DATE - New Mexico Department of Information Technology

Implementation

Request for Certification and Release of Funds Form

A L L C E R T I F I E D P R O J J E C T S M U S T F O L L O W N M S T A T E P O L I C I E S A N D P R O C U R E M E N T C O D E

P R O J E C T N A M E

P R O J E C T N U M B E R

L E A D A G E N C Y

O T H E R A G E N C I I E S

UI Modernization $3.5 M

N M D E P T O F W O R K F O R C E

S O L U T I O N S

D A T E

A G E N C Y

C O D E

P R O J E C T

P H A S E

August 26 th , 2009

631

Implementation

E X E C U T I I V E S P O N S O R

P R O J E C T M A N A G E R

A G E N C Y H E A D

A G E N C Y C I I O / / I I T L E A D

Ken Ortiz

TBD

Betty Sparrow Doris

Vacant

P R O J E C T D E S C R I I P T I I O N ( P R O V I D E A B R I E F D E S C R I I P T I O N A N D P U R P O S E F O R T H I I S P R O J E C T ) )

The purpose of this project is to enhance the New Mexico Department of Workforce Solutions

Unemployment Insurance (UI) Call Center system and operations and the UI automated systems and software which support these mission critical business functions. The project is structured as multiple initiatives with the ability to implement the majority of initiatives simultaneously. These initiatives are focused strictly on UI modernization and improving the

UI Claims process. Following is a list of the Initiatives in the UI Modernization Project.



IBM Mainframe Infrastructure Upgrade

1. Upgrade IBM Z890 Mainframe & Peripherals

2. Power Distribution Unit(PDU)/Uninterrupted Power Supply (UPS) Replacement



Software Upgrades and Application Problem Fixes

3. MQ Workflow Design Fix

4. DB2 Upgrade from Version 7 to Version 9

5. IVR System Replacement (RFP & Requirements) a) Infoblast Enhancement (Immediate short term need)



New Technology & Functionality

6. Voice over IP Implementation

7. Develop Alternative Trade Adjustment Assistance (ATAA)

8. Scanning and Indexing of UI Claims Documents

9. Enhanced UI Internet Initial Claims Application

10. Oracle/Mythics Customer Relationship Management tool



Communications & Desktop Upgrades

11. Firewall and VPN Equipment Replacement

12. PC Replacement and Windows Office Upgrade

13. TIWA Building Network Upgrade



Facilities Upgrades

14. Diesel Generator Installation

15. Cooling System Replacement



Purchases Training & Staff Augmentation

16. Purchase System Tools

17. Technical Training for UI Support Staff

18. Unemployment Insurance Staff Augmentation

19.

Furniture & Fixtures

Declining federal funding over the past several years have severely limited our agency’s ability to address critical needs involved in providing acceptable service levels within the call center and business systems supporting our unemployment services.

This is a controlled document, refer to the document control index for the latest revision

Revision: 2/14/08 Page 1

Implementation



P R O J E C T D E S C R I I P T I I O N ( ( P R O V I D E A B R I E F D E S C R I I P T I O N A N D P U R P O S E F O R T H I I S P R O J E C T ) ) C O N T I I N U E D

Even before the rapid increase in unemployment claims associated with the downturn in our economy our call center and associated systems struggled to keep pace with the daily, weekly, and quarterly processing loads. In many cases, our call volumes and processing loads have doubled since January of 2008. Federal and State responses to unemployment require DWS to make many business rule and computer system changes with very little time to respond. Examples of these changes include multiple extensions of UI benefits, implementation of debit and direct deposit payment options for claimants, additional federal or state changes to support stimulus initiatives, and other changes to assist those attempting to obtain unemployment services. We have been very challenged to keep our call center

Interactive Voice Response and UI Claims systems compliant and lack both the processing power and human capital to support current levels of demand. Our systems became even more stressed with the downturn of the economy and the rapid increase in unemployment.

Our current workload involves processing over 32,000 payments per week and having weekly interactions over the phone or Internet with each of these claimants. In addition, we are using the same computing resources to process over 40,000 employer wage payments each quarter along with numerous reports and inquiries. An upturn in the economy will provide some relief but reverting to “status quo” and our prior service and support levels is unacceptable and the citizens of New Mexico deserve much better. Included as an attachment is a short summary of each initiative we would like to undertake; each directly supports the objectives set out in Federal guidelines for expenditures using the

Unemployment Modernization funds. The major expenditures involve the upgrade of the

DWS computer system that will provide improved system response time and stability for our

UI Claims system that is heavily used by our Call Center, web users, and those claimants calling our Interactive Voice Response (IVR) system. The current UI system is not capable of being expanded without a processor upgrade. The system also uses outdated disk storage and tape backup technology and uses software no longer supported by the software vendor.

