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OFFICE OF SYSTEMS INTEGRATION
REQUEST FOR PROPOSAL OSI 7100-181
UNEMPLOYMENT INSURANCE
MODERNIZATION PROJECT
SECTION 4 – PROPOSED SYSTEM
SEPTEMBER 17, 2007
ADDENDUM 2
ISSUED BY:
STATE OF CALIFORNIA
DEPARTMENT OF GENERAL SERVICES
TECHNOLOGY ACQUISITIONS SECTION
707 3RD STREET, 2ND FLOOR
WEST SACRAMENTO, CA 95605
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Table of Contents
(Section 4 – Proposed System)
4 PROPOSED SYSTEM 4
4.1 VISION .......................................................................................................................... 4
4.1.1 UI Program ............................................................................................................... 4
4.1.2 Information Technology ............................................................................................ 7
4.2 BUSINESS FUNCTIONS.............................................................................................. 8
4.2.1 Claim Filing ............................................................................................................... 8
4.2.2 Continued Claims ..................................................................................................... 9
4.2.3 Adjudications ............................................................................................................ 9
4.2.4 Reporting ................................................................................................................10
4.2.5 Other Business Functions ......................................................................................10
4.3 ORGANIZATIONAL CHANGES .................................................................................11
4.3.1 UI Branch ................................................................................................................11
4.3.2 Information Technology Branch (ITB) ....................................................................11
4.3.3 Department of Technology Services (DTS) ...........................................................12
4.4 TECHNICAL ENVIRONMENT....................................................................................12
4.4.1 Telephony ...............................................................................................................12
4.4.2 Continued Claims System Redesign......................................................................15
4.4.3 Web-Content Management ....................................................................................17
4.4.4 Security ...................................................................................................................18
4.5 IMPLEMENTATION STRATEGY ...............................................................................19
4.5.1 System Deployment ...............................................................................................19
4.5.2 Training and Knowledge Transfer ..........................................................................19
4.5.3 Project Management ..............................................................................................20
4.5.4 System Development .............................................................................................20
4.5.5 System Transition ...................................................................................................21
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Table of Figures
(Section 4 – Proposed System)
FIGURE 4.1 PROPOSED UCD SYSTEM ..........................................................................14
FIGURE 4.2 VOICE OVER INTERNET PROTOCOL CONFIGURATION ........................15
FIGURE 4.3 OVERVIEW OF THE SERVICE ORIENTED ARCHITECTURE AND
COMPONENTS ..............................................................................................17
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4 PROPOSED SYSTEM
This section describes how the delivered solution will meet the business and
technical needs of the Unemployment Insurance (UI) Program, both now and in the
future. The information presented in this section is for the reader‘s understanding of
the vision of the future System and does not convey any requirements for the
Unemployment Insurance Modernization (UIMOD) Project. All requirements may be
found in Sections 5, 6A – 6D, and 10 of this RFP.
The Department will use the State‘s CALNET 2 Master Service Agreements to obtain
services for the CCNPAU subproject solution.
4.1 Vision
4.1.1 UI Program
The UI Program relies on federal funds to support the administration of the UI
Program. Population growth in California continues to increase the UI Program
customer base. At the same time, shrinking federal funds require that the State
develop new and innovative ways to complete the work with fewer dollars. The
UIMOD Project will help meet the goal of improving customer service through
automation efforts while staying within the funding resources.
The Call Center Network Platform and Application Upgrade (CCNPAU) subproject
builds an infrastructure for the UI centers so that the workload can be better
managed with more flexibility while at the same time reducing costs associated with
the telecommunications infrastructure.
The Continued Claim Redesign (CCR) subproject eliminates the most labor-intensive
activities inherent in the continued claims process and provides additional self-
service capacity for customers allowing for a redirection of staff resources to other
business functions within the UI Program.
This Project will provide the Department with the opportunity to improve fraud
detection and prevention capabilities through the development of new business
processes and technologies.
