SOO_Attachment_G_FS_WC_OSOH_VendorDemoScenarios-27Jul13-POSTED.docx

Vendor Demonstration Scenarios Attachment G Forest Service (FS)

Office of Safety and Occupational Health (OSOH)/ Workers’ Compensation (WC) Integrated Case Management and Incident Reporting and Recording Solution

January 30, 2013 Albuquerque Service Center solicitation: ag-7604-s-13-0033

Revision History Authors:

OSOH/WC Workstream

Approval History

Albuquerque Service Center-Human Capital Management solicitation: ag-7604-s-13-0033

Table of Contents

Document Purpose Evaluation demonstrations are used to present the integrated WC/OSOH solution functionality that the FS requests to be demonstrated by the Offeror(s) during the vendor demonstration process. This document will serve as a guide for the Offeror(s) to demonstrate how their system accomplishes specific functional and technical requirements relating to the WC/OSOH processes to assess the ability to meet the United States Department of Agriculture (USDA) overall project goals and objectives. The functional scenarios will also serve as an easy-to-follow and standardized script for USDA in order to evaluate the vendor on the business process functionality of the system. The technical assessment will serve as a means to understand the technical capability of the system when performing the functional business processes. Please note that these scenarios do not fully represent the needs of the WC/OSOH tool and are simply for demonstration purposes.

Project Background In July 2010, President Obama established a four-year “Protecting Our Workers and Ensuring Reemployment” (POWER) Initiative, covering fiscal years 2011 through 2014. The POWER Initiative will extend prior workplace safety and health efforts of the Federal Government by setting more aggressive performance targets, encouraging the collection and analysis of data on the causes and consequences of frequent or severe injury and illness and prioritizing safety and health management programs that have proven effective in the past. Under the POWER Initiative, the USDA is expected to improve its performance in eight areas:

Reducing total injury and illness case rates Reducing lost time injury and illness case rates Analyzing lost time injury and illness data Increasing the timely filing of WC claims Increasing the timely filing of wage-loss claims Reducing lost production day rates Speeding employees' return to work in cases of serious injury or illness Measuring compliance with regulatory requirements to establish a method for electronic submission of Forms Compensation Act (CA)-1, CA-2 and CA-7.

Since 2004, the FS has utilized the IHS Global, Inc., Safety and Health Information Portal System (SHIPS) to report and record injury and illness data. SHIPS is a Web-based injury, illness and accident reporting and analyis system which provides the capability for an Employee to report and record incidents. However, USDA WC Case Managers and Safety Managers do not have an integrated case management system that provides a reporting and recording solution to record and track incidents and monitor the status of claims and claimants. The current process is a labor intensive, manually driven process that lacks all-encompassing case management capabilities and timely submission of information. The POWER initiative aims to improve total injury and illness case rates and the timely filing of WC claims and claims management data by requiring all Departments and Agencies to comply with Electronic Data Interchange (EDI). EDI will allow Departments and Agencies to electronically submit WC claims and claim management data to the Department of Labor (DOL).

In 2009, USDA spent over $73M in medical and compensation payments for employees that were injured or made ill at work. There were over 13,000 incidents and almost 11,000 active WC claims reported, with 5,800 of those as new cases in 2009.

USDA is embarking on a process to procure an integrated WC/OSOH solution and achieve improved performance as detailed in the POWER Initiative guidelines.

Objectives and Goals USDA’s WC/OSOH Enterprise Solution Project shall deliver a common WC footprint, to be utilized by all USDA entities: Department, Mission Areas, Offices and Agencies (henceforth referred to as “Agencies”). The business requirements will: (1) govern USDA WC/OSOH operational standards and processes, (2) ensure compliance with current Service Level Agreements (SLAs) and (3) dictate the best Information Technology (IT) solution.[footnoteRef:1] [1: “ONE USDA” Human Resources (HR) Enterprise Solution Project Charter, October 6, 2009]

The vendor’s solution shall support the areas of the WC/OSOH requirements, while utilizing a system that is integrated to meet the needs of the USDA, its employees and their customers across its geographically dispersed workforce. The integrated system shall provide for an end-to-end WC/OSOH solution for these areas. The vendor’s solution shall provide comprehensive services within WC/OSOH, with minimum customization, for the support and/or replacement of the WC/OSOH processes currently used by the USDA. The system must meet all mandatory requirements (or have equivalent/superior, cost-effective alternatives) in place, as defined in the integrated WC/OSOH Requirements Document, and conform to the identified WC/OSOH Business Processes. The vendor must provide a solution for essential integration in WC/OSOH. Since the approximately 100,000 employee workforce is located throughout the nation, duty locations, and serviced by WC/OSOH (both in Washington, D.C., and regional cities), it is imperative that these systems be integrated and provide real-time processing and real-time availability of Departmental data. As much as possible, new systems should be fully integrated (reduction or elimination of batch updates), to allow for online updates to avoid unnecessary re-work due to synchronization errors.

