Trd Ivr/Voice Portal

TRDTRD IVR/VIVR/VOICE PPORTAL

PPROJECT CCHARTER FFOR CCERTIFICATION

EXECUTIVE SPONSOR – JOEL MATEK, TRD CIO BUSINESS OWNER – MICHAEL SANDOVAL PROJECT MANAGER – TBD ORIGINAL PLAN DATE: SEPTEMBER 8, 2010 REVISION DATE: REVISION:

TABLE OF CONTENTS

Revision History

REVISION NUMBER DATE COMMENT 1.0 September 8, 2010 Original Document

4 PROJECT CHARTER TRD IVR / VOICE PORTAL

1. PROJECT BACKGROUND

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT Currently, the Taxation and Revenue Department (TRD) has a fractionated contact center solution with multiple paths of contact all using different technologies and with vastly different capabilities. The two highest volume centers are MVD in Santa Fe and the tax Call Center in Albuquerque. MVD has an automated telephone system which allows customers the opportunity to obtain answers to frequently asked questions and to conduct simple transactions such as re- registering a vehicle via telephone interaction. This system allows citizens an additional option for conducting certain business transactions without having to go in person to a TRD field office. This option helps reduce traffic at field offices and thus reduce wait times in addition to allowing citizens to pay for their complete service via credit card. TRD’s Audit and Compliance collection center uses a predictive dialer and has mixed inbound and outbound calls. However, the current systems are old and obsolete. Technology advances over the last several years has made it possible for these types of telephone systems to greatly expand and expedite existing services. TRD would like to take advantage of new technology and provide as many options as possible to citizens that need to conduct business with TRD. TRD will use $750k already allocated towards our "DRIVE MVD" project for the portion of Interactive Voice Response (IVR) related to MVD; and has requested an additional $750k in FY12 funds for the remainder of IVR / Voice Portal functionality targeted towards improvements for the rest of the agency.

As outlined in the TRD Strategic Plan, the Department is required to collect more delinquent tax revenues. Naturally, the Department has aggressively increased efforts to increase collections by adding additional FTE and by improving processes. One area that has limited the Department's ability to effectively meet the goal of increasing collections is the obsolete telephone system. The Albuquerque Call Center and the four Audit and Compliance Division (ACD) District Offices all have separate telephone systems. Though these systems have been adequate in the past, the Department needs to replace and centralize the platforms into an integrated system.

The requested replacement would provide the following: Provide timely customer service to the citizens of New Mexico Improve functionality while reducing costs Allow for calls to be routed to other contact centers such as District Offices Reduce customer frustrations

TRD issued an RFP for this project with proposals due in August 2010, and contract award planned for December 2010.

1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT Full business cases and C-2 requests have been submitted to DoIT, DFA, and LFC for FY11 and FY12. The TRD IVR/Voice Portal project is also included in both the FY11 and FY12 TRD IT

PROJECT CHARTER TRD IVR / VOICE PORTAL

Annual Plans. TRD issued an RFP for this project with proposals due in August 2010, and contract award planned for December 2010.

1.3 PROJECT CERTIFICATION REQUIREMENTS Does the project fit into the criteria for certification? Which and how? CRITERIA YES/NO EXPLANATION Project is mission critical to the Y Allow customers to interact with agency department through multiple channels. Increase delinquent tax revenues. Project cost is equal to or in excess Y TRD will use $750k already of $100,000.00 allocated towards our "DRIVE MVD" for the portion of Interactive Voice Response (IVR) related to MVD. Project impacts customer on-line This system allows citizens access Y additional options for conducting certain business transactions without having to go in person to a TRD field office. Project is one deemed appropriate N by the Secretary of the DoIT Will an IT Architecture Review be Y Prior to the Implementation Phase. required?

