oversight

Benefit System Requirements: Checklist for Reviewing Systems under the Federal Financial Management Improvement Act (Supersedes GAO-02-762G)

Published by the Government Accountability Office on 2003-10-01.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

               United States General Accounting Office


GAO

October 2003
               BENEFIT SYSTEM
               REQUIREMENTS


               Checklist for
               Reviewing Systems
               under the Federal
               Financial Management
               Improvement Act
                The Web version of this report was reissued on 08/31/04
                because of a change to page 1--In the first sentence of the last
                paragraph under Preface, the words “exposure draft” were
                deleted after “This checklist.”




GAO-04-22G
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______________________________________________________________________________

PREFACE
______________________________________________________________________________

October 2003

The Federal Financial Management Improvement Act of 1996 (FFMIA) requires, among
other things, that agencies implement and maintain financial management systems that
substantially comply with federal financial management system requirements. These
requirements are detailed in the Federal Financial Management System Requirements
series issued by the Joint Financial Management Improvement Program (JFMIP) and in
the guidance issued by the Office of Management and Budget (OMB): Circular A-127,
Financial Management Systems, and the January 4, 2001, Revised Implementation
Guidance for the Federal Financial Management Improvement Act (FFMIA) of 1996.
JFMIP intends for the requirements to promote understanding of key financial
management systems concepts and requirements, to provide a framework for establishing
integrated financial management systems to support program and financial managers,
and to describe specific requirements of financial management systems.

We are issuing this checklist, which reflects JFMIP’s Benefit System Requirements
(JFMIP-SR-01-01, September 2001), to assist (1) agencies in implementing and monitoring
their benefit systems and (2) managers and auditors in reviewing their benefit systems to
determine if they substantially comply with FFMIA. Among the types of benefit programs
covered by these systems would be those for retirement, disability, death, survivor, and
others not related to health care.

There is no requirement that this checklist be used in assessing benefit systems. Rather, it
is provided as a tool for use by experienced staff and is one in a series of documents we
have issued to assist agencies in improving or maintaining effective operations. (See the
last page of this document for a list of related products.) This checklist, the JFMIP
source document, and the two previously mentioned OMB documents should be used
concurrently. Those using this tool must apply experienced judgment in its interpretation
and application. They must consider the impact of the completed checklist on an entire
benefit system and whether the system, as a whole, substantially complies with
requirements.

This checklist is available on the Internet on GAO’s home page (http://www.gao.gov)
under “Other Publications” and the subheading “Accounting and Financial Management.”
Copies of the JFMIP document can be downloaded from the JFMIP Web site
(http://www.jfmip.gov) under “JFMIP Documents” and the subheading “System
Requirements.”




Jeffrey C. Steinhoff
Managing Director
Financial Management and Assurance




Page 1                            GAO-04-22G – Benefit System Requirements Checklist (10/03)
                 (BLANK)




Page 2   GAO-04-22G - Benefit System Requirements Checklist (10/03)
______________________________________________________________________________

CONTENTS
______________________________________________________________________________

                                                                              Page Number


Overview                                                                                     6


         Authoritative Guidance                                                              7
         How to Use This Checklist                                                           8

Benefit System Requirements                                                                  9


         Functional Requirements                                                         10

                Claims Acceptance and Tracking                                           10

                Claims Processing                                                        14
                    Administrative Process                                               14
                    Eligibility Determination Processes                                  18
                    Computational Processes                                              21

                Benefit Payment Administration                                           25
                    Payee Information Maintenance Process                                25
                    Payment Warehousing Process                                          28
                    Funds Availability Editing                                           30
                    Commitments                                                          32
                    Obligations and Expenditures                                         34
                    Analysis                                                             36
                    Payment Execution Process                                            37
                    Payment Confirmation and Follow-up Process                           44

                Recovery Receivable Management                                           47
                    Recovery Receivable Establishment Process                            47
                    Recovery Receivable Servicing Process                                50
                    Collection Process                                                   54
                    Offset                                                               57
                    Funds Control                                                        59

                Accounting for Benefit Transactions                                      60
                    Entity Definition                                                    60
                    Account Definition                                                   61
                    Transaction Definition and Processing                                62
                    Audit Trails                                                         68




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______________________________________________________________________________

CONTENTS
______________________________________________________________________________

                                                                              Page Number

                Reporting                                                                70
                    External Reporting                                                   70
                    Internal Reporting                                                   72
                    Performance Reporting                                                74
                    Compulsory Notifications                                             76

                Interfaces                                                               78
                     Internal Interfaces                                                 78
                     External Interfaces                                                 80

                Quality Assurance and Maintenance                                        82

                Technical Functions                                                      87
                    General                                                              87
                    Security and Internal Controls                                       88
                    Access to Information                                                90
                    Data Entry                                                           94
                    Archiving and Purging                                                96

         Information Stores                                                              98

               Application Information Stores                                           98
                    Universal Data Elements                                             98
                    Federally Administered Retirement Benefit Systems                  101
                    Federal Employment Retirement Benefit Systems                      103
                    Disability Benefits                                                105
                    Death Benefits                                                     106
                    Survivor Benefits                                                  107
             Other Benefits                                                            108

                Claimant Master Record Information Store                               109

                Financial Information Store                                            111


Figure 1: Agency Financial Management Systems Architecture                                   6

Related GAO Products                                                                   113




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_____________________________________________________________________________

ABBREVIATIONS
______________________________________________________________________________



ACH          automated clearinghouse
ALC          agency location code
CDO          chief disbursing officer
CFO          chief financial officer
C.F.R.       Code of Federal Regulations
CSRS         Civil Service Retirement System
DCA          Debt Collection Act of 1982
DCIA         Debt Collection Improvement Act of 1996
DOD          Department of Defense
DOL          Department of Labor
EFT          electronic funds transfer
FACTS        Federal Agencies’ Centralized Trial Balance System
FASAB        Federal Accounting Standards Advisory Board
FERS         Federal Employees Retirement System
FFMIA        Federal Financial Management Improvement Act of 1996
FMS          Financial Management Service
FFMSR        Federal Financial Management System Requirements
GMRA         Government Management Reform Act of 1994
GPRA         Government Performance and Results Act of 1993
HHS          Department of Health and Human Services
IVR          interactive voice response
IRS          Internal Revenue Service
JFMIP        Joint Financial Management Improvement Program
OMB          Office of Management and Budget
OPM          Office of Personnel Management
RRB          Railroad Retirement Board
SFFAS        Statement of Federal Financial Accounting Standards
SGL          U.S. Standard General Ledger
SSA          Social Security Administration
SSN          Social Security number
TAFS         Treasury account fund symbol
TFM          Treasury Financial Manual
TIN          taxpayer identification number
TOP          Treasury Offset Program
U.S.C.       United States Code
 VA          Department of Veterans Affairs




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____________________________________________________________________________

OVERVIEW
______________________________________________________________________________

FFMIA requires, among other things, that agencies implement and maintain financial
management systems that substantially comply with federal financial management
system requirements. These requirements are detailed in the Federal Financial
Management System Requirements series issued by the Joint Financial Management
                                 1
Improvement Program (JFMIP) and in Circular A-127, Financial Management Systems,
issued by the Office of Management and Budget (OMB). The JFMIP requirements
document describes the federal financial system architecture as consisting of (1) core
financial systems, (2) other financial and mixed systems (including the benefit system
requirements), not all of which are applicable to all agencies, (3) shared systems, and (4)
departmental executive information systems (systems to provide management
information to all levels of management).2 Figure 1 is the JFMIP model that illustrates
how these systems interrelate in an agency's overall systems architecture.

Figure 1: Agency Financial Management Systems Architecture




Source: JFMIP Benefit System Requirements (September 2001).
1
  JFMIP is a joint undertaking of OMB, GAO, the Department of the Treasury, and the Office of Personnel Management
(OPM), working in cooperation with each other and with operating agencies to improve financial management practices
throughout the government. The program was initiated in 1948 by the Secretary of the Treasury, the Director of the Bureau
of the Budget (now OMB), and the Comptroller General. JFMIP was authorized by the Budget and Accounting Procedures
Act of 1950 (subsequently codified at 31 U.S.C. § 3511 (d)). The Civil Service Commission, now the Office of Personnel
Management, joined JFMIP in 1966.
2
  JFMIP has also issued the Framework for Federal Financial Management Systems (FFMSR-0, January 1995), which
defines the framework for establishing and maintaining financial management systems to support management and deliver
programs of the federal government. GAO published a companion checklist, Framework for Federal Financial
Management System Checklist (GAO/AIMD-98-21.2.1, May 1998).



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To date, JFMIP has issued 13 of the 15 functional requirements shown in figure 1. 3

We are issuing this checklist—which reflects JFMIP’s first issuance of the Benefit System
Requirements (JFMIP-SR-01-01, September 2001)—to assist (1) agencies in implementing
and monitoring their benefit system(s) and (2) managers and auditors in reviewing
agency benefit systems to determine if they substantially comply with FFMIA. Five
categories of federal benefit programs covered by these system requirements are
retirement, disability, death, survivor, and a catchall covering things such as education
benefits.

This checklist is not a requirement. It is provided as a tool for use by experienced staff.
This checklist; the JFMIP source document; OMB Circular A-127, Financial Management
Systems; and OMB’s Revised Implementation Guidance for the Federal Financial
Management Improvement Act (FFMIA) of 1996, issued January 4, 2001, should be used
concurrently. Staff members who use this tool must apply experienced judgment in its
interpretation and application. They must consider the impact of the completed checklist
on the entire benefit system and whether the system, as a whole, substantially complies
with requirements.

Authoritative Guidance

OMB Circular A-127 and OMB’s January 4, 2001, Revised Implementation Guidance for
the Federal Financial Management Improvement Act provide the basis for assessing
compliance with the FFMIA requirements. The OMB guidance identifies various criteria
that an agency must meet to substantially comply with these requirements. One set of
criteria listed in the OMB guidance is the JFMIP system requirements series.

The source of all the questions in this checklist is the JFMIP Benefit System
Requirements (JFMIP-SR-01-01, September 2001). The JFMIP document acknowledges
that benefit system functionality does not necessarily reside in a single software
application or functional system. In fact, benefit information may reside in or may be
calculated in a number of applications or systems. The benefit system described in the
JFMIP document may consist of all these applications and/or systems, their interfaces,
and the processes required to manage a benefit properly. It should be noted that the
checklist is based on the existing published JFMIP standards and that changes in laws,
regulations, and standards and practices since the standards were issued are not included
in the checklist.

The JFMIP document segregates functional requirements into two general categories—
mandatory and value-added. The mandatory requirements describe what the system
must do. They consist of the minimum acceptable functionality necessary to establish a
system and are based on federal laws, regulations, directives, or judicial decisions.
Mandatory requirements are those against which agency heads are to evaluate their

3
 Thus far, the series includes the (1) System Requirements for Managerial Cost Accounting (February 1998) (2) Human
Resources and Payroll System Requirements (April 1999), (3) Direct Loan System Requirements (June 1999), (4) Travel
System Requirements (July 1999), (5) Seized Property and Forfeited Assets System Requirements (December 1999), (6)
Guaranteed Loan System Requirements (March 2000), (7) Grant Financial System Requirements (June 2000), (8)
Property Management System Requirements (October 2000), (9) Benefit System Requirements (September 2001), (10)
Core Financial System Requirements (November 2001), which supercedes the 1999 Core Financial System
Requirements (February 1999), (11) Acquisitions Financial System Requirements (June 2002), (12) Revenue System
Requirements (January 2003), and (13) Inventory, Supplies, and Materials System Requirements (August 2003), which
supercedes the 1995 Inventory System Requirements (June 1995). Functional requirements for budget formulation and
insurance claims systems have not yet been issued.



Page 7                                   GAO-04-22G - Benefit System Requirements Checklist (10/03)
systems to determine substantial compliance with system requirements under FFMIA.
These requirements apply to existing systems in operation and new systems planned or
under development. The checklist uses “M” immediately following the question to
indicate a mandatory system requirement.

The value-added requirements describe optional features and may consist of any
combination of the following: (1) using state-of-the-art technology, (2) employing the
preferred or best business practices, or (3) meeting the special management needs of an
individual agency. Agencies should consider value-added features when judging systems
options. The need for these value-added features in agency systems is left to the
discretion of each agency head. The checklist uses “V” immediately following the
question to indicate that the item is value-added and not mandatory.

How to Use This Checklist

OMB’s 2001 implementation guidance provides chief financial officers (CFO) and
inspectors general with a means for determining whether their agencies’ financial
management systems substantially comply with federal financial management system
requirements. The annual reporting required by 31 U.S.C. § 3512(d) is one means of
assisting agencies in determining of substantial compliance. Agencies can also use this
checklist as a tool to help determine compliance with federal financial management
system requirements.

