New Mexico
Taxation and Revenue Department
REVENUE ACCOUNTING &
COLLECTION STANDALONE
PROJECT MANAGEMENT PLAN
(PMP)
EXECUTIVE SPONSOR – DONA COOK
BUSINESS OWNER – WANDA HELMS, PHIL SALAZAR
PROJECT MANAGER –LORETTA SILVA
ORIGINAL PLAN DATE
REVISION DATE: REVISION: 2.0
March 7, 2016
4:00:09 AM
Project Management Plan
TABLE OF CONTENTS
About This Document .......................................................................... vii
Revision History ................................................................................... vii
1.0 Project Overview ............................................................................ 8
1.1
1.2
1.3
1.4
INTRODUCTION ............................................................................................8
CURRENT STATE ..........................................................................................9
FUTURE STATE ...........................................................................................10
NEED ...........................................................................................................11
2.0 Scope ................................................................................................. 11
2.1 PROJECT JUSTIFICATION ...............................................................................11
2.2 PROJECT OBJECTIVES ....................................................................................12
2.2.1 BUSINESS OBJECTIVES ................................................................................................ 12
2.2.2 TECHNICAL OBJECTIVES ............................................................................................ 13
2.3 DELIVERABLES ...............................................................................................13
2.3.1 PROJECT MANAGEMENT DELIVERABLES ................................................................... 13
2.3.1.1 PROJECT MANAGEMENT PLAN .............................................................................. 13
2.3.1.2 IMPLEMENTATION SPECIFICATIONS ...................................................................... 13
2.3.2 PRODUCT DELIVERABLES ........................................................................................... 13
2.3.2.1 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN
DEVELOPMENT ENVIRONMENT (NMD) ............................................................................ 13
2.3.2.2 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN TEST
ENVIRONMENT (NMT) ...................................................................................................... 14
2.3.2.3 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN PREPRODUCTION ENVIRONMENT (NMS) ................................................................................. 14
2.3.2.4 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN
PRODUCTION ENVIRONMENT (NMP) ................................................................................. 14
2.3.2.5 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN
DEVELOPMENT ENVIRONMENT (NMD) ............................................................................ 14
2.3.2.6 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN TEST
ENVIRONMENT (NMT) ...................................................................................................... 14
2.3.2.7 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN PREPRODUCTION ENVIRONMENT (NMS) ................................................................................. 15
2.3.2.8 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN
PRODUCTION ENVIRONMENT (NMP) ................................................................................. 15
2.3.2.9 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR GROUP C TAXES IN
DEVELOPMENT ENVIRONMENT (NMD) ............................................................................ 15
2.3.2.10 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP C TAXES IN
TEST ENVIRONMENT (NMT) ............................................................................................. 15
2.3.2.11 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP C TAXES IN
PRE-PRODUCTION ENVIRONMENT (NMS) .......................................................................... 16
2.3.2.12 ACCEPTANCE OF REVENUE ACCOUNTING SOFTAWARE FOR GROUP C TAXES IN
PRODUCTION ENVIRONMENT (NMP) ................................................................................. 16
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2.3.2.13 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR CRS UPGRADE
(VERSION 6) IN DEVELOPMENT ENVIRONMENT (NMD) .................................................... 16
2.3.2.14 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR CRS UPGRADE
(VERSION 6) IN TEST ENVIRONMENT (NMT)..................................................................... 16
2.3.2.15 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR CRS UPGRADE
(VERSION 6) IN PRE-PRODUCTION ENVIRONMENT (NMS) ................................................. 17
2.3.2.16 ACCEPTANCE OF REVENUE ACCOUNTING SOFTAWARE FOR CRS UPGRADE
(VERSION 6) IN PRODUCTION ENVIRONMENT (NMP)......................................................... 17
2.3.2.17 INSTALLATION OF COLLECTION STANDALONE SOFTWARE IN DEVELOPMENT
ENVIRONMENT (NMD) ...................................................................................................... 17
2.3.2.18 ACCEPTANCE OF COLLECTION STANDALONE SOFTWARE IN TEST ENVIRONMENT
(NMT) ............................................................................................................................... 17
2.3.2.19 ACCEPTANCE OF COLLECTION STANDALONE SOFTWARE IN PRE-PRODUCTION
ENVIRONMENT (NMS) ....................................................................................................... 17
2.3.2.20 ACCEPTANCE OF COLLECTION STANDALONE SOFTWARE IN PRODUCTION
ENVIRONMENT (NMP) ....................................................................................................... 18
2.3.2.21 COLLECTION AGENCY INTERFACE DESIGN SPECIFICATION ............................... 18
2.3.2.22 INSTALLATION OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN
DEVELOPMENT ENVIRONMENT (NMD) ............................................................................ 18
2.3.2.23 ACCEPTANCE OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN TEST
ENVIRONMENT (NMT) ...................................................................................................... 18
2.3.2.24 ACCEPTANCE OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN PREPRODUCTION ENVIRONMENT (NMS) ................................................................................ 19
2.3.2.24 ACCEPTANCE OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN
PRODUCTION ENVIRONMENT (NMP) ................................................................................ 19
2.3.3
DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS ..................................... 19
2.3.4
DELIVERABLE ACCEPTANCE PROCEDURE ........................................................... 21
3.0 Overall Strategy ............................................................................... 21
3.1 PROJECT MANAGEMENT LIFE CYCLE...........................................................21
3.2 DETAILED PROJECT PLANNING AND TRACKING ......................................22
3.3 CRITICAL SUCCESS FACTORS ....................................................................22
3.4 PROJECT LOGISTICS ..................................................................................22
3.5 PRODUCT LIFE CYCLE MODEL .................................................................23
3.6 TECHNICAL STRATEGY ..............................................................................24
4.0 Project Organization ....................................................................... 24
4.1 STAKEHOLDERS ..............................................................................................24
4.2 CUSTOMERS ....................................................................................................24
4.3 PROJECT TEAM ..............................................................................................25
4.3.1 PROJECT TEAM ORGANIZATIONAL BREAKDOWN STRUCTURE ................................. 25
4.3.2 PROJECT TEAM ROLES AND RESPONSIBILITIES ......................................................... 27
5.0 Project Management and Controls ............................................... 27
5.1 STAFFING PLANNING AND ACQUISITION .......................................................27
5.2 ASSUMPTIONS .................................................................................................27
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5.3 CONSTRAINTS .................................................................................................28
5.4 DEPENDENCIES ...............................................................................................28
5.4.1 MANDATORY DEPENDENCIES ..................................................................................... 28
5.4.2 DISCRETIONARY DEPENDENCIES ................................................................................ 28
5.4.3 EXTERNAL DEPENDENCIES ......................................................................................... 29
5.5 RISK MANAGEMENT .......................................................................................29
5.5.1 RISK MANAGEMENT STRATEGY ................................................................................. 29
5.5.2 PROJECT RISK IDENTIFICATION ................................................................................. 30
5.5.3 PROJECT RISK ANALYSIS ............................................................................................ 30
5.5.4 PROJECT RISK MITIGATION APPROACH .................................................................... 30
5.5.5 RISK REPORTING AND ESCALATION STRATEGY ........................................................ 30
5.5.6 PROJECT RISK TRACKING APPROACH ....................................................................... 30
5.6 INDEPENDENT VERIFICATION AND VALIDATION – IV&V ............................34
5.7 SCOPE MANAGEMENT PLAN ..........................................................................35
5.8 ISSUE MANAGEMENT......................................................................................36
5.8.1 INTERNAL ISSUE ESCALATION AND RESOLUTION PROCESS ...................................... 36
5.8.2 EXTERNAL ISSUE ESCALATION AND RESOLUTION PROCESS ..................................... 37
5.9 PROCUREMENT MANAGEMENT PLAN............................................................37
5.10 CHANGE CONTROL.......................................................................................39
5.10.1 CHANGE CONTROL PROCESS .................................................................................... 39
5.10.2 CHANGE CONTROL BOARD (CCB) ........................................................................... 40
5.11 PROJECT TIMELINE ......................................................................................40
5.12 PROJECT BUDGET.........................................................................................40
5.12.1 BUDGET TRACKING ................................................................................................... 44
5.13 COMMUNICATION PLAN ...............................................................................44
5.13.1 COMMUNICATION MATRIX ....................................................................................... 44
5.13.2 STATUS MEETINGS .................................................................................................... 45
5.13.3 PROJECT STATUS REPORTS....................................................................................... 45
5.14 PERFORMANCE MEASUREMENT (PROJECT METRICS) ...............................45
5.15 QUALITY OBJECTIVES AND CONTROL.........................................................45
5.16 CONFIGURATION MANAGEMENT .................................................................45
5.16.1 VERSION CONTROL ................................................................................................... 45
5.16.2 PROJECT REPOSITORY (PROJECT LIBRARY) ........................................................... 46
6.0 Project Close .................................................................................... 46
6.1 ADMINISTRATIVE CLOSE ...............................................................................46
6.2 CONTRACT CLOSE ..........................................................................................46
6.3 IV&V FINAL REPORT ....................................................................................47
7.0 Glossary ............................................................................................ 48
7.1 Acronyms and Abbreviations......................................................... 48
7.2 DEFINITIONS ...................................................................................................48
APPENDIX A--Project Schedules ....................................................... 54
APPENDIX B--Risk Management....................................................... 55
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APPENDIX C--Issue Management ..................................................... 59
APPENDIX D--Change Control .......................................................... 62
APPENDIX E--Acceptance Management ........................................... 66
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LIST OF FIGURES
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LIST OF APPENDICES
Appendix A: Project Schedule
Appendix B: Risk Management
Appendix C: Incident Report Form & Summary Spreadsheet
Appendix D: Change Control
Appendix E: Acceptance Management
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ABOUT THIS DOCUMENT
This document is a template that provides the industry accepted guidelines to plan,
execute, control, and close a project. This document will need to be tailored and
customized to the needs of the project; however special care should be considered
if major sections are “tailored out”.