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

2.1 AGENCY JUSTIFICATION

TAXATION AND REVENUE DEPARTMENT Number Description

1 Collect more delinquent tax revenues

2 Maintain a taxpayer assistance call abandonment rate of 10% or less 3 Maintain a taxpayer satisfaction rating of at least 95% based on responses to customer service surveys

2.2 BUSINESS OBJECTIVES

Number Description

1 Allow 24x7 transactions via self-service channels.

2 Alleviate high call volumes with self-service channels.

3 Redirect calls to the centralized call center.

4 Streamline the flow to minimize the many pauses and clicks experienced by callers and the absence of explanations or warning that callers will be transferred 5 Provide an “ask me” function that provides information for customer on documentation and steps required to perform MVD or tax transactions 6 Improve customer service by rerouting overflow calls to other Contact Centers, reducing hold time, messages, and call abandonment. 7 Improve statistical information gathering regarding incoming calls, in order to identify and initiate business process improvements necessary to reduce the abandonment rate to 10% or less. 8 Customers gain a direct result in getting their information more quickly and easily via a speech interface. This leads them to begin preferring self service instead of waiting for an agent. Agents can then be utilized to work on more complex activities and revenue enhancing contacts, achieving increases in revenue versus handling small non-revenue-producing activities.

2.3 TECHNICAL OBJECTIVES

Number Description

1 Incorporation of speech engines (e.g. Nuance speech engine) offering Advanced Speech Recognition, Text-To-Speech and Natural Language Routing. 2 Access to call-related information such as Automatic Number Identification (ANI) and Dialed Number Identification Service (DNIS). Call information can be used to reduce the number of prompts and enhance application decision- making capabilities resulting in improved customer satisfaction. 3 Association of caller-entered or application-retrieved data with calls can be used in screen pops on agent workstations to improve agent efficiency, increase customer satisfaction and reduce total call times by as much as 10 to 15 seconds per call. 4 Ability to provide announcements, music on hold and other voice services to the customer.

Number Description

5 Automatic call routing to front-end all calls to make it very easy for customers to ask for a person by name, or department. This can significantly cut down call transfers, or time spent looking up the person in a directory, or trying to spell someone’s name on a keypad. 6 Easier, more simple tasks or tasks that were impossible to achieve through touch-tone keypads, e.g. change of address, can be processed at a much lower price per call. Traditional agent based contacts have a higher cost per call than self-service by as much as $7 to $10 per call versus 35 cents for a self service transaction. 7 Enable agents to work from home or other non-office locations either on a regular basis or in the event of a disaster. There are virtually no remote setup costs, and staff can be mobilized rapidly and cost-effectively to ensure business continuity in times of crisis. Continuity planning requires organizations to maintain and even enhance customer and citizen service during times of crisis such as flu pandemics, power outages and natural disasters. This functionality helps ensure staff availability even if access to the main center is hindered by travel or quarantine issues. 8 Implement skill-based routing to decrease call times and improve customer service (put call through to "right agent" 9 Route Spanish speaking customers to bi-lingual agents

10 Calls routed to someone with expertise on particular tax program customer is asking about (e.g. not sending a caller to PIT expert when they have CRS questions) 11 Complicated requests routed to more experienced/skilled agents

12 Lower application deployment risks by leveraging rich simulation tools to prototype and test with users prior to deployment. 13 Reduce development time and man-efforts through vendor supplied examples and integrated development environment (IDE) and "wizards". 14 Analyze citizen interactions and trends through improved reporting capabilities to better understand and plan service needs. 15 Provide support for Spanish-language speakers..

16 Capability for voice authentication (using stored voice prints) to ensure customer is who they say they are for sensitive transactions. 17 Ability to implement real-time dashboards for monitoring of activities and problems. Both real-time and historical reporting with full statistics are available. Allows filtering capabilities for reports. 18 Quality/Management(QM) reporting and recording allows score based performance monitoring

2.4 IMPACT ON ORGANIZATION The impacts on the organization are areas that need to be addressed by the project through its planning process. They may not be internal project risks, but they can impact the success of the project’s implementation.

Area Description END USER End Users should only experience a positive impact from the improvements. Call wait times should be reduced by the re-routing of calls to Call Centers experiencing less volume.

