OFFENDER MANAGEMENT SYSTEM (OMS)
REPLACEMENT PROJECT
PR OJ EC T CHA R TER FOR CER TIFIC A TION
EXECUTIVE SPONSOR – GREGG MARCANTEL, SECRETARY OF CORRECTIONS
BUSINESS OWNER – JOE BOOKER, DEPUTY SECRETARY OF OPERATIONS
AGENCY CIO – IT LEAD – TIMOTHY OAKELEY, CHIEF INFORMATION OFFICER
PROJECT MANAGER – JERRY BRINEGAR, DEPUTY CHIEF INFORMATION OFFICER
ORIGINAL PLAN DATE: MARCH 31, 2015
REVISION DATE: APRIL 15, 2015
REVISION: 1.1
ABOUT THIS PROJECT CHARTER DOCUMENT
PERMISSION TO PLAN THE PROJEC T AND SETTING THE GOVERNANCE STRUCTURE
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.
PROJECT CERTIFICATION INITIAL PHASE DOCUMENTATION
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 CONTENTS
ABOUT THIS PROJECT CHARTER DOCUMENT .......................................................................................................... I
TABLE OF CONTENTS .............................................................................................................................................. II
1. PROJECT BACKGROUND ..................................................................................................................................... 1
1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT ..................................................................................................1
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT........................................................1
1.3 PROJECT CERTIFICATION REQUIREMENTS ......................................................................................................................2
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS ...................................................................................................... 3
2.1 AGENCY JUSTIFICATION .............................................................................................................................................3
2.2 BUSINESS OBJECTIVES ...............................................................................................................................................3
2.3 TECHNICAL OBJECTIVES .............................................................................................................................................4
2.4 IMPACT ON ORGANIZATION .......................................................................................................................................5
2.5 TRANSITION TO OPERATIONS ......................................................................................................................................6
3.0 PROJECT/PRODUCT SCOPE OF WORK ............................................................................................................... 9
3.1 DELIVERABLES .........................................................................................................................................................9
3.1.1 Project Deliverables .....................................................................................................................................9
3.1.2 Product Deliverables..................................................................................................................................11
3.2 SUCCESS AND QUALITY METRICS ..........................................................................................................................13
4.0 SCHEDULE ESTIMATE ...................................................................................................................................... 14
5.0 BUDGET ESTIMATE ......................................................................................................................................... 14
5.1 FUNDING SOURCE(S) ..............................................................................................................................................14
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE - ..............................................................................................15
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE..................................................................................................15
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ............................................................................. 16
6.1 STAKEHOLDERS .................................................................................................................................................16
6.2 PROJECT GOVERNANCE PLAN............................................................................................................................17
6.3 PROJECT MANAGER ...........................................................................................................................................18
6.3.1 PROJECT MANAGER CONTACT INFORMATION ..........................................................................................18
6.3.2 PROJECT MANAGER BACKGROUND ..........................................................................................................19
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES ..................................................................................................19
6.5 PROJECT MANAGEMENT METHODOLOGY ....................................................................................................................20
7.0 CONSTRAINTS ................................................................................................................................................ 21
8.0 DEPENDENCIES ............................................................................................................................................... 22
9.0 ASSUMPTIONS ............................................................................................................................................... 23
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ......................................................................................... 23
INABILITY TO CONTINUE FUTURE MODIFICATION OF THE POWERBUILDER SOURCE CODE .............................................................23
INABILITY TO PROVIDE ADEQUATE PUBLIC SAFETY ...............................................................................................................24
NO OR INADEQUATE MANAGEMENT COMMITMENT AND SUPPORT ........................................................................................24
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IMPROPER MANAGEMENT OF OFFENDER FROM INCARCERATION THROUGH COMMUNITY SUPERVISION .........................................24
PROJECT FUNDING UNCERTAINTIES..................................................................................................................................25
ORGANIZATIONAL READINESS ........................................................................................................................................25
CHANGES IN STATE OR FEDERAL LAWS ..............................................................................................................................25
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING.................................................................................. 26
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V ................................................................................ 26
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES ................................................................................... 27
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE .......................................................................... 28
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Revision History
REVISION NUMBER
DATE
COMMENT
1.0
March 31, 2015
Initial Draft
1.1
April 15, 2016
Input from DoIT EPMO
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
1. 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.
