Executive Sponsor – Demesia Padilla, Cabinet … - … · Web viewThe GenTax upgrade to version 9 provides the improved ability to keep up with the ever growing world of ... currently

GGENENTTAXAX U UPGRADEPGRADE TOTO V VERSIONERSION 9 P 9 PROJECTROJECT

PPROJECTROJECT C CHARTERHARTER F FOROR C CERTIFICATIONERTIFICATION

EXECUTIVE SPONSOR – DEMESIA PADILLA, CABINET SECRETARY TRD

BUSINESS OWNER - GREG SAUNDERS, CIO TRD

PROJECT MANAGERS – JIM WASTVEDT/ELIZABETH SANCHEZ

ORIGINAL PLAN DATE: APRIL 18, 2012

REVISION DATE:

REVISION:

ABOUT THIS PROJECT CHARTER DOCUMENTABOUT THIS PROJECT CHARTER DOCUMENT

PPERMISSIONERMISSION TOTO PLANPLAN THETHE PROJECTPROJECT ANDAND SETTINGSETTING THETHE GOVERNANCEGOVERNANCE STRUCTURESTRUCTURE

The Project Charter provides the project manager and project team with permission to proceed with the work of the project, within the scope delineated in this document. The Project Charter should be the outcome of a number of documents that went into the pre-planning for the project, and in many cases the agency IT Plan, Business Case for appropriations, Federal funding requests and the like.

Project sponsors sign the Project Charter signifying that they have agreed to the governance structure for guiding the direction for the further planning of the project, discovery and defining the requirements, acquiring necessary resources, and within that context the statement of work for any related contracts including a contract for the Independent Validation and Verification.

The Project Charter is also the foundation for the creation of the project management plan, and much of the thinking and writing for this charter will be immediately usable for that project management plan.

PPROJECTROJECT CERTIFICATIONCERTIFICATION I INITIALNITIAL PHASEPHASE DOCUMENTATIONDOCUMENTATION

The Project Charter is also used within the State of New Mexico IT Project Certification process as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initial funds required for the project.

Initiation Phase funding is requested by an agency for use in developing project phases, developing Independent Verification and Validation (“IV&V”) plan and contract; address project review issues and/or to develop an overall project management plan. Note: Waiver of the IV&V requirement requires specific written approval by the Secretary of the DoIT. DoIT “Project Certification” Memorandum July 2, 2007

The Project Charter and the Request for Certification Form are meant to provide a comprehensive picture of the project’s intention and initial planning, that includes the project’s place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.

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TABLE OF CONTENTSTABLE OF CONTENTSABOUT THIS PROJECT CHARTER DOCUMENT........................................................................................................ I

TABLE OF CONTENTS........................................................................................................................................... II

1. PROJECT BACKGROUND.................................................................................................................................. 1

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT....................................................................................................11.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT.........................................................11.3 PROJECT CERTIFICATION REQUIREMENTS....................................................................................................................1

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS....................................................................................................2

2.1 AGENCY JUSTIFICATION...........................................................................................................................................22.2 BUSINESS OBJECTIVES.............................................................................................................................................22.3 TECHNICAL OBJECTIVES...........................................................................................................................................22.4 IMPACT ON ORGANIZATION......................................................................................................................................32.5 TRANSITION TO OPERATIONS....................................................................................................................................3

3.0 PROJECT/PRODUCT SCOPE OF WORK............................................................................................................ 3

3.1 DELIVERABLES.......................................................................................................................................................33.1.1 Project Deliverables...................................................................................................................................33.1.2 Product Deliverables..................................................................................................................................3

3.2 SUCCESS AND QUALITY METRICS..........................................................................................................................3

4.0 SCHEDULE ESTIMATE..................................................................................................................................... 3

5.0 BUDGET ESTIMATE........................................................................................................................................ 3

5.1 FUNDING SOURCE(S)..............................................................................................................................................35.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -..............................................................................................35.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE..................................................................................................3

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................3

6.1 STAKEHOLDERS.................................................................................................................................................36.2 PROJECT GOVERNANCE PLAN...........................................................................................................................36.3 PROJECT MANAGER...........................................................................................................................................3

6.3.1 PROJECT MANAGER CONTACT INFORMATION..........................................................................................36.3.2 PROJECT MANAGER BACKGROUND ..........................................................................................................3

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES..................................................................................................36.5 PROJECT MANAGEMENT METHODOLOGY ...................................................................................................................3

7.0 CONSTRAINTS............................................................................................................................................... 3

