Office of the State Comptroller

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New York State LocalRetirement Systems
Self Service Applications Presentation
Jeffrey P. Swain, Deputy Comptroller
H. Carl McCall, State Comptroller
May 2001
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An OSC and NYSLRS Commitment

• The Office of the State Comptroller and
  NYSLRS have an ongoing commitment to our members,
  retirees, and participating employers, to provide
  quality services and up to date information in
  the most efficient and timely manner.

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Strategic Vision for NYSLRS

• Take responsibility to redefine customer
  service(facing out- what do our customers want
  from NYSLRS?)
• Radically collapse lead times for customer
  service (do more, do it faster)
• Protect the customers and Systems vital
  interests (secure access to data leverage
  infrastructure and human resource investments)
• Identify needs and acquire resources to meet them

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Inhibitors to Meeting our Commitments

• Aging legacy technologies and business systems
  limit our information delivery and transaction
  processing capabilities (mainframe centric -
  CICS/MEBEL)
• Retirement legislation has resulted in increased
  existing workloads and backlogs
• Limited number of available resources

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One Obvious Solution ?

• SSA - Self Service Applications
• Utilize new and emerging technologies, including
  the Internet, to enable members and retirees
  direct and secure access to their retirement
  system information and to conduct business with
  NYSLRS.

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To Pursue the SSA Initiative Four Teams Were
Formed

• Stakeholder Analysis Customer Relations
• Internet Legacy Integration Technology / Tools
  / Software
• Security Team Protect system client interests
  Secure Access
• Information Disclosure WorkgroupBest practices
  for disclosure of personal information

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SSA Team Activity

• Each team has an official charter setting forth
  its purpose, goals, approach, boundaries,
  deliverables, and milestone dates.
• All teams meet weekly - use SWET best practices
  for conducting all meetings
• Discussion data bases for each group facilitates
  sharing of documents, issues, and status
  reporting.

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The SSA Stakeholders TeamSponsor Laurie
McPadden Team LeaderRon Frey

• IRM Members
• Ron Terry (Application Development)
• Joanne Bornt (CS / Web Application Development)
• Leslie Davey) (Application Development),
• Sharon Foster (Application Development)
• Rick Sundeen (Application Development)
• Dave Montesi (ILI)
• Other Members
• Dana Riell (Legal)
• Teri Landin (Actuarial)
• Jeanne Gibson (Information Services)
• Dana Riell (Legal)
• Bob Altschuler (Member Services)
• Ed Smith (Retirement Services)

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Stakeholders Analysis Team Purpose and Goals

• Identify all internal and external NYSLRS
  stakeholders
• Develop and distribute surveys to members and
  retirees for input concerning what information
  and processes they would most like to have
  available over the internet.
• Analyze and evaluate results of stakeholder
  survey
• Coordinate with Security, ILI, and ID
  teams to determine feasibility of desired
  processes from a technical and security readiness
  perspective
• Make a recommendation to management for Self
  Service Application pilot

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SSA Survey (samples)
Providing better service to you is important to
us. We are conducting this survey because we
want to know what information is most valuable to
you.   1.     Are you a retiree or a member (not
retired yet)? ? Retiree ? Member   If you
are a member, please fill out the survey on the
back, instead. Thank you.   2.     Please tell
us your level of interest in having personal,
direct access to the following pieces of
information held by the Retirement System.
Please check only one of the boxes. Not Somewhat
Very Interested Interested Interested a)   The
amount of my current monthly retirement
benefit ? ? ? b)   Deduction details about my
current monthly benefit ? ? ? c)   The
retirement payment option I chose ? ? ? d)  
How I can have my monthly benefit deposited ? ? ?
directly in my bank account via Electronic
Funds Transfer (EFT)
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Providing better service to you is important to
us. We are conducting this survey because we
want to know what information is most valuable to
you.   1.          Are you a member (not retired
yet) or a retiree? ? Member ? Retiree   If you
are a retiree, please fill out the survey on the
back, instead. Thank you.   2.          Please
tell us your level of interest in having
personal, direct access to the following pieces
of information held by the Retirement System.
Please check only one of the boxes. Not Somewha
t Very Interested Interested Interested a)    
My tier, plan and date of membership ? ? ?
b)     My current beneficiaries ? ? ? c)     My
years of service credit on file ? ? ? d)    
My current mailing address on file ? ? ? e)    
My current contribution balance (if any) ? ? ?
f)       My loan balance (if any), payoff
amount, ? ? ? and when I can take out
my next loan
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The SSA ILI TeamSponsor Bob Loomis Team
Leader Dave Montesi