1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT
The New Mexico Corrections Department (NMCD) has made the reduction of recidivism by
10% over the next 3 years its’ top priority. The current 15-year old client-server offender
management system is end-of-life, end-of-support, and needs to be replaced in order to support
the changing business processes to accomplish this and other agency goals.
The offender management system must use new technology and design standards to streamline
and improve business processes for end-users who manage and supervise offenders. The
Agency’s direction to accomplish this is to purchase a Commercial-off-the-shelf (COTS) web
system using current technologies. The complete offender management system (OMS) will have
seventeen (17) unique modules as necessary components to manage inmates and offenders
through the correctional system and will provide much-needed new functionality to support and
improve the business process.
Providing one seamless web-based system for the management of inmates and offenders
supports the state government initiatives relating to reducing the cost of government operations,
improving customer service and increasing public safety. The ability to manage the application
online, instead of pushing out updates to over a thousand computers will greatly reduce support
and maintenance costs.
Based on previous project cycles of development and the inability to quickly provide the right
business functionality to accomplish this goal, the Department has dedicated its’ efforts to
implement a new Offender Management System (OMS) Replacement and will fully implement
all application modules of the offender management system and transition them to a production
environment as one cohesive system in a phased approach.
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT
As stated, the agency will accomplish this project utilizing a phased approach. In April, 2015
the agency will meet with the PCC to request certification of the initiation of the project and the
release of funding for Phase I activities, which include Project Initiation and the start of Project
Planning. During this phase, a Request for Information (RFI) will be conducted to outline
various system options available to NMCD. Once completed, an RFP will be conducted and
awarded. During this time period, project planning will begin, with the initial draft project
management plan, the IV&V plan, the high-level project schedule and project budget estimates
being completed. Data and infrastructure planning will also begin during this timeframe.
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Other activities in this phase includes the documentation of the remaining module requirements
that have not been updated or revisited (Classification, Discipline/Grievance, Caseload
Management, Security, Housing/Bed Management, Visitation, Inmate Trust Accounting, and
Investigation Gang Management).
At the point that the RFP is awarded, the agency will again meet with the PCC to request
certification of the planning of the project and the release of the remainder of the funding for
Phase I activities – Project Planning. Data and infrastructure planning and preparation will
continue during this timeframe.
As part of the FY17 IT Plan, a new business case will be written based on the status of the
project and the knowledge known at that time, being prior to an RFP award. An update to the
business case to include Offender Management System (OMS) Replacement system selected,
vendor, and cost will occur by the end of December, 2015/early January, 2016. Depending upon
funding awarded in the legislative session, the agency will request PCC certification and release
of funding for Phase I activities – Project Execution and Implementation. Depending on the cost
of the system and the amount of future funding, Project Execution and Implementation may be
separated out in additional phases.
1.3 PROJECT CERTIFICATION REQUIREMENTS
CRITERIA
YES/NO
EXPLANATION
Project is mission critical to the
agency
Yes
The agency’s offender
management system is the
system for NMCD and holds
data for 26,000 offenders that
are under the jurisdiction of the
state.
Project cost is equal to or in excess of
$100,000.00
Yes
Laws of 2015, Chapter 101,
Section 7 (22)
Project impacts customer on-line
access
Yes
Rather than connect to the
application with a thick client
connection that users will
connect to the application via an
Internet browser.
Project is one deemed appropriate by
the Secretary of the DoIT
Yes
The agency appreciates the
support shown thus far for this
effort and the advice given by
the EPMO for improvement as
the project moves forward.
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
Will an IT Architecture Review be
required?
Yes
3
At the point that an RFP is
awarded and a system selected,
an architectural review will be
needed.
