New Jersey Department of Labor

1
New Jersey Department of Labor

• Unemployment Insurance Modernization Project

Technical Architecture NJ SUCCESSRevolutionizin
g Unemployment Insurance services in New Jersey
13 June 2003
2
Technical architecture for NJ SUCCESS

• NewJerseys
• State
• Unemployment
• Compensation
• Claimant (and)
• Employer
• Service
• System

3
Contents
Contents

• Context for this report
• Summary of recommendations
• NJDOLs business vision requires IT that enables
  business flexibility
• NJ SUCCESS must use a modern architecture
• NJ SUCCESS needs a standard approach for data and
  interfaces
• NJ SUCCESS will contain modern IT technologies
• Likely total costs for NJ SUCCESS are affordable
• RFP crosswalk
• Summary of product evaluations provided
• Appendices
• Appendix A metrics, presentation and business
  layer technologies
• Appendix B application and data layer
  technologies
• Appendix C infrastructure and overall
  architecture
• Appendix D workflow and imaging technologies
• Appendix E business rules and UI package
  technologies
• Appendix F CRM technologies
• Appendix G data architecture
• Appendix H security and networking

Overall approach (97 pages)
Detailed discussion of technologies (390 pages)
4
Context of this report in the UI Modernization
Program
Context
The Technical Architecture defines the future
technical environmentfor NJ SUCCESS, providing
capability of delivering UIs requirementsfrom
the Business Process Conceptual Design stage.

• 1. Baseline Description
• as-is analysis of current business and
  technology environment in UI
• reviewing parallel initiatives
• 2. Business Process Conceptual Design
• to-be analysis of desired final future business
  environment
• 3. Technical Architecture
• to-be analysis of desired final future
  technical environment
• 4. Strategic Plan
• desired implementation and migration approach
• including any intermediate stages on the way to
  the final technical architecture
• revisiting parallel initiatives

This report
5
Scope of the UI Modernization technical
architecture
Modern IT technologies

• The technical architecture report discusses all
  the IT components necessary to deliver the
  processes and performance envisioned in the UI
  Modernization Business Process Conceptual Design.
• this report delivers the requirements set out in
  the RFP
• a conceptual logical and a technical
  architecture
• an evaluation of the best appropriate combination
  of technologies
• high level analysis of Commercial Off The Shelf
  (COTS) vs. custom build and associated costs
• by agreement with the technical architecture
  team, network bandwidth sizing will be determined
  at a high level estimate in the Strategic Plan,
  with further iterations through the NJ SUCCESS
  design phase.
• additionally we have familiarized the State UI
  technical team with modern technologies
• we ran 25 hours of workshops on modern
  technologies and candidate products- supported
  by extensive technical research (see slides in
  appendices)
• helped build the UI-DIT-OIT technical team for NJ
  SUCCESS
• the reports technical architecture and approach
  have been validated
• leading UI software vendors and other states were
  assessed at the UI Technology Connection
  conference (June 9-12, 2003)

The technical architecture and approach proposed
in this reportwill make NJ SUCCESS one of the
most capable UI solutionsdeployed, positioning
New Jersey as a leader in the use oftechnology
to revolutionize Unemployment Insurance services
6
Summary of recommendations
Summary of recommendations
NJDOLs vision for UI Modernization is to deliver
revolutionized UI services while maintaining the
integrity of the Trust Fund To meet this vision,
NJDOL needs to develop a modern UI system (NJ
SUCCESS)
NJ SUCCESS will contain modern IT technologies
NJDOLs business vision requires IT that enables
business flexibility
NJ SUCCESS must use a modern architecture
NJ SUCCESS needs a standard approach for data and
interfaces
Likely total IT costs for NJ SUCCESS are
affordable
7
NJDOLs business vision requires IT that enables
business flexibility
NJDOLs vision for UI Modernization is to deliver
revolutionized UI services while maintaining the
integrity of the Trust Fund To meet this vision,
NJDOL needs to develop a modern UI system (NJ
SUCCESS)
NJ SUCCESS will contain modern IT technologies
NJDOLs business vision requires IT that enables
business flexibility
NJ SUCCESS must use a modern architecture
NJ SUCCESS needs a standard approach for data and
interfaces
Likely total IT costs for NJ SUCCESS are
affordable
8
BPCD vision is to be integrated and responsive
to customers
NJDOLs vision requires IT that enables business
flexibility

• The Business Process Conceptual Design (BPCD)
  identified a clear vision for future UI services
• We will deliver revolutionized unemployment
  insurance services,while maintaining the
  integrity of the Trust Fund.
• At each point of customer contact, we will
  provide a fair, friendly andhigh quality service
  to every member of the workforce community.
• This is a high quality customer service vision
  that will require investments in new IT.

