State of Florida Agency for Workforce Innovation Unemployment Compensation Unemployment Compensation Claims and Benefits Information System (UCCBIS) UCCBIS Requirements Development UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) Document Control Change Record Date Author Version Change Reference st 3/24/2010 Tad McDonald 0.01 1 draft of document created. 3/25/2010 Tad McDonald 0.02 Added RFQ language, Executive Summary 3/26/2010 Tad McDonald 0.03 Updates 4/2/2010 Wayne Messina 0.04 Updated 2.3, Deleted 2.5 4/5/2010 Tad McDonald 0.05 Added Glossary 4/6/2010 Tad McDonald 0.06 Expanded/Rewrote Executive Summary and added Case Management in Section 5 4/8/2010 Tad McDonald 0.07 Added/Modified Assumptions and added more descriptive text about account management and the relationship between business rules and requirements 4/12/2010 Wayne Messina 0.08 Modified approach and revised project scope . 4/18/2010 Andy Loveland 0.09 Included Business and Architecture sections 4/19/2010 Wayne Messina 0.10 Included Attachments and updated all section references. 5/04/2010 Wayne Messina 1.00 Updated requirements and finalized document . Review Name Role Date Wayne Messina 4/11/2010 Andy Loveland 4/18/2010 5/12/2010 Page 2 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) TABLE OF CONTENTS 1.0 EXECUTIVE SUMMARY ............................................................................................................. 5 1.1 INTRODUCTION .............................................................................................................................. 5 1.2 VISION FOR THE FUTURE - UCCBIS ............................................................................................. 6 1.3 PHASE 2 – BUSINESS PROCESS RE-ENGINEERING ANALYSIS AND SYSTEM REQUIREMENTS .......... 7 1.3.1 Analysis and Assessment........................................................................................................... 8 1.3.2 Stakeholder Participation and Validation ................................................................................ 8 1.3.3 Process Improvements .............................................................................................................. 9 1.3.4 Future System ..........................................................................................................................10 1.3.5 Use Cases ................................................................................................................................10 1.3.6 Requirements Traceability and Verification Matrix (RTVM) ..................................................10 1.4 PHASE 2 - PROJECT EXECUTION STATUS .......................................................................................11 2.0 ABOUT THIS DOCUMENT.........................................................................................................13 2.1 PURPOSE OF THIS DOCUMENT .......................................................................................................13 2.2 WHO SHOULD USE THIS DOCUMENT ............................................................................................14 2.3 RELATED DOCUMENTS .................................................................................................................14 2.4 DISTRIBUTION...............................................................................................................................14 3.0 OVERVIEW ...................................................................................................................................15 3.1 BUSINESS SITUATION ....................................................................................................................15 3.2 CURRENT SYSTEMS ......................................................................................................................17 3.2.1 Unemployment Compensation Benefits System .......................................................................17 3.3 ISSUES WITH CURRENT PROCESS AND TECHNOLOGY ..................................................................18 4.0 PROJECT BACKGROUND .........................................................................................................20 4.1 PROJECT APPROACH .....................................................................................................................20 4.2 PROJECT OBJECTIVES ...................................................................................................................21 4.3 PROJECT SCOPE ............................................................................................................................21 4.3.1 Project Scope ...........................................................................................................................21 4.4 METHODOLOGY ............................................................................................................................21 5.0 UCCBIS USER INTERFACE CONCEPTS ................................................................................22 5.1 ONLINE CLAIMANT PORTAL .........................................................................................................22 5.2 CLAIMANT IVR ............................................................................................................................22 5.3 UC PROGRAM WORKSPACE ..........................................................................................................23 5.4 WORKFORCE PORTAL ...................................................................................................................23 5.5 UAC WORKSPACE ........................................................................................................................23 5.6 EMPLOYER PORTAL ......................................................................................................................24 6.0 UCCBIS TECHNICAL CONCEPTS ...........................................................................................26 6.1 WORKFLOW ..................................................................................................................................26 6.2 ADVANCED SEARCH .....................................................................................................................27 6.3 REPORTING & DASHBOARDS ........................................................................................................27 6.4 DOCUMENT MANAGEMENT ..........................................................................................................28 6.5 DOCUMENT IMAGING ....................................................................................................................28 6.6 CORRESPONDENCE & EVENTS ......................................................................................................29 6.7 BUSINESS RULES ENGINE .............................................................................................................30 6.8 IMPORT / EXPORT DATA ...............................................................................................................31 6.9 AUDIT TOOLS ...............................................................................................................................31 6.9.1 Data Object Audit Trail ...........................................................................................................32 5/12/2010 Page 3 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) 6.9.2 One Generation View Audit Trail ............................................................................................32 6.9.3 Comprehensive Audit Trail ......................................................................................................32 6.10 SYSTEM ADMINISTRATION ...........................................................................................................32 6.11 ACCOUNT MANAGEMENT .............................................................................................................33 6.12 NOTES...........................................................................................................................................33 6.13 SECURITY .....................................................................................................................................33 6.13.1 Roles Based Security ...........................................................................................................34 6.13.2 Granularity of control: ........................................................................................................34 6.13.3 Ease of Granting Access: ....................................................................................................34 6.13.4 Screen level permissions: ....................................................................................................35 6.13.5 Screen Widget Level Security: .............................................................................................36 6.13.6 Business Object Level Security: ..........................................................................................36 6.14 CASE MANAGEMENT ....................................................................................................................36 6.15 ELECTRONIC SIGNATURE ..............................................................................................................37 7.0 GENERAL SYSTEM ARCHITECTURE ...................................................................................39 7.1 CONCEPTUAL ARCHITECTURE – BUSINESS VIEW..........................................................................39 7.2 CONCEPTUAL ARCHITECTURE – TECHNICAL VIEW .......................................................................41 7.3 LOGICAL ARCHITECTURE .............................................................................................................42 7.4 PHYSICAL ARCHITECTURE ............................................................................................................42 8.0 CONCEPTUAL DATA MODEL ..................................................................................................43 9.0 USE CASES ....................................................................................................................................46 10.0 ASSUMPTIONS .............................................................................................................................47 11.0 REQUIREMENTS .........................................................................................................................49 11.1 FUNCTIONAL REQUIREMENTS .......................................................................................................49 11.2 NON-FUNCTIONAL REQUIREMENTS ..............................................................................................50 ATTACHMENTS ........................................................................................................................................52 ATTACHMENT A – UCCBIS PROJECT GLOSSARY .........................................................................53 ATTACHMENT B – UCCBIS USE CASE INVENTORY ......................................................................68 ATTACHMENT C – REQUIREMENTS MATRIX FUNCTIONAL REQUIREMENTS ...................73 ATTACHMENT C – REQUIREMENTS MATRIX FUNCTIONAL BUSINESS RULES ................166 ATTACHMENT C – REQUIREMENTS MATRIX NON-FUNCTIONAL REQUIREMENTS ......281 ATTACHMENT C – REQUIREMENTS MATRIX INTERFACES ...................................................311 ATTACHMENT C – REQUIREMENTS MATRIX REPORTS ..........................................................316 ATTACHMENT C – REQUIREMENTS MATRIX FORMS/CORRESONDENCE .........................362 5/12/2010 Page 4 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) 1.0 EXECUTIVE SUMMARY 1.1 INTRODUCTION The Agency of Workforce Innovation (AWI) impacts the lives of Florida‘s citizens at a moment when their needs are greatest. AWI operates a multi-billion dollar Unemployment Compensation (UC) program that is responsible for processing the unemployment applications of approximately 2.5 million individuals and making payments to over a million claimants each year. The unemployed citizens of Florida use these payments to provide the bare necessities for their families, while they look for new employment. Over the years, AWI has developed numerous processes and software applications to meet the requirements of the UC program, but relies heavily on legacy technology centered on the Claims and Benefits mainframe system. The system has served the agency well since its inception in 1972, but is based on antiquated technologies that are inherently rigid and difficult