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS
2.1 AGENCY JUSTIFICATION
The purpose of this project is to replace the 15 year old client server offender management
system with a new Commercial off the Shelf (COTS) offender management system (OMS)
based on new technology and in a web environment. All 17 modules necessary to manage an
offender population from intake to community supervision, as specified by the Corrections
Technology Association (CTA) will be replaced in the new Offender Management System
(OMS) Replacement.
NAME
DESCRIPTION
NMCD
The mission of the NMCD is to do the right thing, always. The
agency has made a top-level management decision to replace the 15year old client-server application with a new web-based, commercial,
off-the-shelf (COTS) application to support the improvement and
streamlining of business processes for end-users who manage and
supervise inmates and offenders.
The agency has set an internal goal to reduce inmate recidivism by
10% over the next three years.
2.2 BUSINESS OBJECTIVES
Below are the high level business objectives of the Offender Management System (OMS)
Replacement project.
NUMBER
B-OBJ-1
B-OBJ-2
B-OBJ-3
DESCRIPTION
Release inmates timely and accurately.
Automate the calculation of inmate good time and institute method of
modifying rules surrounding good time based on changing laws.
Provide ability for Probation and Parole to link directly with courts to
provide pre-sentence, diagnostic, executive clemency and other
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NUMBER
B-OBJ-4
B-OBJ-5
B-OBJ-6
B-OBJ-7
B-OBJ-8
B-OBJ-9
B-OBJ-10
DESCRIPTION
reporting services to the court.
Send and receive court sentencing data electronically.
Provide system mobility to allow Probation and Parole officers more
time in the field supervising offenders.
Notify office of the DA and victims of inmate releases via real-time
processing rather than batch updates.
Track offender program costs and report on program efficacy
accurately to enable administrators to make better program choice
decisions.
Implement industry best practices for segregation and other
alternative placement scenarios.
Improve cross-jurisdictional data sharing and collaboration with other
public safety/justice entities.
Improve public safety through enhanced ability to classify, re-classify
and provide housing, movement and transportation of inmates.
2.3 TECHNICAL OBJECTIVES
Below are the high-level technical objectives of the Offender Management System (OMS)
Replacement Project.
NUMBER
DESCRIPTION
T-OBJ-1
Replace / discontinue use of legacy OMS application.
T-OBJ-2
Collapse development and maintenance overhead due to multiple,
disparate systems.
T-OBJ-3
Provide the technical components and platform to allow application
mobility.
T-OBJ-4
Migrate existing data and data structures from Informix to NIEM and
GRA-compliant data format, to ease migration to new Offender
Management System (OMS) Replacement.
T-OBJ-5
Provide ability for Offender Management System (OMS)
Replacement application to be database independent.
T-OBJ-6
Ensure that the technical aspects and capabilities of the new OMS
application is service-oriented to the business need.
T-OBJ-7
Replicate production data to separate environment for the purpose of
disaster recovery, reporting, statistical analysis and business
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NUMBER
DESCRIPTION
intelligence efforts.
T-OBJ-8
Ensure that NMCD IT staff gains sufficient experience and
knowledge to implement the Offender Management System (OMS)
Replacement application and to maintain after implementation
independently.
T-OBJ-9
Document the Offender Management System (OMS) Replacement
application thoroughly, both from a functional and technical
perspective prior to implementation and ensure process for future
updates and maintenance of the documentation.
T-OBJ-10
Create a virtual server environment for high-availability, increased
reliability, redundancy and streamlined administration of the
Offender Management System (OMS) Replacement system.
2.4 IMPACT ON ORGANIZATION
The high-level organizational impacts appear below.
AREA
DESCRIPTION
END USER
The overarching impact for the end user will be improved system
functionality, mobility and portability. A strategy will be planned as
to ensure seamless access to the system and to offender data at all
levels, whether it is a Probation/Parole officer in the home of an
offender completing a supervision contact, an Educator providing
programming to an inmate, another system needing access to
offender data for a multitude of reasons, etc.