• IRM Members
• Dominick Commisso (Application Development)
• Judy Bradley (Application Development)
• John Casale (CS / Web Application Development)
• Jack Stellrecht (System Data Base
  Administration)
• Ed Philbrook (Network/Tech Support)
• Mike Van Buren (CS Web Tech Support)
• Bill Barret (CS Web Tech Support)
• Jim Teschke (Security and Data Admin)
• Other Members
• Dana Riell (Legal)

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Legacy Integration TeamPhase I Purpose and Goals

• Compile candidate list of internal Lotus Notes
  Applications having potential for real-time
  integration (read only) with mainframe db2 data.
• Evaluate candidate list and select an application
  to pilot (disabilities).

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Legacy Integration TeamPhase I Purpose and Goals

• Conduct product research and recommend a
  technical (middleware) solution for the pilot
  application integration
• Acquire and configure technical components, and
  test integration capabilities (proof-of-concept)
• Code, test, and implement the pilot application

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ILI Server (Gateway)
Lotus Notes Server
Lotus Notes Client
DB2 Connect Client
DB2 Connect Enterprise Edition
Disability Application

• DECS / LSX

NT Workstation
NT Server
NT Server
Lotus Notes Client
TCP/IP

• DRDA Server

NT Workstation
OS 390 Mainframe

• LEGEND
• DRDA Distributed Relational
• DataBase Architecture
• DECS Domino Enterprise
• Connection Services
• LSX Lotus Script Extension

DB2 databases
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Legacy Integration TeamPhase II Purpose and
Goals

• Expand upon Phase I functionality (read only)by
  selecting another internal application for
  development which will support read/write
  mainframe integration.
• Establish proof-of-concept for a Lotus Domino/
  DECS /DB2 Connect integration solution via the
  web (AIX)

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Legacy Integration TeamPhase II Purpose and
Goals

• Extend research to other available software and
  technical solutions for integrating legacy data
  and /or transaction systems with web based
  applications.
• Act as liaison and coordinate efforts with the
  Stakeholder, Security and ID teams to ensure
  availability of tools to support recommended
  pilot application(s) and compatibility with the
  recommended security solution.

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Legacy Integration TeamPhase II Purpose and
Goals

• Make a recommendation to management for software
  / toolset solution for pilot development

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The SSA Security TeamSponsor Jim Normile
Team Leader Mike Van Buren

• IRM Members
• Jim Teschke (Security Data Admin)
• Dave Van Deusen (Application Development),
• Sharon Kielty (Security and Data Admin)
• John Casale (CS/Web Application Development)
• Ron Frey (Application Development)
• Carol LoBalbo (Call Center)
• Bill Barret, Mark Rose (CS/Web Tech Support)
• Dave Montesi (ILI)
• Other Members
• Dana Riell (Legal)
• Jim Brunt (ISO)
• Rick Panza, Helen Pelcher (Internal Audit)
• Jean Moore (Admin - BITS Security)
• Sandra Chizzolin (Admin-BITS Customer Liaison)

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Security Team Purpose and Goals

• Attend training to develop familiarity with
  security technology and authentication issues
  relative to Self Service Applications
• Perform outreach to other organizations and
  retirement systems who have implemented SSAs to
  compile information concerning their security
  solutions
• Conduct research of available vendor security
  solutions
• Evaluate feasibility of alternative (e.g., in
  house) security solutions

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Security Team Purpose and Goals

• Coordinate team efforts and progress
• Stakeholder SSA Team
• ILI SSA Team
• Information Disclosure Workgroup
• OSC Information Security Officer and Security
  Group
• Make a recommendation to management for a
  security strategy to be used for SSAs

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Information Disclosure WorkgroupChairman
Gregory Childs

• Members
• Bob Altschuler (Member Services)
• Candy Muraski (Information Services)
• Dana Riell (Legal)
• Mike Van Buren (IRM)
• Dave Montesi (IRM)
• Neil Manning (Retirement Services)
• Kathy Bazicki (Disability Processing)

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Information Disclosure Workgroup Activities

