQ352: BRQ: The UI imaged copy of the quarterly employer
examiner to retrieve thetax system shall contain the functionality to allow
BRQ353: BRQ: to make necessary corrections authorized quarterly
for the examinerThe UI tax system shall allow anto employer user to
BRQ354: BRQ: The UI tax system shall a wage discrepancy occurs.
generate a request for information when allow users with appropriate
security levels the capability of setting and maintaining the run schedule
BRQ355: BRQ: The UI tax system shall allow users with appropriate
BRQ356: BRQ: The UI tax system shall run (on schedule set range
security levels the capability of entering a recordaselection date by the for
BRQ357: electronic UI tax system shall create incomplete report penalty
users) an BRQ: The report of outstanding discrepancy notices based on
transactions for Each transaction shall accounts in the miscellaneousreport
BRQ358: BRQ: the affected employer be in a "pending" status. The
shall indicate the transaction ID number. the UI tax system shall
BRQ359: BRQ: Upon process completion,
automatically route the report via work flow to the accounts supervisor.
BRQ360: BRQ: The UI tax system shall allow            tasks to be assigned
individually or by EAN ranges. (In use case 3.09, 3.11)
BRQ361: BRQ: The UI tax system shall contain functionality to allow an
BRQ362: BRQ: to access system shall allow attached to an employer
authorized user The UI taximaged documents an authorized user to
remove an incomplete report penalty from an released for processing shall
BRQ363: BRQ: Transactions that have been employer account.
be processed during UI tax system user transaction posting run. access
BRQ364: BRQ: Any the next monetary with appropriate security
BRQ365: BRQ: Online transfer requests shall transfer.
shall be able to complete an online request forbe placed in a "pending"
status. (InBRQ: The 3.06)
BRQ366: use case information shall be edited to ensure accuracy. (In
use case 3.06) The UI tax system shall validate that the EAN’s are valid
BRQ367: BRQ:
account numbers, the "to" employer is inensure thatcontributory status, the
BRQ368: BRQ: The UI tax system shall an active, the items requested
for transfer existIf the request passes theaccount. report and/or payment
BRQ369: BRQ: on the "from" employer edits, the
transfer request The UI tax systemfor processing.the requested report
BRQ370: BRQ: shall be released shall transfer
information and/or reapply any specified recalculate the one employer’s
BRQ371: BRQ: The UI tax system shall payment from balances on both
accounts. BRQ: If the "to" account has been assessed a late report or
BRQ372:
incomplete report penalty for the year/quarter, the UIemployer information
BRQ373: BRQ: The journal shall list "from" and "to" tax system shall open
BRQ374: BRQ: The transfer, as well as the date and time the to adjust
and details about theUI tax system shall allow authorized users transfer or
BRQ375: BRQ: Any UI and interest (P&I) if appropriate security access
remove/abate penaltiestax system user with they were assessed in error or
shall be able to complete an online shall validate that the EAN is a valid
BRQ376: BRQ: The UI tax system request for adjustment.
BRQ377: BRQ: and the year/quarter are valid that the
account numberThe UI tax system shall ensuredates. items requested
for adjustment exist on the employer’sthe edits, the request status shall be
BRQ378: BRQ: If the request passes account.
changed to "released for processing". adjust the requested reports,
BRQ379: BRQ: The UI tax system shall
reapply any specified account has adjustassessed aand P&I on or
BRQ380: BRQ: If the payment, or been (or abate) late report the
BRQ381: BRQ: The UI tax system shall generate UI tax system shall open
incomplete report penalty for the year/quarter, the an electronic transaction
journal entry for The journal shall list employer information and details
BRQ382: BRQ: each request processed.
about the BRQ: As each transfer the date is processed, transfer was
BRQ383: adjustment, as well as request and time the the UI tax system
shall calculate cumulative totals. shall post the monetary transaction to
BRQ384: BRQ: The UI tax system
the employer’s account.tax system shall apply business rules to determine
BRQ385: BRQ: The UI
how to post the transaction system on thegenerate an electronic transaction
BRQ386: BRQ: The UI tax based shall transaction type.
journal entry for The journal shall list employer information, the
BRQ387: BRQ: each transaction processed.
year/quarter, monetary transaction information, and how the transaction

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    BRQ-BUC Functional Reqs                                                                                    Page 140 of 462                                                                   Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ388: BRQ: The UI tax system shall reverse full payments exactly as           FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
the original payment UI tax system shall require users to enter the exact
BRQ389: BRQ: The was posted.
BRQ390: be reversed tax system user with appropriate security access
amount toBRQ: Any UI for each distribution type (e.g., tax, penalty,
BRQ391: BRQ: Online reversal requests shall a routed via work flow
shall be able to complete an online request for bepayment reversal. to
an accounts examiner basedshall include as much information as the
BRQ392: BRQ: The request on business rules.
requestor BRQ: If the examiner cannot locate the payment the UI tax
BRQ393: can provide.
BRQ394: BRQ: The examiner shall enter the reversal request with the
system shall allow the examiner to updatethe reversal transaction into the
UI tax system. The UI tax system shall allow the examiner to reverse the
BRQ395: BRQ:
payment in full or partially. transaction is complete the UI tax system shall
BRQ396: BRQ: When the
allow the examiner to release the reversal transaction for processing.
BRQ397: BRQ: The UI tax system shall allow the examiner to close the
BRQ398: as completed and the UI tax system shall generate having
work task BRQ: The UI tax system shall have the capability of a noticeato
suspense BRQ: Users shall be able used solely to post reportsposted to
BRQ399: employer account that is to query each transaction and
the suspense account and view theshall allow users withfor that
BRQ400: BRQ: The UI tax system imaged information appropriate
BRQ401: BRQ: If capability of setting and maintaining still in pending
security levels thethe records (report and payment) are the runaschedule
status after two days, the UI tax system shall UI tax system shall updateto
BRQ402: BRQ: At the end of three days, the trigger a work queue task
BRQ403: and payment records with UI "suspense" EAN and release
the report BRQ: On a daily basis, the the tax system shall review the the
pending report and payment transactions. the UI tax system shall
BRQ404: BRQ: Upon process completion,
automatically route both reports report viashall retrieve the report from
BRQ405: BRQ: The accounts supervisor work flow to              accounts
his/her work queue and review the reports. a determination regarding how
BRQ406: BRQ: The supervisor shall make
to work the day two due diligence report and assign the outstanding tasks.
BRQ407: BRQ: The accounts supervisor shall open a task in the
BRQ408: BRQ: An accounts examiner shall be work the assigned
appropriate accounts examiner’s work queue to able to retrieve a work task
from the work queue.
BRQ409: BRQ: The examiner shall try to determine the correct EAN.
BRQ410: BRQ: If the EAN can be located, the examiner shall correct the
transaction and release it for processing.be able to close a work queue
BRQ411: BRQ: The examiner shall also
task.
BRQ412: BRQ: The reports and payments shall be processed during the
next report and payment posting runs. allow authorized UI tax system
BRQ413: BRQ: The UI tax system shall
users to define, The UI andsystem shall createrules for editing payments,
BRQ414: BRQ: modify tax maintain business appropriate messaging on
employer BRQ: Theto record the occurrence of certain actions. For control
BRQ415: accounts UI tax system shall maintain business rules to
selection of employers for inclusionshall have the capability tolist. down to
BRQ416: BRQ: The UI tax system on potential tax intercept drill
BRQ417: of the amounts system shall track pending and deposited
the detailsBRQ: The UI tax in the collections processedand posted
BRQ418: BRQ: The UI tax system shall allow deposited report can be
transactions so the collections processed and the capability to run the run
collections processed and deposited report byauthorized users the ability
BRQ419: BRQ: The UI tax system shall allow day, week, month, quarter,
BRQ420: BRQ: pre-defined reports.
to view and printThe UI tax system shall freeze credit accounts balances at
the account level (not the year/quarter level).the capability of unfreezing
BRQ421: BRQ: Authorized users shall have
credits and releasingUI tax system shall allow users with appropriate
BRQ422: BRQ: The credits for refund processing.
security levels the capability of setting and maintaining credit report
BRQ423: BRQ: The UI tax system shall run the frozen the run schedule
BRQ424: to the user-defined run schedule.
according BRQ: The UI tax system shall automatically route an electronic
copy of the report to accounts supervisor shall retrieve the report from
BRQ425: BRQ: The the accounts supervisor.
his/her work queue and review the report. a determination regarding how
BRQ426: BRQ: The supervisor shall make
to assign the accounts for investigation.
BRQ427: BRQ: An accounts examiner shall retrieve a work task from the
work queue and If the examiner determines the credit is valid, the examiner
BRQ428: BRQ: review the assigned account.
shall release theAuthorized users a brief narrative about why the credit is
BRQ429: BRQ: credit and enter shall have the capability of releasing all
refund transactions or individual transactions for refund processing.
BRQ430: BRQ: The UI tax system shall allow users with appropriate
security levels the capability of setting and maintaining the run schedule