BUSINESS Business processes will need to change for the business to realize the PROCESSES full extent of advantages that the contemporary IVR/Voice Portal systems offer. Cross -training will be necessary for re-routed calls to be effectively handled. Continuous Business Process Improvement and Total Quality Management or Six Sigma processes will be needed in order to effectively use the more detailed statistical reporting available from contemporary systems. Business users will require training and changes in Roles and Responsibilities to effectively use IDE features.

IT OPERATIONS AND Depending on whether a hosted or premise solution is selected, and STAFFING what type of support agreement is made with the successful offeror, TRD operations staff will require training in order to be able to maintain and support the new environment.

OTHER N/A

2.5 TRANSITION TO OPERATIONS The transition to operations areas include items that are asked in the certification form to assure that the project has accounted or will account for these matters in its planning and requirements specifications.

Area Description PRELIMINARY Production equipment will be located at the Enterprise Data Center in OPERATIONS the Simms Building. LOCATION AND STAFFING PLANS Staffing Plans TBD based on solution selected.

DATA SECURITY, Offerors of the RFP are requested to provide: BUSINESS CONTINUITY  The proposed solution should define the process necessary to ensure a reliable backup and restore process to be completed.  A goal of the offered solution is to develop and manage a program that enables disaster recovery operations and improves on return-to-service timelines.

MAINTENANCE Offerors are required to propose Maintenance and Support Services: STRATEGY “Acquisition of all required expert services to ensure successful implementation, migration, integration, and ongoing management and support of the acquired system”. Offerors are mandated to propose nightly imports and exports, hourly monitoring for system availability, and daily automated remote system monitoring. Offerors can also propose a hosted solution including all maintenance and support functions.

INTEROPERABILITY Several interoperability requirements are specified in the RFP:  The proposed solution should work with the currently installed and operational NM telephony (telephone) system.  The proposed solution shall work with any future standards-based Voice over Internet Protocol (VoIP) telephony system.  The proposed solution shall be compatible with current wired networking standards for NM DoIT.  The proposed solution should support TCP/IP addressability for all components throughout the network.  The proposed solution should be capable of working on or integrating with the current or future NM TRD telephony system  The system shall support a unified Communications suite including voice, e-mail, and Web sessions.  Wherever possible, the existing state of NM network will be used for all TRD traffic.

RECORD RETENTION Record Retention for the system will comply with 1.18.333 NMAC, effective October 1, 2007.

Area Description CONSOLIDATION Location of the system hardware and software depends upon the STRATEGY accepted solution. Production equipment for premise solutions will be physically located at the Enterprise Data Center, Simms Building in Santa Fe. Hosted solutions will be physically located at the Contractor’s hosted site.

3.0 PROJECT/PRODUCT SCOPE OF WORK

In its efforts to move from the high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product. Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements

3.1 DELIVERABLES

3.1.1 PROJECT DELIVERABLES

Project Charter Current Document

Certification Form Provided.

Project Management Plan Will be supplied at the time of Request for Planning Phase Certification. A prerequisite to Request for Planning Phase Certification is the selection of a vendor and Contract Award. IV&V Contract & Reports Funding for the IV& V contract is part of the Initiation Request.

IT Service Contracts The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts which will be the basis of contract with vendor. Risk Assessment and N/A for Initiation management Project Schedule MicroSoft Project 2007

Monthly Project Status N/A for Initiation Reports to DoIT Project Closeout Report N/A for Initiation

3.1.2 PRODUCT DELIVERABLES The product deliverable documents listed here are only used for illustration purposes Requirements Completed and attached to the RFP currently in Process. Documents

Design Documents The following are required components of the IVR/ Voice Portal solution:  A comprehensive set of user, system, and management documentation. Systems Specifications  Both online, or otherwise electronic, and hard-copy documentation libraries.  The online user documentation must describe the components, functions, and operations of the proposed solution.  Operations descriptions must include a list and description of all error conditions, as well as the associated error message displayed and the action required of the operator.  As part of the maintenance services, the Contractor must maintain and update online documentation throughout the life of the proposed system and must reflect hard-ware/software version updates and modifications.

