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CHAPTER 11
The Integrated System
The SSA process is the range of technological, managerial and operational
components that the agency uses in carrying out its mission. The process
primarily involves establishing client eligibility and determining appro-
priate payments. The SSA's data management function is fundamentally
one of collecting, retrieving, selectively changing or modifying, and
re-storing a large amount of information and retaining it over a long
period, while providing timely and accurate access to the information by
widely dispersed district offices.
Information about current wage earners and potential beneficiaries
is needed to determine claims entitlement and payment procedures. Once
client eligibility has been established, the information data base is
used to determine the appropriate payment to be transmitted to benefici-
aries by the Treasury Department. Information about clients or
beneficiaries must be available only to authorized individuals and proper
access safeguards must be in effect at all times.
In a typical claim procedure, records should be available while the
client waits at the SSA office, which is probably a matter of minutes.
During the interview with the client, the information exchange with the
data base should be accomplished in a matter of seconds. After the
interview is completed, new and updated information can be sent in a
less demanding time requirement, perhaps hours, to the master file to
modify the record.
The fundamental requirement is an open and dynamic system with
record retrieval in minutes, interaction in seconds, and modification
in minutes to hours. When coupled with increased efficiencies in data
processing and new capabilities in data storage, a system meeting this
requirement should remove the need for any significant increase in the
number of employees, despite any increased workload imposed on the SSA.
The SSA data base now represents slightly more than 1
trillion "bytes" or characters of information, much of which should be
accessible in real time with a high degree of reliability and respon-
siveness. The panel estimates that between 10,000 to 30,000 terminal
access points will be in use by the mid-1980's, when the data base
undoubtedly will be larger. The future data base can be designed to
accommodate changes made to increase operational efficiency, as well as
13
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those resulting from new legislation or other considerations. The
achievement of such a data base appears to be within the capability
of the technological state-of-the-art.
To store the massive amount and variety of client information,
several storage architectures are available, ranging from centralized
through regional to decentralized or local. To meet the wide spread
of timeliness criteria, storage media at any location can be available
in a range of capabilities that provide different response times to
queries. The array of processing alternatives runs from large cen-
tralized mainframes to local distributed processors.
SYSTEM ALTERNATIVES
The OAS has made an initial evaluation of the cost of alternatives
to provide future system capabilities. The alternatives included both
central system and regional system configurations. The OAS calculated
that personnel costs associated with the various alternative configura-
tions greatly outweighed equipment costs. Only 6 percent of operating
costs in 1980 are likely to be for data processing and communications.
Because of the availability of the Baltimore headquarters facilities and
personnel, OAS concluded that the most desirable system would be cen-
tralized in Baltimore and some distributed processing would occur at
local SSA offices.
The panel has examined this conclusion by evaluating conceptually
three generic options, schematically represented in Figures 1 to 3,
page 15.
The centralized system (Figure 1) consists of a group of large
comp ~ files in a single location. A nationwide SSA
communications network provides access to this center. Individual
terminals may have access directly to this center or through hierarchies
of local computerse Clusters of terminals and printers can be arranged
in configurations for temporary storage and readout of client records.
The OAS chose this configuration initially because of several attractive
features. Currently, the SSA process is operated at a single center in
Baltimore, thus easing the transition to the proposed system. Moreover,
a major construction program is underway in Baltimore to house additional
data processing equipment and provide greater security. Such a massive
data base can be most efficiently managed by a technical staff in one
location. The major disadvantage to this approach is the lack of a
backup file. A major disaster or interruption of service at the central
facility could have a drastic socioeconomic impact. another drawback is
that this concept involves the shutdown of the present six regional
centers, where many of the 13,500 employees have useful SSA experience.
The regional system (Figure 2) consists of several regional cen-
ters, each with processing and storage capabilities. As in the central-
ized system, terminals and local processors are interconnected in a
compatible way by a communications network. The major advantage of
regional centers is that they provide redundancy and support. The
physical separation of processing and storage elements, together with
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15
SINGLE CENTER
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FIGURE 3
1 11111 Large Computer
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provisions for redundancy, could provide the capability for virtually
uninterrupted system operation in the event of an interruption at any
one of the centers. The number of regional centers would most likely
be between two and six. The major disadvantages of this approach are
1) a probable increase in cost; and 2) the difficulties of staffing,
managing and coordinating multiple sites, (although such problems may
be mitigated because the six regional centers are in operation with
experienced personnel).
The fully distributed system (Figure 3) would locate data pro-
cessing and storage at several hundred geographically dispersed
locations. This configuration has the advantages of less complex
hardware, fast response time, and flexibility for changes in hardware.