1. “Tailoring” is the process that modifies the structural components of the
template to the needs of a specific project. As an example, the Project
Manager may have a standard appendix that does not apply to the project.
2. Customization is the mechanical task of inserting customer or project logos,
deliverable identifiers, names, and so on, into a copy of the template. The
copy then becomes the live version of the Project Management Plan for the
project and will need to be updated, as project conditions require.
3. Any level of tailoring can be applied to the template, as long as the PMO is
advised. This notification has several purposes:
a. It allows Quality Assurance to adjust checklists and questionnaires,
b. It allows the Program Management Office (PMO) to adjust its
oversight and QA activities to the project’s plan,
c. It allows the PMO to advise the project team of the potential effects
and risks that may occur if materials are omitted, and
d. It serves as a trigger for possible improvement of the template by the
PMO.
4. Any highlighted text indicates that there are some brief instructions for the
completion of that section.
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REVISION HISTORY
Revision Number
1.0
2.0
Date
Comment
2/20/08
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1.0 PROJECT OVERVIEW
1.1 INTRODUCTION
This project serves four purposes: 1) to convert from a Front-End Revenue Accounting model to a
Back-End Revenue Accounting model for all taxes processed by the Taxation & Revenue Department (TRD);
2) to upgrade Combined Reporting System (CRS) Back-End Revenue Accounting from GenTax® version four to
GenTax® version six; 3) to implement Collection Standalone functionality within GenTax®; and, 4) to implement
a Collection Outsourcing interface.
Two revenue accounting models exist in GenTax® – the Front-End revenue accounting model and the
Back-End revenue accounting model. The Front-End revenue accounting model can be used to track cash and
the resulting disposition as they are processed by the system. For example, the amounts applied to tax, penalty
and interest are recorded against each payment. The current system relies heavily on Front-End revenue
accounting to record amounts received by Program type and is effective for tracking total cash, but is lacking
in distribution reporting detail.
The Back-End revenue accounting model is used to track detailed information about monies in GenTax®
distributed into revenue accounts. The Back-End model provides greater revenue detail about the actual
disposition of revenue in the system. Converting to the Back-End revenue accounting model will improve
reporting and online access to distribution information and will provide a more robust, accurate, and trusted
revenue accounting scheme for all taxes.
CRS accounts are currently utilizing the Back-End revenue accounting model, but must be upgraded from
GenTax® version four to GenTax® version six in order to take advantage of all the latest reporting features
available in GenTax® version six. This upgrade will provide better reporting and distribution detail than the
current version allows.
FAST Enterprises has developed functionality within GenTax®, Collection Standalone, which
supports downloading collection information to remote devices. This functionality allows collectors remote
access to their cases while in the field. Collectors do not currently have the ability to download collection
information for use in out-of-office collection activity. When collectors now work with taxpayers, updates
regarding changes to taxpayer information, funds collected or future actions are noted in writing. This
prevents updating information in real time as collectors’ are unable to perform this activity until returning to
their office. During the time from meeting with a taxpayer to returning to the office, collectors can forget
information or lose paper trails.
The Collection Outsourcing feature will allow TRD to pursue taxes owed to the State of New Mexico
by giving an external agency accounts that the TRD collectors are not focusing on. Accounts will be
outsourced based on criteria defined by the Audit and Compliance Division. Prior to outsourcing, a warning
letter will be sent to the taxpayer explaining the outstanding balance will be sent to and external agency for
collection if it remains past due. This outsourcing will generate additional revenue for the department.
Benefits expected from these extensions to the GenTax® system would include:
 Assuring that FDB meets State and Federal Compliance regulations including Government
Accounting Standards Bureau Board Statement (GASBS) 33.
 Adding an addition level of accounting, the distribution entity, to revenue accounting for the
purpose of tracking all payments and collections to and from cities, counties and other
municipalities.
 Reducing month-end and year-end report production time.
 Increasing accuracy in reporting.
 Providing full audit and tracking functionality.
 Increasing information provided to distribution entities.
 Allowing collectors to obtain information remotely.
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
Providing collectors the ability to enter and update collection information on laptops or tablet PCs
while in the field. This eliminates written notes or missed information and improves consistency
and accuracy as collectors can enter information in real time.
 Increase the amount of debt collected for the State of New Mexico.
 Give the taxpayer the opportunity to pay their outstanding balance to the department prior to
sending the accounts to an outside collection agency.
Once this set of enhancements is complete, FDB management will have accurate information for reports
to the Legislature and to the distribution entities. Collectors will have more information available to them for
collecting funds from delinquent taxpayers while working remotely.
1.2 CURRENT STATE
In June 2005, a State of New Mexico audit found the Financial Distribution Bureau in need of
improvements for several areas regarding revenue and CRS accounting and reporting. Most comments
were related to State and Federal compliance, audit tracking, accuracy and timeliness of reporting.
Specifics included the following.
 GenTax® revenue accounting reports do not report the deposit date for taxes collected but instead are
based on an “evaluation date” (processing date). The FDB does not provide its agency fund
beneficiaries (except the State General Fund) with the data needed to recognize revenues in
accordance with GASBS 33.
 The FDB uses multiple sources for reporting; a combination of GenTax® reports, Excel worksheets,
actual operating transfers and payment vouchers to record accrued tax revenues, receivables and
payables using the modified accrual basis of accounting.
 The FDB spends a considerable amount of time and effort generating accrued tax revenues,
receivables and payables on the modified accrual basis of accounting. The reconciliation of tax
revenues received within 60 days after fiscal year end to actual operating transfers and payment
vouchers also takes a considerable amount of time to complete. Various state agencies and local
governments in New Mexico who receive tax revenues from FDB, including the State General Fund,
rely on the financial data of this department to properly recognize the derived revenues on their
financial statements. Therefore, the financial statements of these entities could be misstated if the
Department does not provide these entities with the data needed to adjust their financial statements for
year-end revenue accruals.
Because of the complexity of completing revenue accounting reports, the month-end and year-end close is
time intensive and relies on the bureau chief to produce. This has caused problems in the past with timely
delivery of reports to the various distribution entities and the Legislature. Issues have also been
discovered with the accuracy of data in the reports and the methodologies used to produce them. The
current system does not allow for full auditing and tracking. The lack of an additional level of accounting,
to the distribution level, results in the FDB having no history of payments to entities.
CRS revenue accounting currently allows tracking at the distribution entity level but does not provide full
audit and tracking in the GenTax system. The proposed enhancements also address this functionality.
As of February 2008, three of the four phases of the Backend Revenue Accounting project have been
implemented successfully into production. These phases, Group A, B, and C taxes, include all tax
programs in GenTax® except for the Combined Reporting System (CRS) which is part of Group D. Group
D is in the process of being implemented and is scheduled to be moved into production by end of April
2008.
Concerning the Collection Standalone portion of this project, collectors do not currently have the ability to
download collection information for use in out-of-office collection activity. They must rely on non-electronic
means of support; i.e., written notes, reminders, etc. When collectors now work with taxpayers, updates
regarding changes to taxpayer information, funds collected or future actions are noted in writing. This
prevents updating information in real time as collectors’ are unable to perform this activity until returning to
their office. During the time from meeting with a taxpayer to returning to the office, collectors can forget
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information or lose paper trails. Collection Standalone was moved into production on January 21, 2008.
Revenue agents have been successfully using the application out in the field and have been able to provide
more accurate information to the taxpayers.
Collection Outsourcing will help provide an additional resource for collecting outstanding debt by utilizing an
independent collection agency. The debt that is beyond a certain age and/or is of a low dollar amount is not
part of the priority collection for the Taxation and Revenue Department. By outsourcing this debt, the
collections will supplement the State of New Mexico with additional revenue. This functionality is required for
an RFP that was completed and awarded to four vendors for outsourcing of collections from TRD. This
activity is on hold pending the completion of this functionality within the GenTax® system.