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    BRQ-BUC Functional Reqs                                                                                    Page 141 of 462                                                                   Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ431: BRQ: The UI tax system shall print the year/quarter and the              FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
reason forBRQ: The employer refundstub.
BRQ432: the refund on the warrant processing job shall run in ‘no
BRQ433: BRQ: The UI tax a report of all pending refund transactions and
update’ mode and produce system shall automatically send an electronic
BRQ434: BRQ: The refund report to the accounts supervisor.
copy of the employerUI tax system shall allow the examiner to review the
BRQ435: release all the examiner has for processing or review of of
report andBRQ: Whenof the transactions completed his/heronly somethe
report, theBRQ: The UI tax system shall run the final refund run during
BRQ436: UI tax system shall trigger the final refund job to job which
BRQ437: BRQ: transactions to the shall be printed and sent to Accounts
posts the refundThe refund warrantsemployer’s account and generates
for mailing preparation.FMB determines that the warrant is an employer
BRQ438: BRQ: When
refund theBRQ: The UI tax system shall FMB examiner examiner to record
BRQ439: UI tax system shall allow the allow the FMB shall open a task in
all of the information UI tax system shallshall be included in the task notes.
BRQ440: BRQ: The about the warrant contain functionality to allow for a
warrant toBRQ: When a refund warrant is returned as undeliverable, the UI
BRQ441: be voided and a refund reversal to be recorded.
tax system shallThe UI tax system shall freeze credit balances when they
BRQ442: BRQ: turn on the invalid address flag for the mailing address
are established. The affidavit to request a replacement refund warrant shall
BRQ443: BRQ:
be available on the NMDWS web site. create appropriate messaging on
BRQ444: BRQ: The UI tax system shall
employer BRQ: Theto record the occurrence of certain actions. For
BRQ445: accounts UI tax system shall allow authorized users to define
BRQ446: BRQ: The UI tax system running the all balance transaction
and maintain the business rules forshall contain trialdata and (e.g.,
BRQ447: BRQ: The UI tax the trial balance.
details required to generatesystem shall allow authorized users to define
and maintain the business rules forshall allow authorizedsummary define
BRQ448: BRQ: The UI tax system running the account users to (e.g.,
and maintain the business rules forshall allow authorized users to define
BRQ449: BRQ: The UI tax system running the daily transaction detail
and maintain the business rules delinquent contribution report shall be
BRQ450: BRQ: The preliminary for running the aging process (e.g.,
BRQ451: to run automatically every quarter.
scheduledBRQ: The UI tax system shall have the ability to send a
notification to each Field District Supervisor when ability to assign a field
BRQ452: BRQ: The UI tax system shall have the the preliminary
code to a BRQ: employer account and tax representative based on
BRQ453: given The UI tax system shall have the ability to automatically
assign delinquent report work items to a allow authorized individuals to
BRQ454: BRQ: The UI tax system shall tax representative based on
reassign field areas based on business rules. (In use case 4.15, 4.22)
BRQ455: BRQ: The UI tax system shall generate delinquent report notices
to employers. The UI tax system shall contain the ability to identify
BRQ456: BRQ:
employer BRQ: Authorized users shall be able to view only and history
BRQ457: accounts declared delinquent for a given quarter the the current
notes tied BRQ: All history notes shall be see all by type of activity. in the
BRQ458: to a specific delinquency or to coded messages recorded
BRQ459: BRQ: The UI tax system shall allow an authorized user to record
BRQ460: a report delinquency assignment.
results forBRQ: The UI tax system shall automatically change the status of
BRQ461: BRQ: All activities (e.g. been call, email, audits, investigations,
the assignment when a report hasphone received, an estimated report
etc.) shall BRQ: An authorized user shall be able to generate a subpoena
BRQ462: be noted in a history section of each employer account.
from the UI tax system.
BRQ463: BRQ: An authorized user shall be able to generate a subpoena
cover letter fromAn authorized user shall be able to record updates to the
BRQ464: BRQ: the UI tax system.
subpoenaBRQ: An authorizedfile. (e.g. changethe ability to attach a
BRQ465: assignment history user shall have status from issued to
scanned document to atax system shall allow an authorized user to create
BRQ466: BRQ: The UI case assignment.
an estimated wage assignment and associated worksheet per business
BRQ467: BRQ: The UI tax system shall generate the appropriate
estimatedBRQ: The UI tax system shall generate a 10-day noticeof an
BRQ468: report accounting transactions to support the approval to
employers for each approved estimated automatically update an estimated
BRQ469: BRQ: The UI tax system shall report worksheet assignment.
report assignment with the system of an original report as is appropriate.
BRQ470: BRQ: The UI tax receipt shall allow an authorized user the ability
to update BRQ: The UI tax system shall automatically generate a work
BRQ471: an estimated report assignment.
item to the Tax ChiefUI an original report place the original an estimated
BRQ472: BRQ: The if tax system shall is received after report in a
holding/staging tableUI tax reviewed andbe able to archive estimated wage
BRQ473: BRQ: The to be system shall disposition by authorized users
reports when they are replaced by an actual estimated wage report with

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    BRQ-BUC Functional Reqs                                                                                     Page 142 of 462                                                                   Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ474: BRQ: If an actual wage report is submitted after the deadline and         FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
rejected, the UI tax system system shall generate notice of report wage
BRQ475: BRQ: The UI tax shall be able to archive the submitted
BRQ476: BRQ: The UI tax an estimated report has been superseded by
acceptance to employers if system shall allow an authorized user to place
a stop on BRQ: The UI tax system shall periodan authorized user to
BRQ477: 10-day notices for a specified allow of time.
remove an account from the 10-day notice list. the required data to
BRQ478: BRQ: The UI tax system shall contain
BRQ479: BRQ: notices.
generate 10-dayThe UI tax system shall generate 10-day notices to
employers meeting pre-defined criteria. automatically initiate appropriate
BRQ480: BRQ: The UI tax system shall
system tasks when aUI tax system shall allow an authorized user the ability
BRQ481: BRQ: The payment is received.
to removeBRQ: The UI placed stopshall record 10-day item. This will on
BRQ482: a previously tax system on a 10-day notice notice actions
the employer account. tax system shall allow authorized users to select
BRQ483: BRQ: The UI
letters and documents to be generated from a pick list.initiate the lien4.07)
BRQ484: BRQ: The UI tax system shall automatically (In use case
generation job basedUI tax system rules. place the appropriate district
BRQ485: BRQ: The on business shall
supervisor electronicUI tax system the lien.
BRQ486: BRQ: The signature on shall contain a lien history file/record.
BRQ487: BRQ: The UI tax system shall link imaged lien documents to the
lien history file. The UI tax system shall allow an authorized user to
BRQ488: BRQ:
BRQ489: BRQ: The case system shall keep a collections information,
establish a collectionUI tax and record the results, pertinenthistory file of
collections cases. UI tax system shall allow an authorized user to
BRQ490: BRQ: The
generate a statement oftax system shall allow an authorized user to
BRQ491: BRQ: The UI account on demand.
BRQ492: BRQ: balance letter to a requesting party (e. g., title company).
generate a zero The UI tax system shall automatically default signature to
user initiating the actiontax system shall allow an authorized user to for
BRQ493: BRQ: The UI but also allow the user to enter another name
generate a lien action for all quarters covered by a given lien or to specific
BRQ494: BRQ: The UI tax system shall set the lien-related follow-up tasks
BRQ495: BRQ: The UI tax queues
in NMDWS employee work system shall create lien-related messaging on
employer BRQ: Theto record the occurrence of certain actions
BRQ496: accounts UI tax system shall allow an authorized user to
establish a lien collection case and shall keep a lien collections history file
BRQ497: BRQ: The UI tax system record the results, pertinent
of lien collections cases. system shall allow an authorized user to
BRQ498: BRQ: The UI tax
generate a payment UI tax systemgiven employer account. (Inwork case
BRQ499: BRQ: The coupon for a shall automatically assign use queue
tasks to field representatives based on business rules. (In use case 4.16)
BRQ500: BRQ: The UI tax system shall generate a NSF check collections
assignment to the appropriate Field Tax allow an authorized user the ability
BRQ501: BRQ: The UI tax system shall Representative when a payment
to attach electronic document image to a collections case. user to record
BRQ502: BRQ: The UI tax system shall allow an authorized
BRQ503: BRQ: The actions and results generate collection case
NSF collection case UI tax system shall in the UI tax system.
assignments based on business rules. distribute collection case
BRQ504: BRQ: The UI tax system shall
assignments to individuals based on business an authorized user to record
BRQ505: BRQ: The UI tax system shall allow rules.
BRQ506: BRQ: collections assignment cases.
actions taken onThe UI tax system shall keep a collections history file of
collections cases. system shall allow authorized individuals to
BRQ507: BRQ: The
redistribute automatically generated work items. This includes the ability
BRQ508: BRQ: The UI tax system shall utilize automatic job scheduling
software for the The UI tax system shall maintain collection case status
BRQ509: BRQ: scheduling of period jobs.
statistics for UI Management reporting. maintain business rules to control
BRQ510: BRQ: The UI tax system shall
selection of employers for inclusionshall maintain business rules to control
BRQ511: BRQ: The UI tax system on potential tax intercept list.
selection for certain periodic extract file creation. For example, to modify a
BRQ512: BRQ: The UI tax system shall allow authorized users the annual
tax intercept notice indicator.
BRQ513: BRQ: The UI tax system shall allow users with adequate security
to trigger the preliminary tax intercept notice, tax interceptwith EAN’s, tax
BRQ514: BRQ: Tax Intercept Notices shall be bar coded notice and
amount due, and field code.
BRQ515: BRQ: The UI tax system shall maintain business rules to control
selection and printing criteria for certain annual processing jobs. For
BRQ516: BRQ: The UI tax system shall populate the garnishment notice
with the appropriate data based on business rules.