9
BPCD business principles have technical
implications
Requirements from business process conceptual
design phase

• The Business Conceptual Design identified
  business principles that had strong technical
  implications
• customers will be able to access a holistic UI
  electronic case file remotely
• prevent incorrect payments, before they happen
• maintain equally the integrity of systems,
  processes and finances
• there must be one system and uniform, easy to
  access data
• get accurate data from the start and reuse it
  to avoid redundancy
• therefore information needs to be captured and
  stored electronically
• optimize staff resources by balancing workload
  across the state
• use tools effectively to enable performance
  management, development and policy improvement
• use workflow and case management to optimize
  end-to-end case processing
• therefore processes need to be measured and
  managed
• automate the repetitive tasks, thereby freeing up
  staff to help our customers
• encourage remote self-service (via phone, web or
  email)
• streamline communications using modern tools and
  encourage customers to use the same tools,
  particularly employers
• therefore efficiency improvements need improved
  automation

10
These business design principles translate into
functionality typical of modern systems
Requirements from business conceptual design phase

• Information needs to be captured electronically
  implies
• digital imaging and recording
• requirement for robust electronic forms
• enable eCommunications with all customers and
  partners
• requirement to handle an electronic case file
• be easily integrated with workforce partners
  applications and packages
• advanced configurable reporting and business
  intelligence capabilities are needed to support
  operations management, research, Federal
  reporting and strategic planning
• Processes need to be measured and managed
  implies
• possess multi-level fine granular role based
  security, with detailed audit trail
• should have built in / integrated control and
  monitoring tools for processes and systems
• requirement for workflow, business rules engine,
  customer relationship management, content
  management, imaging and document management
  functionality
• Efficiency improvements need improved automation
  implies
• business logic and workflow must be easily
  configurable and not reliant on a technical
  specialist
• be easily expandable for example, easy to add a
  new benefit program
• should be scalable, robust and flexible to adjust
  to variations in workload
• services should be available to customers and
  staff, 24x7
• a common look and feel for all modules, easy
  navigation and rich functionality

11
BPCD principles for the implementation phase
Requirements from business conceptual design phase

• In addition, the State has defined some
  fundamental implementation principles that impact
  the technical architecture and implementation
  approach selected
• strategic ownership must remain with the State
• the new system must not tie NJDOL to a vendor
• i.e. NJ SUCCESS must be an open architecture
• the end-to-end solution must be easily
  maintainable, in-house
• implementation must be phased, constituting a
  series of building block projects that
  individually deliver value to the business
• modernization must be achieved within reasonable
  cost
• throughout the design and delivery of new
  processes and system tools, we must maintain the
  integrity of services - benefits, system, data,
  trust fund

12
BPCD future core processes have been identified
Requirements from business conceptual design phase
13
BPCD IT impacts of the modernization blueprint
Requirements from business conceptual design phase
Enabling customers to self serve wherever possible
Providing multiple means for customers to
communicate with us in real-time (phone,
internet, in person) and for us to communicate
with our customers
Establishing a triage function that enables a
quick assessment of a customers needs and
linking him/her to the service that they need
Enabling UI staff to view and work with a
claimants or employers full case information
easily (everything from claims to appeals
information)
Allowing claimants and employers to update
specific information (e.g. address, etc.)
depending on the claim processing step
Improving coordination between UI partners
through phone/internet web links
Enabling claimants and employers to access (by
phone or internet) their own case information
Providing different payment options direct
deposit and debit cards
Enabling claimants and employers to interact with
UI on a 24 hour, 7 day a week basis
14
BPCD further IT impacts of the modernization
blueprint
Requirements from business conceptual design phase
Providing meaningful training and career paths
better to enable our workforce
Providing UI staff with the ability to create
their own reports
Preventing improper payments or overpayments by
performing systematic cross checks at multiple
points in the life of a claim (at claim entry,
certification, etc.)
Allowing employees to view their performance to
the quantifiable measures through the ability to
see their performance versus measures in a report
Enabling what if analysis on process changes
before they are implemented understanding the
ramifications of decisions early
Provide capabilities that enable all staff to
propose process and policy improvements, at any
time
Showing all UI staff the end-to-end process,
where their roles fit in, and how their efforts
contribute to overall success
15
NJ SUCCESS logical architecture
Logical architecture.

• Why is a logical architecture important?
• translates between the business process
  conceptual design and the IT technology options
• creates terms of reference when looking at
  technologies and technical architecture
• helps to crystallize and map the different
  migration options
• helps enable a clearer comparison of alternative
  vendor approaches and architectures during
  procurement
• provides a common reference point that the team
  can use to compare alternative technical options
• helps communicate progress and status to
  non-technical business stakeholders