1.3 FUTURE STATE
The Taxation and Revenue Department’s vision to be the most responsive, technologically advanced
agency can be achieved through our core values. One is to be accountable to the public we serve,
providing professional customer service in a consistent, positive and courteous manner. Another is to
value innovation, teamwork and the highest, most appropriate use of technology. The Revenue
Accounting and CRS Upgrade (version 6) piece of this project will provide the FDB additional tools
for supplying accurate and consistent customer service (internal and external) while increasing the use
of the GenTax® system.
This project will bring the FDB into full compliance with GASBS 33 by providing an additional level
of accounting based upon a deposit date rather than process date and thorough audit and tracking
capabilities. CRS revenue accounting will be fully compliant in audit and tracking capabilities.
The collection standalone software will allow the field collector to download selected collections and
then access information about those collections in standalone mode when meeting with a taxpayer.
They can then view the collections and financial springboard; the format of these springboards is very
similar to those corresponding in GenTax®. While in the field, the collector will also have the ability
to perform some update functionality in real time. This includes:



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


Adding or changing a name
Adding or changing an address
Adding or changing contact information
Adding notes to a collection
Closing an account
Generating letters from standalone mode
Capturing receipt information
Reassigning a collection.
When the collector returns to the office or a location where they can access GenTax®, they can then
upload all their changes from their standalone machine to GenTax®. This new functionality reduces
errors and improves consistency while providing additional support to field collectors.
Collection Outsourcing will allow the collection of additional old and/or low dollar debt thus
generating more revenue for the department.
Our strategic goals are to increase compliance, improve the timeliness and accuracy of reporting and
better service constituents can be obtained through this Revenue Accounting, Collection Standalone,
and Collection Outsourcing project. This will enable management to reduce the time taken to compile
reports, reduce the number of sources required for reporting and maintain a history of all payments
made.
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1.4 NEED
Implementation of the Revenue Accounting, Collection Standalone and Collection Outsourcing
projects will meet several of the needs and objectives for the State.
The methodologies used for revenue accounting do not currently meet Federal and State compliance
regulations. Reporting, critical to the Legislature and constituents, is inaccurate and time consuming.
Report processing creates limitless possibilities for human error due to the many manual processes
and various sources required to produce reports. This is a very inefficient process that has resulted in
inconsistency, rework and delayed reporting.
While revenue accounting at the distribution entity level exists for Gasoline Excise Tax (GTX),
Special Fuels Supplier Tax (SFS), and the Petroleum Products Loading Fee (PPL) tax programs and
CRS, these new enhancements will provide entity level accounting for all remaining tax programs.
Additionally, all back-end, front-end and CRS revenue accounting will have complete audit
capabilities. The Revenue Accounting and CRS Upgrade (version 6) enhancements will provide FDB
and TRD the tools to provide consistent customer service (internal and external) and leverage the use
of GenTax.
Our strategic goals to increase compliance, improve the timeliness and accuracy of reporting and
better serve constituents can be obtained through the Revenue Accounting project. This will enable
management to reduce the time taken to compile reports, reduce the number of sources required for
reporting and maintain a history of all payments made.
Collection standalone will allow field collectors to improve accuracy in reporting thus increasing
compliance. It also reduces the possibility of necessary tax information being left out or forgotten
between trips to and from the office. Having the standalone, remote access to collection information
and the ability to update in real time is expected to improve collection efforts for TRD.
Collection Outsourcing will allow the collection of additional old and/or low dollar debt thus
generating more revenue for the department.
2.0 SCOPE
2.1 PROJECT JUSTIFICATION
The following rationale and justification has been developed to support the request for project
inception and certification of Revenue Accounting, Collection Standalone, and Collection
Outsourcing.
These projects first address major initiatives from the TRD FY07 Strategic Plan and include the
following:





Improve service to all customers – public and other agencies.
Improve security – particularly regarding privacy of data.
Improve efficiency – including office productivity and speed of transactions.
Create a better workplace for our employees.
Make it easy to do business with state government
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For Front-end, Back-end and CRS Revenue Accounting, justification includes:
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

Improving internal and external reporting
Reducing cost of providing services to customers while improving operational efficiency.
Taking advantage of commercial off the shelf (COTS) software efficiency by using a product
already developed and deployed.
Leveraging existing GenTax® functionality for revenue accounting and security of new
system functions.
Providing an efficient management tool.
Automating current procedures.
Simplifying reporting by retrieving information from fewer sources.
Reducing error rates for reporting purposes.
Automating current procedures.
Reducing cost of government.
Collection Standalone and Collection Outsourcing rationale and justification consists of:






Reducing cost of providing services to customers while improving operational efficiency.
Taking advantage of commercial off the shelf (COTS) software efficiency by using a product
already developed and deployed.
Automating current activities.
Reducing error rates for reporting purposes.
Reducing cost of government.
Increasing collection efforts.
The cost of not doing these projects can be translated into falling further behind the technology curve,
continuing to spend money in areas where manual operations can be replaced with automation, and
the State remaining in non-compliance with State and Federal regulations.
2.2 PROJECT OBJECTIVES
2.2.1 BUSINESS OBJECTIVES
NUMBER
DESCRIPTION
Bus. Objective 1
Improve Customer Service: Increased efficiency and productivity through
migration of functionality from mostly manual to automated processes. Improved
service to TRD customers especially distribution entities.
Bus. Objective 2
Drive down the cost of government: Reduction of time required to produce monthend and year-end revenue accounting reports. Redeployment of work from
management to lower level staff. Optimize TRD business processes decreasing the
number of steps, and saving time for workers. Automation of current manual
operations will reduce time and costs.
Bus. Objective 3
Enhance delivery of services to Constituents: Increased efficiency and productivity
through migration of functionality.
Bus. Objective 4
Protect the public interests and trust through embedded COTS security and audit
features for customer data.
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2.2.2 TECHNICAL OBJECTIVES
NUMBER
Tech. Objective 1
Tech. Objective 2
Tech. Objective 3
Tech. Objective 4
Tech. Objective 5
DESCRIPTION
2.3 DELIVERABLES
2.3.1 PROJECT MANAGEMENT DELIVERABLES
2.3.1.1 PROJECT MANAGEMENT PLAN
Description – Project Management
Plan (PMP)
Deliverable Acceptance Criteria – Completely integrated project
plan that meets DOIT and TRD standards.
Standards for Content and Format - MS Word
Quality Review – Internal TRD PMO review and approval, DOIT
PMO review and approval, certification board review and approval,
ITC review and approval.
2.3.1.2 IMPLEMENTATION SPECIFICATIONS
Description – Prepare configuration
design documentation containing the
overall specifications for the
application to be reviewed with users
and peers in order to validate correct
design.
Deliverable Acceptance Criteria – Completely documented
specifications that detail configuration requirements.
Standards for Content and Format - MS Word, any modeling
tools in use.
Quality Review – Team peer review, Project Manager and end-user
signoff.
2.3.2 PRODUCT DELIVERABLES
2.3.2.1 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN
DEVELOPMENT ENVIRONMENT (NMD)
Description - Identify Revenue
Accounting Requirements and install
Revenue Accounting software for
Group A Taxes (CIT, FID, AFT,
GMO, TPT, WDT, GMD, PRC,
WDTID, OGP, DBS, UEF AND
BRT) in development environment
(NMD)
Deliverable Acceptance Criteria – Installation, testing and
acceptance of Revenue Accounting software for Group A Taxes in
the development environment.
Standards for Content and Format – MS Word, implementation
specifications.
Quality Review – Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
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2.3.2.2 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN TEST
ENVIRONMENT (NMT)
Description - Install Revenue
Accounting software for Group A
Taxes (CIT, FID, AFT, GMO, TPT,
WDT, GMD, PRC, WDTID, OGP,
DBS, UEF AND BRT) in test
environment. (NMT)
Deliverable Acceptance Criteria – Installation, testing and
acceptance of Revenue Accounting software for Group A Taxes in
the test environment.
Standards for Content and Format – MS Word, test scripts, and
test results.
Quality Review – Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.3 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN PREPRODUCTION ENVIRONMENT (NMS)
Description – Install Revenue
Accounting for Group A Taxes
(CIT, FID, AFT, GMO, TPT, WDT,
GMD, PRC, WDTID, OGP, DBS,
UEF AND BRT) in pre-production
environment (NMS)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group A Taxes in
the pre-production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.4 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP A TAXES IN PRODUCTION
ENVIRONMENT (NMP)
Description - Identify Revenue
Accounting Business Requirements
and install Revenue Accounting
software for Group A Taxes (CIT,
FID, AFT, GMO, TPT, WDT,
GMD, PRC, WDTID, OGP, DBS,
UEF AND BRT) in production
environment (NMP)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group A Taxes in
the production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.5 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN
DEVELOPMENT ENVIRONMENT (NMD)
Description - Identify Revenue
Accounting Requirements and install
Revenue Accounting software for
Group B Taxes Group B Taxes (PIT,
LIQ, WKC, LLQ, H20, TRS, 911) in
development environment (NMD)
Deliverable Acceptance Criteria – Installation, testing and
acceptance of Revenue Accounting software for Group B Taxes in
the development environment.
