Project Initiation

Request for Certification and Release of Funds Form

All Certified Projects Must Follow NM State Policies and Procurement Code

Project Name

/ UPS2000 Upgrade / Project Number
Agency CIO / Marlin Mackey / Date / 06/16/08
Lead Agency / Agency Code / TRD / 333 / Other Agencies

Executive Sponsor(s)

/ Libby Gonzales / Project Manager / Lisa Trujillo
Project Description (Provide a brief description and purpose for this project)
This project serves the following purposes: 1) To upgrade and convert historical data from the current UPMS application to the UPS2000 system, 2) Rewrite FoxPro inquiry applications to the MS SQL databases.
The New Mexico Taxation and Revenue Department (TRD) tax program has evolved over the years, as have the automated systems that support it. Our Unclaimed Property System was supported by the original UPMS system which was implemented in April of 1997.
The UPMS System that the department currently uses is a FoxPro based system that is no longer supported by the department. The upgrade to UPS2000 includes migrating to a web-based system that will be running on a SQL Server database. The upgraded system contains enhanced security, data integrity and audit trail capabilities, as well as an improved user interface. In addition to the technical enhancements, the new version has additional functionality for inventory handling and stock handling processes.
RPD depends on the UPMS and the new upgrade to UPS2000 to maintain historical data for Unclaimed Property for the State of New Mexico and work with taxpayers and agents to locate and award property that has been proven to be their property. Employees in the Division use this system to research information, add new accounts and develop statistical reports for TRD/RPD management and the Department. RPD uses this system to maintain the Unclaimed Property data base for taxpayer records, history and new claims.
Planned Start Date / 6/2/08 / Planned End Date / 1/31/09
Requested amount this Certification / $25,000 / Remaining Appropriation not Certified / $250,000
Proposed Certification Schedule
Phases / Planned Certification Date / Amount to be requested /

Major Deliverable(s) / Performance Measures

Initiation:
/ 6/25/08 / $25,000 / Execute IV&V contract, if required
Planning:
Implementation:
/ 7/23/08 / $225,000 / Contract execution; Database conversion; Upgrade from UPMS to UPS2000; Configuration and report development; Testing and acceptance; Training
Closeout:
/ 1/28/09 / Closeout

Appropriation History (Include all Funding sources, e.g. Federal, State, County, Municipal laws or grants)

Fiscal Year
/ Amount / Funding Source(s) (use specific citations to laws, grants, etc.)
$250,000 / Unclaimed Property (Fund 710)[1]

IT System Analysis

The UPS2000 Upgrade project will not require any new hardware. It will involve migrating from an application using a FoxPro database to a new version that we will run on SQL Server. The new version will include a web-based client module. This application will have a negligible affect on the DoIT network, as there are only 15 users of this system.
The SQL Server database will be housed on an existing TRD server that is housed at the DoIT data center.
·  Coordinating with DoIT (Mike Baca – TRD consultant) on moving this project through certification process. After initiation phase is certified we will coordinate with DoIT Operations on any required issues.

business Continuity Strategy

TRD will run full database backups weekly. Full backups are stored to tape and moved to offsite storage weekly. This project will also follow these practices and be added to TRD’s disaster recovery plan.

Security Strategy (Application and Data Security Process, Plan, or Standard)

UPS2000 will use enhanced security strategy included in upgraded version of this software. This will include use of application roles and improved password controls and authentication. The new version also has audit trail capabilities such as built-in triggers which immediately write records to audit tables that can not be accessed by any system users. These triggers are surrounding all areas of potential liability for the State, e.g. (Holder, Report, Property and Claim).

Significant Risks and Mitigation Strategy

Risk 1: In converting data from a FoxPro database to a SQL Server database, there may be some inconsistencies, or some data may be unable to be successfully converted.

Mitigation 1: Because key TRD employees have had experience in various data conversion projects, this knowledge can be applied for the conversion from FoxPro to SQL Server. TRD staff is familiar with validation methodologies for migration analyses.

Risk 2: Key staff may be unavailable at required times during the conversion and upgrade process.

Mitigation 2: Project will develop a project plan to track expected dates for required activities. Executive level representative will ensure key staff is available as needed.

Revision: 2/14/08 Page 3

[1] 7-8A-13 NMSA 1978-Allows for the fund to be deducted for: Expenses incurred in examining records of holders of property and in collecting the property from those holders. The fund balances will be utilized for the purchase of the software upgrade.