Business Requirements Specification



Appendix EBusiness and System Requirements Specification Apportioned Registration ModernizationPrepared by: Pennsylvania Department of Transportation (PennDOT)Office of Information Technology Project Development and Delivery (OIT PDD)Last Updated: December 6, 2011Table of Contents TOC \o "1-3" \h \z \u 1.Introduction PAGEREF _Toc315678173 \h 42.Current Business Processes52.1Create Apportioned Account52.1.1Overview52.1.2Process Flow62.1.3Narrative PAGEREF _Toc315678189 \h 112.2Cancel Apportioned Account………………………………………………………………………… PAGEREF _Toc315678190 \h 152.2.1Overview PAGEREF _Toc315678191 \h 152.2.2Process Flow PAGEREF _Toc315678192 \h 162.2.3Narrative PAGEREF _Toc315678193 \h 182.3Update Apportioned Account PAGEREF _Toc315678194 \h 192.3.1Overview PAGEREF _Toc315678195 \h 192.3.2Process Flow PAGEREF _Toc315678196 \h 202.3.3Narrative PAGEREF _Toc315678197 \h 242.4Inquire Apportioned Account PAGEREF _Toc315678198 \h 272.4.1Overview PAGEREF _Toc315678199 \h 272.4.2Process Flow PAGEREF _Toc315678200 \h 282.4.3Narrative PAGEREF _Toc315678201 \h 292.5Renew Apportioned Account PAGEREF _Toc315678202 \h 302.5.1Overview PAGEREF _Toc315678203 \h 302.5.2Process Flow PAGEREF _Toc315678204 \h 312.5.3Narrative PAGEREF _Toc315678205 \h 362.6Issue Duplicate Product PAGEREF _Toc315678206 \h 402.6.1Overview PAGEREF _Toc315678207 \h 402.6.2Process Flow PAGEREF _Toc315678208 \h 412.6.3Narrative PAGEREF _Toc315678209 \h 432.7Audit Carrier Mileage PAGEREF _Toc315678210 \h 452.7.1Overview PAGEREF _Toc315678211 \h 452.7.2Process Flow PAGEREF _Toc315678212 \h 462.7.3Narrative PAGEREF _Toc315678213 \h 482.8Supporting Processes PAGEREF _Toc315678214 \h 512.8.1Issue Hunter and Trip Permits PAGEREF _Toc315678215 \h 512.8.2Issue Temporary Authorizations PAGEREF _Toc315678216 \h 513.Future Capabilities PAGEREF _Toc315678217 \h 523.1Business Requirements PAGEREF _Toc315678218 \h 533.2System Requirements PAGEREF _Toc315678219 \h 624.Appendix A – Example Financial Reports PAGEREF _Toc315678221 \h 655. ACRONYMS AND DEFINITION………………………………………………………………………………………66Business and System Requirements Specification IntroductionPennDOT’s vision is to create a modernized business and technical system for providing vehicle and driver services to the citizens of Pennsylvania. This system will cross organizational, service channel, technical, and physical boundaries, and enable PennDOT to perform its business operations in the most streamlined, efficient and cost effective ways possible. The technologies and methods that were used to build the current PennDOT systems for providing vehicle and driver services to the citizens of Pennsylvania have become outdated. At least four systems have been in production since the early 1980s, and are using unsupported programming languages that for the most part have been decommissioned within the Information Technology (IT) industry. PennDOT’s two major systems—the Commonwealth Automated Registration and Titling System (CARATS) and the Driver License and Control System (DL&C)—have been in production since 1987 and 1990, respectively. These systems were built in separate environments where the sharing of components used in common business areas was minimal. User applications were not flexible to business changes and data was stored in rigid hierarchical databases with only minimal attention to business information needs.As a consequence of the way the systems were designed, PennDOT has not been able to easily adapt to changing business needs or modern business models. PennDOT believes that newer software systems that utilize current technology with more streamlined interface capabilities can help achieve more cost effective government operations by reducing the costs of conducting core business while simultaneously making significant process improvements. PennDOT’s goals are to: Expand its online access to all business partners Reduce the cost of doing business Offer its products and services in the most efficient service channels Automate processes across traditional boundaries Transition where feasible to electronic products and correspondence Provide consolidated customer informationEnhance the security and oversight of its operations Adapt to business changes that result from business initiatives, legislation, mandates, and other internal and external sourcesCurrent Business ProcessesThere are currently thirteen service representatives who process most of the ARP transactions on a daily basis. Additionally, there are ten to fifteen others, such as managers, who have access to the ARP system but use it occasionally and most often just seasonally. There are from 125 to 150 PennDOT agents (or business partners) who have inquiry access only. The work flow represented in the following process maps and described in the accompanying narrative represents the work that is mostly performed by the service representatives. Note that the current business processes presented in this section represent how the ARP Unit processes their work using the existing system. Due to the fact that the existing system architecture is outdated, many of the business process steps are redundant and/or supported by additional manual steps. The business and system requirements listed in Section 4, “Future Capabilities,” once implemented, will significantly streamline the current business processes.Create Apportioned AccountOverviewThis process occurs as needed throughout the calendar year and results in the creation of a new account in the ARP system. The carrier that is applying for apportioned registration must fill out an application and supply necessary supporting documentation including a valid certificate of title, proof of payment for Heavy Vehicle Use Tax (if applicable), a valid United States Department of Transportation (US DOT) number, and proof of insurance. A carrier can obtain an apportioned registration application (MV550) from the Riverfront Office Center (ROC), PennDOT driver and vehicle services web site, or PennDOT partner (messenger, dealer, etc.). If the carrier goes to a messenger service to establish an apportioned registration account, the messenger will submit both a registration application and a processed temporary authorization (TA) so the carrier can begin hauling goods to other jurisdictions immediately.Prior to accessing the ARP system, the user reviews all submitted paperwork for completeness, verifies the Federal DOT number and verifies that an applying organization is registered as a legal entity with the Pennsylvania Department of State (DOS). These verifications are conducted manually by the user who signs in to the appropriate systems via the internet. Vehicle title information is pulled from the CARATS computer system by the user.If any paperwork is missing or is incorrect, or if any outside department verifications fail, error codes are assigned by the user and entered into the ARP system as the customer account and supporting information is entered. Messages associated with the error codes are then printed on the invoice and no documents are issued to the carrier until all errors are corrected, missing information is supplied, and full payment is received.Process FlowNarrativeStepActionNarrative1Begin processUser starts a session to process the customer’s apportioned registration application. 2PennDOT receives Apportioned Registration applicationAn ARP application has been completed and returned to PennDOT by the carrier or a business partner. The user reviews the application and accompanying paperwork for correctness and to ensure it is complete. If there are any problems with the application, accompanying documentation or data verifications with other Pennsylvania departments, error codes will be assigned and entered into the ARP system when account processing begins.3Select to establish fleet from ARP Primary MenuUser selects ESTABLISH or BOTH DB. ESTABLISH from the Apportioned Registration Primary Menu. If an ARP application is processed between February and May 31st (during the renewal period), the new account must be established on both the current ARP database and the future ARP database.4Display Establish Fleet screenSystem displays the Establish Fleet screen.5Enter account information from applicationUser enters account information from Section A of the Apportioned Registration Application.6Enter account numberUser enters the next available account number from the list.7Account number exists?System checks to see if the account number is currently being used.If YES, go to step 6;If NO, go to step 8.8Screen errors?If the account number has been previously assigned, an error message will display at the bottom of the screen. The account number must be corrected before processing can continue.If no screen errors exist, the account information is automatically saved when the user presses Enter.If YES, go to step 9;If NO, go to step 10.9Make correctionsUser corrects the account number. When the user presses Enter after correcting the information and completing this screen, the account information is automatically saved.10Display Establish Weight Group ScreenSystem displays the Establish Weight Group screen.11Enter weight information from applicationUser enters weight group information for the appropriate jurisdiction(s); the information comes from Section B of the ARP application.12Screen errors?If the weight group/jurisdiction combination is incorrect or there are other errors on the screen, an error message will display at the bottom of the screen. All errors must be corrected before processing can continue.If no screen errors exist, the weight group information is automatically saved when the user presses Enter.If YES, go to step 13;If NO, go to step 14.13Make correctionsUser corrects the weight group information. When the user presses Enter after correcting the information and completing this screen, the weight group information is automatically saved.14Display Establish Vehicle screenSystem displays the Establish Vehicle screen.15Enter vehicle information from applicationUser enters vehicle information from Section C of the ARP application.16Screen errors?If any vehicle information is incorrect or missing, an error message will display at the bottom of the screen. All errors must be corrected before processing can continue.If no screen errors exist, the vehicle information is automatically saved when the user presses Enter.If YES, go to step 17;If NO, go to step 18.17Make correctionsUser corrects the vehicle information. When the user presses Enter after correcting the information and completing this screen, the vehicle information is automatically saved.18Display Establish Weight Group screenSystem displays the Establish Weight Group screen. User presses Enter to continue.19More vehicles?User continues to enter vehicle information for as many vehicles as are listed on the application. After information for the last vehicle is entered, user is returned to the ARP Menu.If YES, go to step 15;If NO, go to step 20.20Enter “e” on command line to save information and return to menuUser enters an “e” on the command line to signal that the entry of vehicle information is complete.21Display Apportioned Registration Primary MenuSystem saves the vehicle information and returns the user to the ARP Primary Menu.22Select Mileage from menuUser selects MILEAGE from the ARP Primary Menu.23Display fleet Mileage screenSystem displays Fleet Mileage Screen.24Enter mileage from applicationUser enters mileage information from Schedule B of the ARP application.25Screen errors?System checks for mileage errors based on business rules. If any errors are detected, an error message will display at the bottom of the screen. All errors must be corrected before processing can continue.If no screen errors exist, the mileage information is automatically saved when the user presses Enter.If YES, go to step 26;If NO, go to step 27. 