UI-ICON Technical Update - NASWA · UI-ICON Technical Update ... THIS PRESENTATION IS FOR THE SOLE...

UI-ICON Technical Update

2016 IB NATIONAL TRAINING MEETING

AMANDA GOHL, UI-ICON ACCOUNT MANAGER

The UI program uses the ICON network to facilitate State Workforce Agencies (SWAs) exchanging information needed to process:Interstate Benefits (IB) and Combined Wage Claims (CWC), Unemployment Compensation for Federal Employees (UCFE) Wage Transfer , UCFE/ Unemployment Compensation for Ex-Service members (UCX) Query Verification,

andOther UI-related information between the SWAs and some federal agencies.

The UI-ICON system was established to enable State Workforce Agencies (SWAs) with differing hardware and software configurations to exchange pre-formatted interstate data electronically.

The Unemployment Insurance (UI) –Interstate Connection Network (ICON)

2CONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED INFORMATION. ANY UNAUTHORIZED REVIEW, USE, DISCLOSURE OR DISTRIBUTION IS PROHIBITED.

State Data Sharing Agreements for UI-ICON Applications

Interstate Data Exchange◦ Interstate Information Exchange Agreement (IIEA)

Social Security Administration Data Exchange◦ UIQ Data Sharing Agreement◦ IBIQ State Data Sharing Agreement◦ SSA Certification

Wage Record Interchange System Data Exchange◦ (WRIS) Data Sharing Agreement◦ Wage Record Interchange System 2 (WRIS2) Data Sharing Agreement

Each State is Responsible for the Accuracy of the Data Sent and the Access to and Security of the Data Received

3CONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED INFORMATION. ANY UNAUTHORIZED REVIEW, USE, DISCLOSURE OR DISTRIBUTION IS PROHIBITED.

UI-ICON’s Place Within Interstate

UI-ICON Hub

UI-ICON Data Exchange

State Workforce Agency UI-ICON Interstate Applications

CONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED INFORMATION. ANY UNAUTHORIZED REVIEW, USE, DISCLOSURE OR DISTRIBUTION IS PROHIBITED.

Hub and spoke designEach State is only responsible for the management of your secure connection(s) between the State and HubThrough only your network connection(s) with the Hub, each State has the capability to exchange UI-ICON application data with all the other participating States and Federal Agencies.

UI-ICON Network

CONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED INFORMATION. ANY UNAUTHORIZED REVIEW, USE, DISCLOSURE OR DISTRIBUTION IS PROHIBITED. 5


s

WRIS WEB HOST SITE

TLS 128 BIT Encryption



Private Multiple Protocol Label Switching (MPLS) Access Options • Systems Network Architecture (SNA) • Systems Network Architecture / Enterprise Extender (SNA/EE)• TCP/IP

Simple Object Access Protocol (SOAP), eXtensible Markup Language (XML) based protocol transmitted via HTTP

Secure Virtual Private Network (VPN)


UI-ICON Network Options

SWA Application Participation Summary 03/11/16

IB1 01 SWAs Receive/53 SWAs sendIB4 53 SWAs ParticipateIB5 53 SWAs ParticipateIB6 52 SWAs ParticipateIB13 53 SWAs ParticipateLADT 53 SWAs ParticipateIBIQ 52 SWAs ParticipateSID 45 SWAs ParticipateUCX 52 SWAs ParticipateUCFE 51 SWAs ParticipateCrossmatch All SWAs Should Respond to RequestsWRIS 52 SWAs ParticipateWRIS2 42 SWAs ParticipateUIQ 38 SWAs Participate


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Handbook 52 SWAs Participate

Handbook Web 53 SWAs Participate

Vessels 45 SWAs Participate

Vessels Web 29 SWAs Participate

Overpayment Recovery 5 SWAs Participate

Overpayment Recovery Web 33 SWAs Participate

FCCC Exceptions Web 52 SWAs Participate

EUC08 46 SWAs Participate

UImail 52 SWAs Participate

WIC2 52 SWAs Participate

WIC2 Web 40 SWAs Participate

IB1 Business Continuity 25 SWAs Participate

IB 8606 46 SWAs Participate

CWC 02-12 All Required

MSDES 52 SWAs ParticipateCONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED INFORMATION.