Standards for Content and Format – MS Word, implementation
specifications.
Quality Review – Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.6 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN TEST
ENVIRONMENT (NMT)
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Description - Install Revenue
Accounting software for Group B
Taxes (PIT, LIQ, WKC, LLQ, H20,
TRS, 911) in test environment
(NMT)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group B Taxes in
the test environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.7 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN PREPRODUCTION ENVIRONMENT (NMS)
Description – Install Revenue
Accounting software for Group B
Taxes (PIT, LIQ, WKC, LLQ, H20,
TRS, 911) in pre-production
environment (NMS)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group B Taxes in
the pre-production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.8 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP B TAXES IN PRODUCTION
ENVIRONMENT (NMP)
Description - Install Revenue
Accounting software for Group B
Taxes (PIT, LIQ, WKC, LLQ, H20,
TRS, 911) in production
environment (NMP)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group B Taxes in
the production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.9 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR GROUP C TAXES IN
DEVELOPMENT ENVIRONMENT (NMD)
Description - Identify Revenue
Accounting Requirements and install
Revenue Accounting software for
Group C Taxes (CNS, CIG, SEV,
RES) in development environment
(NMD)
Deliverable Acceptance Criteria – Installation, testing and
acceptance of Revenue Accounting software for Group C Taxes in
the development environment.
Standards for Content and Format – MS Word, implementation
specifications.
Quality Review – Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.10 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP C TAXES IN TEST
ENVIRONMENT (NMT)
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Description - Install Revenue
Accounting software for Group C
Taxes (CNS, CIG, SEV, RES) in test
environment (NMT)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group C Taxes in
the test environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.11 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR GROUP C TAXES IN PREPRODUCTION ENVIRONMENT (NMS)
Description –Install Revenue
Accounting software for Group C
Taxes (CNS, CIG, SEV, RES) in
pre-production environment (NMS)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group C Taxes in
the pre-production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.12 ACCEPTANCE OF REVENUE ACCOUNTING SOFTAWARE FOR GROUP C TAXES IN
PRODUCTION ENVIRONMENT (NMP)
Description - Install Revenue
Accounting software for Group C
Taxes (CNS, CIG, SEV, RES)in
production environment (NMP)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for Group C Taxes in
the production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.13 INSTALLATION OF REVENUE ACCOUNTING SOFTWARE FOR CRS UPGRADE (VERSION 6) IN
DEVELOPMENT ENVIRONMENT (NMD)
Description - Identify Revenue
Accounting Requirements and install
Revenue Accounting software for
CRS Upgrade (version 6) in
development environment (NMD)
Deliverable Acceptance Criteria – Installation, testing and
acceptance of Revenue Accounting software for CRS Upgrade
(version 6) in the development environment.
Standards for Content and Format – MS Word, implementation
specifications.
Quality Review – Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.14 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR CRS UPGRADE (VERSION 6) IN
TEST ENVIRONMENT (NMT)
Description - Install Revenue
Accounting software for CRS
Upgrade (version 6) in test
environment (NMT)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for CRS Upgrade
(version 6) in the test environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
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Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.15 ACCEPTANCE OF REVENUE ACCOUNTING SOFTWARE FOR CRS UPGRADE (VERSION 6) IN
PRE-PRODUCTION ENVIRONMENT (NMS)
Description – Install Revenue
Accounting software for CRS
Upgrade (version 6) in preproduction environment (NMS)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for CRS Upgrade
(version 6) in the pre-production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.16 ACCEPTANCE OF REVENUE ACCOUNTING SOFTAWARE FOR CRS UPGRADE (VERSION 6)
IN PRODUCTION ENVIRONMENT (NMP)
Description - Install Revenue
Accounting software for CRS
Upgrade (version 6) in production
environment (NMP)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Revenue Accounting software for CRS Upgrade
(version 6) in the production environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.17 INSTALLATION OF COLLECTION STANDALONE SOFTWARE IN DEVELOPMENT
ENVIRONMENT (NMD)
Description - Identify Collection
Standalone Business Requirements
and install Collection Standalone in
development environment (NMD)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Standalone software in development
environment.
Standards for Content and Format - MS Word, implementation
specifications.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.18 ACCEPTANCE OF COLLECTION STANDALONE SOFTWARE IN TEST ENVIRONMENT (NMT)
Description - Install Collection
Standalone in test environment
(NMT)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Standalone software in the test
environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.19 ACCEPTANCE OF COLLECTION STANDALONE SOFTWARE IN PRE-PRODUCTION
ENVIRONMENT (NMS)
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Description - Install Collection
Standalone software in the preproduction environment (NMS)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Standalone software in the pre-production
environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.20 ACCEPTANCE OF COLLECTION STANDALONE SOFTWARE IN PRODUCTION ENVIRONMENT
(NMP)
Description - Install Collection
Standalone software in the
production environment (NMP)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Standalone software in the production
environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.21 COLLECTION AGENCY INTERFACE DESIGN SPECIFICATION
Description – Collection Agency
Interface Design Specification
Deliverable Acceptance Criteria – Design, testing and acceptance
of Collection Outsourcing interface design specification.
Standards for Content and Format - MS Word
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.22 INSTALLATION OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN DEVELOPMENT
ENVIRONMENT (NMD)
Description - Install Collection
Agency Interface Functionality in
Development Environment (NMD)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Outsourcing interface in development
environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.23 ACCEPTANCE OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN TEST
ENVIRONMENT (NMT)
Description – Acceptance of
Collection Agency Interface
Functionality in Test Environment
(NMT)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Outsourcing software in the test
environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
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Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.24 ACCEPTANCE OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN PREPRODUCTION ENVIRONMENT (NMS)
Description - – Acceptance of
Collection Agency Interface
Functionality in Pre-production
Environment (NMS)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Outsourcing software in the pre-production
environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.2.24 ACCEPTANCE OF COLLECTION AGENCY INTERFACE FUNCTIONALITY IN PRODUCTION
ENVIRONMENT (NMP)
Description - – Acceptance of
Collection Agency Interface
Functionality in Production
Environment (NMP)
Deliverable Acceptance Criteria - Installation, testing and
acceptance of Collection Outsourcing software in the production
environment.
Standards for Content and Format - MS Word, test scripts, and
test results.
Quality Review - Team peer review, Project Manager and GenTax
Executive Steering Committee acceptance.