Completing this checklist will allow agencies to systematically determine whether
specific systems requirements are being met. In determining substantial compliance,
agencies should assess the results of the completed checklist based on the benefit system
requirements taken as a whole.

The checklist contains three columns with the first citing the question. Use the second
column to answer each question “Yes,” “No,” or “N/A.” Use the third column to explain
your answer. A “Yes” answer should indicate that the agency’s benefit system provides
for the capability described in the question. For each “Yes” answer, the third column
should contain a brief description of how the benefit system satisfies that capability and
should also refer to a source that explains or shows the capability.

A “No” answer indicates that the capability does not exist. For a “No” answer, the third
column should provide an explanation and, where applicable, a reference to any related
supporting documentation (e.g., the agency is working on modifying or implementing its
benefit system to have the capability available in subsequent years; management believes
the capability is not cost-effective and will not enhance the benefit system’s ability to
manage operations). Cost-benefit studies or support for a “No” answer should be
identified in the explanation column. If there are no cost-benefit studies or other support,
a full explanation should be provided.

“No” answers should not be viewed individually or taken out of context. Rather, “No”
answers should be assessed as to their impact on the overall benefit system and the
extent to which the “No” answers inhibit the entire benefit system from achieving
compliance.

Certain questions within the checklist may not be applicable to the agency. Answer these
question(s) with “N/A” and provide an appropriate explanation in the third column.



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_____________________________________________________________________________

BENEFIT SYSTEM REQUIREMENTS
______________________________________________________________________________

The benefit system requirements document provides high-level functional requirements
for benefit systems that can help financial managers, program managers, and others
control and account for federal benefit programs as defined in government and agency-
specific statutes, regulations, guidelines, and need assessments. The benefit system
requirements document is divided into two major sections, “functional requirements” and
“information stores—required data elements,” which are described below.

1.       Functional requirements identify the major activities that are characteristic of the
         federal benefit system. A benefit system tracks the life of benefit claims from
         initial receipt through final payment and maintains a complete history of financial
         activity relating to those claims. The federal benefit system primarily consists of
         nine major functions and the data processed by those functions. The functions
         identified by the JFMIP source document are (1) claims acceptance and tracking,
         (2) claims processing, (3) benefit payment administration, (4) recovery receivable
         management, (5) accounting for benefit transactions, (6) reporting, (7) interfaces,
         (8) quality assurance and maintenance, and (9) technical functions.


2.       Information stores—required data elements refers to the grouping of related types
         of data. The term information store (rather than database or file) is used to avoid
         any reference to the technical or physical infrastructure of the data storage
         medium. Actual data storage (physical databases and files) must be determined by
         each agency during system development and implemented based upon the benefit
         program’s statutory requirements as well as the agency’s technical environment,
         processing volumes, organizational structure, and degree of system centralization
         or decentralization. The JFMIP source document divides the required data
         elements into four major groupings. They are (1) application information stores,
         (2) claimant master record store, (3) program criteria store, and (4) financial
         information store.

The checklist questions follow the JFMIP source document, JFMIP-SR-01-01, September
2001, and page number references follow each of the questions. It should be noted that
not all questions will apply in all situations, and as with the use of any checklist,
professional judgment should be exercised. Using the JFMIP source document and its
“Appendix B: Glossary,” which defines terms used, along with OMB Circular A-127,
Financial Management Systems, and OMB’s Revised Implementation Guidance for the
Federal Financial Management Improvement Act (FFMIA) of 1996, issued January 4,
2001, will help ensure that the user is cognizant of the background information necessary
to fully understand the questions.




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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________


    Functional Requirements                             Yes, No
      Claims Acceptance and                               or
                                                         N/A                          Explanation
            Tracking

1.    Does the benefit system capture
      all applicable and mandatory
      data elements (i.e., universal and
      appropriate) as specified in the
      Application Information Stores4
      section of the benefit systems
      requirements document (JFMIP-
      SR-01-01)? M (p. 14)5

2.    Does the benefit system
      maintain all data elements
      specified in the Application
      Information Stores section so
      information is readily accessible
      through standard online queries6
      or reports until approval7 or
      denial of the claim? M (p. 14)

3.    By fiscal year 2003, will the
      benefit system provide for
      electronic acceptance of benefit
      applications? M (p. 14)

4.    If an agency anticipates
      electronic receipt of 50,000 or
      more submittals of a particular
      form, will the benefit system
      allow multiple methods of
      electronic signatures for the
      submittal of each form,
      whenever feasible and
      appropriate? M (p. 14)




4
  Application information stores refers to all data recorded from the source document(s) used in determining eligibility as
well as the status of the review and approval of the application. See questions 333 through 387.
5
  Unless otherwise indicated, the page number reference is to JFMIP-SR-01-01.
6
  These are specified in the claims processing section. See questions 16 through 65.
7
  Approval would result in the establishment of a master record.



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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________



    Functional Requirements                              Yes, No
      Claims Acceptance and                                or
                                                          N/A                  Explanation
            Tracking

5.     Does the benefit system provide
       for the electronic
       acknowledgment of electronic
       forms that are successfully
       submitted? M (p. 14)

6.     Does the benefit system capture
       various correspondences,
       including due process requests
       submitted by various electronic
       mediums, and does it
       automatically associate the
       correspondence with a specific
       claim plan of action? M (p. 14)

7.     For manually submitted
       correspondence, does the
       benefit system link the
       correspondence for the required
       action to one of the following:

       a. the specific application or

       b. the existing claimant master
          record? M (p. 14)

8.     When electronic methods (e.g.,
       Web-based communications) are
       used to facilitate claim form
       acceptance, does the benefit
       system incorporate input and
       completeness controls to ensure
       that only complete8 applications
       are accepted by the system? M
       (p. 14)




8
 The claimant fills in all the required fields.



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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________



                                            Yes, No
 Functional Requirements                      or
      Claims Acceptance and                                     Explanation
            Tracking                         N/A


9.    Does the benefit system user
      have the ability to flag a
      claimant’s paper-based
      application as incomplete and to
      suspend further processing of
      the application until it is
      properly completed as specified
      by program requirements? M
      (p.14)

10.   Does the benefit system store
      incomplete applications in
      accordance with agency policies
      and automatically purge
      incomplete applications after a
      specified period? M (p. 14)

11.   For each claim, does the benefit
      system associate a unique
      identifier (e.g., initials or user
      code) of the employee assigned
      to review the claim? M (p. 14)

12.   Does the benefit system utilize
      an alternative application
      procedure that accommodates
      persons with disabilities?     M
      (p. 14)

13.   Does the benefit system provide
      capabilities to track the status of
      due process or other appeal
      proceedings, when applicable,
      after an initial claim has been
      denied? M (p. 14)




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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________



                                         Yes, No
 Functional Requirements                   or
      Claims Acceptance and                                    Explanation
            Tracking                       N/A


14.   Does the benefit system
      maintain a record of pending
      claims and the status of other
      information, including

      a. where in the process an
         ongoing claim is located,

      b. who is holding the claim,

      c. what actions are needed to
         complete the claim,

      d. whether additional
         information is needed, and

      e. accommodation of
         explanation codes to
         indicate the reason why the
         claim is pending? V (p. 15)

15.   Does the benefit system allow
      the user to update the status of
      pending claims and other
      information? V (p. 15)




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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________



    Functional Requirements                              Yes, No
           Claims Processing                               or                          Explanation
         Administrative Process                           N/A


16.    Does the benefit system utilize
       claimant data that have been
       submitted electronically
       automatically without manual
       intervention? M (p. 15)

17.    Does the benefit system have
       the ability to date and time
       stamp due process requests and
       other time-sensitive
       correspondence that have been
       received through electronic
       mediums? M (p. 15)

18.    Does the benefit system
       accommodate automated case
       workload distribution by
       providing for various claim
       routing options9 as determined
       and maintained by the system
       administrator? M (p. 15)

19.    Does the benefit system indicate
       if the benefit payment
       calculation or verification
       thereof has occurred manually?
       M (p. 15)

20.    Does the benefit system either
       provide the user with the ability
       to update a claimant’s master
       record with the results of a
       manual claim validation or
       manual verification of the
       benefit amount or allow for the
       creation of a new master record,
       if none exists? M (p. 15)




9
 For example, does it provide for the ability to route claims for manual validation?



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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________




     Functional Requirements                           Yes, No
          Claims Processing                              or                         Explanation
        Administrative Process                          N/A


21.    Does the benefit system have
       the ability to capture the
       information needed from the
       claimant in order to complete an
       incomplete claim? M (p. 15)

22.    Does the benefit system provide
       for electronic approvals of
       claims at all levels of the
       approval process, whenever
       feasible? M (p. 15)

23.    Does the benefit system
       incorporate a notification
       mechanism that informs users
       (i.e., claim evaluators and
       supervisors) when an
       application has not completed
       processing within a time frame
       that can be specified by the
       agency? M (p. 15)

24.    Does the benefit system
       facilitate user queries10 on
       individual claims? M (p. 16)

25.    Does the benefit system
       accommodate explanation codes
       to indicate why a claim has been
       denied? M (p. 16)




10
 For example, are data retrievable by query of full name and Social Security number (SSN) or taxpayer identification
number (TIN)?



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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________




     Functional Requirements                              Yes, No
           Claims Processing                                or                           Explanation
         Administrative Process                            N/A


26.    Does the benefit system
       automatically create a claimant
       master record11 using the
       claimant information for initial
       claims that are approved, when
       a master record for the claimant
       did not previously exist? M (p.
       16)

27.    Does the benefit system
       automatically update an existing
       claimant master record12 to
       reflect the status (i.e., pending,
       approved, or rejected) of
       additional claims for other
       benefits the agency administers
       that are sought by the claimant?
       M (p. 16)

28.    Does the benefit system
       automatically merge the
       mandatory claimant data
       maintained in the application
       information stores13 into the
       appropriate master record after
       a claim has been approved and a
       claimant master record has been
       established? M (p. 16)

29.    Does the benefit system provide
       capability to generate statistics
       on approved and rejected claim
       applications? M (p. 16)




11
   The master record must contain all of the mandatory data as specified in the requirements under “Claimant Master
Record Information Store” section of Benefit Systems Requirements (see questions 388 through 393).
12
   This occurs when the claimant already receives a different type of benefit administered by the agency.
13
   This refers to all data recorded from the source document used in determining eligibility, and it also includes the status of
the review and approval of the application. See JFMIP-SR-01-01, p. 42, first paragraph.



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______________________________________________________________________________

Benefit System Requirements
______________________________________________________________________________




 Functional Requirements                  Yes, No
          Claims Processing                 or                  Explanation
      Administrative Process               N/A


30.   Does the benefit system provide
      capabilities to accept, identify,
      track, and report manual
      overrides of system-generated
      acceptance/rejection
      recommendations? M (p. 16)

31.   Does the benefit system allow a
      user, who has proper access, to
      reverse or affirm an initial
      decision regarding the denial of
      a benefit and process the claim
      accordingly? M (p. 16)

32.   Does the benefit system provide
      capabilities to review all prior
      employee notations or decisions
      made while processing a benefit
      claim? M (p. 16)

33.   Does the benefit system provide
      capabilities to record an
      estimated completion date for
      pending claims? V (p. 16)

34.   Does the benefit system have
      the ability, where multiple
      claims exist for the same
      claimant, to process the claims
      sequentially based on order of
      precedence? V (p. 16)




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Benefit System Requirements
______________________________________________________________________________


     Functional Requirements                            Yes, No
           Claims Processing                              or
                                                         N/A                           Explanation
       Eligibility Determination
                Processes
35.    Does the benefit system have
       the ability to automatically
       compare information contained
       in application(s) that have been
       submitted by a claimant against
       agency program eligibility
       criteria (i.e., screen applications
       for eligibility)? M (p. 16)

36.    Does the benefit system have
       the ability to accept the manual
       validation of a claim? M (p. 16)

37.    Does the benefit system have
       the ability to provide for
       maintaining separate eligibility
       criteria and processing routines
       by type of claim? M (p. 16)

38.    Does the benefit system provide
       for the establishment of various
       age limitations, depending on
       the type of benefit, for automatic
       verification of program
       eligibility?14 M (p. 16)

39.    Does the benefit system have
       the ability to cross-validate
       applicant information against
       data maintained for other
       benefit payment programs?15 M
       (p. 17)




14
   For example, does the system allow for age attainment verification to determine whether one is eligible for Social
Security Administration retirement benefits?
15
   For example, can the system ensure that an applicant has not filed for multiple conflicting benefits?