ANY UNAUTHORIZED REVIEW, USE, DISCLOSURE OR DISTRIBUTION IS PROHIBITED. 12


Handbook 52 SWAs Participate

Handbook Web 53 SWAs Participate

Vessels 45 SWAs Participate

Vessels Web 29 SWAs Participate

Overpayment Recovery 5 SWAs Participate

Overpayment Recovery Web 33 SWAs Participate

Do you need us to ‘turn off’ your handbook update and/or notification? These updates are coming to your State via IB13. Handbook updates/notifications distributed to 49 States.

Vessel updates/notifications distributed to 49 States

Overpayment Recovery updates/notifications distributed to 11 States.CONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED

INFORMATION. ANY UNAUTHORIZED REVIEW, USE, DISCLOSURE OR DISTRIBUTION IS PROHIBITED. 13

Websites Accessed by Single Sign-on (SSO)

UImail

WIC2

FCCC Exceptions

FCCC Type 1-6 Data Entry (AL, CT, CO, GA, IL, IN, ME, MN, NH, NE, NM, TX, VI)

IB 8606

MSDES

CWC 02-12

EUC08

UI-ICON Info

Handbook•Claimstaking and Directory(Local & Central)•Vessels•Overpayment Recovery


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2016 UI-ICON Training

Monthly webinars for IPCs/FPCs, ICON Programmers, and state staff as needed• State Presentations are Critical Component-Emphasize use in the states

Training Schedule Posted on UI-ICON INFO Site

National Training (March 2016)

UI-ICON Bootcamp

Regional Training

Training for Special Groups (Consortia)


Training Enhancements

Add Attendee Question/Answer to webinar training Revise and add questions for each participant to answer test knowledge before and during webinarPrequiz – test your knowledge beforeSegment quizzes At end of training – offer survey for participants on how to improve or

comments. Easy path questions – then anomalies/use case test.

Next steps: Collect questions and build test/answer scripts for training sessionsWe welcome suggestions and example scenarios from States!


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UI Data Exchange ModernizationAll States accommodated—adequate transition windows to get the job doneDesign based on open standardsLeverage technology evolutionBuild platform/product independence and interoperabilityEmphasize flexible technology

Emphasize cost containment and reductionConcerns about high cost and limited funding for change—modernization and

ongoing maintenance of current applications

Maintain State system data exchange standards

Continue policy that UI-ICON is a receive and forward function and not a data storage

Accommodate increased diversity in State architectures

Web Services Schemas /ICON WSDL provided to States per their request CONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED


IB Subcommittee Data Dictionary Workgroup

IB Subcommittee Data Dictionary Workgroup Established March 2015

Growing Problem with States Sending non-compliant data in both required and non-required fields is causing issues for states running on both modernized and legacy platforms

Standard Data Dictionary and Required Data Format Re-evaluation NeededSome data elements on original IB paper forms may no longer be required or neededConfirm Required/Optional IBIQ Fields/Formats (completed)Confirm Required/Optional SID Fields/Formats (completed)

Data Format Compliance Added to IB Subcommittee 5-year Vision Document

Next steps:Assess State Compliance with IBIQ Format Guidelines; Audit State IBIQ Screens (in

process)Confirm Required/Optional IB4 Fields/Formats (in process)Determine Assessment Methodology and Schedule per Application


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State Modernization and Data IntegrityModernized and Legacy States are Sending Non-compliant DataCertify your data format and content compliance in both new

modernized systems and old legacy systemsStates sending non-compliant or erroneous data impact other SWA and USDOL reporting systemsProcessing time impactsSystem performance impactsManual intervention required to process claims cause

significant labor impactsTimeliness and other performance measure impactsAccuracy and data integrity impactsFederal and state reporting requirements

We continue to contact States that are sending bad IB data –


IB14 Web Application IB Subcommittee approved the IB14 Workgroup at 7/16/2013 meeting. Work group comprised 27 staff members from AL, CO, GA, KY, MT, NE, OR, PR & WI. Work group completed their effort to identify requirements in November 2014. Draft web page mockups were also created.

