Web viewGenTax Upgrade to Version 9 Project. PROJECT MANAGEMENT PLAN (PMP) Executive Sponsor – Demesia Padilla, Cabinet Secretary TRD

GGENENTTAXAX U UPGRADEPGRADE TOTO V VERSIONERSION 9 P 9 PROJECTROJECT

PROJECT MANAGEMENT PLAN PROJECT MANAGEMENT PLAN (PMP)(PMP)

EXECUTIVE SPONSOR – DEMESIA PADILLA, CABINET SECRETARY TRDBUSINESS 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, 2012REVISION DATE: APRIL 30TH, 2012

REVISION: 2.0

PROJECT MANAGEMENT PLAN FOR GENTAX V9 UPGRADE

RREVISIONEVISION H HISTORYISTORY.................................................................................................................................................................................................. IIIIII

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...................................................................................................51.2 funding and sources..........................................................................................................................................51.3 constraints.........................................................................................................................................................61.4 dependencies....................................................................................................................................................61.5 ASSUMPTIONS...................................................................................................................................................71.6 Initial Project Risks Identified..........................................................................................................................7

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................8

2.1 Stakeholders......................................................................................................................................................82.2 Project Governance Structure...........................................................................................................................9

2.2.1 Describe the organizational structure – Org Chart.....................................................................................92.2.2 Describe the role and members of the project steering committee...........................................................92.2.3 Organizational Boundaries, interfaces and responsibilities.......................................................................9

2.3 Executive Reporting...........................................................................................................................................9

3.0 SCOPE......................................................................................................................................................... 10

3.1 Project Objectives...........................................................................................................................................103.1.1 Business Objectives..................................................................................................................................103.1.2 Technical Objectives................................................................................................................................14

3.2 Project exclusions............................................................................................................................................143.3 Critical Success Factors....................................................................................................................................14

4.0 PROJECT DELIVERABLES AND METHODOLOGY.............................................................................................15

4.1 Project Management Life Cycle.......................................................................................................................154.1.1 Project Management Deliverables...........................................................................................................164.1.2 Deliverable Approval Authority Designations..........................................................................................164.1.3 Deliverable Acceptance Procedure...........................................................................................................17

4.2 PRODUCT LIFE CYCLE.......................................................................................................................................174.2.1 Technical Strategy...................................................................................................................................184.2.2 Product and Product Development Deliverables......................................................................................184.2.3 Deliverable Approval Authority Designations..........................................................................................194.2.4 Deliverable Acceptance Procedure...........................................................................................................20

5.0 PROJECT WORK........................................................................................................................................... 21

5.1 Work Breakdown Structure (WBS)..................................................................................................................215.2 Schedule allocation -Project Timeline.............................................................................................................215.3 Project Budget.................................................................................................................................................215.4 Project Team...................................................................................................................................................22

5.4.1 Project Team Organizational Structure....................................................................................................235.4.2 Project Team Roles and Responsibilities..................................................................................................23

5.5 STAFF PLANNING AND Resource ACQUISITION...............................................................................................255.5.1 Project Staff.............................................................................................................................................255.5.2 Non-Personnel resources.........................................................................................................................25

5.6 PROJECT LOGISTICS.........................................................................................................................................26

REVISION: 2.0 DOIT-PMO-TEM-020 I OF VI


5.6.1 Project Team Training..............................................................................................................................26

6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................26

6.1 Risk and issue Management............................................................................................................................266.1.1 Risk Management Strategy......................................................................................................................266.1.2 Project Risk Identification........................................................................................................................266.1.3 Project Risk Mitigation Approach............................................................................................................276.1.4 Risk Reporting and Escalation Strategy...................................................................................................276.1.5 Project Risk Tracking Approach................................................................................................................276.1.6 ISSUE MANAGEMENT..............................................................................................................................31

6.2 INDEPENDENT Verification And Validation - Iv&V...........................................................................................336.3 Scope Management Plan.................................................................................................................................35

6.3.1 Change Control........................................................................................................................................356.4 Project Budget Management..........................................................................................................................36

6.4.1 Budget Tracking.......................................................................................................................................366.5 Communication Plan.......................................................................................................................................36

6.5.1 Communication Matrix............................................................................................................................376.5.2 Status Meetings.......................................................................................................................................376.5.3 Project Status Reports..............................................................................................................................37

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS).....................................................................................376.6.1 Baselines......................................................................................................Error! Bookmark not defined.6.6.2 Metrics Library.............................................................................................Error! Bookmark not defined.

