DATE - New Mexico Department of Information Technology

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Change Request

for Certification and Release of Funds Form






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

Revision: 2/14/08


PAGE
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:
:


Scope


Budget

Schedule



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Revised
Uniformed Limited Partnership Enhancement Project

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05/06/09

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37000

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Implementation
Phase

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Mary Herrera, Secretary of State and Patricia
Herrera, Director
Operations SOS

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Jose Hernandez

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Mary Herrera, Secretary of State

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Don Francisco Trujillo II


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)
)




The purpose of
this project is to replace the current outdated SOSKB Limited Partnership module with
current best practice technology to comply with the new provisions of the Uniform Revised Limited
Partnership Act which was passed during the 2007 First Special Session o
f the Forty
-
Eight Legislature.


The major change is a complete redesign of the new Limited Liability Limited Partnership module using
current off the shelf software such as SQL and JAVA requiring upgrades to the current hardware as well to
meet the require
ments of the new Act.


Planned Start Date

04/15/2008

Planned End Date

07/01/09


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;
;


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)
)


A Request for Proposal (RFP) for the Limited
Partnership module has replaced the previous plan
of enhancing and upgrading the Limited Partnership Module within the Secretary of State
Knowledge Base (SOSKB) application maintained by FileOne.


Amount Requested this Certification

$150,000.00

Amount
Previously Certified

$150,000.00

Remaining Appropriation not Certified

$150,000.00

Total Appropriated Amount (include any new funds)

$150,000.00


Change Request

for Certification and Release of Funds Form






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

Revision: 2/14/08


PAGE
2


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)


Date

Amount

Funding Source(s)

(use specific citations to laws, grants, etc.)

April 6, 2008

$150,000.00

Laws of 2008, Chapter 3, Section 5 (43) Secretary of State: 150.0
150.0

To replace the current Limited Partnership application module


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,
,




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.
.
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.
.




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)


Fiscal Year

Amount

Funding Source(s)

FY08

$150,000.00

Laws of 2008, Chapter 3, Section 5 (43) Secretary of State: 150.0
150.0

To replace the current Limited Partnership application module








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Comments: $150,000.00 has been appropriated and is pending contract approval for the
replacement of the Limited Partnership module by July 1, 2009.




Description

FY07 &
prior

FY08

FY09

FY10

FY11

Staff
-

Internal



$0.0

$0.0



Independent
Verification
& Validation

Vendor



$
6,000

(Estimate)



Gross
Receipts Tax

Record Fusion

FY09



$9,299



Maintenance
Services

FileOne/FY08

Record
Fusion/FY09


$140,000

$19,184



Server &
Hardware

State
Contractor
approved
vendor Server


$8,000

$17,557




Software/Lic
ense Fees

State

approved
vendor
software


$2,000

$4
7,960



Configuratio
n/Installation




$35,000



Change Request

for Certification and Release of Funds Form






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

Revision: 2/14/08


PAGE
2


Data
Conversion




$15,000



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$150,000

$150,000





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&
&


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&
&


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)
)



Review project risk, analyze elements associated with project planning, documentation project management,
and system testing.


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&
&


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;
;


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,
,


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&
&


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;
;


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;
;


&
&


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)
)





The new Partnership Module will address all types of partnerships handled by the Secretary of
State Office Operation Se
rvices division.



General Domestic Partnerships



Domestic and Foreign Partnerships



Domestic and Foreign Limited Liability Partnerships



Limited Liability Limited domestic Foreign Partnership










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,


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,


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O
R
R


S
S
T
T
A
A
N
N
D
D
A
A
R
R
D
D
)
)





Juniper SSG 320M Firewall Security.



Offsite disaster recovery is provided through the maintenance contract of vendor. Also, please refer
to the security standards outlined by the contractor on the Business Continuity Strategies below
.
Additional detailed security provided by Record Fusion will be available to the TARC.