4.1.1.1 UI Program Vision for CCNPAU
The CCNPAU subproject replaces the current call processing systems in the existing
six call centers and the Insurance Accounting Division (IAD) with a more modern,
flexible, and integrated call center platform. This solution provides statewide call
queuing (versus one for each call center) and routes calls based on agent‘s skills
rather than the skill group the agent is assigned. The solution also records
information on every selection made by the caller in the Interactive Voice Response
(IVR) to an agent, associates historical data on prior calls from the caller‘s telephone
number and calls associated with the supplied Social Security Number (SSN). This
new System will have a single management information system that reports all call
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activity. The new platform will be extended to the eight (8) Primary Adjudication
Centers (PACs) to increase UI‘s incoming call answering capacity to 15 total call
centers.
The Unified Call Distribution (UCD) System will support the UI Program in three (3)
ways:
1. UI Initial Claim Filing Support – Calls to file UI claims for benefits will be
received and routed, using a skills-based matrix by the UCD, to 14 call
centers. The result is that Employment Development Department (EDD) will
be able to respond to an increasing workload within current resource levels.
2. UI Continued Claim Certification – UI Claimants must certify their eligibility for
benefits using paper documents mailed on a bi-weekly basis. An initial
certification application modeled on the existing paper process will be
deployed to collect claimant certification over the telephone and Web.
3. UI Information and Questions – Thousands of callers contact the call centers
every day seeking information regarding the UI Program. The UCD will
provide pre-recorded answers to standard questions. Other calls will be
directed, using skill-based routing, to the staff with the necessary skill set.
Redesigning the IVR System and interfacing with current (and future) data
sources will allow the IVR to handle more customer self-service information
requests without agent assistance. Greater automation options for routine
inquiries will allow EDD agents to focus on the more complex customer
service cases and handle other UI workload.
In addition, skills-based routing enables managers to:
1. Reduce time spent managing Automatic Call Distribution (ACD) groups.
2. Improve first-call resolution.
3. Reduce hold time.
4. Reduce abandon rates.
5. Balance agent workload more equitably among the call centers.
6. Increase overall call center performance and agent productivity.
Call Queuing will be virtual and centralized, with all agents logically in the same call
center. Calls will be handled on a First In, First Out (FIFO) basis within the
constraints of skills-based routing. Incoming calls will be routed to the next available
agent (who meets the skills requirements) in any call center or adjudication center,
statewide. The UCD System will calculate where the shortest waiting time exists and
will reroute calls should conditions change. This meets the need of responding to
calls as quickly as possible.
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4.1.1.2 UI Program Vision for CCR
The CCR subproject enhances the telephonic certification established by the
CCNPAU subproject, deploys an internet certification channel, redesigns the
payment logic and internal payment processing applications, and provides self-
service capability. The System will validate claimant responses, eliminate re-work,
the need to reissue forms, and enable UI to ask clarifying questions to determine if
eligibility issues exist. The System will handle all payments, including replacements
and adjustments; and all certification types, including those that require information
from employers or training providers.
Continued claims begin after the initial claim is filed, and includes accepting claimant
certification information, evaluating whether the claimant complied with their
individual eligibility requirements, calculating benefits payable (if any), and initiating
payment distribution. The need for adjudications can arise during either initial or
continued claims. The functionality to determine eligibility during adjudication is not
included in CCR. Handling adjudication or appeal results is included, as these
decisions may affect claimant eligibility conditions and/or the disposition of any
pending certification(s). The CCR subproject must continue to work with the benefit
account system‘s functions.
The CCR subproject implements a business rules framework and will capture
information currently stored in unstructured fields as discrete elements. These
changes allow the System to make decisions and process workload that currently
requires staff intervention. The CCR System holds the UI business rules and
automatically authorizes payment if eligibility conditions have been met, or schedules
an adjudication interview if eligibility issues exist. The CCR subproject re-designs
user screens with new graphic ―user-friendly‖ features. The CCR subproject also
establishes work queues, similar to CCNPAU‘s skills-based routing concept, which
efficiently direct workload to the staff, not necessarily the office.