6.7 QUALITY OBJECTIVES AND CONTROL..............................................................................................................376.7.1 quality Standards.........................................................................................Error! Bookmark not defined.6.7.2 Project and Product Review AND ASSESSMENTS..........................................Error! Bookmark not defined.6.7.3 Agency/Customer Satisfaction.....................................................................Error! Bookmark not defined.6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS......................................................................................38

6.8 CONFIGURATION MANAGEMENT...................................................................................................................386.8.1 Version Control........................................................................................................................................396.8.2 Project Repository (Project Library).........................................................................................................39

6.9 PROCUREMENT MANAGEMENT PLAN............................................................................................................39

7. 0 PROJECT CLOSE........................................................................................................................................... 39

7.1 Administrative Close...................................................................................................................................397.2 Contract Close.............................................................................................................................................40

AttachmentS...................................................................................................................Error! Bookmark not defined.

REVISION: 2.0 DOIT-PMO-TEM-020 II OF VI


REVISION HISTORYREVISION HISTORY

RREVISIONEVISION N NUMBERUMBER DDATEATE CCOMMENTOMMENT

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


PREPARING THE PROJECT MANAGEMENT PLANPREPARING 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 DOCUMENTABOUT THIS DOCUMENT

Project Oversight Process Memorandum – DoIT, July 2007Project 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


1.0 PROJECT OVERVIEW1.0 PROJECT OVERVIEW

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT1.1 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 SOURCES1.2 FUNDING AND SOURCES

SOURCESOURCE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

APPROVERSAPPROVERS

Laws of 2012, Chapter 19, Section 7, Item 4

$6,230,000 MUST BE USED FOR GENTAX UPGRADE

REVISION: 2.0 DOIT-PMO-TEM-020 5 OF VI


SOURCESOURCE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

APPROVERSAPPROVERS

TO CURRENT VERSION. MUST BE EXPENDED BEFORE 06/30/14

1.3 CONSTRAINTS1.3 CONSTRAINTS

NNUMBERUMBER DDESCRIPTIONESCRIPTION

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 DEPENDENCIES1.4 DEPENDENCIESTypes 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

NUMBERNUMBER DESCRIPTIONDESCRIPTION TYPE M,D,ETYPE M,D,E

1.1. IV&V contract must be approved M

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

E

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

E



1.5 1.5 ASSUMPTIONSASSUMPTIONS


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 IDENTIFIED1.6 INITIAL PROJECT RISKS IDENTIFIED

TRD Resource Availability

Description – TRD Resources and personnel are needed for development, testing, training and acceptance

Probability - Possible Impact – Medium

Mitigation Strategy – Senior management stakeholders are involved and support the project. Project implementation is a priority and scheduled around TRD’s busiest times. Contingency Plan - Have backups who can step in to cover tasks and responsibilities.

Key project member departs

Description – One or more key personnel may leave the project

Probability - Possible Impact - Medium

Mitigation Strategy - Key Personnel are identified and allocated for 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.



Business Functionality may not behave as expected

Description – The business functionality behaves differently than the existing system

Probability – Possible Impact - Low

Mitigation Strategy – Decision Requests are the primary vehicle to change the behavior of the system. The stakeholders decide which path 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

Description – Critical system bugs may be identified

Probability - Low Impact - Medium

Mitigation Strategy – Complete and broad testing will be used to 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 ORGANIZATIONAL2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURESTRUCTURE

2.1 STAKEHOLDERS2.1 STAKEHOLDERS

NAMENAME SSTAKETAKE ININ P PROJECTROJECT OORGANIZATIONRGANIZATION TTITLEITLE

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 BUSINESSUNIT

TRD BUREAU CHIEF/PROJECT MANAGER

ELIZABETH SANCHEZ

GENTAX BUSINESS UNIT TRD PROJECT MANAGER



2.2 PROJECT GOVERNANCE STRUCTURE2.2 PROJECT GOVERNANCE STRUCTURE2.2.1 D2.2.1 DESCRIBEESCRIBE THETHE ORGANIZATIONALORGANIZATIONAL STRUCTURESTRUCTURE – O – ORGRG C CHARTHART