I
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S
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Y
Y
S
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T
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M
M


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Y
Y
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S


On this document, or as an attachment, provide a
summary

response, including changes, to
the following IT infrastructure topics relating to this project:


Change Request

for Certification and Release of Funds Form






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T


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O
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M


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A
A
T
T
E
E


P
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O
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E
S
S


A
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D
D


P
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O
O
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U
U
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E
M
M
E
E
N
N
T
T


C
C
O
O
D
D
E
E





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

Revision: 2/14/08


PAGE
2




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

Hardware

o

Database/Application Server: Recommended Model Dell PE 1950 or
higher

o

Staff Workstations: Dell OptiPlex 745, Pentium D945 or higher


Network

o

Network setup: The Limited Partnership database application server will be
implemented into the Secretary of State local area infrastructure and it will reside in the
s
erver ro
om among

the other servers currently setup in our network rack.




Software/Applications

COTS



MySQL Database




JAVA
S/W



Where is the system hosted?



The system will be hosted in the Secretary of State
’s

Office server room. Ten
user licenses, unlimited Web licenses and one year maintenance training and
support will be provided by the select vendor/contractor



A secondary hot site will exist at the vendor/contractor location.



If not hosted at DoIT Data Cen
ter what is your strategy to host at DoIT Data
Center: (When, Why?)




The selected vendor/contractor will provide a secondary site to host
and administer this new system.



DoIT Migration Collaboration:



A plan to meet and discuss this process with DoIT Serv
ice Center will be
drafted.



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

o

A project Charter and Certification Form

has been
submitted
for

the replacement of the
current Limited Partnership module.

o

A

contractor /vendor has been awarded the contract

through an RFP process to create a
new

Partnership module for the Secretary of State
’s

Office

o

This

Form will be submitted to the
Department of I
nformation Technology

Change Request

for Certification and Release of Funds Form






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

Revision: 2/14/08


PAGE
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o

The Partnership Module

has been communicated via the House Finance and
Appropriation Committee and approved. A meeting took place with previous DoIT
Secretary Roy Soto, subcommittee, Madame Secretary, and previous SOS I
T Director
in which the Project Charter, Project Certification form of the Initiation Phase were
presented and approved.

Provide Application Architecture Schematic


*
Architecture Schematic will be provided upon receipt from our contract
or, Record
Fusion




B
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Y


On this document, or as an attachment, provide a
summary

response, including changes, of
your business Continuity Strategy.




Disaster Recovery is included in RecordFusion’s annual maintenance and
support

fee. Separate fees would apply only for Microfilm archival and storage.




There are multiple levels on redundancy in the RecordFusion solution.





The recommended servers for the images, database and application server are configured with
redundant
network adaptors and power supplies. The system disks are mirrored and the data
disks use RAID 5 with hot spares.





The recommended system configuration has a spare server that is configured to run as either the
application server or the database’s ser
ver in case of failure of either of those servers. This
system will be actively replicated to by the database, so in the event of a catastrophic failure of
the database server, it will be up
-
to
-
date and can be switched over in a matter of minutes. In
addit
ion, the spare server can also be configured with enough disk space to act as a spare file
server; with file being written to both servers concurrently if that is desired.





A nightly tape backup is recommended of all database and image file system cha
nges, with
those tapes being moved offsite on a regular basis.





The recommended configuration has a secure link to the RecordFusion Disaster Recovery
Center in New Castle, PA. This link is used to backup all database and image data to a remote
site. T
he link is used to actively replicate all database changes. The image data can be backed
up either when changes are made or during non
-
peak times, depending on the other usage of
that line.





All data in the RecordFusion Disaster Recovery Center is bac
ked up nightly and moved to offsite
storage on a regular basis.





The Record Fusion system has multiple levels of security:




Each task has a permission associated to it, allowing the
Secretary of State

to restrict
Change Request

for Certification and Release of Funds Form






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

Revision: 2/14/08


PAGE
2


access to sensitive tasks (such a Voiding documents).




Document types

can be configured such that new documents of that type cannot be
created / deleted or viewed unless the user has the permission to do so.




Specific documents can be marked as

Secure Data or Secure Image
-

preventing access
to the document by non
-
authorized users.




Transactions can be set to a status that prevents new activity from occurring on that
transaction.




The data for Cases, Transactions or Documents

can be c
onfigured such no additions /
edits can be made by non
-
authorized users.




Documents cannot be associated to a

terminated UCC file number unless the user is
authorized to do so.