The data available in the CCR System will allow EDD to construct a more robust
reporting System which will operate in multiple ways. Real time data ―dashboards‖
will provide managers access to a collection of important business statistics in real-
time, so that decisions can be made immediately as business conditions change.
Reporting (standard, ad hoc, and queries), data mining, and analysis tools will be
implemented allowing for strategic data-based business decisions and required
federal reporting requirements.
The CCR subproject also contains a web content management component allowing
staff to initiate web content approval, distribute approved information to the EDD
Internet site, and archive prior web content.
4.1.1.3 Unemployment Insurance Modernization Project
Both the CCR and CCNPAU applications will integrate data for fraud detection
activities. By associating caller data to a unique identifier (e.g. the SSN) and
transactional data, patterns of fraud may be detected. Since the CCR subproject
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establishes the data repository, including all claimant demographic information, it
includes the functionality to check with the US Postal Service, all US residential and
mailing address changes received. A further step sends a notification to claimants at
their new and old addresses, that an address change has been received and
processed by EDD. This prevents the ―hijacking‖ of a claim by having address
changes submitted by someone other than the claimant.
4.1.1.4 Future Considerations
Deploying a modern call center platform also gives EDD the capability of
implementing future features such as screen pops, voice recognition, predictive
dialing, call recording and monitoring, and Customer Relationship Management
(CRM) functionality. The current call center platform is not capable of implementing
these advanced features.
All applications built for UI will address current project scope and position EDD for the
future. For example, during the detailed CCR System design and development, all
data models and business rules involving eligibility must be accounted for to address
current needs, plus create placeholders for anticipated future functionality. Several
projects (e.g. Internet Initial Claims and Adjudication Automation) and initiatives (e.g.
Direct Deposit) have already been identified. All future applications will add on to the
CCR ‗core‘ established during the UIMOD Project.
Future systems designed for the UI Program need to be built for maximum flexibility
and ability for expansion, modification or extension with minimal rework and short
turn-around times. All user screens developed should include drop-downs and
Graphical User Interfaces (GUIs) to make data entry and navigation as easy and
intuitive as possible for claimants and EDD staff. Self-service functionality should be
deployed wherever possible and appropriate (e.g. routine information and status
questions) and security risks to the Department are low. Any functionality developed
should be deployed equivalently across all channels (paper, Web, or phone) where
able, practical, and cost effective to do so. Additionally, since California has diverse
constituencies, all applications must be designed to support multiple languages
(whether initially deployed or not) and abilities (complying with all requirements of the
Americans with Disabilities Act (ADA), Federal Codes 508/255, and California
Government Code 11135).
4.1.2 Information Technology
The intent of the EDD for the UIMOD Project is to create a modern, flexible design
based on service-oriented and object-oriented concepts. The objective is to achieve
flexibility in terms of simplifying changes, rapid update to business rules, and support
for workflow. The primary goals are to design a System that is maintainable,
extensible, reusable and secure. To accomplish these goals the EDD is looking for a
design which embraces the idea of pluggable components and services, the
implementation of reusable infrastructure components for generic functions, the
definition and implementation of a reusable development process, and the definition
of class hierarchies to implement business logic.
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The CCNPAU technology must be available throughout the State so that centers
being newly upgraded to call centers and current call centers, can share the same
platform. A single UCD System hardware and software platform will be in place that
can be expanded to support current and future needs for:
1. Initial claims intake.
2. Responding to questions from customers.
3. Claim Certification.
4. Adjudication needs.
5. Other EDD needs as they arise.
Calls must be able to route across the platform to the most available agent. Voice
over Internet Protocol (VoIP) is the chosen technology to transport the calls. The
EDD must have access to manage Interactive Voice Response (IVR) and call routing
software. An intelligent call management system (incorporated in a UCD System)
will route calls based upon customer input to the next available agent that has the
skills to best answer the calls. Skill areas include:
1. Language.
2. Complexity or type of Unemployment Insurance Claim.
3. Type of question to be answered.
4. Other skills groups.
The System must allow the UI Program to respond to change quickly. This includes
workflow, resource allocation, call routing, and rule changes. Data collected is critical
to the operation of the System and for historical purposes. This data must be readily
accessible.
