GenTaxVersion9UpgradeProject Management Plan docx FINAL by YH95e8

VIEWS: 12 PAGES: 68

									 GENTAX UPGRADE TO VERSION 9 PROJECT

    P R O JE C T M A N A GEM E N T PLA N
                    (PMP)


  EXECUTIVE SPONSOR – DEMESIA PADILLA, CABINET SECRETARY TRD
BUSINESS OWNER – GREG SAUNDERS (CIO TRD), TERRY RISTER (DIVISION
DIRECTOR ACD/RPD), DAVID ROBBINS (DIVISION DIRECTOR ASD), JOHN
                  TYSSELING (CHIEF ECONOMIST)
      PROJECT MANAGER – JIM WASTVEDT, ELIZABETH SANCHEZ
              ORIGINAL PLAN DATE: APRIL 18TH, 2012
                 REVISION DATE: APRIL 30TH, 2012
                          REVISION: 2.0
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE



REVISION HISTORY................................................................................................................................................ III
PREPARING THE PROJECT MANAGEMENT PLAN ................................................................................................... IV
ABOUT THIS DOCUMENT ...................................................................................................................................... IV
    PROJECT OVERSIGHT PROCESS MEMORANDUM – DOIT, JULY 2007 ...................................................................................... IV
1.0 PROJECT OVERVIEW ......................................................................................................................................... 5
    1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT ......................................................................................................5
    1.2 FUNDING AND SOURCES .............................................................................................................................................5
    1.3 CONSTRAINTS ..........................................................................................................................................................6
    1.4 DEPENDENCIES .........................................................................................................................................................6
    1.5 ASSUMPTIONS.....................................................................................................................................................7
    1.6 INITIAL PROJECT RISKS IDENTIFIED..............................................................................................................................7
2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE .............................................................................. 8
    2.1 STAKEHOLDERS ........................................................................................................................................................8
    2.2 PROJECT GOVERNANCE STRUCTURE .............................................................................................................................9
       2.2.1 Describe the organizational structure – Org Chart .....................................................................................9
       2.2.2 Describe the role and members of the project steering committee ............................................................9
       2.2.3 Organizational Boundaries, interfaces and responsibilities ........................................................................9
    2.3 EXECUTIVE REPORTING..............................................................................................................................................9
3.0 SCOPE ............................................................................................................................................................ 10
    3.1 PROJECT OBJECTIVES ..............................................................................................................................................10
       3.1.1 Business Objectives ...................................................................................................................................10
       3.1.2 Technical Objectives ..................................................................................................................................14
    3.2 PROJECT EXCLUSIONS ..............................................................................................................................................14
    3.3 CRITICAL SUCCESS FACTORS .....................................................................................................................................14
4.0 PROJECT DELIVERABLES AND METHODOLOGY ............................................................................................... 15
    4.1 PROJECT MANAGEMENT LIFE CYCLE ..........................................................................................................................15
       4.1.1 Project Management Deliverables ............................................................................................................16
       4.1.2 Deliverable Approval Authority Designations ...........................................................................................16
       4.1.3 Deliverable Acceptance Procedure ............................................................................................................19
    4.2 PRODUCT LIFE CYCLE .........................................................................................................................................19
       4.2.1 Technical Strategy .....................................................................................................................................19
       4.2.2 Product and Product Development Deliverables .......................................................................................20
       4.2.3 Deliverable Approval Authority Designations ...........................................................................................20
       4.2.4 Deliverable Acceptance Procedure ............................................................................................................22
5.0 PROJECT WORK .............................................................................................................................................. 22
    5.1 WORK BREAKDOWN STRUCTURE (WBS) ....................................................................................................................22
    5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE ................................................................................................................22
    5.3 PROJECT BUDGET ...................................................................................................................................................23
    5.4 PROJECT TEAM ......................................................................................................................................................24
       5.4.1 Project Team Organizational Structure .....................................................................................................25
       5.4.2 Project Team Roles and Responsibilities ...................................................................................................25
    5.5 STAFF PLANNING AND RESOURCE ACQUISITION..................................................................................................27
       5.5.1 Project Staff ...............................................................................................................................................27
       5.5.2 Non-Personnel resources ...........................................................................................................................27
    5.6 PROJECT LOGISTICS ...........................................................................................................................................28




REVISION: 2.0                                                       DOIT-PMO-TEM-020                                                            i OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE



        5.6.1 Project Team Training ...............................................................................................................................28
6.0 PROJECT MANAGEMENT AND CONTROLS ...................................................................................................... 28
    6.1 RISK AND ISSUE MANAGEMENT.................................................................................................................................28
       6.1.1 Risk Management Strategy .......................................................................................................................29
       6.1.2 Project Risk Identification ..........................................................................................................................29
       6.1.3 Project Risk Mitigation Approach ..............................................................................................................29
       6.1.4 Risk Reporting and Escalation Strategy.....................................................................................................29
       6.1.5 Project Risk Tracking Approach .................................................................................................................30
       6.1.6 ISSUE MANAGEMENT ................................................................................................................................33
    6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V .............................................................................................35
    6.3 SCOPE MANAGEMENT PLAN ....................................................................................................................................37
       6.3.1 Change Control ..........................................................................................................................................37
    6.4 PROJECT BUDGET MANAGEMENT..............................................................................................................................38
       6.4.1 Budget Tracking ........................................................................................................................................38
    6.5 COMMUNICATION PLAN ..........................................................................................................................................38
       6.5.1 Communication Matrix .............................................................................................................................39
       6.5.2 Status Meetings ........................................................................................................................................39
       6.5.3 Project Status Reports ...............................................................................................................................39
    6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) ......................................................................................39
       6.6.1 Baselines....................................................... Error! Bookmark not defined.Error! Bookmark not defined.
       6.6.2 Metrics Library ............................................. Error! Bookmark not defined.Error! Bookmark not defined.
    6.7 QUALITY OBJECTIVES AND CONTROL ................................................................................................................39
       6.7.1 quality Standards ......................................... Error! Bookmark not defined.Error! Bookmark not defined.
       6.7.2 Project and Product Review AND ASSESSMENTS ........ Error! Bookmark not defined.Error! Bookmark not
       defined.
       6.7.3 Agency/Customer Satisfaction ..................... Error! Bookmark not defined.Error! Bookmark not defined.
       6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS .......................................................................................40
    6.8 CONFIGURATION MANAGEMENT .....................................................................................................................41
       6.8.1 Version Control ..........................................................................................................................................41
       6.8.2 Project Repository (Project Library) ...........................................................................................................41
    6.9 PROCUREMENT MANAGEMENT PLAN ..............................................................................................................41
7. 0 PROJECT CLOSE ............................................................................................................................................. 42
        7.1 Administrative Close .....................................................................................................................................42
        7.2 Contract Close ..............................................................................................................................................42
ATTACHMENTS ............................................ ERROR! BOOKMARK NOT DEFINED.ERROR! BOOKMARK NOT DEFINED.




REVISION: 2.0                                                     DOIT-PMO-TEM-020                                                          ii OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




                           REVISION HISTORY

 REVISION NUMBER    DATE                 COMMENT
 1.0                July 27th, 2007      DoIT Project Management Office Revision
 2.0                April 30,2012        TRD IT Division, GenTax Bureau
 2.1
 2.2




REVISION: 2.0                    DOIT-PMO-TEM-020                   iii OF vi
  PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




          PREPARING THE PROJECT MANAGEMENT PLAN

  The workbook for preparation of the Project Management Plan is built around helping the project
  manager and the project team to use the Project Management Plan in support of successful
  projects. Please refer to it while developing this PMP for your project.


                               ABOUT THIS DOCUMENT

Project Oversight Process Memorandum – DoIT, July 2007

             “Project management plan” is a formal document approved by the executive sponsor and the
             Department and developed in the plan phase used to manage project execution, control, and
             project close.

             The primary uses of the project plan are to document planning assumptions and decisions,
             facilitate communication among stakeholders, and documents approved scope, cost and
             schedule baselines.

             A project plan includes at least other plans for issue escalation, change control,
             communications, deliverable review and acceptance, staff acquisition, and risk management.

             “Project manager” means a qualified person from the lead agency responsible for all aspects
             of the project over the entire project management lifecycle (initiate, plan, execute, control,
             close). The project manager must be familiar with project scope and objectives, as well as
             effectively coordinate the activities of the team. In addition, the project manager is
             responsible for developing the project plan and project schedule with the project team to
             ensure timely completion of the project. The project manager interfaces with all areas
             affected by the project including end users, distributors, and vendors. The project manager
             ensures adherence to the best practices and standards of the Department.

             Project product” means the final project deliverables as defined in the project plan meeting all
             agreed and approved acceptance criteria.

             “Product development life cycle” is a series of sequential, non-overlapping phases comprised
             of iterative disciplines such as requirements, analysis and design, implementation, test and
             deployment implemented to build a product or develop a service.




  REVISION: 2.0                            DOIT-PMO-TEM-020                              iv OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                              1.0 PROJECT OVERVIEW

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT
 The Taxation and Revenue Department (TRD) is responsible for collecting tax dollars and
 distributing them according to state law. The mission of TRD is to administer and enforce, with
 fairness warranting the public’s confidence, New Mexico’s taxation and revenue laws through a
 system that efficiently and securely delivers quality customer services. To do this effectively, it
 is essential for the Department to upgrade the current version on GenTax, the tax system of
 record for the state of New Mexico.
 GenTax is a commercial-off-the-shelf (COTS) product provided by Fast Enterprises, LLC that
 delivers state-of-the-art integrated tax processing. GenTax is currently in production processing
 revenue for 28 of the tax programs administered by TRD, and processes approximately $5.5 to
 $6.5 billion in annual revenues (depending on the state of the economy). The value of GenTax
 cannot be measured solely by the amount of revenue collected and distributed; it provides the
 accounting basis for TRD financial statements, manages the revenue stream from taxpayer to
 beneficiary, and holds historical information.
 New Mexico was one of the first states to implement GenTax. Since the initial implementation of
 two tax programs, personal and corporate income tax, in 2002, GenTax has grown to support 28
 different tax programs. Some modules in the current version are obsolete, no longer supported,
 and are cumbersome to use and maintain. The system is over 5 years behind on the technology
 curve. The GenTax upgrade to version 9 provides the improved ability to keep up with the ever
 growing world of cybercrime, security, and fraud; areas in which technology has significantly
 evolved over the past 5 years. This project will allow TRD to bring these important modules of
 our tax processing system to the most current versions available which will provide enhanced
 functionality to users while removing many of the tedious manual processes and interventions
 required by developers. Both users and developers will see an increase in effectiveness and
 efficiency with the upgraded module functionality
 This initiative aligns with the Governor’s Priorities
 TRD strategic plan, the Governor’s Moving New Mexico Forward initiatives, and best practices
 for information technology. This project meets the requirements for strategic alignment with the
 New Mexico Information Technology Strategic Plan FY11 – FY13.



