CSE 4701

Chapter 12-1

Chapter 12 Supplement: DB Design

Prof. Steven A. Demurjian, Sr. Computer Science & Engineering Department

The University of Connecticut191 Auditorium Road, Box U-155

Storrs, CT 06269-3155steve@engr.uconn.edu

http://www.engr.uconn.edu/~steve(860) 486 - 4818

CSE 4701

Chapter 12-2

What Does CT Insurance Department Do?

Regulatory Agency for Insurance Industry Major Responsibilities Include:

Licensing Agents, Companies, Agencies Monitoring Behavior of Licensees Serving as an Advocate for Consumer Processing Complaints Against Licensees

Consists of Multiple Divisions, Including: Licensing Consumer Affairs Life& Health, Property & Casualty Examinations, Market Conduct, etc.

CSE 4701

Chapter 12-3

Overall System Structure

Initial Data Entry Operator(Scanning & Posting)

10-100MB Network

Advanced Data Entry

Operators

DocumentServerStored

Images/CD

DatabaseServerRunningOracle

Analyst Manager

Access toExternalDatabases

NAIC

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Chapter 12-4

The Licensing Division

Licensing Responsible for Maintaining Licenses for Individuals (Insurance Agents) Organizations (Insurance Agencies)

Responsibilities Include: Approving and Processing New Licenses (13 total) Modifying/Extending Existing Licenses Renewing Existing Licenses Revoking/Suspending Licensees Changing License Information (Name, Addr, etc.) Answering Legislative Requests etc…

CSE 4701

Chapter 12-5

Database Design

From a Database Design Perspective, Intent was to Transition from Non-Relational, Poorly Designed, mid-80s Solution Fully Relational, Well Designed Modern Solution

Issues: 5 Major Divisions (Licensing, Consumer Affairs,

Market Conduct, Life&Health, Property&Casualty) Limited Development Staff Major Requirements Definition for Modern Solution Need a Plan to Transition Incrementally Adopt a Multi-Year Process

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Chapter 12-6

Overall Architecture

Connecticut Insurance Department UConn Storrs CSE Scanning Users

FilenetDocumentManagementSystem

Oracle(Production)

Access toExternalDBs NAIC

Oracle(Prototype)

Wang Legacy

Scanning Developers

FilenetDocumentManagementSystem

Oracle(Prototype)

Internet

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Chapter 12-7

Wang Database Design/Content

Wang System has a Complete Database Design (Network Data Model) for Current Functionality

Design is Poorly Structured No Key’s; No Referential Integrity Data Checking on Fields not Supported

Database Repository has Lots of Null Values Licensees with Same License Numbers Inconsistencies Across Database (License Names

spelled differently in different locations, etc.) Data Fields used as Placeholders for Different

Reasons

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Chapter 12-8

Licensing Database Design

Process Focused on a Division by Division Approach Started with Licensing (where the entire Process

Begins) Identify Key Entities of Information:

LicensesModel for Individuals, Organizations, and CompaniesTracking Lines of Authority, Different Names,

Certifications, Convictions Contact Information

Each Licensee can have Multiple Addresses Payment, Images, Historical Record

Result: Initial EER

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Chapter 12-9

ER-Like Diagram for Licensing

Notes:See Links to Entities on Next SlideMany Attributes have been Omitted

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Chapter 12-10

ER-Like Diagram for Licensing

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Chapter 12-11

Licensing Tables

As Presented, Not all Attributes Shown – only Keys, Foreign Keys, Indexes, etc.

CREATE TABLE Individual( Ind_SSN Number(9) NOT NULL, Ind_Last_Name VarChar(30), Ind_First_Name VarChar(30), Ind_Middle_Name VarChar(30), Ind_Title VarChar(10), Ind_DBA_Name VarChar(100), Ind_Resident Char(2), Ind_Status Char(2), Ind_CE Char(1), Ind_Birth_Date Date, Ind_Complaints Number(5), Ind_Appointments Number(5), Ind_Org_Designations Number(5), Ind_LTC_Partnership Char(1), Ind_LTC_Date Date, Ind_LTC_Course VarChar(50), Ind_FEIN1 Number(9), Ind_FEIN2 Number(9), Ind_NIPR Number(10), Ind_Comments VarChar(2000), CONSTRAINT PK_Individual PRIMARY KEY (Ind_SSN), CONSTRAINT FK_Ind_Resident FOREIGN KEY (Ind_Resident) REFERENCES Resident(RE_Resident), CONSTRAINT FK_Ind_Status FOREIGN KEY (Ind_Status) REFERENCES I_O_Status(IS_Status), CONSTRAINT FK_Ind_CE FOREIGN KEY (Ind_CE) REFERENCES CE_Codes(CE_Code));