The following pages provide a description of the
logical architecture
16
UI processes translate to eight core logical areas
NJDOLs vision requires IT that enables business
flexibility
Manage customer channels
Certify
Appeal
Control BenefitPayments
Inquiry and Triage
Intake
Adjudicate
Manage UI information
17
NJ SUCCESS logical architecture key functions
(1)
NJDOLs vision requires IT that enables business
flexibility
Capture inquiry
Capture claim information
Capture adjudication information
Verify claimant validity
Support adjudication decision making
Decide automated eligibility(claims without
agents subset)
Manage triage
Manage intake
Manage adjudication
Capture inquiry
Verify claimant validity
Capture adjudication information
Capture claim information
Key business functionality for Inquiry and
Triage, Intake and Adjudicate is shown above.
Specific key functions run across all functions
(e.g. Quality Control, Security, and Financial
Controls)
18
NJ SUCCESS logical architecture key functions
(2)
NJDOLs vision requires IT that enables business
flexibility
Capture certification information
Capture appeal information
Verify claimant validity
Identify potential fraud and overpayment cases
Support appeal decision-making
Manage investigations
Manage appeals
Manage certification
Make payment
Identify potential fraud and overpayment cases
Capture certification information
Capture appeal information
Verify claimant validity
Key business functionality for Certify, Appeal
and Control Benefit Payments is shown above.
Specific key functions run across all functions
(e.g. Quality Control, Security, and Financial
Controls)
19
The logical architecture is grouped into four
layers
NJDOLs vision requires IT that enables business
flexibility
Present and capture information
Presentation
Support for managing business rules and processes
Business
Core process handling capability
Application
Data
Store and retrieve information
Grouping the architecture using these layers
helps to ensure thatthe NJ SUCCESS is flexible
to business change and scalable
20
The logical areas can be mapped against the
layers
NJDOLs vision requires IT that enables business
flexibility
Manage customer channels
Presentation
Certify
Appeal
Control BenefitPayments
Inquiry and Triage
Intake
Adjudicate
Business
Application
Data
Manage UI information
21
Summary NJ SUCCESS logical architecture
NJDOLs vision requires IT that enables business
flexibility
Key business functionality is shown above for NJ
SUCCESS, this was identified in the Business
Conceptual Design phase. Specific key functions
run across all functions (e.g. Quality Control,
Security, and Financial Controls)
22
How will NJ SUCCESS support key scenarios?
NJDOLs vision requires IT that enables business
flexibility

• Five sample scenarios have been mapped to NJ
  SUCCESSs logical architecture to illustrate how
  NJ SUCCESS will support the redesigned UI
  processes
• Scenario 1 A straightforward new UI claim
• Scenario 2 Certification for a continued claim
• Scenario 3 Employer appeals determination
• Scenario 4 Potentially fraudulent new claim
• Scenario 5 Controlling benefit payments

23
Scenario 1 a straightforward new UI claim
NJDOLs vision requires IT that enables business
flexibility

• Customer contacts agency by phone with a query
• Customer question about ability to claim is
  captured by IVR, and an automatic response
  provided.
• Customer selects the option to file a new UI
  claim immediately. Identifying information is
  requested and all information pertaining to that
  person is pulled from the Operational Data Store
  (ODS).
• During information capture, claim validity and
  identity are cross-checked
• Claim is identified as straightforward and
  appropriate for claims-without-agents
• Email notification is generated automatically

24
Scenario 2 certification for continued claim
NJDOLs vision requires IT that enables business
flexibility
Manage customer channels
1
5
Web
IVR
In person

• Customer chooses to certify for continuing
  benefits via the web
• Claimant
• enters identifying information
• answers certification questions
• Both sets of information are validated against
  internal data as well as cross-matches
• Certification is completed cleanly and the make
  payment process is triggered
• Claimant has opted for notification by the web
  and direct deposit of her benefits

Presentation
Certify
Appeal
Control BenefitPayments
Inquiry and Triage
Intake
Adjudicate
2
3
Capture inquiry
Capture certification information
Capture claim information
Capture appeal information
Capture adjudication information
Verify claimant validity
Verify claimant validity
Identify potential fraud and overpayment cases
Business
Support appeal decision-making
Support adjudication decision making
Manage investigations debt collection
Manage appeals
Manage certification
Decide automated eligibility(claims w-o agents
subset)
Manage triage
Manage intake
Manage adjudication
Make payment
Application
4
Verify claimant validity
Capture claim information
Verify claimant validity
Identify potential fraud and overpayment cases
Capture adjudication information
Capture inquiry
Capture certification information
Capture appeal information
Data
Manage UI information
Provide UI performance information
Provide electronic case file information
Provide financial reporting information
25
Scenario 3 employer appeals determination
NJDOLs vision requires IT that enables business
flexibility

• An employer disputes the agencys determination
  and calls the agency to appeal
• The employer selects the appeal option on the
  IVR. He then answers a series of questions to
  file the appeal. The answers are translated from
  voice-to-text and stored
• A determination review is immediately triggered
  for the adjudication center responsible for the
  original determination
• A senior adjudicator reviews the determination,
  using the information in the Claimants case file
• The review results in no change to the
  determination. This result is logged
• Actions to review the appeal and schedule a
  hearing are triggered
• A hearing is held, with potential use of a
  business rules tool to guide the questioning. The
  decision is created and recorded digitally
• The result of the appeal is logged and
  notifications are triggered.

26
Scenario 4 potentially fraudulent new claim
NJDOLs vision requires IT that enables business
flexibility

• A potential claimant access the agency via the
  web in order to file a new claim
• She begins the application process, entering
  identifying information
• This information is cross-matched against a
  number of sources, including the new hire
  directory
• The result of the cross-match that the social
  security number entered is shown to have current
  wages in New Jersey is presented back to the
  claimant, with the option of contacting an agent.
  