1.2 FUNDING AND SOURCES


  SOURCE                  AMOUNT                   ASSOCIATED               APPROVERS
                                                   RESTRICTIONS
  Laws of 2012, Chapter   $6,230,000               MUST BE USED FOR
  19, Section 7, Item 4                            GENTAX UPGRADE




 REVISION: 2.0                          DOIT-PMO-TEM-020                           5 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


  SOURCE                    AMOUNT                       ASSOCIATED                   APPROVERS
                                                         RESTRICTIONS
                                                         TO CURRENT
                                                         VERSION. MUST BE
                                                         EXPENDED BEFORE
                                                         06/30/14




1.3 CONSTRAINTS


  NUMBER               DESCRIPTION
             1.        Funds must be expended before 06/30/2014 limiting the schedule of the
                       project
             2.        TRD GenTax IT resources will be maintaining the existing system limiting
                       resource availability
             3.        TRD Business Unit resources will have current responsibilities limiting
                       their availability



1.4 DEPENDENCIES
 Types include the following and should be associated with each dependency listed.
        Mandatory dependencies are dependencies that are inherent to the work being done.
       D- Discretionary dependencies are dependencies defined by the project management team. This may also
        encompass particular approaches because a specific sequence of activities is preferred, but not mandatory
        in the project life cycle.
       E-External dependencies are dependencies that involve a relationship between project activities and non-
        project activities such as purchasing/procurement


  NUMBER          DESCRIPTION                                                                  TYPE M,D,E

        1.        IV&V contract must be approved                                               M

        2.        Fast Enterprises will be able to quickly staff project after                 E
                  contract is signed.

        3.        DOIT approval cycle, if delayed, could negatively impact                     E
                  project implementation




 REVISION: 2.0                              DOIT-PMO-TEM-020                                  6 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


1.5 ASSUMPTIONS


  NUMBER            DESCRIPTION
          1.        A business owner from TRD will be assigned and responsible for the
                    business rules, data gathering, decision making, deliverables review, and
                    FDB Agency communication. A business owner will be available to the
                    development team as required.
          2.        Several TRD developers will be assigned to the project and will be
                    responsible for the upgrade of those site-specific interfaces which are
                    TRD’s responsibility.
          3.        FAST will assign appropriate resources to complete the design &
                    implementation as well as assisting the TRD developers.
          4.        TRD will be responsible for any end user training needs.
          5.        TRD will assign testers to perform the necessary testing.
          6.        There will be conversion of data.



1.6 INITIAL PROJECT RISKS IDENTIFIED

         TRD Resource Availability
                              Probability - Possible               Impact – Medium
  Description – TRD
  Resources and personnel     Mitigation Strategy – Senior management stakeholders are involved
  are needed for              and support the project. Project implementation is a priority and
  development, testing,       scheduled around TRD’s busiest times.
  training and acceptance     Contingency Plan - Have backups who can step in to cover tasks and
                              responsibilities.



        Key project member departs
                              Probability - Possible               Impact - Medium
  Description – One or more
  key personnel may leave     Mitigation Strategy - Key Personnel are identified and allocated for
  the project                 the length of the project.
                              Contingency Plan – Communication is maintained throughout the
                              project to ensure the GenTax team is aware of all tasks and
                              responsibilities.




 REVISION: 2.0                        DOIT-PMO-TEM-020                               7 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




         Business Functionality may not behave as expected
                                 Probability – Possible              Impact - Low
  Description – The business
  functionality behaves         Mitigation Strategy – Decision Requests are the primary vehicle to
  differently than the existing change the behavior of the system. The stakeholders decide which path
  system                        to follow and those changes are implemented. Testing and training will
                                 identify and train new procedures.
                                 Contingency Plan – Communication is maintained throughout the
                                 project to ensure TRD is aware of all changes in behavior.


         Critical System bugs may prevent rollout
                                 Probability - Low                   Impact - Medium
  Description – Critical
  system bugs may be             Mitigation Strategy – Complete and broad testing will be used to
  identified                     identify bugs and other issues. Acceptance and support schedules
                                 specific time periods to address issues.
                                 Contingency Plan – The existing system can be used until critical
                                 issues are fixed.




         2.0 PROJECT AUTHORITY AND ORGANIZATIONAL
                         STRUCTURE

2.1 STAKEHOLDERS
  NAME                     STAKE IN PROJECT                ORGANIZATION         TITL E
  DEMESIA PADILLA          EXECUTIVE SPONSOR               TRD                  CABINET SECRETARY

  GREG SAUNDERS            IT EXECUTIVE LEAD               TRD                  CIO

  TERRY RISTER             ACD/RPD EXECUTIVE LEAD          TRD                  ACD/RPD DIRECTOR

  DAVE ROBBINS             ASD EXECUTIVE LEAD              TRD                  ASD DIRECTOR

  JOHN TYSSELING           TAX POLICY                      TRD                  CHIEF ECONOMIST

  JIM WASTVEDT             GENTAX BUSINESS                 TRD                  BUREAU CHIEF/PROJECT
                           UNIT                                                 MANAGER

  ELIZABETH                GENTAX BUSINESS UNIT            TRD                  PROJECT MANAGER
  SANCHEZ




 REVISION: 2.0                           DOIT-PMO-TEM-020                              8 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


2.2 PROJECT GOVERNANCE STRUCTURE
 2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART

          GenTax Executive Steering
                Committee




                                       IV&V Burger,
                 TRD Project
                                      Carroll & Assoc.
                  Manager



                                         Fast Enterprises
                 TRD Teams                 Contractor
                                            Manager



                                          Fast Contractor
                                               Team




 2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE
        The executive steering committee is made up of the division directors or their delegates.
 Delegates include additional members of the director’s office from the Audit and Compliance
 Division, the Revenue Processing Division, Administrative Services Division, and Tax Policy.


 2.2.3 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES
        N/A



2.3 EXECUTIVE REPORTING

 Reporting for this project will be subject to current standards from DoIT and the current
 standards from the GenTax Executive Steering Committee. Currently the GenTax Executive
 Steering Committee meets monthly. Likewise there will be a project management meeting bi-
 weekly to report to executive management on the project issues and progress.




 REVISION: 2.0                                  DOIT-PMO-TEM-020                 9 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                     3.0 SCOPE

3.1 PROJECT OBJECTIVES
 3.1.1 BUSINESS OBJECTIVES
 NUMBER                  DESCRIPTION
                 1.      Upgrade all the modules of our tax processing system to the most
                         current versions available to mitigate the risk the risk of
                         catastrophic failure by ensuring continued system platform
                         architectural support from the vendor of the application software
                         (Fast Enterprises) and the technology software (Microsoft) upon
                         which the GenTax platform is built.
                 2.      Implementation of the GenTax integrated data warehouse module
                         (Discovery). This module which is an integral part of GenTax will
                         greatly enhance TRD’s ability to increase audits, collections, non-
                         filer recoveries, real-time fraud prevention, and return validation.
                         This will generate additional annual revenues above and beyond
                         our current capabilities with our current data warehouse product.
                         Examples of revenue gains in other states:
                                      Alabama Audit and Compliance Division – without
                                         Discovery in FY 2008 - $10 million, with Discovery
                                         in 2010 - $17.7 million
                                      Illinois Audit and Compliance Collections - $44
                                         million collected using leads generated by
                                         Discovery.
                                      California Employment Development Department
                                         (unemployment compensation) Collection increase
                                         in 2010 of $29 million in new revenue in FY 2010
                                         using Discovery.
                                      Utah Personal Income Tax – additional $1.9 million
                                         in revenue generated from one CP2000 tape match
                                         that auto generated 3,600 assessment letters from
                                         Discovery.
                         Target Measurement:
                              Increase in Discovery Collections over 2011
                              Increase in Non-Filer Collections over 2011
                 3.      The Treasury Offset Program (TOP) is a debt collection program
                         administered by the Financial Management Services (FMS), a
                         bureau of the U.S. Department of the Treasury. This program
                         allows state agencies to submit past-due, legally enforceable state




 REVISION: 2.0                    DOIT-PMO-TEM-020                         10 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


NUMBER                 DESCRIPTION
                       income tax obligations to FMS for offset of the debtor’s individual
                       federal income tax refund. In effect, Federal refunds can be paid to
                       NM to offset state income tax liability.
                        The current TRD version of GenTax refunds in New Mexico does
                       not contain the functionality to enable to state to join the SITLIP
                       program (reverse TOP). The IRS has threatened to stop the TOP
                       program if TRD cannot implement SITLIP to intercept state
                       refunds for IRS debt.
                       Implementation of a new TOP module in GenTax will include the
                       following benefits:
                        Significant new revenues annually through more efficient
                           processing and an upgraded Taxpayer Offset Program module.
                        This automation will improve productivity and data accuracy
                           by reducing manual data entry, which will allow employees to
                           spend time on other essential duties to ensure compliance with
                           the tax laws
                        Allow for the inclusion of all taxpayers eligible for federal
                           offsets, including spouses, ex-spouses, and those using ITIN’s
                        Spend less time on manual interventions to correct errors
                        Ensure that all taxpayers eligible for offset of federal refunds
                           for state debt are included in the file sent to the US Treasury
                           Department.
                        Improved reporting efficiency and accuracy pertaining to
                           offsets and refunds
                        Improved collection operations and collection efforts leading to
                           increased revenues
                        Reduced human error related to reporting
                        Improved customer service

                           Target Measurement: $$$ Increase in TOP Collections over
                            2011
                4.     Implementation of a Business Credit Manager module will help the
                       state determine and manage the effectiveness of business credits.
                       The NM Legislature has recently been looking at ever more
                       complicated business credits that are more narrowly defined and
                       specialized. These are more difficult to administer, and a Business
                       Credit module within GenTax will help in this regard. TRD
                       anticipates that the number and complexity of business credits will
                       continue to grow and make this an even larger problem in the
                       future.




REVISION: 2.0                   DOIT-PMO-TEM-020                         11 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


NUMBER                 DESCRIPTION

                       TRD administers multiple tax programs which includes in many
                       cases business credits that allow taxpayers to reduce their tax
                       liability through the qualifications required in legislation that
                       created the business credit. New Mexico now offers twenty-plus
                       business related tax credits to corporations and individuals who
                       meet stated requirements. Credits currently apply to the Combined
                       Reporting System (CRS – gross receipts, compensating and
                       withholding taxes), Corporate Income Tax (CIT), Personal Income
                       Tax (PIT), Fiduciary Income Tax (FID), Enhanced 911 Services
                       Surcharge, and Telecommunications Relay Services Surcharge.
                       Each of these business-related tax credits requires a specific set of
                       forms for both the application and the claim. When an application
                       is submitted, it is entered and tracked in a mostly manual fashion
                       by employees that work for the Revenue Processing Division using
                       Microsoft Excel spreadsheets. Although some business tax credit
                       processing is currently done in GenTax, it is very limited. TRD has
                       the responsibility to distribute receipts to multiple stakeholders.
                       Business tax credits for CRS are now tracked in GenTax at a
                       summary level but TRD cannot determine the specific business tax
                       credit to offset or reduce. The Business Credit module will provide
                       the Department additional tools for supplying accurate and
                       consistent customer service while increasing the use of the GenTax
                       system.


