Attachment_C.2_PMTS_Environment_and_Requirements.pdf

RFP# 16PBGC19R0006

Attachment C.2 Environment and Requirements

Contents C.2 Participant Management Technology Services (PMTS) Environment and Requirements

2.1 Introduction/Background

2.2 Systems Stakeholders

2.3 Systems Overview

2.3.1 Benefits Management Applications (BMA)

2.3.1.1 BMA System Technology Stack

2.3.1.2 BMA Diagrams

2.3.2 Customer Care Application (CCA)

2.3.2.1 CCA System Technology Stack

2.3.2.2 CCA Diagrams

2.3.3 Systems Data

2.4 PMTS-Specific Requirements

2.4.1 Hours of Support

2.4.2 Travel

C.2 Participant Management Technology Services (PMTS) Environment and Requirements

2.1 Introduction/Background

PMTS is comprised of two major systems Benefits Management Applications (BMA) and Customer Care Application (CCA).

BMA

The BMA suite’s user community consists of over 1900 users based at the PBGC headquarters in Washington, DC, the Customer Contact Center (CCC) and Document Management Center (DMC) in Alexandria, VA, and at various Field Benefit Administrations sites (FBAs), with locations based throughout the east coast and midwestern United States.

CCA

The CCA Suite consists of the both the customer interaction repository, Customer Relationship Management (CRM) application, and the customer self-service website, My Pension Benefit Account (MyPBA) application.

The CRM application is primarily used by PBGC staff at the Customer Contact Center (CCC), the Document Management Center (DMC), and the Field Benefit Administrations (FBAs) to maintain customer data; track customer correspondence, workflow and task management; and generate reports.

The MyPBA Customer module is used by over 250,000 participants from PBGC’s trusteed plans. The customers are primarily located in the US but are located internationally as well. The MyPBA Administration module is used by PBGC administrators located primarily at the Customer Contact Center (CCC) in Alexandria, VA.

2.2 Systems Stakeholders

Office of Benefits Administration (OBA)

OBA requires information technology (IT) services to support the Participant Management Technology Systems (PMTS). OBA utilizes the PMTS suite to perform its critical business processes to achieve corporate goals. These systems allow OBA to administer benefits to over 1.5 million current and future payees in PBGC trusteed plans, while providing customer services to participants via phone, email, and through a secure online self-service portal and in facilitating payments to nearly 840 thousand retirees or their beneficiaries with benefits totaling more than $5.7 billion.

OBA’s Actuarial Services and Technology Department (ASTD) and Participant Services Department (PSD) are the key stakeholders, users, and business sponsors for the PMTS suite. The primary function of ASTD is to provide actuarial oversight and expertise supporting PBGC benefit calculation, valuation, and administration as well as to provide programmatic management, technical support, and quality assurance for the OBA systems. The PSD provides post-approval benefit payment services for trusteed plans, settlement agreements, and assigned non-trusteed plans in accordance with OBA’s standards for quality and timeliness.

https://pbgcgov.sharepoint.com/OBA/ASTD/Pages/default.aspx

ASTD’s Technology and Risk Management Division (TRMD) provides programmatic management, oversight, and quality assurance for the OBA benefit administration systems. TRMD also provides technical services and support for plan processing and oversees the planning, organizing, and coordinating of OBA's security strategy, risk management plan, and management of security system assets.

The Information Security Monitoring Team (ISCM) within the TRMD is responsible for ensuring the protection of OBA's data which often includes sensitive and/or Personally Identifiable Information (PII) type data. The ISCM Team processes and procedures ensure compliance with management organization directives, policies, guidelines, and other requirements. The OBA ISCM Team has defined information security boundaries that are led by an Information System Owner (ISO) or Information Owner (IO). The ISO / IO working with the IT and business project managers ensures the day-to-day activities are aligned with the approved ISCM plan and project schedule. The ISO / IO is responsible for ensuring accurate, comprehensive analysis, and timely completion of security related tasks and documentation.