It also would take advantage of the rapid development and declining
costs of small new computer systems. It may provide the opportunity
to measure costs and efficiency more accurately because each district
office could be responsible for its own configuration. There are
serious drawbacks, however, to this approach. It would be more diffi-
cult to manage and control than the regional approach. Standardization
of operations, security, and auditing would demand close management
control in such a highly decentralized system. With a widely dispersed
data base, summary information would be more difficult to derive for
use at 'headquarters. It is probable that the communications-information
network would be more complex and costly for this approach. Moreover,
the software technology for interaction of a large number of dispersed
data bases is still developing, and, therefore, more technical risk is
associated with this approach. While the majority of the panel has
concluded that the fully distributed design is not a meaningful alter-
native, a minority has supported continued investigation of the concept
because of the possible cost advantages of small processing systems.
For reasons that are more fully developed in the Appendix, (pages
64-66), the panel has concluded that the fully distributed system should
not be pursued, but that both the centralized and regional concepts
deserve further consideration by the SSA.
MAJOR SYSTEM CONSIDERATIONS
Segmentation of the Data Base
By all standards of measurement, the SSA data base in both the cur-
rent and proposed process is huge. Its efficient management is critical
to the stability and performance of the future System. The panel,
therefore, urges that the SSA should consider carefully the functional
and physical structuring of the data base. Such structuring is consid-
ered vital to the flexibility of the future process in order to be
adaptable and responsive to new and as yet unidentified requirements,
as well as to achieve the desired service levels.
Efficient structuring of the SSA data base is a key design decision.
Segmentation of the SSA data base is referred to as symmetric when all
the information on an individual client is maintained together in a
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single file record. A collection of the client records would contain
all of the information on a set of clients corresponding to a set of
social security numbers. Such a structure organizes the data according
to the "whole-person" concept (see Glossary) in which all information
about any one client would be maintained within a single part of the
data base. This would be an extension of the current manual process in
which most of the information about a particular client is in a hard
copy folder, maintained in one of SSA's program service centers.
Data base segmentation is said to be asymmetric if the data base
is segmented primarily by functional type of data rather than by indi-
vidual client records. For example, one part might contain earnings
info`~at~on for multiple clients; another might contain claims data for
these same clients.
The advantages and disadvantages of symmetric and asymmetric
segmentation are outlined in the Appendix (pages 66-70~. The panel has
concluded that a totally symmetric data base configuration does not
appear to be feasible. In particular, the social security number
assignment will need, in all likelihood, to be an asymmetric segment
of the data base, with all of the alphabetical name identification
references (alpha-ident) being made to this single partition of the
data base. Insofar as it can be realized, however, the symmetric con-
figuration has many advantages. The overall data base structure will
need to include both symmetric and asymmetric segmentations. However,
it should be as symmetric as possible.
Partitioning of Data Base
. . .
Because the SSA may wish to evolve from a single centralized system
into a regional system, the panel recommends that the data base be
organized from the start to facilitate such a move. By partitioning the
data base properly, the various parts can be stored either in different
computer subsystems within a single center, or in physically and geo-
graphically separated regional centers. Current policy could be
continued, whereby a record remains at the physical location (region)
where it was initially assigned. Any reassignment of records to other
logical partitions would be determined on the basis of cost/performance
tradeoffs.
Updating the Data Base
A fundamental problem is the optimum manner of updating the master
files as new data enters the system. At least three methods could be
used. First, the updated record can be inserted on-line in real time--
that is, as soon as the information is received at the central site, the
update can be made on the master file. Second, the record modifications
can be stored in a transaction file for insertion into the master file
on a regularly scheduled batch cycle, typically overnight. The third is
a combination of the first two--referred to as "time-available insertion
of the record into the master file." If the computer system has the
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capability, it would immediately insert a record into the master file at
the time it is received at the central site from the local computer;
otherwise, it would store the record at a temporary storage point for
insertion later into the permanent file.
The system needs to possess additional capability to hold modified
records pending their insertion into the master file. This could be
accomplished by moving the modified record to its primary storage loca-
tion as well as to one or more alternate holding sites.
With separate regional centers, the data base for each region could
be stored at primary and secondary sites. Moreover, different portions
of a regional center data base could be duplicated at different backup
sites. The last alternative results in a more even distribution of load
end j hence, better backup performance.
Storage Devices
The future SSA process is to be mainly on-line. While the current
process is heavily dependent upon master files that are on magnetic tape,
the future one will have information stored on direct-access storage
devices such as disks--or possibly mass storage for data that is accessed
less frequently.