2.2.2 D2.2.2 DESCRIBEESCRIBE THETHE ROLEROLE ANDAND MEMBERSMEMBERS OFOF THETHE PROJECTPROJECT STEERINGSTEERING COMMITTEECOMMITTEE

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 O2.2.3 ORGANIZATIONALRGANIZATIONAL B BOUNDARIESOUNDARIES, , INTERFACESINTERFACES ANDAND RESPONSIBILITIESRESPONSIBILITIES

N/A

2.3 EXECUTIVE REPORTING2.3 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.



3.0 SCOPE3.0 SCOPE

3.1 PROJECT OBJECTIVES3.1 PROJECT OBJECTIVES3.1.1 B3.1.1 BUSINESSUSINESS O OBJECTIVESBJECTIVES


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 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.

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 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 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 T3.1.2 TECHNICALECHNICAL O OBJECTIVESBJECTIVES


1. TO UPGRADE THE GENTAX APPLICATION AND SYSTEM PLATFORM TO CURRENTLY SUPPORTED .NET AND MS SQL SERVER APPLICATIONS AND SYSTEMS ARCHITECTURES

3.2 PROJECT EXCLUSIONS3.2 PROJECT EXCLUSIONSIf 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 FACTORS3.3 CRITICAL SUCCESS FACTORS

NUMBERNUMBER DESCRIPTIONDESCRIPTION

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 THE DURATION OF THE PROJECT TO FACILITATE:



NUMBERNUMBER DESCRIPTIONDESCRIPTION

REQUIREMENTS MANAGEMENT

FINANCIAL OVERSIGHT

CHANGE MANAGEMENT

DELIVERABLES ACCEPTANCE

6. PROJECT MUST BE STARTED IN JUNE 2012

4.0 PROJECT DELIVERABLES AND METHODOLOGY4.0 PROJECT DELIVERABLES AND METHODOLOGY

4.1 PROJECT MANAGEMENT LIFE CYCLE4.1 PROJECT MANAGEMENT LIFE CYCLE

Phase Summary of Phase Key Deliverables

Pre-Planning

Planning and Certification Project Charter

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 Refunds / Top and v9 Taxpayers Access Point and Discovery Pilot

Design Specification Sign-Off

Testing Sign-Off

Validation Sign-Off

Acceptance Sign-Off

2 Implementation -This phase will include GenTax system upgrade to V9 and additional Data Warehouse programs


Testing Sign-Off

Validation Sign-Off

Acceptance Sign-Off

3 Implementation -This phase will include Business Credit Manager and additional Data Warehouse Programs


Testing Sign-Off



Validation Sign-Off

Acceptance Sign-Off

Project Closeout

Closeout Project Closeout Report

Lessons Learned

4.1.1 P4.1.1 PROJECTROJECT M MANAGEMENTANAGEMENT D DELIVERABLESELIVERABLES

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-

Project Charter Document

Deliverable Acceptance Criteria – Meets Executive goals and objectives.Standards for Content and Format - Word 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.

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 –

Procurement Contract Document for IV & V Services

Deliverable Acceptance Criteria - Meets relevant agencies approval requirements

Standards for Content and Format - Contract Template Word Document

Quality Review – TRD, DoIT, DFA



4.1.1.4 [Procurement Contract for Contractor Services]

Description –

Procurement Contract Document for Contractor Services

Deliverable Acceptance Criteria - Meets relevant agencies approval requirements

Standards for Content and Format - Contract Template Word Document

Quality Review – TRD, DoIT, State Purchasing

4.1.1.5 [Project Schedule]

Description –

Procurement Contract Document for Contractor Services

Deliverable Acceptance Criteria - Meets TRD executive management timeline approval.