System and Business Process Training, User Acceptance testing,
requirements gathering will all be processes that will affect the end
user both during the course of the project as SME project team
members and the overall user community at the point the system is
fully implemented.
BUSINESS
PROCESSES
All business processes will need to be reviewed as the current system
is more than 15 years’ old. Of the seventeen modules in the OMS
application, ten of these have recently been reviewed, and in some
cases, new applications coded that can be used as a baseline for the
new Offender Management System (OMS) Replacement application.
During the initiation and planning phases, the remaining modules
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AREA
DESCRIPTION
will be updated with requirements based on current business
processes. Gap analysis will occur when the Offender Management
System (OMS) Replacement solution is selected to ensure that the
client configuration layer of the application meets the business need.
Potential re-engineering of business processes will be addressed
throughout project activities. Business process-reengineering has to
be watched closely as it can lead to scope creep. PM will need to
monitor this closely, determining what must be done now and what
could be enhanced later.
IT OPERATIONS AND
STAFFING
A major goal of the Information Technology Division is to ensure
that the staff is intricately involved in the entire process of system
configuration and implementation so that the agency can support the
system independently post-implementation. The agency’s plan is to
backfill production support through contract staffing augmentation.
OTHER
As a new Offender Management System (OMS) Replacement
solution is implemented, the agency has additional opportunities to
revisit agency policies and procedures, to ensure the new application
supports these policies and procedures, or, where necessary, the
policies and procedures are updated due to technological and
business process improvements the application provides. This
process of revisiting policy and procedure can be an arduous one.
The strategy is to begin implementation planning early to ensure that
the appropriate amount of time is dedicated to this important process.
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
OPERATIONS
LOCATION AND
STAFFING PLANS
Production applications will be hosted in Santa Fe on existing Fault
Tolerant infrastructure. Agency ITD staff will provide ongoing
support and will be addressed as the system is implemented. ITD
internal staff will work in conjunction with the selected vendor and
application to complete the client configuration and installation for
the Offender Management System (OMS) Replacement system, and
all support and maintenance activities for the legacy Powerbuilder
application will utilize contract resources utilizing a staff
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
AREA
DESCRIPTION
augmentation strategy. The goal of the agency is to need minimal to
no contract employee support of the Offender Management System
(OMS) Replacement application once deployed to production, other
than a standard maintenance and support agreement.
DATA SECURITY,
BUSINESS
CONTINUITY
Security
The agency security architecture is comprised of a multi-layer
security model. The Data Center is located in Santa Fe at
DoIT and is physically secure from the public and the agency
end users. Santa Fe Central Office is protected from the
Internet by redundant Juniper enterprise firewalls. The public
prisons are each protected by a single Juniper enterprise
firewall. This provides a physical separation from the agency
network and the Inmate Education Network. Each Probation
and Parole office is securely connected within the Qwest
cloud via MPLS and QMOE. This connection allows all
offices to securely communicate between each other, Central
Office, CNMCF and DoIT datacenters
Business Continuity
Disaster recovery –
In FY07 the NMCD completed the project “Build a Fault
Tolerant Environment”. To do this, ITD built a high
availability Web farm. The Web farm is load balanced
architecture with two Web servers answering requests from
clients. These requests are balanced across the Web servers
so the load is shared.
The redundancy of this fault tolerant design provides Disaster
Recovery (DR) at the equipment fail level. In the event
NMCD experiences a disaster at the IT Data Center located in
the NMCD Central Office, ITD has identified a location that
is equipped as a Warm Site.
The NMCD network is designed with a remote Active
Directory domain controller and a second remote DR domain
controller has been configured for the DR site. Therefore
additional equipment is not required for a Warm Site to be
activated.
The agency has identified and tested disaster recovery at various
levels. However, when the time comes NMCD would like to join the
state efforts and step from a Warm Site Model to a Fail-Over Site
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
AREA
DESCRIPTION
Model and comply with all the state standards.