New functionality requested: Optional 500-character comment field to enhance dialog between Paying and Transferring States. Status of a received request can be updated by Transferring State staff to indicate processing and completed. Status of request will be displayed to Paying State. Capability to attach determination document to the completed request & returned to Paying State.

USDOL guidance to States in ET Handbook 399: All State agencies shall operate in accordance with such rules, regulations, and procedures, and shall use such

forms, as shall be prescribed by the Secretary in consultation with the State unemployment compensation agencies.

IB-14 electronic form changes within the application were cleared by USDOL

Next Steps include: USDOL Approval


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UImail Workflow ManagementCA & FL asked about workflow management capability within UImail applicationNeed capability to manage assignment and tracking of UImail

requests

UImail as a workflow application would need to be a new application that allowed for information/document exchange, assignment, and monitoring/tracking within State

Had further discussions with CA &FL on general requirements.Next steps:Meet with the other large states to discuss strategies for

managing/monitoring UImail workload Review suggestions/recommendations with IB Subcommittee


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Interstate Business Continuity and Support Agreement- IB1 BC

Voluntary

25 states enrolled in the IB-1 BC effort during the initial enrollment phase.

Currently, the IB-1 BC community includes: AL, AZ, CA, CO, CT, GA, HI, LA, MD, ME, MN, MO, MS, MT, NE, NV, OR, PA,

RI, TX, UT, WA, WI, WV, and WY.

NASWA periodically solicits states for member enrollment to the IB-1 Business Continuity (BC) effort.

A list of the state points of contact with login access to update the IB-1 BC application will be sent to participating state IPCs/FPCs for account verification on a semi-annual basis.


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UI-ICON Crossmatch ApplicationsSID• Uses UI DDBI file to identify wages reported in other states and displays states with matches.• Uses monthly Claims and Overpayment (SCO) file and displays states with matches

IB 8606• Uses monthly Claims and Overpayment (SCO) file submitted by states to identify claims and

overpayments for a given SSN in other states

UIQ• Crossmatch with SSA

UCX/XFE/MSDES• UCX/XFE Maintains statewide record of current and former (nine quarters) military and federal claims

and wage assignments and MSDES allows for crossmatches with military branches

Reemployment Crossmatch• Matches against UI DDBI to check for wages reported in other states-used as interim for NDNH

crossmatch and quarterly sweep process

Quarterly Crossmatch• Matches against UI DDBI to check for wages reported in other states• Uses monthly SCO file to identify states where claims-overpayments are reported


Distributed Data Base Index (DDBI) Status as of 03/11/16

What is the Distributed Data Base Index (DDBI)?◦ List of Social Security Numbers and quarters with wages reported◦ Submitted by States for use in UI and/or WRIS application◦ Used as a crossmatch at the Hub to reduce the volume of records sent to

States for processing

52 SWAs in Current UI DDBI and WRIS DDBI◦ AL, AK, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY,

LA, MA, ME, MD, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV and WY


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WRIS2 03/11/16WRIS2 extends the current WRIS data sharing model to:

◦ One-Stop Career Center partner programs such as education programs and other programs not under the jurisdiction of the USDOL

◦ Any programs WIA defines as “additional” partners, whose participation in the One-Stop delivery system is appropriate but not mandatory.

◦ WRIS2 participation is:opt-in, completely voluntary, and dependent on the states’ laws governing the use of unemployment compensation information.

◦ Under WRIS2:only aggregate outcomes information may be shared to satisfy reporting and performance requirements for certain federal or state training and education programs while maintaining confidentiality of personal identifiable information.

40 States DC, and PR Participate in WRIS2:◦ AK,(FTP) AR, AZ, CT, DC, DE, FL(FTP), IA, ID, IL, IN(FTP), KY, KS, LA, MD, ME(FTPS) MI(FTP)

MS(FTP) MO, MN(FTP), NC, ND (FTP), NE, NM(FTP), NV(FTP), NJ, OH(FTP), OK(FTP), OR, PA, PR, RI, SC, SD, TN(FTP), TX, UT(FTP), VA, VT(FTP) WA, WI and WY


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Distributed Data Base Index (DDBI)