Standards for Content and Format - Microsoft Project Document

Quality Review – TRD Executive management, Fast Enterprises Executive Management

4.1.2 D4.1.2 DELIVERABLEELIVERABLE A APPROVALPPROVAL A AUTHORITYUTHORITY D DESIGNATIONSESIGNATIONS

DDELIVERABLEELIVERABLE NNUMBERUMBER

DDELIVERABLEELIVERABLE AAPPROVERSPPROVERS (W (WHOHO CANCAN APPROVEAPPROVE))

DDATEATE AAPPROVEDPPROVED

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 Purchasing

05/10/2012

V9Upgrade05 Project Schedule TRD GenTax Executive Steering Committee

05/10/2012

Risk Assessment and Management Plan

TRD GenTax Executive Steering Committee






Phase 1 Design Specification Sign-Off


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 Acceptance Sign-Off TRD GenTax Executive Steering Committee





Phase 3 Acceptance Sign-Off TRD GenTax






Executive Steering Committee

Project Closeout Report TRD GenTax Executive Steering Committee

4.1.3 D4.1.3 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE

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 Definition

See Above

Phase 1 SDLC See Above



4.2.1 T4.2.1 TECHNICALECHNICAL S STRATEGYTRATEGY

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



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 P4.2.2 PRODUCTRODUCT ANDAND P PRODUCTRODUCT D DEVELOPMENTEVELOPMENT D DELIVERABLESELIVERABLES

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 SpecificationsDesign requirements for the modules and functionality that is to be implemented in that phase

Deliverable Acceptance Criteria – SMEs review and assess the quality of the deliverables before forwarding to executive committee for formal acceptanceStandards for Content and Format - Microsoft Word DocumentQuality Review - IV&V reviews all documents for completeness

4.2.2.2 Unit Testing ApprovalAcceptance that the functional testing meets the design requirements and no critical issues are outstanding

Deliverable Acceptance Criteria – SMEs review and assess the quality of the deliverables before forwarding to executive committee for formal acceptance

Standards for Content and Format - Microsoft Word Document

Quality Review - IV&V reviews all documents for completeness



4.2.2.3 System Validation ApprovalAcceptance that system meets design requirements and no critical issues are outstanding




4.2.2.4 Production Acceptance ApprovalAcceptance that system functions as designed in production and no critical issues are outstanding




4.2.3 D4.2.3 DELIVERABLEELIVERABLE A APPROVALPPROVAL A AUTHORITYUTHORITY D DESIGNATIONSESIGNATIONS

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.




1. System Design & Development V6 Refunds/Top

GenTax Executive Steering Committee

2. System Design & Development V9 TAP & Data Warehouse Pilot


3. System Validation Production Implementation V6 Refunds/TOP


4. System Validation/Production Implementation V9 TAP & Data Warehouse Pilot


5. System Design & Development V9 GenTax Executive






GenTax Steering Committee

6. System Validation V9 GenTax GenTax Executive Steering Committee

7. Production Implementation V9 GenTax


8. System Design & Development Business Credit Manager


9. System Validation Business Credit Manager


10. Production Implementation Business Credit Manager


11. Project Close-Out GenTax Executive Steering Committee

4.2.4 D4.2.4 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE

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 WORK5.0 PROJECT WORK

5.1 WORK BREAKDOWN STRUCTURE (WBS)5.1 WORK BREAKDOWN STRUCTURE (WBS)See Section 5.2

5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE Task Name Duration Start Finish PredecessorsPre Planning 23 days Tue 5/1/12 Thu 5/31/12Phase 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



5/21/12 System Validation Production Implementation V6 Refunds/TOP 88 days Mon 7/2/12 Wed 10/31/12 3

System Design & Development V9 TAP & Data Warehouse Pilot 43 days Fri 6/1/12 Tue 7/31/12

System Validation/Production Implementation V9 TAP & Data Warehouse Pilot 66 days Wed 8/1/12 Wed 10/31/12 5

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 9Phase 3 261 days Mon 7/1/13 Mon 6/30/14 7 System Design & Development Business Credit Manager 155 days Mon 7/1/13 Fri 1/31/14

System Validation Business Credit Manager 85 days Mon 2/3/14 Fri 5/30/14 12 Production Implementation Business Credit Manager 21 days Mon 6/2/14 Mon 6/30/14 13