                5.     Upgrading to the current Refunds module will greatly enhance
                       revenues due to a significant reduction of fraudulent refunds – due
                       to better fraud detection through the upgraded Refunds module and
                       data exchange functionality.
                        The new Refund Module will add “Refund Request Date” to
                           the GenTax Refund Module. TRD staff will use this field to
                           specify the date a refund is “requested”. Interest on the refund
                           will be calculated using this date. This will allow TRD to “back
                           date” a refund, when appropriate and when approved. The
                           GenTax Refund Module will calculate and display a “Potential
                           Refund Interest” field, allowing TRD to know and approve the
                           refund amount and interest before processing the refund.
                        There will be a new “Refund Interest” window that will detail
                           how the interest was calculated, e.g., by principle, by interest
                           rate and by period.
                        The new Refund Module is cleaner, better organized and
                           presents all pertinent information in one screen. It clearly
                           shows the approval stage the refund is currently in as well as




REVISION: 2.0                    DOIT-PMO-TEM-020                         12 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


NUMBER                 DESCRIPTION
                          the associated history, actions that have been taken, when the
                          action was taken and by whom. It also notes any additional
                          actions that need to be completed before the refund can be
                          issued.
                        Refunds will be assigned to a specific owner (TRD staff) with a
                          specific Work Date, making it possible to track the status and
                          process of all refunds. Refunds that are awaiting review and/or
                          approval can be assigned a revised Work Date thus allowing
                          TRD staff to focus on approved refunds while still scheduling
                          other refunds for review at a future date. This minimizes the
                          risk of anything “falling through the crack.”
                        Refunds can be batched together as a group, allowing TRD to
                          track refunds by date, refund type, and how they were issued.
                        Refunds returned by the Post Office due to an address change
                          can be automatically resent.
                        A refund status change will automatically trigger a review of
                          the refund.
                        The revised Refund Module will automatically check for “joint
                          account” with a debit status.
                        An alternate name/address may be specified. This will allow
                          the payment to be made to a bankruptcy trustee rather than a
                          taxpayer.
                        Two new fields will be added to the Refund Module: Refund
                          Released Date and Refund Batch Release Date. This will allow
                          TRD employees to set/reset the date a refund is to be issued, or
                          the date a group of refunds is to be issued.
                        The new Refund Module will display a “Transfer Control”
                          screen, detailing which portions of a refund have been
                          transferred to other accounts or intercepted, where and when
                          they were sent.
                        The new Refund module will contain improved fraud detection
                          code. The fraud detection (Data Exchange, etc.) is now part of
                          the core GenTax refund module. Each State has different and
                          unique ways of catching fraudulent or erroneous returns. The
                          processes range from using data warehouses for stopping
                          returns automatically to each refund being reviewed and
                          analyzed individually. NM currently uses a process where a
                          refund moves through GenTax one stage at a time each night
                          during batch processing. This requires the fraud group to catch
                          any suspicious filers in a single day - before it moves on to the
                          next stage during the nightly batch process. The new core
                          Refunds module can use built-in criteria like "move to the new




REVISION: 2.0                   DOIT-PMO-TEM-020                         13 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


 NUMBER                     DESCRIPTION
                               stage after three days" which would allow the fraud personnel
                               additional time to review returns for potential fraud before
                               releasing to be refunded.
                                 Target Measurement: $$$ amount increase in Refunds
                                  Denied over 2011




 3.1.2 TECHNICAL OBJECTIVES
 NUMBER                     DESCRIPTION
                 1.         TO UPGRADE THE GENTAX APPLICATION AND SYSTEM
                            PLATFORM TO CURRENTLY SUPPORTED .NET AND MS
                            SQL SERVER APPLICATIONS AND SYSTEMS
                            ARCHITECTURES


3.2 PROJECT EXCLUSIONS
 If the enhanced software maintenance requested from the legislature becomes available then a
 full featured File and Pay version of the Taxpayer Access Point may be implemented. Currently
 only a View only capable version is implemented.

3.3 CRITICAL SUCCESS FACTORS

 NUMBER                DESCRIPTION

           1.          DELIVERY DATES ARE CRITICAL TO ENSURE FURTHER
                       PHASES ARE ON SCHEDULE

           2.          TEAM MEMBERS NEED TO BE EMPOWERED TO MAKE
                              TECHNICAL DECISIONS
                              CREATIVE DECISIONS

           3.          KNOWLEDGE TRANSFER MUST BE AN INTEGRAL PART OF
                       THE PROJECT

           4.          PROJECT DEVELOPMENT METHODOLOGY MUST BE
                       FOLLOWED

           5.          REGULAR EXECUTIVE STEERING COMMITTEE AND
                       PROJECT MANAGEMENT MEETINGS MUST BE HELD FOR




 REVISION: 2.0                        DOIT-PMO-TEM-020                       14 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


 NUMBER                DESCRIPTION
                       THE DURATION OF THE PROJECT TO FACILITATE:
                              REQUIREMENTS MANAGEMENT
                              FINANCIAL OVERSIGHT
                              CHANGE MANAGEMENT
                              DELIVERABLES ACCEPTANCE

           6.          PROJECT MUST BE STARTED IN JUNE 2012


         4.0 PROJECT DELIVERABLES AND METHODOLOGY

4.1 PROJECT MANAGEMENT LIFE CYCLE


 Phase      Summary of Phase                                    Key Deliverables
 Pre-     Planning and Certification                            Project Charter
 Planning                                                       Certification Form
                                                                Project Management Plan
                                                                IV&V Contract & Reports
                                                                IT Service Contracts
                                                                Risk Assessment and
                                                                management
                                                                Project Schedule
 1          Implementation -This phase will include GenTax v6   Design Specification Sign-Off
            Refunds / Top and v9 Taxpayers Access Point and     Testing Sign-Off
            Discovery Pilot
                                                                Validation Sign-Off
                                                                Acceptance Sign-Off
 2          Implementation -This phase will include GenTax      Design Specification Sign-Off
            system upgrade to V9 and additional Data            Testing Sign-Off
            Warehouse programs
                                                                Validation Sign-Off
                                                                Acceptance Sign-Off
 3          Implementation -This phase will include Business    Design Specification Sign-Off




 REVISION: 2.0                         DOIT-PMO-TEM-020                    15 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


           Credit Manager and additional Data Warehouse                Testing Sign-Off
           Programs
                                                                       Validation Sign-Off
                                                                       Acceptance Sign-Off


Project  Closeout                                                      Project Closeout Report
Closeout                                                               Lessons Learned


4.1.1 PROJECT MANAGEMENT DELIVERABLES
Project Deliverables are work products or artifacts that are driven by the project management
methodology requirements and standard project management practices regardless of the product
requirements of the project.

       4.1.1.1 [Project Charter]
    Description-                      Deliverable Acceptance Criteria – Meets Executive goals and
                                      objectives.
                                      Standards for Content and Format - Word Document
    Project Charter Document

                                      Quality Review -. Executive peer review of document to ensure it
                                      meets the descriptive executive goals of the project.




       4.1.1.2 [Project Management Plan]
    Description –                     Deliverable Acceptance Criteria - Adequately describes
                                      project elements that need to be managed.
    Project Management Plan
                                      Standards for Content and Format - Word Document

                                      Quality Review – Executive peer review of document to
                                      ensure it includes all elements of project management
                                      metrics.



        4.1.1.3 [Procurement Contract for IV &V Services]
    Description –                     Deliverable Acceptance Criteria - Meets relevant agencies
                                      approval requirements
    Procurement Contract
    Document for IV & V Services      Standards for Content and Format - Contract Template Word
                                      Document




REVISION: 2.0                        DOIT-PMO-TEM-020                                 16 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                       Quality Review – TRD, DoIT, DFA



        4.1.1.4 [Procurement Contract for Contractor Services]
    Description –                      Deliverable Acceptance Criteria - Meets relevant agencies
                                       approval requirements
    Procurement Contract
    Document for Contractor            Standards for Content and Format - Contract Template Word
    Services                           Document

                                       Quality Review – TRD, DoIT, State Purchasing



        4.1.1.5 [Project Schedule]
    Description –                      Deliverable Acceptance Criteria - Meets TRD executive
                                       management timeline approval.
    Procurement Contract
    Document for Contractor            Standards for Content and Format - Microsoft Project
    Services                           Document

                                       Quality Review – TRD Executive management, Fast
                                       Enterprises Executive Management




4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS


    DELIVERABLE     DELIVERABLE                              APPROVERS (WHO          DATE
    NUMBER                                                   CAN APPROVE)            APPROVED

    V9Upgrade01     Project Charter                          TRD CIO                 04/18/2012
    V9Upgrade02     Project Management Plan                  TRD CIO                 05/07/2012
    V9Upgrade03     IV&V Contract                            TRD/DoIT/DFA            05/10/2101
    V9Upgrade04     IT Contractor Service Contract           TRD/DoIT/State          05/10/2012
                                                             Purchasing
    V9Upgrade05     Project Schedule                         TRD GenTax              05/10/2012
                                                             Executive Steering
                                                             Committee
                    Risk Assessment and Management           TRD GenTax
                                                             Executive Steering




REVISION: 2.0                         DOIT-PMO-TEM-020                          17 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


    DELIVERABLE    DELIVERABLE                          APPROVERS (WHO       DATE
    NUMBER                                              CAN APPROVE)         APPROVED
                   Plan                                 Committee
                   Phase 1 Design Specification Sign-   TRD GenTax
                   Off                                  Executive Steering
                                                        Committee
                   Phase 1 Testing Sign-Off             TRD GenTax
                                                        Executive Steering
                                                        Committee
                   Phase 1 Validation Sign-Off          TRD GenTax
                                                        Executive Steering
                                                        Committee
                   Phase 1 Acceptance Sign-Off          TRD GenTax
                                                        Executive Steering
                                                        Committee
                   Phase 2 Design Specification Sign-   TRD GenTax
                   Off                                  Executive Steering
                                                        Committee
                   Phase 2 Testing Sign-Off             TRD GenTax
                                                        Executive Steering
                                                        Committee
                   Phase 2 Validation Sign-Off          TRD GenTax
                                                        Executive Steering
                                                        Committee
                   Phase 2 Acceptance Sign-Off          TRD GenTax
                                                        Executive Steering
                                                        Committee
                   Phase 3 Design Specification Sign-   TRD GenTax
                   Off                                  Executive Steering
                                                        Committee
                   Phase 3 Testing Sign-Off             TRD GenTax
                                                        Executive Steering
                                                        Committee
                   Phase 3 Validation Sign-Off          TRD GenTax
                                                        Executive Steering
                                                        Committee




REVISION: 2.0                    DOIT-PMO-TEM-020                        18 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


    DELIVERABLE          DELIVERABLE                                 APPROVERS (WHO           DATE
    NUMBER                                                           CAN APPROVE)             APPROVED

                         Phase 3 Acceptance Sign-Off                 TRD GenTax
                                                                     Executive Steering
                                                                     Committee
                         Project Closeout Report                     TRD GenTax
                                                                     Executive Steering
                                                                     Committee


4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE

        The procedure established for acceptance of each deliverable in this project is based on the business
        requirements. Each requirement will be assigned a number and when the requirement is completed;
        i.e., developed, tested and then accepted by the Technical Project Manager and the designated
        Executive Steering Committee representative; it is logged and tracked on the Deliverable Acceptance
        Form (shown in Appendix E – Acceptance Management). This procedure and form allows the
        project manager and the project team to view all completed deliverables and to adjust the project
        schedule, as needed, to meet project deadlines.

4.2 PRODUCT LIFE CYCLE



Phase                                Summary of Phase                      Key Deliverables
Pre-Planning                         Initiation, Planning and              See Above
                                     Definition
Phase 1                              SDLC                                  See Above
Phase 2                              SDLC                                  See Above
Phase 3                              SDLC                                  See Above




4.2.1 TECHNICAL STRATEGY
    The Taxation and Revenue Department’s technical strategy for this project will follow the GenTax®
    methodology that has been used successfully in past projects. This involves combining efforts with TRD
    IT, FAST Enterprises, and TRD Subject Matter Experts (SMEs), and any additional SMEs as required.
    Within this strategy, we will:
                 Identify business requirements and design, develop, and configure in the development
                     environment. This includes implementation specifications plus confirmation of design




REVISION: 2.0                              DOIT-PMO-TEM-020                              19 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                    and configuration. Acceptance is required before proceeding to the next level of the
                    project.
                   Migrate configuration to the test environment. Test scripts to confirm the design with the
                    sliced data. Acceptance is required before proceeding to the next level of the project.
                   Migrate configuration to the staging environment. Produce test scripts and perform unit,
                    system and end-to-end testing to confirm design. Mock conversions and batch schedules
                    are run in this environment. Issues are logged and tracked until closed. Acceptance is
                    required before proceeding to the next level of the project.
                   On final acceptance, the decision will be made to “Go Live” by the GenTax Executive
                    Steering Committee.
                   Complete final migration to the production environment.
                   Provide desk side support, Business Area meetings, and daily project team meeting until
                    results are verified/accepted.
                   Initially, the project team runs batch schedules and trains computer operations personnel.
                   Continue post-implementation support, as needed, for a specific period.
                   Log and track checkout and rollout issues until they are resolved.