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    BRQ-BUC Functional Reqs                                                                                      Page 143 of 462                                                                   Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ517: BRQ: The UI tax system shall populate the garnishment demand            FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
documentBRQ:the appropriate datashall allow business rules.
BRQ518: with The UI tax system based on an authorized user to enter a
BRQ519: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
BRQ520: BRQ: garnishment cases.
actions taken onThe UI tax system shall keep a history file on all
garnishment cases. UI tax system shall allow an authorized user the ability
BRQ521: BRQ: The
to attach electronic document images to keep a history file on all
BRQ522: BRQ: The UI tax system shall a garnishment case.
garnishment cases. UI tax system shall place the garnishment case in the
BRQ523: BRQ: The
Field Tax Representative’s system shall keep a history file workload, based
BRQ524: BRQ: The UI tax current or prior collection case on all
garnishment cases. UI tax system shall allow an authorized user to record
BRQ525: BRQ: The
BRQ526: BRQ: Collection Case assignments.
actions taken onThe UI tax system shall keep a history file on all Collection
Case assignments. Collection Case Assignment Pool shall be scheduled
BRQ527: BRQ: The
to run automatically every quarter. shall have the ability to automatically
BRQ528: BRQ: The UI tax system
BRQ529: BRQ: The UI assignments work items authorized user to record
assign Collection Case tax system shall allow anto a tax representative
actions taken to The UI tax system shall maintain business rules to control
BRQ530: BRQ: clear the delinquency on the case file.
BRQ531: BRQ: The UI tax system on potential declaring an entire
selection of employers for inclusionshall support uncollectible lists.
BRQ532: account as uncollectible.
employer BRQ: The UI tax system shall require an electronic request be
BRQ533: on payment tax timelines greater an 12 months
submittedBRQ: The UI plansystem shall allowthanauthorized individual to
electronically approve or deny requests for payment plan timeline
BRQ534: BRQ: The UI tax system shall calculate monthly payments,
timelines, BRQ: The UI tax system shall specific information plan into on the
BRQ535: and final payments based on place the payment entered
suspension if a report istax system shall allownot made. user to change
BRQ536: BRQ: The UI not filed or payment authorized
the state of the payment plan.
BRQ537: BRQ: The UI tax system shall allow authorized user to change
the terms BRQ: The UI tax system shall allow an authorized user to record
BRQ538: of the payment plan.
comments or actionsUI tax system shall plans. a payment plan history
BRQ539: BRQ: The taken on payment maintain
file.
BRQ540: BRQ: The UI tax system shall contain links to payment plan
BRQ541: BRQ: the payment plan shall allow
documents fromThe UI tax system history file. an authorized individual to
submit a payment plan request via shall allow an self service user to
BRQ542: BRQ: The UI tax system the employer authorized portal.
generate payment plan tax system shall contain the functionality to
BRQ543: BRQ: The UI documents using a template.
maintain an amortization schedule.shall monitor payment plan cases and
BRQ544: BRQ: The UI tax system
place an alert in The Field Tax Representative’s work queue if payment is
BRQ545: BRQ: the UI tax system shall place the defaulted payment plan
BRQ546: BRQ: Tax Representative’s ongoing collection assignment work
case in the FieldThe UI tax system shall generate the Defaulted Payment
Plan notice.
BRQ547: BRQ: The UI tax system shall populate the Defaulted Payment
Plan notice with The appropriate data based on business rules. to enter a
BRQ548: BRQ: the UI tax system shall allow an authorized user
BRQ549: BRQ: The and alert the shall allow an authorized user that date
future follow-up date UI tax systemuser via their work queue whento record
actions taken onThe UI tax system shall keep a history file on all payment
BRQ550: BRQ: Defaulted Payment Plan cases.
plan cases.
BRQ551: BRQ: The UI tax system shall identify accounts with monetary
deficiencies.
BRQ552: BRQ: The UI tax system shall identify accounts where employers
BRQ553: electronically and submitted payments via payment coupon.
have filed BRQ: The UI tax system shall automatically generate a
BRQ554: of account to employers with be able to deficiency meeting
statementBRQ: The UI tax system shall a monetarygenerate statement of
accounts to multiple UI tax system shall be capable of generating
BRQ555: BRQ: The addresses.
statements of accounts taxowners, shall be capable of identifying
BRQ556: BRQ: The UI to system partners and officers of a business. (In
secondary liability (predecessor debt) and generating aprinting a text the
BRQ557: BRQ: The UI tax system shall be capable of statement to
BRQ558: BRQ: statement of account. (In use generation
message on theThe UI tax system shall recordcase 4.20) of statements of
account and keep a history. (In useshall allow an authorized user to view
BRQ559: BRQ: The UI tax system case 4.20)
statement of account history logs. (In use case 4.20)

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    BRQ-BUC Functional Reqs                                                                                    Page 144 of 462                                                                   Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ560: BRQ: The UI tax system shall recognize quarter end peak                 FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
processing dates. UI tax system shall identify accounts with monetary,
BRQ561: BRQ: The
BRQ562: BRQ: The UI delinquencies by quarter.
report and/or wage datatax system shall not include accounts that have
bankruptcy or uncollectible system shall automatically generate a
BRQ563: BRQ: The UI tax suspense indicators.
BRQ564: of account to employers with be able to deficiency meeting
statementBRQ: The UI tax system shall a monetarygenerate statement of
BRQ565: BRQ: The addresses during the capable of run.
accounts to multiple UI tax system shall bemonthly job identifying
secondary liability (predecessor debt) and generating a statementto the
BRQ566: BRQ: The UI tax system shall allow an authorized user to
BRQ567: BRQ: The statement on shall present a Statement of Account
generate an accountUI tax system any account, including accounts that
online to an employer requesting a shall allow via authorized user to print a
BRQ568: BRQ: The UI tax system statement an the internet.
statementBRQ: The UI tax the employer allow an authorized user to
BRQ569: of account from system shall self service portal.
BRQ570: BRQ: The UI tax statement of account. The view the will be
request online printing of a system shall allow a user tostatementstatement
of account online prior to submitting the print request.
BRQ571: BRQ: The UI tax system shall allow an authorized user to record
a text message to beUI tax system shall recordof account. of a statement
BRQ572: BRQ: The printed on the statement generation
BRQ573: BRQ: The the account history file.
of account online on UI tax system shall allow indicator alert to employer
on the portal indicating all outstanding delinquencies.
BRQ574: BRQ: The UI tax system shall contain the capability to reassign
a Collections Case Assignment to the Prior Delinquent Contribution Report
BRQ575: BRQ: The UI tax system shall contain the capability to generate
BRQ576: BRQ: The UI tax system shall allow an Assignments Report
a Prior Delinquent Contribution Report and Case authorized user to by
change the status of UIcollection case toautomatically generate a Prior
BRQ577: BRQ: The a tax system shall a priority assignment.
Assignments - 90 Days tax system shall initiate a work item to each District
BRQ578: BRQ: The UI Old report.
Supervisor informingUI tax the Prior Assignmentsauthorized Old Report is
BRQ579: BRQ: The them system shall allow an - 90 Days user to
BRQ580: Prior The UI tax system shall allow an a work queue.
remove a BRQ:Collection Case Assignment from authorized user to record
actions taken onThe UICollection Case assignments. file on all Prior
BRQ581: BRQ: Prior tax system shall keep a history
CollectionBRQ: The Prior Collection Case Assignment Pool shall be
BRQ582: Case assignments.
scheduledBRQ: The UI tax system shall have the ability to automatically
BRQ583: to run automatically every quarter.
assign Prior Collection Case assignments work items to a tax
BRQ584: BRQ: The UI tax system shall contain a Bankruptcy
Attorney/Trustee Table.tax system shall allow an authorized user to
BRQ585: BRQ: The UI
establish, BRQ: The UI tax system shall allow an authorized userdata and
BRQ586: modify and delete Bankruptcy Attorney/Trustee Table to
associate BRQ: The UI tax system shall Attorney/Trustee Table with aability
BRQ587: a record from the Bankruptcy allow an authorized user the
to select aBRQ: The UI Attorney/Trustee to generate bankruptcy the ability
BRQ588: Bankruptcy tax system shall allow an authorized user
to generate a report or all Bankruptcy Attorney/Trustee records contained
BRQ589: BRQ: The UI tax system shall generate a work list alter to the
appropriate users if a Bankruptcy Attorney/Trustee record notices via a
BRQ590: BRQ: The UI tax system shall route bankruptcy attached to
workflow to the Legal Tax Representative once they have been scanned
BRQ591: BRQ: The UI tax system shall allow an authorized user to enter
bankruptcy caseThe UI taxthe system and will store the data in a
BRQ592: BRQ: data into system shall contain the data and business
rules necessary The UI tax system shall place a ability to establish a on an
BRQ593: BRQ: to allow an authorized user the bankruptcy indicator
BRQ594: account when a system shall take or stop actions
employer BRQ: The UI taxbankruptcy case file is created. as may be
BRQ595: BRQ: The UI cases per shall record bankruptcy actions in the
required on bankruptcy tax systemprescribed business rules.
history file.
BRQ596: BRQ: The UI tax system shall contain the functionality to allow a
user to assign an interest rate for ashall include a Proof of Claim screen.
BRQ597: BRQ: The UI tax system given period of time.
BRQ598: BRQ: The UI tax system shall allow an authorized user to record
bankruptcy court confirmation claim filing data. authorized user to update
BRQ599: BRQ: The UI tax system shall allow an
BRQ600: BRQ: The file on the employer’s account for any data
the bankruptcy case UI tax system shall maintain a history for anmissing
employer’s bankruptcy case file. shall contain the data and business
BRQ601: BRQ: The UI tax system
BRQ602: BRQ: to link tax system shall contain an employer’s bankruptcy
rules necessary The UI bankruptcy documents toan update bankruptcy
case file function.