26Make correctionsUser corrects the mileage information. When the user presses Enter after correcting the information and completing this screen, the mileage information is automatically saved.27Enter “e” on command line to save information and return to menuUser enters an “e” on the command line to signal that the entry of mileage information is complete.28Display Apportioned Registration Primary MenuSystem saves the mileage information and returns the user to the ARP Primary Menu.29Select Billing from menuUser selects BILLING from the ARP Primary Menu.30Display Billing Processor screenSystem displays the Billing Processor screen.31Enter required informationUser enters preliminary billing information on this screen.32Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 33;If NO, go to step 34.33Make correctionsUser corrects screen errors and presses Enter to continue.34Display next Billing Processor screenSystem displays the next Billing Processor screen.35Enter required informationUser enters required billing information based on specific ARP account needs.36Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If no errors are detected, the billing information is automatically saved when the user presses Enter.If YES, go to step 37;If NO, go to step 38.37Make correctionsUser corrects the billing information. When the user presses Enter after correcting the information and completing this screen, the billing information is automatically saved and the user is returned to the ARP Primary Menu.38Return to primary menuSystem saves the billing information and returns the user to the primary menu.39Generate invoiceSystem generates invoice. Registration fees are calculated for each jurisdiction based on factors including, but not limited to, miles in the jurisdictions, percent of miles traveled in each jurisdiction, weight of the vehicle, jurisdiction registration fees and registration expiration date. 40Stop codes?System determines if any stop codes were entered by the user during application processing.If YES, go to step 41;If NO, go to step 42.41Add stop code messages to invoiceSystem adds stop code messages to the invoice to indicate missing or incomplete information, failed verifications or any other problems associated with the apportioned registration. All errors must be corrected prior to PennDOT issuance of registration products.42Save invoice information and print invoiceSystem saves the invoice information and messages, if any. The invoice then automatically prints.43Customer with payment?The printer invoice is provided as a correspondence to the customer and the entire amount is due before any products are issued, including the fees for jurisdictions other than Pennsylvania.If YES, go to step 45;If NO, go to step 44.44Mail invoiceUser processes steps to mail the invoice to the customer. If the application was submitted by a business partner, messenger or legislative service representative, the invoice is returned to that source who then forwards it to the carrier.45Select Payment from menuUser selects payment option from the ARP Primary Menu.46Display Payment Processor Menu Select screenSystem displays the Payment Processor Menu Select screen.47Select payment transaction optionUser selects payment transaction option from the menu.48Display appropriate payment screenSystem displays appropriate payment screen based on user selection.49Collect and verify paymentUser collects payment from the customer for the ARP registration.50Enter payment informationUser enters payment information on the payment screen.51Generate productsSystem generates all required apportioned registration products, including new cab card(s), weight class decal(s) and renewal sticker(s). License plates are issued through the .centric system at this time also.52Issue products User presents products to the customer.53Prepare package and send for imagingA Work Identification Number (WID) package is prepared to all supporting documentation. The documentation is placed in a transporter box and sent to imaging.54End processProcess ends.Cancel Apportioned AccountOverviewCarriers can request to cancel an account if apportioned registration credentials are no longer needed for their business. For example, an owner-operator may decide to work for a larger company that will pay the apportioned registration fees under their account. The carrier may complete a supplement application indicating that the account should be cancelled or the carrier may request that the account be cancelled at renewal time.Prior to deleting the account, the ARP Service Representative inquires on the account to determine if plates are paid for through a certain date and if an overpayment exists on the account. The process ends when the account and all vehicles have been marked with a “D” (delete) status in the ARP system. The account and vehicle information is retained in the system for historical purposes. If an overpayment exists on the account, a refund is issued via the Refunds and Return Checks Unit.During the renewal process, a carrier may request that a vehicle or vehicles be removed from their account, which impacts the amount the carrier will owe for the renewal. In that situation, the account will remain as either an “A” (active) or “I” (inactive) status. The requested vehicle or vehicles will be marked as “D” in the renewal (future) database.Process FlowNarrativeStepActionNarrative1Start SessionUser accesses the ARP main menu.2Select Correct from Main MenuUser selects Correct from the main menu. 3Enter Account NumberUser enters the account number of the account to be cancelled.4Display Account InformationThe ARP system displays the account information including the address and phone number.5Change Account Status to “D”User changes the Fleet Status field to “D” for delete. Other possible values are “A” for active (e.g., all invoices have been paid) and “I” for inactive (e.g., one or more invoices have not been paid). 6Proceed to Weight Group InformationUser presses Enter to save the account information changes and to proceed to the weight group information.7Display Weight Group InformationThe ARP system displays the weight group information. 8Proceed to Vehicle InformationUser presses Enter to move forward to the vehicle information.9Display Vehicle InformationThe ARP system displays vehicle information for the account.10Change Vehicle Status to “D”User changes the vehicle status to “D” for delete.11Save Vehicle ChangesUser presses Enter to save the vehicle information changes.12Display Weight Group InformationThe ARP system displays the weight group information.13More Vehicles?User determines if more vehicles exist on the account. If YES, go to step 8;If NO, go to step 14.14End TransactionIf more vehicles do not exist, the user enters “e” for end on the command line to save the information and end the transaction.15Display Main MenuThe ARP system displays the main menu.16Overpayment Exists?Prior to the start of the transaction, the user performs a manual review of the account file to determine if an overpayment exists on the account. If YES, go to step 18;If NO, go to step 17.17Send Documents to ImagingIf no overpayment exists on the account, the documentation submitted by the carrier to cancel the account is forwarded to document imaging. The process ends when the documentation is imaged for future reference if needed.18Select Payment from Main MenuIf an overpayment exists on the account, the user selects Payment from the main menu.19Display Payment MenuThe ARP system displays the payment menu.20Select Refund TransactionUser selects Refund Transaction and enters the account number.21Print Refund InvoiceThe ARP system prints the refund information on an invoice form (three-part paper). 