MAINTENANCE
STRATEGY
Maintenance is currently part of day to day operations for the existing
Powerbuilder. Depending on future funding and project time line for
future phases, the agency will have to expand maintenance and
support activities to include both the existing environment and the
new web environment. During the course of the project, while both
Powerbuilder and the Offender Management System (OMS)
Replacement are on-line, support costs will increase. As previously
stated, from a person resource point of view, the agency will backfill
the production support utilizing contract resources.
INTEROPERABILITY
Requirements exist to maintain the current client server
PowerBuilder application throughout the project lifecycle until such
time all the new Offender Management System (OMS) Replacement
application and all business functionality and modules have been
implemented in a production environment.
RECORD RETENTION
ITD has taken direction from the Title 1 – General Government
Administration Retention and disposition schedules in addressing
record retention as listed below:
Disaster Recovery File
Retention: until superseded by new plan or information. A
copy of this file will be stored off-site. In the event of a
disaster, all copies of this file shall be retained until any or all
investigations are concluded.
Project Control File
Retention: one year after close of fiscal year in which project
completed or cancelled.
Documentation Tape File
Retention: one year after discontinuance of system provided
all magnetic data files are authorized for disposal or
transferred to new or alternate system. System test
documentation for approved systems may be destroyed one
year after completion of testing.
Test Files
Retention: two years after system goes into production.
Website
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
AREA
DESCRIPTION
Retention:
•
Platform (software): one year after discontinuance of the
system.
•
web content:
• unique records or information: see the general or agency
program schedule for retention.
• replicated information: until superseded or no longer
relevant.
• web site structure:
• informational web site: one year after site is updated or
changed.
• transactional
web site: three years after site is updated or
changed.
CONSOLIDATION
STRATEGY
The NMCD has actively participated with DoIT on server and storage
consolidation efforts and will continue to work to provide the same
level of security and availability for the new Offender Management
System (OMS) Replacement application. Continued consolidation
effort must consider the mission-critical nature of the agency’s
offender management system. It is the agency’s core business
application and is unique to Corrections and only used by NMCD in
New Mexico.
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
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
IT Service Contracts
“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.
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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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
Risk Assessment and
management
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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 PRODUCT DELIVERABLES
The product deliverable documents listed here are only used for illustration purposes
Requirements Documents
The remaining modules that do not have updated
requirements documents will be completed in Phase I –
Planning: Classification, Discipline/Grievance, Caseload
Management, Security, Housing/Bed Management,
Visitation, Inmate Trust Accounting, and Investigation
Gang Management. These will thoroughly outlined as part
of the RFP.
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Design Documents
As the application will be a commercial, off-the shelf
product, full design documents will not be required. To the
extent that system modifications will be required to support
the business for our particular agency and state, these will
be documented as part of a gap analysis, along with
business requirements, system specifications and client
configuration needs. Although these will be partially
outlined as part of the RFP, the specific client configuration
needs and gap analysis will not be completely known until
after the RFP is awarded and the Offender Management
System (OMS) Replacement application selected.
Systems Specifications
The IT department typically combine requirements and
technical system specifications in one document. Therefore,
these topics will be included as part of the
requirements/specifications.
Data and Infrastructure /
Architecture
As part of the data planning process, the goal is to replicate
existing data and data structures from Informix to a NIEM
and GRA-compliant data format, to ease migration to new
Offender Management System (OMS) Replacement. The
replication of production data to a separate environment is
for the purpose of disaster recovery, reporting, statistical
analysis and business intelligence efforts and is independent
of what Offender Management System (OMS) Replacement
application is selected.
As part of the infrastructure planning process,
documentation will be created to outline the requirements
and layout of the infrastructure required to host and support
the application. A virtual environment is envisioned to
provide for high-availability, increased reliability,
redundancy and streamlined administration of the Offender
Management System (OMS) Replacement.
Data and infrastructure planning and preparation will be
completed during Phase I – Initiation and Planning portion
of the project.
