Gentax Upgrade Project Phase 3 Business Credit Manager
Sub-Project Charter For Reporting
Executive Sponsor – Demesia Padilla, Cabinet Secretary TRD
Business Owners - Greg Saunders (CIO TRD), Terry Rister (Division Director ACD/RPD), John Tysseling (Chief Economist)
Project Managers – Kimberle Lowe, Stephen Azuma, Jonathan Polonsky
Original Plan Date: August 25, 2013
Revision Date: August 25, 2013
Revision: 1.2
table of contents
table of contents
1.0 project background
1.1 Executive Summary -rationale for the project
2.0 Justification, Objectives and impacts
2.1 Agency Justification
2.2 Business Objectives
3.0 Project/Product Scope of Work
3.1 Deliverables
3.1.1 Project Deliverables
3.1.2 Product Deliverables
3.1.2.1 Requirements Definition
3.1.2.2 System Design Specification
3.1.2.3 Unit Testing Approval
3.1.2.4 System Validation Approval
3.1.2.5 Production Acceptance Approval
4.0 Schedule Estimate
4.1 Contract-based Project Timeline
4.2 Working Schedule
5.0 Budget Estimate
5.1 Funding Source(s)
5.2 Budget by Project Phase
6.0 Project Authority and Organizational Structure
6.1 STAKEHOLDERS
6.1.1 Executive Stakeholders
6.1.2 Business Stakeholders
7.0 Significant Risks and Mitigation Strategy
8.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
9.0 sub-Project Charter review Agency Approval Signatures
10.0 sub-Project Charter Review Approval Signature
Revision History
Revision Number / Date / Comment1.0 / August 14, 2007 / Original DoIT PMO Document
1.1 / August 1, 2013 / Revise template according to PMO Manager
1.2 / August 25, 2013 / Business Credit Manager Sub-Project Charter for Reporting based on BCM PMP v2.2
1
Sub-Project Charter Gentax Upgrade Phase 3 Business Credit Manager1
1.0project background
The project background section is meant to provide the reviewer with a picture of the development of the project from inception to its being submitted for certification.
1.1 Executive Summary -rationale for the project
The NM Legislature has recently been looking at ever more complicated business credits that are more narrowly defined and specialized. These are more difficult to administer, and a Business Credit module within Gentax will help in this regard. TRD anticipates that the number and complexity of business credits will continue to grow and make this an even larger problem in the future.
TRD administers multiple tax programs which includes in many cases business credits that allow taxpayers to reduce their tax liability through the qualifications required in legislation that created the business credit.
New Mexico now offers twenty-plus business related tax credits to corporations and individuals who meet stated requirements. Credits currently apply to the Combined Reporting System (CRS gross receipts, compensating and withholding taxes), Corporate Income Tax (CIT), Personal Income Tax (PIT), Fiduciary Income Tax (FID), Enhanced 911 Services Surcharge, and Telecommunications Relay Services Surcharge.
Each of these business-related tax credits requires a specific set of forms for both the application and the claim. When an application is submitted, it is entered and tracked in a mostly manual fashion by employees that work for the Revenue Processing Division using Microsoft Excel spreadsheets.
Although some business tax credit processing is currently done in Gentax, it is very limited. TRD has the responsibility to distribute receipts to multiple stakeholders. Business tax credits for CRS are now tracked in Gentax at a summary level but TRD cannot determine the specific business tax credit to offset or reduce.
The Business Credit module will provide the Department additional tools for supplying accurate and consistent customer service while increasing the use of the Gentax system.
2.0 Justification, Objectives and impacts
The justification and objectives section relates the project to the purpose of the lead agency and describes the high level business and technical objectives for the project. The section also includes a high level review of the impact to the organization, and of the concerns for transition to operations.
2.1 Agency Justification
TRD’s objectives for FY14 are to build upon the expanded Tax collection and management capabilities of the recently implemented upgrade to v9 of the Gentax tax software application.