OBA’s ASTD and PSD rely on the PMTS suite to achieve the following PBGCs strategic goals, strategic objectives and performance measures:

PBGC Strategic Goals:

Goal 2: Pay Pension Benefits on Time and Accurately Goal 3: Maintain High Standards of Stewardship and Accountability

PBGC Strategic Objectives:

o Promote exceptional customer service to pensioners o Maintain secure, flexible, and scalable technology to support effective and efficient business operations (in partnership with OIT/BISD)

PBGC Performance Measures:

o Benefit applications approved within 45 days o Compliance with Improper Payments Elimination and Recovery Act o Customer satisfaction scores o Material weaknesses and significant deficiency

Business Innovation Services Department (BISD) / Participant Management Services Division (PMSD) and Program Management

The Business Innovation Services Department (BISD) provides IT support to PBGC departments throughout the Corporation. BISD leverages best practices and state of the art technology to deliver IT innovation to PBGC business operations and customer service. BISD provides IT program management, IT project management, and IT contract oversight services while establishing and utilizing proven implementation approaches to further business area goals. Within BISD, the Participant Management Services Division (PMSD) provides overall IT Project Management support and oversight of IT contracts for the core OBA systems covered under the PMTS contract. The CORs provide contract oversight and technical direction to the PMTS contractor and act as PBGC’s liaison with the contractor.

With the support of the PMTS contractor, the IT and business program/project managers and CORs from BISD’s Participant Management Services Division (PMSD) and ASTD’s Technology and Risk Management Division (TRMD) ensure that PBGC and OBA’s goals and objectives are achieved. The IT and business program managers manage the full lifecycle of the program from planning, execution, monitoring, and control and budgeting in order to present the program status to senior leaders at the monthly CIO-CBA executive leadership meeting. The IT and business program managers partner with the Chief Enterprise Architect to conduct Business Needs Analysis (BNA) for the program components in accordance with Enterprise Architecture (EA) standards. The BNAs support OMB’s Architect-Invest-Implement paradigm and provides recommendations that drive performance improvements and IT investment planning. It also provides support to the Participant Management IT Program Plan funding and prioritizations. The outcomes of BNA assist the program managers to establish a program roadmap for the Participant Management Program (PMP) and for planning budget formulations/prioritizations for outyears.

The budget prioritizations are presented at the CIO-CBA leadership briefing for approvals before getting incorporated in to the budget submission for the IT Program Review Board (ITPRB) which is chaired by the Chief Information Officer (CIO). When the ITPRB approves the program budget, a detailed roadmap for systems and planned projects is laid out for the upcoming fiscal years.

The planned projects are submitted to the Change Control Board (CCB) for review, prioritization, and approval. Upon CCB’s approval, the program roadmaps are updated with the projects and detailed project schedules are created. The IT and business project managers work with the PMTS contractor in managing the entire system and project life cycle, providing efficient system operations. The IT project managers and the PMTS contractor also assist the TRMD business project managers in reviewing and prioritizing all system changes and submits them to the CCB for review and approval.

The program managers monitor the progress of all projects/deliverables and report them at the CIO- CBA monthly executive briefing and ensure that all program measures are met. The Integrated Project Team (IPT) comprises of IT/business project managers, EA and security representatives, and key business stakeholders who also conduct the Alternatives Analysis (AA) under guidance from the IT/business program managers and the Chief Enterprise Architect. The AA process is used to identify, compare, and assess viable information technology alternatives to address a given business need or performance gap. The AA process also determines and recommends the best alternative and documents the associated rational for systems covered under the PMP. The selected alternative is presented at the CIO-CBA executive briefing for approval. Any tool, technology, or solution that is part of the selected alternative is then presented to the Technical Review Board (TRB) by the IT project manager for TRB’s review and approval and EA’s Technical Reference Model (TRM) is updated accordingly with the approved tools and technologies.

PBGC expects the PMTS contract project manager to partner with PBGC IT and business project managers in the successful planning and execution of all projects; supporting the above-mentioned activities and providing efficient operations of all systems. The PMTS contract program manager/leadership team is expected to work closely with PBGC’s program managers and executives to ensure the success of the program and conduct a monthly Program Management Review (PMR) to provide a detailed snapshot of all program activities and status.

2.3 Systems Overview

2.3.1 Benefits Management Applications (BMA)

The BMA Suite consists of the applications listed below:

Spectrum

Spectrum is a web-based application developed using Java 2 Platform Enterprise Edition (J2EE) technology, Procedural Language/Structured Query Language (PL/SQL), frameworks like Struts, Spring (Inversion of Control) IOC, and Spring Java Database Connection (JDBC) technology.

Spectrum is based on an Oracle 11g middleware platform which provides users with the ability to create, manage, edit, and review customers’ information and their benefits data. The users have the capability to create/edit customer benefits and payments, suspend/resume customer benefit and payments, terminate/reinstate customer benefit and payment, and view customer ledger information.