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    BRQ-BUC Functional Reqs                                                                                    Page 145 of 462                                                                   Date Printed: 7/27/2011
                                                                                            State of New Mexico - Department of Workforce Solutions
                                                                                                    UI Tax Modernization Requirements Matrix
                                                                                                            BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ603: BRQ: The UI tax system shall allow an authorized user the ability        FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
to update BRQ: The UI tax system shallthe update case file function.
BRQ604: bankruptcy case file data via support the generation of
bankruptcy documents andsystem shall automatically update the
BRQ605: BRQ: The UI tax correspondence.
BRQ606: BRQ: history file when the update an authorized user function
employer’s caseThe UI tax system shall allowbankruptcy case file to record
BRQ607: BRQ: The UI tax system shall the court orders on the to control
the disposition of a bankruptcy case per maintain business rulesemployers
BRQ608: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
BRQ609: BRQ: The prepayment job.
to trigger the sampleUI tax system shall allow use business rules to
calculate prepayment amounts.
BRQ610: BRQ: The UI tax system shall allow users with adequate security
to override zero Prepayment notices shall be bar coded with the EAN,
BRQ611: BRQ: dollar prepayment amounts.
amount due, and due date. system shall maintain business rules to control
BRQ612: BRQ: The UI tax
selection and printing oftax system shall allow users with adequate security
BRQ613: BRQ: The UI certain quarterly processing jobs. For example,
BRQ614: BRQ: The quarterly reimbursable billing job
to trigger the sampleUI tax system shall allow use of business rules to
BRQ615: BRQ: The UI tax system amounts.
calculate quarterly benefit chargingshall allow users with valid security
BRQ616: BRQ: supervisor or examiner automatically trigger the
(e.g., the status The UI tax system shall III’s) the authority to override tax
BRQ617: BRQ: The UI tax system notices. For example, the UI tax
generation of appropriate employershall allow employers the option to
BRQ618: BRQ: If an incorrect SSN (social security an appeal.
select Appeals, Tax, or Board of Review when filingnumber) is corrected in
BRQ619: system, denial correspondence attached to notification of be
the UI tax BRQ: All then the benefit chargesshall include that SSN shallthe
BRQ620: BRQ: level of appeal rights. (In use case 1.23)
employer’s next The UI tax system shall maintain business rules to control
BRQ621: BRQ: The UI certain quarterly processing jobs. For example,
selection and printing oftax system shall allow users with adequate security
to trigger the sampleUI tax system shall allow use business rules to
BRQ622: BRQ: The quarterly reimbursable billing job.
calculate quarterly benefit chargingpersonnel shall have authorization to
BRQ623: BRQ: Authorized claims amounts.
query the BRQ: Benefit charge statements shall be bar coded with the
BRQ624: UI tax system.
BRQ625: BRQ: due, and due dates.
EAN’s, amountsRe-certification documents (940Cs) shall include an
BRQ626: signature UI tax may be sent electronically to employers. (In
electronic BRQ: The so theysystem shall compare the employer’s liability
date spans on record totax system shall allow employers to and reject any
BRQ627: BRQ: The UI the re-certification periods entered enter multiple
years individually on UIre-certification request.
BRQ628: BRQ: The a tax system shall compare the employer’s liability
BRQ629: BRQ: The UI the re-certification periods entered and reject for
date spans on record totax system shall allow re-certification requests any
multiple years. (In use case 5.07)
BRQ630: BRQ: Re-certification documents (940Cs) shall include an
BRQ631: signature UI tax may be sent electronically to employers.
electronic BRQ: The so theysystem shall allow re-certification requests for         X
multiple years. (In use case 5.06) shall have the ability to process the
BRQ632: BRQ: The UI tax system                                                      X
annual IRS 940 The UI tax system shall allow authorized personnel toon
BRQ633: BRQ: certification tape and match employer records based                                        X
BRQ634: BRQ: The using system shall maintain have not yet posted to
recalculate tax rates UI tax payment amounts that business rules to control
BRQ635: BRQ: The UI certain annual allow users with adequate security
selection and printing oftax system shallprocessing jobs. For example,
BRQ636: BRQ: The annual rate job
to trigger the sampleUI tax system shall allow use business rules to
BRQ637: BRQ: rates.
calculate annualThe UI tax system shall allow users with adequate security
BRQ638: BRQ: percent rate be able
to override zero The job shallamountsto be run in two modes: preliminary                                          X
BRQ639: BRQ: production (update) at shall not
(no update) and The preliminary job runany time. affect the prior production                                      X
BRQ640: selection.
employer BRQ: The job shall include variable parameters in the selection                                          X
process. Examples of the parameters that shall be modifiable includeSub-
BRQ641: BRQ: The run schedule shall be coordinated with the Field the                                             X
Section Supervisor.
BRQ642: BRQ: Authorized users shall be allowed to define, modify and                                              X
maintain the business rulessystem shall route work queue tasks to Field
BRQ643: BRQ: The UI tax that direct the employer selection for the                                                X
Operations staff The UI on the field shall allow authorized(In use case 1.07,
BRQ644: BRQ: based tax system code of the account. user to initiate a                                                        X
BRQ645: BRQ: The UI request.
target audit assignmenttax system shall allow an authorized user to                                                          X
change a target audit assignment to approved or denied.

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    BRQ-BUC Functional Reqs                                                                                     Page 146 of 462                                                                   Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ646: BRQ: The UI tax system shall generate notices to the requestor          FUTA Re-    FUTA    Process    Assign      X
                                                                                                                         Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
informing BRQ: whenUI tax system shall allow authorized approved or the
BRQ647: them The a status change has occurred (e.g. users to view                                                          X
current status and details of an assignment. work queue tasks to Field
BRQ648: BRQ: The UI tax system shall route                                                                                            X
Operations staff Authorizedthe field code ofable account. (In use case 1.07,
BRQ649: BRQ: based on users shall be the to record actions taken on                                                                   X
an audit assignment.UI tax system shall include calendaring and
BRQ650: BRQ: The                                                                                                                      X
scheduling capabilities. tax system shall include the capability to generate
BRQ651: BRQ: The UI                                                                                                                   X
BRQ652: BRQ: Authorized users shall including record actions taken
notices, letters, forms, etc to employer be able tothe audit notification and                                                                    X
BRQ653: an audit assignment in the UI allow an authorized user to modify
regarding BRQ: The UI tax system shall tax system.                                                                                               X
BRQ654: of an audit assignment shall allow for different audit statuses
the status BRQ: The UI tax system(e.g. change from requested to                                                                                               X
BRQ655: BRQ: The UI tax system in the audit history file.
and maintain audit status changes shall allow for employer information that                                                                                   X
is required to conduct the audit to be automatically downloaded onto
BRQ656: BRQ: The UI tax system shall allow for automatic system                                                                                               X
BRQ657: BRQ: of information from auditor lap tops to main UI tax system.
synchronization The UI tax system shall contain an audit program that can                                                                                     X
be operated on individual system shall contain the capability to record
BRQ658: BRQ: The UI tax                                                                                                                                       X
audit results in the UI tax system. shall automatically generate employer
BRQ659: BRQ: The UI tax system                                                                                                                                           X
BRQ660: BRQ: The UI tax in the audit results. This will users generating
account changes indicated system shall allow authorizedincludeto modify                                                                                                  X
BRQ661: BRQ: various audit assignment statuses based store audit
audit results for The UI tax system shall have the ability toon business                                                                                                 X
BRQ662: BRQ: narrative system
results includingThe UI taxreports. shall generate a Notice of Audit                                                                                                     X
Findings to the employer. system shall route work queue tasks to Field
BRQ663: BRQ: The UI tax                                                                                                                                                  X
Operations staff When an employercode of theform or other use case 1.07,
BRQ664: BRQ: based on the field submits a account. (In information,                                                                                                                 X
BRQ665: system shall automatically create work items and main record,
the UI tax BRQ: Work items shall contain links to employer’ssend it to the                                                                                                          X
as well asBRQ: The UI tax systemwork items. a blocked wage claim
BRQ666: related documents and shall contain                                                                                                                                         X
case assignment screen. system shall allow an authorized user to record
BRQ667: BRQ: The UI tax                                                                                                                                                             X
the finding of a blocked tax system shall automatically route a notice that a
BRQ668: BRQ: The UI wage claim on the case assignment screen.                                                                                                                       X
BRQ669: BRQ: The Field Tax Representatives shall be been recorded to
blocked wage claim has been resolved and results haveallowed to set up                                                                                                              X
potential employer accounts. Representatives shall be allowed to correct
BRQ670: BRQ: The Field Tax                                                                                                                                                          X
social security numberstax the UI tax system.
BRQ671: BRQ: The UI in system shall transfer Blocked Wage Claim                                                                                                                     X
BRQ672: information from one account number to determination letter
work item BRQ: The UI tax system shall generate a another when the                                                                                                                  X
based on information entered into a Blocked Wage Claim work item record
BRQ673: BRQ: The UI tax system shall allow an authorized user to                                                                                                                    X
BRQ674: BRQ: The UI wage claim on the case authorized screen.
the finding of a blocked tax system shall allow anassignment user to                                                                                                                          X
generation of a Status Investigation case assignment including narrative
BRQ675: BRQ: The UI tax system shall route the assignment to the                                                                                                                              X
BRQ676: BRQ: The UI based on shall allow business rules.
appropriate work queuetax systempre-defined an authorized user to record                                                                                                                      X
investigation results and mark the case completed.
BRQ677: BRQ: The UI tax system shall route the completed case to the                                                                                                                          X
originator.BRQ: The UI tax system shall transfer Status Investigation work
BRQ678:                                                                                                                                                                                       X
BRQ679: BRQ: from one system shall generate a determination letter
item informationThe UI taxaccount number to another when instructed by                                                                                                                        X
based on information entered into a Status Investigation work item
BRQ680: BRQ: The UI tax system shall contain functionality for including a
bar code or another indicator on documents generated to allow for initiate
BRQ681: BRQ: The UI tax system shall allow an authorized user to
BRQ682: BRQ: appeals, save the shall allow entered, and user to file
and submit new The UI tax system informationan authorized update the an
appeal after the If an authorized user saves the appeal but does provided
BRQ683: BRQ: deadline (based on business rules) has passed not submit
it, the UI tax system shall remind the user of the deadline.
BRQ684: BRQ: The UI tax system shall return an error message if there is
missing information andtax system shall returninformation. page with
BRQ685: BRQ: The UI highlight the missing an editable
BRQ686: data.
summary BRQ: The UI tax system shall return an acknowledgement form
with a question asking if the employer affirms the acknowledgement
BRQ687: BRQ: The UI tax system shall present the user with a disposition
message once the appeals system shall automatically assign a case
BRQ688: BRQ: The UI tax form has been acknowledged. The disposition
number to new appeals. (In use case 9.02)