• The claimant chooses to continue with the claim
  process

Manage customer channels
1
Web
IVR
In person
Presentation
Certify
Appeal
Control BenefitPayments
Inquiry and Triage
Intake
Adjudicate
4
2
Capture inquiry
Capture certification information
Capture appeal information
Capture claim information
3
Capture adjudication information
Verify claimant validity
Verify claimant validity
Identify potential fraud and overpayment cases
Business
Support appeal decision-making
Support adjudication decision making
Manage investigations
Manage appeals
Manage certification
Decide automated eligibility(claims w-o agents
subset)
Manage triage
Manage intake
Manage adjudication
Make payment
Application
Identify potential fraud and overpayment cases
Verify claimant validity
Capture claim information
Verify claimant validity
Capture adjudication information
Capture certification information
Capture appeal information
Capture inquiry
Data
Manage UI information
Provide UI performance information
Provide electronic case file information
Provide financial reporting information
27
Scenario 5 controlling benefit payments
NJDOLs vision requires IT that enables business
flexibility

• Using predictive software, a member of BPC staff
  queries a BPC data mart for a particular fraud or
  overpayment pattern. He has a web front-end,
  making the task more intuitive
• The query results in many potential cases. The
  member of staff selects the top 100 and adds them
  as work items to the investigations workload.
• The investigations and debt collection process is
  managed by the workflow system.

28
Scenario 5 controlling benefit payments (cont)
NJDOLs vision requires IT that enables business
flexibility

• Three elements of NJ SUCCESSs architecture in
  particular will deliver enhanced BPC capability
• operational data store / data warehouse
• single database for all UI and DDU claims
  information (with security for confidential
  information) no need to run extracts
• analysis data marts, designed to enable easy
  interrogation by business intelligence tools
• business intelligence tools
• manage cross-matches with other systems
• pattern detection within NJ SUCCESSs own data /
  audit trail
• integrated workflow
• workflow tool will automate BPC case load and
  case management
• integrated workflow also means that transfers of
  cases to collections, adjudication, appeals etc
  can be done electronically, with a full audit
  trail

29
Increased flexibility for managing the
organization
NJDOLs vision requires IT that enables business
flexibility

• Management will derive most immediate benefit
  from these technologies
• operational data store / data warehouse
• analysis data marts enable managers to quickly
  view reports and perform ad-hoc analyses on any
  discrepancies (see slide 51 for details on data
  marts)
• a real-time performance dashboard is possible
  for operational managers
• storage of a full audit trail (covering
  accounting, data, system security) will enhance
  the integrity of UI
• integrated workflow
• workflow management tools will enable managers at
  all levels to monitor operations performance more
  immediately and see the impact of adjustments
  fast
• end-to-end workflow reporting will provide
  management with an ability to manage workloads
  across the process chain
• integrated customer channel management
• this will enable multiple customer channels to be
  managed in an integrated manner
• updates and new services can more easily be
  communicated across all channels
• this enables the future introduction of contact
  centers- providing customer service contacts
  across all channels from one center

30
Key UI business performance metrics
NJDOLs vision requires IT that enables business
flexibility

• In 2002 NJ UI handled
• 860,000 claims (new and additional)
• of which 640,000 were new
• of which 500,000 were valid
• initial claims
• 20,200 per week (high)
• 7,800 per week (low)
• continued claims
• average 135,000 per week
• high 160,000 per week
• Summary volumes (average per year)
• average 0.5M - 1M per year

• Characteristics of claims volumes
• Cyclic largest volume in 1st calendar quarter
• Able to predict peak weeks
• Average annual payout 3 B including federal
  TVC
• Claimants may have multiple claims
• Average claim duration 18, 19 weeks
• More business involvement for the initial process
• Workforce expands or contracts based on weekly
  projections

31
Key UI business performance metrics (continued)
NJDOLs vision requires IT that enables business
flexibility

• In 2002 NJ UI handled
• claims have increased over past two years
• 2002 was 23 more than 2001
• 2001 was 27 more than 2000
• average benefit payout has increased
• 2001 reached 2.1 Billion
• 2002 reached 3 Billion
• phone calls (claims, pends, and inquiries)
• 2002 - 1,722,044 calls received
• 2002 - 963,339 calls answered 58 of total
• 2003 (1/03 4/03) - 753,087 calls received
• 2003 (1/03 4/03) - 383,063 calls answered
  52
• Note this was information for the three RCCS
  the assumption is that there are more calls
  trying to contact the offices than can be handled

32
NJ SUCCESS performance requirements
NJDOLs vision requires IT that enables business
flexibility

• On the basis of the claims volumes for 2002, the
  technical architecture team agreed that the
  following broad assumptions were reasonable to
  inform this high level technical architecture
• size to handle a 30 increase in claims volume
  above 2002 figures
• max of 1.1M initial claims (both new and
  additional claims) per year
• assume peak volumes are 200 of 2002 volumes
• weekly peak of 44K initial claims, 350K continued
  claims
• assume peak hourly volume of 15,000 for
  continued claims and the ability to handle 225
  calls at any one time

33
NJ SUCCESS must use a modern architecture
NJDOLs vision for UI Modernization is to deliver
revolutionized UI services while maintaining the
integrity of the Trust Fund To meet this vision,
NJDOL needs to develop a modern UI system (NJ
SUCCESS)
NJ SUCCESS will contain modern IT technologies
NJDOLs business vision requires IT that enables
business flexibility
NJ SUCCESS must use a modern architecture
NJ SUCCESS needs a standard approach for data and
interfaces
Likely total IT costs for NJ SUCCESS are
affordable
34
NJ SUCCESS candidate architecture options -
general
NJ SUCCESS must use a modern architecture

• The technical architecture team, including
  representatives from NJDOL UI, DIT and the State
  OIT, collectively considered potential suppliers
  and candidate architecture options.
• The next three slides summarize these options and
  the conclusions reached by the team for each
  option.