Functionality Overview of Spectrum

Area Functionality Data Load Management

• Create data load request to bulk load customer and benefit data into PBGC’s production database

Customer and Benefit Management

• Perform Customer searches

• Created/edit/delete/undelete Customer

• Create/edit/delete/undelete Customer Roles

• Create/edit payment destinations for annuity payments

• Create/edit annuity tax withholdings

• Merge Customers

• View Approvable Changes

• Create/edit benefits and payments (Annuity, BackPayment, One-Time

Payment)

• Suspend/resume payments

• Terminate/reinstate benefits

• View ledger information

• View/edit valuation information

• Create/edit non-PBGC benefits

System Administration

• Maintain system settings and options for data load requests, customers, and benefits within Spectrum

Continuous Eligibility Mailing Scheduler

• View mailing schedule for Continous Eligilbity program

• Update scheduled mailing dates

System Administration

• Maintain system settings and options for data load requests, customers, and benefits within Spectrum

Area Functionality

Payment Processing

• Incoming Transmissions

• Outgoing Transmissions

• Error Variance

• Payment History Correction

AWA (Approval Worklist Application)

AWA is a web-based standalone application utilizing Oracle Application Development Framework (ADF) components based on Oracle 11g WebLogic Application Server technology that allows users to view transactions that have been submitted for approval, view transactions that have been processed, approve or reject transactions, view detailed information about a given transaction, launch the Image Processing Service (IPS) to review documents, and to search for transaction records for a given customer. AWA is designed using the J2EE defined standard for developing multi-tier enterprise applications.

Functional Overview of AWA

Component Description

Approval Worklist Application

(AWA)

• View a list of transactions submitted for approval

• View processed transaction records

• Search for particular transactions

• View detailed information about a transaction

• View actions taken on behalf of a customer

• Approve, reject or purge transactions

• Launch the IPS (Integrated Processing Service) application to review proof documents

• Generate reports

Service Administration Tool (SAT)

The Service Administration Tool (SAT) is a standalone web-based reporting software application utilizing Oracle ADF components based on Oracle 11g WebLogic Application Server technology.

SAT allows the Administrator to establish, maintain, and remove AWA user functions, the rules that govern transaction approvals, and transaction groups, types, levels, and values. SAT is designed uses a J2EE defined standard for developing multi-tier enterprise applications.

Functional Overview of SAT

User Role Functions

SAT

Administrator

• Create new approvers and assign or remove approver rights. Grant or deny approver access to specific cases

• Create, modify and delete approval categories and statuses

• Create, modify or delete approval roles and assign transaction rights to a role

• Create, modify and delete transaction groups and types. Assign approval categories and default approval levels to transaction groups

• Create, modify and delete consumer applications, reference types, and termination plan divisions

• Create, modify or delete threshold limits, groups, types and values

• Run reports for user roles, case inclusions and exclusions, departments and divisions

• Start and stop the legacy system transaction queue

SVO (SAT View Only) • Customize and generate SAT Quarterly Confirmation Reports.

CE

Administrator

• Edit the global settings for monitoring the Continuous Eligibility program.

Set and edit plan provisions, benefits, intervals, dates and other conditions to be tracked.

• Set and edit the requirements for participants within a tracked plan

• These settings are published via web services that is consumed by the

CMS, CRM, My PBA, and Spectrum applications

Interest Rate Administrator

• Set and edit the interest rate calculation requirements for one-time payments

External Communication Administrator

• Create and edit the setting for external communications, including the process whereby benefits are terminated if the Payee Information Form (PIF) is not received after a trusteeship letter is sent to the participant

2.3.1.1 BMA System Technology Stack

The PMTS O&M team shall be familiar with the following technologies that make up the system.

Also see Attachment C.2.a TRM AD Tools, for a list of active directory tools currently used.

Software Version Adobe Acrobat Professional 11 PRO ADF Business Components 11.1.1 ADF Faces (JSF) 11.1.1 Ant 1.6.5 BI Publisher 10.1.3.3

CVSNT 2.0.11+

Internet Explorer 11.2248

JAWS 8.0

J2EE 1.7.0_181

JDBC 3.0

HP LoadRunner 9.5 HP Quality Center 12.21.18 HP QuickTest Professional 11 Hummingbird Exceed 2008 Microsoft Visio Professional 2016 Middle Tier JDK version 1.7.