22Forward Copy to Refund/Return Check UnitUser forwards a copy of the refund invoice to the Refund/Return Check Unit. This unit generates a refund and mails it to the carrier.23Send Documents to ImagingThe documentation submitted by the carrier to cancel the account is forwarded to document imaging. The process ends when the documentation is imaged for future reference if needed.Update Apportioned AccountOverviewSeveral options are available to the user when the carrier requests that updates be made to a current account. These updates are requested on a Supplemental Application which may be filed directly by the carrier, but most often is filed by a Temporary Authorization agent (TA agent) which can be a messenger service, wire service, dealer, or authorized trucking company. When appropriate, a TA may be issued during the update process so that the carrier can operate immediately instead of waiting for their updated credentials; this TA is good for 30 days. Based on the update application received, one or more of the following updates may be required:Account Information: Basic account information such as contact address and/or telephone number or the DOT number may need to be updated. The name of the apportioned account and the account number may NOT be updated. Vehicle Information:Update current vehicle informationAdd new vehicleJurisdiction and/or Weight Group:Add jurisdiction(s) for new vehiclesAdd weight group(s) for new vehiclesMileage:Add mileage for new vehiclesNot all account changes will result in fees. For some, such as account information changes, no fee or refund is calculated. For other changes, such as adding a new vehicle, fees are charged. Whether or not there is a fee for the update services, an invoice will be generated with either zero dollars or the actual fee amount.Process FlowNarrativeStepActionNarrative1Begin processUser begins to process ARP supplemental application.2PennDOT receives update applicationAn ARP account update application has been completed and returned to PennDOT by the carrier or a business partner. The user reviews the application and accompanying paperwork for correctness and to ensure it is complete. If there are any problems with the application, accompanying documentation or data verifications with other Pennsylvania departments, error codes will be assigned and entered into the ARP system when account processing begins.3Enter search criteriaUser enters search criteria for the appropriate account. Searches can be conducted using account number, account name, plate number, Vehicle Identification Number (VIN), title number and/or Account Control Number (ACN). Partial search criteria are acceptable; for example, the first name of the account holder.4Display account informationSystem displays current account information. This includes account name, address, and Public Utility Commission (PUC) and Interstate Commerce Commission (ICC) permit numbers.5Account updates needed?Based on the update application, user determines if updates/corrections need to be made to the account information.If YES, go to step 6;If NO, go to step 8.6Update Apportioned Account informationUser updates/corrects account information. If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.7Save account updatesSystem saves account updates and automatically takes user to the Establish Weight Group screen.8Update weight group/jurisdiction?If YES, go to step 9;If NO, go to step 11.9Update weight group/jurisdiction informationUser makes required updates to weight group per jurisdiction information. If screen errors are detected, user will need to correct them before being allowed to proceed with the rest of the updates from the application.10Save weight group/jurisdiction informationSystem saves weight group/jurisdiction information and automatically takes the user to the Establish Vehicle screen.11Select vehicle to updateUser selects a specific vehicle to update. 12Display vehicle informationSystem displays vehicle information. 13Update vehicle informationUser updates limited vehicle information that does not appear on the title; for example, equipment numbers or DOT number. Revisions to existing weight groups and/or jurisdictions may not be made at this time. If any new jurisdictions are added, the system will perform the necessary validation checks. The user will be prompted to add the weight group(s) for the new jurisdiction(s) when the invoice is being generated. If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.14Display Establish Weight Group screenSystem saves the vehicle information and displays the Establish Weight Group screen. The user is automatically returned to the Establish Vehicle screen when Enter is pressed.15More vehicles to update?If YES, go to step 11; If NO, go to step 16.16New vehicles to add?If YES, go to step 17; If NO, go to step 20.17Add new vehicle informationUser adds information for new vehicle. 18Display Establish Weight Group screen.System saves the new vehicle information and displays Establish Weight Group screen. If the vehicle will be traveling to a new jurisdiction, the jurisdiction(s) can be added at this time. The user will be prompted to add the weight group(s) for the new jurisdiction(s) when the invoice is being generated. When the user presses Enter, the data is saved and the user is returned to the Establish Vehicle screen.19More new vehicles to add?If YES, go to step 17;If NO, go to step 20.20Enter “e” on the command line to save information and return to menuUser enters an “e” on the command line to signal that the entry of vehicle information is complete.21Display Apportioned Registration Primary MenuSystem saves the vehicle information and returns the user to the ARP Primary Menu.22Select Billing from menuUser selects BILLING from the ARP Primary Menu.23Display Billing Processor screenSystem displays the Billing Processor screen.24Enter required informationUser enters preliminary billing information on this screen. If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.25Display next Billing Processor screenSystem displays the next Billing Processor screen.26Enter required informationUser enters required billing information based on specific ARP account updates.27Return to primary menuSystem saves the billing information and returns the user to the primary menu.28Generate invoiceSystem generates invoice by calculating the fees associated with account updates. 29Stop codes?System determines if any stop codes were entered by the user during application processing.If YES, go to step 30;If NO, go to step 31.30Add stop code messages to invoiceSystem adds stop code messages to the invoice to indicate missing or incomplete information, failed verifications or any other problems associated with the apportioned account updates. All errors must be corrected prior to PennDOT issuance of registration products.31Save invoice information and print invoice.System saves the invoice information and messages, if any. The invoice then automatically prints.32Customer with payment?The printer invoice is provided as a correspondence to the customer and the entire amount is due before any products are issued, including the fees for jurisdictions other than Pennsylvania.If YES, go to step 34;If NO, go to step 33.33Mail invoiceUser processes steps to mail the invoice to the customer. If the application was submitted by a business partner, messenger or legislative service representative, the invoice is returned to that source who then forwards it to the carrier.34Select Payment from menuUser selects payment option from the ARP Primary Menu.35Display Payment Processor Menu Select screenSystem displays the Payment Processor Menu Select screen.36Select payment transaction optionUser selects payment transaction option from the menu.37Display appropriate payment screenSystem displays appropriate payment screen based on user selection.38Collect and verify paymentUser collects payment from the customer for the ARP registration.39Enter payment informationUser enters payment information on the payment screen.40Generate productsSystem generates all required apportioned registration products, including new cab card(s), weight class decal(s) and renewal sticker(s). License plates are issued through the .centric system at this time also.41Issue products User presents products to the customer.42Prepare package and send for imagingA WID package is prepared to include all supporting documentation. The documentation is placed in a transporter box and sent to imaging.43End processProcess ends.Inquire Apportioned AccountOverviewThe process begins when the user opts to inquire on a specific individual or organization account. The user is provided with a detailed view of an apportioned account’s information and history.The user may choose to view current or future ARP data, or to view pending payment data. A future database is created in preparation for renewals. Initially, the only information available is active accounts; i.e., vehicle and related mileage is not included. As mileage letters are returned prior to renewals and the mileage information is added to the future database, that information will also be available. The current database houses all account-associated information, and a search may be conducted using any of that information as the search key. For example, any of the following may be entered individually or in combination: Account Name, Employer Identification Number (EIN), US DOT number, VIN, title number or plate number. When the search is not by specific account number, all vehicle information that is related to the key entered will be returned in a list. The user will then locate the vehicle to find the associated account number which is then used as the search criteria to find the required account.Process FlowNarrativeStepActionNarrative1Begin ProcessUser opts to inquire an apportioned account in order to obtain detailed information about an apportioned account. 2Enter database name and search criteriaUser determines whether to search the current, future or pending payment ARP database and enters the search criteria. Searches can be conducted using account number, account name, plate number, VIN, title number and/or ACN. Partial search criteria are acceptable, for example, the first name of the account holder.3Search for accountSystems searches for account based on user-entered search criteria.4Exact account located?If YES, go to step 7; If NO, go to step 5.5Display list of possible accountsIf the search was conducted on partial criteria, e.g., first name, the system will return all accounts in which that first name appears. 6Locate required account on listFrom the list returned in step 5, the user can select the desired account and use specific information as search criteria to conduct the search again.7Display account informationSystem displays high-level account information. If the user chose the future database, only accounts and mileage (when available during renewal period) will be displayed. 