35
NJ SUCCESS candidate architecture options -
general
NJ SUCCESS must use a modern architecture

• The following general candidate architecture
  options were considered
• 1. Linux based architecture
• using an open source based architecture
• REJECTED- technology is not sufficiently mature
  to be a viable supplier for NJ State
• 2. Microsoft based architecture
• using MS .NET based architecture
• REJECTED - Microsoft technology is not viewed
  as sufficiently open for use within the State
  for strategic applications- the States
  strategic architecture / platforms / experience
  is not aligned with Microsoft technologies
• 3. IBM based architecture
• using Websphere based J2EE technology
• REJECTED - technically equivalent to Sun /
  Oracle- however impact on OIT would be to have
  to support two different stacks, causing
  resourcing problems

36
NJ SUCCESS candidate architecture options - LOOPS
NJ SUCCESS must use a modern architecture

• 4. Extending LOOPS application
• this approach would build on LOOPS existing
  capabilities
• REJECTED- difficult to join LOOPS procedural
  languages with J2EE components- ongoing
  maintenance would be expensive compared with
  using modern technology
• The benefits of building on the proven
  environment of LOOPS areoutweighed by the
  flexibility limitations and relatively
  expensivemaintenance compared to a more modern
  technology architecture.

37
NJ SUCCESS candidate architecture options Sun /
Oracle
NJ SUCCESS must use a modern architecture

• 5. Sun / Oracle technology based architecture
• following State IT standards
• using modern J2EE based environment
• RECOMMENDED- modern architecture-
  technologies aligned with State technical
  resources
• Sun / Oracle technology provides the benefit of a
  flexible ITarchitecture with the ability for
  support and maintenanceto be provided by the
  States IT technical resources.

38
Where will NJ SUCCESS use modern technologies?
NJDOLs vision requires IT that enables business
flexibility

• The following slides highlight where five of the
  modern technologies in NJ SUCCESS will help
  enable functionality in the logical architecture
• portal infrastructure
• eforms
• business intelligence
• business rules engine
• workflow and UI objects framework
• operational data store (ODS)

39
Where will portal infrastructure be used?
NJDOLs vision requires IT that enables business
flexibility
Manage customer channels
Web
IVR
In person
Presentation
Certify
Appeal
Control BenefitPayments
Inquiry and Triage
Intake
Adjudicate
Portal infrastructure will allow different
channels to be managed consistently and customer
interactions to be consolidated.
Capture inquiry
Capture certification information
Capture appeal information
Capture claim information
Capture adjudication information
Verify claimant validity
Verify claimant validity
Identify potential fraud and overpayment cases
Business
Support appeal decision-making
Support adjudication decision making
Manage investigations debt collection
Manage appeals
Manage certification
Decide automated eligibility(claims w-o agents
subset)
Manage triage
Manage intake
Manage adjudication
Make payment
Application
Identify potential fraud and overpayment cases
Verify claimant validity
Capture adjudication information
Capture claim information
Verify claimant validity
Capture certification information
Capture appeal information
Capture inquiry
Data
Manage UI information
Provide UI performance information
Provide electronic case file information
Provide financial reporting information
40
Where will eforms be used?
NJDOLs vision requires IT that enables business
flexibility
Electronic forms (eforms) technologies simplify
capturing information in a user-friendly
manner. Forms are used widely for data capture
throughout the UI business processes meaning
eforms will have a large impact on efficiency.
41
Where will business intelligence be used?
NJDOLs vision requires IT that enables business
flexibility

• Business intelligence tools enable users to
  report and drill into information rapidly. They
  also form a basis for enabling cross-matches
  which will tighten the security of the system
  against external fraud and incorrect payments.
• Business intelligence tools will be deployed
• during initial intake
• repeatedly throughout the life of a claim (at
  least at every certification event)
• ad hoc (as defined for BPC spot-checks)

42
Where will business rules engines be used?
NJDOLs vision requires IT that enables business
flexibility

• Business rules engines simplify the capture and
  modification of UIs business rules (laws,
  procedures, etc). They will provide structure and
  quality control at the key decision points in the
  claims process
• monetary determination. Automatic financial
  calculator.
• adjudication. Structured decision trees, with
  procedures/guidance as help text.
• appeal decision. Potential for structured
  decision trees, with case law and guidance as
  help text.
• Note For claims-without-agents, the ambition
  articulated in the business design workshops was
  to fully automate the determination, with close
  quality control by senior agents.

Key business functionality is shown above for NJ
SUCCESS, this was identified in the Business
Conceptual Design phase.
43
Where will workflow be used?
NJDOLs vision requires IT that enables business
flexibility

• Workflow technology enables business processes to
  be automated. For NJ SUCCESS, it will provide
  controlled process management across the
  end-to-end UI organization
• enabling performance management of every step of
  the claims process
• ensuring that each claim progresses as
  efficiently as possible for that claim
• e.g. claims with a straightforward monetary
  calculation (assuming that a non-monetary issue
  has been detected) will automatically be
  transferred immediately to the next available
  adjudication slot anywhere in the State if a
  non-monetary issue is detected

44
Where will the operational data store be used?
NJDOLs vision requires IT that enables business
flexibility

• The operational data store (ODS) allows all
  information to be consistently captured in one
  place. For NJ SUCCESS it will be the single store
  for all information.
• the ODS will support everyday business
  transactions
• research and reports will be pulled from a
  separate, regularly updated, data warehouse
• The operational data store will also enable NJ
  SUCCESS to simplify its management of data and
  interfaces (described in more detail later).