4.2 Business Functions
Generally, the major business functions are not changing. The UIMOD Project
improves customer service by providing the claimant greater access to information
on a self-service basis and upgrades the Systems that operate the business
functions. The following subsections describe how the UIMOD Project affects the
business functions as described in Section 3, Current System.
4.2.1 Claim Filing
The UIMOD Project does not change the initial claims filing process. Since claimant
identities, claims, and eligibilities are established during the initial claim process, the
UIMOD System will leverage the Web Based Claim Filing (WBCF) Project‘s data and
eligibility business rules where appropriate.
The new CCNPAU System must be able to route claim filing calls to all centers. The
continued claims application must include the ability to capture information required
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to reopen an existing claim. This information is normally collected by an agent who
key-enters the information into the System after deciding which reopening code is
appropriate. During this process, a continued claim form is usually requested to be
mailed to the claimant. Since the claimant is able to provide this information directly
to the System, WBCF business rules will be leveraged to accept the information
during the certification process and automatically reopen the claim without staff
intervention.
4.2.2 Continued Claims
The CCR subproject will further automate the continued claims function. The Project
plans to deploy the application in phases, starting with offering certification through
the Web and phone with similar functionality as the current paper process. This
application will allow EDD to test public response to the application. The System
modifies the current continued claims and exception list processing, enhances the
initial telephonic application with an interactive IVR and adds an interactive Web
application. As the public embraces electronic certification, remaining paper
workload drops, the System processes more certifications without staff intervention
and staff can be re-directed to complete other UI Program workload. Paper
certification will continue as an option for claimants to certify and also to function as a
backup system in the event that one of the electronic certification methods is
unavailable.
4.2.3 Adjudications
The CCR subproject does not change the adjudication interview process. When
CCR implements interactive certification, the System will automatically detect all
issues and schedule determinations using an interface to the Unemployment
Insurance Scheduling System (UISS).
Since the System will automatically schedule eligibility issues, there will be reductions
in exception list processing (e.g. claim record review, cold calling, and clarifications).
For certifications that cannot be immediately processed, the System will track why
the certification cannot be processed. If the certification is pending an adjudication or
appeal decision, the certification weeks will be processed by the System when the
decision is entered into the System.
For other pending certifications that require staff intervention, the System will route
work using specialized work queues to the staff that have the skills, knowledge, and
ability to process the work. The System will notify staff of the status of each item in
their queue and prompt staff for the required information. Once the information is
updated, the System will process the affected weeks according to the business rules,
or prompt staff for additional information. If it appears that First Payment Time Lapse
(FPTL) may be missed on pending certifications, the System will notify the
appropriate workflow manager.
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4.2.4 Reporting
The new CCNPAU Management Information System (MIS) will have integrated
reporting functions providing end-to-end data reports from the point a call is received
to the completion of the call; including type of call, time, claimant, and agent
information. This data will be exported from the UCD System to a standard database
where it can be matched with information from the benefit payments system and cost
accounting system. Reporting must include all data needed for the call routing
system to complete call routing functions.
The UIMOD System will continue to initiate the same reporting as the current system
does. However, the CCR subproject will implement reporting tools that will allow UI
to define new standard reports based on easily modifiable templates. Reports can
be customized and done as a one-time ad hoc report, or a personalized user‘s
standard report. In addition, the CCR subproject will develop dashboards that will
track and display standard and user-defined metrics giving critical UI statistics.
These dashboards may include items such as current call center agent status, calls
waiting in queue, calls handled, calls abandoned in multiple views, (e.g. daily, weekly,
monthly, by center, the entire network, by agent) or certifications received, pending,
or obstructed (including whether or not they are FPTL).
The Project needs to provide improved reporting capability that permits reporting
across multiple information sources, including demographic information, continued
claims data, adjustment data, telephone call information, Internet information,
employee data, and compromised SSNs.