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Chapter 12-12

Licensing Tables

CREATE TABLE Organization( Org_TIN Number(9) NOT NULL, Org_Name VarChar(60), Org_DBA_Name VarChar(100), Org_Resident Char(2), Org_Status Char(2), Org_Type Char(2), Org_Complaints Number(5), Org_Appointments Number(5), Org_Ind_Designations Number(5), Org_NIPR Number(10), Org_Comments VarChar(2000), CONSTRAINT PK_Organization PRIMARY KEY (Org_TIN), CONSTRAINT FK_Org_Resident FOREIGN KEY (Org_Resident) REFERENCES Resident(RE_Resident), CONSTRAINT FK_Org_Status FOREIGN KEY (Org_Status) REFERENCES I_O_Status(IS_Status), CONSTRAINT FK_Org_Type FOREIGN KEY (Org_Type) REFERENCES Organization_Types(OT_Type));

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Chapter 12-13

Licensing Tables

CREATE TABLE License( Lic_License_Number Number(9) NOT NULL, Lic_TIN_Type Char(2) NOT NULL, Lic_TIN Number(9) NULL, Lic_Class Char(2), Lic_Status Char(2), Lic_License_Date Date, Lic_Cancel_Date Date, Lic_Cancel_Reason Char(2), Lic_Suspend_Date Date, Lic_Suspend_Reason Char(2), Lic_Original_Date Date, Lic_Reinstatement_Date Date, Lic_Amendment_Date Date, Lic_Print_Date Date, CONSTRAINT PK_License PRIMARY KEY (Lic_License_Number, Lic_TIN_Type), CONSTRAINT FK_Lic_Status FOREIGN KEY (Lic_Status) REFERENCES I_O_Status(IS_Status), CONSTRAINT FK_Lic_Cancel_Reason FOREIGN KEY (Lic_Cancel_Reason) REFERENCES I_O_Reason(IR_Reason), CONSTRAINT FK_Lic_Suspend_Reason FOREIGN KEY (Lic_Suspend_Reason) REFERENCES I_O_Reason(IR_Reason), CONSTRAINT FK_Lic_Class FOREIGN KEY (Lic_Class) REFERENCES I_O_Class(IC_Class));

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Chapter 12-14

Licensing Tables

CREATE TABLE License_LOA( LLA_Lic_License_Number Number(9) NOT NULL, LLA_Lic_TIN_Type Char(2) NOT NULL, LLA_Lic_TIN Number(9) NOT NULL, LLA_Life Char(1), LLA_Accident_Health Char(1), LLA_Property Char(1), LLA_Casualty Char(1), LLA_Variable_Annuities Char(1), LLA_Variable_Life Char(1), LLA_Credit_Product Char(1), LLA_Personal_Lines Char(1), LLA_Viaticals Char(1), LLA_Surplus_Lines Char(1), LLA_BailBonds Char(1), LLA_Rental_Cars Char(1), LLA_Travel_Accident_Baggage Char(1), LLA_CA_All Char(1), LLA_CA_WC_Only Char(1), LLA_CA_All_X_WC Char(1), LLA_CA_Auto_Only Char(1), LLA_Auto_Physical_Damage Char(1), LLA_Premium_Finance Char(1), LLA_Utilization_Review Char(1), LLA_Other Char(1), LLA_Restriction VarChar(50), CONSTRAINT PK_License_LOA PRIMARY KEY (LLA_Lic_License_Number, LLA_Lic_TIN_Type), CONSTRAINT FK_License_LOA FOREIGN KEY (LLA_Lic_License_Number, LLA_Lic_TIN_Type) REFERENCES License (Lic_License_Number, Lic_TIN_Type) ON DELETE CASCADE);