8.0 DEPENDENCIES.............................................................................................................................................. 3

9.0 ASSUMPTIONS.............................................................................................................................................. 3

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY.........................................................................................3

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING..................................................................................3

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V................................................................................3

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES...................................................................................3

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE..........................................................................3

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Revision History

RREVISIONEVISION N NUMBERUMBER DDATEATE CCOMMENTOMMENT

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PROJECT CHARTER [PROJECT NAME] 1

1. PROJECT BACKGROUND1. PROJECT 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.

1.11.1 EEXECUTIVEXECUTIVE S SUMMARYUMMARY - -RATIONALERATIONALE FORFOR THETHE PROJECTPROJECT

The Taxation and Revenue Department (TRD) is responsible for collecting tax dollars and distributing them according to state law. The mission of TRD is to administer and enforce, with fairness warranting the public’s confidence, New Mexico’s taxation and revenue laws through a system that efficiently and securely delivers quality customer services. To do this effectively, it is essential for the Department to upgrade the current version on GenTax, the tax system of record for the state of New Mexico.

GenTax is a commercial-off-the-shelf (COTS) product provided by Fast Enterprises, LLC that delivers state-of-the-art integrated tax processing. GenTax is currently in production processing revenue for 28 of the tax programs administered by TRD, and processes approximately $5.5 to $6.5 billion in annual revenues (depending on the state of the economy). The value of GenTax cannot be measured solely by the amount of revenue collected and distributed; it provides the accounting basis for TRD financial statements, manages the revenue stream from taxpayer to beneficiary, and holds historical information.

New Mexico was one of the first states to implement GenTax. Since the initial implementation of two tax programs, personal and corporate income tax, in 2002, GenTax has grown to support 28 different tax programs. Some modules in the current version are obsolete, no longer supported, and are cumbersome to use and maintain. The system is over 5 years behind on the technology curve. The GenTax upgrade to version 9 provides the improved ability to keep up with the ever growing world of cybercrime, security, and fraud; areas in which technology has significantly evolved over the past 5 years. This project will allow TRD to bring these important modules of our tax processing system to the most current versions available which will provide enhanced functionality to users while removing many of the tedious manual processes and interventions required by developers. Both users and developers will see an increase in effectiveness and efficiency with the upgraded module functionality

This initiative aligns with the Governor’s Priorities

TRD strategic plan, the Governor’s Moving New Mexico Forward initiatives, and best practices for information technology. This project meets the requirements for strategic alignment with the New Mexico Information Technology Strategic Plan FY11 – FY13.

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1.2 S1.2 SUMMARYUMMARY OFOF THETHE FOUNDATIONFOUNDATION PLANNINGPLANNING ANDAND DOCUMENTATIONDOCUMENTATION FORFOR THETHE PROJECTPROJECT..

1.3 P1.3 PROJECTROJECT C CERTIFICATIONERTIFICATION R REQUIREMENTSEQUIREMENTS

Does the project fit into the criteria for certification? Which and how?

CRITERIA YES/NO EXPLANATION

Project is mission critical to the agency Yes

Project cost is equal to or in excess of $100,000.00

Yes

Project impacts customer on-line access TBD

Project is one deemed appropriate by the Secretary of the DoIT

Yes

Will an IT Architecture Review be required? No This is an upgrade to a proprietary COTS system based upon Microsoft’s .NET architecture that is currently installed at TRD

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS2.0 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 A2.1 AGENCYGENCY J JUSTIFICATIONUSTIFICATION

IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT

NUMBERNUMBER DESCRIPTIONDESCRIPTION

AGENCY

A 1.0

STRATEGIC PLAN GOALS THAT THE GENTAX UPGRADE PROJECT FULFILLS:

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A 2.0

A 3.0

Provide professional and effective service that meets the needs of all customers.

Deliver high-quality information technology services that are reliable, accessible, secure, and meet all internal and external needs.

To keep the agency systems technologically current to make processing, maintenance and upgrades cost effective and efficient.

2.2 B2.2 BUSINESSUSINESS O OBJECTIVESBJECTIVES

USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES


BUSINESS OBJECTIVE 1

Upgrade all the modules of our tax processing system to the most current versions available to mitigate the risk the risk of catastrophic failure by ensuring continued system platform architectural support from the vendor of the application software (Fast Enterprises) and the technology software (Microsoft) upon which the GenTax platform is built.