2016 DDBI Schedule

3rd qtr 2015 due at Hub by Jan 4th Online as of Jan 11th

4th qtr 2015 due at Hub by Apr 4th Online as of Apr 11th

1st qtr 2016 due at Hub by Jul 5th Online as of Jul 11th

2nd qtr 2016 due at Hub by Oct 3rd Online as of Oct 10th


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UI Applications Using UI Distributed Data Base Index (DDBI)

State Identification Inquiry (SID)45 States in Production as of 03/11/16 AL, AK, AR, AZ, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA,

MD, MI, MN, MS, MO, MT, NC, NE, NH, NJ, NM, NY, NV, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WV, WI, and WY

46 States sent in March 2016 Claim/Overpayment File AK, AR, AZ, CO, CT, DE, DC, FL, GA, IA, IL, ID, IN, KS, KY, LA, MA, MD,

MI, MN, MS, MO, MT, NE, NH, NJ, NV, NM, NY, NC, ND, OH, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WV, WI and WY.

Loaded 9,374,495 records from the 46 states

NOTE: THIS FILE IS ALSO USED FOR IB 8606


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IB 8606 Web Application


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Documented business process requirements related to IRORA & requirements of Public Law 99-272 and Public Law 112-96

Second release of enhancements April 2015. Currently working on requirements for an enhancement to add

individual OP Amount fields and other data fields for each determination date.

IRORA: 49 states, PR, VI and DC have signed. (ME has yet to sign.) 46 States sent in March 2016 Claim/Overpayment File Reminder: The IRORA agreement does not require states to use the IB 8606

website or any other process, but it does mandate states respond to recovery requests however they are received – via hard copy or the website. If an electronic IB 8606 is received and states do not wish to use the website, states still need to print a copy and process it as if they received a hard copy.

UI Applications Using UI Distributed Data Base Index (DDBI) - Interstate Crossmatch

All SWAs should be participating Some SWAs now using National Directory of New Hires (NDNH)

The following 40 States sent in Request data for last qtr (3/2015): AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, MT, ND, NE, NJ,

NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VT, WI, WY

The following 40 States sent in Response data for last qtr (3/2015): AR, AZ, CO, CT, DC, DE, FL, HI, IL, IN, KS, MA, MD, MI, MN, MO, MS, MT, ND, NE, NH, NJ, NM,

NV, NY, OH, OK, PA, PR, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

Reminder: All States should be responding to requests even if the State did not send in a request file for distribution.

The following States did not respond to requests over the past four cycles: Last Quarter: AK, AL, CA, CN, GA, IA, ID, KY, LA, ME, NC, OR, RI, VI Previous Quarter: AK, AL, GA, ID, KS,KY, LA,ME, OR,RI Previous Quarter: AK, AL, CA, FL, GA, ID, KY, ME,OR Previous Quarter: AK, AL, HI, ID, KY, ME, NH, OR, VA


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Quarterly batch application that provides States with the capability to crossmatch SSNs provided by a State against the UI DDBI (UIPL 1-06).

Now re-purposed to do quarterly sweep (Turbo SID).

9 SWAs have sent in this year:AZ, CA, DC, DE, IA, IL, KS, OK, SC

UI Applications Using UI Distributed Data Base Index (DDBI) - Reemployment Crossmatch

Military State Data Exchange System (MSDES)MSDEC = Military State Data Exchange – CLAIMS – Dec 2013 in Prod

MSDEB = Military State Data Exchange – BILLING – Mar 2014 in Prod

Enhancement Releases: January 4 and January 17January 4, 2016 Release EnhancementsProvide capability to exchange comments between the

States and the Military using comments on a state acknowledgement form

Enhanced search capabilityCounter to indicate when form has an attachmentJanuary 17, 2016 Release Enhancements--Update State

Acknowledgement Button36 States are sending the new Type 2 fields ◦ WBA, MBA & DA (when applicable) and branch of service

20 States have successfully uploaded 4th quarter 2015 MSDEB: AR, AZ, CO, DC, GA, IA, IN, MD, MT, NC, NH, NY, OR, PA, PR, SD, TX, UT, WI & WV

Traffic Reports for MSDES distributed to IPC/FPC monthly.