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Chapter 12-15

Licensing Tables

CREATE TABLE License_LOA( LLA_Lic_License_Number Number(9) NOT NULL, LLA_Lic_TIN_Type Char(2) NOT NULL, LLA_Lic_TIN Number(9) NOT NULL, LLA_Life Char(1), LLA_Accident_Health Char(1), LLA_Property Char(1), LLA_Casualty Char(1), LLA_Variable_Annuities Char(1), LLA_Variable_Life Char(1), LLA_Credit_Product Char(1), LLA_Personal_Lines Char(1), LLA_Viaticals Char(1), LLA_Surplus_Lines Char(1), LLA_BailBonds Char(1), LLA_Rental_Cars Char(1), LLA_Travel_Accident_Baggage Char(1), LLA_CA_All Char(1), LLA_CA_WC_Only Char(1), LLA_CA_All_X_WC Char(1), LLA_CA_Auto_Only Char(1), LLA_Auto_Physical_Damage Char(1), LLA_Premium_Finance Char(1), LLA_Utilization_Review Char(1), LLA_Other Char(1), LLA_Restriction VarChar(50), CONSTRAINT PK_License_LOA PRIMARY KEY (LLA_Lic_License_Number, LLA_Lic_TIN_Type), CONSTRAINT FK_License_LOA FOREIGN KEY (LLA_Lic_License_Number, LLA_Lic_TIN_Type) REFERENCES License (Lic_License_Number, Lic_TIN_Type) ON DELETE CASCADE);

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Chapter 12-16

Deployment Over Time

Renewal Tool to Process 70K Producer Renewals Renewal Slip with Bar Code Batches of Slip + Check Multiple Renewals (One Check, Multiple Slips) Reconcile and Track Payments

Extended to All License Classes Tool for On-Line Processing of Mailed Applications Inquiry Tool for Querying Licenses Transitioned Entire License Division to Use New

System at Once Transitioned Entire Insurance Dept. for License Inq.

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Chapter 12-17

Consumer Affairs Capabilities and Tasks Scanning Similar to Licensing Classification/Assignment

New Complaints are Classified and Assigned to Examiners

Existing Complaints are Matched to Examiners Processing

Each Complaint Must Proceed Through Stages Open, Processing, Review, Closing Can take from Days to Months or Longer

FOI Requests (Still Evolving – since 2002!) Request by Public (Typically Lawyers) for

Information of Complaints Against Agents, Companies, Agencies

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Chapter 12-18

Data Entry Screen for New Complaint

CSE 4701

Chapter 12-19

Result of Entering Complainant

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Chapter 12-20

Consumer Affairs Database Design

Again, Identify Key Entities of Information: Complaints

Key Focal Relation – John Doe initiates a complaint Against the Lousy Insurance Company

ComplainantsInformation on John Doe

AgainstInformation on the Lousy Insurance Company and

perhaps Agents, Agencies, etc. Images, Historical Record, Lots of Coding

Result: Initial EER

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Chapter 12-21

ER-Like Diagram for Consumer Affairs

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Chapter 12-22

ER-Like Diagram for Consumer Affairs

CSE 4701

Chapter 12-23

Consumer Affairs Tables

CREATE TABLE Complaints( CMF_Number Number(9) NOT NULL, CMF_Type Char(2), CMF_Date_Opened Date, CMF_Date_Closed Date, CMF_Recovery Number(14,2), CMF_Exm1 Number (6), CMF_Status Char(2), CMF_Reason Char(2), CMF_Disposition Char(02), CMF_Enforcement Char(02), CMF_Justification Char(2), CMF_Source Char(2), CMF_Letter1 Char(2), CMF_Letter1_Date Date, CMF_Letter2 Char(2), CMF_Letter2_Date Date, CMF_SubType Char(2), CMF_Register Char(1), CMF_Master Number(9), CMF_Comments VarChar(2000), CONSTRAINT PK_Complaints PRIMARY KEY (CMF_Number), CONSTRAINT FK_CMF_Master FOREIGN KEY (CMF_Master) REFERENCES Complaints (CMF_Number), CONSTRAINT FK_CMF_Exm1 FOREIGN KEY (CMF_Exm1) REFERENCES Employees (Emp_Employee_Number), CONSTRAINT FK_CMF_Status FOREIGN KEY (CMF_Status) REFERENCES Complaint_Status(CU_Status), CONSTRAINT FK_CMF_Reason FOREIGN KEY (CMF_Reason) REFERENCES Complaint_Reason_Codes(RC_Code), REM 5 MORE CONSTRAINST – OMITTED);