4.2.2 PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES
Product Deliverables are work products or artifacts that are driven by the product management
methodology requirements and standard project management practices regardless of the product
requirements of the project.

       4.2.2.1 System Design Specifications
    Design requirements for the             Deliverable Acceptance Criteria – SMEs review and assess
    modules and functionality that is to    the quality of the deliverables before forwarding to executive
    be implemented in that phase            committee for formal acceptance
                                            Standards for Content and Format - Microsoft Word
                                            Document
                                            Quality Review - IV&V reviews all documents for
                                            completeness

       4.2.2.2 Unit Testing Approval
    Acceptance that the functional          Deliverable Acceptance Criteria – SMEs review and assess
    testing meets the design                the quality of the deliverables before forwarding to executive
    requirements and no critical issues     committee for formal acceptance
    are outstanding
                                            Standards for Content and Format - Microsoft Word
                                            Document

                                            Quality Review - IV&V reviews all documents for
                                            completeness




REVISION: 2.0                              DOIT-PMO-TEM-020                              20 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


       4.2.2.3 System Validation Approval
    Acceptance that system meets           Deliverable Acceptance Criteria – SMEs review and assess
    design requirements and no critical    the quality of the deliverables before forwarding to executive
    issues are outstanding                 committee for formal acceptance

                                           Standards for Content and Format - Microsoft Word
                                           Document

                                           Quality Review - IV&V reviews all documents for
                                           completeness



       4.2.2.4 Production Acceptance Approval
    Acceptance that system functions       Deliverable Acceptance Criteria – SMEs review and assess
    as designed in production and no       the quality of the deliverables before forwarding to executive
    critical issues are outstanding        committee for formal acceptance
                                           Standards for Content and Format - Microsoft Word
                                           Document
                                           Quality Review - IV&V reviews all documents for
                                           completeness


4.2.3 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS
Complete the following table to identify the deliverables this project is to produce, and to name
the person or persons who have authority to approve each deliverable.


  DELIVERABLE          DELIVERABLE                                APPROVERS (WHO           DATE
  NUMBER                                                          CAN APPROVE)             APPROVED

           1.          System Design & Development V6             GenTax Executive
                       Refunds/Top                                Steering Committee
           2.          System Design & Development V9             GenTax Executive
                       TAP & Data Warehouse Pilot                 Steering Committee
           3.          System Validation Production               GenTax Executive
                       Implementation V6 Refunds/TOP              Steering Committee
           4.          System Validation/Production               GenTax Executive
                       Implementation V9 TAP & Data               Steering Committee
                       Warehouse Pilot
           5.          System Design & Development V9             GenTax Executive




REVISION: 2.0                             DOIT-PMO-TEM-020                            21 OF vi
  PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


    DELIVERABLE              DELIVERABLE                                 APPROVERS (WHO DATE
    NUMBER                                                               CAN APPROVE)       APPROVED
                             GenTax                                      Steering Committee
                6.           System Validation V9 GenTax                 GenTax Executive
                                                                         Steering Committee
                7.           Production Implementation V9                GenTax Executive
                             GenTax                                      Steering Committee
                8.           System Design & Development                 GenTax Executive
                             Business Credit Manager                     Steering Committee
                9.           System Validation Business Credit           GenTax Executive
                             Manager                                     Steering Committee
                10.          Production Implementation                   GenTax Executive
                             Business Credit Manager                     Steering Committee
                11.          Project Close-Out                           GenTax Executive
                                                                         Steering Committee


  4.2.4 DELIVERABLE ACCEPTANCE PROCEDURE

            The procedure established for acceptance of each deliverable in this project is based on the business
            requirements. Each requirement will be assigned a number and when the requirement is completed;
            i.e., developed, tested and then accepted by the Technical Project Manager and the designated
            Executive Steering Committee representative; it is logged and tracked on the Deliverable Acceptance
            Form (shown in Appendix E – Acceptance Management). This procedure and form allows the
            project manager and the project team to view all completed deliverables and to adjust the project
            schedule, as needed, to meet project deadlines.



                                        5.0 PROJECT WORK

5.1 WORK BREAKDOWN STRUCTURE (WBS)
  See Section 5.2

5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE
Task Name                                                 Duration    Start         Finish          Predecessors
Pre Planning                                              23 days     Tue 5/1/12 Thu 5/31/12
Phase 1                                                   109 days    Fri 6/1/12 Wed 10/31/12 1
 System Design & Development V6 Refunds/Top               30 days     Mon        Fri 6/29/12




  REVISION: 2.0                                DOIT-PMO-TEM-020                              22 OF vi
  PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                                               5/21/12
 System Validation Production Implementation V6
                                                   88 days     Mon 7/2/12 Wed 10/31/12 3
Refunds/TOP
 System Design & Development V9 TAP & Data
                                                   43 days     Fri 6/1/12   Tue 7/31/12
Warehouse Pilot
 System Validation/Production Implementation V9
                                                   66 days     Wed 8/1/12 Wed 10/31/12 5
TAP & Data Warehouse Pilot
Phase 2                                            281 days    Fri 6/1/12 Fri 6/28/13
 System Design & Development V9 GenTax             175 days    Fri 6/1/12 Thu 1/31/13
 Production Implementation V9 GenTax               86 days     Fri 2/1/13 Fri 5/31/13 8
 System Validation V9 GenTax                       20 days     Mon 6/3/13 Fri 6/28/13 9
Phase 3                                            261 days    Mon 7/1/13 Mon 6/30/14 7
 System Design & Development Business Credit
                                                   155 days    Mon 7/1/13 Fri 1/31/14
Manager
 System Validation Business Credit Manager         85 days     Mon 2/3/14 Fri 5/30/14     12
 Production Implementation Business Credit
                                                   21 days     Mon 6/2/14 Mon 6/30/14 13
Manager
Project Close-Out                                  23 days     Tue 7/1/14 Thu 7/31/14     11



5.3 PROJECT BUDGET
  Costs estimates are the costs applied to an activity in a project by assigning resources with
  associated rates or fees. Resources can include equipment, material, technology, processing
  cycles, or people. The total cost is critical and should be consistent with the proposal; include
  breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an
  appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or
  deliverable).


   Phase / Activity                          Associated Deliverables                Estimated
                                                                                    Budget
   Umbrella Tasks

   Pre-Planning                              Project Charter
   Planning and Certification                Certification Form
                                             Project Management Plan
                                             IV&V Contract & Reports
                                             IT Service Contracts
                                             Risk Assessment and management




  REVISION: 2.0                          DOIT-PMO-TEM-020                          23 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


  Phase / Activity                         Associated Deliverables           Estimated
                                                                             Budget
                                           Project Schedule
  Phase 1                                  Design Specifications Sign-Off    $1,160,200

  This phase will include GenTax v6        Testing Sign-Off
  Refunds / Top and v9 Taxpayers           Validation Sign-Off
  Access Point and Discovery Pilot
                                           Acceptance Sign-Off
                                           IV&V
  Phase 2                                  Design Specifications Sign-Off    $3,605,800

  This phase will include GenTax           Testing Sign-Off
  system upgrade to V9 and additional      Validation Sign-Off
  Data Warehouse programs
                                           Acceptance Sign-Off
                                           IV&V
  Phase 3                                  Design Specifications Sign-Off    $1,464,000

  This phase will include Business         Testing Sign-Off
  Credit Manager and additional Data       Validation Sign-Off
  Warehouse Programs
                                           Acceptance Sign-Off
                                           Project Closeout Report
                                           IV&V
                                           Contract Project Manager
  TOTALS                                                                     $6,230,000


5.4 PROJECT TEAM




 REVISION: 2.0                          DOIT-PMO-TEM-020                    24 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE

                                                NM Gentax Upgrade
                                                                                 Executive Steering Commitee



                                                  Dave Pearson                                                  John Monforte
                                                  FAST Partner                                                 Deputy Secretary


QA Team - Testing,
Training, Knowledge                                                                Division Directors          Greg Saunders                  Legal              Jim Wastevdt
Transfer                                                                                                     TRD Project Sponsor                                Gentax Manager


          TBD
      Fast Trainer


     Frank Armijo                             Ojito Prevatt                         Jon Polonsky                                 TBD                                TBD
     TRD QA Lead                            Fast Site Manager                   Fast Project Manager                 TRD Business Project Manager         TRD IT Project Manager




Compliance - Audit, Bankruptcy,                  Registration - Mail, Registration, Reports,       Transactions - Revenue Accounting,                 Tech Team - Architecture,
Collections, CSA, Levies, Garnishments,          Executive Dashboard, TAP, Returns,                Transactions, P&I, Refunds, TOP, SITLP,            Printing, Security, FCR, Conversion
Liens, Dialer, PCA, Recoveries, Discovery        Payments, Case, Work Items                        ACH, DEX


                        Jon Polonsky                                    Adam Whitehead                                   Nathan Behrens                                Ojito Prevatt
                      Compliance Lead                                   Registration Lead                               Transactions Lead                             Tech Team Lead


 TBD
 TBD                                              TBD
                                                  TBD
 Fast Developer 1
 Fast Developer 1            Lisa Armijo          Fast Developer 2
                                                  Fast Developer 2         Frank Armijo            Adam Lee
                                                                                                   Adam Lee                 Theresa Zamora            Ron Gallegos
                                                                                                                                                      Ron Gallegos     Theresa Zamora
                              ACD SME                                        RPD SME               Fast Developer
                                                                                                   Fast Developer                SME                  State Tech
                                                                                                                                                      State Tech            SME
 David Edwards
 David Edwards
 Fast Dev. (Discovery)
 Fast Dev. (Discovery)                            TBD
                                                  TBD                                                                                                 TBD
                                                                                                                                                      TBD
                                TBD               Fast Developer 3
                                                  Fast Developer 3             TBD                 Stephani Schielke
                                                                                                   Stephani Schielke              TBD                 TRD DBA
                                                                                                                                                      TRD DBA
 Santiago Roybal
 Santiago Roybal          Additional SMEs                                Additional SMEs           Fast Developer
                                                                                                   Fast Developer           Additional SMEs
 TRD Developer
 TRD Developer                                                                                                                                        TBD
                                                                                                                                                      TBD
                                                                                                        Jing Wang
                                                                                                        Jing Wang     Muthu Bala
                                                                                                                      Muthu Bala                      Fast Tech 4
                                                                                                                                                      Fast Tech 4
 New Dev 3                                        Larry Consentino
                                                  Larry Consentino    Muthu Bala
                                                                      Muthu Bala
 New Dev 3                                                                                              TRD Developer TRD Developer (Refunds)
                                                                                                        TRD Developer TRD Developer (Refunds)
 TRD Developer                                    TRD Developer
                                                  TRD Developer       TRD Developer (TAP)
                                                                      TRD Developer (TAP)
 TRD Developer
                                                                                                        New Dev 3
                                                                                                        New Dev 3
                                                  Stephen Azuma
                                                  Stephen Azuma        Joseph Dicker
                                                                       Joseph Dicker                    TRD Developer
                                                                                                        TRD Developer
                                                  TRD Developer
                                                  TRD Developer        TRD Developer (TAP
                                                                       TRD Developer (TAP




5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES
List the team members, their role, responsibility and functional manager. Make sure to include a
comprehensive listing including those from the organization managing the project, business
members involved to ensure business objectives are met and the vendor members that may have
a specific role.