The purpose of the Business Credit module is to electronically process business tax credits, within Gentax, showing how funds are disbursed to the various tax credits for each tax program, by tax return, and tax type, including:
- Provide TRD with a business credit module which will track and control the validation and offset of business credits in the system.
- Improve reporting efficiency and accuracy pertaining to all revenue agency aspects by implementing a Business Credits Module into GenTax v9.
2.2 Business Objectives
Number / Description1. / Extend the existing functionality and infrastructure of Gentax to support Business Credit Manager. Benefits are efficient use of existing hardware and software resources and investment in development and training on the Gentax platform.
2. / Eliminate manual processing, tracking and use of spreadsheets where possible through automation within Gentax. Benefits are timeliness and accuracy of processing.
3. / Consolidate and standardize user interface and reporting for all TRD divisions. Benefits are operational efficiency and improved inter-divisional integration.
4. / Provide approval levels and tracking of those approvals, as well as, accurate accounting and improved analysis and reporting of business tax credits, including reduced reporting time. Benefits are timeliness, and accessibility for reporting and analysis.
5. / Eliminate over-distribution and duplicate tax credit claims. Benefits are loss-control, taxpayer compliance and taxpayer confidence in the fairness and integrity of the tax system.
6. / Create standardized models to accommodate current and future tax credits. Benefits are manageability of existing credits and flexibility and responsiveness in implementing new credits.
7. / Provide reporting functionality by tax credit type, industry type, tax program, and geographical location. Benefits are accountability and accessibility of information.
8. / During Legislative session, provide data and reports to Tax Policy and Research so that timely and accurate fiscal impact and forecast revenue projections of proposed legislation may be prepared. Benefits are improved customer service for Legislative Branch, and support for internal TRD policy-making and analysis.
3.0 Project/ProductScope 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
Deliverable Number / DeliverableProject Charter
Project Management Plan
IV&V Contract & Reports
IT Service Contracts
Risk Assessment and Management
Project Schedule
Project Status Reports
Requirements Definition Sign-Off
System Design Specification Sign-Off
Testing Sign-Off
Validation Sign-Off
Acceptance Sign-Off
Project Closeout Report
3.1.2 Product Deliverables
3.1.2.1 Requirements Definition
The requirements definition for business and user requirements will be structured using NM DoIT Business Requirements Template.
Business and User requirements and Traceability for the modules and functionality that is to be implemented in the next phase / Deliverable Acceptance Criteria – ICs review and assess the quality of the deliverables before forwarding to executive committee for formal acceptanceStandards for Content and Format - Microsoft Word Document
Quality Review - IV&V reviews all documents for completeness
3.1.2.2 System Design Specification
Design requirements for the modules and functionality that is to be implemented in that phase / Deliverable Acceptance Criteria – ICs review and assess the quality of the deliverables before forwarding to executive committee for formal acceptanceStandards for Content and Format - Microsoft Word Document
Quality Review - IV&V reviews all documents for completeness
3.1.2.3 Unit Testing Approval
Acceptance that the functional testing meets the design requirements and no critical issues are outstanding / Deliverable Acceptance Criteria – ICs review and assess the quality of the deliverables before forwarding to executive committee for formal acceptanceStandards for Content and Format - Microsoft Word Document
Quality Review - IV&V reviews all documents for completeness
3.1.2.4 System Validation Approval
Acceptance that system meets design requirements and no critical issues are outstanding / Deliverable Acceptance Criteria – ICs review and assess the quality of the deliverables before forwarding to executive committee for formal acceptanceStandards for Content and Format - Microsoft Word Document
Quality Review - IV&V reviews all documents for completeness
3.1.2.5 Production Acceptance Approval
Acceptance that system functions as designed in production and no critical issues are outstanding / Deliverable Acceptance Criteria – ICs review and assess the quality of the deliverables before forwarding to executive committee for formal acceptanceStandards for Content and Format - Microsoft Word Document
Quality Review - IV&V reviews all documents for completeness
4.0 Schedule Estimate
4.1 Contract-based Project Timeline
Task Name / Duration / Start / FinishPhase 3 / 261 days / Mon 7/1/13 / Mon 6/30/14
System Design & Development Business Credit Manager / 155 days / Mon 7/1/13 / Fri 1/31/14
System Validation Business Credit Manager / 85 days / Mon 2/3/14 / Fri 5/30/14
Production Implementation Business Credit Manager / 21 days / Mon 6/2/14 / Mon 6/30/14
Project Close-Out / 23 days / Tue 7/1/14 / Thu 7/31/14
4.2 Working Schedule
5.0 Budget Estimate
Within the Project Charter budgets for the project can only be estimated. Original budgets requested in appropriations or within agency budgets are probably not the numbers being worked with at project time. Funding sources are asked for to help evaluate the realism of project objectives against funding, and the allocation of budget estimates against project deliverables.