The vendor shall implement the proposed services and solution; conduct necessary data migration; provide ongoing program management support and operations maintenance; provide end-user training support and provide required help desk support to Agency users.

Scope of Work WC/OSOH Functional Requirements The desired solution will deploy a Department-wide case management, reporting and recording solution to streamline the collection and management of safety and health incidents, as well as WC data. The integrated solution will be comprised of an incident management system which manages work-related injuries and illnesses, potential safety hazards, fleet and aviation incidents and a WC system designed to automate the tracking and reporting process of WC claims.

When an Employee has been injured or made ill at work, a claim is filed to DOL OWCP. This claim is completed by the Employee and his/her Supervisor/Case Manager. The means of which this claim is submitted and tracked by USDA is handled differently across the USDA Agencies. Some have small systems or tools to assist with this process; some use manual processes and other Agencies have contracted the work out. The Employee’s direct compensation is handled by OWCP, once the claim is received. OWCP and the USDA Supervisor/Case Manager will work together on returning that injured worker to suitable employment, if possible. OWCP will then send chargeback reports to the Safety and Health Management Division (SHMD) of USDA. Chargeback reports are the list of ongoing WC claims that OWCP has paid out, being billed back to USDA. The SHMD’s responsibility is to then take these chargeback reports, separate them by Agency and tie them back to the original injury incident and disseminate it back to the Agencies. Currently, there is no system that allows this process to be done in an efficient manner.

Agencies are receiving limited or no data about their existing WC cases and many are still filing injury and illness incidents manually. The Department and Agencies have very limited reporting capabilities for injuries/illnesses and compensation cases. Most of the Agencies have not received detailed reports on the number and amount of WC cases they have on file. With limited to no case data, the Agencies are having difficulty returning employees back to work and lowering the overall cost spent on WC. Additionally, the DOL will only approve one portal for electronic data transmission; therefore, each Agency cannot develop its own system.

The vendor solution would address the previously documented needs. This system would be used for reporting, tracking, invoicing and recordkeeping from the point of incident to the closure of any claim associated with the incident.

Functional Scenarios The functional scenarios are organized in accordance with the business requirements and processes. The scenarios are categorized into the following sections:

Dashboard View Incident Management Case Management Alerts and Notifications Reporting Forms and Templates Miscellaneous Activities Dashboard View The dashboard view is a summarized user view to manage and view information pertaining to the user’s individual incidents or WC cases. The dashboard will enable Users to view information on all levels of their organizational structure by clicking on the appropriate link on their dashboard.

1.1.1 Dashboard View

Scenarios

Demonstrate how a User would access the dashboard

Demonstrate how a Manager would view his/her staff workload

Demonstrate how a Manager would view the cases/incidents assigned to the staff in a summary view

Demonstrate how a User would view his/her worklist

Demonstrate how a User would sort the worklist

Demonstrate how a User would search (name, Social Security Number (SSN), with partially identified information (*), etc.)

Demonstrate how a User would be notified when new documentation has been submitted for a case/incident

Demonstrate how a User would reassign a case(s)/incident(s) (i.e., a User would assign individual or multiple cases from his/her worklist to one or more other users)

Demonstrate how a User would delegate authority

Incident Management Demonstrate how the system would support the procedures used by Employees and Safety Managers to initiate, report, record and manage injury, illness, near miss/Safety Story incidents/events, Motor Vehicle Accidents (MVA), fleet and aviation incidents.

1.1.2 Incident Management

Scenario

Demonstrate how a User would initiate an injury, illness or Safety Story incident/event.

Demonstrate how a User would access and update a previously existing incident.

Demonstrate incident management activities, including:

Status changes Editing/updating information Submitting information

Demonstrate how changes and Users who made edits to incidents are tracked in the system (i.e., audit trail).

Demonstrate how a User would enter/view/print and search within incident notes.

Demonstrate how a User would track incidents.

Demonstrate how a User would archive an incident once completed.

Demonstrate how a User would access, view and re-open archived incidents, including searching, reporting and sorting.

Demonstrate how a User would initiate, track, and close Motor Vehicle Accidents (MVA).

Demonstrate how a User would initiate, track, and close Aviation Incidents.

