Attachment 2.doc

SSA-RFP-12-1036

Attachment 2

Attachment 2 – List of SSA Major Applications

System Types: General Support Systems (GSS) and Major Applications (MA).

DESCRIPTIONS OF 22 MAJOR SSA SYSTEMS

System 1 – The Title II System encompasses the activities with taking the applications for Title II Social Security Benefits and all Post Adjudicative activities involved in determining entitlement and eligibility, establishing records of entitlement and maintaining payments for as long as the individual is entitled to Retirement, Survivors or Disability benefits. It also interfaces the processing results with other payment systems. It is primarily an on-line operation, which consists of centralized application software that receives and process transactions entered by various field locations.

System 2 – The Comprehensive Integrity Review Process (CIRP) will consolidate all integrity review (IR) functions from the various SSA programmatic applications into a single automated facility. Once fully implemented, transactions from programmatic areas, as needed to support CIRP selection criteria, will feed into CIRP and be captured in a Transaction History File. This file will provide data in a common format. The transactions are screened against specific selection criteria, developed by the SSA security community to address vulnerabilities in SSA systems as determined by the security community or identified by the Office of the Inspector General or independent audits, including those that cross application areas, targeting integrity reviews to fraud-prone situations. Such selected items will be maintained in a Case Review File. The system provides on-line CICS screens, allowing users to access items selected for review and the case details associated with the transaction. The system also provides the capability for reviewers to report review results. On-line, real-time reports of pending and clearances are provided. This process enhances compensatory controls where separation of duties is not cost-effective in Agency processing systems.

System 3 – Electronic Disability System (eDib) is a Major Application System that supports the SSA Disability Process. It is composed of four subsystems: Internet, Electronic Data Collection System, Claims Processing Management System, and Document Management Architecture. eDib collects, processes and manages data for SSA’s Disability Program.

System 4 –The SSI Record Maintenance System (SSIRMS) provides an automated and integrated field and central office system facility for the establishment, maintenance and payment of Supplemental Security Income claims and the Special Veteran’s Benefits (Title VIII) program. This is a requirement of the Social Security Act (PL 74-271), title XVI and the integrated, related, subsequent regulations and court decisions.

The scope of the system encompasses the multitude of activities associated with taking SSI claims for payments determining initial and continuing eligibility, establishing and maintaining records of eligibility, processing changes in eligibility and interfacing with the Treasury Department to make or stop payment. The SSI Record Maintenance System is comprised of 30 separate subsystems.

System 5 - The Security Management Access Control System (SMACS). The system automates and manages SSA’s electronic Personal Identity Verification (PIV) workflow from the enrollment process through card issuance for all SSA employees, contractors, students, volunteers, vendors, and emergency responders. The system will provide enterprise-level infrastructure, support interoperability and will link the following services:

-Applicant Enrollment

-Biometric Services

-Card Management Services (CMS)

-Card Production Services

-Physical Access Control (Current – LENEL Security Access System (LSAS))

-Logical Access Control (Planned)

The system ultimately issues a credential, which is capable of providing both physical and logical access. This credential shall contain the following attributes: displayed photograph and name; stored biometrics, cardholder unique identifier, and digital certificates.

System 6 – The Earnings Record Maintenance System (ERMS) is a major SSA application consisting of several sub-systems. These sub-systems execute the functionality for the establishment, correction and maintenance of SSA’s major earnings files. These subsystems include the Annual Wage Reporting System, Master Earnings File and Suspense File Update, the Earnings Reconciliation System, the Report Correction and Item Correction applications and the Social Security Statement systems.

The ERMS receives earnings data from employers and self-employed individuals and processes that earnings data to the Social Security Administration’s (SSA’s) Master Earnings File (MEF). Earnings items that do not have valid employee name/SSN are placed on the Earnings Suspense File pending reinstatement to the MEF. These processes provide earnings totals for certification to the Treasury Department of the tax amounts to be credited to the Social Security trust funds. The MEF contains individual earnings histories for each of the 350+ million Social Security Numbers (SSNs) that have been assigned to workers. These earnings histories are the basis for determinations of eligibility for retirement, survivor, disability and health insurance benefits under Title II and Title XVIII of the Social Security Act and for computations of benefit amounts payable under Title II and Title XVI of the Act.

System 7 - DACUS compares death records received from external sources (such as State Bureaus of Vital Statistics) and from sources internal to SSA (such as the Daily Update Data Exchange (DUDEX program)) to the Master Beneficiary Record (MBR) and Supplemental Security Record (SSR) to identify and prevent erroneous payments after death. If conflicting payment or death data is found, an alert is generated to the Social Security Administration (SSA) field office for investigation. If no conflicting payment or death data is found, or when conflicts are resolved, death data is posted to the NUMIDENT.

System 8 - SSOARS is SSA’s centralized accounting system for recording, classifying and summarizing information on SSA’s financial position and operation. It maintains a variety of financial information including, but not limited to, funding data, commitments, obligations, receivables and payables.