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Benefit System Requirements
______________________________________________________________________________



     Functional Requirements                            Yes, No
          Claims Processing                               or
                                                         N/A                          Explanation
       Eligibility Determination
                Processes
40.    Does the benefit system provide
       features to indicate that an
       applicant has submitted the
       required evidence?16 M (p. 17)

41.    Does the benefit system provide
       features to create and maintain a
       system record of accepted and
       rejected claim applications? M
       (p. 17)

42.    Does the benefit system provide
       tools to check the appropriate
       data files to determine whether
       the applicant has submitted a
       duplicate application or had a
       recent benefit application
       rejected? M (p. 17)

43.    Whenever legally permitted,
       does the benefit system provide
       features to determine whether
       payments being made to the
       claimant in relation to other
       internal benefit payment
       programs affect the claimant’s
       eligibility or payment amount for
       the benefit under consideration?
       M (p. 17)

44.    Does the benefit system allow
       the user to suspend processing
       of a claim while verifying
       questionable information and to
       release the suspended status as
       appropriate? M (p. 17)




16
 For example, does the system allow the user to record receipt of a school certification pertaining to a claimant or
dependent child?



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______________________________________________________________________________




 Functional Requirements                   Yes, No
          Claims Processing                  or
                                            N/A                 Explanation
      Eligibility Determination
               Processes
45.   Does the benefit system provide
      the ability to inform an applicant
      of potential eligibility for other
      internal benefit payment
      programs? V (p. 17)

46.   Does the benefit system have
      the ability to automatically
      validate survivor applicant
      information against information
      about the deceased/former
      spouse or related former
      guardian that is maintained in a
      master record database? V (p.
      17)

47.   When permitted by statute, does
      the benefit system automatically
      validate dates of employment,
      earnings, and other claimant-
      specific data provided on the
      application for benefits against
      the work history and earnings
      information reported to central
      agencies such as the Internal
      Revenue Service (IRS), Social
      Security Administration (SSA),
      and Office of Personnel
      Management (OPM)? V (p. 17)




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Benefit System Requirements
______________________________________________________________________________


 Functional Requirements                               Yes, No
          Claims Processing                              or
                                                        N/A                          Explanation
      Computational Processes

48.    Does the benefit system have
       the ability to determine if the
       effective date of the claim has
       been reached,17 and does it
       have the ability to initiate
       subsequent processing? M (p.
       17)

49.    Does the benefit system
       provide features to compute
       the amount of both recurring
       and nonrecurring benefit
       payments based on all
       available information?18 M (p.
       17)

50.    Does the benefit system
       determine the ending date for
       recurring payments of limited
       duration? M (p. 17)

51.    When processing an approved
       claim for benefits, such as
       retirement, disability, death,
       survivor, and other claims,
       does the benefit system
       calculate the amount of
       recurring payment, or does it
       capture the amount of the
       claimant’s recurring payment
       that has been determined
       externally? M (p. 17)

52.    Does the benefit system
       provide flexibility in
       maintaining pay rates?19 M (p.
       17)



17
   For example, can it determine the effective date of a retirement claim?
18
   For example, can it determine this using applicant data and specific benefit program criteria?
19
   For example, does it use tables that are easily maintained by the user?



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Benefit System Requirements
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     Functional Requirements                             Yes, No
           Claims Processing                               or
                                                          N/A                           Explanation
       Computational Processes

53.    Does the benefit system provide
       for adjusting the amount of
       payment when the claimant is
       receiving offsetting monetary
       amounts?20 M (p. 17)

54.    For federal and uniformed
       service retirement systems,
       does the benefit system identify
       whether the claimant retired
       under provisions of a voluntary
       separation incentive, and does it
       capture the amount of the
       incentive? M (p. 18)

55.    For federal and uniformed
       service retirement systems, does
       the benefit system compute the
       base amount of retirement pay
       by determining the “highest paid
       3621 months of paid service?” M
       (p. 18)

56.    Does the benefit system
       determine the creditable years
       of service based on dates of
       employment or active military
       service? M (p. 18)




20
   For example, is military retired pay offset on a dollar-for-dollar basis against veterans compensation, and for individuals
under age 65, are Social Security benefits offset at a predetermined ratio for every dollar earned by the claimant above the
established threshold amount?
21
   This can also be any other number as required by law or regulation.



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 Functional Requirements                    Yes, No
          Claims Processing                   or
                                             N/A                 Explanation
      Computational Processes

57.   Does the benefit system provide
      features to calculate the
      claimant’s and/or related
      dependent’s age based on the
      birth date provided in an
      application or other verified
      source for subsequent use in
      determining claimant eligibility?
      M (p. 18)

58.   Does the benefit system provide
      for user defined reasonableness
      or tolerable limit checks on the
      amounts of benefit payments
      that are calculated by the
      system? M (p. 18)

59.   Does the benefit system flag or
      suspend processing of a claim
      that fails reasonableness edits to
      facilitate manual verification of
      the amount computed? M (p.
      18)

60.   Does the benefit system enable
      approved users to resume
      processing a claim that was
      suspended for failing a
      reasonableness edit once it has
      been verified as accurate? M (p.
      18)

61.   Does the benefit system allow a
      user to initiate the calculation of
      a claimant’s benefit amount at
      any time based on claimant data
      existing at the time the request
      is made? M (p. 18)




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     Functional Requirements                           Yes, No
             Claims Processing                           or
                                                        N/A                        Explanation
          Computational Processes

62.       Does the benefit system have
          the ability to record the amount
          of manually computed benefit
          payments? M (p. 18)

63.       Does the benefit system provide
          for an automatic system-
          initiated calculation or
          recalculation of benefit amount
          by claim type that is based on a
          specific user-defined event, such
          as claim validation and approval,
          court order, or claimant-initiated
          withholding change? M (p. 18)

64.       Does the benefit system provide
          for automated routines that
          access claimant master record
          data to facilitate calculating the
          amount of benefits due
          claimants? M (p. 18)

65.       Does the benefit system provide
          features to calculate and send
          overpayment information22 to
          the receivables and collections
          subsidiary ledger? M (p. 18)




22
     Overpayment information includes date of occurrence, claimant name, and overpayment amount.



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     Functional Requirements
            Benefit Payment                            Yes, No
            Administration                               or
                                                        N/A                          Explanation
     Payee Information Maintenance
                Process

66.     Does the benefit system
        maintain payee information that
        includes data to support
        obligation, accounts payable,
        and disbursement processes? M
        (p. 19)

67.     Does the benefit system support
        payments made to parties who
        act as agents for the payee
        without changing permanent
        claimant information that is
        maintained in the claimant’s
        master record, such as the
        claimant’s name, address, or
        financial institution? M (p. 19)

68.     Does the benefit system allow
        the user to capture the current
        tax status, number of
        exemptions, and other
        information requested on
        applicable IRS withholding
        forms (i.e., W-4P, W-4S, and W-
        4V)? M (p. 19)

69.     Does the benefit system
        maintain detailed information
        for each payee to comply with
        IRS reporting requirements?23 M
        (p. 19)




23
  For example, does the system maintain information needed for 1099 reporting, including SSN or TIN? In cases where
payments are made to third parties who are serving in fiduciary capacities, does the system maintain 1099 information for
the principal party rather than the agent?



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______________________________________________________________________________



     Functional Requirements
               Benefit Payment                              Yes, No
               Administration                                 or
                                                             N/A                          Explanation
     Payee Information Maintenance
                Process

70.       Does the benefit system provide
          the capability to automatically
          update payee records to reflect
          changes related to the
          automated clearinghouse (ACH)
          or electronic funds transfer
          (ETF)?24 M (p. 19)

71.       Does the benefit system, at a
          minimum, accumulate actual
          payments for each payee
          annually? M (p. 19)

72.       Does the benefit system provide
          search capability for payee
          information (e.g., payee name)?
          M (p. 19)

73.       Does the benefit system produce
          payee lists based on agency-
          defined criteria (e.g., payee
          name and SSN)? M (p. 19)

74.       Does the benefit system
          maintain, as part of the
          claimant’s master record, a
          complete history of all financial
          transactions executed for each
          payee receiving benefits under
          the claim holder’s master
          record?25 M (p. 20)




24
     Treasury, financial institutions, or other sources may supply these updates periodically.
25
     This includes payments, collections, waivers, or offsets resulting from overpayments.



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Benefit System Requirements
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 Functional Requirements
          Benefit Payment                   Yes, No
          Administration                      or
                                             N/A                  Explanation
 Payee Information Maintenance
            Process

75.   For all active payees, does the
      benefit system make the
      financial transaction history
      data of the most recent 18
      months available for online
      query and review? M (p. 20)

76.   Does the benefit system allow
      for maintaining deposit account
      information on at least two
      financial institutions for a single
      payee? V (p. 20)




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Benefit System Requirements
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     Functional Requirements
               Benefit Payment                       Yes, No
               Administration                          or
                                                      N/A                   Explanation
      Payment Warehousing Process



77.       Does the benefit system have
          the ability to determine whether
          the benefit payment is a
          nonrecurring payment? M (p.
          20)

78.       Does the benefit system
          automatically determine the due
          date and amount of benefit
          payments? M (p. 20)

79.       Does the benefit system
          reestablish payables for voided
          checks or EFTs that were not
          successful? M (p. 20)

80.       Does the benefit system allow
          for reversing the accounting
          transaction leading to the
          disbursement and reestablishing
          a payable, as appropriate? M (p.
          20)

81.       Does the benefit system allow
          anticipated obligation or
          expenditure transactions so that
          documents may be entered
          early, stored, and posted at the
          appropriate date? V (p. 20)

82.       Does the benefit system subject
          these documents26 to edit and
          validation procedures prior to
          posting? V (p. 20)




26
     Please refer to the previous question.



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Benefit System Requirements
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 Functional Requirements
          Benefit Payment                  Yes, No
          Administration                     or
                                            N/A                 Explanation
  Payment Warehousing Process



83.   If the anticipated obligation does
      not occur, does the benefit
      system permit the user to delete
      the transaction without posting
      it? V (p. 20)




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     Functional Requirements                              Yes, No
            Benefit Payment                                 or
            Administration                                 N/A                           Explanation
       Funds Availability Editing

84.    Does the benefit system allow
       for the recording of funding
       transactions?27 M (p. 21)

85.    Does the benefit system include
       adequate controls to prevent
       recording obligations or
       expenditure transactions that
       exceed available balances? M
       (p. 21)

86.    Does the benefit system also
       support recording obligations or
       expenditures that exceed
       available balances based on
       proper management approval?28
       M (p. 21)

87.    Does the benefit system provide
       for designated authorities to
       establish and modify the
       system’s response29 to the failure
       of a funds availability edit? M
       (p. 21)

88.    Does the benefit system record
       the financial impact of all
       transactions that affect the
       availability of funds, such as
       commitments, obligations,
       expenditures, and the
       establishment of, and collections
       against, recovery receivables?
       M (p. 21)




27
   This includes recording internal allocations or allotments from within the agency.
28
   That is, does the system provide the capabilities and controls for authorized users to override funds availability edits?
29
   That is, does the system either reject the transaction or provide a warning?