8Drill down apportioned account details?User selects to view additional apportioned account detail on the current database. If YES, go to step 9;If NO, go to step 11.9Select more detailUser can select to view account details on the current database, such as vehicles, weight groups/jurisdictions, mileage, and fees.10Display additional account detailsSystem displays requested details.11End ProcessProcess ends and user is returned to the main menu.Renew Apportioned AccountOverviewThe ARP renewal process recurs annually with renewal information due May 31st of the following year. All accounts are on the same renewal schedule regardless of when they were established; i.e. there is no staggered renewal process. The process begins in August when an ARP future database is created containing current account information for active apportioned accounts. Vehicle information is not included on this future database. The process is driven by the calendar date in order to coincide with the last quarter International Fuel Tax Agreement (IFTA) reporting for the fiscal year. After the creation of the future ARP database, mileage correspondence is sent out to active carriers. Current carriers must supply mileage information for the same time period that is needed for their ARP registration renewal. The goal is to send carriers a mileage letter so they can report ARP registration mileage while their mileage records are being accessed to report IFTA mileage. The mileage letters and renewal forms are printed automatically. As the letters are returned, the mileage is entered into the future database by PennDOT employees. A follow-up letter is sent out in October to those carriers who have not responded. Again, as the letters are returned, the mileage is entered into the future database.In February, the renewal correspondence is sent out to active carriers. Included on the correspondence is pre-filled information for active accounts and the corresponding vehicle information for active and inactive vehicles. If the mileage correspondence was returned with actual mileage reported, that mileage will also be included on the renewal correspondence. If the mileage correspondence was not returned, the mileage lines for each vehicle will be blank. Upon receipt of the renewal correspondence, the carrier verifies the pre-filled information, makes any necessary corrections to account information, updates vehicle information including the addition of new vehicles or the retiring of current vehicles, adds any other pertinent data such as jurisdiction changes, signs, dates, and returns the renewal correspondence.As the renewal applications are received, the information is entered into the future database by PennDOT personnel through May 31st. On June 1st, the future database becomes the current database and what was current will be moved to the test system. This allows renewals to be processed while work continues for the current registration year. It must be noted that any changes made to accounts on the current database after renewals are made must also be made to the future database for those same accounts so that the information will be in sync. The preparation of the mileage and renewal correspondence is an automated process. However, most of the sub-processes within this process are done manually such as the entering of mileage information and visual review of the renewal application and corresponding paperwork.Process FlowNarrativeStepActionNarrative1Begin processUser begins to process ARP renewal application.2PennDOT receives renewal applicationThe completed ARP renewal application and accompanying documents are returned to PennDOT by the carrier or a business partner. The user reviews the application and accompanying paperwork for correctness and to ensure it is complete. If there are any problems with the application, accompanying documentation or data verifications with other Pennsylvania departments, error codes will be assigned and entered into the ARP system when account processing begins.3Enter ARP search criteriaUser enters search criteria with information taken from the renewal application.4Display account informationSystem displays current account information. This includes account name, address, and DOT number.5Account updates needed?Based on the renewal application, user determines if updates need to be made to the account information.If YES, go to step 6;If NO, go to step 9.6Update Apportioned Account informationUser updates/corrects account information.7Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 8;If NO, go to step 9.8Make correctionsUser corrects the account information. 9Display Establish Weight Group screenSystem saves account information and displays the Establish Weight Group screen.10Weight group/jurisdiction updates? If YES, go to step 11;If NO, go to step14.11Update weight group/jurisdiction information.User updates weight group information for jurisdiction(s).12Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 13;If NO, go to step 14.13Make correctionsUser corrects the weight group and/or jurisdiction information.14Select vehicle to updateUser selects an existing vehicle to update.15Display vehicle informationSystem displays vehicle information. 16Update vehicle informationUser updates all vehicle information that does not appear on the title; for example, equipment numbers or DOT number. Revisions to weight groups and/or jurisdictions may be made at this time. If any jurisdictions are added, the system will perform the necessary validation checks. If jurisdictions and/or weight groups are removed, the association with the vehicle is severed, but the data is retained for historical purposes. 17Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 18;If NO, go to step 19.18Make correctionsUser corrects the vehicle information.19Display Establish Weight Group screenSystem displays the Establish Weight Group screen. Processing continues when the user presses Enter.20More vehicles to update?If YES, go to step 14; If NO, go to step 21.21New vehicles to add?If YES, go to step 22; If NO, go to step 27.22Add new vehicle informationUser adds information for new vehicle.23Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 24;If NO, go to step 25.24Make correctionsUser corrects the new vehicle information.25Display Establish Weight Group screenSystem displays the Establish Weight Group screen. Processing continues when the user presses Enter.26More new vehicles to add?If YES, go to step 22;If NO, go to step 27.27Enter “e” on the command line to save information and return to menuUser enters an “e” on the command line to signal that the entry of vehicle information is complete.28Display Apportioned Registration Primary MenuSystem saves the vehicle information and returns the user to the ARP Primary Menu.29Select Mileage from menuUser selects MILEAGE from the ARP Primary Menu.30Display Fleet Mileage screenSystem displays Fleet Mileage screen.31Enter mileage from applicationIf mileage was not previously provided via the mileage correspondence mailed in August, user will enter vehicle mileage from the renewal application.System will verify that miles are valid based on business rules. For example, if the percentage of all miles entered for each jurisdiction ends in 0 or 5, the miles are not valid.If YES, go to step 23;If NO, go to step 26.32Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 33;If NO, go to step 34.33Make correctionsUser corrects the mileage information.34Enter “e” on the command line to save information and return to menuUser enters an “e” on the command line to signal that the entry of mileage information is complete.35Display Apportioned Registration Primary MenuSystem saves the mileage information and returns the user to the ARP Primary Menu.36Select Billing from menuUser selects BILLING from the ARP Primary Menu.37Display Billing Processor screenSystem displays the Billing Processor screen.38Enter required informationUser enters preliminary billing information on this screen.39Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 40;If NO, go to step 41.40Make correctionsUser corrects screen errors and presses Enter to continue.41Display next Billing Processor screenSystem displays the next Billing Processor screen.42Enter required informationUser enters required billing information based on specific ARP account needs.43Screen errors?System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If no errors are detected, the billing information is automatically saved when the user presses Enter.If YES, go to step 44;If NO, go to step 45.44Make correctionsUser corrects the billing information. When the user presses Enter after correcting the information and completing this screen, the billing information is automatically saved and the user is returned to the primary menu. Steps 45, 46, 47, and 48 occur concurrently after Enter is pressed.45Return to primary menuSystem saves the billing information and returns the user to the primary menu. 46Generate invoiceSystem generates invoice. Registration fees are calculated for each jurisdiction based on factors including, but not limited to, miles in the jurisdictions, percent of miles traveled in each jurisdiction, weight of the vehicle, jurisdiction registration fees, and registration expiration date. 47Stop codes?System determines if any stop codes were entered by the user during application processing.If YES, go to step 48;If NO, go to step 49.48Add stop code messages to invoiceSystem adds stop code messages to the invoice to indicate missing or incomplete information, failed verifications or any other problems associated with the apportioned registration. All errors must be corrected prior to PennDOT issuance of registration products.49Save invoice information and print invoiceSystem saves the invoice information and messages, if any. The invoice then automatically prints.50Customer with payment?The printer invoice is provided as a correspondence to the customer and the entire amount is due before any products are issued.If YES, go to step 52;If NO, go to step 51.51Mail invoiceUser processes steps to mail the invoice to the customer. If the application was submitted by a business partner, messenger or legislative service representative, the invoice is returned to that source who then forwards it to the carrier.52Select Payment from menuUser selects payment option from the ARP Primary Menu.53Display Payment Processor Menu Select screenSystem displays the Payment Processor Menu Select screen.54Select payment transaction optionUser selects payment transaction option from the menu.55Display appropriate payment screenSystem displays appropriate payment screen based on user selection.56Collect and verify paymentUser collects payment from the customer for the ARP registration.57Enter payment informationUser enters payment information on the payment screen.58Generate productsSystem generates all required apportioned registration products, including new cab card(s), weight class decal(s), and renewal sticker(s). License plates are issued through the .centric system at this time also.59Issue products User presents products to the customer.60Prepare package and send for imagingA WID package is prepared to include all supporting documentation. The documentation is placed in a transporter box and sent to imaging.61End processProcess ends.Issue Duplicate ProductOverviewCarriers or their representatives may request duplicate registration cards, registration stickers, weight decals and cab cards. Additionally, duplicate vehicles plates may be requested and they are issued from the .centric (Inventory Management) system. Process FlowNarrativeStepActionNarrative1Begin ProcessUser begins Duplicate Product processing. 