BUSINESS

OBJECTIVE 2

Implementation of the GenTax integrated data warehouse module (Discovery). This module which is an integral part of GenTax will greatly enhance TRD’s ability to increase audits, collections, non-filer recoveries, real-time fraud prevention, and return validation. This will generate additional annual revenues above and beyond our current capabilities with our current data warehouse product. Examples of revenue gains in other states:

Alabama Audit and Compliance Division – without Discovery in FY 2008 - $10 million, with Discovery in 2010 - $17.7 million

Illinois Audit and Compliance Collections - $44 million collected using leads generated by Discovery.

California Employment Development Department (unemployment compensation) Collection increase in 2010 of $29 million in new revenue in FY 2010 using Discovery.

Utah Personal Income Tax – additional $1.9 million in

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revenue generated from one CP2000 tape match that auto generated 3,600 assessment letters from Discovery.

Target Measurement:

Increase in Discovery Collections over 2011 Increase in Non-Filer Collections over 2011

BUSINESS

OBJECTIVE 3

The Treasury Offset Program (TOP) is a debt collection program administered by the Financial Management Services (FMS), a bureau of the U.S. Department of the Treasury. This program allows state agencies to submit past-due, legally enforceable state income tax obligations to FMS for offset of the debtor’s individual federal income tax refund. In effect, Federal refunds can be paid to NM to offset state income tax liability.

The current TRD version of GenTax refunds in New Mexico does not contain the functionality to enable to state to join the SITLIP program (reverse TOP). The IRS has threatened to stop the TOP program if TRD cannot implement SITLIP to intercept state refunds for IRS debt.

Implementation of a new TOP module in GenTax will include the following benefits: Significant new revenues annually through more efficient

processing and an upgraded Taxpayer Offset Program module. This automation will improve productivity and data accuracy by

reducing manual data entry, which will allow employees to spend time on other essential duties to ensure compliance with the tax laws

Allow for the inclusion of all taxpayers eligible for federal offsets, including spouses, ex-spouses, and those using ITIN’s

Spend less time on manual interventions to correct errors Ensure that all taxpayers eligible for offset of federal refunds for

state debt are included in the file sent to the US Treasury Department.

Improved reporting efficiency and accuracy pertaining to offsets and refunds

Improved collection operations and collection efforts leading to increased revenues

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Reduced human error related to reporting Improved customer service

Target Measurement: $$$ Increase in TOP Collections over 2011

BUSINESS

OBJECTIVE 4

Implementation of a Business Credit Manager module will help the state determine and manage the effectiveness of business credits.

The NM Legislature has recently been looking at ever more complicated business credits that are more narrowly defined and specialized. These are more difficult to administer, and a Business Credit module within GenTax will help in this regard. TRD anticipates that the number and complexity of business credits will continue to grow and make this an even larger problem in the future.

TRD administers multiple tax programs which includes in many cases business credits that allow taxpayers to reduce their tax liability through the qualifications required in legislation that created the business credit. New Mexico now offers twenty-plus business related tax credits to corporations and individuals who meet stated requirements. Credits currently apply to the Combined Reporting System (CRS – gross receipts, compensating and withholding taxes), Corporate Income Tax (CIT), Personal Income Tax (PIT), Fiduciary Income Tax (FID), Enhanced 911 Services Surcharge, and Telecommunications Relay Services Surcharge. Each of these business-related tax credits requires a specific set of forms for both the application and the claim. When an application is submitted, it is entered and tracked in a mostly manual fashion by employees that work for the Revenue Processing Division using Microsoft Excel spreadsheets. Although some business tax credit processing is currently done in GenTax, it is very limited. TRD has the responsibility to distribute receipts to multiple stakeholders. Business tax credits for CRS are now tracked in GenTax at a summary level but TRD cannot determine the specific business tax credit to offset or reduce. The Business Credit module will provide the Department additional tools for supplying accurate and consistent customer service while increasing the use of the GenTax system.

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BUSINESS

OBJECTIVE 5

Upgrading to the current Refunds module will greatly enhance revenues due to a significant reduction of fraudulent refunds – due to better fraud detection through the upgraded Refunds module and data exchange functionality. The new Refund Module will add “Refund Request Date” to the

GenTax Refund Module. TRD staff will use this field to specify the date a refund is “requested”. Interest on the refund will be calculated using this date. This will allow TRD to “back date” a refund, when appropriate and when approved. The GenTax Refund Module will calculate and display a “Potential Refund Interest” field, allowing TRD to know and approve the refund amount and interest before processing the refund.

There will be a new “Refund Interest” window that will detail how the interest was calculated, e.g., by principle, by interest rate and by period.