2.3.3 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS
DELIVERABLE
NUMBER
DELIVERABLE
APPROVERS (WHO
CAN APPROVE)
PRJ-DEL-001
PRJ-DEL-002
Project Management Plan (PMP)
Installation of Revenue Accounting
software for Group A Taxes (CIT, FID,
AFT, GMO, TPT, WDT, GMD, PRC,
WDTID, OGP, DBS, UEF AND BRT) in
Development Environment (NMD)
Acceptance of Revenue Accounting
software for Group A Taxes (CIT, FID,
AFT, GMO, TPT, WDT, GMD, PRC,
WDTID, OGP, DBS, UEF AND BRT) in
Test Environment (NMT)
Acceptance of Revenue Accounting
software for Group A Taxes (CIT, FID,
AFT, GMO, TPT, WDT, GMD, PRC,
WDTID, OGP, DBS, UEF AND BRT) in
Pre-production Environment (NMS)
Acceptance of Revenue Accounting
software for Group A Taxes (CIT, FID,
DoIT, ITC
GenTax Executive
Steering Committee (GT
ESC)
PRJ-DEL-003
PRJ-DEL-004
PRJ-DEL-005
DATE
APPROVED
GT ESC
GT ESC
GT ESC
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DELIVERABLE
NUMBER
PRJ-DEL-006
DELIVERABLE
AFT, GMO, TPT, WDT, GMD, PRC,
WDTID, OGP, DBS, UEF AND BRT) in
Production Environment (NMP)
Installation of Revenue Accounting
software for Group B Taxes(PIT, LIQ,
WKC, LLQ, H20, TRS, 911) in
Development Environment (NMD)
APPROVERS (WHO
CAN APPROVE)
GT ESC
DELIVERABLE
NUMBER
DELIVERABLE
APPROVERS (WHO
CAN APPROVE)
PRJ-DEL-007
Acceptance of Revenue Accounting
software for Group B Taxes (PIT, LIQ,
WKC, LLQ, H20, TRS, 911) in Test
Environment (NMT)
Acceptance of Revenue Accounting
software for Group B Taxes (PIT, LIQ,
WKC, LLQ, H20, TRS, 911) in Preproduction Environment (NMS)
Acceptance of Revenue Accounting
software for Group B Taxes (PIT, LIQ,
WKC, LLQ, H20, TRS, 911) in Production
Environment (NMP)
Installation of Revenue Accounting
software for Group C Taxes (CNS, CIG,
SEV, RES) in Development Environment
(NMD)
Acceptance of Revenue Accounting
software for Group C Taxes (CNS, CIG,
SEV, RES) in Test Environment (NMT)
Acceptance of Revenue Accounting
software for Group C Taxes (CNS, CIG,
SEV, RES) in Pre-production Environment
(NMS)
Acceptance of Revenue Accounting
software for Group C Taxes(CNS, CIG,
SEV, RES) in Production Environment
(NMP)
Installation of Revenue Accounting
software for CRS Upgrade (version 6) in
Development Environment (NMD)
Acceptance of Revenue Accounting
software for CRS Upgrade (version 6) in
Test Environment (NMT)
Acceptance of Revenue Accounting
software for CRS Upgrade (version 6) in
Pre-production Environment (NMS)
Acceptance of Revenue Accounting
software for CRS Upgrade (version 6) in
GT ESC
PRJ-DEL-008
PRJ-DEL-009
PRJ-DEL-010
PRJ-DEL-011
PRJ-DEL-012
PRJ-DEL-013
PRJ-DEL-014
PRJ-DEL-015
PRJ-DEL-016
PRJ-DEL-017
DATE
APPROVED
DATE
APPROVED
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
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Production Environment (NMP)
DELIVERABLE
NUMBER
DELIVERABLE
APPROVERS (WHO
CAN APPROVE)
PRJ-DEL-018
Installation of Collection Standalone
software in Development Environment
(NMD)
Acceptance of Collection Standalone
software in Test Environment (NMT)
Acceptance of Collection Standalone
software in Pre-production Environment
(NMS)
Acceptance of Collection Standalone
software in Production Environment (NMP)
Collection Agency Interface Design
Specification
Installation of Collection Agency Interface
Functionality in Development Environment
(NMD)
Acceptance of Collection Agency Interface
Functionality in Test Environment (NMT)
Acceptance of Collection Agency Interface
Functionality in Pre-production
Environment (NMS)
Acceptance of Collection Agency Interface
Functionality in Production Environment
(NMP)
GT ESC
PRJ-DEL-019
PRJ-DEL-020
PRJ-DEL-021
PRJ-DEL-022
PRJ-DEL-023
PRJ-DEL-024
PRJ-DEL-025
PRJ-DEL-026
DATE
APPROVED
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
GT ESC
2.3.4 DELIVERABLE ACCEPTANCE PROCEDURE
The procedure established for acceptance of each deliverable in this project is based on the business
requirements. Each requirement will be assigned a number and when the requirement is completed;
i.e., developed, tested and then accepted by the Technical Project Manager and the designated
Executive Steering Committee representative; it is logged and tracked on the Deliverable Acceptance
Form (shown in Appendix E – Acceptance Management). This procedure and form allows the
project manager and the project team to view all completed deliverables and to adjust the project
schedule, as needed, to meet project deadlines.
3.0 OVERALL STRATEGY
3.1 PROJECT MANAGEMENT LIFE CYCLE
This section of the project management plan describes the process used to monitor progress on the
project to assure that all tasks are completed according to schedule and that the project remains
aligned with the primary business goals.
Project planning will be an ongoing activity during the life of the project. The planning activities
started with the review of the Business Case for Implementing Revenue Accounting and Collection
Standalone into GenTax® previously completed by a vendor team led by FAST Enterprises working
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with the New Mexico Taxation and Revenue Department. The Change Request Proposal for the
Collection Agency Interface or Collection Outsourcing was also reviewed. These plans will be flushed
out with more detailed explanations of the different tasks, as well as adding responsible parties
assigned to the project. Project planning will be an ongoing activity during the life of the project.
Given the level of planning that has been completed prior to the project start up, the Project Managers
will be responsible for ensuring the project is tracking to plan and also for making any adjustments to
the plan that may be required due to change orders, etc. As with any long-term project it is expected
that the project plan may be adjusted as the project evolves.
3.2 DETAILED PROJECT PLANNING AND TRACKING
The Technical Project Manager for the GenTax® project will develop a detailed project plan within ten (10)
days of project initiation. This project plan will be based on the collective learning gained in previous
GenTax® initiatives completed to date. Each of the different teams on the project will be responsible for
executing their tasks according to the plan and reporting on their progress to the Project Managers each week.
Any impediments to completing the individual tasks on a timely basis are considered issues, and should be
identified as such in the team leader status reports submitted to the PM’s each week.
3.3 CRITICAL SUCCESS FACTORS
The following Success Factors have been identified as Critical in order for the Revenue Accounting,
Collection Standalone, and Collection Outsourcing project to be successful:
 Team members need to be empowered to make
 Technical Decisions
 Creative Decisions
 Knowledge Transfer must be an integral part of the project
 Project must be started in first quarter 2007.
 Project development methodology must be followed
 Regular executive steering committee meetings must be held for the duration of the project to
facilitate:
 Requirements management
 Financial oversight
 Change management
 Deliverables acceptance
3.4 PROJECT LOGISTICS
The Taxation and Revenue Department shall provide the items listed below.
 A list of agency contacts who are subject-matter-experts in their respective areas.
 Temporary office space, including desk and Internet access.
 A Project Manager to work with the contractor who, in addition to providing overall
management and administration of the project and this Agreement, shall:
 Meet with the contractor, as requested, to provide clarity in design or specification or
process;
 Prompt review and feedback on deliverables as presented;
 Review and approval or disapproval of any request for deviation from the approved
work and project plans; and
 Assistance in setting up agency interviews, as required.
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Vendor shall provide:
 Qualified personnel for the project;
 An individual work plan, no later than two weeks from the execution of the contract
agreement, that shall include tasks, deliverables and a time line for completion of those and
which shall be acceptable to TRD;
 Adherence to the project plan and the timeline agreed upon in the plan;
 Weekly written updates to the Project Manager;
 An immediate report to the Project Manager detailing any unforeseen circumstances that
might cause any deviation from the project plan; and
 Timely completion of the deliverables.
Work Environment
The Taxation and Revenue Department shall provide Contractor personnel office workspace at the
following location:
Taxation and Revenue Department
1100 S. St. Francis Drive
Santa Fe, New Mexico 87505
Standards of Conduct
The vendor will be responsible for maintaining satisfactory standards of employee competency,
conduct, appearance, and integrity. The vendor is also responsible for ensuring that its employees do
not disturb papers on desks, open desk drawers or cabinets, use TRD telephones, except as authorized,
or otherwise jeopardize the security and the privacy of the TRD employees, its clientele, and the
contents and property of the facility in which work is performed.
3.5 PRODUCT LIFE CYCLE MODEL



Project Initiation and Planning
 Determine requirements
 Validate assumptions and constraints
 Clarify statement of work
 Create project schedule
 Create project work breakdown structure
 Obtain approval of stakeholders
 Prepare work environment
 Collect critical documentation
Project Execution
 Collect detailed project data and information
 Perform work to complete each deliverable
 Obtain acceptance of each deliverable
 Manage all issues, changes, and risks
 Perform quality assurance activities
Project Closure
 Archive appropriate project information
 Perform post-implementation review
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
Track applicable metrics
3.6 TECHNICAL STRATEGY
The Taxation and Revenue Department’s technical strategy for this project will follow the GenTax®
methodology that has been used successfully in past projects. This involves combining efforts with TRD
IT, FAST Enterprises, and TRD Subject Matter Experts (SMEs), and any additional SMEs as required.
Within this strategy, we will:









Identify business requirements and configure in the development environment (NMD).
This includes implementation specifications plus confirmation of design and
configuration. Acceptance in NMD is required before proceeding to the next level of the
project.
Migrate configuration to the test environment (NMT). Test scripts to confirm the design
with the sliced data. Acceptance in NMT is required before proceeding to the next level
of the project.
Migrate configuration to the pre-production environment (NMS) using a copy of full
production data. 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 in NMS is required before
proceeding to the next level of the project.
On final acceptance, the decision will be made to “Go Live” by the GT ESC.
Complete final migration to the production environment (NMP).
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.
4.0 PROJECT ORGANIZATION
4.1 STAKEHOLDERS
NAME
STAKE IN PROJECT
ORGANIZATION
T ITLE
Dona Cook
Executive Sponsor
TRD
Deputy Secretary
Libby Gonzales
Revenue Processing
TRD RPD
Director
Phil Salazar
Audit and Compliance
TRD ACD
Director
Wanda Helms
Revenue Distribution
TRD ASD
Director
Marlin Mackey
Information Technology
TRD ITD
CIO
Charlene Trujillo
Technical Project Manager
TRD ITD
IS Manager
Wayne Glazener
User Project Manager
TRD ACD
Asst. Bureau Chief
Brandy Herbert
Vendor Project Manager
Fast Enterprises
Implementation
Specialist Manager
4.2 CUSTOMERS
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Internal customers include: TRD Revenue Processing Division, TRD Audit & Compliance Division
and TRD Administrative Services Division.