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                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ689: BRQ: Work items shall contain links to the employer’s main              FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
record, to BRQ: Appeals case "files" to thecontain links to the employer’s
BRQ690: the appeals case file, and shall original determination that was
BRQ691: BRQ: the original determination to was appealed.
main record andThe employer shall be ablethattrack the status of the
appeal. BRQ: The UI tax system shall validate that all fields have been
BRQ692:
BRQ693: BRQ: The system shall generate to next "page."
entered before allowing the user to proceedan appeals form with a bar
code and include it with requests shall be scanned and indexed to the
BRQ694: BRQ: Appeal a determination.
optical image system.
BRQ695: BRQ: The system shall be capable of receiving a fax appeal
BRQ696: BRQ: The system shall be an to generate an appeal from item
request and automatically generatingableappeal case worksheet work the
BRQ697: BRQ: An authorized user on business to enter
for the appropriate individual based shall be able rules. update the
BRQ698: BRQ: The system shall additional information related to modify
appeals worksheet to include any allow an authorized user to add, the
or delete appeals case data based on business rules. a notice to an
BRQ699: BRQ: The system shall be able to generate
BRQ700: notifying employer that automatically assign a case number to
employer BRQ: The system shall appeal has been received and requesting
BRQ701: BRQ:
new appeals. Work items shall contain links to employer’s main record,
to the appeals case file, and to the original determination that was main
BRQ702: BRQ: Appeals cases shall contain links to the employer’s
BRQ703: BRQ: The employer shall be able to appealed.
record and the original determination that was track the status of the
appeal. BRQ: Appeal work list items shall contain links to appeals cases.
BRQ704:
BRQ705: BRQ: Appeals cases shall contain links to employer’s main
BRQ706: BRQ: Appeals cases shall contain links to scanned appeal’s
record, original determination that was appealed, and prior appeal
letters and forms. UI tax system correspondence component shall
BRQ707: BRQ: The
contain a template for letters of determination. create a letter of
BRQ708: BRQ: NMDWS staff shall be able to
BRQ709: BRQ: Based correspondence component that includes the
determination using theon items selected, the UI tax system shall create
work items for required changes to an employer’s account and route to the
BRQ710: BRQ: A link to the determination letter shall be created within the
appeals case when the letter of determination is saved. the settings for
BRQ711: BRQ: The Tax Section shall be able to maintain
the next-level supervisor. (E.g. read receipts shall be returned to NMDWS
BRQ712: BRQ: Delivered and when the Field Sub-Section Supervisor is
BRQ713: BRQ: he UI tax system shall is read.
when an email is delivered and when it allow authorized staff to view all
current work items and their status.shall contain functionality to generate a
BRQ714: BRQ: The UI tax system
timelinessBRQ:failure-to-show issue hearing work item in addition an an
BRQ715: and The UI tax system shall associate an appeal with to
employer BRQ: The UIclaimant social security number, if applicable (not
BRQ716: account and tax system shall maintain a history of an appeal
including data on each level of appeal and links to all linking of related
BRQ717: BRQ: The UI tax system shall allow for the decisions issues.
appeals documents from the imaging and document management system.
BRQ718: BRQ: The UI tax system shall allow an authorized individual to
generate correspondence using templates. The templates shallbased on
BRQ719: BRQ: The UI tax system shall pre-populate decisions contain:
pre-defined business rules.of appeals (Tax, Appeals, and Higher Authority)
BRQ720: BRQ: Each level
shall haveBRQ: own document template. have the ability to edit their
BRQ721: their Each level of appeals shall
own document template to suit their needs. UI tax system shall
BRQ722: BRQ: After a decision is issued, the
BRQ723: BRQ: Based on items of appeal the decision the appropriate
automatically determine the typechecked inand route it tothe UI tax system
shall create work items directing Tax Section to make appropriate
BRQ724: BRQ: Work items shall contain links to appeals cases.
BRQ725: BRQ: Appeals cases shall contain links to employer’s main
record, the original determination that was appealed,related, scanned
BRQ726: BRQ: Appeals cases shall contain links to and lower-level
letters and forms. UI tax system shall contain a template for decision
BRQ727: BRQ: The
letters. BRQ: Higher Authority staff shall be able to create a decision
BRQ728:
letter using a templateto the decision letter shall be created within the
BRQ729: BRQ: A link that includes the following fields: original
appeals case when theon items determination istemplate the UI tax system
BRQ730: BRQ: Based letter of checked in the saved.
shall create work items Tax system shall generate the appropriate
BRQ731: BRQ: The UI directing Tax Section to make summary
accounting transactions from the Accounting Summary report.

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    BRQ-BUC Functional Reqs                                                                                    Page 148 of 462                                                                   Date Printed: 7/27/2011
                                                                                           State of New Mexico - Department of Workforce Solutions
                                                                                                   UI Tax Modernization Requirements Matrix
                                                                                                           BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC92:    BUC93:   BUC94:     BUC95:    BUC96:     BUC97:     BUC98:      BUC99:     BUC100:     BUC101:   BUC102:   BUC103:    BUC104:
BRQ732: BRQ: The UI Tax system shall retain the detailed accounting             FUTA Re-    FUTA    Process    Assign    Assign    Schedule   Cancel an   Conduct an Process an   Blocked    Status     TPS     TPS Create
BRQ733: BRQ: The UI Tax system shall maintain running, transactions.
transactions that support each day’s summary journal entryactual totals for
BRQ734: BRQ: The UI Tax system shall account, the appropriate and
each revenue type (e.g., federal clearing calculate state trust fund, revenue
BRQ735: BRQ: The bank system shall on the running actual to adjust
distributions for eachUI Taxdeposit basedallow authorized users totals for
BRQ736: BRQ: Any detailed accounting transactions bank UI Tax system
the running, actual totals to reflect transfers out of thein the accounts to
and the summary accounting developed toto SHARE shall reflect that
BRQ737: BRQ: The program transactions fulfill the requirements
BRQ738: BRQ: The file TAX 3.18 Aging of Receivables use case net
documented in NMDWSof adjusting journal entries shall reflect the shall
BRQ739: the accounts receivables balance since the end of the prior
change ofBRQ: The UI Tax system shall breakdown the receivables
balance according tosystem shall allow authorized users to locate warrants
BRQ740: BRQ: The business rules.
using the warrant number and/or employer shall include error handling for
BRQ741: BRQ: The reconciliation process account number.
BRQ742: such The system shall numbers or a warrant number already
situations BRQ: as invalid warrant allow an interface from the bank to the
UI Tax System for the redeemed warrantsthe capability to identify credits
BRQ743: BRQ: The system shall contain reconciliation process.
meeting the state’s unclaimed property business rules.property letters to
BRQ744: BRQ: The system shall generate unclaimed
employers with records written to the unclaimed property file.credit as
BRQ745: BRQ: The system shall include the ability to flag a
unclaimedBRQ: The system shall generate the appropriate accounting
BRQ746: property.
transactions for The system shall as unclaimed property.
BRQ747: BRQ: credits classified have the capability to allow refund
cancellations/reversals (see shall have the 3.13 Returned Warrants
BRQ748: BRQ: The system NMDWS TAX capability to generate
appropriate general ledger transactions and journal vouchers forand
BRQ749: BRQ: General ledger account transactions shall track
account for the breakdown ofamounts shall payments and charges for to
BRQ750: BRQ: Prepayment reimbursable be reclassified and posted
BRQ751: BRQ: Appropriate accounting transactions charge is applied to
an employer’s account as a payment when a benefit and journal entries
shall be generated when a prepayment is reclassified as a payment to a




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    BRQ-BUC Functional Reqs                                                                                    Page 149 of 462                                                                   Date Printed: 7/27/2011
                                                                                          State of New Mexico - Department of Workforce Solutions
                                                                                                  UI Tax Modernization Requirements Matrix
                                                                                                          BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC105:     BUC106:    BUC107:     BUC108:      BUC109:   BUC110:   BUC111:    BUC112:     BUC113:   BUC114:   BUC115:    BUC116:     BUC117:
BRQ1: BRQ: Employers shall be able to initiate and submit new                TPS Select   Prepare   File Appeal File Appeal   Process   Process   Process   Processing   Imaging    OCR-       Mail    Automatic   Portal Use
registration activities in the employer portal.
BRQ2: BRQ: Employers shall be able to begin the registration process,
BRQ3: BRQ: Successor employers shall the registration information
save the information entered, and updatebe able to register as a new
employer in the employer portal. shall assign a field code and status
BRQ4: BRQ: The UI tax system
examiner to aThe UI tax systemwhen the registrant submits the registration
BRQ5: BRQ: registrant’s case shall make an initial liability determination
based on the The registrant shall receive employer portal.
BRQ6: BRQ: information provided in the a message window indicating the
BRQ7: BRQ: the UI tax system shall make an initial rate assignment
disposition of The registration after submitting the registration request.
BRQ8: BRQ: The employer’s account shall be created on the UI tax
based on business rules.
system BRQ: The registrant confirms the registrationassign an employer
BRQ9: when the UI tax system shall automatically information and
account number when the registrantdynamically prompted forinformation.
BRQ10: BRQ: Registrant’s shall be submits the registration information
based on previous answers. For example, capable of capturing multiple
BRQ11: BRQ: The UI tax system shall be if the registrant indicates he/she
BRQ12: locations UI multiple owners/partners/officers.
physical BRQ: Theand tax system shall follow FUTA guidelines for
establishing potential employer accounts.
BRQ13: BRQ: The UI tax system shall make an initial liability
BRQ14: BRQ: The UI tax system shall provided. 1) Compare the amount
determination based on the informationcontain business rules necessary to
BRQ15: recording UI tax system shall allow queries on all accounts with
allow for BRQ: The a change in payment method (E.g. reimbursable to
BRQ16: owners for SUTA dumping detection purposes.
commonBRQ: The UI tax system shall automatically trigger the generation
of appropriate employer packets, forms, and authorized users to update
BRQ17: BRQ: The UI tax system shall allow letters. For example, the UI
parameters that control the data extract quarterly report schedule the job.
BRQ18: BRQ: The data tape extract for job and to then generation shall
BRQ19: BRQ: The whose quarterly method of communication is mail.
exclude employers annual preferred report generation process shall send
BRQ20: BRQ: If the to those employers whose preferred method of
an e-mail notificationrequest cannot be processed automatically, the
employer shall The UI taxmessage window stating the liability date span of
BRQ21: BRQ: receive a system shall automatically trigger the printing
BRQ22: BRQ: The portal shall retrieve the employer’s account information,
employer notifications confirming any maintenance functions. For
includingBRQ: The method, and use that information to confirmthe pre-
BRQ23: payment UI tax system shall automatically calculate the
BRQ24: amount when a system shall have the converted to a
paymentBRQ: The UI tax contributory account is capability of processing
total payrolls inThe change packet consists of ES 802 (application to
BRQ25: BRQ: excess of $1M.
change payment method) system shall and change from reimbursing to
BRQ26: BRQ: The UI tax when electing to electronically attach the surety
bond or certificate of deposit to the employer’s file. The original document
BRQ27: BRQ: The UI tax system shall dynamically prompt an authorized
user for data required to cancel an account. functionality to allow for
BRQ28: BRQ: The UI tax system shall contain
narrativeBRQ: The entered and captured during the account cancellation
BRQ29: text to be UI tax system shall require the user to confirm their
cancellation request. tax system shall contain the functionality to allow an
BRQ30: BRQ: The UI
authorized user to cancel an employer account based on business rules.
BRQ31: BRQ: The UI tax system shall generate cancellation
notices/letters to the employers when an account has been canceled. an
BRQ32: BRQ: The UI tax system shall contain the functionality to allow
authorized user to automatically initiatecontain theof reports and wages an
BRQ33: BRQ: The UI tax system shall a transfer functionality to allow
authorized user to suspend an employer account.
BRQ34: BRQ: The UI tax system shall generate suspension letters to the
BRQ35: BRQ: an account has been suspended.
employer whenAccount reactivation requests are routed to the appropriate
status examiner based on business rules.an EAN for reactivation, the
BRQ36: BRQ: When an employer enters
system shall search the production databaseaccountaccount. If the
BRQ37: BRQ: The UI tax system shall route for the reactivation requests
to the appropriate status examiner based on business rules.
BRQ38: BRQ: The UI tax system shall automatically re-calculate the tax
rate on an account when it is reactivated.
BRQ39: BRQ: The UI tax system shall route coverage termination
requestsBRQ: The system shall dynamicallybased on business rules.
BRQ40: to the appropriate status examiner prompt the employer to
BRQ41: BRQ: The about shall prompt the user to request based on
provide information systemthe coverage termination enter a narrative
explaining the reason theysystem shall display account.
BRQ42: BRQ: The UI tax are terminating the a message window with
BRQ43: BRQ: The UI tax system shall coverage termination request
information about the disposition of the route coverage termination
requests to the ES Supervisor, Office Section based on business rules.