Please remember to include agency staff time including project managers as costs.
5.1 Funding Source(s)
Source / Amount / Associated restrictions / ApproversLaws of 2012, Chapter 19, Section 7, Item 4 / $6,230,000 / Must be used for Gentax Upgrade to Current Version. Must be expended before 06/30/14
5.2 Budget by Project Phase
Phase / Activity / Associated Deliverables / Estimated BudgetIV&V / IV&V Contract & Reports / $50,000
Gentax Upgrade Phase 3: Business Credit Manager / Requirements Definition Sign-Off
Design Specifications Sign-Off
Testing Sign-Off
Validation Sign-Off
Acceptance Sign-Off
Project Closeout Report / $1,250,000
TOTALS / $1,300,000
6.0 Project Authority and Organizational Structure
6.1 STAKEHOLDERS
6.1.1 Executive Stakeholders
name / Stake in Project / Organization / TitleDemesia Padilla / Executive Sponsor / TRD / Cabinet Secretary
Greg Saunders / IT Executive lead / TRD / Cio
Terry Rister / ACD/RPD Executive lead / TRD / ACD/RPD Director
John Tysseling / Tax Policy / TRD / Chief Economist
Jim Wastvedt / Gentax Business
Unit / TRD / Bureau Chief
Kimberle Lowe / Business project Manager / TRD / Project Manager
Stephen Azuma / IT Project Manager / TRD / Project manager
Jonathan Polonsky / FAST Project Manager / FAST / PROJEcT MANAGER
6.1.2 Business Stakeholders
name / Stake in Project / Organization / TitleDavid Fergeson / Audit Division Lead / TRD / ACD Deputy Director
Charlene Trujillo / Revenue Processing Division Lead / TRD / RPD Deputy Director
Aysha Mora / Data Warehouse bureau / TRD / DW bureau chief
Natalie Smith / ACD / TRD / ACD Bureau Chief
Joan Wittig / ACD / TRD / Audit Division Supervisor
David de la o / RPD/ASRB / TRD / ASRB Bureau Chief
lucretia maez / RPD/ASRB / TRD / RPD Edit-Error
Joan Duran / RPD/ASRB / TRD / RPD CRS Supervisor
Shawn Marris / ACD / TRD / Senior Economist
aaron brown / ACD / TRD / ATSS Bureau Chief
7.0 Significant Risksand Mitigation Strategy
RPD resource availability is insufficient.
Description – RPD resources and personnel are needed for project management, requirements management, testing, training and acceptance / Probability - Possible / Impact – HighMitigation Strategy – Senior management stakeholders are involved and support the project. Personnel have been permanently assigned to the project.
Contingency Plan - Have backups who can step in to cover tasks and responsibilities.
Tax Policy and Research resource availability is insufficient.
Description – Economist resources and personnel are needed for project management, requirements management, testing, training and acceptance / Probability - Possible / Impact – HighMitigation Strategy – Senior management stakeholders are involved and support the project. Other personnel who do work similar to the economists will assist.
Contingency Plan - Have backups who can step in to cover tasks and responsibilities.
Key project member leaves project.
Description – One or more key personnel may leave the project / Probability - Possible / Impact - MediumMitigation Strategy - Personnel are identified and allocated for the length of the project.
Contingency Plan – Communication is maintained throughout the project to ensure the Gentax team is aware of all tasks and responsibilities.