4.2.5 Other Business Functions
4.2.5.1 Fraud Detection
The UCD System provides fraud detection/deterrent capability by identifying to EDD
the origin of the call and the identity associated with the point of origin. Potential
fraud will be identified using an automated cross match with databases including
Automated Number Identifier (ANI) for phone numbers and a unique claimant
identifier (e.g. SSN).
The UCD System provides security at two levels. The first assures that end users
(UI applicants and claimants) are authorized to use the UCD System and are using it
properly. The second assures that EDD staff using the UCD System are using the
functionality necessary to provide authorized services. As a result, confidential and
sensitive information will be protected, EDD will meet federal and state standards for
information protection, and fraud prevention and detection will be enhanced.
Since the CCR subproject will implement data mining tools, fraud analysts can create
data sets, analyze, and perform detailed analyses (―drill downs‖) to discover new
methods of fraud. Pre-defined and new fraud patterns can be entered into the
business rules engine to automatically alert the fraud analyst when a transaction
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occurs that meets the rules criteria. These items will be placed into specialized work
queues for fraud analyst review.
4.2.5.2 Form 1099G
The 1099G process will have automated information, and replacement form
requests, available via the IVR and Web.
4.2.5.3 Overpayments
There are no expected changes as a result of the UIMOD Project.
4.2.5.4 EDDCOMM
The EDDCOMM analysts will experience lower volumes of customer
correspondence as customers can obtain more information online regarding their
claims. The System will track the amount of questions captured for automatic
Frequently Asked Questions (FAQ) generation.
4.2.5.5 Web Content
This Project includes development of Web Content manager. Analysts at the
Unemployment Insurance Division Central Office (UIDCO) will use new processes to
create, edit, approve, and upload web content to the EDD internet site.
4.3 Organizational Changes
4.3.1 UI Branch
The UIMOD Project does not change the current UI Program organization. The
CCNPAU platform technology eliminates current call distribution geographical
barriers, allowing workload to be shared electronically between call and adjudication
centers. By expanding call answering capability to all Primary Call Center (PCC) and
PAC sites, all staff can provide claim filing, customer service, and adjudication
services allowing EDD to electronically shift workload in proportion to the demand for
services.
The new CCNPAU platform will allow EDD the opportunity to implement a key
strategic initiative of the UI Business Modernization Plan to create Multi-Functional
Centers (MFC). These centers would perform the full array of UI work, essentially
doubling the current Systems‘ agent population and call handling ability. Moving
towards multi-functional operations provides more flexibility in the UI Program for
distribution of work, disaster recovery, and improving the overall quality of the UI
Program. This strategy also provides greater cross training and upward mobility
opportunities for UI staff.
4.3.2 Information Technology Branch (ITB)
The ITB management recognizes that the current organizational structure may need
to change. The System will be built using new technologies and platforms, such as
SOA, XML, .NET, and VoIP. The ITB will assume support of these new Systems,
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while also continuing to maintain the legacy systems. The ITB has undertaken two
initiatives, ITB Realignment and Workload Management. These initiatives assess
the current structure, identify gaps, and propose an organizational structure and
workload management process to make ITB more efficient and effective as it
transitions to the new technologies and implements new systems that interface with
the legacy systems. The ITB organizational structure needs to become more
function-based and functions will be consolidated under the most appropriate lines of
business.
The ITB‘s Succession Plan for State Fiscal Years 2005-2007 identifies anticipated
gaps in staffing and skill levels that reflect the technology changes introduced by the
Project. The Plan identifies strategies (e.g., formal training, on-the-job training,
mentoring, and recruitment) to help EDD maintain the IT workforce needed to
achieve its strategic and operational goals. The Project‘s transition plan needs to
prepare staff to support this System.
4.3.3 Department of Technology Services (DTS)
The DTS will continue to host the production and pre-production environments as it
hosts the legacy applications today.
4.4 Technical Environment
4.4.1 Telephony
The new platform will provide a ‗virtual‘ and centralized call center environment
maintained by EDD. It will consist of a single UCD System that includes (but is not
limited to) an enterprise IVR, call routing using skills based routing, and telephony
enhancements.