4.3 PROJECT TEAM
4.3.1 PROJECT TEAM ORGANIZATIONAL BREAKDOWN STRUCTURE
Executive Steering Committee
The Executive Steering Committee for GenTax consists of representatives from each of the
stakeholder departments:








Dona Cook (TRD)
Libby Gonzales (RPD)
Phil Salazar (ACD)
Wanda Helms (ASD)
Al Maury (SEC)
Marlin Mackey (ITD)
Charlene Trujillo (ITD PM)
Wayne Glazener (TRD PM)

Brandy Herbert (Fast PM)
The Project Team
The Project Team consists of members of the TRD ITD GenTax team, Implementation Coordinators
(division subject matter experts from the user community), and implementation specialists from Fast
Enterprises. Team rosters will be developed for each phase of the project.
Communication Procedures
The Executive Steering Committee will meet on a monthly basis in order to review project progress,
deliverables/milestones and provide direction to the team. The Technical Project Manager will be
required to provide formal status reports to the Steering Committee and will present the report during
the Steering Committee meetings. The Project Team will meet weekly to ensure efforts are
coordinated and on schedule.
The three Project Managers will be required to complete a stakeholder communications plan to
address communications with the primary business owners of this project.
The Technical Project Manager will also be required to report on the overall status of the project on a
monthly basis, per standard DOIT/ITC procedures. The project manager may update these procedures
as necessary.
Project Team Training Requirements
No immediate training requirements are required for the project team; however, appropriate training
or reading will be assigned after the detailed deliverables are established.
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Project Organization
Libby Gonzales
RPD
Other State Agency
Representatives
Marlin Mackey
TRD ITD
Phil Salazar
ACD
Al Maury
SEC
Dona Cook
TRD
Wanda Helms
ASD
GenTax Executive Steering Committee
Independent
Verification and
Validation (IV&V)
Wayne Glazener
User PM
Charlene Trujillo
Technical PM
NM Department of
Information
Technology (DoIT)
Brandy Herbert
FAST PM
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4.3.2 PROJECT TEAM ROLES AND RESPONSIBILITIES
To be completed by Project Manager upon project initiation
ROLE
RESPONSIBILITY
NAME
FUNCTIONAL
MANAGER
5.0 PROJECT MANAGEMENT AND CONTROLS
5.1 STAFFING PLANNING AND ACQUISITION
All TRD staff is currently on board. Fast Enterprise resources are currently located in
Santa Fe and will be utilized on the project. Additional Fast Enterprises resources will be
made available to the project team as needed.
5.2 ASSUMPTIONS
NUMBER
DESCRIPTION
Assumption 001
For Front-end and Back-end Revenue Accounting and Collection Standalone, the
implementation of the project will follow the methodology outlined in FAST Enterprises’
response to RFP NO. 20-333-20-01162 and used in Rollouts 1 and 3 of the GenTax®
project.
A business expert from TRD will be available full time for the implementation of the
revenue accounting enhancements.
A technical IT resource from TRD will be available a minimum of 50% of their time for the
transfer of knowledge during the implementation of the Revenue Accounting
enhancements.
Training for FDB staff to be using the revenue accounting system will be designed and
administered by the full time user assigned to work on the revenue accounting project, or
by other TRD project staff as assigned by TRD.
Assumption 002
Assumption 003
Assumption 004
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NUMBER
DESCRIPTION
Assumption 005
All tax programs will be included. This change request cannot be split into multiple
projects.
The Revenue Accounting project will require some conversion of data.
Work on the Collection Standalone is scheduled to begin first quarter 2007.
A technical IT resource from TRD will be available a minimum of 50% of their time for the
transfer of knowledge during the implementation of the Collection Standalone.
Upgrade to new billing model to be completed by the start of the Collection Standalone
implementation. This is currently in progress as part of the Rollout 5 implementation.
TRD is responsible for procuring any additional laptops or tablet PC’s that may be required
to effectively use the Collection Standalone functionality.
TRD is responsible for licensing costs of Microsoft® MapPoint® software that enables the
use of the mapping functions inherent in Collection Standalone. (Current retail of this
software is approximately $299.)
A minimum of one user from the collection division is required full time to the Collection
Standalone project. This person should have the experience to make the necessary
decisions, participate in testing, and train other collectors on the functionality of this
system.
A minimum of two additional experienced collectors are required for testing of the
Collection Standalone system.
A minimum of one developer from TRD must be able to dedicate 50% of their time to the
Collection Standalone project.
Training for collections using the Collection Standalone system will be designed and
administered by the full time user assigned to work on the Collection Standalone project, or
by other TRD project staff as assigned by TRD.
TRD to provide office space and office supplies for the project team.
Assumption 006
Assumption 007
Assumption 008
Assumption 009
Assumption 010
Assumption 011
Assumption 012
Assumption 013
Assumption 014
Assumption 015
Assumption 016
5.3 CONSTRAINTS
NUMBER
DESCRIPTION
5.4 DEPENDENCIES
5.4.1 MANDATORY DEPENDENCIES
NUMBER
DESCRIPTION
MDEP-001
MDEP-002
Sole source agreement must be approved
IV&V contract must be approved.
5.4.2 DISCRETIONARY DEPENDENCIES
NUMBER
DESCRIPTION
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NUMBER
DESCRIPTION
5.4.3 EXTERNAL DEPENDENCIES
NUMBER
DESCRIPTION
EDEP-001
EDEP-002
Fast Enterprises will be able to quickly staff project after contract is signed.
DOIT approval cycle, if delayed, could negatively impact project initiation and funding.
5.5 RISK MANAGEMENT
The purpose of risk tracking is to identify, document and monitor potential risk areas for the Revenue
Accounting and Collection Standalone project. Risk is identified as the possibility that something will prevent
the project from meeting expectations.
Each risk identified will be documented in the Project Risk Assessment Summary document. Project
management will review and track the risks periodically. Risks will be reviewed at weekly project status
meetings as well as the Executive Steering Committee meetings when appropriate. In general, risks will be
created and maintained by the Project Manager. Risks must have documented mitigation steps that can be
followed if the risk is to be reduced or eliminated.
The Revenue Accounting and Collection Standalone project 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.
5.5.1 RISK MANAGEMENT STRATEGY
For the Revenue Accounting and Collection Standalone project, 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.
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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.
5.5.2 PROJECT RISK IDENTIFICATION
Risks can be identified in either the initial risk assessment or as an issue that eventually becomes a
risk. Risks identified during the initial risk assessment will be documented using the Risk Form and
Template as shown in Appendix B. Issues that become risks will be documented as such in the project
and moved into the Risk Management facility.
5.5.3 PROJECT RISK ANALYSIS
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 Revenue Accounting, Collection Standalone, and Collection Outsourcing
initiatives.
The Revenue Accounting reports portion of this project represents enhancements of new automation
to an existing, mostly manual process. Risk is viewed as low since the new functionality provides
process improvements and increased accuracy in reporting. Revenue Accounting leverages the
automation capabilities available in GenTax® for the Financial Distributions Bureau. For both
Revenue Accounting, Collection Standalone, and the Collection Outsourcing risks associated with
installing additional audit capabilities, again, are viewed as low risk.
***Risk is considered low due to the fact that other states have successfully implemented these
enhancements and any risks they may have experienced have been resolved. Should NM TRD
experience any issues, there are many resources to draw from for assistance. Need interim
information and have to rebuild…
5.5.4 PROJECT RISK MITIGATION APPROACH
Each risk identified will have at least one mitigation action. These mitigations are designed to help
reduce or completely avoid the risk.
5.5.5 RISK REPORTING AND ESCALATION STRATEGY
Ongoing monitoring tasks including a monthly Project Management review of all identified risks. In
this monthly meeting, all identified risks will be updated to reflect new developments, mitigation
actions or possible next steps.
5.5.6 PROJECT RISK TRACKING APPROACH
To better track and define risks, the following procedures will be used.
Identify risks as direct or indirect:
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

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
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Exhibit 1: Risk Template
(also available in Appendix
B)
Area of System Risk
Direct/Indirect
Revenue Accounting & Collection Standalone
Project
Risk Matrix
Probability
of Risk
Impact of
Risk
Severity
Ranking
Mitigation Actions/
Recovery Actions
1=Low; 5=High
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Risk Management Process
Team Member
Team Lead
Team member
identifies risk, including
description, impact,
and proposed
mitigation strategy via
e-mail to Team Lead
and Project Manger.
Any team member
may identify a risk.
Team Leads/Members are
responsible for evaluating
the severity of risks and
the need for escalation to
the project level. The
Team Lead completes the
Project Risk Identification
form in the web based
tracking tool for risks
deemed necessary to
address with the project
team.
Project Team and
Business Owners
Project Manager
Project Manager monitors
and manages all risks via
the Risk Management Logl.
The owner responsible for
executing and monitoring
mitigation strategies is
identified at this stage.