The Record Fusion system can be configured to aid users in locating
sensitive information
on document images. Users can mark that data
-

creating a 'redacted' version of the
image to display to non
-
authorized users. The original version of the image will remain
available and unaltered to those with permission to view it.


RecordFusion’s system security is very robust. Password
-
only access is provided.


User
Administration is easy to use and allows the office system administrator to specify exactly
what each user is allowed to do in the system. The
Secretary of State

directs

how the security
levels are defined in your office. Various ‘User Groups’ can be established in the system and
then users can be assigned to groups.


During implementation, RecordFusion works with you
to understand the various tasks in the system and set
-
up your user groups.


These can be
revised by the system administrator as desired.


In addition to the security level, our audit
function tracks everything done in the system by each user, when and at which workstation.


This includes tracking of all file
access and activity.


Security Procedures



The system supports maintaining comments on any changes to a record and tracks who
makes changes.


We recommend that the
Secretary of State’s Office

only allow certain
personnel to have the permissions to make ce
rtain changes in the system.




Image Security

Only users with the correct permissions have the ability to scan records and the images are
automatically loaded to the system to the correct document number.


These files cannot be
altered.


External and
Internal Security and Connectivity

The external site is hosted on a web server which sits in a DMZ area between the internet and
the internal network. The only function of this server is to run the web site. All other services
on this machine will be turne
d off. The only connection between this server and the internal
network is for database and image requests.


Internal Site Security

The internal site is secured using standard Windows domain security. All images are stored
on a windows file server and only

those workstations that perform scanning functions have
write access to that file system. All other machines have read only access to the file system.
The database files are stored outside the shared area and are only accessible through the
database conne
ction. Only authorized users are allowed logins to the servers.

Change Request

for Certification and Release of Funds Form






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

Revision: 2/14/08


PAGE
2



All images are kept in the file server with access to the file controlled through a shared drive.
Only users who have a need to write images (generally only those doing scanning, image
cleanup, or redaction) are allowed to write to this drive. In addition,

the
Secretary of State’s
Office

will specify the users who will have the ability to delete files from this share. In the
normal course of duties, there is no reason to delete a file from this file system. All other
access to this drive is read only. Windo
ws Server auditing will be set up on those folders to
write an audit log of anyone who creates, modifies or deletes a file in the image folders. The
audit will also log any user who attempts to do any of these actions, even if they don’t have
permission to

do so.


RecordFusion provides multiple levels of redundancy of data for back
-
up and disaster
recovery.


System Backup is critical to us as well as to our clients.


The
Secretary of State’ s

data will reside on server(s) at the
Secretary of State’s

office
.


A secondary back
-
up server
will be located at our New Castle, PA Data Center/Disaster Recovery Location.


Replication
between the
Secretary of State’s Office

and the Data Center will occur in real
-
time, thus
ensuring back
-
up of both images and indexing
data.


The
Secretary of State’s Office

and Data Center server will be RAID protected with hot spares
and an unattended tape backup will be provided in the
Secretary of State’s

server, thus
ensuring 4 levels of backup and redundancy with the 5th level of redundancy being the
archive of images to microfilm for storage. There is no intervention or assistance required
from the
Secretary of State’s Office
, other than the periodic re
moval and replacement of tapes
for off
-
site storage at the RecordFusion Data Center or a site identified by the
Secretary of
State’s Office
.


Power Outages

A dedicated UPS is recommended for the server with software that ensures a ‘smart’ shut
-
down of the

server.


The UPS provides about 10 minutes of power and ensures an orderly
shut
-
down of the server.


The UPS is included in the hardware specifications.


Also, if there
is a power outage, RecordFusion, with the replication of the data to our Data Center w
ith
24/7 operation and fully redundant power will have the data available via the web, even if the
Secretary of State’s Office

is not operational due to a power outage or other disaster thus
ensuring service to your constituents.


Prevention of Data Loss

Record
Fusion provides 5 levels of data redundancy including replication and storage in a fully
secure 24/7 operational facility with redundant and alternative power to ensure the security of
the
Secretary of State’s Office

data and images and protecting ag
ainst data loss.


RecordFusion will comply with the installation timeline desired by the
Secretary of State’s
Office

and will provide follow
-
up once the software is in production to provide full assistance to
staff and public searchers as needed.