 ROLE                                        RESPONSIBILITY                                                  NAME                 FUNCTIONAL AREA




REVISION: 2.0                                                           DOIT-PMO-TEM-020                                                                25 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


 ROLE                 RESPONSIBILITY                   NAME   FUNCTIONAL AREA

 TRD Project          Perform the standard Project            See Chart under 5.4.1
 Managers             Management Processes or
                      monitor and control the
                      Contractor performance of
                      the Processes:
                           Planning
                           Executing
                           Monitoring and
                              Controlling
                           Closing
 TRD Team             Participate as needed in the            See Chart under 5.4.1
 Members              following activities:
                           Refinement of project
                              requirements in
                              relation to specific
                              GenTax modules
                              implementation.
                           Participation in the
                              implementation of
                              GenTax modules
                              upgrades.
                           Testing and
                              Acceptance of
                              GenTax upgraded
                              modules functionality.
                           Participation in
                              definition of new
                              module (Business
                              Credit Manager),
                              design, testing and
                              acceptance.
 Fast Enterprises     Manage the development,                 See Chart under 5.4.1
 Contractor Project   unit testing, installation,
 Manager              implementation, and
                      deployment activities of
                      Contract personnel.
 Fast Enterprises     Perform initial testing,                See Chart under 5.4.1
 Contractor Team      installation, implementation,
 Members              and deployment activities of
                      GenTax module upgrades.




REVISION: 2.0                       DOIT-PMO-TEM-020                     26 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


5.5 STAFF PLANNING AND RESOURCE ACQUISITION
 Complete the chart below identifying the project team members and details concerning their
 project commitment. Project staff should include State, Contract, Customer (Business Owner),
 or Vendor team members


 5.5.1 PROJECT STAFF
                             Cost       Estimated
  Resource                   Estimate   Hours       Availability   Skill Set   Work Product/Deliverable

  Jim Wastvedt

  Elizabeth Sanchez

  Contract Project Manager
  (TBD)

  Frank Armijo

  Lisa Armijo

  Theresa Zamora

  Part Time SME

  Muthu Bala

  Larry Cosentino

  Stephen Azuma

  Santiago Roybal

  Jing Wang

  Ron Gallegos



  Jon Polonsky (Fast
  Contractor PM)

  Ojito Prevatt (Fast
  Contractor)

  Team Lead (x2) (Fast
  Contractors)

  Fast Trainer
  (FastContractor)

  Fast Developers (x6)



 5.5.2 NON-PERSONNEL RESOURCES
 Use this section to list services or product (HW/SW and such) needed for project




 REVISION: 2.0                           DOIT-PMO-TEM-020                              27 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                              Cost         Estimated
  Resource                    Estimate     units/hours   Availability   Source      Work Product/Deliverable

  Additional SAN Space        TBD

  Additional Servers          TBD

  Set up costs for            TBD
  Contractors

  VPN Access                  TBD




5.6 PROJECT LOGISTICS
 Contractors and internal TRD development staff are co-located in the TRD GenTax/E-file
 offices. The GenTax group is allocated some permanent SMEs who will be co-located as well.
 Additional testers and trainers are assigned as needed and will be co-located in the same offices.
 TRD developers are assigned co-development with contractor resources. Project management are
 resident in the GenTax / E-file office. Executive oversight is co-located in the same building.
  5.6.1 PROJECT TEAM TRAINING
                              Cost         Estimated
  Resource                    Estimate     Hours         Availability   Skill Set   Work Product/Deliverable

  Fast Trainer                                                                      State Developer training

  Fast Trainer                                                                      State Trainer training




                 6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENT
 Each risk identified will be documented in the Project Risk Assessment Summary document. Project
 management will review and track the risks periodically. Risks will be reviewed at weekly project status
 meetings as well as the Executive Steering Committee meetings when appropriate. In general, risks will be
 created and maintained by the Project Manager. Risks must have documented avoidance or mitigation steps
 that can be followed if the risk is to be reduced or eliminated.
 The GenTax V9 Upgrade is deploying several risk management techniques to aid in identifying, monitoring
 and resolving risks. To aid in identifying risk, an initial risk assessment meeting will take place. The purpose
 of this meeting is to collectively, as a management group, identify and document the initial project risks. Risks
 identified after this meeting will be documented as part of the project issues tracking procedures.




 REVISION: 2.0                               DOIT-PMO-TEM-020                               28 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


6.1.1 RISK MANAGEMENT STRATEGY
For the GenTax V9 Upgrade, the following procedures and steps have been identified to detect, analyze and
prioritize risks to determine appropriate risk management strategies.
                  1. Identify Potential Risks – document “what can go wrong with the project” and log these
                      into the risk management plan.
                  2. Analyze and Prioritize Risks – This involves combining similar risks to reduce the size of
                      the risk list and then ranking the risks in terms of their impact to the project and their
                      probability of occurrence.
                         --      Impact should be measured in terms of deviations from the schedule, effort,
                                 or costs from the schedule if risks occur.
                                 Low – The risk impact is low if corrected within 10 business days;
                                 Moderate – The risk impact is moderate if not corrected within five (5)
                                 days; likely affecting project completion, the baseline schedule, or the
                                 budget.
                                 Critical – The risk impact is Critical if not corrected within one (1) or two
                                 (2) days possibly impacting the baseline schedule and the budget. This
                                 category of risk also affects the Critical Path of the project schedule.
                         --     Likelihood of occurrence should be measured as the probability that the risk
                                will actually occur.
                3. Identify Risk Mitigation Strategies – Identify those actions that can be taken to reduce the
                   probability of the risk or to reduce its impact on the project.
                4. Identify a Contingency Plan – Identify those actions to be taken when or if the risk
                   materializes (Plan B). The Contingency Plan should include the following:
                      -- How do you know the risk has become a reality?
                      -- What actions are needed to address the event?
       Revisit Risks at the End of an Iteration – At the end of the iteration you can eliminate risks that have
       been fully mitigated, add new risks recently discovered or reassess the magnitude and order of the risk
       list.
6.1.2 PROJECT RISK IDENTIFICATION
       As stated above, one of the first steps in planning this project will be an initial risk assessment meeting
       with all project team members. During this meeting, the Project Team will brainstorm project risks
       and begin tracking and reporting them.
       However, in advance of this meeting, we have already determined an overall risk assessment based on
       known factors of the GenTax V9 Upgrade.
6.1.3 PROJECT RISK MITIGATION APPROACH
       Each risk identified will have at least one mitigation action. These mitigations are designed to help
       reduce or completely avoid the risk.
6.1.4 RISK REPORTING AND ESCALATION STRATEGY
       Ongoing monitoring tasks including a monthly Project Management review of all identified risks. In
       this monthly meeting, all identified risks will be updated to reflect new developments, mitigation
       actions or possible next steps.




REVISION: 2.0                              DOIT-PMO-TEM-020                                 29 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


6.1.5 PROJECT RISK TRACKING APPROACH
To better track and define risks, the following procedures will be used.
        Identify risks as direct or indirect:
                    Direct risk = a risk where that the project has a large degree of control.
                    Indirect risk = a risks with little or no project control.



        Determine the attributes of a risk based on:
               Probability of occurrence
               Impact on the project (severity)
        The two can be combined in a single risk magnitude indicator such as High, Significant,
        Moderate, Minor and Low.
        For each identified risk, the following information should be documented and tracked:
                Number of risk
                Direct /Indirect risk
                Description of risk
                Status of risk
                Probability the risk will occur (1-5: 5 = highest)
                Severity of the risk to the project (1-5; 5 = highest)
                Ranking of the risk (Probability times Severity)
                     Low = 1-8          Moderate = 9-19       High = 20-25
                    Mitigation actions to avoid or reduce the risk and/or the probability of
                     occurrence
                    Contingency actions to be implemented to minimize the impacts of the risk




REVISION: 2.0                                   DOIT-PMO-TEM-020                  30 OF vi
               PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE



Exhibit 1: Risk Template (also available in                                   GenTax v9 Upgrade
Appendix B)
                                                                                 Risk Matrix


                                              Probability of Risk   Impact of Risk
           Area of System Risk                                                                                        Mitigation Actions/ Recovery
                                                                                           Severity   Ranking
              Direct/Indirect                                                                                                    Actions
                                                          1=Low; 5=High


Risk 3:                                                                                                            Mitigation Strategy: Ensure Senior
                                                                                                                   Management Stakeholders are
ITD Resource availability                                                                                          involved and support the project.
                                                                                                                   Ensure project implementation is a
                                                                                                                   priority among TRD team members
                                                      2                   4                    3         6         Contingency Plan:
                                                                                                                   Have 2nd layer of individuals
                                                                                                                   defined who may able to cover task/
                                                                                                                   responsibilities



                                                                                                                   Mitigation Strategy :
Risk 4:
                                                                                                                   Have two levels of coverage for each
Key project member departs                                                                                         project staff member
                                                      2                   4                    3         6         Contingency Plan:
                                                                                                                   Communication and awareness of
                                                                                                                   each team member tasks and
                                                                                                                   responsibilities




               REVISION: 2.0                                         DOIT-PMO-TEM-020                           31 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


Risk Management Process




                                                                                                Project Team and
         Team Member                    Team Lead                    Project Manager                                       Project Manager
                                                                                                Business Owners

                                                                                               The Project Team
                                Team Leads/Members are                                        assesses the impact          Project Manager
       Team member                                              Project Manager monitors
                                responsible for evaluating                                    of risks in relation to       updates project
  identifies risk, including                                    and manages all risks via
                                  the severity of risks and                                        the project's         documentation with
    description, impact,                                       the Risk Management Logl.
                                the need for escalation to                                      schedule, quality,       mitigation strategies,
        and proposed                                            The owner responsible for
                                    the project level. The                                      and budget then         contingency plans and
   mitigation strategy via                                      executing and monitoring
                                Team Lead completes the                                       determines whether          their effects to the
    e-mail to Team Lead                                           mitigation strategies is
                                 Project Risk Identification                                   team should enact           project schedule.
    and Project Manger.                                           identified at this stage.
     Any team member               form in the web based          Risks identified as high       the contingency
     may identify a risk.            tracking tool for risks     priority will be addressed     plan identified for
                                    deemed necessary to          during the project status        each risk. This
                                 address with the project           meeting or on an as         activity is done in
                                             team.                      needed basis.         conjunction with the
                                                                                               Executive Steering
                                                                                                   Committee.




         Team members who become aware of potential risks should document the Issue and send
it to their respective Team Lead and Project Manager via email.


            The minimum information to report includes:
                           1.           The name of the person reporting the risk
                           2.           The date of reporting
                           3.           A description of the risk
                           4.           The affected project activity or activities
                           5.           The potential impact on the project
                           6.           One or more possible solutions
                           7.           Perceived criticality of the risk


       The Project Manager will then log the risk in the risk tracking form. The risk tracking
form can be found in the project files and in Appendix B of this document.




REVISION: 2.0                                                    DOIT-PMO-TEM-020                                                            32 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


        The Team Lead is then responsible for evaluating the risk at the team level. If it is
determined by the Team Lead that the risk is of Medium or High Impact they will be responsible
for escalating it to Project Management and updating the Risk on the online repository.