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 Functional Requirements                  Yes, No
          Benefit Payment                   or
          Administration                   N/A                 Explanation
      Funds Availability Editing

89.   Does the benefit system
      automatically update all
      appropriate budgetary tables
      and ledger account balances
      (when applicable) to ensure that
      the system always maintains and
      reports the current status of
      funds for all open accounting
      periods? M (p. 21)

90.   Does the benefit system provide
      for designated authorities to
      establish and modify the level of
      funds control using the elements
      of the classification structure,
      including object class, program,
      organization, project, and fund?
      V (p. 21)

91.   Does the benefit system provide
      the ability to produce an online
      status of funds report down to
      the lowest level of the
      organizational structure,
      including amounts available or
      allotted, open commitments,
      open obligations, expenditures,
      and balance available? V (p. 21)




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Benefit System Requirements
______________________________________________________________________________



     Functional Requirements                            Yes, No
               Benefit Payment                            or
                                                         N/A                         Explanation
               Administration
                  Commitments
92.       Does the benefit system allow
          commitment transactions to be
          entered online from multiple
          locations? V (p. 21)

93.       Does the benefit system
          maintain information related to
          each commitment transaction?30
          V (p. 21)

94.       Does the benefit system provide
          for modifications to
          commitment transactions,
          including ones that change the
          dollar amount or the accounting
          classification elements cited? V
          (p. 22)

95.       Does the benefit system allow
          for commitment transactions to
          be future-dated, stored, and
          posted on the appropriate date?
          V (p. 22)

96.       Does the benefit system close
          open commitments under the
          following circumstances:

          a. by the system upon issuance
             of an obligating document,

          b. by an authorized user, and

          c. as part of the year-end
             closing if the commitment is
             in an annual appropriation
             or in the last year of a
             multiyear appropriation? V
             (p. 22)


30
     At a minimum, does the system capture accounting classification elements and estimated amounts?



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 Functional Requirements                Yes, No
          Benefit Payment                 or
          Administration                 N/A                  Explanation
           Commitments

97.   Does the benefit system provide
      the capability to support
      commitment accounting based
      on agency needs? V (p. 22)




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Benefit System Requirements
______________________________________________________________________________


 Functional Requirements                 Yes, No
          Benefit Payment                  or
                                          N/A                  Explanation
          Administration
  Obligations and Expenditures
98.   Does the benefit system update
      budgetary tables to reflect
      obligations based on obligating
      documents and liquidate, at the
      user’s request, the related
      commitments, either partially or
      fully? M (p. 22)

99.   Does the benefit system update
      budgetary tables to reflect
      obligations for which there are
      no related commitments? M (p.
      22)

100. Does the benefit system
     maintain information related to
     each obligation document,
     including amendments? M (p.
     22)

101. At a minimum, does the benefit
     system capture the following:

      a. obligating document number
         and type,

      b. accounting classification
         elements, as appropriate,

      c. referenced commitment, if
         applicable,

      d. other identification,
         including benefit payee SSN
         or TIN, and

      e. dollar amounts? M (p. 22)

102. Does the benefit system allow
     obligation documents to be
     entered online and from multiple
     locations? M (p. 22)



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______________________________________________________________________________


 Functional Requirements                  Yes, No
          Benefit Payment                   or
                                           N/A                 Explanation
          Administration
  Obligations and Expenditures
103. Does the benefit system allow
     authorized modifications and
     cancellations of posted
     obligation documents? M (p.
     22)

104. Does the benefit system provide
     online access to all unliquidated
     obligations by selection criteria
     (e.g., document number)? M (p.
     22)

105. Does the benefit system
     maintain an online history file of
     closed-out documents for a user-
     defined period? M (p. 22)

106. Does the benefit system close
     open obligating documents to
     accommodate both of the
     following circumstances:

     a. automatically when
        classifying an unliquidated
        obligation to an expenditure,
        or

     b. by an authorized user? M (p.
        22)

107. Does the benefit system allow
     multiple commitments to be
     combined into one obligation or
     expenditure document and one
     commitment document to be
     split into various obligating or
     expenditure documents? V (p.
     22)




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 Functional Requirements                Yes, No
          Benefit Payment                 or
          Administration                 N/A                  Explanation
              Analysis

108. Does the benefit system
     maintain current information on
     obligations according to the
     classification elements
     established by the agency on a
     fund-by-fund basis? M (p. 23)

109. Does the benefit system sort and
     provide online access to both
     summary level and detailed
     information, based on the
     defined level of funds control,
     for those transactions that
     represent obligations and
     expenditures? M (p. 23)

110. Does the benefit system provide
     control features that ensure the
     amounts reflected in the fund
     control structure agree with the
     general ledger account balances
     at the end of each update cycle?
     M (p. 23)

111. Does the benefit system track
     the use of funds against
     operating or financial plans? V
     (p. 23)




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Benefit System Requirements
______________________________________________________________________________


     Functional Requirements
            Benefit Payment                            Yes, No
            Administration                               or
   Payment Execution Process                            N/A                          Explanation
(Agencies with Delegated Disbursing
            Authority)

112. If the agency has delegated
     disbursing authority,31 does the
     benefit system support of the
     reporting and other
     requirements specified in
     volume I of the Treasury
     Financial Manual (TFM), Part
     4, as exemplified by the
     following?

       a. Report all disbursements
          made under the delegation in
          the agency’s payment
          accounting reports to the
          Financial Management
          Service (FMS) using the
          appropriate agency
          accounting codes, as
          authorized by FMS.32

       b. Submit timely, accurate
          check issuance data to FMS
          no later than the close of
          business of the week in
          which the issue dates occur
          and at month’s end.33

       (continued to next page)




31
   Some agencies have “delegated disbursing authority” and can print checks or make EFTs without using Treasury as an
intermediary. 31 U.S.C. § 3321(b) provides that, for economy and efficiency, the Secretary of the Treasury may delegate the
authority to disburse public money to officers and employees of other executive agencies.
32
   As stated in I TFM 4-10025, the agency must submit immediately to the chief disbursing officer any irregularity in
accounts involving disbursement activity. Furthermore, the agency is responsible for resolving any irregularities or
discrepancies associated with such reports.
33
   See I TFM 4-6020.10. FMS must receive this information within the required time frame to carry out its check
reconciliation responsibilities properly, to decline final payment, or to reclaim payment on certain improperly negotiated
Treasury checks or counterfeit checks. See 31 C.F.R. Part 240.



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     Functional Requirements
            Benefit Payment                            Yes, No
            Administration                               or
   Payment Execution Process                            N/A                         Explanation
(Agencies with Delegated Disbursing
            Authority)




       c. Comply with applicable
          Treasury offset guidelines
          established under the
          authority of 31 U.S.C. §
          3716(c).34

       d. Comply with FMS guidelines
          concerning applicable
          requirements, to include a
          payee’s TIN on payment
          vouchers in accordance with
          31 U.S.C. § 3325(d).35

       e. Comply with all applicable
          EFT system requirements,
          including those related to
          message authentication and
          enhanced security, unless
          explicitly waived in writing
          by the chief disbursing
          officer (CDO). M (pp. 23 &
          24)




34
   Under 31 U.S.C. § 3716 (c), an authorized disbursing official is allowed to reduce recipient benefits by administrative
offset to satisfy a creditor agency claim “…certified to the Secretary of the Treasury.”
35
   “The head of an executive agency or an officer or employee of an executive agency … shall include with each certified
voucher submitted to a disbursing official pursuant to this section the taxpayer identifying number of each person to whom
payment may be made under the voucher.”



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     Functional Requirements
               Benefit Payment                            Yes, No
               Administration                               or
                                                           N/A                          Explanation
        Payment Execution Process
           (All Other Agencies)

113. Does the benefit system
     automatically identify and select
     payments to be disbursed in a
     particular payment cycle based
     on their due dates?36 M (p. 24)

114. Does the benefit system provide
     a function for review and
     certification by an authorized
     certifying officer? M (p. 24)

115. Does the benefit system allow
     changes to payment schedules
     by authorized staff prior to
     acceptance by the disbursing
     office? M (p. 24)

116. Does the benefit system allow
     specific payments selected for
     disbursement to be excluded
     from the payment cycle and held
     for later payment? M (p. 24)

117. Does the benefit system
     automatically distinguish
     taxable benefit payments from
     nontaxable payments? M (p. 24)




36
     Questions 113 through 136 are applicable only to agencies for which Treasury does the actual disbursing.



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 Functional Requirements
          Benefit Payment               Yes, No
          Administration                  or
                                         N/A                   Explanation
   Payment Execution Process
      (All Other Agencies)

118. Does the benefit system
     automatically compute net
     amounts to be disbursed after
     taking into account the
     following:

     a. withholdings,

     b. interest,

     c. garnishments,

     d. other offsets, as needed, in
        accordance with applicable
        regulations? M (p. 24)

119. Does the benefit system also
     generate the appropriate
     transactions to reflect the
     computed deductions and
     additions? M (p. 24)

120. Does the benefit system collect
     information on interest paid, if
     applicable, and record the
     amounts to the proper ledger
     account? M (p. 24)

121. Does the benefit system
     calculate totals by agency
     location code (ALC) and
     Treasury account fund symbol
     (TAFS) for inclusion on the
     payment schedule? M (p. 24)

122. Does the benefit system sort
     individual payment detail by
     TAFS to enable SF-224
     reconciliation? M (p. 24)



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     Functional Requirements
               Benefit Payment                           Yes, No
               Administration                              or
                                                          N/A                Explanation
        Payment Execution Process
           (All Other Agencies)

123. Does the benefit system provide
     for various forms of payment to
     be used (e.g., check or EFT)? M
     (p. 24)

124. Does the benefit system support
     Treasury-specific standards for
     format of check and EFT
     payment requests? M (p. 24)

125. Does the benefit system
     automatically update payment
     records based on updates
     recorded in the payee’s master
     record, such as changes of
     address or changes in deposit
     account information? M (p. 24)

126. Does the benefit system allow a
     payment request to be removed
     from the automated scheduling
     stream and scheduled as a
     manual payment by an
     authorized official? M (p. 24)

127. Does the benefit system allow
     the user to trigger an immediate
     benefit payment for
     “emergency”37 situations? M (p.
     24)




37
     Emergency situations are defined by the administering agency.



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     Functional Requirements
            Benefit Payment                            Yes, No
            Administration                               or
                                                        N/A                          Explanation
      Payment Execution Process
         (All Other Agencies)

128. Does the benefit system provide
     the capability to schedule and
     make payments in various
     forms38 as required by an
     agency’s disbursing offices,
     including physical media?39 M
     (p. 24)

129. Does the benefit system allow
     for cancellation of an entire
     payment schedule, or a single
     payment within a schedule, after
     payments are scheduled and
     prior to actual disbursement by
     Treasury? M (p. 24)

130. Does the benefit system provide
     offset features, if applicable, to
     reduce the payment amount due
     a claimant in accordance with
     applicable laws, regulations, and
     provisions of the Treasury Offset
     Program (TOP)? M (p. 24)

131. Does the benefit system
     properly record the impact40 of
     the entire amount of the
     transaction in both budgetary
     and proprietary terms? M (p.
     24)

132. Does the benefit system provide
     for reissuing payments for
     misplaced payments and lost or
     stolen checks? M (p. 24)

38
   For example, can payments be scheduled or made with ACH or SF-1166?
39
   Physical media include tape or EFT.
40
   That is, does the system record whether, for example, (1) the entire amount is expensed, (2) payables or cash accounts
reflect net outlay, and (3) budgetary resources are increased by the amount of nonfederal receivables collected?



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     Functional Requirements
               Benefit Payment                            Yes, No
               Administration                               or
                                                           N/A                          Explanation
        Payment Execution Process
           (All Other Agencies)

133. Does the benefit system
     automatically consolidate
     amounts due a benefit claimant
     when the claimant is entitled to
     more than one benefit
     administered by the same
     agency? V (p. 25)

134. Does the benefit system itemize
     per Treasury specifications all
     payments covered by one check
     or EFT on a payment advice or
     addendum to the EFT file? V (p.
     25)

135. Does the benefit system allow
     for the splitting of a single
     benefit payment into separate
     bank accounts (i.e.,
     allotments)41 as indicated on the
     claimant’s direct deposit request
     form? V (p. 25)

136. Does the benefit system provide
     for making payments in a
     foreign currency? V (p. 25)




41
     That is, does the system allow for a minimum of one allotment in addition to the primary deposit account?



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 Functional Requirements
          Benefit Payment               Yes, No
          Administration                  or
                                         N/A                   Explanation
    Payment Confirmation and
       Follow-up Process

137. Does the benefit system update
     master record information
     resulting from payments made
     by the core system, if
     applicable? M (p. 25)

138. If original checks are lost,
     stolen, or destroyed, does the
     benefit system allow the user to
     record the outcome of the
     Treasury search when
     recertified checks are issued? M
     (p. 25)

139. Does the benefit system provide
     information about each payment
     to reflect the stage of the
     scheduling process that the
     payment has reached and the
     date each step was reached for
     the following processing steps:

     a. payment scheduled,

     b. schedule sent to the
        appropriate disbursing
        office, and

     c. payment issued by the
        appropriate disbursing
        office? M (p. 25)

140. Does the benefit system provide
     for comparison of the agency’s
     payment schedule and the
     disbursing office’s accomplished
     schedule? M (p. 25)




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 Functional Requirements
          Benefit Payment               Yes, No
          Administration                  or
                                         N/A                  Explanation
    Payment Confirmation and
       Follow-up Process

141. Does the benefit system update
     the payment information when
     confirmation is received from
     the disbursing office, including
     the paid schedule number,
     check numbers or trace
     numbers, date and amount of
     payment, and payment method?
     M (p. 25)

142. Does the benefit system
     maintain a history of every
     payment, including the following
     information:

     a. authorizing document
        number,

     b. payment schedule number,

     c. payment date,

     d. payment address, and

     e. TAFS charged? M (p. 25)

143. Does the benefit system provide
     online access to claimant and
     payment information? M (p. 25)

144. Does the benefit system provide
     online access to open
     documents based on agency
     selection criteria? M (p. 25)




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     Functional Requirements
               Benefit Payment                            Yes, No
               Administration                               or
                                                           N/A                         Explanation
         Payment Confirmation and
            Follow-up Process

145. Does the benefit system produce
     IRS 1099s in IRS acceptable
     form42 when required by IRS
     regulations?43 M (p. 25)

146. Does the benefit system
     automatically liquidate the
     related liability or the in-transit
     amount when payment
     confirmation updates the
     system? M (p. 25)




42
     IRS acceptable form would be, for example, hard copy or magnetic tape.
43
     For example, IRS 1099s are required for miscellaneous payments of over $600 to individuals.