2PennDOT receives Duplicate Product application PennDOT receives the duplicate product application via mail, messenger delivery, legislative representative delivery, or at the counter. User reviews the application to ensure that it is complete and correct.3Enter account search criteriaUser enters search criteria for the appropriate account. Searches can be conducted using account number, account name, plate number, VIN, title number, and/or ACN. Partial search criteria are acceptable, for example, the first name of the account holder.4Search for accountSystem searches for account.5Specific account found?If YES, go to step 8;If NO, go to step 6.6Display list of possible accountsIf the search was conducted on partial criteria, e.g., first name, the system will return all accounts in which that first name appears. 7Locate specific account on listFrom the list returned in step 6, the user can select the desired account and use specific information as search criteria to conduct the search again.8Verify account information on applicationUser verifies that the account information on the application matches the account information on the ARP database.9Vehicle is active or inactive?If ACTIVE, go to step 10;If INACTIVE, go to step 30.10End account inquiryUser ends account inquiry and is returned to the ARP menu.11Display Apportioned Registration Primary MenuSystem displays the ARP Primary Menu.12Select Billing from menuUser selects BILLING from the ARP Primary Menu.13Display Billing Processor screenSystem displays the Billing Processor screen.14Enter required informationUser enters preliminary billing information, including supplement type, on this screen. Only one duplicate product can be requested at a time, resulting in a separate invoice for each product requested.If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.15Display next Billing Processor screenSystem displays the next Billing Processor screen.16Enter required informationUser enters required billing information based on specific ARP account needs. If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.17Return to primary menuSystem saves the billing information and returns the user to the primary menu.18Generate invoiceSystem generates invoice to include fees for requested duplicate products. 19Customer with payment?The printed invoice is provided as a correspondence to the customer and the entire amount is due before any products are issued.If YES, go to step 21;If NO, go to step 20.20Mail invoiceUser processes steps to mail the invoice to the customer. If the application was submitted by a business partner, messenger or legislative service representative, the invoice is returned to that source who then forwards it to the carrier.21Select Payment from menuUser selects payment option from the ARP Primary Menu.22Display Payment Processor Menu Select screenSystem displays the Payment Processor Menu Select screen.23Select payment transaction optionUser selects payment transaction option from the menu.24Display appropriate payment screenSystem displays appropriate payment screen based on user selection.25Collect and verify paymentUser collects payment from the customer for the ARP registration.26Enter payment informationUser enters payment information on the payment screen.27Generate productsSystem generates all required apportioned registration products, including new cab card(s), weight class decal(s), and renewal sticker(s). License plates are issued through the .centric system at this time also.28Issue products User presents products to the customer.29Prepare package and send for imagingA WID package is prepared to include all supporting documentation. The documentation is placed in a transporter box and sent to imaging.30End processProcess ends.Audit Carrier MileageOverviewApportioned carriers are required to preserve the “Operational Records” of the fleet registration application for a period of three registration years. For example, the mileage record of the year 2007 and 2008 must be retained until 2012 in order to support the 2008 application. Operational records kept for the carrier shall be documents supporting miles traveled in each jurisdiction and total miles traveled, such as fuel reports, trip sheets, logs or computer runs that can be supported by source documents when requested. The authenticity of mileage and registration will be verified and an assessment will be made for any deficiency found due. Any apportioned carrier, who refuses to comply with the mileage reporting requirement, shall not be entitled to apportioned registration privileges. Currently, PennDOT uses an accounting firm to provide audit services. The auditor assesses the operation records provided by the carrier and determines if the carrier owes apportioned fees or is owed a refund of apportioned fees. It is also possible that the auditor determines that the carrier cannot be assessed due to incomplete operational records or lack of operational records.Process FlowNarrativeStepActionNarrative1Start ProcessThe ARP Unit is required to audit 3% of the apportioned accounts on file for a given year per IRP requirements. The process starts when the Office of Information and Fiscal Systems (OIFS) generates the ARP Carrier Database.2Generate ARP Carrier DatabaseOIFS generates an ARP Carrier Database via MS Excel. The database includes the carrier’s account information, weight group information, vehicle information, and mileage information for the audit year. OIFS places the MS Excel file on the PennDOT FTP site which is accessible by the Auditor.3Receive ARP Carrier Database (FTP Site)The Auditor receives the ARP Carrier Database by accessing the FTP site and acquiring the MS Excel file.4Generate Quarterly Carrier Audit ListThe Auditor generates a list of carriers to be audited. This is done on a quarterly basis. The Auditor uses the same MS Excel file (refer to step 2) to generate a new list of carriers for the next quarter period.5Receive Quarterly Carrier Audit ListThe PennDOT Audit Administrator receives the list of carriers via email from the Auditor.6Remove Carriers (if necessary)The PennDOT Audit Administrator removes any carriers that have been audited recently. If a carrier is removed, the Auditor will replace that carrier with another carrier to ensure that the 3% target has been met.7Receive Carrier Audit List UpdatesThe Auditor receives the updated carrier list via email from the PennDOT Audit Administrator.8Notify Carriers and Request RecordsThe Auditor notifies the carriers on the approved list that they have been selected for audit. The Auditor requests that the carriers provide their operational records representing the appropriate audit year.9Receive Records (if provided)The Auditor receives the records from the carrier either via the mail or electronically, depending on the method by which the carrier submitted the records. In some cases, a carrier may choose not to provide their operational records. When that occurs, the Auditor indicates that the carrier is “un-auditable” in the audit findings (refer to step 11).10Perform AuditThe Auditor performs the audit by comparing the operational records provided by the carrier to the mileage information located in the ARP Carrier Database. 11Create Audit FindingsThe Auditor prepares the audit findings and indicates for each carrier the outcome of the audit. The carrier may or may not owe apportioned fees. The carrier may also be deemed un-auditable due to a lack of records or due to incomplete records.12Receive Audit FindingsThe PennDOT Audit Administrator receives the audit findings from the Auditor. A report is included for each carrier that has been audited. In addition, a bill for owed fees or a penalty for being deemed un-auditable may also be included. 13Update ARP SystemThe PennDOT Audit Administrator enters the audit month, year and code into the ARP system using the “Correct” menu option on the Main Menu. The format of the audit date field is “mm/cc/yy” where “cc” is a two digit numeric code representing the outcome of the audit (e.g., payment due, refund due, or un-auditable).14Update ARP Audit Database (MS Access)The PennDOT Audit Administrator updates the ARP Audit Database via MS Access. This database includes all the details of the audit including the audit date, outcome, amount owed, and date of carrier payment.15Provide Findings to CarrierThe PennDOT Audit Administrator forwards the audit findings to each carrier. Included in the carrier package are instructions on how to appeal the audit findings and how to request a re-audit.16Request Departmental Hearing?The carrier may dispute the findings of the Auditor. The carrier may do so by requesting a Departmental Hearing within 30 days of receiving the audit findings from PennDOT. If YES, PennDOT’s Departmental Hearing process is followed. The carrier will be contacted and the results of the audit will be reviewed.If NO, go to step 17.17Findings Include Bill?The PennDOT Audit Administrator determines if the audit findings for each carrier include a bill for fees owed.If YES, go to step 18.If NO, the process ends. No further action is required.18Create Case (CARATS)If the outcome of the audit indicates that the carrier owes fees, the PennDOT Audit Administrator creates a case on the CARATS system. 19Carrier Requests Re-audit?Upon receipt of the audit results, the carrier may select to go through the audit process again; or, the carrier may select to pay the amount owed.If YES, go to step 20.If NO, go to step 22.20Notify AuditorThe PennDOT Audit Administrator notifies the Auditor via email that a carrier has requested a re-audit. 21Receives Re-audit RequestThe Auditor receives the notification via email and restarts the audit process. Go to step 8.22Process Payment from CarrierThe PennDOT Audit Administrator processes the payment submitted by the carrier via the CARATS system.23Update ARP Audit Database (MS Access)The PennDOT Audit Administrator updates the ARP Audit Database with the payment information. 