Systems Architecture Goals of the Offeror-provided Architecture include:

Provide open systems-based architecture that is more reliable, flexible, and maintainable.

Adhere to national standards for data exchange, security, and interfaces including:  National Information Exchange Model (NIEM) v2.0 July 2007  Voice Extensible Markup Language (VoiceXML)  Voice Browser Call Control (CCXML) v1.0  Speech Recognition Grammar Specification (SRGS) V1.0  Speech Synthesis Markup Language (SSML) V1.1  Pronunciation Lexicon Specification (PLS) – October 2004  Health Insurance Portability and Accountability Act of 1996 (HIPAA)  Payment Card Industry (PCI) Standards – PCI Data Security Standard Version 1.1  Section 508 Accessibility Standards

Improve the quality of and accessibility to information for users of the VP/IVR with administrative access to transactions; tool set standards, such as SQL and Open Database Connectivity (ODBC); and system management tools available to NM TRD administrators.

Offeror is required to provide a proposed Architecture in their response.

System and Acceptance A Test Plan will be provided by the successful Offeror that Testing includes the following:  Test Procedures  Inspection  Functional Testing  Operational Testing  Regression Testing  Benchmark Testing  Final Acceptance Testing System Test Scenarios and Test Scripts will be created and executed by the successful Offeror. User Acceptance Test (UAT) Scenarios and Test Scripts will be created and executed by TRD personnel with UAT support supplied by the successful Offeror Operations The online user documentation must describe the components, requirements functions, and operations of the proposed solution. Operations descriptions must include a list and description of all error conditions, as well as the associated error message displayed and the action required of the operator.

3.2 SUCCESS AND QUALITY METRICS Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget. (This category is different than the project metrics that more often deal with changes to scope slippages in dates and the like). Number Description 1 Reduction in the Call Abandonment from the current 20% to 15% within six months of installation of the system and associated Business Process Change.

2 Maintain a Schedule Performance Index (SPI) of 1 throughout the project

3 Maintain a Cost Performance Index (CPI) of 1 throughout the project

4 Post-implementation provide a 99.5% 24x7 system availability

5 Reduce development time per change in call scripts using the IDE environment and wizards.

4.0 SCHEDULE ESTIMATE

A more detailed Project Schedule will be available upon contract award, as part of the Request for Planning Phase Certification. Contract award and the protest deadline are currently scheduled to be complete by December 27, 2010. The project is tentatively scheduled for completion by December 31, 2011.

5.0 BUDGET ESTIMATE

5.1 FUNDING SOURCE(S) Source Amount Associated restrictions Laws of 2010, Chapter $ 710, 310 Must be used for the IVR/Voice Portal 156, Section 1 project. Laws of 2010, Chapter 6, Section 3, Item H (BAR authority) General Appropriation $39,690 Was used Professional Services to develop the Act IVR RFP. Laws of 2009 Chapter 124, Section 3, Item I Section 66-5-201 and Section 66-6-23A(5)(e) NMSA 1978

Total $750,000

5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE - Item Cost Estimate Internal Personnel Use Existing Staff Professional Services to help $ 39,690 develop RFP IV&V Contractor $50,000 IVR/ Voice Portal Hardware COTS Software Professional Services Phase 1 $ 660,310

5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE Phase Cost Estimate Initiation $89,690 Planning $0 Implementation – Phase 1 $660,310 Close $0 Total $750,000

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

6.1 STAKEHOLDERS Stakeholders should be a mix of agency management and end users who are impacted positively or negatively by the project.

name Stake in Project Organization Title Joel Matek Executive Sponsor TRD ITD CIO

Michael Sandoval Business Owner TRD MVD MVD Director

TBD MVD Call Center TRD MVD Call Center Bureau Chief (BC)

Fred Cabbage TRD Call Center TRD ACD Call Center BC

Edd Trimmer MVD Field Office Ops TRD MVD BC

TBD End users TRD

TBD Development & Support TRD ITD

6.2 PROJECT GOVERNANCE PLAN The below diagram of the organization structure includes steering committee members, project manager and technical/business teams.