45
Summary use of key technologies
Manage customer channels
Web
IVR
In person
Presentation
Certify
Appeal
Control BenefitPayments
Inquiry and Triage
Intake
Adjudicate
Capture inquiry
Capture claim information
Capture certification information
Capture appeal information
Capture adjudication information
Verify claimant validity
Verify claimant validity
Identify potential fraud and overpayment cases
Business
Support appeal decision-making
Support adjudication decision making
Manage investigations debt collection
Manage appeals
Manage certification
Decide automated eligibility(claims w-o agents
subset)
Manage triage
Manage intake
Manage adjudication
Make payment
Application
Capture claim information
Verify claimant validity
Capture adjudication information
Identify potential fraud and overpayment cases
Verify claimant validity
Capture inquiry
Capture certification information
Capture appeal information
Data
Manage UI information
Provide UI performance information
Provide electronic case file information
Provide financial reporting information
46
NJ SUCCESS needs a standard approach for data and
interfaces
NJDOLs vision for UI Modernization is to deliver
revolutionized UI services while maintaining the
integrity of the Trust Fund To meet this vision,
NJDOL needs to develop a modern UI system (NJ
SUCCESS)
NJ SUCCESS will contain modern IT technologies
NJDOLs business vision requires IT that enables
business flexibility
NJ SUCCESS must use a modern architecture
NJ SUCCESS needs a standard approach for data and
interfaces
Likely total IT costs for NJ SUCCESS are
affordable
47
Its all about the data

• New Jerseys Unemployment Insurance business
  processes require data to be shared and exchanged
  with other organizations and systems. This means
  that NJ SUCCESS will need to manage several
  interfaces
• This section outlines how using a common approach
  for data and interfaces, with associated
  principles, can both simplify NJ SUCCESS
  architecture and also provide the State with a
  valuable pool of information and foundation for
  more general information sharing across the
  State.
• The separate report System interfaces for the NJ
  SUCCESS system provides a more detailed analysis

48
Data layer terminology
Standard approach for data and interfaces

• Operational Data Store (ODS)
• logical part of information architecture where
  the day-to-day transactions are stored
• contains real-time transaction information
• contains sufficient historical information for
  operational use
• e.g. older data is archived off automatically
  through predefined business rules
• Data Warehouse (DW)
• logical part of information architecture where
  historical information is stored and accessed
• sourced primarily from the ODS
• contains archive of historical transaction
  information
• contains near-real time information
• information latency will vary by type of
  informatione.g. one day old, four hours old
• Data Mart (DM)
• logical part of information architecture that
  users query to perform analysis
• sourced exclusively from the DW
• will include information constructed to address
  types of analysis required
• e.g. no. of previous contacts, no. of claims

49
Data layer architectural principles
Standard approach for data and interfaces

• In order to ensure information is reliably
  shared, common architectural principles are
  required
• information that is to be shared must be captured
  consistently
• using the State Logical Data Model
• all accesses to shared information must be
  consistently controlled
• using the shared user security in the NJ SUCCESS
  architecture
• all data sharing is done via the data environment
• there are no direct links between systems
• users can only access historical data in the data
  warehouse via a data mart
• only simple 'operational queries' are allowed on
  data in the ODS
• sources of data populate the operational data
  store before the data goes to the data warehouse
• data interface errors must be fixed in the data
  source and thenresubmitted to the operational
  data store

50
Data layer data / interface architecture
Standard approach for data and interfaces
NJ SUCCESS
NJ SUCCESS will store its operational data within
the NJDOL ODS. Users will access historical
information via the data marts.e.g. federal
reporting financial analysis
NJDOL Operational Data store (ODS)
Data Warehouse (DW)
Data Mart 1
NJDOL operational data store (ODS)
data warehouse (DW)
data mart 1
Data Mart 2
data mart 2
Common State metadata and Logical Data Model
Common State metadata and logical data model
51
Data layer data / interface architecture Plan
B
Standard approach for data and interfaces

• NJ SUCCESS will follow data principles set out in
  this document, including the use of a shared ODS.
  However, interfaces are sometimes a matter of
  compromise between the two systems and
  organizations interfacing.
• Where it is not possible to interface via the
  ODS, then the Plan B interface approach using
  Extract Transform-and Load (ETL) routines will
  allow such compromises to be masked from NJ
  SUCCESS

System A (source system with agreement to fix
data)
NJDOL ODS
NJ SUCCESS
Plan B approach
System B (no agreement on fixing data)
Legacy interface manager (ETL)
52
Principles to mitigate interface challenges
Standard approach for data and interfaces

• The easiest way to solve the problem with
  interfaces is to insist on the following
  principles being applied
• unless there is a specific security issue,
  legally owned, or subject to privacy, all data is
  State data
• no one agency owns the data- whether funded by
  the State or by the Federal Government
• the agency that creates the data is responsible
  for
• maintaining the transfer software- to a
  statewide ODS or for transfer to the other agency
• the accuracy of the data- data consistency and
  accuracy checks are implemented (ETL routines)-
  control records are in place to insure that the
  receiving agency gets what they need
• notifying the receiving agency of any changes
  that could affect the quality of the data and
  taking corrective action- working as a team of
  agencies to implement the required change
• the agency that receives the data is responsible
  for
• providing funding / resources to help the
  creating agency develop and maintain the transfer
  software