The system is planned for implementation during the early 1980's,
with operation anticipated through the 1990's. While it is feasible to
accommodate the current data base with today's technology, the system
designers must accommodate advances that will result in improved perfor-
mance and decreased cost of on-line, direct access devices. Memory
technology is discussed in further detail in the Appendix (pages 72-74~.
Processing
-
In the proposed process, the balance between on-line interactive
processing and batch processing should be determined on the basis of the
timeliness and frequency required to provide the desired level of service
to clients. Whether processing occurs in large central/regional proces-
sors or in smaller distributed ones is also a function of the timeliness,
frequency and processing requirements of each *transaction. Typical on-
line functions include access to the data base to verify the correctness
of client information, to determine a client's claim entitlement, or to
update changes in client status. Even so, a significant portion of the
processing will continue to be performed in a batch mode. Items such as
earnings data will continue to be sent by employers or by individuals to
data collection centers where they will be collected, edited, formatted,
and then inserted into the system on a batch cycle. Furthermore, the
payment process, once claim entitlement has been established, will prob-
ably continue to be carried out in a batch cycle.
While most processing will be done at central or regional centers,
some portions could best be supported by on-line distributed processing
at local offices.
In order to understand how distributed processing might be
utilized to support the SSA process, consider a claims representative at
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a district office interrogating the on-line data base for information
about a particular client to determine eligibility for benefits. Upon
entering the district office, a client provides identification, which
includes the social security number. While the client is waiting to
see a claims representative, the receptionist calls up the client record
from the central data base for temporary storage in the district office.
A response time of up to several minutes at this stage would not have a
major effect on the service performance.
Once the client is assigned to a claims representative for an inter-
view, the information on the client would be available at the district
office. Interaction with the record by the office could be highly
responsive--probably in one or two seconds. The claims representative
could make modifications without changing the master copy that is main-
tained in central storage. Once the client and claims representative
agree that the information in the local copy is complete and correct,
the information would be transmitted to the central/regional site
responsible for the particular record and subsequently inserted into the
master data base. At the same time, this transaction would be retained
at the local office, thereby providing multiple copies to safeguard
against errors in the record or malfunctions in the system.
The system design must provide accommodation for the queueing of
transactions at key points for processing either in regularly scheduled
batch cycles, or on a "time available" basis. Distributed intelligence
should be utilized where feasible for local processing of the info`~ua-
tion maintained in the central/regional data base.
The Communications Network
Any future system will require an extensive communications network
that will range from low-speed, low-capacity to high-speed, high capacity
lines. However, networks are already in operation with as many terminals
and as much traffic as predicted for the proposed system. Therefore, the
size of the network and the anticipated workload are not inhibiting fac-
tors.
Some key decisions are pivotal for the design of the communications
subsystem. These might not be made until well into the system design
phase or even the development phase. The question of whether the pro-
posed system will be centralized or regionalized has intentionally been
deferred. This decision will have a major impact on the requirement for
high-speed bulk data transmission.
Questions about how much district office processing can be performed
by distributed processors, how much may require on-line interaction with
a remote site, and how much can be handled by scheduled batch transmis-
sion, say, nightly, may not be answered until a working prototype of the
new system is available. The amount of remote interactive processing
could have significant repercussions on requirements for communications.
The communications component of the future system should be segre-
gated with strictly enforced interfaces between it and the processing
centers. Segregation provides flexibility for the incorporation of
changes in the communications system without major perturbations to
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other elements of the system. It also gives the SSA an option to pro-
ceed immediately to a separate sophisticated communications subsystem,
or to defer that decision to a later point in the development program.
The panel is reasonably certain that the communications network
should provide both packet and line switching capabilities. Moreover,
the communications network should permit communications among a wide
variety of incompatible terminals and computers, with different proto-
cols, formats, speeds and codes. The communications protocol should be
modularized so that the distributed processors, terminals, and central
processors could interact readily with the communications network.
At least four communications paths will be required in a central
design concept: 1) terminals to distributed processors, 2) terminals
to central processors, 3) distributed processors to central processors,
and 4) data collection centers to central processors. A fifth communi-
cation path would be required among the regional centers if a regional
system configuration is chosen. This regional communications link would
be equivalent to the data base communications that would be required
within a single central complex if intra-complex partitioning of the
data base were implemented.
Figure 4 (page 21) represents one possible communications network.