24Send Payments to IRP ClearinghouseOn a monthly basis, the PennDOT Audit Administrator runs a report from the ARP Audit Database that indicates which carriers have submitted payments. The report (in MS Excel format) is uploaded into the Time Sharing Option (TSO) program on the mainframe. The carrier audit payments are incorporated into the monthly recap of collected apportioned registration payments that must be submitted to other jurisdictions.The process ends when the carrier’s payment has been processed and the applicable payments are submitted to member jurisdictions.Supporting ProcessesIssue Hunter and Trip PermitsHunter permits are issued to owner-operators not operating as a lessor. The permits are a means of providing temporary registration (valid for 20 days) to assist the owner-operator while they secure work. The owner-operator may apply for a hunter permit by submitting an MV-585 form to PennDOT directly or by visiting one of PennDOT’s authorized business partners.Trip permits are required on vehicles over 26,000 pounds or 3 axles in other member jurisdictions if aPennsylvania-based registrant does not apportion with that jurisdiction. If not proportionally registered before entering any other member jurisdiction, a trip permit must be secured and carried in the cab of the vehicle for which the permit was issued. Trip permits are available from each member jurisdiction and may either be ordered in advance from the jurisdiction or obtained from a business partner.Neither hunter permits nor trip permits impact the apportioned registration fees of carriers. Due to that fact, they are not tracked in the current ARP system. Depending on the type of access granted business partners related to the future ARP system, they may be required to update carrier accounts with the permit number at the time a hunter or trip permit is issued.Issue Temporary AuthorizationsAfter an original application has been filed, vehicles can be added or deleted or weights can be changed by filing a supplemental application form in the same manner as the original. In order to be able to operate an added vehicle prior to receiving the permanent credentials from PennDOT, a carrier can obtain a TA from one of PennDOT’s authorized business partners. Authorized business partners may also contact the Federal DOT. The carrier must have a vehicle or a fleet currently apportioned with Pennsylvania and the added vehicle shall be subject to proportional registration and be permanently registered as part of the carrier’s fleet in Pennsylvania.The carrier provides the business partner all documentation required to register the vehicle including title, Manufacturer's Certificate of Origin (MCO), insurance, and lessee agreements. The supplemental registration application for the vehicle covered by the TA must be completed and submitted to PennDOT within 5 days of the date of the authorization. The TA is valid for 60 days.When the supplemental registration application is received by the ARP Unit, the service representative updates the apportioned account using the “Correct” menu option on the ARP main menu (refer to the Update Account process flow). An invoice is then generated for the carrier and, after payment; permanent credentials are mailed to the carrier.Future Capabilities As stated earlier in this document, the current ARP system is limited in several ways – outdated user interface, maintenance-intensive data architecture, restricted user access, etc. The new ARP system will be implemented in such a way as to provide:Web-based user interfaceIntegration with PennDOT systems including but not limited to CARATS, .centric, Electronic Document Management System (EDMS), Systems, Applications and Products (SAP), and PennDOT’s Data WarehouseEnhanced reporting capabilitiesAvailability of a greater variety of payment optionsImproved data archive and purge strategy Direct access by business partners, motor carrier customers, and PennDOT auditorsCompliance with the Performance and Registration Information Systems Management (PRISM) programImproved business and financial transaction management and reconciliation to support auditing by the Commonwealth’s ComptrollerThe Business and Technical Requirements table that appears on the following pages includes the current capabilities of the ARP system as well as the future capabilities identified by stakeholders during requirement elicitation meetings. The updated spreadsheet contains the following columns:New – Indication of the requirements that have been added to the spreadsheet since its first distribution to the vendors. New requirements contain a in this column.No. – Unique identifierBusiness Requirements – Statement of existing capability or future capability that must be fulfilled by the new solutionSystem Requirements - Statement of a technical component that must be addressed by the new solutionBusiness RequirementsNewNo.Business Requirements??= New Requirement added Business Functions: Account Management - The COTS/MOTS Solution provides functionality to…?1Create an Apportioned Account?1.1Assign new accounts an account number that is at minimum eight characters long.?2Cancel an Apportioned Account?3Update an Apportioned Account?3.1Apply alert to apportioned account based on current business rules (e.g., unpaid invoice, message from other jurisdiction, etc.).?4Inquire on an Apportioned AccountBusiness Functions: Maintenance - The COTS/MOTS Solution provides functionality to…?5Maintain an Apportioned Account?6Inquire on a Vehicle?7Renew Registration?7.1Support current annual registration cycle.?7.2Support future staggered registration cycle.?7.3Convert accounts to staggered registration cycle as indicated by PennDOT.?8Delete Vehicle/Fleet/ Weight Group?9Issue a Duplicate Product?10Add Jurisdiction(s) to an Existing Fleet?11Transfer a Plate from One Vehicle to Another?12Maintain a Vehicle Weight Group?13Maintain Vehicle Mileage?14Surrender a Vehicle Plate?15Transfer Vehicle from One Fleet to AnotherBusiness Functions: New Issuance - The COTS/MOTS ARP Solution provides functionality to…?16Add New Vehicle (self-service has a dependency based on the interfaces available)?17Issue Temporary Permits?18Inquire Permit/Temporary AuthorizationBusiness Functions: Audit - The COTS/MOTS ARP Solution provides functionality to…?19Identify Fleet(s) to Audit?20Track and report the status and results of audits.?20.1Provide total number of audits in progress and completed.?20.2Provide the number of audits that resulted in an invoice, a refund, or neither.?20.3Provide the number of audits for each motor carrier size category (e.g., small, medium, and large) determined by number of vehicles.?20.4Provide the number of un-auditable accounts (i.e., those which could not be audited due to no records or incomplete records).?21Maintain Re-Audit Request?22Capture Audit Results?23Approve and Process Audit Results?23.1Generate an invoice or refund based on audit results.?23.2Send collected audit fees to the IRP Clearinghouse.?24Provide Remote Access to AuditorsBusiness Functions: Financial/Invoicing - The COTS/MOTS ARP Solution provides functionality to…?25Multiple Apportioned Account Functions including but not limited to; New Account/Renewal, Add Vehicle, Weight Increase, Add Jurisdiction, Transfers, etc.?25.1Notify the Commonwealth's Attorney General of outstanding invoices that have aged 90 days or longer (requires interface with the Attorney General's system).?26Payment via multiple methods:?26.1EFT (Electronic Funds Transfer)?26.2Payment cards (including both debit and credit cards)?26.3ACH (Automated Clearing House)?26.4Web Self-Service?26.5Cash?26.6Refund ?26.7Check Exchange (internal PennDOT use only)?26.8Check (including PennDOT's Check 21 process) ?26.9Generate a Customer ReceiptBusiness Functions: Reports - The COTS/MOTS ARP Solution provides functionality to…?27Report Writing Capabilities?27.1Provide the ability to export base (system generated) reports to either a Microsoft Office or Adobe product as designated by PennDOT.?28Generate a Monthly and Yearly Renewed Account Report including account names and account numbers.?29Generate a Weekly, Monthly, and Yearly New Account Report including account names and account numbers.?30Generate an on-demand Mileage Report including account names, account numbers, actual mileage per jurisdiction, estimated mileage per jurisdiction, total estimated miles, total actual miles, and % paid.?31Generate a Daily and Weekly Report of Operator Activity including transaction ID (WID), fees collected, fees refunded, credits applied, and overridden transactions.?32Generate a Daily and Monthly Voided Transaction Report including operator, transaction ID (WID), original dollar amount, and corrected dollar amount.?33Generate an Annual Report of Audit Activity (for IRP use and internal use) including the following:?33.1Reporting Period?33.2IRP Fleets Renewed?33.3New IRP Fleets?33.4Total Number of IRP Fleets?33.5Total Number of Fleets Required to be Audited (3% of Total)?33.6Audits Resulting in Fee Changes (Invoice or Refund)?33.7Audits Resulting in No Fee Changes ?33.8Total Fee Changes and Total No Fee Changes?33.9Total IRP Registrants?33.10Total Number of Power Units (Trucks, Tractors, Buses)?34Generate Updated Estimated Mileage Chart (yearly)?35Generate a Monthly Outstanding Audit Aging Report (30-60-90 and over 90 aging buckets).?36Generate a Monthly Outstanding Invoice Aging Report (30-60-90 and over 90 aging buckets).?37Generate a Daily Refund Report including refunds to accounts and refunds to jurisdictions.?38Generate a Daily Account Balance Report including accounts with overpayments.?39Generate an on-demand Deletion Report including deleted weight groups, vehicles, fleets, and accounts.?40Generate an on-demand Account Alert (i.e., stop code) report including all accounts on which alerts have been placed.?41Generate an on-demand Issued Tags Report including all tags issued during requested reporting period.Business Functions: Correspondence/Notification - The COTS/MOTS ARP Solution provides functionality to…?42System Generated Correspondence/Notification?42.1Generate Mileage Invitation Letters?42.2Generate Renewal Invitation Letters?42.3Generate Account Statements showing overdue account balances in 30-60-90 accrual buckets.?42.4Renewal Denial Notification Letters to carriers who cannot renew due to PRISM sanctions.?42.5Apportioned Deposit Transmittal to jurisdictions not participating in the IRP Clearinghouse.?42.6Generate overdue account notification letters for accounts with balances that have aged over 90-days.?42.7If sending system generated correspondence or notifications via email, utilize PennDOT's MS Exchange server.?42.8Store images of all generated correspondence on PennDOT's Electronic Document Management System (EDMS).?42.9Provide the ability to retrieve stored images of all generated correspondence via access to PennDOT's Electronic Document Management System (EDMS).Business Functions: Automated Interfaces - The COTS/MOTS ARP Solution provides functionality to…?43Automate interfaces to the following internal and external entities/systems:?43.1IRP Clearinghouse (for payments, refunds