DoIT Planning ReqForCertification UI Modernization Project by 2VuOzX

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									                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE



 PROJECT NAME                         UI Modernization

 PROJECT NUMBER                                                                  DATE                  7/27/09

 LEAD AGENCY                          NMDWS                                      AGENCY CODE           638

 OTHER AGENCIES                       N/A                                         PROJECT PHASE        Initial

 EXECUTIVE SPONSOR                    Ken Ortiz

 PROJECT MANAGER                      External Project Manager under contract

 AGENCY HEAD                          Betty Sparrow Doris

 AGENCY CIO/IT LEAD                   Vacant



 PROJECT DESCRIPTION (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT)
 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)
               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

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Revision: 2/14/08                                   Page 1
                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE




 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.

 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.

 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
                This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                   Page 2
                  Project Planning
                    Request for Certification and Release of Funds Form
                                 ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE


 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 1st, 2009               Planned End Date          June 30th, 2010
 Amount Requested this Certification                                      $ 805,000
 Amount Previously Certified                                              $0
 Remaining Appropriation not Certified                                    $ 2.7 Million
 Total Appropriated Amount (include any new funds)                        $3.5 Million



 CERTIFICATION HISTORY (INCLUDE ANY PREVIOUS PROJECT OR PHASE CERTIFICATIONS)

        Date                   Amount                 Funding Source(s) (use specific citations to laws, grants, etc.)
 N/A




 PROPOSED CERTIFICATION SCHEDULE FOR CURRENT FISCAL YEAR (AGENCY TO COMPLETE FOR ALL PHASES)
 Phases                        Amount               Major Deliverable(s) / Performance Measure(s)                Due
                              Requested                                                                          Dates
 Initiation:                                     Project Initiation Documents including: Project               8/5/09
                                                 Charter, Project Schedule, Established ITC approval
 Planning:               $805,000                Establishing Project Management Plan; Establishing            8/5/09
                                                 IV&V Contract, Establishing External Project
                                                 Manager Contract, Establishing mainframe hardware
                                                 upgrade including software licensing (Urgent &
                                                 critical need).
 Implementation:
 Closeout:

 APPROPRIATION HISTORY (INCLUDE ALL FUNDING SOURCES, E.G. FEDERAL, STATE, COUNTY, MUNICIPAL LAWS OR GRANTS)

    Fiscal Year                Amount                                        Funding Source(s)
 FY 2010                $3.5 Million             American Recovery and Reinvestment Act of 2009 (ARRA)




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Revision: 2/14/08                                     Page 3
                Project Planning
                  Request for Certification and Release of Funds Form
                                  ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE




 BUDGET

 Comments:

                    Description         FY07 & Prior         FY08             FY09             FY10          FY11
 Staff -                                                                                   $281,000
 Internal                                                                                  CSR Staff
                                                                                           Aug,
                                                                                           Technical
                                                                                           Staff Aug.
 Consulting                                                                                $828,000
 Services
                                                                                           UI Claims
                                                                                           Fixes,
                                                                                           DB2
                                                                                           Upgrade,
                                                                                           ATAA
                                                                                           automation
 Hardware                                                                                  $1,874,000
                                                                                           IBM
                                                                                           Mainframe
                                                                                           Storage
                                                                                           Device,
                                                                                           Firewall,
                                                                                           VPN,
                                                                                           VOIP,
                                                                                           PC, etc
 Software                                                                                  $90,000
                                                                                           CA
                                                                                           Software
 Training                                                                                  $150,000
                                                                                           Technical
                                                                                           training
 Software                                                                                  $277,000
 Tools
                                                                                           To monitor
                                                                                           systems
    TOTAL                                                                                    $3.5 Mil



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

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                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE




       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:
         07/21/09 – Deputy Secretary Ortiz requested a meeting with the Director of DoIT to discuss
         best strategy to take on this project. Recommendations & guidance were provided.
         07/21/09 – Emailed DoIT contract liaison to NMDWS and he provide further guidance and
         document samples.
         07/23/09 – Met with DoIT contract liaison and he concurred with work to this point.
       Provide Application Architecture Schematic

      See Attached


 BUSINESS CONTINUITY STRATEGY

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

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Revision: 2/14/08                                   Page 5
                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE


      Each initiative will have its on back out plan in case of any failures
       Business Resumption
      Failed process, hardware or application will be restored via the back out plan
       Operational Recovery Planning
      The recover plan for each initiative will be detailed with required tasks, responsible party and testing to
      ensure restored recover is operational.


 SECURITY STRATEGY (APPLICATION AND DATA SECURITY PROCESS, PLAN, OR STANDARD)
 The application security, data security and system access are currently in place and supporting our current
 production environment. Security policies governing vertical and horizontal system access are also in
 place. Firewall protection and VPN access are also in place on current infrastructure. This project is
 enhancing and improving this security environment by upgrading the hardware and software.



 INDEPENDENT VERIFICATION & VALIDATION (INCLUDE STATUS OF IV & V PROCESS)




 SIGNIFICANT RISKS AND MITIGATION STRATEGY

 RISK 1: TECHNICAL RESOURCE LIMITATION – THERE ARE A LIMITED NUMBER OF STAFF AND MOST
 WILL CONCENTRATE ON PRODUCTION SUPPORT AND OTHER TASKS MANDATED BY LEGISLATION OR US
 DOL.
      MITIGATION 1: OBTAIN ADDITIONAL RESOURCES THROUGH SHORT TERM CONTRACTS
 RISK 2: DEPENDENT ON ARRA FUNDING AND RELEASE OF FUNDING.
      MITIGATION 2: REQUEST ARRA FUNDING RELEASE MOVES FORWARD IN A TIMELY MANNER.


 RECORD RETENTION POLICY (DESCRIBE THE AGENCY’S RECORDS RETENTION REQUIREMENTS FOR THIS PROJECT)
 Record retention for the project will abide by the Records Retention Policy guidelines for the
 agency under TITLE 1 CHAPTER 14 Part 2.
 STATUTORY AUTHORITY: Section 14-3-2, 14-3-15, and 14-3-17 of the Public Records Act
 (Chapter 14, Article 3 NMSA gives the state records administrator review and approval authority
 over microphotography systems of state agencies, and gives the commission of public records
 authority to establish microphotography standards. The operations of any microphotography
 systems requires written approval of the state records administrator and compliance with the
 minimum standards established by the commission of public records.



                This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                   Page 6
                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE



 MAINTENANCE STRATEGY (DESCRIBE HOW THE AGENCY PLANS TO MAINTAIN THIS PROJECT AFTER DEPLOYMENT)
 Maintenance will continue on equipment via an annual maintenance support. This equipment is
 currently in house and is being upgraded or replaced.




 INTEROPERABILITY (DESCRIBE HOW THIS PROJECT INTERFACES WITH EXISTING SYSTEMS/APPLICATIONS WITHIN THE AGENCY)
 This project is upgrading current equipment and will interface systematically since it is just an
 upgrade or replacement.




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