Upgrading this equipment will significantly improve our ability to process the current workload and service our many web-enabled connections that we service on a seven-day week.

Additional requests within this proposal involve implementing near-term enhancements to our

Call Center and Interactive Voice Response systems that will reduce the call wait time and busy signals for the thousands of customers who contact us on a weekly basis.



Implementation



P R O J E C T D E S C R I I P T I I O N ( P R O V I D E A B R I E F D E S C R I I P T I O N A N D P U R P O S E F O R T H I I S P R O J E C T ) )

Other identified initiatives involve adding automated tools to monitor critical systems that provide UI services to our clients on a nearly continuous basis. We have also identified opportunities to improve the reliability of our UI claims system and to replace some critical data center equipment related to disaster recovery and business continuity. Infrastructure equipment investment will be made to replace some 15 – 20 year-old air conditioners, improving our electrical supply system, and adding a diesel generator to support our call center, critical network equipment, and data center. We also plan to make improvements that will further leverage the use of the Internet and phone that will make our services easier to access while trying to reduce the need for clients for walk-in or call-in assistance.

These funding requests have been carefully reviewed, prioritized, and researched in terms of meeting the intended criteria established for the Unemployment Insurance Modernization guidelines. In addition, we have reviewed this plan with the State of New Mexico Chief

Information Officer to insure our plans are consistent with statewide plans, architecture and priorities.

Planned Start Date September 1 st , 2009

Amount Requested this Certification

Planned End Date

$ 2,695,000

June 30, 2009

Amount Previously Certified $ 805,000

Remaining Appropriation not Certified

Total Appropriated Amount (include any new funds)

$ 0

$ 3.5 M

C E R T I F I I C A T I I O N H I I S T O R Y ( ( I I N C L U D E A N Y P R E V I I O U S P R O J E C T O R P H A S E C E R T I I F I I C A T I O N S ) )

Date

July 15 th , 2009

Presented Project to

ITC

August 5 th 2009

Project Initiation,

Planning Phase –

Requested funding for Phase 1.

$0

Amount

$805,000

Funding Source(s) (use specific citations to laws, grants, etc.)

Approved by ITC to move forward with UI Modernization

$3.5M project.

"The American Recovery and Reinvestment Act of 2009

(Pub.L. 111-5) is an economic stimulus package enacted by the 111th United States Congress and signed into law by

President Barack Obama on February 17, 2009."



Implementation



P R O P O S E D C E R T I I F I C A T I O N S C H E D U L E F O R C U R R E N T F I I S C A L Y E A R (

A G E N C Y T O C O M P L E T E F O R A L L P H A S E S ) )

Phases Amount

Requested

Major Deliverable(s) / Performance Measure(s) Due

Dates

Initiation &

Planning:

$805,000 See attached timeline

Implementation: $2,695,000

Phase 1 Initialtion, Planning & Request for Funding

Subproject 1 - IBM Mainframe

Infrastructure Upgrade

Upgrade IBM Z890 Mainframe

MF Upgrade One Time Charge (Computer

Associates Software Cost)

DB2 Upgrade Version 7 to Version 9

IV&V Contract

Project Manager

Phase 2 Implementation Phase

Subproject 1 - IBM Mainframe

Infrastructure Upgrade

$200,000.00

$90,000.00

$195,000.00

$170,000.00

$150,000.00

See attaché timeline

Power Distibution Unit and Uninterrupted

Power Supply (UPS) Replacement

Subproject 2 - SW Upgrades and

Application Problem Fixes

MQ Workflow Design Fix

IVR System Replacement

- Info Blast Enhancement

Request for Proposal

Subproject 3 - New Technology and

Functionality

Voice over IP Implementation

Develop Alternative Trade Adjustment

Assistance (ATAA)

Scanning and Indexing UI Claims

Documents

Enhanced UI Internet Claims Application

Oracle Customer Relations Management

Tools

Subproject 4 - Communications and

Desktop Upgrades

Firewall Upgrade - Juniper SSG550M

Firewall; VPN Upgrade - VPN

Service/Support

PC Replacement / Office - 300

TIWA Building Network Replacement

Subproject 5 - Facilities Upgrade

Diesel Generator Installation

Computer Room AC - Liebert Cooling

Subproject 6 - Training and Staff

Augmentation

$75,000.00

$350,000.00

$150,000.00

$275,000.00

$78,000.00

$100,000.00

$150,000.00

$122,000.00

$54,000.00

$225,000.00

$150,000.00

$305,000.00

$189,000.00



Implementation



Closeout:

Purchase System Tools

Technical Training for UI Support Staff

UI Staff Augmentation

Furniture and Fixtures

$150,000.00

$60,000.00

$181,000.00

$81,000.00

A P P R O P R I I A T I O N H I I S T O R Y ( ( I N C L U D E A L L F U N D I N G S O U R C E S , , E .