The UCD System must be expandable and scalable to meet the current and future
needs for initial claims, customer inquiries, claim certification, adjudications, and
other departmental needs. System flexibility will enable users and technical staff to
configure the UCD dynamically. Most of the new System will be table driven so that
non-technical staff can make changes in scripts, logic, and queuing as situations
arise. This will enable EDD to respond quickly to changes in law, environmental
conditions, or changes in caller activity (type or volume).
A statewide network will provide the capacity for routing voice and data for the UI call
centers and for any needed connectivity to the EDD central office. The new platform
will use VoIP technology for transmission using the EDD‘s Local Area Network
(LAN)/WAN. The new System will provide redundancy so that operations can be
maintained in cases of technical failures or natural emergencies. The statewide
network will provide the capacity and bandwidth to support the UCD and data
communication needs at peak loads as described by the EDD.
The UCD will route calls within the enterprise based on customer input in the IVR and
the agent availability using skills-based routing.
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Call blockage to the enterprise IVR will be minimized. The new System will be
expanded to include continued claim certification.
The MIS will be integrated into the new enterprise System. The MIS will provide
reports regarding operational management of all of the call centers as well as
information to support decision making, planning, and fraud detection activities.
Reports will be accessible from all field and central office administrative workstations.
The UCD System will provide fraud detection/deterrent capability by identifying to
EDD the origin of the call and the identity associated with the point of origin.
The UCD System will include a state of the art telephony switch, with the future
option of unified messaging.
4.4.1.1 UCD Overview
Figure 4.1, Proposed UCD System, is a high-level diagram showing how calls are
delivered from a central entry point to their eventual destination.
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Figure 4.1 Proposed UCD System
CALLERS
CALLERS CALLERS
Continued
Claim Filing UI Information
Claims
UCD
Agents
Single Client
Database
(SCDB)
In the proposed architectural approach, analog T1 lines connect the UCD to the
Public Switch Telephone Network (PSTN). Calls are received by the UCD and
converted into digital data and then sent to the IVR for processing. If the call is not
satisfied in the IVR and needs agent assistance, the UCD will use the Skills-Based
Routing (SBR) system that is incorporated in the UCD for distribution. Distribution of
calls occurs over a digital network of T1 lines to the 15 call centers that also carry
data regarding callers and services. A voice-data gateway at the call center converts
the voice data so that agents and callers may speak to each other. The voice-data
gateway is, in essence, an extension of the VoIP UCD.
This uses a VoIP via EDD‘s LAN/WAN as illustrated in Figure 4.2, Voice over Internet
Protocol Configuration.
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Figure 4.2 Voice over Internet Protocol Configuration
UCD
Data Network T1's
Voice Data Voice Data Voice Data
Gateway Gateway Gateway
Switch Switch Switch
UI Agents UI Agents UI Agents
IP Phones IP Phones IP Phones
UI Agents UI Agents UI Agents
PCs
PC's
PC's
PCs PC's
PCs
4.4.2 Continued Claims System Redesign
The CCR subproject proposed solution will employ a flexible and extensible
architecture making use of service-oriented and object-oriented design concepts to
increase efficiency and offer self-service capabilities to UI claimants, employers, and
training providers. The service-oriented architecture model facilitates developing and
structuring applications to be scaleable and allows the System to be extensible and
maintainable. The System will replace the Unemployment Insurance System (UIS)
continued claims processing applications, yet the UIS will continue to be used for
initial claims, adjudications, claim corrections, and other UI functions. The
integration, coordination, and exchange of data between the new System and the
legacy systems will be critical.
Initially the Project will deploy a simple certification application patterned after the
existing paper certification process but leverage editing capabilities not available in
the current process.
Subsequent phases will offer an enhanced rules-based certification process,
available through paper, telephonic, and internet channels. The System will utilize a
business rules framework that offers a greater level of automation. The System will
have the capability to update selected business rules without the need for coding
changes.