The objective of SSOARS is to maintain the financial records of SSA. These records include the general ledger, subsidiary ledgers for control and reporting, obligation, advance and receivable subsidiary records, fund availability status, audit trail of accounting activity and the payment and collection records for cash reconciliation. SSOARS is SSA’s financial management system that consolidates all of SSA’s administrative accounting, payment and collection activities.

System 9 - IDMS is a master file that contains a record for each disability beneficiary. It maintains records of all Title II or Title XVI disability claims, including current disability beneficiaries, current aged or survivor beneficiaries who at one time filed any disability claims, and terminated disability beneficiaries. The IDMS was created through a conversion process from the old CDRCF, using extracts from sweeps of the whole MBR and the whole SSR. The MBR and the SSR are the final arbiters of what is a disability claim. There is no override of what the payment files reflect. Much of the claims-based data will be a reflection of data carried on the MBR and SSR, and is updated nightly through change files. Other data is owned and processed by the IDMS.

The IDMS provides a longitudinal (historical) view of disability filings for each disability beneficiary by title, in date order, including denials. The IDMS provides the same front end for disability processes for all disability beneficiaries; e.g., recording work and earnings, ticket-to-work issuance, CDRs, diaries. The IDMS allows field and programmatic users to view the total disability picture for concurrent beneficiaries. In addition, the IDMS is a common data repository used by other (including regionally developed) applications, e.g., MRTW. It is the system of records for title II work activity.

System 10 - HRMIS is the Social Security Administration’s batch-oriented mainframe application supported by a VSAM database. Personnel actions from FPPS are captured in a nightly file that is transmitted to SSA and fed into the Employee Data processing, which captures essential SSA employee personnel information in a number of HRMIS files. A subset of HRMIS information is extracted to the Human Resources Operational Data Store (HRODS). The HRODS, which is considered as a part of HRMIS for Security Authorization purposes, serves as an alternate repository for the extracted information through which query and reporting needs can be met in addition to HRMIS itself.

The MTAS system supports the recording of daily time and attendance information for all SSA employees, and the application of edits to administer SSA policy for time and attendance. The user population includes timekeepers, certifiers, payroll liaisons and administrators throughout the agency. MTAS uses IBM’s CICS as the online transaction processor to govern the executable programs and the user interface. Multiple VSAM files house the employee’s Time and Attendance data. There is a dataset interface received from HRMIS for personnel information, and an interface electronically transmitted to DOI’s Federal Personnel/Payroll System to support the computation of pay. Data interfaces within SSA support numerous management information and productivity accounting reporting and related uses. MTAS includes daily and pay period level accounting of time worked and absent for all SSA employees.

System 11 - The purpose of the RSDI Accounting System is to accumulate accounting control, payment certification, trust fund, and statistical totals for the Title II benefit payment system. Once developed, the accounting totals are used to ensure the integrity of the Master Beneficiary Record and the accuracy of the benefit payments issued by SSA. The accounting totals are also used for various financial reports and trust fund accounting.

The RSDI Accounting System consists of the following subsystems:

· Systems Integrity Fiscal Totals (SIFT)

· Daily Update, Master Accounting System (DUMAS) and

· Treasury Operations

· Windfall Offset Accounting (WACO)

Internal users include the Office of Financial Policy and Operations. External users include the Department of the Treasury.

System 12 - The Enterprise Wide Area Network and Services System addresses SSA’s Mainframe processing environment and the Distributed Network (Client/Server) environment. Across these environments, applications such as enumeration, earnings record maintenance, claims processing, post entitlement, electronic mail, and application tracking are processed. As the systems are today, each environment has its own security. Only the SSA developed Enterprise Security Interface (ESI) currently interfaces with both the mainframe and distributed environments. Collectively, they provide system security, which permits the Agency to process its programmatic and administrative applications without compromise.

System 13 - The Integrated Client Database System (ICDB) is a database that allows data to be shared among SSA’s major application systems. More specifically, it is a set of databases, common screens and access software that collect, house and provide access to and sharing of data that is common to SSA’s major application systems (commonly referred to as “Client data”). Client data is data that pertains to an individual and that would exist even if the person was not involved with a SSA benefit or entitlement and which is sharable among programs/titles. Examples of client data are a person’s name, date of birth (DOB), sex, disability onset date, etc.

System 14 - ROAR controls the recovery of Retirement, Survivors, Disability Insurance (RSDI) benefits, Title XVI, Supplemental Security Income (SSI) programs, Health Insurance (HI) and Black Lung overpayments. The ROAR system controls the recovery activity when refund is requested or adjustment is proposed for overpayment and/or misused or conserved funds debts. Generally, the ROAR master file contains the overpayment record, the actions against the overpayment record, the causes of the overpayment, the overpayment amounts, the collection status of the overpayment, remittance agreements, waiver and reconsideration information and information about the individual who is liable for the debt.