Other networks are possible, and the graphic depiction should not be
construed as suggesting where regional centers and computers could be
located. The communications nodes are interconnected by wideband trunk
lines. Each central/regional center, data collection center, and dis-
tributed computer connects to one (or more for reliability) of the
communications nodes. Terminal devices gain access through distributed
computers. This configuration results in a communications system that
is optimized, not for any preconceived application, but, rather, for
flexibility to accommodate to changing requirements.
Two fundamental types of interchange must be provided to accommodate
terminal and distributed processor communication requirements to and from
central and regional centers: 1) interactive on a record-by-record
basis and 2) file transfer where large amounts of data are involved.
The panel is of the opinion that the cost of communications will not
be a major factor in the future SSA system.
The panel recommends that terminals for the future SSA system be
stock items from the commercial mainstream rather than specially designed
items. Flexibility for introducing new terminals into the network must
be maintained throughout the operating life of the process. Therefore,
the terminals should be selected to assure a current capability that can
be enhanced as technological advances and cost reductions come about.
Because there will be between 10,000 and 30,000 terminals installed
at the peak period of utilization, the deployment cycle will be long.
To maintain the terminals in a cost-effective manner, either the supply-
ing vendors must provide the on-going maintenance, or the SSA needs to
create its own maintenance capability. Of necessity, an in-house
maintenance staff would have to be extensively distributed geographically
to support the nationwide network. In any event, the communications
system and the terminals should have the capability of being tested
remotely.
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The GAS planning envisages that the primary interactive terminals
will have video display capability--their principal interaction being
with the distributed processors and through these to central/regional
processors. The panel recommends that when the interaction with a local
terminal is being shifted between a local and central processor, this
should be selected dynamically, either explicitly or implicitly, by the
terminal operator in conjunction with the distributed processor.
The need will exist for terminals to deliver hard copies of selected
information, primarily for the use of clients or off-network functions
such as management reporting. While the design should minimize paper-
handling to the extent feasible, there will always be some requirements
for hard copy. Examples include client copies of status, performance
records and documents requiring signatures by the claims representative
or the client to acknowledge the execution of transactions.
SYSTEM DESIGN METHODOLOGY
In the SSA's design of its future process and the system that
implements it, the panel makes the following recommendations:
o Develop an integrated process with a largely on-line or real-
time capability.
View the entire process as one that can be implemented by a
real-time on-line system to achieve the full objectives of the
whole-person concept.
Develop the various subsystems with off the shelf components.
In order to achieve the full objectives of the "whole-person"
concept, the entire process needs to be planned as on-line or real-time
from the outset, even though certain processing elements cannot be
executed in real-time during the initial implementation phases. The
data base must be designed to function in an on-line system, and the
programs that will interact with this data base must be able to do so
in real-time.
The storage media initially installed may not be capable of
microsecond or millisecond access to the data. Therefore, the storage
design must possess the leeway to accommodate to potential delays in
the processing-and-hold activity at various points until enhanced
capabilities become available. The data base design should remain
independent of any particular storage device to the extent possible in
order to take full advantage of technological advances that may be
expected during the system's life.
This design concept can be illustrated by the claims process within
a district office. After a claim record is removed from the data base
and transmitted to the local processing point for updating, it must be
returned to the central or regional file for reinsertion into the master
data base. How this will be accomplished in the future process has not
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yet been determined. It will probably not be determined until rather
late in the design process. As part of the implementation of the
integrated real-time concept, the design should support the queueing of
the updated records at the central or regional centers, as well as the
processing of such records as the system is developed. In the early
stages of implementation this can be done on a nightly batch cycle.
Later, this can evolve to real-time insertion as the technology and the
system reach maturity.
The on-line real-time aspect of the system can also have signifi-
cant consequences for user interface and training. The policies and
procedures that will govern the activities of the system's users can be
stored and maintained at the central or regional sites in an on-line
data base and made available via the same communications network and
interactive terminals that support the SSA process.
In order to facilitate the smooth design, development and implemen-
tation of the future system, the panel recommends that it be segmented
into discrete computer, communications, and applications subsystems.
The major computer and communications subsystems that are readily
identifiable within the system are:
Central Storage
Central Processing
Data Communications
Local Storage
Local Processing
Terminal Devices
In addition, the future process has identifiable application sub-
systems that can be utilized to segment the future process, such as:
Enumeration
Earnings
Claims
Post-Entitlement
Management Information
This list is representative of the types of subsystems for which
well-developed interfaces should be maintained. Segmentation provides
the option for concurrent design and development, as well as for the
involvement of individual vendors for different segments of the system.
For example, one vendor can be selected to provide a communications
service and another data base management. The SSA needs to exercise
caution, however, so as not to acquire an ad hoc data base structure
that would be neither generally available In the industry nor device
independent.