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The EDD‘s Intranet will provide the access for UI Program staff functions. A robust
workflow system will better manage the workload.
A major challenge will be the synchronization and transformation of data between the
mainframe systems and the UIMOD System. Interfaces will need to be built and data
transformed for this exchange of information. The integrity of the SCDB must be
maintained to avoid disrupting downstream processes.
The architecture will clearly separate the different layers of the System. Client
programs, whether they are user interface programs or other systems, will interact
with the business tier through clearly defined public interfaces (the Business Façade)
and have no knowledge of or dependency on the internal implementation or logic in
the business components. Furthermore, the client programs will have no direct
access to the back-end database(s) and will have no knowledge of the database
structure. This clear separation of functionality is intended to provide extensibility and
maintainability, making it easier to modify various parts of the System while
minimizing the impact on other layers. The core business functionality of the System
will be comprised of a set of modular Business Services. The modular nature of the
Business Services and the limited dependencies between services will simplify the
process for exchanging or adding Business Services to the System.
Figure 4.3, Overview of the Service Oriented Architecture and Components, depicts
the high-level conceptual architecture for the CCR System.
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Figure 4.3 Overview of the Service Oriented Architecture and Components
The transaction database will only be accessible through an application and updates
to the data are through tested and approved applications. This database will not be
used for reporting and ad hoc queries. A separate data store will be used for
operational management.
The application architecture required for reporting and business intelligence will be
based on modern data warehouse practices. The Project will build a central
warehouse and data marts for business intelligence. Data will be extracted from
operational data stores into the central warehouse.
4.4.3 Web-Content Management
The UIMOD effort includes the installation of a commercial off-the-shelf tool that
enables UI Program business subject matter experts to publish UI content to the
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EDD Web site without intervention by EDD technical staff. This effort includes an
automated workflow process which will support an improved governance structure.
The new process will include maintenance of a complete history of all UI Web
content published and facilitate consistency between Web and IVR content.
4.4.4 Security
The Department maintains sensitive and confidential information. To protect this
information, the proposed System will provide security services in the following areas:
1. Trust & Identity Management.
2. Threat Defense & Infrastructure Protection.
3. Secure Connectivity.
4. Secure Business Processing.
5. Secure Data Storage & Management.
6. Business Continuity.
7. Identity Verification.
8. Client Self-Service Validation.
Security services will support all users (internal and external), different types of clients
(intranet smart client, intranet thin client, and extranet clients), all message transports
(http(s), Transmission Control Protocol (TCP), and Reliable Message Queuing), and
all platforms (.NET on Windows and OS/390).
The System will implement multi-factor authentication and will be responsible for
authenticating the user before allowing access to the System. All communication of
sensitive or confidential information must be protected.
The primary application-level security checks will be implemented at the Business
Façade level. Each request received by the Business Façade will be checked to
determine if the user making the call has the right to access and execute the
specified function or request. Only authorized requests will be passed to the
appropriate Business Service(s).
User roles will be defined and System functions will be grouped together into
features. Features will then be assigned to user roles requiring access to that
functionality. Information defining users, Roles and Features, as well as the access
granted to each user or Role will be stored in the Repository (Security Database).
The information in this database will be used by a security component running in the
Façade to perform security authorization checks on service requests.
All database access will be performed using a dedicated service account so
database-level security will be based on the service account and not on individual
user accounts. The Data Access Logic Component will access the database using
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its own special service account. The database will be locked down and the service
accounts will be granted the access they require for their associated services or
components to do their work. Stored confidential data will be encrypted.
The network will be configured with a typical Demilitarized Zone (DMZ) at the
periphery. There will be an external firewall guarding the outside of the DMZ and an
internal switch guarding the internal network. All communication of sensitive and
confidential information will be encrypted. (Note: A high level of encryption will be
required - 128 BIT- AES or a strong, industrial standard.)
For CCNPAU, each cluster (servers, switches, routers, etc.) whether within an EDD
call center or in the central office will be behind a firewall connected to the DTS/EDD
WAN using security conventions. The IVR will require an authentication service and
support multiple directories with different schemas as Identity databases.