The new Refund Module is cleaner, better organized and presents all pertinent information in one screen. It clearly shows the approval stage the refund is currently in as well as the associated history, actions that have been taken, when the action was taken and by whom. It also notes any additional actions that need to be completed before the refund can be issued.

Refunds will be assigned to a specific owner (TRD staff) with a specific Work Date, making it possible to track the status and process of all refunds. Refunds that are awaiting review and/or approval can be assigned a revised Work Date thus allowing TRD staff to focus on approved refunds while still scheduling other refunds for review at a future date. This minimizes the risk of anything “falling through the crack.”

Refunds can be batched together as a group, allowing TRD to track refunds by date, refund type, and how they were issued.

Refunds returned by the Post Office due to an address change can be automatically resent.

A refund status change will automatically trigger a review of the refund.

The revised Refund Module will automatically check for “joint account” with a debit status.

An alternate name/address may be specified. This will allow the

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payment to be made to a bankruptcy trustee rather than a taxpayer.

Two new fields will be added to the Refund Module: Refund Released Date and Refund Batch Release Date. This will allow TRD employees to set/reset the date a refund is to be issued, or the date a group of refunds is to be issued.

The new Refund Module will display a “Transfer Control” screen, detailing which portions of a refund have been transferred to other accounts or intercepted, where and when they were sent.

The new Refund module will contain improved fraud detection code. The fraud detection (Data Exchange, etc.) is now part of the core GenTax refund module. Each State has different and unique ways of catching fraudulent or erroneous returns. The processes range from using data warehouses for stopping returns automatically to each refund being reviewed and analyzed individually. NM currently uses a process where a refund moves through GenTax one stage at a time each night during batch processing. This requires the fraud group to catch any suspicious filers in a single day - before it moves on to the next stage during the nightly batch process. The new core Refunds module can use built-in criteria like "move to the new stage after three days" which would allow the fraud personnel additional time to review returns for potential fraud before releasing to be refunded.

Target Measurement: $$$ amount increase in Refunds Denied over 2011

2.3 T2.3 TECHNICALECHNICAL O OBJECTIVESBJECTIVES


TECHNICAL OBJECTIVE 1

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

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2.4 I2.4 IMPACTMPACT ONON O ORGANIZATIONRGANIZATION

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.

AREAAREA DESCRIPTIONDESCRIPTION

END USER THE GENTAX UPGRADE WILL REQUIRE THE END USERS TO LEARN A NEW PRESENTATION LAYER INTERFACE AS THE GUI WILL BE NEW

BUSINESS PROCESSES

THERE MAY BE CHANGES TO A FEW INTERNAL TRD BUSINESS PROCESSES INVOLVING DIVISIONAL USERS DUE TO THE ENHANCED FUNCTIONALITY AND ADDITIONAL SYSTEM CAPABILITIES.

IT OPERATIONS AND STAFFING

THE ADDED FUNCTIONALITY THAT THE UPGRADE WILL FACILITATE WILL REQUIRE INCREASED IT STAFFING TO MAINTAIN THE SYSTEM’S CURRENCY IN FUTURE YEARS.

OTHER THE UPDGRADE WILL REQUIRE SIGNIFICANT PROJECT PARTICIPATION FROM DIVISIONAL END USERS.

2.5 T2.5 TRANSITIONRANSITION TOTO O OPERATIONSPERATIONS

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.


PRELIMINARY OPERATIONS LOCATION AND STAFFING PLANS

THE GENTAX SYSTEM IS CURRENTLY IN PRODUCTION.

DEPLOYMENT OF THE UPGRADED MODULES WILL BE IN A PHASED APPROACH IN ORDER TO MAINTAIN CURRENT PRODUCTION CAPABILITIES. THERE WILL BE A CONTINUATION OF CURRENT PRODUCTION SYSTEM SUPPORT LEVEL STAFFING.

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DATA SECURITY, BUSINESS CONTINUITY

THERE ARE ALREADY DATA SECURITY POLICIES IN PLACE IN THE CURRENT PRODUCTION GENTAX SYSTEM. ENHANCEMENTS TO THESE POLICIES WILL OCCUR WITH THE UPGRADE.

CURRENT BUSINESS CONTINUITY PRACTICES WILL CONTINUE.

MAINTENANCE STRATEGY

TRD IS PLANNING FOR AN INCREASED ANNUAL MAINTENANCE BASE BUDGET REQUEST.

INTEROPERABILITY CURRENT INTEROPERABILITY STATUS WITH OTHER SYSTEMS WILL BE MAINTAINED.