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    BRQ-BUC Functional Reqs                                                                                      Page 150 of 462                                                                  Date Printed: 7/27/2011
                                                                                        State of New Mexico - Department of Workforce Solutions
                                                                                                UI Tax Modernization Requirements Matrix
                                                                                                        BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC105:   BUC106:    BUC107:     BUC108:      BUC109:   BUC110:   BUC111:    BUC112:     BUC113:   BUC114:   BUC115:    BUC116:     BUC117:
BRQ44: BRQ: The UI tax system shall allow an authorized user to change TPS Select       Prepare   File Appeal File Appeal   Process   Process   Process   Processing   Imaging    OCR-       Mail    Automatic   Portal Use
an employer account status to "terminated". the functionality required to
BRQ45: BRQ: The UI tax system shall contain
BRQ46: termination decision.
record a BRQ: The UI tax system shall generate termination approval and
denial letters basedUI tax systemrules. generate the ES804 Termination of
BRQ47: BRQ: The on business shall
BRQ48: BRQ: The when system shall have an automatic method to purge
Coverage Request UI tax a request is submitted.
terminated employer accounts.
BRQ49: BRQ: Employer termination letters produced by the UI tax system
BRQ50: BRQ: The UI include notification of employer appeal rights.
automatic job run shalltax system shall contain functionality to support a
BRQ51: BRQ: The UI tax system shall produce accounts based on
batch job run to identify and terminate employeremployer termination
letters. BRQ: The UI tax system shall produce a termination report.
BRQ52:
BRQ53: BRQ: The UI tax system shall allow an authenticated user to
submit an account suspension request prompt employerto provide and
BRQ54: BRQ: The UI tax system shall via the the user self-service portal.
BRQ55: BRQ: The UI tax system shall prompt NMDWS records narrative
verify information about the business based onthe user to enter awhen
explaining the reason theysystem shall issue a suspension approved
BRQ56: BRQ: The UI tax are terminating their account.
notice. BRQ: The UI tax system shall issue a suspension denied notice.
BRQ57:
BRQ58: BRQ: The UI tax system shall issue a Statement of Delinquent
BRQ59: (ES 961).
Account BRQ: The UI tax system shall contain functionality to allow an
BRQ60: BRQ: The UI tax an inactivation/suspension request.
authorized user to submit system shall generate inactivation/suspension
notices (ES 17-41).UI tax system shall trigger generation of other
BRQ61: BRQ: The
appropriate correspondence during the inactivation/suspension process
BRQ62: BRQ: A payroll vendor or agent shall be able to access an
employer’s account only if shallemployerto update their profiles, save the
BRQ63: BRQ: Employers the be able has granted the vendor/agent
BRQ64: BRQ: The employer portal profile information previously entered
information entered, and update theshall dynamically prompt the user for
information if the user tax system shall assign a field powerandattorney
BRQ65: BRQ: The UI wishes to establish or rescind code of status
examiner to a registrant’s case when the employer submits theindicating
BRQ66: BRQ: The registrant shall receive a message window profile
the disposition The employer’s account shall not be updated on the tax
BRQ67: BRQ: of the profile update after submitting the request.
system until the employer system shall route profile maintenance"signs"
BRQ68: BRQ: The UI tax confirms the updated information and requests
to the appropriate status examiner able to on businesssubmit history
BRQ69: BRQ: Employers shall be based initiate and rules.
transfer applications in theshall be able to begin the history transfer
BRQ70: BRQ: Employers employer portal.
process, BRQ: the informationshall receive aupdate the window indicating
BRQ71: save The registrant entered, and message application
the disposition Employers shall be dynamically prompted for all of the
BRQ72: BRQ: of the application after submitting the request.
information currently on the total history transfer application when applying
BRQ73: BRQ: The UI tax system shall initiate any other processes that
BRQ74: required when an employer is completing a history to
might beBRQ: The UI tax system shall prompt the employer transfer via
electronically sign an acknowledgement form prior to submitting the
BRQ75: BRQ: The UI tax system shall generate appropriate messages on
BRQ76: BRQ: The during the transfer allow employers to and one or
the employer portalUI tax system shall application process enterupdated
more predecessordenial correspondence shall include notification ofuse
BRQ77: BRQ: All EAN’s during the history application process. (In the
employer’s appeal rights. (In general section - #117 and use case 5.03)
BRQ78: BRQ: The UI tax system shall make total transfer determinations
BRQ79: BRQ: The UI rules above.
based on the businesstax system shall allow users with valid security (e.g.,
the status supervisor a quarterly report the authoritya predecessor’s
BRQ80: BRQ: When or examiner III’s) is posted to to override total
account for a period ending after the effective date of transfer, the UI tax
BRQ81: BRQ: The UI tax system shall validate data and prompt the
examiner for actions where appropriate.
BRQ82: BRQ: The UI tax system shall generate transactions required to
transfer all of the predecessor’s history apply business rules to recalculate
BRQ83: BRQ: The UI tax system shall experience, including wages
BRQ84: BRQ: successor a new shall automatically inactivate the
and assign the The UI tax systemrate based on the transferred history.
predecessor employertax system shall automatically transfer reports
BRQ85: BRQ: The UI account.
BRQ86: after The UI tax system the generate transfer of history notices
received BRQ: the effective date ofshall transfer from the predecessor’s
(e.g. denial notice, approval notice).