and inquiry)?43.2Public Utility Commission (PUC)?43.3Department of State (DOS)?43.4Department of Revenue (DOR)?43.5PennDOT's Certified Public Accounting Firm?43.6FMCSA's Motor Carrier Management Information System (MCMIS)?43.7Polk Citizen-Dealer Vehicle Sales Database?43.8Black Book Used Vehicle Database?43.9PennDOT's Inventory Management System (.centric)?43.10PennDOT's Electronic Document Management System (EDMS) to create yearly account records.?43.11PennDOT's Enterprise Accounting System (SAP) for revenue collection (daily) and refund processing (weekly).?43.12Pennsylvania Attorney General's system for outstanding receivables.?43.13Commonwealth's address verification subscription service.?43.14Any system required to comply with PRISM requirements (refer to the Commonwealth's PRISM Implementation Plan).?43.15Internal Revenue Service (IRS) for verification of Heavy Vehicle Use Tax. This requirement is dependent upon IRS approval.Business Functions: Expand Service Channels - The COTS/MOTS ARP Solution provides functionality to…?44Provide Self-Service Capabilities?44.1Inquire Apportioned Account?44.2Maintain Apportioned Account?44.2.1Request Duplicate Product?44.2.2Renew Registration?44.2.3Add a Jurisdiction?44.2.4Update Mileage?44.2.5Update Account/Contact Information?44.2.6Add New Vehicle per business rules defined by PennDOT. This function requires an interface with the CARATS system.Business Functions: Compliance - The COTS/MOTS ARP Solution provides functionality to…?45Comply with the federal International Registration Plan (IRP). (Refer to original RFP for details.)?46Provide update to the Commonwealth Automated Registration and Titling System (CARATS).?46.1Can be configured to send CARATS vehicle records created by ARP and update vehicle records modified by ARP.?46.2Can be configured to interface with CARATS real-time to support the retrieval of data which will be used to pre-fill designated ARP screen fields.?46.3Can be configured to receive CARATS updates including fee amounts, Work Identification Numbers (WIDs), returned check alerts (e.g., stop codes), and other key data elements either real-time or overnight batch processing.?47Complies with the Commonwealth's PRISM Implementation Plan. ?48Provide automated data archive and purge solution that complies with PennDOT's business and financial data retention requirements.?48.1Retain detailed business and financial data in the production environment from zero (immediate transactions) through 6 years.?48.2Transactions 15 years and younger will be archived in a designated On-Line Analytical Processing (OLAP) environment. ?48.3Data older than 15 years will be purged.?48.4Data Warehouse data will be refreshed daily.?48.5Retain stored business and financial document images in PennDOT's Electronic Data Management System (EDMS) for 15 years.Business Functions: Financial Accounting - The COTS/MOTS ARP Solution provides functionality to…?49Assign a deposit date to all transactions.?50Support electronic cash drawers for users.?51Support multiple fee codes per transaction.?52Provide user-configurable fees that can be modified and are supported by business rules (e.g., assigned grace periods for new fees).?53Calculate systematically product and service costs.?54Support multiple payment types across service channels (i.e., split payments). ?55Accept partial payments, accept overpayments, and maintain customer account balances.?56Create and transmit financial files to the IRP Clearinghouse.?57Support financial reconciliation at multiple levels (e.g., by cash drawer, deposit date, deposit month, service channel, and fiscal year). Also referred to as multi-tiered balancing.?58Create invoices for ARP transactions and return check processing.?59Provide error/rejection processing consistent with the maintenance of the customer's account balance (i.e., remitted funds related to a rejected transaction remain on the customer's account balance).?60Provide the ability to void transactions that have been paid consistent with the maintenance of the customer's account balance (refer to above requirement).?61Support the waiving of fees based on established fee waiver reason codes. Provide the ability to track processed fee waivers by reason code.?62Provide the following financial reports (refer to Appendix A for examples of current financial reports):?62.1Daily Report of Closed Payment Batches – Contains all closed cash drawer transactions showing amount remitted and payment type.?62.2Daily Report of Revenue Code Distribution Detail – Summary report of all the revenue code distributions by fund code.?62.3Daily Report of Fee Code Distribution Detail – Detail report of all fee-related transactions from payment batches closed the previous day.?62.4Daily Report of Fee Code Adjustments – Detail report of fee code adjustment transactions from the previous day.?62.5Daily Report of Payment Batches Not Closed – Detail report of payment batches that have not been closed.?62.6Daily Report of Locked Payments Batches Not Received – Detail report of payment batches that were locked but that haven’t been received in Depositing.?62.7Daily Report of Closed Accounting Date Fee Codes – Summary report of revenue by fee code for a “closed” (reconciled) accounting date.?62.8Monthly Report of Fee Code Distributions – Summary report of monthly revenue by fee code for a “closed” (reconciled) month.?62.9Monthly Report of Deposit Unit’s Summary - Summary report of monthly revenue by revenue code for each deposit unit (service channel) for a “closed” (reconciled) month.?62.10Refund Report – SAP Interface – Weekly report of all refunds by refund status and service channel.?62.11Daily Report of Payment Card Activity – Detail report of all payment card transactions.?62.12Daily Report of ACH/EFT Activity - Detail report of all ACH/EFT transactions.?62.13Daily Report of Unbalanced and Outstanding work identification numbers (WIDs) to support front-end depositing process.?62.14Daily WID Listing By Batch Number – Daily detail listing of all front-end mail fee remit batches.Business Functions: Transaction Identification/Management - The COTS/MOTS ARP Solution provides functionality to…?63Assign each transaction a designated work identification number (WID) as defined by PennDOT. ?63.1The current WID supported by the .centric system includes: two digit year, three digit Julian date, five digit operator ID, and six digit unique sequence number.?63.2The current WID supported by the CARATS system includes: two digit year, three digit Julian date, four digit operator ID, and six digit unique sequence number.?64Assign a WID to all existing ARP transactions that are currently identified by an Accounting Control Number(ACN).?64.1Provide the ability to locate ARP account transactions using the system-generated WID as well as the original ACN.?65Provide the ability to print the WID on system generated forms and payment checks.?66Locate funds deposited by PennDOT prior to the start of the transaction using the assigned WID (i.e., front-end depositing).?67Provide the ability to enter a WID originally processed in CARATS and locate remaining balance to be applied to new ARP transaction.Business Functions: Bar-coding - The COTS/MOTS ARP Solution provides functionality to…?68Comply with PennDOT's existing bar code requirements.?69Embed the assigned WID on designated system generated bar codes.?70Comply with PRISM Cab Card Bar Code specifications.Business Functions: Business Partner Access - The COTS/MOTS ARP Solution provides business partners functionality to…?71Provide access to designated PennDOT business partners to perform the following functions according to PennDOT and IRP business rules:?71.1Create an Apportioned Account?71.2Inquire an Apportioned Account?71.3Update Apportioned Account?71.4Maintain Apportioned Accounts?71.4.1Surrender Vehicle Plate?71.4.2Issue Duplicate Product?71.4.3Add Jurisdictions?71.4.4Update Vehicle Weight Group?71.4.5Transfer Vehicles?71.4.6Transfer Plate?71.4.7Renew Registration?71.4.8Add New Vehicle (requires interface with CARATS system)?71.4.9Update Account/Contact Information?71.4.10Issue Extension of Temporary Authorization?71.5Issue New Products?71.5.1Issue Temporary Authorization?71.5.2Issue Hunter Permit?71.5.3Issue 72-hour Permit?71.5.4Track issued permit number (requires interface with .centric)Business Implementation/Training - The COTS/MOTS ARP Solution will include…?72Direct (in-person) training of PennDOT staff (approximately 25 individuals) to be conducted at a designated PennDOT facility.?73Train-the-trainer sessions for PennDOT business partners and call center staff.?74Training materials including user guides and training presentations covering the core ARP application functions.?75Training materials including user guides and training presentations covering the self-service application functions.?76Updates to user guides and training presentations covering changes to the application implemented by the vendor (vs. PennDOT staff).?77Weekly project status reports including identified risks, issues, action items, and current project plan.System RequirementsNewNo.System Requirements??= New Requirement System Requirements - The COTS/MOTS ARP Solution…?1Allows for the encryption of sensitive data when being sent over the network.?2Complies with Commonwealth standards and policies for devices internal to the Commonwealth to be managed by PennDOT staff.?3Complies with PennDOT security update policies for devices internal to PennDOT.?4Allows all devices internal to PennDOT to be secured according to PennDOT specifications.?5Includes database design compliant with PennDOT security and privacy policies for the storage of sensitive data.?6Includes scalable architecture to allow for an increase in system capacity without performance degradation.?7Utilizes industry-standard communication protocols to support all interface requirements (e.g., Web Services, XML).?8Provides configurable communication settings (e.g., the ability to change communication ports over time).?9Establishes an application software maintenance schedule.?10Supports multiple test environments including, but not limited to, user acceptance testing and integration testing.?10.1Provides three pre-production environments as well as one production environment.?11Provides the ability to add, update, or delete test data without software or hardware upgrades. ?12Can be configured to interface with CARATS (Commonwealth Automated Registration and Titling System) with security access and be flexible and modular to accommodate easy modification or expansion. (Refer to original RFP for details.)