System 15 - The Social Security Number (SSN) Establishment and Correction System provides SSN’s to those persons who request them and are entitled to have them. It also establishes the file from which Social Security cards are printed. Inputs to the SSN Establishment and Corrections System come from SSA Field Office personnel, the state Bureaus of Vital Statistics (for Enumeration at Birth) and the Department of Homeland Security (for Enumeration at Entry). This system is not available for use by the public.

The current system is a combination of online interactive screens (used by Field Office personnel) and a batch system to process the data. The system captures certification information for necessary evidence or proofs and screens the enumeration database files to assure the requested action is valid. It alerts users to situations where it may be necessary to follow up on certain issues with the client, performs the actual SSN assignment or verification of prior SSN assignment, updates the databases, and sends a file that is used to issue the Social Security card. Pertinent management information (MI) is furnished to the MI software system.

The SSN Establishment and Correction System is comprised of six (6) separate systems, which are listed below:

1. Modernized Enumeration System Batch

2. Modernized Enumeration System Online

3. Automated Enumeration Screening Process (AESP)

4. Alphident Query

5. Numident Batch

6. Numident Query

System 16 - The Social Security Administration (SSA) has responsibility for carrying out the provisions of the Social Security Act. In terms of the Audit Trail System (ATS), this responsibility is focused on properly executing our fiduciary responsibility to ensure that SSA records and trust fund monies are protected from improper use. Toward that end, we maintain audit records of systems actions that could be used to compromise those records/funds.

The objective of the ATS is to provide an automated and integrated system facility for the maintenance and retrieval of audit records for the purpose of deterring, detecting, and investigating instances of fraud and abuse. The scope of the system encompasses the daily collection of data each time an employee performs an auditable task or transaction. Data is then converted into a common format. Each record contains the personal identification number (PIN) of the employee entering the transaction as well as the date, time, and application specific data.

Transactions captured are maintained within ATS for a period of seven years. Center Director’s for Security and Integrity and their staff are the primary users of ATS and can access the data by an on-line request that is executed in same day or overnight batch mode. ATS users can request data for a specific PIN, a specific SSN or a specific office or module.

System 17 - DMS is a financial management system that consolidates SSA's program debt activities, including overpayments, underpayments and payments certified to the Department of the Treasury (DT) in excess of the amount due. The purpose of this System is to provide control, timely resolution and accounting of program debts owed and to provide management information that supports strategic use of SSA's resources to minimize overpayment occurrences. DMS is categorized as a Major Application System that requires special management attention because of its importance to the agency mission and its significant role in agency programs. Basic functions include:

Maintaining control of debts (establishing and maintaining accounts), Resolving debts (remittances, offsets, write-offs, waivers, etc.), Communicating with payers (notices, billing), Follow-up activity (pursuing liable parties), Referrals, Accounting (financial ledgers and reports, aging of debts, reconciliation), and

Reporting (management information, operations information, action item list, event tracking, inquiries, etc.).

System 18 - FALCON Data Entry (referred to as FALCON in the remainder of the document) is an off the shelf product that has been modified for Social Security Administration (SSA) purposes. It is used to collect mass amounts of information via manual data entry. This data is passed to other legacy Agency systems. As such, the FALCON screens become intrinsic parts of those systems. FALCON does not process any information but provides the ability to “paint” screens for use with other systems. It allows for collection of data and forwards the data to other systems for processing. These other systems actually update the Agency’s databases, and were certified as parts of other sensitive systems in July 2003. All of these systems handle extremely sensitive data relating to individual Agency beneficiaries.

System 19 - The Social Security Unified Measurement System (SUMS) project is an Agency initiative to provide enhanced management information, workload controls and performance measures for direct service components. SUMS rely on data collected by programmatic systems. The data is stored in operational data stores and the SUMS data warehouse. SUMS does not update or delete any data from master files and thus cannot affect payment. Standardized reports are accessed though the Agency’s Intranet by management personnel and analysts. Data may also be accessed directly by selected personnel using database management software (e.g., Brio or Focus).

System 20 - The Quality System, sometimes referred to as the Modernized Quality Assurance application, handles the non-disability quality review. The Quality System pulls data regarding specific “sampled” claims from the Master Beneficiary Record and Supplemental Security Record databases, Claims Processing Management System, and Title XVIII (Health Insurance) databases to provide the following major functions of the quality review process: study definition; sample selection; creation of findings forms; reviewer completion of findings data; simple reports; and analytical reporting from the reporting database.

System 21 - The National Investigative Case Management System (NICMS) is the system that contains the case investigative information for the SSA IG. This system is highly critical for the IG filed agents in the processing of their cases.

System 22 - The agency Common Controls are enterprise services designed and employed to support the use and operation of SSA information systems that collectively facilitate or enable agency mission processes.