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    BRQ-BUC Functional Reqs                                                                                    Page 151 of 462                                                                  Date Printed: 7/27/2011
                                                                                               State of New Mexico - Department of Workforce Solutions
                                                                                                       UI Tax Modernization Requirements Matrix
                                                                                                               BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                     BUC105:     BUC106:    BUC107:     BUC108:      BUC109:   BUC110:   BUC111:    BUC112:     BUC113:   BUC114:   BUC115:    BUC116:     BUC117:
BRQ87: BRQ: When a quarterly report is posted to a predecessor’s                  TPS Select   Prepare   File Appeal File Appeal   Process   Process   Process   Processing   Imaging    OCR-       Mail    Automatic   Portal Use
account for a period ending after the effectivepartialof the transfer, the UI
BRQ88: BRQ: The UI tax system shall make date transfer
determinationsThe UI on the business rules above.with valid security (e.g.,
BRQ89: BRQ: based tax system shall allow users
BRQ90: BRQ: Employers shall be dynamically prompted to to override
the status supervisor or examiner III’s) to have the authority enter ES 903A
BRQ91: BRQ: the UI tax system shall allow authorized users the ability
information via The portal as part of a partial history transfer application. to
BRQ92: BRQ: When a quarterly partial history transfer applications
extend the timeline for receipt of report is posted to a predecessor’s and/or
account for a period ending after the effective date functionalitythe UI tax
BRQ93: BRQ: The UI tax system shall contain the of transfer, necessary
to recordBRQ:process tax system shall automatically validate history
BRQ94: and The UI partial history transfers.
BRQ95: BRQ: The data or prompt a status examiner when appropriate
transfer application UI tax system shall display determination results for all
BRQ96: BRQ: criteria.
history transferThe UI tax system shall automatically calculate the
percentage to transfer tax system shall automatically update the liability
BRQ97: BRQ: The UI for contributions, benefit charges, and wages based
date on the successor tax systemaccount based onrelationship between the
BRQ98: BRQ: The UI employer shall establish a business rules.
predecessor and successor employer accounts. both successor and
BRQ99: BRQ: The UI tax system shall recalculate
BRQ100: BRQ: The UI tax system on transferred data and update the
predecessor employer rates based shall automatically generate internal
BRQ101: BRQ: The required to adjust allow an monetary user to
account transactionsUI tax system shallemployer authorizedaccount
BRQ102: BRQ: The UI actions based on business rules.
override history transfertax system shall allow an authorized user to record
history transfer notes on the account. generate new liability
BRQ103: BRQ: The UI tax system shall
determination packets for both the predecessor and the successor.
BRQ104: BRQ: The UI tax system shall make out of state transfer
determinations based on the business rules above. with valid security
BRQ105: BRQ: The UI tax system shall allow users
BRQ106: BRQ: supervisor or examiner automatically calculate an
(e.g., the status The UI tax system shall III’s) the authority to override out of
employer’s rate based on the transfer data.
BRQ107: BRQ: The UI tax system shall generate rate notices when an out-
of-state history transfer tax system shall generate notices for supporting
BRQ108: BRQ: The UI has been completed.
documentation whenUI tax system shall on business rules. to support
BRQ109: BRQ: The appropriate based contain functionality
partial and total history transfer reversals.
BRQ110: BRQ: The UI tax system shall allow users with valid security
(e.g., the status When a quarterly reportIII’s) the authority to override total
BRQ111: BRQ: supervisor or examiner is posted to a predecessor’s
BRQ112: BRQ: The UI tax after the effective date of transfer, the UI tax
account for a period endingsystem shall prompt authorized users to initiate
other processesThe UI tax system shall automatically generate history
BRQ113: BRQ: required to be completed during the history transfer
transfer reversalThe UI tax system shall all experience recordspackets for
BRQ114: BRQ: transactions to restore generate new liability back to the
both the predecessor and successor accounts when a history transfer
BRQ115: BRQ: The UI tax system shall generate history reversal denial
notices. BRQ: The UI tax system shall generate history reversal request
BRQ116:
for information documents. system shall allow users with adequate security
BRQ117: BRQ: The UI tax
to trigger the potential cancellations report. use of business rules to
BRQ118: BRQ: The UI tax system shall allow
identify potentialThe UI tax system shall have the capability to allow users
BRQ119: BRQ: cancellations.
to modify the selection criteria for the potentialthe capability to allow users
BRQ120: BRQ: The UI tax system shall have account cancellations
to run various reports. tax system shall allow users with adequate security
BRQ121: BRQ: The UI
to trigger the potential inactivations/suspensions report.
BRQ122: BRQ: The UI tax system shall allow use of business rules to
identify potentialThe UI tax system shall generate a potential
BRQ123: BRQ: inactivations/suspensions.
inactivations/suspension report. be able to initiate and submit history
BRQ124: BRQ: Employers shall
transfer reversalEmployers shallthe employer portal. history transfer
BRQ125: BRQ: applications in be able to begin the
BRQ126: BRQ: The UI tax system shall prompt the update the sign an
reversal process, save the information entered, and employer toapplication
BRQ127: BRQ: The UI to system shall provide the employer with
acknowledgement prior taxsubmitting a request for history transfer. notice
of the required documents and address for submitting legal documentation
BRQ128: BRQ: The UI tax system shall allow the Individual Status
BRQ129: Performance report to be run allow the user to run examiner or
Examiner BRQ: The UI tax system shall for a single individual the Individual
Status Examiner Performance report daily, weekly, monthly, quarterly,

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                                                                                        State of New Mexico - Department of Workforce Solutions
                                                                                                UI Tax Modernization Requirements Matrix
                                                                                                        BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                BUC105:   BUC106:    BUC107:     BUC108:      BUC109:   BUC110:   BUC111:    BUC112:     BUC113:   BUC114:   BUC115:    BUC116:     BUC117:
BRQ130: BRQ: The UI tax system shall contain a TPS Review Worksheet TPS Select          Prepare   File Appeal File Appeal   Process   Process   Process   Processing   Imaging    OCR-       Mail    Automatic   Portal Use
that allows an authorized user the record information regarding the TPS
BRQ131: BRQ: The UI tax system shall allow an authorized user the ability
BRQ132: BRQ: The UI during a given contain TPS review systems and
to modify the worksheettax system shallyear.
BRQ133: BRQ: The UI tax system shall a work the functionality required
methods surveys or an electronic link to contain document containing the
BRQ134: BRQ: The UI tax the ability to allow an authorized individual the
to allow an authorized user system shall view results of the completed TPS
BRQ135: BRQ: completed TPS system review questionnaires to the
ability to upload The UI tax system shall route work queue tasks to
appropriate staffThe UI tax system shall create program area up for review.
BRQ136: BRQ: based business rules and the appropriate messaging on
BRQ137: system to record the occurrence of certain actions. to allow an
the UI tax BRQ: The UI tax system shall contain the capability For example,
BRQ138: BRQ: The to record the shall automatically execute jobs to
authorized individual UI tax system annual TPS work plan.
create universes based tax the annual work plan data and business rules
BRQ139: BRQ: The UI on system shall automatically generate a work list
item to the appropriate user to notify them when functionality to allow an
BRQ140: BRQ: The UI tax system shall contain the universe has been
BRQ141: BRQ: the UI tax system and validate authorized user to
authorized user Theability to reviewshall allow an universe records. delete
a previously created UI tax systemcreatecontain universe.
BRQ142: BRQ: The universe and shall a new functionality and business            X
rules necessary The UI tax system shall generateincludes the use of the
BRQ143: BRQ: to generate TPS samples. This a sample worksheet pre-              X
populatedBRQ:data specified in theshall automatically generate a sample.
BRQ144: with The UI tax system ETA 407 Handbook for each work list              X
item to the appropriate users notifying them when the sample has been
BRQ145: BRQ: The UI tax system shall contain functionality allow linking        X
of electronically The UI source documents to be identified and attached to
BRQ146: BRQ: stored tax system shall allow an authorized user to access         X
sample worksheets andtax system shallreview an authorized user to update
BRQ147: BRQ: The UI record sample allow results.                                X
sample worksheets. UI tax system shall allow an authorized user the ability
BRQ148: BRQ: The                                                                X
to initiate an upload of the sample results to the Federal Ultra System.
BRQ149: BRQ: The UI tax system shall automatically execute jobs to              X
create universes based tax the annual work plan functionality to allow an
BRQ150: BRQ: The UI on system shall contain data.                               X
BRQ151: BRQ: the UI tax system and validate authorized user
authorized user Theability to reviewshall allow an sample records. to delete    X
a previously created UI tax system shall a newan authorized user to delete
BRQ152: BRQ: The sample and create allow sample.                                X
a sample case from a sample set and toallow an a case withuser to submit
BRQ153: BRQ: The UI tax system shall replace authorized another case.                     X
BRQ154: for a The UI tax system shall allow an authorized user to submit
a request BRQ:preliminary annual report.                                                  X
a request BRQ:final annual system shall contain the capability to
BRQ155: for a The UI tax report.                                                          X
BRQ156: BRQ: The UI TPS review results into a single report document.
consolidate the various tax system shall allow an authorized user to
generate a QCEW report and extract file.
BRQ157: BRQ: The UI tax system shall allow an authorized user to enter
BRQ158: BRQ: The code.
and modify a NAICS UI tax system shall allow NAICS code to be captured
BRQ159: 802 The UI tax system shall allow Industry Description to be
during theBRQ:Employer Registration Process.
BRQ160: BRQ: the UI Employer shall allow whether employers are a
captured during The 802tax system Registration process.
Professional Employer Organization (PEO) Report shall contain the to
BRQ161: BRQ: New Employer Verification or using a payroll service
BRQ162: Account Number, Employer County Code, Employer Name,
Employer BRQ: The UI tax system shall allow the New Employer
BRQ163: BRQ: The UI tax system shall allow Excel.
Verification Report to be exported to Microsoft Multi-Establishment
indicator to be tracked on each employer.
BRQ164: BRQ: The UI tax system shall allow an authorized user to enter
and modify the ER&A county code.shall allow an authorized user to enter
BRQ165: BRQ: The UI tax system
and modify the ER&A ownership code. generate the ES204 detail report
BRQ166: BRQ: The UI tax system shall
as a by-product The UIannual experience rate the ES204 details report to
BRQ167: BRQ: of the tax system shall allow determination and
be run annually. The UI tax system shall generate the ES204 experience
BRQ168: BRQ:
rating report as a by-product of the shall allow the ES204 report to be run
BRQ169: BRQ: The UI tax system annual experience rate determination
annually as well Thefor a specified date range.
BRQ170: BRQ: as UI tax system shall timestamp all the changes to
BRQ171: BRQ: The will allow for reports to query display all non-charges
specified data which UI tax system shall track and the data’s actual state at
and allow BRQ: The UI tax system non-charges or contain an drill down to
BRQ172: users to report on these shall provide the ability to interface on
fields in the ES204 report. This drill down functionality should show the