.

G .

.

F E D E R A L , , S T A T E , , C O U N T Y , M U N I I C I P A L L A W S O R G R A N T S ) )

Fiscal Year

FY10

B U D G E T

Amount

$3,5 M

Funding Source(s)

"The American Recovery and Reinvestment Act of 2009

(Pub.L. 111-5) is an economic stimulus package enacted by the 111th United States Congress and signed into law by

President Barack Obama on February 17, 2009."

Comments: All funding will come from - "The American Recovery and Reinvestment Act of 2009

(Pub.L. 111-5) is an economic stimulus package enacted by the 111th United States Congress and signed into law by President Barack Obama on February 17, 2009."

Phase 1 Initialtion, Planning & Request for Funding

Subproject 1 - IBM Mainframe Infrastructure Upgrade

Upgrade IBM Z890 Mainframe

$3.5M Spending

Plan

$200,000.00

MF Upgrade One Time Charge (Computer Associates

Software Cost)

DB2 Upgrade Version 7 to Version 9

IV&V Contract

Project Manager

Project Administration

Phase 2 Initiation & Planning (Only)

Subproject 1 - IBM Mainframe Infrastructure Upgrade

Power Distibution Unit and Uninterrupted Power Supply

(UPS) Replacement

Subproject 2 - SW Upgrades and Application

Problem Fixes

MQ Workflow Design Fix

IVR System Replacement

InfoBlast Enhancement

Request for Proposal

$90,000.00

$195,000.00

$170,000.00

$150,000.00

$75,000.00

$350,000.00

$150,000.00

$805,000



Implementation



Subproject 3 - New Technology and Functionality

Voice over IP Implementation

Develop Alternative Trade Adjustment Assistance

(ATAA)

Scanning and Indexing UI Claims Documents

Enhanced UI Internet Claims Application

Oracle Customer Relations Management Tools

Subproject 4 - Communications and Desktop

Upgrades

Firewall Upgrade - Juniper SSG550M Firewall; VPN

Upgrade - VPN Service/Support

PC Replacement / Office - 300

TIWA Building Network Replacement

Subproject 5 - Facilities Upgrade

Diesel Generator Installation

Computer Room AC - Liebert Cooling

Subproject 6 - Training and Staff Augmentation

Purchase System Tools

Technical Training for UI Support Staff

UI Staff Augmentation

Furniture and Fixtures

Staff -

Internal

Description FY07 & Prior FY08

$275,000.00

$78,000.00

$100,000.00

$150,000.00

$122,000.00

$54,000.00

$225,000.00

$150,000.00

$305,000.00

$189,000.00

$150,000.00

$60,000.00

$181,000.00

$81,000.00 $2,695,000

$3,500,000

FY09

Consulting

Services

Hardware

Software

FY10

$281,000 CSR

Staff

Augmentation,

Technical Staff

Augmentation.

$828,000

UI Claims

Fixes, DB2

Upgrade,

ATAA automation

$1,874,000

IBM

Mainframe

Storage Device,

Firewall, VPN,

VOIP,

PC, etc

$90,000

CA Software

$277,000

To monitor systems

FY11



Implementation



Training

T O T A L

$150,000

Technical training

$3.5M

I I T S Y S T E M A N A L Y S I S

On this document, or as an attachment, provide a summary response, including changes, to the following IT infrastructure topics relating to this project:



Describe or estimate this project’s impact on the Enterprise/DoIT infrastructure. o Hardware

The hardware initiatives in the UI Modernization project include upgrading the IBM Z890 mainframe and its peripherals (Storage, Tape System) to a larger MIP capacity Z10 mainframe. Additionally the Power Distribution Unit (PDU)/Uninterrupted Power Supply

(UPS) Replacement project will replace a 30 year old distribution unit and also providing

UPS coverage for all of the IT equipment in the computer room. Both of these initiatives have an improved affect on the DWS infrastructure and no affect on the DoIT Enterprise infrastructure. o Network (Include Diagram)

The TIWA building network equipment is at “end of life” with multiple single points of failure and in need of replacement. The equipment targeted for replacement resides within the TIWA building and include the switches, hubs and routers. There will be no affect on the Enterprise infrastructure. o Software / Applications

The software / application initiatives are directed and focused at fixing the UI Claims application issues such as transaction workflow, trivial response, database seeks and response timeouts. The software initiatives are facing inward towards the application and therefore will have no impact on the Enterprise infrastructure. o Where is this system hosted?