       The minimum information to report includes:
             1.    The Team Lead escalating the risk
                2.     The date of escalation
                3.     An updated description of the risk (if applicable)
                4.     The affected project activity or activities (if changed)
                5.     The potential impact on the project (if changed)
                6.     One or more possible solutions (if changed)
                7.     The criticality of the risk


        The Project Manager is then responsible for tracking the risk and ensuring that it is
effectively mitigated. In addition to tracking the risks, the Project Manager is also responsible
for communicating the High Impact risks to the Business Owners to be sure they understand the
impact of the potential risks. This activity should take place in the weekly Project Status
Meeting.


6.1.6 ISSUE MANAGEMENT

       6.1.6.1 Internal Issue Escalation and Resolution Process
         Issues will surface weekly, if not daily, throughout the course of this project. Effective
issue tracking and resolution are critical to the success of the project. An issue may be initiated
by anyone associated with the project. The appropriate form to use is the Incident Report Form
and summary spreadsheet; see Appendix C. Timeliness in resolving issues has an immediate
impact on the costs of the project effort.

       The following procedure is used for internally escalating an issue.


       Tier 1 – Team to Team Leader
        Project Team members can identify or escalate an issue to their Team Leader by sending
an email to the Team Lead documenting the following (Project Manager should be copied on
email):
            Issue Description
            Impact
            High – Critical path, High probability for schedule slippage




REVISION: 2.0                           DOIT-PMO-TEM-020                          33 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


               Medium – Non critical path, potential schedule slippage
               Low – Non critical path, no immediate impact to project Recommendation / Plan


        The team leader is then responsible for resolving the issue. If the team leader determines
that the issue cannot be solved at their level or needs to be escalated, they will document the
issue in the appropriate Incident Report Form and summary spreadsheet (Appendix C) and
forward it to the Project Manager. The Issue Escalation and Resolution Form should have the
following completed:
             Issue Description
             Impact
             Functional & Technical Areas Affected
             Recommendation


       Tier 2 – Project Leader to Project Manager
        Upon receipt of a newly escalated issue, the Project Manager is responsible for logging
the escalated issue in the issue log. The Project Manager is then responsible for working with the
project team to define the following information for the issue:
             Resolution Owner / Team
             Resolution Strategy & Activities
             Resolution Time Frame (before being escalated)
             Risks


        The Project Manager will then work with the issue resolution team and the issue owner to
make sure that it is resolved within the established time frame. If it is determined that the issue
will not get resolved in the resolution time frame, the Project Manager will assess the impact of
the time slippage and assign a new resolution time frame or escalate it to the Project Business
Owner.


       Tier 3 – Project Manager to Business Owner
        The Project Manager escalates issues to the Project Business Owner(s) when further
escalation is needed to resolve an issue. The Project Manager will update the status of the issue
in the online Issue tracking application. The Business Owner will then work with the Project
Manager in resolving the issue and setting a new resolution time frame. If resolved, the Project
Manager will update the Issue Tracking application and close out the issue. If the issue cannot be
resolved at the Business Owner Level, it will be escalated to the Project Owner.


       Tier 4 – Business Owner to Project Owner
If the issue requires executive representation or additional escalation, the Business Owner
escalates issues to the Project Owner. All contractual and legal issues will be escalated to the



REVISION: 2.0                          DOIT-PMO-TEM-020                          34 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


 Project Owner for resolution. The Project Manager and Business Owner will assist the Project
 Owner in resolving the issue. If resolved, the Project Manager will update the online Issue
 Tracking Log and close the issue.

        6.1.6.2 External Issue Escalation and Resolution Process
         Any external issues (specifically with Fast Enterprises) are addressed with the onsite
 Fast Project Manager. If resolution is not obtained, the issue is brought to the attention of the
 TRD CIO and the TRD PMO Manager. These individuals will work with the Project Manager
 and determine necessary steps to resolve the issue. All issues of this type are logged by the PM
 and tracked until resolution.

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
         For the GenTax V9 Upgrade, IV&V functionality will be incorporated throughout the
 Implementation phase. Burger, Carroll and Associates, Incorporated, has been selected as the
 vendor to provide IV&V activities on Phase One and Phase Two of the project. As the scope of
 work for Phase Three of the project is substantially different, TRD will select an IV&V vendor
 for Phase Three separately. The selection of the IV&V vendor for Phase Three will take place in
 4th Quarter of FY13.

       The scope of activity for IV&V will (at a minimum) include the following tasks that will
 be more discretely defined in the near term.
             Become familiar with the GenTax® system and methodology through review of
               system documentation, GenTax® methodology, and system operations.
             As required, interview TRD team members to answer questions raised during the
               initial discovery phase of the engagement.
             Review Project Management Plan (PMP) and provide feedback as appropriate.
             Review initial system requirements and work with the TRD team to clarify if
               necessary.
             Track progress of requirements to specifications to final screen layouts and
               business rules, ”keeping score” on the successful evolution of the requirements to
               deliverables; maintaining statistics that reflect the success rate on each iterative
               step in the development process.
             Assist in the assessment of the test and use cases for the project and provide
               feedback and assistance where required.
             Work with the TRD teams to develop integration test cases and processes; provide
               feedback and recommendations for improvement where appropriate.
             Participate in all code review team meetings and prepare assessment of meeting
               results with an immediate report to management posted after each meeting.
             Participate in all regular team review meetings and document any validation and
               verification issues with an immediate report to management posted after each
               meeting.




 REVISION: 2.0                          DOIT-PMO-TEM-020                         35 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


               Participate in reviews of all test plans as they are created and give written
                feedback to team members and TRD management regarding deficiencies and
                improvement opportunities.
               As required, participate in the execution of test cases and log results.
               Attend all system requirements meetings, prepare a summary of each meeting
                with an immediate report to management posted after each meeting
               Attend all specification review meetings with end users and assist in the
                documentation of acceptance or rejection of specification and design proposals.
               Work with the project team to assist in final user acceptance procedures;
                document results with a report to TRD management
               Prepare an overall IV&V project assessment on a monthly basis for the TRD ITD
                management team and the State CIO.
                 Final format and outline to be defined with the assistance of the IV&V
                    contractor after the engagement is initiated
                 Concurrence on IV&V reporting and format will be obtained from the DOIT
                 This will be an IV&V only report—most status will be reported in the normal
                    manner to the DOIT PMO per the standard
               Prepare a weekly status report for the TRD management team using the standard
                TRD ITD status report.
               As required, escalate issues to the TRD management team as they are discovered.
               Participate in post project review and document/publish results.
               Prepare post implementation IV&V report for TRD management and the State
                CIO.

       Logistics assumptions for the IV&V engagement follow:
           IV&V consultant(s) will be headquartered off site.
           Initial engagement will start with one consultant—more will be added if required.
           Anticipate IV&V activity will start for the GenTax v9 Upgrade in June 2012.
           Initial engagement is expected to be twelve months in duration.
           IV&V consultant will work directly with the project team and will report to the
              TRD CIO who will provide guidance and clarity on task and workload
              assignments for IV&V.


        To further ensure quality, TRD has agreed to perform a post implementation review of
the system. Lessons learned and derivative best practices will be evaluated for incorporation into
future development practices in TRD ITD.
       IV&V has been ongoing throughout the various GenTax-related projects. The IV&V
vendor for this project is Burger, Carroll and Associates (BCA). This will allow for a smoother
ramp up and transition, since BCA is already familiar with GenTax and Fast Enterprises, and
TRD’s GenTax staff.


Project/Product Area                              Include




REVISION: 2.0                         DOIT-PMO-TEM-020                          36 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                                    –
                                                    Yes/No
 Project Management                                 Yes
 Quality Management                                 Yes
 Training                                           Yes
 Requirements Management                            Yes
 Operating Environment                              No
 Development Environment                            No
 Software Development                               No
 System and Acceptance Testing                      Yes
 Data Management                                    No
 Operations Oversight                               No
 Business Process Impact                            Yes



6.3 SCOPE MANAGEMENT PLAN
          Scope management will be undertaken utilizing the methodology that has been successful
 in all previous GenTax® projects. The user community is very familiar with the overall
 deliverables from the system and the functionality that will be added to GenTax® is quite
 specific.


         The project team will develop specifications in conjunction with system stakeholders.
 These specifications will be reviewed with the end users and the Executive Steering Committee
 for final approval. Acceptance forms will be obtained (with signature) and the Project Manager
 will be responsible for maintaining a log of such approvals. Periodic project reviews will be
 scheduled throughout the life of the project with the TRD PMO to ensure consistent and quality
 based project record keeping.


 6.3.1 CHANGE CONTROL

        6.3.1.1 Change Control Process
         During the course of the project, issues will occur that influence the scope of the project.
 These issues may either be requirements in the form of additional complexity or new
 deliverables. These potential increases to the project scope must be properly managed and




 REVISION: 2.0                          DOIT-PMO-TEM-020                          37 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


 approved before they can be incorporated into the project’s work effort. The following outlines a
 process for managing change control.
             Upon discovery of a potential project change, the Project manager shall ensure the
               new requirement is sufficiently documented using the Decision Request form; see
               Change Control, Appendix D.
             A request is initiated by the end user, management or the project team.
             The project team performs the necessary analysis to determine the cost, time
               estimates and other potential impacts to the project.
             The Project Manager completes the Decision Request form and presents it to the
               Executive Steering Committee
             The Executive Steering Committee either approves or rejects the request and the
               Decision Request is closed.
             If approved, the project manager formally documents the change in both the
               Project Plan and Project Schedule.
             Throughout this process, the project manager documents the status of each
               proposed change in the weekly status report and the change control log.


        6.3.1.2 Change Control Board (CCB)
        The Change Control Board for this project will be the Executive Steering Committee. All
 scope changes will be logged by the Project Manager in the change system with any impact
 reported in status and other associated project documents. The project manager will manage all
 change control processes for the system utilizing the change management system. Sample and
 blank change control forms can be found in Appendix D.



6.4 PROJECT BUDGET MANAGEMENT
         The contract specifies the fixed cost for each deliverable. The funds are pre-allocated on
 a deliverable basis. The IV&V budget is split between 2 fiscal years, FY13 and FY14. Project
 Management budget is split between FY13 and FY14.


 6.4.1 BUDGET TRACKING
         The Technical Project Manager will manage project expenditures and report budget
 status monthly to the GT ESC and the DOIT.

6.5 COMMUNICATION PLAN
 The communication plan is reflected in our reporting requirements. This consists of weekly
 project status meetings, monthly executive steering committee meetings combined with
 additional meetings needed for functional requirements.




 REVISION: 2.0                          DOIT-PMO-TEM-020                         38 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


    6.5.1 COMMUNICATION MATRIX



  GenTax Executive Steering
        Committee
     (Monthly meeting)



         TRD Project                  IV&V
          Manager             (Attends Monthly and
        (Weekly status          Weekly Meetings)
          meeting)


                                    Fast Enterprises Contractor
        TRD Teams
                                             Manager
       (Weekly Status
                                   (Attends Monthly and Weekly
         Meetings)
                                            Meetings)


                                      Fast Contractor Team




 6.5.2 STATUS MEETINGS


 Monthly – Executive Steering Committee
 Weekly – Project Status, Team Status
 Adhoc – Functional team meetings


 6.5.3 PROJECT STATUS REPORTS
 Weekly project status reports are given to executive management. This is provided by the project
 team. Monthly DoIT project status reports are provided by the TRD Project Manager.

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)
 The primary metric of measurement is adherence to the project schedule. All other measures are
 dependent on successful execution of deliverables.