Project Close-Out 23 days Tue 7/1/14 Thu 7/31/14 11

5.3 PROJECT BUDGET5.3 PROJECT BUDGETCosts 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

Planning and Certification

Project Charter

Certification Form


IV&V Contract & Reports

IT Service Contracts

Risk Assessment and management



Phase / Activity Associated Deliverables Estimated Budget

Project Schedule

Phase 1

This phase will include GenTax v6 Refunds / Top and v9 Taxpayers Access Point and Discovery Pilot

Design Specifications Sign-Off

Testing Sign-Off

Validation Sign-Off

Acceptance Sign-Off

IV&V

$1,160,200

Phase 2

This phase will include GenTax system upgrade to V9 and additional Data Warehouse programs


Testing Sign-Off

Validation Sign-Off

Acceptance Sign-Off

IV&V

$3,605,800

Phase 3

This phase will include Business Credit Manager and additional Data Warehouse Programs


Testing Sign-Off

Validation Sign-Off

Acceptance Sign-Off

Project Closeout Report

IV&V

Contract Project Manager

$1,464,000

TOTALS $6,230,000

5.4 PROJECT TEAM5.4 PROJECT TEAM



5.4.1 P5.4.1 PROJECTROJECT T TEAMEAM O ORGANIZATIONALRGANIZATIONAL S STRUCTURETRUCTURE

5.4.2 P5.4.2 PROJECTROJECT T TEAMEAM R ROLESOLES ANDAND R RESPONSIBILITIESESPONSIBILITIES

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.



RROLEOLE RRESPONSIBILITYESPONSIBILITY NNAMEAME FFUNCTIONALUNCTIONAL A AREAREA

TRD Project Managers

Perform the standard Project Management Processes or monitor and control the Contractor performance of the Processes:

Planning Executing Monitoring and

Controlling Closing

See Chart under 5.4.1

TRD Team Members

Participate as needed in the 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 Contractor Project Manager

Manage the development, unit testing, installation, implementation, and deployment activities of Contract personnel.


Fast Enterprises Contractor Team Members

Perform initial testing, installation, implementation, and deployment activities of GenTax module upgrades.




5.5 STAFF PLANNING AND RESOURCE ACQUISITION5.5 STAFF PLANNING AND RESOURCE ACQUISITIONComplete 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 P5.5.1 PROJECTROJECT S STAFFTAFF

Resource Cost Estimate

Estimated 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 N5.5.2 NONON-P-PERSONNELERSONNEL RESOURCESRESOURCES

Use this section to list services or product (HW/SW and such) needed for project



Resource Cost Estimate

Estimated units/hours Availability Source Work Product/Deliverable

Additional SAN Space TBD

Additional Servers TBD

Set up costs for Contractors

TBD

VPN Access TBD

5.6 PROJECT LOGISTICS5.6 PROJECT LOGISTICSContractors 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 P5.6.1 PROJECTROJECT T TEAMEAM T TRAININGRAINING

ResourceCost Estimate

Estimated Hours Availability Skill Set Work Product/Deliverable

Fast Trainer State Developer training

Fast Trainer State Trainer training

6.0 PROJECT MANAGEMENT AND CONTROLS6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENT6.1 RISK AND ISSUE MANAGEMENTEach 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.



6.1.1 R6.1.1 RISKISK M MANAGEMENTANAGEMENT S STRATEGYTRATEGY

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 P6.1.2 PROJECTROJECT R RISKISK I IDENTIFICATIONDENTIFICATION

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 P6.1.3 PROJECTROJECT R RISKISK M MITIGATIONITIGATION A APPROACHPPROACH

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 R6.1.4 RISKISK R REPORTINGEPORTING ANDAND E ESCALATIONSCALATION S STRATEGYTRATEGY

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.



6.1.5 P6.1.5 PROJECTROJECT R RISKISK T TRACKINGRACKING A APPROACHPPROACH

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



Exhibit 1: Risk Template (also available in Appendix B)

GenTax v9 Upgrade

Risk Matrix

Area of System Risk

Direct/Indirect

Probability of Risk Impact of RiskSeverity Ranking Mitigation Actions/ Recovery

Actions1=Low; 5=High

Risk 3:

ITD Resource availability

2 4 3 6

Mitigation Strategy: Ensure Senior Management Stakeholders are involved and support the project. Ensure project implementation is a priority among TRD team membersContingency Plan:

Have 2nd layer of individuals defined who may able to cover task/ responsibilities

Risk 4:

Key project member departs

2 4 3 6

Mitigation Strategy :

Have two levels of coverage for each project staff memberContingency Plan:

Communication and awareness of each team member tasks and responsibilities



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 risk4. 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.