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Chapter 12-24

Consumer Affairs Tables

CREATE TABLE Complainants( CMC_CMF_Number Number(9) NOT NULL, CMC_Sequence Number(3), CMC_Last_Name VarChar(100), CMC_First_Name VarChar(25), CMC_Middle_Name VarChar(25), CMC_Title VarChar(10), CMC_Type Char(2), CMC_Address1 VarChar(30), CMC_Address2 VarChar(30), CMC_City VarChar(30), CMC_State Char(2), CMC_Postal_Code VarChar(10), CMC_Country Char(2) Default 'US', CMC_Home_Phone Number(10), CMC_Business_Address1 VarChar(30), CMC_Business_Address2 VarChar(30), CMC_Business_City VarChar(30), CMC_Business_State Char(2), CMC_Business_Postal_Code VarChar(10), CMC_Business_Country Char(2) Default 'US', CMC_Business_Phone Number(10), CMC_FAX_Phone Number(10), CMC_Status Char(2), CMC_Comments VarChar(2000), CONSTRAINT PK_Complainants PRIMARY KEY (CMC_CMF_Number, CMC_Sequence), CONSTRAINT FK_Complainants FOREIGN KEY (CMC_CMF_Number) REFERENCES Complaints(CMF_Number), REM Four other constraints omitted.);

CSE 4701

Chapter 12-25

Consumer Affairs Tables

CREATE TABLE Complaint_Against( CMA_CMF_Number Number(9) NOT NULL, CMA_Sequence Number(5), CMA_Lic_License_or_Company Char (9), CMA_Lic_TIN_Type Char(2), CMA_Type Char(2), CMA_Last_Name VarChar(50), CMA_First_Name VarChar(25), CMA_Middle_Name VarChar(25), CMA_Title VarChar(10), CMA_Address1 VarChar(30), CMA_Address2 VarChar(30), CMA_City VarChar(30), CMA_State Char(2), CMA_Postal_Code VarChar(10), CMA_Country Char(2) Default 'US', CMA_Home_Phone Number(10), CMA_FAX_Phone Number(10), CMA_Pager_Phone Number(10), CMA_EMail VarChar(255), CMA_Business_Address1 VarChar(30), CMA_Business_Address2 VarChar(30), CMA_Business_City VarChar(30), CMA_Business_State Char(2), CMA_Business_Postal_Code VarChar(10), CMA_Business_Country Char(2) Default 'US', CMA_Business_Phone Number(10), CMA_Business_FAX Number(10), CMA_Business_Pager Number(10), CMA_Business_EMail VarChar(255), CMA_Status Char(2), CMA_Comments VarChar(2000), CONSTRAINT PK_Complaint_Against PRIMARY KEY (CMA_CMF_Number, CMA_Sequence), REM Six other constraints omitted.);

CSE 4701

Chapter 12-26

Consumer Affairs Tables

CREATE TABLE Complaint_Against( CMA_CMF_Number Number(9) NOT NULL, CMA_Sequence Number(5), CMA_Lic_License_or_Company Char (9), CMA_Lic_TIN_Type Char(2), CMA_Type Char(2), CMA_Last_Name VarChar(50), CMA_First_Name VarChar(25), CMA_Middle_Name VarChar(25), CMA_Title VarChar(10), CMA_Address1 VarChar(30), CMA_Address2 VarChar(30), CMA_City VarChar(30), CMA_State Char(2), CMA_Postal_Code VarChar(10), CMA_Country Char(2) Default 'US', CMA_Home_Phone Number(10), CMA_FAX_Phone Number(10), CMA_Pager_Phone Number(10), CMA_EMail VarChar(255), CMA_Business_Address1 VarChar(30), CMA_Business_Address2 VarChar(30), CMA_Business_City VarChar(30), CMA_Business_State Char(2), CMA_Business_Postal_Code VarChar(10), CMA_Business_Country Char(2) Default 'US', CMA_Business_Phone Number(10), CMA_Business_FAX Number(10), CMA_Business_Pager Number(10), CMA_Business_EMail VarChar(255), CMA_Status Char(2), CMA_Comments VarChar(2000), CONSTRAINT PK_Complaint_Against PRIMARY KEY (CMA_CMF_Number, CMA_Sequence), REM Six other constraints omitted.);

CSE 4701

Chapter 12-27

Subsequent Progression Consumer Affairs Came online for

Scanning, Processing, and Inquiry Over time – Added CA Data to License Inquiry Tool

Market Conduct Division Investigates Agents and Agencies Examines Companies Online – Added MC Data to License Inquiry Tool

Life & Health and Property & Casualty Divisions Approves Policies for Every Insurance Product Still in Progress Using National System (SERFF) and Synching with

our Database/FileNet repositories

CSE 4701

Chapter 12-28

System Development Perspective

To be reviewed on the Whiteboard in Class…