to maintain. It was designed for use in a prior service delivery model when UC was handled face-to-face with the claimant. The system can no longer meet the challenges facing the agency, including: Unemployment claim volumes that have more than doubled in the past year Ever increasing risk of infrastructure failure Limited integration with workforce activities that support getting back to work Lack of customer self service options and costly, inefficient manual processes hinder timely resolution of disputed claim payments resulting in higher employer tax rates Due to the technological limitations of the UC system, AWI has had no choice but to design business processes around the capabilities of the current system. This has resulted in more time and resources spent on activities that should be automated, such as claims intake, instead of activities that can help get claimants back to work sooner and shorten the duration of their claims. As demands on the UC program continue to grow the current system will continue to exacerbate these problems. The analysis conducted during a recent feasibility study determined that a new system would increase operating efficiencies and reduce operating costs. It would also allow AWI staff to focus on delivery of UC program services and getting the unemployed back to work, ultimately reaping a benefit of $43.1 million in savings each year. As a result, AWI undertook an effort to replace the current UC system. To ensure success of this critical project, AWI divided the UC Modernization Project into three phases: Phase 1 – Strategic Planning Phase 2 – Business Process Re-engineering Analysis and System Requirements 5/12/2010 Page 5 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) Phase 3 – System Design, Development and Implementation This document presents the results of the Phase 2 activities and fully supports an effort to engage, through competitive bid, a qualified implementation team. 1.2 VISION FOR THE FUTURE - UCCBIS Our analysis supports the legislature‘s opinion: Florida needs a new, industry standard solution for UCCBIS to encompass best practices, updated technologies, and improvements to business processes to support the UC mission. Our assessment, coupled with the legislature‘s enabling statutory language (443.1113, F.S.), informs the vision for a future system. From 443.1113: (2) The Unemployment Compensation Claims and Benefits System shall accomplish the following main business objectives: (a) Wherever cost-effective and operationally feasible, eliminate or automate existing paper processes and enhance any existing automated workflows in order to expedite customer transactions and eliminate redundancy. Enablers to support the Objectives: Document Imaging and Management Workflow Management Case Management Automated System Interfaces Data Import/Export Electronic Digital Signatures (b) Enable online, self-service access to claimant and employer information and federal and state reporting. Enablers to support the Objectives: Internet Based Account Management (Portal) Automated generation of mandated Federal and State Reporting Integration with AWI Internet and Intranet The online portal supports claimant and employer self-service and includes a complete history of interaction between UC and its customers in a 24/7 environment. Through the portal, customers may perform all of the actions traditionally relegated to communication over the phone or through the mail such as filing claims and continuing claims, filing 5/12/2010 Page 6 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) appeals, and generating tax documents (e.g., 1099s and 49Ts). The account management concepts incorporated into the new system will provide a more meaningful customer experience and should lead to operational cost savings for the Agency. (c) Integrate benefit payment control with the adjudication program and collection system in order to improve the detection of fraud. Enablers to support the Objectives: All claim history online and accessible Business Rules Engine Enhanced Security (Role Based, Event Triggers) System Audit Trail (d) Comply with all requirements established in federal and state law for unemployment compensation. Enablers to support the Objectives: Process Documentation Functional and Non-Functional Requirements Phase 3 (e) Integrate with the Department of Revenue's statewide unified tax system that collects unemployment compensation taxes. Enablers to support the Objective: Real-time Data Exchange with DOR Employer Information Employee Information Leasing Company information Child Support Enforcement The use of appropriate, current technology coupled with improvements in UC business processes will provide the Agency and its customers with a robust and cost-effective solution for many years to come. 1.3 PHASE 2 – BUSINESS PROCESS RE-ENGINEERING ANALYSIS AND SYSTEM REQUIREMENTS As described in the following sections, the Phase 2 effort followed a well-defined methodology to gather, analyze, and improve upon current business processes within UC. 5/12/2010 Page 7 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) The ―To-Be‖ vision for the future system enhances support of the core UC business functions through the implementation of process improvements and the application of new information technologies. The functional and non-functional requirements that have been developed and codified in the Requirements Traceability and Verification Matrix (RTVM, Attachment C of this document) are traceable from the beginning ―As-Is‖ analysis documents through the ―To- Be‖ documents through the fully dressed Use Cases (Note: Use Cases were not developed to represent every functional and non-functional requirement, but all functional requirements are tied directly to activity flow diagrams and descriptions in the ―To-Be‖ documents). We took the functional requirements a step further to ensure the Phase 3 vendor will be provided with a complete view of UC‘s business needs by documenting specific business rules (based in Statute, Rule, and Policy) and tying them directly to discrete requirements in the RTVM. With the full spectrum of project artifacts, an implementation vendor will have sufficient information to ascertain the meaning, intent, and implication of a given requirement. 