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 Functional Requirements
      Recovery Receivable                  Yes, No
         Management                          or
                                            N/A                 Explanation
       Recovery Receivable
      Establishment Process

147. Does the benefit system record
     the establishment of receivables
     in the claimant’s master record?
     M (p. 26)

148. Does the benefit system provide
     for the establishment of
     receivables in other systems,
     such as centralized accounts
     receivable systems, that are
     based on individual claim holder
     debts? M (p. 26)

149. Does the benefit system provide
     the capability for a user to select
     the reason the receivable is
     being recorded from a domain of
     recognized reasons? M (p. 26)

150. Does the benefit system support
     the establishment and tracking
     of receivables to be paid under
     installment plans, including
     plans for which payments have
     been rescheduled? M (p. 26)

151. Does the benefit system provide
     the capability for a user to
     record the beginning and ending
     dates of the payment period as
     well as the frequency and
     amount of each payment? M (p.
     26)




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 Functional Requirements
      Recovery Receivable                Yes, No
         Management                        or
                                          N/A                  Explanation
       Recovery Receivable
      Establishment Process

152. Does the benefit system
     calculate, generate, and post the
     required ledger entries for
     receivables resulting from
     duplicate payments or
     erroneous payments as well as
     the corresponding expenditure
     reductions or other offsets? M
     (p. 26)

153. Does the benefit system print
     bills accommodating the
     generation of standard forms
     and turnaround documents (i.e.,
     as a remittance advice)? M (p.
     26)

154. Does the benefit system allow
     customized text in generated
     billing documents? M (p. 26)

155. Does the benefit system provide
     features to notify overpaid
     individuals (or a claimant’s
     estate) of the following:

     a. the amount overpaid and
        how and when overpayment
        occurred,

     b. the right to appeal the
        overpayment determination,

     c. the required recovery, and

     d. the right to request a waiver
        of recovery? M (pp. 26 & 27)




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 Functional Requirements
      Recovery Receivable                 Yes, No
         Management                         or
                                           N/A                 Explanation
       Recovery Receivable
      Establishment Process

156. Does the benefit system record
     adjustments, both increases and
     decreases (i.e., noncash credits),
     and post them to a claimant’s
     master record? M (p. 27)

157. Does the benefit system date the
     bills with the system-generated
     date or with the date provided
     by the authorized user? M (p.
     27)

158. Does the benefit system accept
     transactions that generate
     receivables from other systems
     in a standard format for entry
     into the benefits system? M (p.
     27)

159. Does the benefit system print
     statements as well as bills? V (p.
     27)




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 Functional Requirements
      Recovery Receivable                 Yes, No
         Management                         or
                                           N/A                 Explanation
  Recovery Receivable Servicing
            Process

160. Does the benefit system
     maintain detailed information by
     account (i.e., individual)
     sufficient to provide audit trails
     and to support billing and
     research activities? M (p. 27)

161. Does the benefit system update
     each master record when billing
     documents are generated and
     collections are received? M (p.
     27)

162. Does the benefit system provide
     online query capability to
     receivable and account
     information? M (p. 27)

163. Does the benefit system provide
     information concerning the age
     of receivables, on a summary
     basis as well as an individual
     basis, to allow for management
     and prioritization of collection
     activities? M (p. 27)

164. Does the benefit system provide
     automatic calculation and
     assessment of interest,
     administrative charges, and
     penalty charges, as applicable,
     on overdue receivables? M (p.
     27)

165. Does the benefit system allow
     for the waiver of the charges
     with appropriate authority? M
     (p. 27)




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 Functional Requirements
      Recovery Receivable                 Yes, No
         Management                         or
                                           N/A                 Explanation
  Recovery Receivable Servicing
            Process

166. Does the benefit system identify
     and report receivables that meet
     predetermined criteria for bad
     debt provisions or write-off? M
     (p. 27)

167. Does the benefit system
     maintain data for receivables
     referred to other federal
     agencies and/or outside
     organizations for collections? M
     (p. 27)

168. Does the benefit system
     automatically initiate
     transactions to record the write-
     off of delinquent or uncollectible
     receivables (including interest,
     penalties, and administrative
     charges) based on user-defined
     criteria? M (p. 27)

169. Does the benefit system also
     maintain data to monitor closed
     accounts? M (p. 27)

170. Does the benefit system produce
     dunning (collection) letters for
     overdue receivables in
     accordance with Treasury
     requirements and existing
     legislation? M (p. 27)

171. Does the benefit system allow
     authorized users to customize
     the dunning process parameters
     and dunning letter text? M (p.
     27)




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 Functional Requirements
      Recovery Receivable                 Yes, No
         Management                         or
                                           N/A                 Explanation
  Recovery Receivable Servicing
            Process

172. Does the benefit system provide
     information to allow either
     manual or automated reporting
     of delinquent accounts to
     commercial credit bureaus and
     referral to collection agencies or
     other appropriate governmental
     organizations? M (p. 27)

173. Does the benefit system
     maintain information needed to
     support reporting required by
     IRS? M (p. 27)

174. Does the benefit system
     maintain a history of billings and
     receipts for each receivable and
     account in accordance with
     agency requirements? M (p. 28)

175. Does the benefit system match
     receipts to the appropriate
     receivables and update system
     balances? M (p. 28)

176. Does the benefit system provide
     the ability to apply receipts to
     more than one receivable? M
     (p. 28)




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     Functional Requirements
        Recovery Receivable                            Yes, No
           Management                                    or
                                                        N/A                         Explanation
     Recovery Receivable Servicing
               Process

177. Does the benefit system update
     receivable balances document
     by document, classifying and
     posting against principal,
     interest, and administrative fees
     as required by OMB Circular A-
     129,44 Managing Federal Credit
     Programs? M (p. 28)

178. Does the benefit system identify
     receivables that have been
     reduced by some means other
     than cash collections, such as
     waivers or write-offs? M (p. 28)

179. Does the benefit system provide
     for reestablishment of a
     receivable for checks returned
     due to insufficient funds? M (p.
     28)




44
  OMB Circular A-129 prescribes policies and procedures for justifying, designing, and managing federal credit programs,
including collecting nontax receivables such as overpayments to beneficiaries.



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 Functional Requirements                 Yes, No
      Recovery Receivable                  or
         Management                       N/A                  Explanation
          Collection Process

180. Does the benefit system record
     complete and partial receipts
     according to the Debt Collection
     Act of 1982 (DCA), Debt
     Collection Improvement Act of
     1996 (DCIA), as well as any
     applicable regulations? M (p.
     28)

181. Does the benefit system record
     deposits and related debit
     vouchers for reconciliation to
     deposit confirmation
     information provided by
     Treasury or the banking system?
     M (p. 28)

182. Specifically, does the benefit
     system provide the user the
     capability to record the deposit
     ticket or debit voucher
     document amount, number, and
     date? M (p. 28)

183. If a claimant’s master record is
     located when recording a
     deposit, does the benefit system
     provide the capability to display
     all active receivable accounts of
     record that are related to the
     claimant? M (p. 28)




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     Functional Requirements                              Yes, No
            Recovery Receivable                             or
               Management                                  N/A                          Explanation
               Collection Process

184. If a user is not able to locate an
     existing receivable in the master
     record of the person making a
     payment and the document
     being recorded is a deposit
     ticket item, does the benefit
     system provide the capability to
     associate the collection of funds
     to the claimant’s master record,
     if one exists? M (p. 28)

185. Does the benefit system provide
     features to record the method of
     recovery?45 M (p. 28)

186. In order to suspend collection
     activities associated with the
     receivable, does the benefit
     system provide the capability to
     flag a claimant’s receivable
     record to reflect due process
     status? M (p. 28)

187. Does the benefit system
     automatically allow collection
     activities to resume when due
     process has expired or the flag
     has been reversed? M (p. 28)

188. Does the benefit system capture
     whether the receivable has been
     petitioned or discharged in
     connection with bankruptcy
     proceedings? M (p. 28)




45
     The method of recovery includes payment, internal offset, TOP, compromise settlement, and civil suit.



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 Functional Requirements               Yes, No
      Recovery Receivable                or                  Explanation
         Management                     N/A
          Collection Process

189. Does the benefit system provide
     for processing cash or credit
     card receipts against
     outstanding receivables? V (p.
     28)




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     Functional Requirements                               Yes, No
            Recovery Receivable                              or
               Management                                     N/A                        Explanation
                         Offset
190. Does the benefit system provide
     the ability to report overdue
     receivables with associated SSN
     or TIN data to Treasury for
     possible offset? M (p. 29)

191. Does the benefit system allow
     for offset of funds due to
     delinquent indebtedness through
     the following:

          a. administrative offset,

          b. federal employee salary
             offset, and

          c. income tax refund offset? M
             (p. 29)

192. Does the benefit system comply
     with the requirements of the IRS
     Tax Refund Offset Program and
     TOP requirements? M (p. 29)

193. Does the benefit system provide
     the capability for a user to
     record the effective date of the
     offset plan? M (p. 29)

194. Does the benefit system
     incorporate logic to reflect the
     legal authority as to whether the
     payment type may be reduced
     by offset or is exempt from TOP
     or other offsets? M (p. 29)

195. Can the benefit system exclude
     certain receivables46
     automatically from the offset
     function? M (p. 29)


46
     For example, does the system exclude receivables that are in due process status or those that relate to bankruptcy filings?



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     Functional Requirements                                Yes, No
            Recovery Receivable                               or
               Management                                     N/A                         Explanation
                         Offset
196. Does the benefit system
     automatically subject
     receivables to offset, which had
     been previously excluded
     because of due process and
     bankruptcy status, once status
     has been resolved? M (p. 29)

197. Does the benefit system provide
     the capability for a user to select
     from a domain of offset program
     participants?47 V (p. 29)

198. If the desired offset program
     recipient does not exist as a
     participant, does the benefit
     system provide the capability for
     the user to create a participant
     record? V (p. 29)

199. When a retirement account has
     both garnishment and former
     spouse deductions, does the
     benefit system identify
     bankruptcy debt so that it is
     bypassed when computing the
     legally mandated 65 percent
     maximum deduction amount? V
     (p. 29)




47
     An offset program participant is the recipient of the amount to be offset against a claimant’s benefit payments.



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     Functional Requirements                          Yes, No
        Recovery Receivable                             or
           Management                                  N/A                         Explanation
              Funds Control

200. Does the benefit system
     properly record the budgetary
     effect on U.S. Standard General
     Ledger (SGL) balances for all
     transactions typically involved
     with receivable management?48
     M (p. 30)




48
 For example, receivable management would include establishing a receivable, adjusting receivables, collections and
offsets, as well as waivers and write-offs.



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     Functional Requirements                               Yes, No
          Accounting for Benefit                             or
              Transactions                                  N/A                          Explanation
                Entity Definition

201. Does the benefit system allow
     for recording transactions in
     multiple TAFS and various fund
     types?49 M (p. 30)

202. Does the benefit system
     accommodate reporting for
     multiple programs within a
     TAFS, based on accounting
     classification elements?50 M (p.
     30)




49
     This includes annual, multiyear, and no-year appropriations as well as trust funds.
50
     Accounting classification elements include, for example, organization level and cost center.



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     Functional Requirements                         Yes, No
       Accounting for Benefit                          or
           Transactions                               N/A                        Explanation
           Account Definition

203. Does the benefit system use
     account titles consistent with
     the account titles provided in
     the SGL? M (p. 31)

204. Does the benefit system use
     account definitions consistent
     with the account definitions
     provided in the SGL? M (p. 31)

205. Does any expansion in the chart
     of accounts roll up to the
     accounts as defined in the
     SGL?51 M (p. 31)

206. Does the benefit system provide
     subsidiary ledger support for
     SGL accounts? M (p. 31)

207. Does the benefit system also
     support reconciliation of SGL
     control accounts to their
     respective subsidiary records by
     accounting period? M (p. 31)

208. Does the benefit system provide
     the capability to create
     additional subaccounts to the
     general ledger for agency-
     specific tracking and control? M
     (p. 31)

209. Do these subaccounts roll up to
     the SGL accounts? M (p. 31)




51
 A pseudocode can be used instead of the exact SGL account numbers, providing the account descriptions and posting
rules are the same as those used in the SGL for relevant transactions.