RECORD RETENTION CURRENT RETENTION POLICIES WILL PERSIST.

CONSOLIDATION STRATEGY

TRD WILL LOOK AT FURTHER HARDWRE CONSOLIDATION OF THE GENTAX SERVER PLATFORM USING VMWARE SERVERS.

3.0 PROJECT/PRODUCT SCOPE OF WORK3.0 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 D3.1 DELIVERABLESELIVERABLES

3.1.1 3.1.1 PPROJECTROJECT D DELIVERABLESELIVERABLES

This initial list of project deliverables are those called for by the IT Certification Process and Project Oversight memorandum, but does not exhaust the project deliverable documents

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Project Charter The Project Charter for Certification sets the overall scope for the project, the governance structure, and when signed is considered permission to proceed with the project. The Project Charter for Certification is used to provide the Project Certification Committee with adequate knowledge of the project and its planning to certify the initiation phase of the project

Certification Form The Request for Certification and Release of Funds form is submitted when a project goes for any of the certification phases. It deals with the financial aspects of the project, as well as other topics that indicate the level of planning that has gone into the project. Many of the questions have been incorporated into the preparation of the project charter

Project Management Plan . “Project management plan” is a formal document approved by the executive sponsor and the Department and developed in the plan phase used to manage project execution, control, and project close. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines. A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management. plan.”

IV&V Contract & Reports “Independent verification and validation (IV&V)” means the process of evaluating a project to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the lead agency. Independent verification and validation assessment reporting. The Department requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the Department.

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.

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Risk Assessment and management

The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the following requirement:

“Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule.” Project Oversight Process memorandum

Project Schedule A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The defacto standard is Microsoft Project

Monthly Project Status Reports to DoIT

Project status reports. For all projects that require Department oversight, the lead agency project manager shall submit an agency approved project status report on a monthly basis to the Department.

Project Closeout Report This is the Template used to request that the project be officially closed. Note that project closure is the last phase of the certification process

3.1.2 P3.1.2 PRODUCTRODUCT D DELIVERABLESELIVERABLES

The product deliverable documents listed here are only used for illustration purposes

Requirements Documents Description -

Design Documents

Systems Specifications

Systems Architecture

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System and Acceptance Testing

Operations requirements

3.2 S3.2 SUCCESSUCCESS ANDAND QUALITY METRICS 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.


QM 1 Additional annual reduction in refunds issued – due to better fraud detection.

QM 2 Substantial new revenues annually through more efficient processing

and through the implementation of an upgraded Taxpayer Offset Program module.

QM 3 Savings to the General Fund through the prevention of funds from the General Fund that is not owed to the counties and municipalities.

QM 4 Significant new revenues annually through implementation of the Discovery product.

4.0 SCHEDULE ESTIMATE4.0 SCHEDULE ESTIMATE

The project schedule will be provided after contract negotiations are completed. The goal of TRD is to complete implementation by the end of FY14.

5.0 BUDGET ESTIMATE5.0 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

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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 F5.1 FUNDINGUNDING S SOURCEOURCE((SS))

SOURCESOURCE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

Laws 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. B5.2. BUDGETUDGET B BYY M MAJORAJOR D DELIVERABLEELIVERABLE OROR T TYPEYPE OFOF EXPENSEEXPENSE - -

ITEMITEM COST ESTIMATECOST ESTIMATE ..

TBD TBD

5.3 B5.3 BUDGETUDGET B BYY P PROJECTROJECT P PHASEHASE OROR C CERTIFICATIONERTIFICATION P PHASEHASE

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL 6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURESTRUCTURE

6.1 STAKEHOLDERS6.1 STAKEHOLDERS

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

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NAMENAME STAKE IN PROJECTSTAKE IN PROJECT ORGANIZATIONORGANIZATION TITLETITLE

DEMESIA PADILLA EXECUTIVE SPONSOR

TRD CABINET SECRETARY

GREG SAUNDERS IT EXECUTIVE LEAD TRD CIO

TERRY RISTER ACD/RPD EXECUTIVE LEAD

TRD ACD/RPD DIRECTOR

DAVE ROBBINS ASD EXECUTIVE LEAD

TRD ASD DIRECTOR

JOHN TYSSELING TAX POLICY TRD CHIEF ECONOMIST

JIM WASTVEDT GENTAX BUSINESSUNIT

TRD BUREAU CHIEF/PROJECT MANAGER

ELIZABETH SANCHEZ GENTAX BUSINESS UNIT

TRD PROJECT MANAGER

6.2 PROJECT GOVERNANCE PLAN6.2 PROJECT GOVERNANCE PLAN

A diagram of the organization structure including steering committee members, project manager and technical/business teams would be helpful.