Oracle Forms Builder 10.1.2.3.0 Oracle Reports Builder 10.1.2.3.0 Oracle Web Center ADF 11g Oracle WebLogic Server 10.3.6 Oracle 11g SOA/BPEL Suite 10.3.6 Oracle Database Client 12.2.0.1.0 Oracle Jdeveloper for WebLogic Server 11.1.1.7 Oracle RDBMS 12.2.0.1.0 Oracle WebLogic Reports Server 10.3.6

PVCS 8.6

Serena Business Manager 10.01 Serena PVCS Version Manager 8.6 SharePoint 2016 TOAD (Quest Software) 12.1.0.22

2.3.1.2 BMA Diagrams

Spectrum/AWA/SAT Component Mode

ORACLE WebLogic AS11g

SOA/BPEL

ORACLE WebLogic AS11g

UPT

WSAz

Production Environment

Developer Workstations

ORACLE WebLogic AS11g

UPT

WSAz

ORACLE WebLogic AS11g

OID, OAM, SSO,

Active Directory, Forms and Reports

CDE Environment

User Workstations

COOP Environment

Spectrum/AS/AWA/SAT

Testing Workstations

ITC Environment

Load Balancer

CDE-I

(CDE Interoperability Environment)

Spectrum/AS/AWA/SAT

CDE-T

Development Environment Spectrum/AS/AWA/SAT

Spectrum/AS/AWA/SAT

ORACLE WebLogic AS11g ORACLE WebLogic AS11g

Load Balancer

ORACLE WebLogic AS11g ORACLE WebLogic AS11g

Load Balancer

ORACLE WebLogic AS11g ORACLE WebLogic AS11g

ORACLE WebLogic AS11g

OID, OAM, SSO,

Active Directory, Forms and Reports

ORACLE WebLogic AS11g

OID, OAM, SSO,

Active Directory, Forms and Reports

ORACLE WebLogic AS11g

SOA/BPEL

ORACLE WebLogic AS11g

SOA/BPEL

ORACLE WebLogic AS11g

UPT

WSAz

ORACLE 11g Database Server

ORACLE 11g Database Server

ORACLE 11g Database Server

ORACLE WebLogic AS11g

SOA/BPEL

ORACLE WebLogic AS11g

UPT

WSAz

Spectrum/AS/AWA/SAT

ORACLE WebLogic AS11g ORACLE WebLogic AS11g

Load Balancer

ORACLE WebLogic AS11g

OID, OAM, SSO,

Active Directory, Forms and Reports

ORACLE 11g Database Server

ORACLE WebLogic AS11g

SOA/BPEL

ORACLE WebLogic AS11g

UPT

WSAz

ORACLE WebLogic AS11g

OID, OAM, SSO,

Active Directory, Forms and Reports

ORACLE WebLogic AS11g ORACLE WebLogic AS11g

Load Balancer

ORACLE 11g Database Server

Spectrum/AWA/SAT Functional Diagram

2.3.2 Customer Care Application (CCA)

CRM Functional Overview

PBGC utilizes a web application containing a central repository to consistently track all PBGC's customer interactions and provide a consistent means of customer service. The application provides the customer with a one-stop-shopping experience to have their service needs completed on their first call or interaction with PBGC. In addition, the application's integration with other PBGC systems and applications allows PBGC to access/change participant-profile information (i.e., home address, automated clearing house (ACH) address, and bank address), view imaged participant documents, (including correspondences), access plan and payment 7 RFI 2017-0096 information (and act when changes are appropriate), and provide tightly managed security and controls that permit access and govern the approval process.

MyPBA Functional Overview

PBGC offers a custom developed, secure, online, self-service web application used by participants in PBGC trusteed plans to conduct benefit related transactions. Some of the common online transactions conducted via the web application are as follows: apply for benefits, update contact information, apply for or edit electronic direct deposit (EDD) information, designate a beneficiary, request a benefit estimate, update federal tax withholding options, generate income verification letters, and view/print 1099-R tax forms. The self-service web application consists of a customer module and administration (admin) module. The customer module is the end user-facing part of the application that is available to pension plan members. The admin module is used internally by the PBGC Customer Call Center to manually create accounts, perform account maintenance, and troubleshoot customer issues.

2.3.2.1 CCA System Technology Stack

The PMTS O&M team shall be familiar with the following technologies that make up the system.

Also see Attachment C.2.a TRM AD Tools, for a list of active directory tools currently used.

Software Version Oracle eBusiness Suite 12.1.2 Oracle database 11g Oracle WebCenter 11g Oracle WebLogic Server 11g Red Hat Linux Server 6ES Unix SUN 05 Oracle Solaris 10 Oracle's Application Development Framework 11g Oracle's JavaService Faces (JSF) 11g Java and Oracle database 10g Oracle WebLogic Server 11g Enterprise edition 11g

2.3.2.2 CCA Diagrams

CRM Component Model

MyPBA Component Model

INTEROWN schema: Routing number data.