53
Data interface design a business and a technical
challenge
Standard approach for data and interfaces

• The data architecture just discussed is the
  preferred option for NJ SUCCESS.
• Interfaces by definition require us to work with
  other organizations, requiring us to be flexible
  (as the Plan B discussion shows).
• Interface challenges include
• who is responsible for the accuracy of the data?
• if the data is dirty, who is responsible for
  cleaning up the data?
• who is responsible for maintaining the routines
  that transfer the data?
• who is responsible for budgeting and paying for
  the maintenance of the interface routines?
• who is responsible for deciding if the
  originating agency is under any obligation to
  including interfacing agencies in the decision
  process if the data needs to change?
• To ensure sufficient attention is dedicated to
  interfaces, we proposethat interface design and
  development is a key parallel work streamto the
  main NJ SUCCESS system design and build

54
Data / interface architecture examples of key
data
Standard approach for data and interfaces
Electronic Case File case details, forms /
documents, status, claim actions history
Claimant claimant details, status, contacts
history, link to ECF, wage record
Employer case details, forms / documents, status,
history, employees, wage record
Payment Transaction transaction details, employer
charge details
UI information staff, roles, locations,
processes, audit history
The actual definition of data for NJ SUCCESS will
follow the State Logical Data Model (LDM)
standards.
55
Overview of interfaces for NJ SUCCESS
Standard approach for data and interfaces
State information Non-State information
Information Sharing
Process linkages
FederalDOL federal reporting
Others
Temporary Disability Insurance
Attorney General fraud prosecutions
Cross-match checks
INS SAVE
SOIL
IRS TRA health payments(to be)
Workforce Partners re-employmentservices
Social Security Data VERIS
Employer Accounts
NJ SUCCESS
Other states wage claim information IBIQ
Interstate Connection Network ICON
Others cross-match
New Hires
Employer Accounts Tax
Dept of Human Services child support
UI/DI Financing
Financial
Treasury
Bank payments / clearing house
56
Data and interface approach summary
Standard approach for data and interfaces

• NJ SUCCESS will store data in an operational data
  store- where appropriate, data is available for
  sharing across the State- agencies needing data
  from NJ SUCCESS will use a pull routine from
  the ODS
• all interfaces are electronic- web services
  technology is the preferred standard for new
  external interfaces- any legacy magnetic tape /
  paper file interfaces will be dealt with by a
  separate interface management system to manage
  these media and ensure that NJ SUCCESS only deals
  with electronic interfaces Plan B approach
• data interfaces will run in real time or batch
  (as required)- daily, weekly, monthly,
  quarterly, yearly, and ad hoc interface
  capability will be required based on the
  availability and need of data
• See the separate System interfaces for the NJ
  SUCCESS systemreport for a more detailed
  analysis of the approach for interfaces(and
  discussion of how wage records should be handled
  in the future)

57
NJ SUCCESS will contain modern IT technologies
NJDOLs vision for UI Modernization is to deliver
revolutionized UI services while maintaining the
integrity of the Trust Fund To meet this vision,
NJDOL needs to develop a modern UI system (NJ
SUCCESS)
NJ SUCCESS will contain modern IT technologies
NJDOLs business vision requires IT that enables
business flexibility
NJ SUCCESS must use a modern architecture
NJ SUCCESS needs a standard approach for data and
interfaces
Likely total IT costs for NJ SUCCESS are
affordable
58
Technical architecture background
Modern IT technologies

• This section summarizes the types of modern IT
  technologies that are required to deliver NJ
  SUCCESS the technical architecture for NJ
  SUCCESS.
• The technologies in the technical architecture
  are grouped in the same manner as the logical
  architecture, except for the addition of a fifth
  grouping to cover technologies used to provide
  infrastructure services
• The five groupings used for the technology
  architecture cover all technology categories
  required for NJ SUCCESS.

59
The technical architecture is grouped into five
layers
Modern IT technologies
Present and capture information
Presentation
Infrastructure
Support for managing business rules and processes
Business
Common servicesand other technologies
Core process handling capability
Application
Data
Store and retrieve information
Grouping the architecture using these layers
helps to ensure thatthe resulting IT system is
flexible and can be extended Without such
layering of the architecture, the IT system can
become tightly coupled and inflexible layering
helps to ensure that the impact of business
changes can be contained in a few parts of the
system rather than the whole system
60
Technical architecture key design principles
Modern IT technologies

• support easy configuration for future changes to
  business requirements
• use a modern technical architecture- including
  workflow, business rule engine, customer
  relationship management, content management,
  imaging and document management
• ensure business logic and workflow are easily
  configurable
• enable new technologies to be integrated in the
  future
• use four layers components to make it easier to
  replace components in the architecture layers
• use industry common standards and protocols
• use an open architecture and be easily expandable
• reduce deployment and operational costs
• provide common look and feel for all modules,
  easy navigation and rich functionality
• have built in or be integrated with external
  control / monitoring tools
• be scalable, robust and flexible to adjust to the
  increased load
• support NJs UI environment and workload
• be easily integrated with the external
  applications and packages
• provide 24x7 services
• provide secured access control for users
• comply with NJ security infrastructure and
  approach
• provide robust user access control and audit
  trail- including definition of user roles and
  fine grained access control