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6.3 PROJECT MANAGER6.3 PROJECT MANAGERSS

6.3.1 PROJECT MANAGER CONTACT INFORMATION6.3.1 PROJECT MANAGER CONTACT INFORMATION

NAMENAME ORGANIZATIONORGANIZATION PHONE #(S)PHONE #(S) EMAILEMAIL

JIM WASTVEDT TRD 505-827-2289 [email protected]

ELIZABETH SANCHEZ TRD 505-6901608 [email protected]

6.3.2 PROJECT MANAGER BACKGROUND 6.3.2 PROJECT MANAGER BACKGROUND

Combined 15 years experience in implementing projects of various scope in both state government and private industry.

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6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

Roles and Responsibilities will be determined during contract negotiations, but are expected to be similar to those for the previous GenTax projects such as Collections/Bankruptcy and TIDD. See below.

RROLEOLE RRESPONSIBILITYESPONSIBILITY

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

Planning Executing Monitoring and Controlling Closing

TRD Team Members Participate as needed in the following activities: Refinement of project requirements in relation to specific

GenTax modules implementation. Participation in the implementation of GenTax modules

upgrades. Testing and Acceptance of GenTax upgraded modules

functionality. Participation in definition of new module (Business Credit

Manager), design, testing and acceptance.

Fast Enterprises Contractor Project Manager

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

Fast Enterprises Contractor Team Members

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

6.5 P6.5 PROJECTROJECT MANAGEMENTMANAGEMENT M METHODOLOGYETHODOLOGY

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From previous experience with similar GenTax projects, TRD expects to use a modified Agile approach (requirements gathering prototyping, user feedback/testing, re-prototyping, user feedback/ testing, etc., acceptance testing) with the contractor in implementing the new Business Credit Manager module as an SDLC. Insofar as the implementation of the other modules to be upgraded, there may be the need to engage in business process re-engineering if the new modules necessitate a variance in business process from those inherent in the current business processes for those modules. In the case of upgrading these modules, there will be a formal implementation sign-off process put in place.

7.0 CONSTRAINTS7.0 CONSTRAINTS


1.0 Funds must be consumed by June, 2014.

2.0 Availability of adequate TRD divisional personnel to support the project

8.0 DEPENDENCIES8.0 DEPENDENCIES

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. This may also

encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.

E-External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement

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

D 1.0 The funds indicated must be used by the specified date M

D 2.0 In the project requirements, it is mandatory that business users are able to re-engineer business process where necessary.

M

9.0 ASSUMPTIONS9.0 ASSUMPTIONS

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A 1.0 The budget for the entire project will not exceed $6,230,000

A 2.0 The entire project can be completed before the end of State FY 2014

A 3.0 Adequate TRD resources will be available for the lifecycle of the project

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1

Description -

Inadequate TRD Resources

Probability Impact

Mitigation Strategy: Fill perm and term vacanciesContingency Plan: Hire supplemental contract resources

Risk 2

Description - The future system may have the same long-term support issues, as currently experiencing

Probability Impact

Mitigation Strategy: Increase base software maintenance support by 100 percent Contingency Plan: Show through additional revenues the value of the system to the legislature by installing high revenue enhancement modules first to demonstrate the increased revenue.

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

Reporting for this project will be subject to current standards from DoIT and the current standards from the GenTax Executive Steering Committee. Currently the GenTax Executive Steering Committee meets monthly. Likewise there will be a project management meeting bi-weekly to report on the project issues and progress.

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

IV&V focus depends upon the type of project, with various emphases on project and product deliverables.

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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 Include –Yes/No

Project Management Yes

Quality Management Yes

Training Yes

Requirements Management Yes

Operating Environment No

Development Environment No

Software Development No

System and Acceptance Testing Yes

Data Management No

Operations Oversight No

Business Process Impact Yes

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

SIGNATURESIGNATURE DATEDATE

EXECUTIVE SPONSOREXECUTIVE SPONSOR

BUSINESS OWNERBUSINESS OWNER

PROJECT MANAGERPROJECT MANAGER

14.0 PROJECT CHARTER CERTIFICATION APPROVAL 14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURESIGNATURE

SIGNATURESIGNATURE DATEDATE

DOIT / PCC APPROVALDOIT / PCC APPROVAL

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