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Federal Claims Control Center (FCCC)UCX Regional and State WebEx Training

UCX user training Webinars for individual States on request Quarterly Training is Scheduled

UCX Enhancements in Process Production UCX Web Application for Data Entry of Types 1 – 6 Testing scheduled with individual states

UCX Reports Developing reporting web application for States to provide more visibility into

UCX claim status on a daily and monthly basis

Data Exchange with the Military Working with DOD and USDOL to establish data exchange to receive DD214

separation information more efficiently and quickly DPRIS - in Production for obtaining electronic DD214 images Electronic Notification of Claim Filing and Quarterly Billing – MS-DES Full Data Exchange- Working with DPRIS to provide for data element exchange


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SSA/SWA Data Exchange Status as of 03/11/16

38 States in Production on UIQ◦ AL, AK, AR, AZ, CA, FL, IN, IA, IL, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NJ, NH,

NM, NV, OH, OR, PA, PR, RI, SC, SD, TN, UT, VA, VT, WA, WV and WI

44 States Signed UIQ agreement◦ AL, AK, AR, AZ, CA, CO, FL, GA, IA, ID, IL, IN, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC,

ND, NE, NJ, NH, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, UT, VA, VT, WA, WV and WI

38 States and Hub Completed SSA Certification◦ AL, AK, AR, AZ, CA, FL, IN, IA, IL, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NJ, NH,

NM, NV, OH, OR, PA, PR, RI, SC,SD, TN, UT, VA, VT, WA, WV and WI

46 States Signed SSA and State IBIQ agreements:◦ AL, AK, AR, AZ, CA, CO, CT, FL, GA, HI, IA, ID, IN, KY, LA, MA, MD, ME, MI, MO, MN, MS, MT,

NC, ND, NE, NJ, NH, NM, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, UT, VA, VT, WA, WV, WY and WI


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CWC 02-12 Web Application

ALL STATES must use the CWC 02-12 website to notify a Transferring State (that does chargeback employers) when one of their employers has been determined to be non-compliant and has caused an overpayment on a CWC claim.

All states have completed their CWC 02-12 State Profile.

States that do NOT chargeback CWC employers will NOT receive incoming notices but may still need to use the website to notify a Transferring State that one of their employers has been determined to be non-compliant and has caused an overpayment on a combined wage claim.


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UI-ICON Security Requirements and Security AuditsUI-ICON Contract with Maryland Requires Security Compliance with Federal Information Security Management Act (FISMA) and National Institute of Standards and Technology (NIST) guidelinesDocumented Security Plan and Risk AssessmentUI-ICON Security Plan and Risk Management Plan completed 2006

UI-ICON Annual Security Audits OIG completed FISMA/NIST requirements audit of Hub in 2004

SSA Security Certification of Hub in 2004--UIQ

Annual UI-ICON internal security assessments are conducted in accordance with NIST Special Publication 800-53 security control set

2015 Audit Completed August 2015

2016 Audit Scheduled for July/AugustCONFIDENTIALITY NOTICE: THIS PRESENTATION IS FOR THE SOLE USE OF THE INTENDED RECIPIENT(S) AND MAY CONTAIN CONFIDENTIAL AND PRIVILEGED


UI-ICON Data SecurityData Encryption—Data ScrambleData leaving State and Hub are scrambled to prevent reading or access

by unauthorized people or devices during electronic transportData received by State and Hub are restored to readable format based

on shared rules to allow reading and access by authorized people or devicesNetwork Advanced Encryption Standard (AES)Internet Access Transport Layer Security ProtocolData Encryption on Mainframe and Midrange Backup TapesDisk Encryption on Midrange ServersRACF Controlled access to files on Mainframe Data Storage


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UI-ICON Operations SecurityOngoing Operational Security Audits per FISMA/NIST StandardsIntrusion Detection System Monitoring of External and Internal

SegmentsHost-based Intrusion DetectionVulnerability Scans of Network and Devices Conducted MonthlySystem Updates Performed as Soon as Available


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Amanda Gohl, UI-ICON Account [email protected]

Martha Stephens, UI-ICON Asst Account [email protected]

mailto:[email protected]

mailto:[email protected]

UI-ICON Technical Update - NASWA · UI-ICON Technical Update ... THIS PRESENTATION IS FOR THE SOLE...

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