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     Functional Requirements
           Accounting for Benefit                           Yes, No
               Transactions                                   or
                                                             N/A                Explanation
         Transaction Definition and
                Processing

210. Does the benefit system use
     standard transactions to record
     accounting events and to control
     the related updating of other
     information52 maintained in the
     system? M (p. 31)

211. Does the benefit system allow
     standard transactions, including
     system-generated transactions,
     to be established, modified, or
     deleted by authorized
     personnel? M (p. 31)

212. Does the benefit system allow
     changes to be traced? M (p. 31)

213. Does the benefit system
     generate and post compound
     debit and credit entries to the
     SGL accounts? M (p. 31)

214. Does the benefit system update
     both budgetary and proprietary
     SGL accounts based on a single
     input transaction? M (p. 31)




52
     This could include values in tables, such as available funding.



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     Functional Requirements
          Accounting for Benefit                           Yes, No
              Transactions                                   or
                                                            N/A                          Explanation
         Transaction Definition and
                Processing

215. Does the benefit system provide
     the capability to add, modify,
     and maintain editing and posting
     rules through systems tables
     controlled by authorized
     personnel? M (p. 31)

216. Does the benefit system perform
     integrity checks on batches
     received via interfaces? M (p.
     31)

217. Do the integrity checks include
     batch numbers to detect
     duplicate or skipped batches
     and the validity of header and
     trailer records?53 M (p. 31)




53
     This ensures that counts and amounts in trailer records agree with records in the batch.



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 Functional Requirements
     Accounting for Benefit               Yes, No
         Transactions                       or
                                           N/A                  Explanation
    Transaction Definition and
           Processing

218. Does the benefit system process
     transactions consistent with
     SGL account descriptions and
     postings? M (p. 31)

219. Does the benefit system process
     system-generated transactions,
     such as the following:

     a. automated payment
        scheduling,

     b. accruals,

     c. closing entries,

     d. recurring payments, and

     e. transactions that generate
        other transactions in those
        cases in which a single
        transaction is not sufficient?
        M (p. 32)

220. Does the benefit system
     automatically liquidate, partially
     or in full, balances of preceding
     documents when entering
     dependent documents? M (p.
     32)




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     Functional Requirements
       Accounting for Benefit                         Yes, No
           Transactions                                 or
                                                       N/A                         Explanation
      Transaction Definition and
             Processing

221. Is this capability used in the
     liquidation of commitments,
     obligations, payables,
     receivables, or other items, as
     appropriate?54 M (p. 32)

222. Does the benefit system provide
     control over the correction and
     reprocessing of all erroneous
     transactions through the use of
     error files or suspense accounts?
     M (p. 32)

223. Are erroneous transactions
     maintained and tracked until
     corrected, posted, or deleted at
     the specific request of an
     authorized user? M (p. 32)

224. Does the benefit system support
     management controls to ensure
     the following?

       a. Transactions are processed
          in accordance with
          government and agency-
          prescribed standards and
          procedures.

       b. The integrity of data in the
          system is maintained.

       c. Access is restricted to
          authorized users. M (p. 32)




54
  For example, when expending an existing obligation the balance of the open obligation must be automatically reduced by
the amount expended.



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 Functional Requirements
     Accounting for Benefit               Yes, No
         Transactions                       or                 Explanation
    Transaction Definition and             N/A
           Processing

225. Does the benefit system provide
     transaction edits that control, at
     a minimum, fund availability,
     account structure, and tolerance
     levels between related
     transactions, such as between
     an obligation and its related
     accrual? M (p. 32)

226. Does the benefit system provide
     controls to prevent the creation
     of duplicate transactions? M (p.
     32)

227. Does the benefit system post to
     the current and prior accounting
     months concurrently until the
     prior month closing? M (p. 32)

228. Does the benefit system
     maintain and provide online
     queries and reports on balances
     separately for the current and
     prior months? M (p. 32)

229. At a minimum, does the benefit
     system maintain balances online
     for both the current and prior
     months until the prior month
     closing? M (p. 32)




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 Functional Requirements
     Accounting for Benefit              Yes, No
         Transactions                      or                  Explanation
    Transaction Definition and            N/A
           Processing

230. Does the benefit system provide
     the capability to enter and store
     for future processing any
     transactions in the current
     month for processing in the
     subsequent month? V (p. 32)




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 Functional Requirements                  Yes, No
     Accounting for Benefit                 or
         Transactions                      N/A                  Explanation
            Audit Trails

231. Does the benefit system provide
     audit trails to trace transactions
     from the following:

     a. source documents,

     b. original input,

     c. other systems,

     d. system generated
        transactions, and

     e. internal assignment
        transactions through the
        system? M (p. 32)

232. Does the benefit system provide
     transaction details to support
     account balances? M (p. 32)

233. Does the benefit system provide
     audit trails to trace source
     documents and transactions
     through successive levels of
     summarization to the financial
     statements and reverse? M (p.
     32)

234. Does the benefit system provide
     audit trails to identify changes
     made to system parameters and
     tables that would affect the
     processing or reprocessing of
     any financial transactions? M
     (p. 32)




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     Functional Requirements                              Yes, No
          Accounting for Benefit                            or
              Transactions                                 N/A                  Explanation
                    Audit Trails

235. Does the benefit system provide
     for all types of transactions the
     capability to select items for
     review based on user-defined
     criteria?55 M (p. 32)

236. Does the benefit system provide
     audit trails that identify the
     following actions by the
     originator:

          a. document input,

          b. changes,

          c. approvals, and

          d. deletions? M (p. 32)

237. Does the benefit system provide
     the capability to record the user
     identification, date, and time
     updated for each transaction
     affecting the general and
     subsidiary accounts? M (p. 33)




55
     Examples of selection criteria are accounting period, amount, and payee.



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     Functional Requirements                           Yes, No
                 Reporting                               or
                                                        N/A                         Explanation
           External Reporting

238. Does the benefit system
     maintain accounting data to
     support reporting in accordance
     with FASAB accounting
     standards and OMB and
     Treasury reporting
     requirements?56 M (p. 33)

239. Does the benefit system provide
     summarized data electronically
     to systems used by the agency
     for decision support? M (p. 33)

240. Does the benefit system provide
     for the preparation of external
     reports, such as those required
     by Treasury and OMB?57 M (p.
     33)

241. Does the benefit system report
     events and transactions
     according to the accounting
     classification elements
     established and within a given
     accounting period?58 M (p. 34)




56
   Of particular significance are data needed when preparing actuarial estimates for financial statement preparation in
compliance with the reporting requirements specified by SFFAS 5 and 17. For example, does the system facilitate historical
trend analysis of various data elements as determined by the agency?
57
   For example, does the system pass the data needed to prepare (1) reports required by the Federal Agencies’ Centralized
Trial Balance System (FACTS) I, FACTS II, SF-224 (when appropriate) and (2) financial statements to the core financial
system?
58
   This includes providing the ability to automatically assign cost by a major program to facilitate preparation of the
Statement of Net Costs in accordance with OMB’s Bulletin 01-09, Form and Content of Agency Financial Statements.



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     Functional Requirements                          Yes, No
                 Reporting                              or
                                                       N/A                         Explanation
           External Reporting

242. Does the benefit system
     maintain the information
     required for program
     performance, financial
     performance, and financial
     management performance
     measures needed for budgeting,
     program management, and
     financial statement
     presentation? M (p. 34)

243. Does the benefit system provide
     the capability to produce all
     relevant reports, statements, or
     returns required by IRS,
     including year-end 1099
     statements? M (p. 34)

244. Does the benefit system allow a
     user to request a reissued tax
     statement for the current or
     previous year? M (p. 34)

245. Does the benefit system provide
     for an automated methodology
     of data manipulation and data
     exportation? V (p. 34)

246. Does the benefit system provide
     for automatic translation of
     foreign currency payments
     based on the exchange rate
     specified by the user?59 V (p. 34)

247. Does the benefit system allow a
     user to request a reissued tax
     statement for the previous 3
     years? V (p. 34)


59
 That is, does the system determine the appropriate amount of corresponding U.S. dollars when recording transactions for
payments made in foreign currency?



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                                          Yes, No
 Functional Requirements                    or
             Reporting                                         Explanation
          Internal Reporting               N/A


248. Does the benefit system provide
     for the production of formatted
     reports? M (p. 34)

249. Does the benefit system allow
     for the reformatting of reports to
     allow for the following
     attributes:

     a. the presentation of different
        sorts of information,

     b. the presentation of only
        specific information in the
        format selected,

     c. the summarization of data,
        and

     d. the modification of report
        formats to tailor the reports
        to the specific requirements
        of the user? M (p. 34)

250. Does the benefit system provide
     for program cost accounting
     data to support reporting
     requirements specified in OMB
     Bulletin No. 01-09, Form and
     Content of Agency Financial
     Statements? M (p. 34)




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                                        Yes, No
 Functional Requirements                  or
             Reporting                                        Explanation
          Internal Reporting             N/A


251. Does the benefit system provide
     for program cost accounting
     data to support the decision-
     making process in managing an
     agency’s programs, which
     includes the following features?

     a. Cost reports to be used in
        the analysis of programmatic
        activities.

     b. Schedules and operating
        statements based on the
        accounting classification
        elements and agency
        criteria.

     c. Meaningful cost information
        needed to support
        performance measures.

     d. Ability to transfer cost
        information directly to and
        from other systems. M (p.
        34)

252. Does the benefit system
     determine the cost of
     information for comparison to
     other program data to determine
     compliance with planned
     budgeted activities? V (p. 35)

253. Does the benefit system support
     the use of historical data to
     conduct variance analysis? V (p.
     35)




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     Functional Requirements                           Yes, No
                 Reporting                               or
                                                        N/A                          Explanation
        Performance Reporting

254. Does the benefit system provide
     features to compute and
     maintain performance trends,
     such as the following?

       a. Number and dollar value of
          benefit payments made.

       b. Average benefit payment.

       c. Benefit payments made by
          operating levels and
          geographic region. M (p. 35)

255. Does the benefit system provide
     features to compute and
     maintain efficiency measures to
     help determine the effective use
     of agency resources,60 such as
     the following measurements?

       a. Number of applications
          processed.

       b. Number of awards.

       c. Number of denials. M (p.
          35)

256. Does the benefit system provide
     features to compute, for the
     entire claimant population, the
     length of time claimants have
     received benefits?61 M (p. 35)




60
  Measures should cover agency resources at both the local and national levels.
61
  For example, can the system generate reports showing the number of individuals receiving benefits by duration (e.g., 1 to
5 years or 6 to 10 years)?



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 Functional Requirements               Yes, No
            Reporting                    or
                                        N/A                  Explanation
     Performance Reporting

257. Does the benefit system provide
     features to automatically
     compute and maintain efficiency
     measures such as the following?

     a. Administrative cost per
        application approved.

     b. Time required to process a
        claim application. V (p. 35)




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     Functional Requirements                          Yes, No
                 Reporting                              or
                                                       N/A                          Explanation
       Compulsory Notifications

258. Does the benefit system provide
     for issuing standard notices for a
     variety of user- defined events?62
     M (p. 35)

259. Does the benefit system allow
     the user to add custom text for
     each standard correspondence
     type? M (p. 35)

260. Does the benefit system allow
     the user to record that the U.S.
     Postal Service has returned
     correspondence as
     undeliverable? M (p. 35)

261. Does the benefit system
     automatically capture various
     electronic correspondences,
     including due process requests
     submitted through various
     electronic mediums, and
     associate them to the specific
     claim and required action? M
     (p. 36)

262. For manually submitted
     correspondence, does the
     benefit system provide for
     capturing such requests and
     associating them with the
     specific claim and required
     action? M (p. 36)




62
 For example, does the system provide capabilities to notify a claimant of decisions affecting payment amount or cessation
of payments?



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 Functional Requirements                Yes, No
             Reporting                    or
                                         N/A                   Explanation
    Compulsory Notifications

263. Does the benefit system have
     the ability to capture or record
     the date on which a request for
     appeals-related information is
     received from a claimant or an
     authorized representative? M
     (p. 36)




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     Functional Requirements                          Yes, No
                 Interfaces                             or
                                                       N/A                         Explanation
           Internal Interfaces

264. Does the benefit system provide
     the capability to interface with
     the agency core accounting
     system to record the accounting
     impact of financial activity at the
     SGL level daily to support
     consolidated financial reporting?
     M (p. 36)

265. Does the benefit system provide
     standard input record format(s)
     for interface of transactions
     from other systems? M (p. 36)

266. Does the benefit system subject
     all transactions from interfacing
     systems to its system edits,
     validations, and error correction
     procedures? M (p. 36)

267. Does the benefit system
     maintain and track erroneous
     transactions until corrected,
     posted, or deleted by an
     authorized user? M (p. 36)

268. When a major benefit system
     function is performed by the
     core system, does the benefit
     system provide the capability to
     automatically update detailed
     claimant-related information
     that is maintained in the core
     system?63 M (p. 36)

269. Does the benefit system provide
     the capability to interface with
     the agency’s cost accounting
     system? M (p. 36)


63
 For example, could the benefit system automatically update detailed claimant information, such as individual payable and
receivable records, if they were maintained in the core accounting system?