Explain how incident numbers would be generated.

Case Management Demonstrate how the system would support the procedures used by USDA WC Case Managers to initiate, process and manage injured worker claims and claims for compensation.

1.1.3 Case Management

Scenario

Demonstrate how a User would initiate a case.

Demonstrate how a User would access and update a previously existing case.

Demonstrate case management activities, including:

Status changes Editing/updating information Submitting information Flagging special interest cases and identifying their types Escalating cases Alerts Error messages

Demonstrate how changes and Users who made edits to a case would be tracked in the system (i.e., audit trail).

Demonstrate how a User would enter/view/print and search within case notes.

Demonstrate how a User would track a case.

Demonstrate how a User would archive a case once completed.

Demonstrate how a User would access, view and re-open archived cases, including searching, reporting and sorting.

Demonstrate how a User would associate an incident number to a case number.

Explain how case numbers would be generated.

Demonstrate how a Case Owner would be notified when changes have been made by another User (i.e., National Finance Center (NFC), DOL, another Case Manager).

Demonstrate how a User would access a case if he/she is not the Owner.

Demonstrate how a CA-1 would be included within a pre-existing case where a Customer Relations Manager (CRM) or Compensation Act (CA)-16 was previously submitted.

Demonstrate how a User would link new information with precautionary notifications of exposure/injury (e.g., CA-1s).

Demonstrate how a User would validate employment status (e.g., Permanent, Temporary, Administratively Determined, Seasonal, Voluntary, Student Temporary Employment Program (STEP), Student Career Experience Program (SCEP)).

Demonstrate how a non-User would access the system (e.g., to report new incident or review release documentation).

Alerts/Notifications Demonstrate how the system would support alerts/notifications. Alerts/Notifications received via email, hardcopy and/or dashboard, inform Users of required actions, requests, approvals required or information within their workflow. The User has the ability to send and customize alerts/notifications to applicable parties when necessary.

1.1.4 Alerts/Notifications

Scenario

Demonstrate how a User selects an alert/notification date and the information contained within.

Demonstrate how a User would be notified when specific actions are required (e.g., incident approval required, 52 must be generated based on case information that has been entered, etc.).

Demonstrate how a User would be notified when new incidents/cases are created in the system.

Demonstrate how a User would be notified when multiple cases with the same identification number exist.

Demonstrate how a User would receive notifications and alerts.

Demonstrate how a User would receive an error message.

Demonstrate what would happen when an invalid case number has been entered.

Demonstrate how a User would be notified when multiple Users have accessed a case.

Reporting Demonstrate how the system would support reporting capabilities. Reports are mechanisms that capture data elements from the WC/OSOH solution in a specific format. There are two different types of reports: standard reports and ad-hoc reports.

1.1.5 Reporting

Scenario

Demonstrate the types of reports (e.g., dashboards and scorecards) that would be generated and the methods used to distribute them.

Demonstrate what actions could be performed within a report.

Demonstrate how a User would add a comment to a report.

Demonstrate how a User would email a report.

Demonstrate how a User would identify sources of information for reports.

Demonstrate how a User would edit/update a predefined report.

Demonstrate ad-hoc reporting capabilities, including how a User would create, view, save and share.

Demonstrate how a User would create an ad-hoc report by using multiple data sources within the same report.

Discuss the formats that would be available for exporting and saving a report.

Demonstrate what information would be tracked when generating a report.

Demonstrate how a User would report results and comments from user satisfaction surveys.

Forms and Templates Demonstrate how the system would support forms and templates. Forms and templates are standardized data capture documents, which can be recognized across USDA, and are used to provide consistent data elements.

1.1.6 Forms and Templates

Scenario

Demonstrate how forms, templates, etc., would be generated (e.g., SF-91, AD-112, CA-16, OSHA 300A, FS-specific, etc.) accessed, viewed and saved.

Demonstrate how information entered by the user would trigger automatic generation of appropriate forms.

Demonstrate how a User would edit previously submitted information within a form.

Demonstrate/explain how pre-cautionary forms would be received, maintained and accessed (e.g., identified, activated, transmitted, stored).

Demonstrate how a User would return/reject incomplete documentation when received.

Investigative Services Demonstrate how the system would support Investigative Services. Investigative Services are the processes used to track and report findings and/or the validity of incidents, MVA, near miss/safety stories and WC Claims.

1.1.7 Investigative Services

Scenario

Demonstrate how a User would associate an investigation report and/or evidence (e.g., audio, video, jpeg) to an incident/case.

Demonstrate how a User would generate an investigation chronology/timeline.