Risks identified as high
priority will be addressed
during the project status
meeting or on an as
needed basis.
The Project Team
assesses the impact
of risks in relation to
the project's
schedule, quality,
and budget then
determines whether
team should enact
the contingency
plan identified for
each risk. This
activity is done in
conjunction with the
Executive Steering
Committee.
Project Manager
Project Manager
updates project
documentation with
mitigation strategies,
contingency plans and
their effects to the
project schedule.
Team members who become aware of potential risks should document the Issue and send
it to their respective Team Lead and Project Manager via email.
The minimum information to report includes:
1.
The name of the person reporting the risk
2.
The date of reporting
3.
A description of the risk
4.
The affected project activity or activities
5.
The potential impact on the project
6.
One or more possible solutions
7.
Perceived criticality of the risk
The Project Manager will then log the risk in the risk tracking form. The risk tracking
form can be found in the project files and in Appendix B of this document.
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
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3.
4.
5.
6.
7.
An updated description of the risk (if applicable)
The affected project activity or activities (if changed)
The potential impact on the project (if changed)
One or more possible solutions (if changed)
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.
5.6 INDEPENDENT VERIFICATION AND VALIDATION – IV&V
For the Revenue Accounting, Collection Standalone, and Collection Outsourcing project,
IV&V functionality will be incorporated throughout the development life cycle. An
IV&V vendor will be selected, a contract signed, and the vendor will perform IV&V
activities.
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.
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








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 participate on a full time basis.
 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 in January 2007.
 Initial engagement is expected to be at least one year in duration.
 If engagement is successful, contract extension will be considered for other
projects within TRD.
 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 audit of the
system. The selected IV&V vendor will perform this audit. Results of the audit will be
shared with the TRD CIO, GenTax Executive Steering Committee, TRD PMO and the
State CIO. 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 project. The IV&V vendor is Burger, Carroll and
Associates. TRD and DoIT have been receiving IV&V reports.
5.7 SCOPE MANAGEMENT PLAN
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Scope management will be undertaken utilizing the methodology that has been successful
in all previous GenTax® projects. The user community is very familiar with the overall
deliverables from the system and the functionality that will be added to GenTax® is quite
specific.
The project team will develop specifications in conjunction with system stakeholders.
These specifications will be reviewed with the end users and the Executive Steering
Committee for final approval. Acceptance forms will be obtained (with signature) and the
Project Manager will be responsible for maintaining a log of such approvals. Periodic
project reviews will be scheduled throughout the life of the project with the TRD PMO to
ensure consistent and quality based project record keeping.
5.8 ISSUE MANAGEMENT
5.8.1 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
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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.
5.8.2 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.
5.9 PROCUREMENT MANAGEMENT PLAN
This project is dependent on Fast Enterprises to provide professional services consultants
to support the implementation for Revenue Accounting, Collection Standalone, and
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Collection Outsourcing. A Sole Source approval is being pursued for this project as it has
been for all other phases and enhancements associated with the GenTax® project. In
addition to this contractual process for approval, there is also the necessary and
significant procurement contract for the IV&V portion of the project.
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5.10 CHANGE CONTROL
Team Member
Team member
identifies change,
includes description,
impact, and
recommendation via email to respective
Project Manager. If
applicable,
Project Manager
The Project Manager
assesses the need for
change and completes the
Decision Request Form.
Project Manager
The Project Manager logs
the decision request and
meets with the technical
team to identify the impact
of the request and then
documents it in the log.
Decision requests will be
taken to the Executive
Steering Committee
Exec. Steering Committee
The Executive
Steering Committee
will review the
Decision Request
for an accept/reject
decision.
Project Manager
The Project Manager
will document
decisions and any risks
associated with those
decisions.
5.10.1 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.
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5.10.2 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.
5.11 PROJECT TIMELINE
The project timeline is found in Appendix A. The project schedule calls for a twelve (12)
month implementation interval for Revenue Accounting and a 4.5 month implementation
interval for the Collection Standalone, plus an additional two (2) months for post
implementation support for Revenue Accounting. The Collection Outsourcing project
plan has a four (4) month implementation interval and will start in the early 2008
calendar year. The project will be started once certification, funding release and project
staffing has been completed. It is anticipated that these projects will be initiated no later
than first quarter 2007.
5.12 PROJECT BUDGET
The project team is requesting recertification and release of all funds in the amount of
$1,370,401. Project funding has been obtained from FY07 TRD and C2 FY07 Special
Appropriations Budget, TRIMS Cash Balance, ASD Operations Budget, RPD Operations
Budget, ACD Operations Budget and FY)& Revenue Enhancement Budget. FY07 TRD
funding will be carried over to FY08 to enable completion of the project in the most
advantageous timeframe. Release of these additional funds will allow the project team to
execute and encumber the vendor agreement.
Phase / Activity
Associated Deliverables
Estimated Budget
Phase 0
Hire Project Manager
Project planning
Remaining certifications and approvals
Project Management Plan
FAST contract and Sole Source document approval
IV&V contract for next phase
$0
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Phase / Activity
Associated Deliverables
Estimated Budget
Phase 1
Project Plan updates
Project Schedule
High level requirements definition
Installation, testing and implementation of Revenue Accounting
software for Group A taxes in GenTax development environment
(NMD)
Installation, testing and implementation of Revenue Accounting
software for Group A taxes in GenTax test environment (NMT)
$ 25,000
Revenue
Accounting Project
Preparation &
Planning
Installation, testing and implementation of Revenue Accounting
software for Group A taxes in GenTax pre-production environment
(NMS)
Installation, testing and implementation of Revenue Accounting
software for Group A taxes in GenTax production environment
(NMP
Installation, testing and implementation of Revenue Accounting
software for Group B taxes in GenTax development environment
(NMD)
Installation, testing and implementation of Revenue Accounting
software for Group B taxes in GenTax test environment (NMT)
Installation, testing and implementation of Revenue Accounting
software for Group B taxes in GenTax pre-production environment
(NMS)
Installation, testing and implementation of Revenue Accounting
software for Group B taxes in GenTax production environment
(NMP)
Installation, testing and implementation of Revenue Accounting
software for Group C taxes in GenTax development environment
(NMD)
Installation, testing and implementation of Revenue Accounting
software for Group C taxes in GenTax test environment (NMT)
Installation, testing and implementation of Revenue Accounting
software for Group C taxes in GenTax pre-production environment
(NMS)
Installation, testing and implementation of Revenue Accounting
software for Group C taxes in GenTax production environment
(NMP)
Installation, testing and implementation of Revenue Accounting
software CRS in GenTax development environment (NMD)
Installation, testing and implementation of Revenue Accounting
software for CRS in GenTax test environment (NMT)
Installation, testing and implementation of Revenue Accounting
software for CRS in GenTax pre-production environment (NMS)
Installation, testing and implementation of Revenue Accounting
software for CRS in GenTax production environment (NMP)
$ 25,000
$ 25,000
$ 25,000
$ 38,750
$ 38,750
$ 38,750
$ 38,750
$ 52,500
$ 52,500
$ 52,500
$ 52,500
$ 58,750
$ 58,750
$ 58,750
$ 58,750
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Phase 2
Collection
Standalone
Project
Preparation &
Planning
Phase 2
Collection
Outsourcing
Project
Preparation &
Planning
Project Plan updates
Project Schedule
High level requirements definition
Installation, testing and implementation of Collection Standalone
software in GenTax development environment (NMD)
Installation, testing and implementation of Collection Standalone
software in GenTax test environment (NMT)
Installation, testing and implementation of Collection Standalone
software in GenTax pre-production environment (NMS)
Installation, testing and implementation of Collection Standalone
software in GenTax production environment (NMP)
$ 75,000
$ 75,000
$ 75,000
$ 75,000
Project Plan updates
Project Schedule
High level requirements definition
Collection Agency Interface Design Specification
Installation, testing and implementation of Collection Standalone
software in GenTax development environment (NMD)
Installation, testing and implementation of Collection Standalone
software in GenTax test environment (NMT)
Installation, testing and implementation of Collection Standalone
software in GenTax pre-production environment (NMS)
Installation, testing and implementation of Collection Standalone
software in GenTax production environment (NMP)
$ 30,000
$ 30,000
Phase / Activity
Associated Deliverables
Estimated Budget
Phase 4
Close Revenue Accounting and Collection Standalone project.
$ 48,800
IV&V services
$ 66,250
$ 30,000
$ 30,000
$ 40,000
Project Closing
Phase 5
IV&V
GRT
$ 96,331
TOTALS
$1, 370,401
Budget allocations are shown below.
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System or Project Cost (dollars in thousands)
Special
Appropriation
TRIMS Cash
Balance
ASD Op.
Budget
RPD Op.
Budget
ACD Op.
Budget
Revenue Accounting/ CSA /
Collection Outsourcing
$703.0
$262.9
GRT
$53.6
$20.5
$1.5
$2.8
$17.3
$15.1
$36.6
$300.7
$16.6
$39.4
IV&V
Total
$756.6
FYO7 Rev
Enhmt.