6.7 QUALITY OBJECTIVES AND CONTROL
 TRD’s Subject Matter Experts are intimately involved in all steps throughout the implementation
 process of the deliverables. They will be assisting in the definition and assessment of quality in
 the business requirements of the deliverables. They are responsible with assistance from the
 contractor for the testing of the business requirements and the successful functional execution of
 those business requirements. The feedback from end users is directed towards them so that they
 can assess the success of the implementation of the deliverables. Finally, they are responsible for




 REVISION: 2.0                                   DOIT-PMO-TEM-020                39 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


creating and tracking solution requests in order to resolve any identified issues. When accepting
the deliverables they are the first reviewers and offer their recommendations to the Executive
Steering Committee as to the quality of the deliverable.


6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS
How the client takes procession of the product. Delivery of media; manuals; contracts; licenses;
services agreements; configuration settings; status of patches to COTS products; in-house or
vendor developed code; test cases, routines, and scripts; and other items required to operate the
product.
                                                         Final Approval      Customer Acceptance
Deliverable
                                                         Process             Criteria

                                                         Signatures on       Completeness of
System Design & Development V6 Refunds/Top               Deliverables        coverage of business
                                                         Acceptance Form     requirements

                                                         Signatures on       Completeness of
System Design & Development V9 TAP & Data                Deliverables        coverage of business
Warehouse Pilot                                          Acceptance Form     requirements

                                                         Signatures on       Successful functional
System Validation Production Implementation V6           Deliverables        execution of business
Refunds/TOP                                              Acceptance Form     requirements in the
                                                                             Production system

                                                         Signatures on       Successful functional
System Validation/Production Implementation V9           Deliverables        execution of business
TAP & Data Warehouse Pilot                               Acceptance Form     requirements in the
                                                                             Production system

                                                         Signatures on       Completeness of
System Design & Development V9 GenTax                    Deliverables        coverage of business
                                                         Acceptance Form     requirements

                                                         Signatures on       Validation of
System Validation V9 GenTax                              Deliverables        completeness business
                                                         Acceptance Form     requirements and
                                                                             accuracy of execution in
                                                                             testing environments.

                                                         Signatures on       Validation of
Production Implementation V9 GenTax                      Deliverables        completeness business
                                                         Acceptance Form     requirements and
                                                                             accuracy of execution in
                                                                             production environment.

                                                         Signatures on       Acceptance of
System Design & Development Business Credit              Deliverables        completeness of co-
Manager                                                  Acceptance Form     determined Business
                                                                             Credit manager
                                                                             requirements.




REVISION: 2.0                         DOIT-PMO-TEM-020                         40 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                                         Signatures on       Validation of
 System Validation Business Credit Manager               Deliverables        completeness business
                                                         Acceptance Form     requirements and
                                                                             accuracy of execution in
                                                                             testing environments.

                                                         Signatures on       Validation of
 Production Implementation Business Credit Manager       Deliverables        completeness business
                                                         Acceptance Form     requirements and
                                                                             accuracy of execution in
                                                                             production environment.

                                                         Signatures on       Production validation of
 Project Close-Out                                       Deliverables        all project deliverables.
                                                         Acceptance Form




6.8 CONFIGURATION MANAGEMENT

 6.8.1 VERSION CONTROL
 All code is stored in Fasts version control system. All configuration is stored in the database
 where it is logged, tracked and backed up. Project documents are stored on a standard windows
 file share which is backed up.


 6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY)


 Description – A notebook or       Deliverable Acceptance Criteria – A binder with official
 binder containing copies of       copies of documents collected to manage and control the
 project management                project.
 documentation throughout the
 project life cycle.
                                   Standards for Content and Format – Insertion of all final
                                   copies of final project documents such as sign-offs,
                                   specifications, change logs, issue logs, etc. These
                                   documents should be arranged into categories and kept
                                   updated throughout the life cycle. The binder should also be
                                   retained after project closure to ensure capability to perform
                                   project audits and reviews.




 REVISION: 2.0                         DOIT-PMO-TEM-020                         41 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                            Quality Review – Periodic reviews during the project with
                                            the Team Leader, TRD IT Auditor, Project Manager, and
                                            TRD PMO Manager



6.9 PROCUREMENT MANAGEMENT PLAN
           This project is dependent on Fast Enterprises to provide professional services consultants to support the
 implementation for GenTax V9 Upgrade. A Sole Source has been approved for this project as it has been for all
 other GenTax® projects. The Contract #20-333-00-111311 TR12-38 for Fast Enterprises to provide contract
 services to upgrade GenTax to Version 9 has been executed. In addition, there is also the procurement contract
 #TR12-45 for Burger, Carroll and Assoc., Inc to provide IV & V services for the GenTax Version 9 Upgrade
 Project.



                                        7. 0 PROJECT CLOSE
 7.1 ADMINISTRATIVE CLOSE
           Items that require administrative close:
           All deliverables as specified in this document must be completed and accepted by
              TRD.
           The GenTax V9 Upgrade must be accepted by TRD, in writing.
           Deliverable Acceptance Form – for every formal deliverable in the project, a
              deliverable acceptance form: see Appendix E Acceptance Management, must be
              signed and filed in the Project Workbook.
           Baseline Verification – Project deliverables should be inventoried and the project
              archives updated with the current artifacts.
           Lessons Learned – Lessons learned sessions should be conducted postmortem to the
              phase/project and incorporated into future project plans, procedures and artifacts.


 7.2 CONTRACT CLOSE
           In addition to the Administrative Close, the following actions should be taken to
          complete Contract Close:
               Procurement Audit – The Project Manager, TRD CIO and TRD PM should
                  review the Fast Enterprises Agreement Terms and Conditions to ensure all items
                  are met and/or `disposition agreed upon by both parties`.
               Contract File Creation – A contract file, archiving all project and contractual
                  documentation should be base lined and archived – including invoices, costs, and
                  project documentation.
               Formal Acceptance and Close – A document that accepts the contract completion
                  and closure should be submitted by Fast, accepted by TRD and filed in the
                  Contract File.
 6.3 IV&V FINAL REPORT




 REVISION: 2.0                                  DOIT-PMO-TEM-020                                 42 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


       The IV&V vendor shall submit a final Independent Verification and Validation report.




REVISION: 2.0                        DOIT-PMO-TEM-020                       43 OF vi
 PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                              7.0 GLOSSARY
                    7.1 ACRONYMS AND ABBREVIATIONS
 DOIT            Office of the Chief Information Officer
 IPP             Integrated Project Plan
 PMI            Project Management Institute.
 PMBOK           Project Management Body of Knowledge
 PMC             Program Management Consultant
 PMO             Program Management Office
 PMP             Project Management Plan
 QM              Quality Management
 WBS             Work Breakdown Structure



7.2 DEFINITIONS
 Acceptance Criteria
 The criteria that a system or component must satisfy in order to be accepted by a user, customer,
 or other authorized entity. [IEEE-STD-610]
 Acceptance Testing
 Formal testing conducted to determine whether or not a system satisfies its acceptance criteria
 and to enable the customer to determine whether or not to accept the system. [IEE-STD-610]
 Assumptions
 Planning factors that, for planning purposes, will be considered true, real, or certain.
 Assumptions generally involve a degree of risk. They may be documented here, or converted to
 formal risks.
 Baseline
 A specification or product that has been formally reviewed and agreed upon that thereafter
 serves as the basis for further development, and that can be changed only through formal change
 control procedures. [IEEE-STD-610]
 Commitment
 A pact that is freely assumed, visible, and expected to be kept by all parties.
 Configuration Management (CM)
 A discipline applying technical and administrative direction and surveillance to identify and
 document the functional and physical characteristics of a configuration item, control changes to




 REVISION: 2.0                           DOIT-PMO-TEM-020                          44 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


those characteristics, record and report change processing and implementation status, and
verify compliance with specified requirements. [IEEE-STD-610]
Configuration Management Library System
The tools and procedures to access the contents of the software baseline library.
Constraints
Factors that will (or do) limit the project management team’s options. Contract provisions will
generally be considered constraints.
Contingency Planning
The development of a management plan that identifies alternative strategies to be used to ensure
project success if specified risk events occur.
Crashing
Taking action to decrease the total duration after analyzing a number of alternatives to
determine how to get the maximum duration compression for the least cost.
Critical Path
The series of activities that determines the duration of the project. The critical path usually
defined as those activities with float less than or equal to specified value often zero. It is the
longest path through the project.
Dependencies, Discretionary
Dependencies defined by the project management team. They should be used with care and
usually revolve around current Best Practices in a particular application area. They are
sometimes referred to as soft logic, preferred logic, or preferential logic. This may also
encompass particular approaches because a specific sequence of activities is preferred, but not
mandatory in the project life cycle.
Dependencies, Mandatory
Dependencies that are inherent to the work being done. In some cases, they are referred to as
hard logic.
Dependency Item
A product, action, piece of information, etc., that must be provided by one individual or group to
a second individual or group so they can perform a planned task.
Deliverable
Any measurable, tangible, verifiable outcome, result, or item that must be produced to complete
a project or part of a project that is subject to approval by the project sponsor or customer.
Duration
The number of work periods (not including holidays or other nonworking periods) required to
complete an activity or other project element.
Duration Compression




REVISION: 2.0                            DOIT-PMO-TEM-020                           45 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


Shortening the project schedule without reducing the project scope. Often increases the project
cost.
End User
The individual or group who will use the system for its intended operational use when it is
deployed in its environment.
Effort
The number of labor units required to complete an activity or other project element. Usually
expressed as staff hours, staff days, or staff weeks.
Fast Tracking
Compressing the project schedule by overlapping activities that would normally be done in
sequence, such as design and construction.
Float
The amount of time that an activity may be delayed from its early start without delaying the
project finished date.
Formal Review
A formal meeting at which a product is presented to the end user, customer, or other interested
parties for comment and approval. It can also be a review of the management and technical
activities and of the progress of the project.
Integrated Project Plan
A plan created by the project manager reflecting all approved projects and sub-projects.
Lessons Learned
The learning gained from the process of performing the project. Lessons learned may be
identified at any point during the execution of the project.
Method
A reasonably complete set of rules and criteria that establish a precise and repeatable way of
performing a task and arriving at a desired result.
Methodology
A collection of methods, procedures, and standards that defines an integrated synthesis of
engineering approaches to the development of a product.
Milestone
A scheduled event for which some individual is accountable and that is used to measure
progress.
Non-technical Requirements
Agreements, conditions, and/or contractual terms that affect and determine the management
activities of an architectural and software project.