 The UI system is hosted at NMDWS from its inception. Discussions with DoIT are on going on the possibility of moving UI to Santa Fe. At this time other factor are affecting this decision.

 DoIT Migration Collaboration - DoIT has been involved from initial project meetings to on going conversations on this project.



Summarize your collaboration with DoIT on moving this project from initialization through close (full production). Identify points of contact, dates of discussions, and results:

Extensive collaboration with DoIT staff including technical and oversight DoIT personnel.



Provide Application Architecture Schematic

See Attached



Implementation



B U S I N E S S C O N T I N U I I T Y S T R A T E G Y

On this document, or as an attachment, provide a summary response, including changes, of your business Continuity Strategy.



Emergency and Disaster Management



Business Resumption



Operational Recovery Planning

S E C U R I T Y S T R A T E G Y ( A P P L I C A T I I O N A N D D A T A S E C U R I I T Y P R O C E S S , , P L A N , , O R S T A N D A R D )

Policies, procedures, standards and process are in place for the NMDWS data and system access for our currently production environment. Security policies governing vertical and horizontal system access are also in place for both mainframe and Open System servers. Firewall protection and VPN access are also in place providing intrusion protection and remote access. This project is enhancing and improving this security environment by upgrading the hardware and software.

I I N D E P E N D E N T V E R I I F I C A T I O N & V A L I D A T I I O N ( ( I N C L U D E S U M M A R Y O F T H E L A T E S T I I V & V R E P O R T ) )

We have not initiated the IV&V contract. The IV&V contract is part of the $805,000 request that was approved in Phase 1 on August 5 th . The contract will be implemented and the IV&V initiated when funding is released.

S I I G N I I F I C A N T R I I S K S A N D M I I T I G A T I I O N S T R A T E G Y

R I I S K 1 : T E C H N I I C A L R E S O U R C E L I M I I T A T I I O N

– T H E R E A R E A L I I M I I T E D N U M B E R O F S T A F F A N D M O S T

W I L L C O N C E N T R A T E O N P R O D U C T I O N S U P P O R T A N D O T H E R T A S K S M A N D A T E D B Y L E G I S L A T I O N O R U S

D O L .

.

M I I T I I G A T I O N 1 : O B T A I I N A D D I I T I I O N A L R E S O U R C E S T H R O U G H S H O R T T E R M C O N T R A C T S

R I I S K 2 : : D E P E N D E N T O N A R R A F U N D I I N G A N D R E L E A S E O F F U N D I I N G .

.

M I I T I I G A T I O N 2 : R E Q U E S T A R R A F U N D I N G R E L E A S E M O V E S F O R W A R D I N A T I I M E L Y M A N N E R .

.



Implementation



R E C O R D R E T E N T I I O N P O L I C Y ( ( D E S C R I B E T H E A G E N C Y

’

S R E C O R D S R E T E N T I O N R E Q U I R E M E N T S F O R T H I S P R O J E C T ) )

ITS safeguards data stored on ITS’ production servers and IBM Mainframe by backing up the data and retaining the tapes at an off-site facility. The backups ensure that the agency can be back into business in a short period of time. Backups have a copy of the data at the time of the last backup and changes made after the backup could potentially be lost.

ITS follows the following data retention procedures:



System Pack backup performed every three days and seven copies kept at all times



Production DB2 Databases are backed up nightly and two copies kept at all times



Image copy of the production database is performed nightly. The image copy contains an image of the database from before the nightly batch runs and an image copy of the database after nightly batch processing with 90 copies kept as virtual tapes at all times



System backups are performed three times a week.



General data is retained for three days and two copies are kept at all times



Incremental backups of everything but DB2 are performed nightly.

M A I I N T E N A N C E S T R A T E G Y ( ( D E S C R I B E H O W T H E A G E N C Y P L A N S T O M A I N T A I N T H I S P R O J E C T A F T E R D E P L O Y M E N T ) )

Maintenance will continue on equipment via an annual maintenance support provided by appropriate vendors. This equipment is currently in house and under maintenance and is being upgraded or replaced. Software is also supported by vendor on an annual maintenance contract or warranty.

I I N T E R O P E R A B I L I I T Y ( ( D E S C R I B E H O W T H I S P R O J E C T I N T E R F A C E S W I T H E X I S T I N G S Y S T E M S / A P P L I C A T I O N S W I T H I N T H E A G E N C Y ) )

This project is upgrading current equipment and software. The interfacing of upgraded products to current products will be transparent since the upgrades are compatible with current equipment.

The initiatives that are related to new application functionality will be thoroughly tested as part of the deliverables of the contract. The interface will be compatible with the application it is enhancing. Internal Level’s of assurance and testing will be implemented to identify and mitigate any incompatibilities in the interface to current applications.



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