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 MANAGEMENT6.1.6 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



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 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&V6.2 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.



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



–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 PLAN6.3 SCOPE MANAGEMENT PLANScope 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 C6.3.1 CHANGEHANGE C CONTROLONTROL

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 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 MANAGEMENT6.4 PROJECT BUDGET MANAGEMENTThe 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 B6.4.1 BUDGETUDGET T TRACKINGRACKING

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

6.5 COMMUNICATION PLAN6.5 COMMUNICATION PLANThe 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.



6.5.16.5.1 CCOMMUNICATIONOMMUNICATION M MATRIXATRIX

6.5.2 6.5.2 SSTATUSTATUS M MEETINGSEETINGS

Monthly – Executive Steering Committee

Weekly – Project Status, Team Status

Adhoc – Functional team meetings

6.5.3 6.5.3 PPROJECTROJECT S STATUSTATUS R REPORTSEPORTS

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)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 CONTROL6.7 QUALITY OBJECTIVES AND CONTROLTRD’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



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 PROCESS6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESSHow 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.

Deliverable Final Approval Process

Customer Acceptance Criteria

System Design & Development V6 Refunds/TopSignatures on Deliverables Acceptance Form

Completeness of coverage of business requirements

System Design & Development V9 TAP & Data Warehouse Pilot

Signatures on Deliverables Acceptance Form


System Validation Production Implementation V6 Refunds/TOP


Successful functional execution of business requirements in the Production system

System Validation/Production Implementation V9 TAP & Data Warehouse Pilot


Successful functional execution of business requirements in the Production system

System Design & Development V9 GenTaxSignatures on Deliverables Acceptance Form


System Validation V9 GenTaxSignatures on Deliverables Acceptance Form

Validation of completeness business requirements and accuracy of execution in testing environments.

Production Implementation V9 GenTaxSignatures on Deliverables Acceptance Form

Validation of completeness business requirements and accuracy of execution in production environment.

System Design & Development Business Credit Manager


Acceptance of completeness of co-determined Business Credit manager requirements.



Deliverable Final Approval Process

Customer Acceptance Criteria

System Validation Business Credit ManagerSignatures on Deliverables Acceptance Form

Validation of completeness business requirements and accuracy of execution in testing environments.

Production Implementation Business Credit ManagerSignatures on Deliverables Acceptance Form

Validation of completeness business requirements and accuracy of execution in production environment.

Project Close-OutSignatures on Deliverables Acceptance Form

Production validation of all project deliverables.

6.8 CONFIGURATION MANAGEMENT6.8 CONFIGURATION MANAGEMENT

6.8.1 V6.8.1 VERSIONERSION C CONTROLONTROL

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 P6.8.2 PROJECTROJECT R REPOSITORYEPOSITORY (P (PROJECTROJECT L LIBRARYIBRARY))

Description – A notebook or binder containing copies of project management documentation throughout the project life cycle.

Deliverable Acceptance Criteria – A binder with official copies of documents collected to manage and control the project.

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.



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

6.9 PROCUREMENT MANAGEMENT PLAN6.9 PROCUREMENT MANAGEMENT PLANThis 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 CLOSE7. 0 PROJECT CLOSE7.1 A7.1 ADMINISTRATIVEDMINISTRATIVE C CLOSELOSE

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 C7.2 CONTRACTONTRACT C CLOSELOSE

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 F6.3 IV&V FINALINAL R REPORTEPORT



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



7.0 GLOSSARY7.0 GLOSSARY7.1 ACRONYMS AND ABBREVIATIONS7.1 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 DEFINITIONS7.2 DEFINITIONSAcceptance 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



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



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.



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.


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



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.



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.