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    BRQ-BUC Functional Reqs                                                                                    Page 153 of 462                                                                  Date Printed: 7/27/2011
                                                                                             State of New Mexico - Department of Workforce Solutions
                                                                                                     UI Tax Modernization Requirements Matrix
                                                                                                             BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                   BUC105:     BUC106:    BUC107:     BUC108:      BUC109:   BUC110:   BUC111:    BUC112:     BUC113:   BUC114:   BUC115:    BUC116:     BUC117:
BRQ173: BRQ: The UI tax system shall generate the ES205 detail report           TPS Select   Prepare   File Appeal File Appeal   Process   Process   Process   Processing   Imaging    OCR-       Mail    Automatic   Portal Use
BRQ174: BRQ: of the tax system shall allow determination and
as a by-product The UIannual experience rate the ES205 details report to
be run annually. The UI tax system shall allow the ES205 report to be run
BRQ175: BRQ:
annually as well Thefor a specified date range by to andrun the report by
BRQ176: BRQ: as UI tax system shall allow users to from dates at any
the different employer types.
BRQ177: BRQ: The UI tax system shall allow users to run the report by
the different employer statuses. shall allow users to run the report by
BRQ178: BRQ: The UI tax system
BRQ179: BRQ: The UI legal entities.
the different employer’stax system shall provide the ability to drill down on
fields in the ES205. UI tax system shall allow the receivables the
BRQ180: BRQ: The This drill down functionality should show details report
to be sortable by specified fields. shall allow users to run the report by a
BRQ181: BRQ: The UI tax system
specified receivable type orsystemreceivable types.
BRQ182: BRQ: The UI tax for all shall allow the report to be generated
by employer type. UI tax system shall allow the receivables details report
BRQ183: BRQ: The
to be run quarterly as well as for a specified date range (tochanges to
BRQ184: BRQ: The UI tax system shall timestamp all the and from date)
specified data that will allow for reports to query the data’s actual state at
BRQ185: BRQ: The UI tax system shall allow the ETA 581 report to be run
BRQ186: BRQ: as UI tax system shall timestamp and from dates at
quarterly as wellThefor a specified date range by to all the changes to any
specified data that will allow for reports to query the data’s actual state at
BRQ187: BRQ: The UI tax system shall automatically generate the ETA
581 at any pointThe UI tax system request.
BRQ188: BRQ: in time per user’s shall provide the ability to drill down on
fields in the ETASystem shall generate data extractshould show the
BRQ189: BRQ: 581. This drill down functionality files for: Active
Employers DataSystem shall date andData Extract, Status Determination
BRQ190: BRQ: Extract, Report Filing timestamp all the changes.
BRQ191: BRQ: The system shall allow historical queries based on a
specified date or date range.
BRQ192: BRQ: The UI tax system shall send a workflow to Claims if there
is action that needs to be taken by shall allowproceed in theto respond to a
BRQ193: BRQ: The UI tax system Claims to an employer claim filing
notice of potential work list time shall be generated and routed to the
BRQ194: BRQ: A benefit charge or notice of non-monetary separation,
appropriate claims personnel whenshall contain the functionality required
BRQ195: BRQ: The UI tax system an employer responds to a notice of
to allow an authorized user system shalla "charging only account" to add,UI
BRQ196: BRQ: The UI tax to establish allow an authorized user in the
modify and delete the othersystem shall allow for the processing of
BRQ197: BRQ: The UI tax state agency’s contact information (agency
electronic BRQ: The UI tax system shall CWC IB-6 receivable balance. the
BRQ198: or check payments to clear a initiate workflow items to both
Accounts BRQ: The portal when allow authorized users to enter a user-
BRQ199: Unit and Claims shall the amount paid differs from the
defined number The portal shall generate a message to users who upload
BRQ200: BRQ: of employees in wage detail.
BRQ201: BRQ: When report the Internet that the files are being
and submit wage detailafiles viais submitted via the Internet, the portal shall
BRQ202: user Employers or their legal agents (also referred to as
inform theBRQ: that NMDWS may assess penalties and interest for "user")
BRQ203: BRQ: Users their quarterly enter via the Internet (also referred
shall be able to submit shall be able toreportsand update information
entered via the Internet up to the point the allow users to submit reports for
BRQ204: BRQ: The employer portal shall report is submitted to the
one or multiple quarters, or reports for one or more employers for one or
BRQ205: BRQ: Users shall be allowed to submit reports in one of two
ways: data entryf into userportal ordata into the portal, then users shall be
BRQ206: BRQ: the the enters data file upload.
required to enterData files that are uploaded shall be validated before the
BRQ207: BRQ: quarterly report summary information (ES 903A) before
users are BRQ: The user shall log onto the portal as an authenticated user
BRQ208: allowed to submit the files.
to complete any If the user is returning to complete an incomplete quarterly
BRQ209: BRQ: transactions.
report, theBRQ: shalluser shall selectand updateReporting" from thebefore
BRQ210: user The be able to view "Quarterly saved information main
menu then select either "Data Entry" mandatory reporting identification to
BRQ211: BRQ: The user shall enter or "Bulk Filing" from the sub-menu
BRQ212: BRQ: the portal shall validate the EAN and FEIN against the UI
information into Theemployer portal.
BRQ213: BRQ: The the employer is a registered employer.
tax system to ensureportal shall also validate the year/quarter to ensure
the dates BRQ: Reports shall be accepted for activedoes suspended have
BRQ214: are valid and to ensure that the employer and not already
accounts as long as the year/quarter of the report is prior to suspended
BRQ215: BRQ: If the employer is validated, the UI tax system shall display
the employer’s tax rate and last year/quarter filed then prompt the user to

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    BRQ-BUC Functional Reqs                                                                                         Page 154 of 462                                                                  Date Printed: 7/27/2011
                                                                                              State of New Mexico - Department of Workforce Solutions
                                                                                                      UI Tax Modernization Requirements Matrix
                                                                                                              BRQ-BUC Functional Reqs

BRQ -- BUC Traceability Matrix                                                    BUC105:     BUC106:    BUC107:     BUC108:      BUC109:   BUC110:   BUC111:    BUC112:     BUC113:   BUC114:   BUC115:    BUC116:     BUC117:
BRQ216: BRQ: The UI tax system shall allow the entry of zero balance             TPS Select   Prepare   File Appeal File Appeal   Process   Process   Process   Processing   Imaging    OCR-       Mail    Automatic   Portal Use
reports. BRQ: Report information shall be saved but not posted to the UI
BRQ217:
BRQ218: BRQ: The until shall retrieve and display the first name, last
tax system databaseportalthe user indicates the information is complete,
name, SSN, YTD total wages, YTD total total wages, total taxable wages,
BRQ219: BRQ: The user shall enter the taxable wages, YTD total excess
and excess wages for theshall also be able to turn on/off the multi-state
BRQ220: BRQ: The user existing employees.
employee BRQ: To add an employee, the user shall tab to the first
BRQ221: indicator.
available line and enter the SSN, first name, last name,atotal wages,
BRQ222: BRQ: Each row of data shall be validated on page before
continuingBRQ: Users page. not continue to the next page until the current
BRQ223: to the next shall
page of data is correct.the user has entered all mandatory report
BRQ224: BRQ: When
information, the Reportshall validate theshall be performed onthe detailed
BRQ225: BRQ: portal balancing edits report to ensure that data-entered
BRQ226: well as bulk-loaded wages.
wages as BRQ: Appropriate error messages shall be displayed to the user
indicating BRQ: data elements are in error.
BRQ227: what The UI tax system shall allow the user to edit the data.
BRQ228: BRQ: The portal shall not allow the user to submit the final report
until the report is balanced.
BRQ229: BRQ: After indicating that all edits are complete, the user shall
BRQ230: BRQ: The acknowledgement form.
be prompted with an acknowledgement form shall state that all the
BRQ231: BRQ: The user shall "sign" file) is true and accurate to the
information contained in the report (orthe registration application by best
entering the user’s name, title, telephone number, e-mail address, and
BRQ232: BRQ: The portal shall place the report transaction (or
transactions in the file) in a system shall assign submit it to the UI taxID to
BRQ233: BRQ: The UI tax pending status and a unique transaction
the report BRQ: The report shall be updated with the unique transaction ID.
BRQ234: (or file) which shall also function as the user’s report
BRQ235: BRQ: The UI tax system shall also return a customized payment
BRQ236: BRQ: The containing display a employer demographic
voucher to the portalportal shall the user’sconfirmation message providing
a report confirmationportal shall not display complete SSNs for existingand
BRQ237: BRQ: The number and a reminder about potential penalties
employees. SSNs shall be shall display a secured SSNs for newas "***-**-
BRQ238: BRQ: The portal displayed in complete format, such
employees during data entry.
BRQ239: BRQ: The UI tax system shall automatically prompt the employer
to make an electronic payment or print aallow employers tofor each report
BRQ240: BRQ: The UI tax system shall payment voucher bulk file
employer BRQ: Themultiple formats in addition to those option of saving
BRQ241: reports in UI tax system shall allow users the currently accepted
the transaction confirmationshall be able to initiate voucher to a local file on
BRQ242: BRQ: Employers number and payment and submit new
quarterly reporting activitiesshall be able to begin the quarterly reporting
BRQ243: BRQ: Employers in the employer portal.
process, save the information entered, and update the quarterly report
BRQ244: BRQ: The employer portal shall include pages for filing employer
BRQ245: reports and editing corrected reports, the system shall verify
and wage BRQ: When payments for at least three years.
BRQ246: BRQ: Each a quarterly report on the system data enter a report
that the employer has employer shall have the option towith the same
directly into the portal or to shall readdata file.
BRQ247: BRQ: The editor upload a each report in the staging file.
BRQ248: BRQ: The editor shall validate that the EAN is a valid account
number. (In use The system shall validate the account status.
BRQ249: BRQ: case 2.11)
BRQ250: BRQ: The system shall validate the payment method for the
account. BRQ: The editor shall validate that the year/quarter are valid
BRQ251:
BRQ252: that the employer does not have the account associated with
dates andBRQ: The system shall verify thata report posted for the same
BRQ253: BRQ: The system shall verify that FEIN entered the report is
report EAN is an active account or a suspended account ifon ayear/quarter
the same BRQ: When on the account associated with the EAN. (In usethe
BRQ254: as the FEIN editing new reports, the system shall verify that
employer BRQ:not have a quarterly report on the system with the same
BRQ255: does The system shall e-mail an ES 542 notification to an
BRQ256: when Records discrepancy with the employer’s quarterly
employer BRQ: there is ashall OCR scan the reports and checks. report.
BRQ257: BRQ: The accounts examiners shall run each check through a
BRQ258: and ACH ACH conversion machine shall link into a third-party
validation BRQ: Theconversion machine.
service that validates the check, the issuer, and the available balance

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    BRQ-BUC Functional Reqs                                                                                          Page 155 of 462                                                                  Date Printed: 7/27/2011
                                                                                        State of New Mexico - Department of Workforce Solutions
                                                                                                UI Tax Modernization Requirements Matrix