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 Functional Requirements                Yes, No
             Interfaces                   or
                                         N/A                  Explanation
          Internal Interfaces

270. Does the benefit system provide
     a two-way interface with the
     core system for purposes of
     funds control and funds
     availability verification? V (p.
     36)




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     Functional Requirements                            Yes, No
                    Interfaces                            or
                                                         N/A                        Explanation
               External Interfaces

271. Does the benefit system provide
     capabilities allowing interface with
                                       64
     central agency financial systems,
     such as the capability to

          a.   receive and read the deposit
               reconciliation file from
               Treasury and produce a report
               of the matched data and
               differences,

          b. produce a file of all hold check
             transactions as they are created
             and periodically transmit the
             hold check file to Treasury,

          c.   produce and transfer a file of
               changes to EFT payments
               previously forwarded to
               Treasury for release,

          d. produce and transfer a file of
             changes to be made to the
             home address file in Treasury,

          e.   receive and process the data on
               the returned check file sent by
               Treasury’s recertification
               system, including generating
               returned check transactions
               and updating account data, and

          f.   receive and automatically
               process an ACH update file
               (containing changes to EFT
               information) from Treasury or
               other sources on a recurring
               basis? M (p. 37)




64
     These systems include those at the Department of the Treasury’s FMS and IRS, OMB, and OPM.



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                                         Yes, No
 Functional Requirements                   or
              Interfaces                                       Explanation
                                          N/A
          External Interfaces

272. Does the benefit system receive
     information from SSA records to
     verify an applicant’s name, SSN,
     and income information, when
     legally permitted? V (p. 37)

273. Does the benefit system provide
     features to verify an applicant’s
     income against civil service
     annuity, military retirement, and
     IRS earnings records, when
     legally permitted? V (p. 37)




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                                          Yes, No
 Functional Requirements                    or
     Quality Assurance and                                     Explanation
         Maintenance                       N/A


274. Does the benefit system provide
     capabilities to select benefit
     claims based on agency program
     evaluation criteria, such as
     dollar thresholds and duration of
     benefit payment, for subsequent
     review? M (p. 37)

275. Does the benefit system provide
     the ability to monitor and update
     a claimant’s master records to
     reflect changes in circumstances
     affecting a claimant’s eligibility
     or the amount of the payment?
     M (p. 37)




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                                          Yes, No
 Functional Requirements                    or
    Quality Assurance and                                       Explanation
        Maintenance                        N/A


276. Does the benefit system provide
     capabilities to capture claimant
     (or relative) reported matters
     such as the following changes?

     a. Death.

     b. Change in amount of earned
        or unearned income.

     c. Change in residence.

     d. Marriage, divorce, or
        separation.

     e. Absence from the United
        States.

     f.   Change in disability
          condition.

     g. Eligibility for other benefits.

     h. Change in net worth or
        resources of the claimant.

     i.   Change in school
          attendance.

     j.   Change in composition of
          household.

     k. Change in citizenship or
        alien status. M (pp. 37 & 38)




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                                                       Yes, No
     Functional Requirements                             or
       Quality Assurance and                                                         Explanation
           Maintenance                                    N/A


277. Does the benefit system provide
     for recording and maintaining a
     customer service
     representative’s notes or
     comments that can be linked to
     the claimant’s master record? M
     (p. 38)

278. Does the benefit system provide
     features to record death
     information provided from
     voluntary sources?65 M (p. 38)

279. Does the benefit system provide
     capabilities to record the
     method66 used to independently
     verify the death of a claimant
     before terminating benefits? M
     (p. 38)

280. Does the benefit system provide
     the ability to maintain a
     schedule of continuing disability
     reviews at the individual claim
     level, if applicable? M (p. 38)

281. Does the benefit system also
     provide the ability to maintain
     the status of a schedule of
     continuing disability reviews
     within the claimant’s master
     record? M (p. 38)




65
 Voluntary sources include, for example, returned checks, funeral home notification, and next of kin.
66
 Methods for verifying death of a claimant include, for example, phone contact, signature verification, or personal contact
with next of kin.



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                                                           Yes, No
     Functional Requirements                                 or
          Quality Assurance and                                                         Explanation
              Maintenance                                    N/A


282. Does the benefit system provide
     capabilities to track the status of
     appeal proceedings when a
     change is made affecting a
     current claimant’s level of
     benefits? M (p. 38)

283. Does the benefit system provide
     features to record termination of
     benefit payments, including the
     following notations:

          a. event or reason for
             termination, such as death or
             increase in income, and

          b. date of event (and thus
             effective date of benefit
             cessation)? M (p. 38)

284. Does the benefit system provide
     features to determine if benefits
     are commensurate with a
     claimant’s gender? V (p. 38)

285. Does the benefit system have
     the ability to select benefit
     payment calculations based on
     statistical sampling techniques
     for the purpose of verifying
     calculations? V (p. 38)

286. Does the benefit system provide
     the ability to generate a random
     sample of claimants to
     periodically survey their
     satisfaction with the agency’s
     benefit claims process?67 V (p.
     38)

67
     Surveys would cover the claimant’s experience from initial contact with the agency to receipt of benefit payment.



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                                       Yes, No
 Functional Requirements                 or
    Quality Assurance and                                     Explanation
        Maintenance                      N/A


287. Does the benefit system allow
     users to suspend payment to
     claimants when fraud is
     suspected, or when a death has
     been reported but not yet
     verified by an authoritative
     source (e.g., SSA)? V (p. 38)

288. Does the benefit system allow
     users to cancel a previously
     recorded suspected death of a
     claimant and place the claimant
     back in a payment status, if
     appropriate? V (p. 38)




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                                                     Yes, No
     Functional Requirements                           or
        Technical Functions                           N/A                         Explanation
                   General
289. Does the benefit system provide
     for system back up and recovery
     in accordance with relevant
     OMB circulars? M (p. 38)

290. Does the benefit system adhere
     to the applicable final Electronic
     and Information Technology
     Accessibility Standards68 issued
     by the Architectural and
     Transportation Barriers
     Compliance Board? M (pp. 38 &
     39)

291. Does the benefit system allow
     users to input parameters
     required to run batch jobs in a
     production mode either daily,
     monthly, quarterly, or yearly? M
     (p. 39)

292. Does the benefit system provide
     all users the capability to
     perform a “print screen”
     function? M (p. 39)




68
 These standards address technical and functional performance criteria necessary for such technology to comply with
section 508 of the Rehabilitation Act of 1973, as amended.



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 Functional Requirements                  Yes, No
      Technical Functions                   or
                                           N/A                  Explanation
  Security and Internal Controls

293. Does the benefit system provide
     flexible security facilities to
     control user access at varying
     degrees, including the following:

     a. overall system access,

     b. capability to perform
        specific functions, such as
        inquiries and updates, and

     c. access to certain
        functionalities? M (p. 39)

294. Does the benefit system provide
     capability to define access to
     specific functions by named
     user, class of user, and position?
     M (p. 39)

295. Does the benefit system provide
     for multiple levels of approvals
     based on user-defined criteria,
     including dollar limits and type
     of document processed? M (p.
     39)

296. Does the benefit system provide
     the capability to perform
     reconciliation routines for
     internal participant accounts,
     ledgers, and funds? M (p. 39)

297. Does the benefit system have
     the capability to identify
     unsuccessful reconciliations via
     an error log or error report? M
     (p. 39)




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 Functional Requirements                Yes, No
      Technical Functions                 or
                                         N/A                   Explanation
  Security and Internal Controls

298. Does the benefit system
     establish appropriate
     administrative, technical, and
     physical safeguards to ensure
     the security and confidentiality
     of records? M (p. 39)

299. Do these safeguards protect the
     records against anticipated
     threats or hazards to their
     security or integrity that could
     result in substantial harm,
     embarrassment, inconvenience,
     or unfairness to any individual
     on whom information is
     maintained? M (p. 39)

300. Does the benefit system provide
     a mechanism to monitor
     changes in software coding and
     the responsible individual
     (authorized user)? M (p. 39)




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     Functional Requirements                Yes, No
            Technical Functions               or
                                             N/A                   Explanation
             Access to Information

301. Does the benefit system comply
     with the disclosure provisions of
     the Privacy Act of 1974,69 as
     amended? M (p. 39)

302. Does the benefit system allow
     for the information contained in
     the system to be queried and
     detailed data to be presented, as
     requested? M (p. 39)

303. Does the benefit system’s query
     capability allow for user-defined
     criteria when accessing data for
     open or closed accounting
     periods? M (p. 39)

304. Does the benefit system provide
     users with access to online
     guidance or help for performing
     system functions? M (p. 39)

305. If a claimant’s or claim holder’s
     record is not located via query,
     does the benefit system display
     a message indicating that the
     transaction cannot be completed
     and that further research is
     required? M (p. 39)




69
     5 U.S.C. § 552A (2000).



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 Functional Requirements                 Yes, No
      Technical Functions                  or
                                          N/A                   Explanation
       Access to Information

306. Does the benefit system present
     information resulting from
     system queries in an
     understandable format for
     nontechnical users? M (p. 39)

307. Does the benefit system also
     present information resulting
     from system queries in an
     unformatted fashion for more
     technically proficient users? M
     (p. 39)

308. Does the benefit system provide
     the capability to access
     historical data records that are
     removed from online viewing,
     including items such as the
     following?

      a. Individual benefit payments.

      b. Receivables.

      c. Collection data. M (p. 39)

309. Does the benefit system allow
     users to design extract files for
     their specific requirements? M
     (p. 40)

310. Does the benefit system allow
     users to perform table look-ups
     and expansion of codes when
     needed to clarify the information
     contained within the results of
     system queries or reports? M
     (p. 40)




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 Functional Requirements                   Yes, No
      Technical Functions                    or
                                            N/A                 Explanation
       Access to Information

311. Does the benefit system provide
     features (i.e., matching
     programs) to facilitate
     verification using information
     extracted from the system for
     comparison against benefit
     programs administered by other
     agencies, when legally
     permitted? M (p. 40)

312. Does the benefit system
     facilitate the analysis of
     information contained in the
     system by allowing analysts to
     obtain report information and
     the results of system queries in
     data files that can be transferred
     to other applications or
     analytical tools? M (p. 40)

313. Does the benefit system provide
     for easy access to historical files
     for comparative, analytical, and
     trend information? M (p. 40)




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 Functional Requirements                      Yes, No
          Technical Functions                   or
                                               N/A                  Explanation
          Access to Information
314. Does the benefit system provide for
     self-service, claimant-initiated
     requests that can perform the
     following functions?

     a.    Enable the claimants to request
           the reissuance of misplaced
           payments using a Web browser.

     b.    Enable the claimants to access
           decision tree functions to help
           guide them through self-service
           transactions through a Web
           browser.

     c.    Have pop-up windows to help
           annuitants when making
           changes to files through a Web
           browser.

     d.    Enable claimant to complete
           forms using a Web browser.

     e.    Have the ability to verify the
           claimant security information
           through a Web browser.

     f.    Provide access to claimant
           retirement-related data through
           interactive voice response
           (IVR).

     g.    Make IVR available for claimant
           inquiries 24 hours a day, 7 days
           a week, with the exception of
           scheduled outages.

     h. Allow claimants to initiate
        changes to their accounts
        through IVR.

     i.    Have the ability to support
           multiple languages (e.g.,
           English and Spanish). V (p. 40)




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 Functional Requirements                  Yes, No
      Technical Functions                   or
                                           N/A                  Explanation
             Data Entry

315. Does the benefit system utilize
     various automated input devices
     when hard copy applications
     and correspondence are
     received, such as, for example,
     the utilization, whenever
     feasible, of optical recognition
     devices, digital imaging tools, or
     other input streamlining
     technology when processing
     standard hard copy applications
     or other required
     correspondence? M (p. 40)

316. Does the benefit system support
     both batch and real-time online
     data entry, and does it use the
     same edit and update rules, as
     appropriate, for each mode? M
     (p. 40)

317. Does the benefit system support
     simultaneous data entry or
     access by multiple users in a
     variety of access modes? M (p.
     40)