Business Functionality may not behave as expected.
Description – Requirements of TRD may not align with the system that is built / Probability – Possible / Impact - LowMitigation Strategy –TRD is focused on understanding its requirements and objectives and communicating that clearly. The Change Control Process and Decision Requests are the primary vehicle to change the behavior of the system. The stakeholders decide which path to follow and those changes are implemented. Testing and training will identify and train new procedures.
Contingency Plan – Communication is maintained throughout the project to ensure TRD is aware of all changes in behavior.
Critical System bugs may prevent rollout.
Description – Critical system bugs may be identified / Probability - Low / Impact - MediumMitigation Strategy – Complete and broad testing will be used to identify bugs and other issues. Acceptance and support schedules specific time periods to address issues.
Contingency Plan – The existing system can be used until critical issues are fixed.
Vendor view of scope is insufficient.
Description – Vendor view of project scope necessary but not sufficient. / Probability - High / Impact - LowMitigation Strategy – A requirements gathering process is established to capture business requirements. Those requirements will be documented in the Requirements Definition which needs sign-off by the Executive Steering Committee before design and development can be signed-off.
Contingency Plan – The Executive Steering Committee may delay sign-off of the Requirements Definition until project scope is fully captured.
There is insufficient time for requirements gathering.
Description – Lack of sufficient time for TRD Stakeholders to gather, analyze and document business and user requirements. / Probability - Low / Impact - LowMitigation Strategy – A requirements gathering process is established to capture business requirements. The design and development process is flexible to incorporate changes identified throughout the project life. Those requirements will be documented in the Requirements Definition which needs sign-off by the Executive Steering Committee.
Contingency Plan – The Executive Steering Committee may delay sign-off of the Requirements Definition until requirements are completely gathered, analyzed and documented.
Business Case contains requirements that are not actionable.
Description - Business Case contains requirements that are not actionable / Probability - Low / Impact - MediumMitigation Strategy – The Business Case will be analyzed to extract requirements and incorporate them as high-level actionable requirements. Business objectives and goals have also been identified.
Contingency Plan – If it is determined that there are non-actionable requirements contained in the Business Case, then they may be documented as exclusions in the Requirements Definition for acceptance and sign-off by the Executive Steering Committee.
Variety of Credits
Description – Variety of credits means it is more difficult to systematically create a solution in Gentax V9 / Probability - Medium / Impact - MediumMitigation Strategy
Understand each credit in depth to be able to standardize the business process around each. Develop templates or models that apply to multiple credits and can be applied to future credits.
Contingency Plan
The project has identified the credits and the priorities. They can be incorporated in that order.
Business process changes may impact businesses.
Description – Multiple business units affected and may have to change their practice. / Probability - Low / Impact - MediumMitigation Strategy
The project has initiated communication with all of the affected business units. Major units have identified ICs that will directly represent them. Others will participate in focus meetings. Decision Requests accepted by the Executive Steering Committee ensure TRD accepts the outcome they want.
Contingency Plan
Each of the credits, its priority and the responsible unit is identified. Business process changes will occur based on the priority identified.
Solution must work for a variety of stakeholders.
Description – Solution must work for multiple units within TRD. / Probability - Low / Impact - HighMitigation Strategy
The project has initiated communication with all of the affected business units. Major units have identified ICs that will directly represent them. Others will participate in focus meetings. Each unit will have a chance to participate in testing. Requirements and Design Specifications will be signed-off by the ESC.
Contingency Plan
Each of the credits, its priority and the responsible unit is identified. Business process changes will occur based on the priority identified.
Not all manual processing can be automated.
Description – It may not be technically feasible to replace all manual processing of tax credits. / Probability - Low / Impact - LowMitigation Strategy – BCM should implement standardized interfaces to accept data from other Agencies, eliminating manual data entry. If the standard models are used BCM should be able to track the credit from application through granting with minimal user intervention.
Contingency Plan - If support for manual processing of tax credits is not technically feasible in certain instances, support for manual processing, for example data entry screens, will be available in Gentax.
8.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V