Segmentation gives flexibility to the transition plan. Thus, by
having a standardized design with fixed interfaces to other hardware
subsystems, the communications subsystem could either be the first to
be implemented or it could go into service later. Flexibility makes
it more likely to take advantage of new, more cost-effective, or more
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responsive technology. Provided that there are well-defined interfaces
among the data base and both the applications and the processing sub-
systems, the option is available for introducing new storage media or
access methods without causing major perturbations to the system.
By using off the shelf system components rather than custom built
elements in the system, many of the same opportunities as discrete
subsystems will result. In this way, the SSA has more flexibility in
the selection of vendors and an option to choose second source vendors at
little additional expense. The use of off the shelf components enables
suppliers of various hardware and software systems to make their new
components upwardly compatible. This could be a major consideration in
central processing. With such tools as standard processing languages,
the SSA would have the option of introducing advanced central processing
units into the system without major perturbations. Another favorable
aspect of off the shelf components is that technical expertise would be
readily available to maintain and support the equipment e It would be
more difficult to sustain a highly skilled technical staff to maintain
such a system consisting of specially designed components.
TRANSITION PLAN
The successful operation of the SSA process during the transition
period is vital to millions of Americans. Ideally, the conversion
sequence should best follow the chronology of the SSA processes, in
which case the order would be: enumeration, earnings, claims, and
post-entitlement. This sequence provides the most natural transition
to the future process and probably requires the minimal amount of
bridging between the current and projected data structures.
The selection of a conversion sequence is related to the data base
structure itself. The information within the future data base will be
keyed primarily to the social security number (SSN). Therefore the
first future application to be implemented should be enumeration--that
is, the management of the SSN. Because each subsequent procedure
requires the SSN, and because the accuracy and authenticity of the SSN
is essential to the successful execution of subsequent stages of the
conversion, the panel recommends that enumeration be made operational
and stabilized prior to the initiation of other functional conversions.
Once the SSN management application has been stabilized, it will
be possible to gather earnings data for each wage earner in the SSN
file. The information in the SSN file describing the status and
earnings record of the client would be essential for claims actions.
Finally, after claims entitlement has been established from the earnings
and identity data, the post-entitlement application could be made opera-
tional, utilizing the previously converted information.
Such other aspects of the new system, as the communications network,
the distributed processing, and the terminals can be interwoven into
this basic conversion plan. It will be necessary to bring up all the
supporting functions--e."., processing, storage, and communications--
involved in an application by the time the application is introduced.
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Therefore, the panel recommends that the communications network and
terminals be in operation before the enumeration process takes place so
that the district offices will have access to both the SSN identity
information and to the earnings data once these processes are converted.
Because distributed processing will probably be used to support the
claims and, eventually, the updating of SSN and earnings data, the panel
suggests that the distributed process be deployed just prior to conver-
sion of the claims process. Other considerations may override the
panel's view of this sequence of conversion, one of which is the need to
maintain the stability and cost effective operation of the post-entitle-
ment process as it currently operates.
Another major consideration in the conversion effort is data base
organization. If an asymmetric design is selected as the primary
division of the data base, more options are available for the sequence
of conversion. An asymmetric data base design would more readily
support the initial conversion of the post-entitlement process. If,
on the other hand, the segmentation of the data base is primarily
symmetric, then the conversion sequence following the life cycle of the
SSA processes would be the most desirable.
Because the data is now managed in a single central site, conversion
from the current to the future process can be done most efficiently
within a single center. The panel recommends that the conversion be
completed within a single center even if it is decided to deploy the
system later to regional centers for security reasons..
The data base should be segmented from the outset. It should become
operational in the central site, therefore, with geographic dispersion
effected on an incremental basis.
Summary
.
In summary, the panel recommends that SSA:
Make a strong effort to standardize throughout the system,
utilizing operationally tested products as they become
available in order to ensure that the total system will have
a long life.
O Segment the subsystems--such as terminal devices, distributed
intelligence, telecommunications, network protocol, central
site processing hardware, and central site storage media--so
that their design, development, maintenance, and evolution
can be facilitated by having them as independent subsystems
within the total design.
Segment the applications processes for the same basic reasons.
· Emphasize on-line, real-time operations.
.
Design the system so that it could function in physically sepa-
rate centers, if this is determined to be a requirement. It
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is recognized that the transition process will not accommodate
this conveniently as the first step in the conversion.
Align the conversion of applications with the basic chronology
of the typical SSA client--enumeration, earnings, claims, and
finally post-entitlement.
Representative terms from entire chapter:
regional centers