1.3.1 Analysis and Assessment Comprehensive assessment using multiple methods. During the business process analysis and re-engineering phase we used a combination of research, targeted interviews, and group workshops to capture current processes and issues, validate findings and brainstorm business process improvements. Our efforts began with a review of existing UC documentation: system documentation, current process documentation, statutory guidelines, organizational information, and other documentation relevant to the UC modernization effort. We followed the review with a series of interviews with AWI executives, UC process subject matter experts, and other key stakeholders to create an ―As-Is‖ view of the current processes and issues facing the program. Measure Result Number of Core Processes and Sub-Processes 11 (insert Core number) Analyzed 75 (insert sub-process number) Figure 1 – Analysis and Assessment 1.3.2 Stakeholder Participation and Validation Workshops to validate and refine process flows. After the ―As-Is‖ process flows were created we validated them with the UC subject matter experts and scheduled workshops. We prepared materials (workflows, metrics, process issues, etc.) to review during the facilitated workshops. The workshops included numerous UC resources and focused on providing additional detail and input to the documentation of the As-Is processes. The 5/12/2010 Page 8 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) workshops also served as an opportunity to discuss possible issues in the touch points between the processes and to identify key opportunities for process improvement. After the workshops were complete we updated the As-Is process documentation, reviewed the updated documentation with the AWI SMEs, and submitted it to AWI for final review. 1.3.3 Process Improvements Identified improvement opportunities. Once we validated and finalized the current process flows and supporting documentation we analyzed the flows to identify opportunities for improvement utilizing the input from the as-is workshops and lessons learned from other states who have successfully modernized their UC systems. The most common themes that we looked for in our analysis were: Manual and paper-based processes Non-standardized processes Extensive wait times Inefficient data handling We leveraged lessons learned from other States that have recently completed or embarked on unemployment compensation modernization projects, such as Minnesota, Ohio, Texas, Utah, and Virginia. Some of the common themes we have seen from other states UC Modernization projects include: Significant efficiencies from web self-service and automated ―no-touch claims,‖ where some states now process as much as 80% of their UC Claims via the web Ability to gain efficiencies through improved upfront data collection; streamlined processes, work queues, and performance management tools, with some states showing as much as 300% productivity increases in Adjudication and other areas Opportunity to streamline requirements by better aligning the automated systems and processes with statutes and rules, where many states have found that their legacy systems were enforcing processes and procedures were in many cases outside the scope of current program mission and mandates Improved integration with workforce processes to enable re-employment and shorter duration of unemployment compensation claims When our analysis was complete, we compiled a list of opportunities for improvement and validated the list with the UC subject matter experts. Some of the opportunities for improvement require the implementation of a new UC system to be realized (long term) and others include improvements that could be realized prior to the implementation of the new system (short term). 5/12/2010 Page 9 of 407 UCCBIS Requirements Definition Document Agency for Workforce Innovation Unemployment Compensation Claims and Benefits Information System (UCCBIS) Measure Result Number of Identified Process Improvements 99 Figure 2 – Process Improvements 1.3.4 Future System Defined the future state and the plan to get there. After the list of opportunities for improvement was finalized, we researched and documented best practice outcomes for the processes and began taking steps to re-design the old processes and to define new processes that are needed. We used a similar approach to the one we used to define the As-Is processes when we defined the to-be processes. It started with a series of interviews with UC subject matter experts and evolved into a workshop that validated the newly designed processes and drove to the appropriate level of detail. We used the input from the workshops to finalize the process improvements that are embodied by the To-Be processes. The To-Be Documents used as the foundation for the system requirements depict a potential future state business process model for the Unemployment Compensation Claims and Benefits Information System. The word ―potential‖ is used to describe the Agency‘s intent to maintain flexibility so that the Phase 3 vendor can recommend alternative and innovative technologies and approaches for the UCCBIS solution, some of which may require changes to these business process models. 1.3.5 Use Cases Created fully dressed Use Cases. The UCCBIS project team used the To-Be process documentation and the Business Process Improvement (BPI) opportunities to develop Use Cases. Many of the functional requirements contained within this document were identified directly from these Use Cases. Complete traceability has been maintained throughout the project so that each functional requirement links directly to the Core Business Processes depicted in the To-Be documentation and, if applicable, to a specific Use Case supporting the requirement. Measure Result Number of fully dressed Use Cases 47 Functional 16 Common Figure 3 – Fully Dressed Use Cases 1.3.6 Requirements Traceability and Verification Matrix (RTVM) The project team identified both system (functional) and technical (non-functional) business requirements throughout this process. Throughout this document and its attachments, the terms ―system requirements‖ and ―functional requirements‖ are used interchangeably. In addition, the terms ―technical requirements‖ and ―non-functional requirements‖ are also used interchangeably. 5/12/2010 Page 10 of 407 UCCBIS Requirements Definition Document