A steering committee already exists for DRIVE MVD. A decision would have to be made whether a separate steering committee would be created for this project or the existing structure would be used. Reporting directly to the selected steering committee is the designated Project Manager. The participation of Agency personnel would be requested, scheduled and monitored by the designated Project Manager. A Contractor Project Manager would be responsible for the work of the Contractor staff.

6.3 PROJECT MANAGER 6.3.1 PROJECT MANAGER CONTACT INFORMATION name Organization Phone #(s) Email TBD 6.3.2 PROJECT MANAGER BACKGROUND

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY TRD Project Manager Perform the standard Project Management Processes or monitor and control the Contractor performance of the Processes:  Planning  Executing  Monitoring and Controlling  Closing

TRD Team Members Participate as needed in the following activities:  Refinement of project requirements  Acceptance of design and execution deliverables  Creation of UAT scenarios and scripts  Execution of UAT  Final Acceptance of the IVR/ Voice Portal solution

Contractor Project Manage the development, initial testing, installation, implementation, Manager and deployment activities of Contract personnel.

ROLE RESPONSIBILITY Contractor Team Perform development, initial testing, installation, implementation, Members and deployment activities.

6.5 PROJECT MANAGEMENT METHODOLOGY The Department of Information Technology certification process is built around a series of certification gates: Initiation, Planning, Implementation and Closeout. Each of these phases/gates has a set of expected documents associated with it. The gates and the associated documents make up the certification methodology. The standard DoIT methodology will be used to manage the IVR/ Voice Portal project. Since the project is defined as the revision and implementation of a COTS package, typical design document and other project documents may be used in place of the standard DoIT templates. The document set will be recommended by the Offeror in their RFP response, and negotiated and finalized during Contract Award.

7.0 CONSTRAINTS

Number Description 1 Available funding to complete project

2 Availability of TRD personnel to support the project

8.0 DEPENDENCIES

Number Description Type M,D,E

1 The availability of affordable options presented in responses to M1 the RFP.

9.0 ASSUMPTIONS

1 Types include the following and should be associated with each dependency listed.  Mandatory dependencies are dependencies that are inherent to the work being done.  D- Discretionary dependencies are dependencies defined by the project management team.  E-External dependencies are dependencies that involve a relationship between project activities and non- project activities such as purchasing/procurement

Number Description NONE

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1 Probability Low Impact HIGH Description – Risk of service interruption due to Mitigation Strategy: Use of separate development, test and production the strategy of incremental environments. Thorough coverage of test cases. Thorough testing implementation of the before Release to production. current platform in parallel Contingency Plan: with production operations. For each Release, provide a clear “backout” process, procedure and methodology. Risk 2 Probability Low Impact HIGH Description – Risk that the business process changes Mitigation Strategy: and related training will Thorough Communications Plan not be fully adopted. Detailed Training Plan Evaluate training and process changes in parallel with the incremental rollout of the system functions. Contingency Plan :

Create a Contingency Plan for additional training and Change Management activities, based on the results of early implementations.

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

A full communications plan will be created during the Planning Phase. Typical procedures for the Agency and the specific Divisions involved with this project are:  Weekly status report to senior management containing completed tasks, planned tasks, schedule, budget, issues and risks.  Monthly status report to the Steering Committee containing most of the same information as contained in the weekly status report.  Project and phase specific communications during the project.

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

IV&V focus depends upon the type of project, with various emphases on project and product deliverables. The following check list is based on Exhibit A of the OCIO IV&V Contract Template, and the Information technology template. . It is included here to provide a high level of the type of IV&V accountability the project envisions:

Project/Product Area Project Implementation Include –Yes/No Project Management Y Quality Management Y Training Y Requirements Management Y Operating Environment N Development Environment N Software Development N System and Acceptance Testing Y Data Management Y Operations Oversight N

13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

signature date

Executive Sponsor

JOEL MATEK

Business Owner

MICHAEL SANDOVAL

Project Manager

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE

signature date

DoIT / PCC Approval