?13Includes an archival/purge strategy for both data and data images.?14Includes components that must be hosted by PennDOT (e.g. database server, application server, web server, etc.).?14.1Includes knowledge transfer to designated PennDOT technical staff.?14.2Can be configured to interface with EMC Captiva for document capture from scan devices.?14.3Can be configured to interface with IBM FileNet for imaged document storage and management.?14.4Can be configured to interface with PennDOT's Electronic Document Management System (EDMS) for imaged document retrieval.?15Includes server components that are compatible with Microsoft Windows Server 2003 or 2008. ?16Includes client components that are compatible with Microsoft Windows XP.?17Includes client components that are compatible with Microsoft Windows 7(64 bit) or provide an upgrade path to Windows 7(64 bit).?18Utilizes TCP/IP protocol for network communication.?19The solution will be hosted by PennDOT. ?20Server Operating System will be Windows 2003 or 2008 or zLinux (SLES 11), ?21Application architecture will be J2EE or .NET?22Presentation tier will be Web based?23The middle tier application servers will be IBM WebSphere or .NET Application Server (IIS) ?24The solution database tier will be Oracle 11g, DB2 , or SQL Server 2008 ?25The solution will provide a documented data model and data dictionary. ?25.1Includes capability to support Data Warehouse ETL (Extract, Transform and Load) scheduled process using Informatica PowerCenter product.?25.2The Data Warehouse will be comprised of data that is zero to 15 years old. ?25.3The Data Warehouse will be updated daily with changes from the production environment.?26The solution shall support IE verison 8 or greater web browsers. ?27The system shall integrate with CA SiteMinder for application authentication to support single sign-on.?28The system shall integrate with CA Identity Manager or PennDOT approved authorization system for roll based authorization.29The system shall meet PennDOT's performance requirements. 30The system shall meet PennDOT's availability requirements. 31The system shall meet PennDOT's capacity requirements. 32The system shall adhere to the Office of Administration (OA) information technology bulletins and PennDOT IT standards.Appendix A – Example Financial ReportsDouble-click on the icon below to view the attached PDF document containing the example financial reports.Acronyms and DefinitionsAcronymDefinitionDescriptionACHAutomated Clearing HouseAn electronic network for processing financial transactions in the United States. Both the government and the commercial sectors use ACH payments. Businesses increasingly use ACH online to have customers pay, rather than via credit or debit cards.ACNAccount Control NumberNumber stamped on applications, submitted paperwork, and check payments that is used within the ARP computer system to track processing.ARPApportioned Registration ProgramPennDOT system that processes apportioned registration transactions.BBSSBureau of Business Solutions and ServicesBureau within PennDOT responsible for the development and support of PennDOT’s information systems.BIOBureau of Infrastructure and OperationsBureau within PennDOT responsible for providing support for all components of an information technology network that are needed to support the business requirements of the Department of Transportation. The Bureau will ensure compliance with Commonwealth policies so interagency requirements can also be fulfilled.BMVBureau of Motor VehiclesA Pennsylvania governmental agency responsible for administering vehicle titling and registration; housed within the Pennsylvania Department of TransportationCARATSCommonwealth Automated Registration and Titling SystemPennDOT system that processes all vehicle titling and registration transactions.centricN/A – not an acronymPennDOT system that manages product inventory for the Bureau of Motor VehiclesCOTSCommercial-Off-the-ShelfApplication software that can be purchased as an alternative to in-house development but typically requires customization that is tailored for specific usesDL&CDriver License and Control SystemPennDOT system which processes driver licensing applications, sanction notifications, and driver privilege restorationsDORDepartment of RevenueA Pennsylvania governmental agency responsible for collecting Personal Income Tax, Sales and Use Tax, all corporate taxes, Inheritance Tax, Realty Transfer Tax, Motor Fuel Taxes and all other state taxes?DOSDepartment of StateA Pennsylvania governmental agency that, among other responsibilities, houses the Corporation Bureau which maintains the records repository of more than?2.6 million companies that do business in the Commonwealth and serves as the centralized filing office for Uniform Commercial Code financing statements. In order to register a business, you will need to file with the Corporation Bureau.DOTDepartment of TransportationA Pennsylvania governmental agency that oversees transportation issues in the CommonwealthEDMSElectronic Document Management SystemPennDOT system in which electronic versions of scanned documents are storedEFTElectronic Funds TransferName given to the process of electronic payment and collectionEINEmployer Identification NumberAlso known as a Federal Tax Identification Number; used to identify a business entityFMCSAFederal Motor Carrier Safety AssociationPart of the US Department of Transportation (DOT) whose primary responsibility is to prevent commercial motor vehicle-related fatalities and injuriesFTPFile Transfer ProtocolStandard network protocol used to transfer files from one host to another host over a Transmission Control Protocol-based network, such as the InternetICCInterstate Commerce CommissionFederal operating authority that looks after the rules governing transport companies for hire across the different state lines. An ICC permit is required when you carry commodities over different state lines.IFTAInternational Fuel Tax AgreementAn agreement among all states (except Alaska and Hawaii) and Canadian provinces (except Northwestern Territories, Nunavut, and Yukon) to simplify the reporting of fuel used by motor carriers operating in more than one jurisdictionITInformation TechnologyThe management of technology which spans a wide variety of areas including computer software, information systems, computer hardware and programming languages IRPInternational Registration PlanRegistration reciprocity agreement among US states and Canadian provinces providing for the payment of license fees on the basis of total distance operated in all jurisdictionsMCMISMotor Carrier Management Information SystemFederal Motor Carrier Safety Association (FMCSA) system that stores carrier census and safety informationMCOManufacturer's Certificate of OriginA document created by a manufacturer when a vehicle is created. It is used as the proof of ownership of the vehicle until the vehicle is titled.MDAMulti-Dimensional AnalysisA data analysis process that groups data into two or more categories: data dimensions and measurementsMOTSModified-Off-The-Shelf A MOTS software product is typically a COTS software product whose source code can be modified.? The product may be customized by the purchaser, by the vendor, or by another party to meet the requirements of the customer.MSMicrosoftAn American public multi-national corporation that develops, manufactures, licenses, and supports a wide range of products and services predominantly related to computing through its various product divisionsOIFSOffice of Information and Fiscal ServicesAn office within PennDOT that is responsible for the reconciliation and depositing of all motor vehicle and driver license funds collected, including sales tax paid on the purchase of vehicles. This office is also responsible for providing IT services and supporting IT projects within Safety Administration.OLAPOn-line Analytical ProcessingAn approach to swiftly answer multi-dimensional analytical (MDA) queries. OLAP is part of the broader category of business intelligence which also encompasses relational reporting and data mining. Typical applications of OLAP include business process management and reporting.PennDOTPennsylvania Department of TransportationBureau of the Commonwealth of Pennsylvania that provides driver and vehicle services, traveler information, and details on public safetyPUCPublic Utilities CommissionA Pennsylvania governmental agency that, among other responsibilities, regulates motor carriers that transport property, passengers or household goods as well as brokers of passenger transportation between points in Pennsylvania for compensation. Property carriers (e.g., trucking companies) and charter bus carriers (seating capacity of more than 15) are regulated for safety and insurance requirements only.PRISMPerformance and Registration Information Systems ManagementCooperative program between federal and state governments to link safety fitness to vehicle registrationsRFPRequest for ProposalA document that is issued at an early stage in a procurement process, where an invitation is presented for suppliers, often through a bidding process, to submit a proposal on a specific commodity or service. The RFP process brings structure to the procurement decision and is meant to allow the risks and benefits to be identified clearly upfront.ROCRiverfront Office CenterMain PennDOT building which houses Safety AdministrationSAPSystems, Applications and ProductsEnterprise accounting software used to manage business operations and customer relationsTATemporary AuthorizationTemporary registration credentials issued to carriers that are valid for 30 daysTA AgentTemporary Authorization AgentMessenger service, wire service, dealer or authorized trucking company that purchases blank TAs (form MV-586) to be issued when requested by carriersTSOTime Sharing OptionAn interactive time-sharing environment for IBM mainframe operating systems; many persons can access the operating system concurrentlyUS DOTUnited States Department of TransportationDivision of US Government responsible for ensuring a fast, safe, efficient, accessible and convenient transportation system that meets our vital national interestsVINVehicle Identification NumberName given to the hard coded number imprinted on all vehicles by the manufacturerWIDWork Identification NumberA unique number that the Bureau of Motor Vehicles uses to identify each document submitted along with an application for titling and/or registration ................
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