• Compile NYSLRS business units policies for
  release of member and retiree information for
  requests received
• Over the phone
• Through the IVR system
• Through correspondence (letters)
• Categorize the information by degree of
  security/authentication requested for release

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Information Disclosure Workgroup

• Perform outreach to other public retirements
  systems concerning their Information Disclosure
  Policies and best practices (questionnaire)
• Evaluate other retirement systems policies
• Reassess NYSLRS current policies
• Implement new best practices for Information
  Disclosure at NYSLRS

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• Information Disclosure Workgroup
  Questionnaire (Sample)
• Does your organization have a standard, formal
  policy or best practices document relative to
  disclosure of personal account information to its
  members, retirees, or other clients who call the
  retirement system directly and talk to a staff
  person?
•  
• Yes___ No___ If Yes, would you provide us a copy
  of such documents?

• If your organization allows for disclosure of
  personal account information over the phone, what
  method of caller authentication is utilized to
  verify the callers identity prior to disclosing
  the information? ? (e.g., the caller must
  supply a social security number, name, address
  of record, and date-of-birth for
  verification).___________________________________
  __________________________________________________
  __________________________________________________
  _____
• __________________________________________________
  ____________________
•  
• In disclosing personal information over the
  phone, is the same level of caller authentication
  universally applied, regardless of the nature of
  the information sought? Or, are different levels
  of authentication required based upon the
  nature/sensitivity of the data requested?

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Milestones for SSA

• Security Team
• Deliver a recommendation for a security strategy
  and implementation plan to management for review
  - June 30, 2001

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Milestones for SSA

• Stakeholder Team
• Distribution of Surveys April 18 May 9,
  2001
• Deliver recommendation of which SSA's to present
  on the internet to management - June 1, 2001

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Milestones for SSA

• ILI Team
• Phase I Implementation of middleware pilot
  application with real-time access to mainframe
  db2 - April 2001
• Recommend a software solution / toolsto support
  development and deployment ofpilot SSA
  application and security solution- July 2001

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To Meet the Pilot SSA Implementation Goal

• October 01, 2001

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NYSLRS On-Line - My Retirement
32
Log into My Retirement Name Password
John Smith

Go to My Retirement
Forget your password?
33
Welcome to Johns Retirement
Current Address 234 Smith Street
Karaoke Ville, NY 10000
Reg. 1234567-8 SS 123-56-7890 Tier 3 Death
Benefit 2 Date of First Credited Service
9/24/89 Date of Membership 09/24/95 Date of
Birth 04/01/70 Plan 75-i
Brochures Tier 3 Military Service Buy
Back Article 19 - Addl Service The
Update General
Member Statement Info.
Fiscal Year Ending 2001 2000 1999
NYSLRS
34
Member Statement April 1, 2000 through March 31,
2001
John Smith
Your Beneficiary Information Beneficiary
Name Date of Birth Kathy Smith 03/05/78
Primary Katy Smith 11/22/96 Contingent
Your Member Account Account balance as of
4/1/2001 9,045.05 Account balance as of
4/1/2000 6,002.44
Service Credit Estimated total service
credit as of 3/31/2001 was 5.05 yrs
Service credited from 4/1/2000 thru 3/31/2001 was
1.00 yrs Your employer provides an additional
benefit (Section 41-j) which MAY give you
additional service credit for unused sick leave
when you retire. Based on your estimated service
credit, you have vested rights in the Retirement
System. This is a preliminary determination, do
not use this information to make a decision that
will affect your employment status.
Salary Information Total salary reported
4/1/2000 thru 3/31/2001 43,307.83 Total salary
reported 4/1/1999 thru 3/31/2000 41,676.94
Total salary reported 4/1/1998 thru
3/31/1999 38,756.39
Next
NYSLRS
Back
35
Member Statement April 1, 2000 through March 31,
2001
John Smith
My Home
Back
NYSLRS
36
Welcome to Johns Retirement
Current Address 234 Smith Street
Karaoke Ville, NY 10000
Reg. 1234567-8 SS 123-56-7890 Tier 3 Death
Benefit 2 Date of First Credited Service
9/24/89 Date of Membership 09/24/95 Date of
Birth 04/01/70 Plan 75-i
Brochures Tier 3 Military Service Buy
Back Article 19 - Addl Service The
Update General
Member Statement Info.
Fiscal Year Ending 2001 2000 1999
NYSLRS