PBGC Internal LAN/WAN Network

Address Validation Service

MyPBA CRM Process

CRM Creation Web Service (Create Interactions)

CRM Query Web Service (PIF) CRM Power of Attorney Web Service (POA)

CRM

MyPBA Application

Trillium

MyPBA Admin Users

ING

- PBGC MyPenPay WebService

• 1099s

• Check Images

• Payment History

MyPBA Interfacing Systems

Filenet

CCSM/QCSM/RCSM

Common Committal Service Method Query Common Service Method Retrieval Common Service Method

BCVS

BCVS

Web Service (Check “web ready” status Retrieve on-line benefit estimates)

PBGC Customers

Spectrum

Legacy Adaptor Service

Active PDF Web Service

SPECOWN schema: Continuous Eligibility data for MyPBA.

PBAOWN schema: Transactional and Lookup data for MyPBA.

GENOWN schema: Customer data for MyPBA (including materialized view for CMS Employee, Casesummary data and views of eALG data).

Stored Procedures will be used for updating data.

Direct Queries will be used for reading data.

GENESIS

Routing Number Web Service

CE Web Service can be consumed by MyPBA when compatibility issue resolved

GovDelivery Newsletter Subscription

2.3.3 Systems Data

The data provided in the table below are historic numbers and are provided for context to enable the offeror to better understand the requirements.

PWS Section Reference BMA CCA

Program/Project Management

4.1.1 C. Peak

period of performance

January – April (Tax Season)

January – April (Tax Season)

4.1.2.1 Issue and

Risk Mgt reporting

Draft risk management plan within 15 business days after award; updated quarterly.

Continuously monitor/control existing risk/issues and actively identify new developments.

Draft risk management plan within 15 business days after award; updated quarterly.

Continuously monitor/control existing risk/issues and actively identify new developments.

4.1.2.3 IPT and

CCB frequency

IPT meetings are held monthly and CCB meetings are held bi-annually.

IPT meetings are held monthly.

CCB meetings are held bi-annually.

4.1.2.6 Tech

writing

Add/update technical documents:

system documentation and ITSLCM related documentation as new/enhanced/integrated application releases are implemented and as procedures are modified because of these releases.

Add/update the system, technical, user, test plans, test results, configuration management and change control documentation for the application. Documents shall be added or updated as new or enhanced application releases are implemented and as procedures are modified because of these releases (Average 3 releases per year.)

Execution

4.2.2.14 Training Deliver training plans and schedules

prior to a release implementation.

Ensure users are trained in a timely manner to coincide with the rollout of the software changes into the production environment. (3 releases per year)

Deliver training plans and schedules prior to a release implementation. Ensure users are trained in a timely manner to coincide with the rollout of the software changes into the production environment. (There are on average 3 releases per year, but vendor should also ensure training material is up to date on a continuous basis.)

Operations

PWS Section Reference BMA CCA

4.2.3.1 Tier 3

tickets data

Avg. 147 tickets per month averaging less than 24 hours for resolution.

Monthly ticket average ~ 49 total across CCA Suite Avg Response Time < 10 mins Avg Resolution Time < 1.25 days

4.2.3.3 Infrastructure Impact Analysis

Avg. 4 infrastructure impact analysis per year which may require systems testing or updates.

Avg 4 - 6 times per year for efforts that involve IPT participation.

4.2.3.6 Data Call

and Audit Support

There are an average 75 standard data call reports pulled each month requiring an average 15 hours per month to fulfill.

There are an average 8 reports ran annually for audit purposes that require 30 hours to create, execute, and deliver per year.

There is an average of 10 reports delivered monthly which require an average 25 hours of support to deliver.

4.2.3.9 Ad Hoc

Reporting

31 Ad-hoc reports per month; effort 118 hours per month.

5-10 d -hoc reports per month

2.4 PMTS-Specific Requirements

2.4.1 Hours of Support

The hours listed below are to provide an understanding of the environment and overall requirements.

A full complement of contractor personnel is not needed on-site or to staff each area during all of these hours. The contractor is to propose its staffing levels.

All Hours are East Coast

System Core Hours of Support (Monday- Friday) After Hours Support

BMA 7:00 am – 7:00 pm 4-6 times per year for weekend release and COOP CCA 7:00 am – 7:00 pm

Operations support personnel should be available during Core Hours and for tier-3 on-call needs.

Program/Project Management and Execution staff are not required on a regular basis after 5:30 PM.

The contractor shall follow FAR and PBGC policy regarding holidays and inclement weather in coordination with the COR.

2.4.2 Travel

Travel is periodically required to both the COOP and Field Benefit Administration (FBA) sites.

Travel normally occurs following system releases that introduce new functionalities where the user community must be trained. Other instances for travel may include annual COOP exercises or site visits to evaluate system performance and user satisfaction. Based on historical estimates, an average of 5 trips are taken annually.