$322.9
$24.6
$347.5
Projected Revenue Accounting, Collection Standalone, and Collection Outsourcing
Project Expenditure Burn Rate (dollars in thousands)
1Q 07
2Q 07
3Q 07
4Q 07
1Q 08
2Q 08
T
TEK Systems
IV&V Vendor
Fast Enterprises
Total
107.6
247.5
531.5
189.7
52.5
172.7
107.6
247.5
531.5
189.7
52.5
172.7
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Project Management Plan
System Development Deployment
FY04
& Prior
FY05
Needs
Assess.
FY06
FY07
FY08
FY09
& Subseq.
X
Formal
Design
X
Software
Developmt
X
X
Fully Operational
X
X
Maintenan
ce
X
X
Hardware
Acquis’n
FTE Hired,
Trained
X
5.12.1 BUDGET TRACKING
The Technical Project Manager will manage project expenditures and report budget
status monthly to the GT ESC and the DOIT.
5.13 COMMUNICATION PLAN
The project team will develop the Communication Plan and Communication Matrix after
the project has been initiated
5.13.1 COMMUNICATION MATRIX
The Communication Matrix will be developed in conjunction with the Communication
Plan (5.13).
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5.13.2 STATUS MEETINGS
The project team will hold regular meetings, at least weekly. The Executive Steering
Committee will meet monthly for regular meetings and will be convened on a more
frequent basis, as necessary.
5.13.3 PROJECT STATUS REPORTS
All team members will be responsible for preparing a weekly status report to
communicate accomplishments, issues, risks, and a work plan for the prior and upcoming
week. The Project Manager will consolidate status reports and a project status will be
completed each week. Monthly, the Project Manager will prepare an DOIT monthly
status that will be forwarded to the TRD PMO on the eighth of the month. The TRD
PMO will forward the consolidated status (for all TRD projects) to the DOIT on the
regular reporting schedule.
5.14 PERFORMANCE MEASUREMENT (PROJECT METRICS)
The project team will develop proposed metrics once the project is initiated. Metrics will
be reviewed with the Executive Steering Committee and ultimately passed to the
Business Owners for management after system implementation.
5.15 QUALITY OBJECTIVES AND CONTROL
The project team will address this section once the project is initiated.
5.16 CONFIGURATION MANAGEMENT
5.16.1 VERSION CONTROL
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5.16.2 PROJECT REPOSITORY (PROJECT LIBRARY)
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
6.0 PROJECT CLOSE
6.1 ADMINISTRATIVE CLOSE
Items that require administrative close:
 All deliverables as specified in this document must be completed and accepted by
TRD.
 Revenue Accounting must be accepted by TRD, in writing.
 The Collection Standalone 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.
6.2 CONTRACT CLOSE
In addition to the Administrative Close, the following actions should be taken to
complete Contract Close:
 Procurement Audit – The Project Manager, TRD CIO and TRD PMO Manager
should review the Fast Enterprises Agreement Terms and Conditions to ensure all
items are met and/or `disposition agreed upon by both parties`.
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

Contract File Creation – A contract file, archiving all project and contractual
documentation should be base lined and archived – including invoices, costs, and
project documentation.
Formal Acceptance and Close – A document that accepts the contract completion
and closure should be submitted by Fast, accepted by TRD and filed in the
Contract File.
6.3 IV&V FINAL REPORT
The IV&V vendor shall submit a final Independent Verification and Validation report.
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7.0 GLOSSARY
7.1 ACRONYMS AND ABBREVIATIONS
DOIT
IPP
PMI
PMBOK
PMC
PMO
PMP
QM
WBS
Office of the Chief Information Officer
Integrated Project Plan
Project Management Institute.
Project Management Body of Knowledge
Program Management Consultant
Program Management Office
Project Management Plan
Quality Management
Work Breakdown Structure
7.2 DEFINITIONS
Acceptance Criteria
The criteria that a system or component must satisfy in order to be accepted by a user, customer,
or other authorized entity. [IEEE-STD-610]
Acceptance Testing
Formal testing conducted to determine whether or not a system satisfies its acceptance criteria
and to enable the customer to determine whether or not to accept the system. [IEE-STD-610]
Assumptions
Planning factors that, for planning purposes, will be considered true, real, or certain.
Assumptions generally involve a degree of risk. They may be documented here, or converted to
formal risks.
Baseline
A specification or product that has been formally reviewed and agreed upon that thereafter serves
as the basis for further development, and that can be changed only through formal change control
procedures. [IEEE-STD-610]
Commitment
A pact that is freely assumed, visible, and expected to be kept by all parties.
Configuration Management (CM)
A discipline applying technical and administrative direction and surveillance to identify and
document the functional and physical characteristics of a configuration item, control changes to
those characteristics, record and report change processing and implementation status, and verify
compliance with specified requirements. [IEEE-STD-610]
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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.
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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.
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Procurement Planning
Determining what to procure and when.
Product Scope
The features and functions that characterize a product or service.
Project Leader (Technical)
The leader of a technical team for a specific task, who has technical responsibility and provides
technical direction to the staff working on the task.
Project Management
The application of knowledge, skills, tools, and techniques to project activities to meet the
project requirements. Project Management is also responsible for the oversight of the
development and delivery of the architecture and software project.
Program
A group of related projects managed in a coordinated way. Programs include an element of
ongoing work.
Program Management Office
An organizational entity responsible for management and oversight of the organization’s
projects. As a specific reference in this document, the Office of the Chief Information Officer.
Project Manager
The role with total business responsibility for an entire project. The individual who directs,
controls, administers, and regulates a project. The project manager is the individual ultimately
responsible to the customer.
Project Charter
A document issued by senior management that formally authorizes the existence of a project. It
provides the project manager with the authority to apply organizational resources to project
activities.
Project Management Plan
A formal, approved document used to guide both project execution and project control. The
primary uses of the project plan are to document planning assumptions and decisions, facilitate
communication among stakeholders, and documents approved scope, cost, and schedule
baselines. The Project Management Plan (PMP) is a project plan.
Project Schedule
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.
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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.
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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 welldefined 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.
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APPENDIX A--PROJECT SCHEDULES
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APPENDIX B--RISK MANAGEMENT
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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
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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:
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Revenue Accounting & Collection Standalone
Project
Risk Matrix
Area of System Risk
Direct/Indirect
Probability
of Risk
Impact of
Risk
Severity
Ranking
1=Low; 5=High
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Mitigation Actions/
Recovery Actions
Project Management Plan
APPENDIX C--ISSUE MANAGEMENT
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GenTax INCIDENT REPORT
New Mexico Revenue Accounting & Collection Standalone System Test
FOR ADMINISTRATIVE USE
ONLY
* PRIORITY LEVEL: (circle one)
A = High Severity
TRACKING NUMBER
B = Moderate Severity
T
R
GenTax Area
Developer
C = Low Severity
A
K
*REPORTED BY
I
*DATA SLICE NAME
*WORKSTATION ID
N
C
*DATE REPORTED
TESTER SIGN OFF
Tester Name
Verifying Solution or Explanation
*SHORT DESCRIPTION OF ISSUE
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
Revised July 2006
8.00
Revenue Accounting & Collection Standalone Test Incident Report New.xls ver
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Date
Project Management Plan
New Mexico
Revenue Accounting & Collection Standalone Open Issue Log
#
0
0
0
A's IN PROGRESS
B's IN PROGRESS
C's IN PROGRESS
0
TOTAL INCIDENT REPORTS IN PROGRESS
Sub
System
PROBLEM DESCRIPTION
Priority
7-Mar-16 2:00 pm
Tester
Date
In
Assign
Revenue Accounting & Collection Standalone Open Issues.xls
Page 1 of 1
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Status
Comments
Project Management Plan
APPENDIX D--CHANGE CONTROL
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SAMPLE
New Mexico Tax and Revenue Department – GenTax PROJECT
Decision Request Template
Decision
Request #:
Title:
Date Raised:
Required
Resolution Date
R5-1
Raised By:
Assigned To:
Priority:
Lynn Manning
Source fund for correcting over distributions
March 16, 2006
April 10, 2006
Ron Gallegos
(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:
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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
Resp
Target
Date
Actual
Date
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New Mexico Tax and Revenue Department – GenTax® PROJECT
Revenue Accounting and Collection Standalone Project -- 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
Date
Action
Respons
ibility
Target
Date
Actual
Date
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APPENDIX E--ACCEPTANCE MANAGEMENT
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New Mexico Taxation & Revenue Department
Information Technology Division
Revenue Accounting & Collection Standalone Deliverable Acceptance Form
Deliverable Description:
Requirement
Number
Requirement Description
Tested By
Printed Name
Project Manager (PM) Acceptance
Charlene Trujillo
ESC Representative Acceptance
Marlin Mackey
Date
Signature
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