61
Technical architecture grouping of technologies
Modern IT technologies
Present and capture informationtechnologies
Common services and other technologies
Presentation Layer
Technologies for managing business rules and
processes
BusinessLayer
ApplicationLayer
Core process handling technologies
DataLayer
Store and retrieve information technologies
62
Technical architecture required technologies
Modern IT technologies
63
Technical architecture existing experience in NJ
Modern IT technologies
Web Front End
Presentation Layer
Portal Foundation
Content Management
Unified Messaging
e-Forms
Search Engine
Web/Video Conferencing
Security
WorkflowEngine
BusinessRules Engine
CRM, HelpDesk Modules
BusinessLayer
Imaging Document Processing
Digital Recording
e-Form Server
Report Generation, Business Intelligence
Network System Management
Help Desk
Infrastructure
Integration Messaging Layer
Common services Layer
UI Package
ApplicationLayer
Application Server
Persistence Layer, O/R Mapping
DataLayer
Database(s)
New Jersey State is already experienced with the
majority of NJ SUCCESSs proposed technologies
(technologies depicted with the orange
backgrounds in this diagram)
64
Technical architecture existing products used
in NJ
Modern IT technologies

• Sun ONE Portal
• SunONE Web Servers
• Cisco Load Balancers

• Adobe eForms
• Interwoven Content Mgmt
• Inktomi Search Engine

Presentation Layer

• SunOne Application Server
• J2EE
• Web Services
• SunOne Studio
• SunOne Identity
• SunONE Directory
• WebSphere MQ
• CICS Transaction Gateway
• Host Integrator
• DB2 Connect

• Business Objects
• DataStage
• Metadata Management
• Workflow Engines
• Adobe Form Doc Servers
• Real Time Geocoding
• ArcIMS
• Verisign PKI
• ePayment
• eRegistration

BusinessLayer

• Tivoli Framework
• Compuware Predictive Testing
• Empirex Load Testing
• Peregrin Service Center Problem Tracking
• Peregrin Service Center Change Control
• 24x7 Call Center

Infrastructure, Network System Management, Help
Desk
ApplicationLayer

• Oracle
• DB2
• IMS

DataLayer
65
Fit with State standards and current IT services
Modern IT technologies

• This technical architecture has been developed in
  partnership with State IT experts from DIT, OIT
  and within the Division of UI.
• Their input has tested and added to the draft
  architecture document and in particular ensured
  fit to the States current direction
• compliance with State standards
• overall architecture option selected SUN/Oracle
  follows the State guidelines
• data architecture has been designed to enable
  maximum sharing of UI data with other State
  agencies in the future
• state standards for product selection have been
  discussed throughout the architecture sessions
  (but not confirmed at this high level
  architecture stage)
• making best use of current State IT services
• the Garden State Network (GSN) will be the
  network for this architecture
• the State should consider using the NJ State
  portal or developing a DOL portal for entry to UI
  services
• OIT and DIT skill sets have been an ongoing
  consideration when envisioning the development
  and maintenance of NJ SUCCESS

66
Technical architecture candidate products
Modern IT technologies

• The technologies and approach for NJ SUCCESS
  architecture represent IT architecture best
  practice and have been used by other states and
  comparable organizations.
• As part of the technical architecture phase,
  candidate products for each of the technologies
  for NJ SUCCESS were presented and reviewed during
  twenty-five hours of workshops.
• The 390 technology slides from the review
  workshops are included as appendices to this
  report see next page for a mapping of the
  appendices onto the technical layers

67
Mapping of appendices to technology layers
Modern IT technologies
Presentation Layer
Appendix A metrics, presentation business
layer technologies
Appendix C infrastructure overall architecture
Appendix D workflow and imaging technologies
BusinessLayer
Appendix F CRM technologies
Appendix E business rules and UI package
technologies
ApplicationLayer
Appendix H security networking
Appendix B application and data layer
technologies
DataLayer
Appendix G data architecture
68
Technical architecture additional functional
reqts
Modern IT technologies

• Two key additional functional requirements have
  arisen during the discussions of the technical
  architecture
• error rectification (adjustment) capability must
  be built into every data capture and
  decision-making event
• process example where new wage information is
  received after a determination, complex
  calculations are needed to reassess benefit
  amount, employer liabilities etc
• partial information must be captured and stored
  for easy retrieval as well as full information
• example skeleton claims, where a claimant starts
  the intake process but does not complete it,
  should be stored for at least 30 days

69
Security approach for NJ SUCCESS
Modern IT technologies

• Key principles for security in NJ SUCCESS are
• security means protecting against all threats
• protect against external and internal fraud /
  attacks
• data security includes protection of sensitive
  (customer) information
• within the system
• when communicating outside the system
• security management must be holistic
• monitoring for all tiers of the architecture
  should be integrated
• for example, application security is ineffective
  without complimentary network security
• security must meet NIST (National Institute of
  Standards) security standards and Federal legal
  requirements
• customer authentication must be robust but
  practical
• for example, PKI (public key infrastructure) may
  be appropriate for employers and employer agents
  but too onerous for claimants
• a full security audit log must be maintained
• security monitoring / audits should be automated
  and trigger manager notifications