318. Do the benefit system user entry
     and query screens support
     validation of entered codes? M
     (p. 40)

319. Does the benefit system assist
     users in determining correct
     codes if an invalid code is
     entered? M (p. 40)

320. Does the benefit system provide
     for inquiry by the user to verify
     valid codes during the data entry
     process? M (p. 40)




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 Functional Requirements                  Yes, No
      Technical Functions                   or
                                           N/A                  Explanation
             Data Entry

321. Does the benefit system provide
     the capability to display inputs
     required to complete
     transactions by a user based on
     the selection of transaction
     type? M (p. 40)

322. Whenever possible, does the
     benefit system utilize keystroke-
     reducing tools such as drop-
     down menus to reduce the
     chance of data entry error? M
     (p. 40)

323. Does the benefit system display
     a message to the user notifying
     him or her of the acceptance or
     rejection of each transaction
     once all inputs are completed?
     M (p. 41)

324. Does the benefit system identify
     erroneous inputs with corrective
     recommendations? V (p. 41)

325. Does the benefit system provide
     the capability for financial users
     to create comments relating to
     all types of transactions using
     free-form text? V (p. 41)




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 Functional Requirements                  Yes, No
      Technical Functions                   or
                                           N/A                 Explanation
       Archiving and Purging

326. Does the benefit system provide
     an automated means for
     permanently storing electronic
     data? M (p. 41)

327. Does the benefit system archive
     transactions and related
     information needed for audit
     trails in a format accessible by
     audit software? M (p. 41)

328. Does the benefit system provide
     the authorized system
     administrator with the flexibility
     to determine whether records
     are to be archived or purged? M
     (p. 41)

329. Does the benefit system allow
     selective action on the
     documents that meet the criteria
     for being archived or purged? M
     (p. 41)

330. Does the benefit system include
     the capability to establish and
     maintain user- defined archival
     criteria? M (p. 41)

331. Does the benefit system retain
     its records in accordance with
     federal regulations established
     by the National Archives and
     Records Administration, GAO,
     and others? M (p. 41)




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 Functional Requirements                 Yes, No
      Technical Functions                  or
                                          N/A                  Explanation
      Archiving and Purging

332. Does the benefit system prevent
     the purging of transactions prior
     to the proper period in
     accordance with regulations
     governing the retention of
     documents and transactions? M
     (p. 41)




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           Information Stores                             Yes, No
         Application Information                            or
                  Stores                                   N/A                          Explanation
          Universal Data Elements

333. Does the benefit system capture
     the name and address of the
     claim holder?70 M (p. 42)

334. Does the benefit system capture
     the SSN of the claim holder? M
     (p. 42)

335. Does the benefit system capture
     the birth date of the claim
     holder? M (p. 42)

336. Does the benefit system capture
     the date of the initial claim? M
     (p. 42)

337. Does the benefit system capture
     claimant information, if other
     than the claim holder, including
     the following information:

          a. name, address, SSN, and
             birth date and

          b. claimant’s relationship to
             claim holder?71 M (p. 42)

338. Does the benefit system capture
     the name and relationship of a
     representative payee, including
     estate executors or legal
     guardians, when applicable? M
     (p. 42)

339. Does the benefit system capture
     the specific benefit for which
     the claim is made? M (p. 42)


70
     The claim holder is the person on whose record the benefit is earned or due.
71
     For example, a claimant may be a spouse, child, or dependent parent of a claim holder.



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           Information Stores                               Yes, No
         Application Information                              or
                  Stores                                     N/A                         Explanation
           Universal Data Elements

340. Does the benefit system capture
     the claimant address? M (p. 42)

341. Does the benefit system capture
     bank information for direct
     deposit, including, if applicable,
     the American Bankers
     Association routing number,
     claimant bank account number,
     and account type? M (p. 42)

342. Does the benefit system capture
     the type of evidence or proof
     required and submitted, when
     applicable? M (p. 42)

343. Does the benefit system capture
     the status of the claim (e.g.,
     approved, pending, or denied)?
     M (p. 42)

344. Do benefit systems relating to
     taxable programs capture
     information needed to
     determine the withholding
     amount, such as the following:

           a. withholding status,72

           b. tax number of withholding
              allowances,

           c. backup withholding, and

           d. additional voluntary amount
              of tax withholding? M (p.
              42)



72
     This does not necessarily mean marital status (e.g., married, single, or exempt).



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           Information Stores                                  Yes, No
         Application Information                                 or
                  Stores                                        N/A                   Explanation
           Universal Data Elements

345. If a benefit system is used in
     administering “means tested
     programs,” does it capture the
     following information?

           a. Claimant wages, salaries,
              and other income that are
              considered in determining
              eligibility and/or benefit
              amounts.

           b. Types and amounts of assets
              owned by the claimant,
              which are considered in
              determining eligibility and/or
              benefit amounts. M (p. 43)

346. Does the benefit system capture
     the gender of a claimant?73 V (p.
     43)




73
     This facilitates verifying a claimant’s identity.



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       Information Stores
     Application Information                            Yes, No
              Stores                                      or
                                                         N/A                          Explanation
       Federally Administered
     Retirement Benefit Systems

347. Does the benefit system capture
     the effective date of retirement?
     M (p. 43)

348. Does the benefit system capture
     the claim holder or claimant
     dependency information?74 M
     (p. 43)

349. Does the benefit system capture
     the dates of creditable
     employment75 of the claim
     holder? M (p. 43)

350. Does the benefit system capture
     historical earnings data76 of the
     claim holder required for
     determining eligibility or the
     amount of benefits? M (p. 43)

351. Does the benefit system capture
     total participant and employer
     contributions to the retirement
     plan made on behalf of the
     participant? M (p. 43)

352. Does the benefit system capture
     current balance of vested
     employee and employer
     contributions? V (p. 44)

353. Does the benefit system capture
     other names, such as a maiden
     name, the claim holder has
     used? V (p. 44)



74
   For example, does the system capture whether the claim holder is the child or parent of the claimant and vice versa?
75
   This also includes military service when used in determining eligibility and the amount of benefits.
76
   For example, does the system capture previous annual wages and salary?



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     Information Stores
   Application Information             Yes, No
            Stores                       or
                                        N/A                  Explanation
     Federally Administered
   Retirement Benefit Systems

354. Does the benefit system capture
     the phone number of the
     claimant? V (p. 44)

355. Does the benefit system capture
     any other unique identifying
     number? V (p. 44)




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       Information Stores
     Application Information                            Yes, No
              Stores                                      or
                                                         N/A                          Explanation
 Federal Employment Retirement
         Benefit Systems

356. Does the benefit system capture
     the date of final separation? M
     (p. 44)

357. Does the benefit system capture
     lump sum77 distributions versus
     annuity distributions? M (p. 44)

358. Does the benefit system capture
     annuity selection?78 M (p. 44)

359. Does the benefit system capture
     present marital status? M (p.
     44)

360. Does the benefit system capture
     spouse’s name, date of birth,
     SSN, and date of marriage, when
     applicable? M (p. 44)

361. Does the benefit system capture
     the name, date of birth, SSN, and
     dates of marriage and divorce of
     former spouses who have court-
     ordered annuities? M (p. 44)

362. Does the benefit system capture
     the percentage or dollar amount
     of a court- ordered former
     spouse annuity? M (p. 44)

363. Does the benefit system capture
     the highest pay scale, (grade)
     level, or amount of highest
     salary and related dates? M (p.
     44)


77
 Lump sum refers to refund of contributions.
78
 For example, does the system capture whether the annuity selection is for self-only, self and reduced survivor, or self and
maximum survivor?



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     Information Stores
   Application Information             Yes, No
            Stores                       or
                                        N/A                  Explanation
Federal Employment Retirement
        Benefit Systems

364. Does the benefit system capture
     the voluntary separation
     monetary incentive? M (p. 44)




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     Information Stores                     Yes, No
    Application Information                   or
             Stores                          N/A                 Explanation
           Disability Benefits

365. Does the benefit system capture
     the type of disability or disability
     code? M (p. 44)

366. Does the benefit system capture
     the date of disability onset or
     injury? M (p. 44)

367. Does the benefit system capture
     the degree of impairment or
     diagnosis? M (p. 44)

368. Does the benefit system capture
     the name of examining
     physician? M (p. 44)

369. Does the benefit system capture
     where the claimant’s injury
     occurred? M (p. 44)

370. Does the benefit system capture
     whether the disability was
     caused by employment or was
     related to military service? V (p.
     45)

371. Does the benefit system capture
     the student status of the
     claimant or dependent(s) (e.g.,
     full-time)? V (p. 45)




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           Information Stores                       Yes, No
         Application Information                      or
                  Stores                             N/A                   Explanation
                  Death Benefits

372. Does the benefit system capture
     claimant’s relation to claim
     holder? M (p. 45)

373. Does the benefit system capture
     the dates of creditable
     employment of the claim holder,
     including military service, when
     used in determining eligibility
     and the amount of benefits? M
     (p. 45)

374. Does the benefit system capture
     claimant dependency
     information when it affects the
     benefit amount? M (p. 45)

375. Does the benefit system capture
     the date married, when
     applicable? M (p. 45)

376. Does the benefit system capture
     the date divorced, when
     applicable? M (p. 45)

377. Does the benefit system capture
     the date of claim holder death?
     M (p. 45)

378. Does the benefit system capture
     the claimant’s or claim holder’s
     dependent(s) student status?79
     V (p. 45)




79
     For example, is the student full-time?



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       Information Stores                              Yes, No
     Application Information                             or
              Stores                                    N/A                          Explanation
            Survivor Benefits

379. Does the benefit system capture
     the claimant’s relation to the
     claim holder? M (p. 45)

380. Does the benefit system capture
     the dates of creditable
     employment of the claim
     holder,80 including military
     service when used in
     determining eligibility and the
     amount of benefits? M (p. 45)

381. Does the benefit system capture
     claim holder or claimant
     dependency information?81 M
     (p. 45)

382. Does the benefit system capture
     the date [the claim holder was]
     married, when applicable?82 M
     (p. 45)

383. Does the benefit system capture
     the date [the claim holder was]
     divorced, when applicable?83 M
     (p. 45)

384. Does the benefit system capture
     the date of claim holder death?
     M (p. 45)

385. Does the benefit system capture
     the student status?84 M (p. 45)


80
   For example, does the system capture military service when used in determining eligibility and the amount of benefits?
81
   For example, does the system capture whether the claim holder has dependent children or parents?
82
   That is, the claimant is a former spouse.
83
   That is, the claimant is a former spouse.
84
   For example, is the claimant a full-time student?



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           Information Stores                          Yes, No
         Application Information                         or
                  Stores                                N/A                   Explanation
                  Other Benefits

386. Does the benefit system capture
     universal data elements85 only?
     M (p. 46)

387. Does the benefit system capture
     the student status86 of the
     claimant or dependent(s)? V (p.
     46)




85
     These are covered in questions 333 through 346.
86
     For example, is the student full-time?



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           Information Stores                             Yes, No
         Claimant Master Record                             or
                                                           N/A                          Explanation
            Information Store

388. Does the benefit system
     maintain all applicable
     mandatory data elements87
     specified within the application
     information data stores? M (p.
     46)

389. Does the benefit system
     maintain general information,
     such as the following:

          a. case status,

          b. benefit type, and

          c. chronology of key dates? M
             (p. 46)

390. Does the benefit system
     maintain, as appropriate, award
     data, such as the following:

          a. total award,

          b. monthly gross payment, and

          c. net monthly payment? M (p.
             46)

391. Does the benefit system
     maintain payment history, such
     as the following:

          a. prior disbursements,

          b. collections, including
             principal and interest, and

          c. accruals? M (p. 46)



87
     That is, does the system maintain universal data elements and appropriate categorical information?



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       Information Stores                            Yes, No
     Claimant Master Record                            or
                                                      N/A                         Explanation
        Information Store

392. Does the benefit system
     maintain special collection
     activity, such as the following:

      a. delinquent debt collection
         activity and

      b. status? M (p. 46)

393. Does the benefit system
     maintain general data, such as
     demographic data other than
     those specified in the
     application information stores?88
     V (p. 46)




88
 That is, does the system maintain information that has been historically used by the agency in preparing actuarial
estimates for purposes such as forecasting and complying with financial statement reporting requirements and SFFAS 5
and 17?



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                                                            Yes, No
           Information Stores                                 or
     Financial Information Store                             N/A                Explanation

394. Does the benefit system
     maintain the present interest
     rate per the Department of the
     Treasury? M (p. 46)

395. Does the benefit system
     maintain the daily exchange rate
     for relevant89 currencies? V (p.
     47)




89
     That is, the currencies are specified by the agency.




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(195019)




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