APPENDIX A PROJECT SCHEDULEAPPENDIX A PROJECT SCHEDULE



ID Task Mode

Task Name Duration Start Finish

1 PrePlanning 23 days Tue 5/1/12 Thu 5/31/122 Phase 1 109 days Fri 6/1/12 Wed 10/31/123 System Design & Development V6 Refunds/Top 30 days Mon 5/21/12Fri 6/29/124 System Validation Production Implementation V6

Refunds/TOP88 days Mon 7/2/12 Wed

10/31/125 System Design & Development V9 TAP & Data Warehouse Pilot43 days Fri 6/1/12 Tue 7/31/126 System Validation/Production Implementation V9 TAP

& Data Warehouse Pilot66 days Wed 8/1/12 Wed

10/31/127 Phase 2 281 days Fri 6/1/12 Fri 6/28/138 System Design & Development V9 GenTax 175 days Fri 6/1/12 Thu 1/31/139 Production Implementation V9 GenTax 86 days Fri 2/1/13 Fri 5/31/13

10 System Validation V9 GenTax 20 days Mon 6/3/13 Fri 6/28/1311 Phase 3 261 days Mon 7/1/13 Mon 6/30/1412 System Design & Development Business Credit Manager 155 days Mon 7/1/13 Fri 1/31/1413 System Validation Business Credit Manager 85 days Mon 2/3/14 Fri 5/30/1414 Production Implementation Business Credit Manager 21 days Mon 6/2/14 Mon 6/30/1415 Project Close-Out 23 days Tue 7/1/14 Thu 7/31/14

T W T F S S M T W T F S S M T W T F S S MFeb 26, '12 May 27, '12 Aug 26, '12 Nov 25, '12 Feb 24, '13 May 26, '13 Aug 25, '13 Nov 24, '13 Feb 23, '14 May 25, '14 Aug 24, '14



APPENDIX B RISK MANAGEMENTAPPENDIX B RISK MANAGEMENT



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



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:



GenTax V9 UpgradeRisk Matrix

Area of System Risk

Direct/Indirect

Probability of Risk

Impact of Risk Severity Ranking Mitigation Actions/ Recovery

Actions1=Low; 5=High



APPENDIX C ISSUE MANAGEMENTAPPENDIX C ISSUE MANAGEMENT



GenTax INCIDENT REPORTNew Mexico GenTax V9 Upgrade - System Test

FOR ADMINISTRATIVE USE ONLY

* PRIORITY LEVEL: (circle one)

TRACKING NUMBER A = High Severity

B = Moderate Severity T

GenTax Area C = Low Severity R

Developer

A

C

*DATE REPORTED TESTER SIGN OFF Tester NameDat

e

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



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



New Mexico GenTax V9 Upgrade Open Issue Log 5-May-23 2:00 pm

0 A's IN PROGRESS

0 B's IN PROGRESS

0 C's IN PROGRESS

0 TOTAL INCIDENT REPORTS IN PROGRESS

#Sub System PROBLEM DESCRIPTION Pr

iori

ty

TesterDate

InAssig

n Status Comments



GenTax V9 Upgrade.xls Page 1 of 1



APPENDIX D CHANGE CONTROLAPPENDIX D CHANGE CONTROL



SAMPLE GENTAX V9 UPGRADE - DECISION REQUEST TEMPLATE

Decision Request #:

R5-1

Title: Source fund for correcting over distributionsDate Raised: March 16, 2006Required Resolution Date April 10, 2006

Raised By: LYNN MANNING

Assigned To: Ron GallegosPriority: (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 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

Date Action RespTarget Date

Actual Date



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

DateAction

Responsibility Target Date

Actual Date



APPENDIX E ACCEPTANCE MANAGEMENTAPPENDIX E ACCEPTANCE MANAGEMENT

PAGE | 1


New Mexico Taxation & Revenue Department – GenTax ProjectGenTax V9 Upgrade Acceptance Form

Deliverable Description:

Requirement

Number

Requirement Description Tested By Date

Printed Name Signature

Project Manager (PM) Acceptance Jim Wastvedt/Elizabeth

Sanchez

ESC Representative Acceptance Greg Saunders

PAGE | 1

Documents

Web viewGenTax Upgrade to Version 9 Project. PROJECT MANAGEMENT PLAN (PMP) Executive Sponsor – Demesia Padilla, Cabinet Secretary TRD