4.5 Implementation Strategy
4.5.1 System Deployment
The implementation must provide a timely return on investment and have minimal
negative impact to the public and field operations. The deployment strategy
envisions releasing functionality in phases that can begin to provide workload relief
and processing efficiencies. The UI Branch seeks to leverage the new telephony
and Web platforms as early as possible.
Because unemployment insurance provides temporary wage replacement for eligible
unemployed individuals, there can be no disruption of service to the public with the
deployment of the new technology and business applications. The deployment of the
new call center platform must ensure that the public has access to departmental
resources. The current call center platform will remain in place throughout the
implementation of the adjudication centers and the IAD call center to the new
platform. The current call centers will be implemented last. The current paper
continued claim certification process must continue to be operational through all
deployment phases. Deployment planning needs to consider the cyclical nature of
the UI Program workload when scheduling releases.
4.5.2 Training and Knowledge Transfer
Training and knowledge transfer for EDD staff that will use or support the System
must be considered since this is a major component of implementation.
The UI staff needs to receive training from the CALNET 2 Contractor on the new
telephone System. In addition, training must include sessions and materials for EDD
instructors who will be responsible for providing future training.
Project staff (analysts on loan to the Project from UIDCO) in conjunction with the UI
Field Training Team will develop the CCR System training for the UI staff. This team
will train trainers from the UI offices and provide them with training materials. These
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trainers will be responsible for training UI staff. Training will be coordinated with
System deployment for just-in-time staff training to maximize new skill retention.
The UIMOD solution will introduce a broad range of new technologies to EDD
requiring new processes and skills for support. The Contractor‘s approach to
prepare EDD‘s Unemployment Insurance Resource Management Office (UIRMO)
and ITB staff to assume support of the new System must start with an assessment of
the staff‘s skills and preparedness and include formal classroom training, hands-on
training, shadowing of Contractor staff, or a combination of training techniques. It is
expected the UIRMO and ITB staff will participate in configuration of the UCD and
VoIP Systems.
4.5.3 Project Management
The EDD contracted with the Office of Systems Integration (OSI) to provide Project
management services, including management of the Project office operations and
oversight of the Project office team. Contractor plans and processes must conform
to the UIMOD‘s Master Project Plan structure and content.
4.5.4 System Development
The System and architecture requirements must be verified. Detailed application
architecture views and diagrams, and a conceptual design and application meta-
model must be created. Project deliveries for both hardware and software will be
demonstrated with monthly iterations (Iterative Development) and deployed to
production when testing and training have been completed (Incremental
Deployment). The contents and schedule of each iterative build and release needs to
be identified to expose technically challenging areas of the Project as early as
possible.
The Contractor will be responsible for all development, testing, and testing results for
the new system, including hardware and software. The State will assist as needed.
State testing will be managed in conjunction with the UIMOD Quality Team and in
close association with the UIMOD System Engineering Team. The IT Branch (ITB)
System Testing Group (STG) and UI Branch are responsible for acceptance testing
that is inclusive of full business and System operations for any deployment to the
EDD production environment including end-to-end / structured.
Security testing will be performed by the ITB Security Group in correlation with the
ITB Information Security Office throughout the Project‘s duration and on an ongoing
basis.
The Enterprise Architecture (EA) Group is responsible for the management of the
EDD enterprise architecture. The UIMOD Project is expected to adhere to enterprise
architecture standards and guidelines where they exist. The UIMOD is expected to
work with the EA Group to ensure that the selected new technology is consistent with
the enterprise direction.
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4.5.5 System Transition
The UIMOD Project expects the Contractor to guide EDD in the development and
implementation of support processes as part of the transition. The transition plan
must identify the requisite staffing levels and skills to enable EDD to assume
responsibility for the Systems at proposed service levels before scheduled turnover
dates. The transition strategy must also synchronize with the Training Plan to ensure
a successful transition. The transition plan and any subsequent changes thereto
must be approved by the State prior to implementation.
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