REVISION: 2.0                         DOIT-PMO-TEM-020                         46 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


Performance Reporting
Collecting and disseminating performance information. This includes status reporting
measurement, and forecasting.
Procurement Planning
Determining what to procure and when.
Product Scope
The features and functions that characterize a product or service.
Project Leader (Technical)
The leader of a technical team for a specific task, who has technical responsibility and provides
technical direction to the staff working on the task.
Project Management
The application of knowledge, skills, tools, and techniques to project activities to meet the
project requirements. Project Management is also responsible for the oversight of the
development and delivery of the architecture and software project.
Program
A group of related projects managed in a coordinated way. Programs include an element of
ongoing work.
Program Management Office
An organizational entity responsible for management and oversight of the organization’s
projects. As a specific reference in this document, the Office of the Chief Information Officer.
Project Manager
The role with total business responsibility for an entire project. The individual who directs,
controls, administers, and regulates a project. The project manager is the individual ultimately
responsible to the customer.
Project Charter
A document issued by senior management that formally authorizes the existence of a project. It
provides the project manager with the authority to apply organizational resources to project
activities.
Project Management Plan
A formal, approved document used to guide both project execution and project control. The
primary uses of the project plan are to document planning assumptions and decisions, facilitate
communication among stakeholders, and documents approved scope, cost, and schedule
baselines. The Project Management Plan (PMP) is a project plan.
Project Schedule




REVISION: 2.0                          DOIT-PMO-TEM-020                          47 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


A tool used to indicate the planned dates, dependencies, and assigned resources for performing
activities and for meeting milestones. Software products such as ABT’s Workbench and
Microsoft Project are tools used to develop project schedules.
Project Scope
The work that must be done to deliver a product with the specified features and functions.
Project Sponsor
The individual that provides the primary sponsorship for an approved project. This individual
will play a key role in securing funding, negotiating for resources, facilitating resolution of
critical organizational issues, and approving key project deliverables.
Quality
The degree to which a system, component, or process meets specified requirements.
The degree to which a system, component, or process meets customer or user needs or
expectations. [IEEE-STD-610]
Quality Management
The process of monitoring specific project results to determine id they comply with relevant
standards and identifying ways to eliminate causes of product non-compliance.
Risk
Possibility of suffering loss.
Risk Management
An approach to problem analysis, which weighs risk in a situation by using risk probabilities to
give a more accurate understanding of, the risks involved. Risk Management includes risk
identification, analysis, prioritization, and control.
Risk Management Plan
The collection of plans that describes the Risk Management activities to be performed on a
project.
Risk Management
Risk mitigation seeks to reduce the probability and/ or impact of a risk to below an acceptable
threshold.
Scope Change
Any change to the project scope. A scope change almost always requires an adjustment to the
project cost or schedule.
Software Life Cycle
The period of time that begins when a software product is conceived and ends when the software
is no longer available for use. The Software Life Cycle typically includes a concept phase,
requirements phase, design phase, implementation phase, test phase, installation, and checkout
phase, operation and maintenance phase, and, sometimes, retirement phase.




REVISION: 2.0                         DOIT-PMO-TEM-020                         48 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


Stakeholder
Individuals and organizations that are actively involved in the project, or whose interests may be
positively or negatively affected as a result of project execution or project completion. They may
also exert influence over the project and its results.
Standard
Mandatory requirements employed and enforced to prescribe a disciplined uniform approach to
software development
Statement of Work
A description of all the work required completing a project, which is provided by the customer.
System Requirements
A condition or capability that must be met or possessed by a system component to satisfy a
condition or capability needed by a user to solve a problem. [IEEE-STD-610]
Subproject
A smaller portion of the overall project.
Task
A sequence of instructions treated as a basic unit of work. [IEEE-STD-610]
A well-defined unit of work in the software process that provides management with a visible
checkpoint into the status of the project. Tasks have readiness criteria (preconditions) and
completion criteria (post conditions). (See activity for contrast.)
Team
A collection of people, often drawn from diverse but related groups, assigned to perform a well-
defined function for an organization or a project. Team members may be part-time participants
of the team and have other primary responsibilities.
Technical Requirements
Those requirements that describe what the software must do and its operational constraints.
Examples of technical requirements include functional, performance, interface, and quality
requirements.
Traceability
The degree to which a relationship can be established between two or more products of the
development process, especially products having a predecessor-successor or master-subordinate
relationship to one another. [IEEE-STD-610]
Work Breakdown Structure
A deliverable-oriented grouping of project elements that organizes and defines the total work
scope of the project. Each descending level represents an increasingly detailed definition of the
project work.




REVISION: 2.0                          DOIT-PMO-TEM-020                        49 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                 APPENDIX A PROJECT SCHEDULE




REVISION: 2.0                   DOIT-PMO-TEM-020   50 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




REVISION: 2.0                   DOIT-PMO-TEM-020   51 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE

                       APPENDIX B RISK MANAGEMENT




REVISION: 2.0                   DOIT-PMO-TEM-020   52 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                   RISK REPORT
PROJECT:

SECTION I: INITIAL NOTIFICATION

REPORTED BY:                                             REPORTED DATE:

DESCRIPTION:




PROBABILITY OF OCCURRENCE:




SEVERITY OF IMPACT ON PROJECT:




MITIGATION STRATEGY:




INITIAL CRITICALITY: (MARK ONE)

        LOW RISK, GREEN            MEDIUM RISK, YELLOW                  HIGH RISK, RED




SECTION II: STATUS TRACKING INFORMATION

NAME OF RISK:                                            TRACKING ID:

RISK CLASSIFICATION:                                     TARGET DATE:

ASSIGNED BUSINESS OWNER:                                 ASSIGNMENT DATE:

CURRENT CRITICALITY: (MARK ONE)

        LOW RISK, GREEN            MEDIUM RISK, YELLOW                  HIGH RISK, RED




REVISION: 2.0                     DOIT-PMO-TEM-020               53 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE



SECTION III: ANALYSIS

NAME OF RISK:                                          TRACKING ID:

DETAILED SEVERITY OF IMPACT:



ESTIMATED DOLLAR VALUE OF IMPACT:



BASIS FOR ESTIMATED PROBABILITY:



ESTIMATED PROBABILITY OF OCCURRENCE:



MITIGATION STRATEGY:



CONTINGENCY PLAN:




SECTION IV: EVENT TRACKING

DESCRIPTION OF EVENT:                   DATE TAKEN:    RESULTING DECISION:

INITIAL ANALYSIS COMPLETED:

FIRST PROJECT STATUS REPORT MADE:




CLOSED:




REVISION: 2.0                       DOIT-PMO-TEM-020              54 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




                                                          GenTax V9 Upgrade
                                                             Risk Matrix

                                  Probability of     Impact of
        Area of System Risk           Risk             Risk                                Mitigation Actions/ Recovery
                                                                      Severity   Ranking
          Direct/Indirect                                                                             Actions
                                          1=Low; 5=High




REVISION: 2.0                   DOIT-PMO-TEM-020                   55 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                APPENDIX C ISSUE MANAGEMENT




REVISION: 2.0                   DOIT-PMO-TEM-020   56 OF vi
    PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE

                                                    GenTax INCIDENT REPORT
                                            New Mexico GenTax V9 Upgrade - System Test


           FOR ADMINISTRATIVE USE
                   ONLY                                                                         * PRIORITY LEVEL: (circle one)

                                                                                                   A = High Severity
                    TRACKING NUMBER
                                                                                                   B = Moderate Severity
T




       GenTax Area                                                                                 C = Low Severity
R




       Developer
A
C




       *DATE REPORTED                                                TESTER SIGN OFF                    Tester Name              Date
K




       *REPORTED BY                                         Verifying Solution or Explanation
I




       *DATA SLICE NAME                              *SHORT DESCRIPTION OF ISSUE
N




       *WORKSTATION ID
G




       *Client ID    (if applicable)


       *Program      (if applicable)
N




       *DETAILED DESCRIPTION (ATTACH SCREEN PRINTS)
U




    REVISION: 2.0                      DOIT-PMO-TEM-020              57 OF vi
    PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE
M
B
E
R




       Completion Date                              Developer Comments



       Developer Sign Off



       * To be completed by reporter


    GenTax v9 Upgrade
    Incident Report New.xls ver 8.00




    REVISION: 2.0                      DOIT-PMO-TEM-020             58 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE

New Mexico                GenTax V9 Upgrade Open Issue Log                                      29-Sep-12 2:00 pm


          0     A's IN PROGRESS

          0     B's IN PROGRESS

          0     C's IN PROGRESS

          0     TOTAL INCIDENT REPORTS IN PROGRESS




                                                     Priority
       Sub                                                                      Date
   #   System   PROBLEM DESCRIPTION                             Tester           In    Assign     Status            Comments




REVISION: 2.0                     DOIT-PMO-TEM-020                   59 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




GenTax V9 Upgrade.xls                                         Page 1 of 1




REVISION: 2.0                   DOIT-PMO-TEM-020   60 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                  APPENDIX D CHANGE CONTROL




REVISION: 2.0                   DOIT-PMO-TEM-020   61 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


                                     SAMPLE
                   GENTAX V9 UPGRADE - DECISION REQUEST TEMPLATE

 Decision                  R5-1
 Request #:

 Title:                    Source fund for correcting over distributions

 Date Raised:              March 16, 2006

 Required
 Resolution Date           April 10, 2006


                           LYNN MANNING
 Raised By:

 Assigned To:              Ron Gallegos

 Priority:                 (High, Medium, Low)


Summary:
A ruling is needed to determine which fund(s) are used when correcting
certain over distribution of Gasoline Tax to a county or municipality.


Statute:
§7-1-6.15 NMSA 1978 "Adjustments of distributions or transfers to
municipalities or counties", describes the procedures for correcting an over
distribution to a county or municipality.

Description Situation 1:

Subsection C (“Hold Harmless”) essentially provides that no decrease is
made of current/future distributions to a county or municipality for an excess
distribution that was made more than the current date plus one year.


For example, in March 2004, County A received $1000 and County B
received $500. An amended return is filed in March 2006 that changes the
distributions. The corrected distributions are $700 to County A and $800 to




REVISION: 2.0                      DOIT-PMO-TEM-020                 62 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


County B. The statute prohibits recovery of the excess $300 from County A.
However, County B receives the additional $300 in the current period.


The statute does not describe the source of the monies for the distribution to
County B.

Description Situation 2:

Subsection D essentially allows counties/municipalities to repay excess
distributions in installments if the original distribution was within one year
and the excess distribution is greater than 10% of the rolling 12-month
average distribution made to that entity.


For example, in May 2005, County A received $1000 and County B received
$500. An amended return is filed in March 2006 that changes the
distributions. The corrected distributions are $700 to County A and $800 to
County B. The statute allows County A to repay the excess $300 in
installments. However, County B receives the additional $300 distribution in
the current period.


The statute does not describe the source of the monies for the distribution to
County B.


Possible Actions:
   (1) The General Fund. This would mimic CRS. However, per §7-1-6.44 NMSA 1978, the General
       Fund only receives $33,333 per month from Gasoline Tax. This amount would not be
       sufficient to cover any significant distribution corrections.
   (2) The State Road Fund. §7-1-6.10 NMSA 1978 essentially provides that the remainder of
       Gasoline Taxes and Special Fuels Taxes be distributed to this fund after all other distributions.
   (3) Some combination of funds, on a prorated basis.



Resolution:

Log
                                                                                     Target     Actual
  Date                                                                   Resp         Date       Date
         Action




REVISION: 2.0                           DOIT-PMO-TEM-020                            63 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE


             NEW MEXICO TAX AND REVENUE DEPARTMENT – GENTAX® PROJECT
                       GENTAX V9 UPGRADE -- DECISION REQUEST FORM


 Decision Request #:
 Title:
 Date Raised:
 Required
 Resolution Date


 Raised By:
 Assigned To:
 Priority:                 (High, Medium, Low)




Summary:
Description and Possible Action:


Resolution:
Log
                                                         Responsibility    Target    Actual
  Date                                                                      Date      Date
          Action




REVISION: 2.0                         DOIT-PMO-TEM-020                    64 OF vi
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




           APPENDIX E ACCEPTANCE MANAGEMENT




PAGE | 1
PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE




                 New Mexico Taxation & Revenue Department – GenTax Project
                                            GenTax V9 Upgrade Acceptance Form
Deliverable Description:


 Requirement           Requirement Description                           Tested By               Date
   Number                                                Printed Name                Signature




                   Project Manager (PM) Acceptance   Jim Wastvedt/Elizabeth
                                                           Sanchez

                    ESC Representative Acceptance        Greg Saunders




PAGE | 1

								
To top