Demonstrate how a User would be notified when investigative findings require additional action.

Demonstrate how a User would generate an investigation final report.

Demonstrate how an individual would anonymously report questionable behavior associated with a claim.

Miscellaneous Activities The scenarios below are designed to gauge additional out-of-the-box functional capabilities of integrated WC/OSOH solution.

1.1.8 Miscellaneous Activities

Scenario

Demonstrate how a user would complete a user satisfaction survey.

Demonstrate the help functionality in the system.

Demonstrate how to export, upload, view, archive, fax and email various documents from the system (e.g., SF-91, AD-112, CA-7, CA-16, etc.).

Demonstrate how a User would upload supporting documentation and attachments (e.g., medical documentation).

Demonstrate how a User would overwrite information received from an external source (e.g., DOL, NFC, etc.).

Demonstrate how data would be pre-populated when accessing Employee information.

Demonstrate how multiple identification numbers would be tracked and logged.

Demonstrate how the system would link all aspects of a related incident (e.g., MVA, associated injuries, property damage, related investigations and follow-up, etc.).

Demonstrate how a User would access the solution via tablet, including iOS (i.e., Apple), Android and Windows Platform.

Demonstrate how a User would access the solution via smartphone, including iOS (i.e., Apple), Android and Windows Platform.

Technical Considerations and Questions The questions below are designed to gauge the out-of-the-box technical capabilities of the integrated WC/OSOH solution. The technical objective is to implement a WC/OSOH solution that can be integrated into the USDA framework.

Integration Scenario

Explain the solution's bi-directional EDI capabilities.

Explain the solution's inbound and outbound interface capabilities.

Does the solution provide standard out-of-the-box capabilities for enterprise integration (including, but not limited to human capital, workflow management and database management systems)?

Does the solution provide standard out of the box capabilities to support integration services?

Does the solution provide preconfigured integrations out-of-the-box?

Data Scenario

Does the solution utilize commonly available database management system software (including, but not limited to: Oracle, SQL Server, etc.)?

Does the solution provide standard capabilities to export data (including, but not limited to: Microsoft Excel, Portable Document Format (PDF), etc.)?

Explain how data would be overwritten (hierarchical structure) when information is entered in the system and then updated by another source (e.g., NFC, DOL).

Does the solution provide standard out-of-the-box capabilities to query data?

Explain the process to incorporate pre-existing data from other sources into the solution.

Explain the version control process for forms templates and reporting.

Is the system able to run a compare once a new Employee enters the system? Can multiple fields be compared (e.g., more than just SSN or one piece of Personally Identifiable Information (PII))?

Explain the process that will be used to import existing historical data into the solution.

Security and Access Scenario

Does the solution provide Web access for Users?

Does the solution provide standard capabilities for single sign on?

Does the solution provide standard capabilities for access control?

Does the solution provide standard capabilities for role based access control?

Does the solution provide standard capabilities for User level discretionary access control (including, but not limited to allowing Users to grant or limit the access to objects owned by them)?

Does the solution provide standard capabilities for data access control?

Does the solution provide standard capabilities to protect the transmission, reporting and storage of personal information?

Does the solution provide standard capabilities for auditing system usage?

Explain the audit trail capabilities on the system side.

Does the solution provide standard capabilities to access the solution over a secure Intranet and Internet connection?

Performance Scenario

Can you provide an explanation of the system performance standards?

Can you provide performance metrics on executing standard out-of-the-box capabilities?

What are the SLAs for system down time?

What is your configuration control and customization request process?

How often are software changes released?

Help Desk Scenario

What is your help desk offering, as it relates to supporting your solution (e.g., frequently asked questions, live chat, field mouseovers, error messaging/informative messaging)?

What are the hours of operation?

Maintenance Scenario

Describe your standard system availability.

Describe your standard maintenance support.

What size user group are you able to support?

What is your notification process for off cycle system down-time for required patches, fixes and upgrades to the system?

Training Scenario

What is the strategy for training USDA Employees on your solution?

How is ongoing training offered post-implementation?

What type of training materials or resources do you provide?

Miscellaneous Scenario

Does the solution provide standard capabilities to support a services oriented architecture?

Does the solution provide standard capabilities for back-up and recovery? If yes, what are the capabilities of the solution, as it relates to backing up and recovering data (e.g., frequency, availability, etc.)?

What is the process for incorporating new requirements or functionality based on evolving government mandates?

Does the solution provide standard out-of-the-box capabilities for on-line help?

Explain the storage capacity, as it relates to the solution.

Where will the data, as it relates to the solution, be housed?

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