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System and Acceptance
Testing
13
Module testing. A formal document and process will be
executed to ensure industry standard testing methodologies
are planned and all functional and business process
requirements are thoroughly tested prior to acceptance and
production go live activities.
All system and acceptance testing efforts and
documentation will occur in Phase II and any subsequent
phases, after the RFP is conducted, awarded and the
Offender Management System (OMS) Replacement
application selected.
Software Implementation
Plan
Formal plans will be executed throughout the
implementation process. Prior to go live activities a formal
software implementation plan will be developed which will
define implementation activities and provide quality
measures for assessment of project.
The implementation plan will be written in Phase II after the
RFP is conducted, awarded and the Offender Management
System (OMS) Replacement application selected.
3.2 SUCCESS AND QUALITY METRICS
Below are the initial success and quality metrics of the Offender Management System (OMS)
Replacement project.
NUMBER
DESCRIPTION
QM-1
Monthly cost variance report delivered to Executive Steering
Committee and IT Management on last day of each project month.
QM-2
Monthly schedule variance report delivered to Executive Steering
Committee and IT Management on last day of each project month.
QM-3
Monthly earned value reports delivered to Executive Steering
Committee and IT Management on the last day of each project month.
QM-4
Bi-annual customer experience survey distributed to all project and
business team members and business owners.
QM-5
Quarterly estimate to completion report delivered to Executive Steering
Committee and IT Management on the last day of each project quarter.
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
14
4.0 SCHEDULE ESTIMATE
Below is the estimated schedule for Phase I – Project Initiation and Planning.
NMCD COTS OMS Project – Phase I
4/23/2015 - 4/23/2015
PCC
Initiation Tollgate
6/30/2016 - 6/30/2016
TARC Review
9/1/2015 - 12/31/2015
RFP
COTS OMS
4/24/2015 - 5/31/2015
Recruit
Contract PM
1/1/2016 - 4/30/2016
Infrastructure Planning
IV&V
7/1/2015
10/1/2015
4/22/2015
6/1/2015 - 12/31/2015
Project Planning
4/24/2015 - 8/31/2015
RFI
System Alternatives
1/1/2016
4/1/2016
6/30/2016
11/2/2015 - 4/30/2016
Data Planning
4/1/2016 - 6/30/2016
Phase II Prep and Kickoff
1/28/2016 - 1/29/2016
PCC
Planning Tollgate
5.0 BUDGET ESTIMATE
At the point that an RFI and RFP are conducted/awarded for the procurement of the Offender
Management System (OMS) Replacement application a full project budget can be estimated. At
this point, only initiation and planning phase are estimated.
5.1 FUNDING SOURCE(S)
SOURCE
AMOUNT
ASSOCIATED
RESTRICTIONS
Laws of 2015,
Chapter 101, Section
7 (22)
$500,000.00
Completion of an
RFI, RFP, Project
Management Plan
and high-level project
schedule and budget.
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE IT E M
COST ESTIMATE
Contract PM
$50,000
Phase I - Initiation
RFI Activities
$25,000
Phase I - Initiation
Writing/Management
of RFP
$50,000
Phase I - Initiation
Project Planning –
PMP, project
schedule, budget
$25,000
Phase I – Initiation
and Planning
Data Planning
$25,000
Phase I – Initiation
and Planning
Infrastructure
Planning
$25,000
Phase I – Initiation
and Planning
Requirements
Analysis and
Documentation
$50,000
Phase I – Initiation
and Planning
Contract Resources –
Data and
Infrastructure
$50,000
Phase I - Planning
To be requested as
part of project
planning certification
Data Replication /
Migration
$100,000
Phase I – Planning
To be requested as
part of project
planning certification
Infrastructure
Preparation
$100,000
Phase I – Planning
To be requested as
part of project
planning certification
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE
IT E M
COST ESTIMATE
Project Initiation
(Phase I)
$250,000
Project Planning
$250,000
PAGE 15
15
PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
IT E M
(Phase I)
COST ESTIMATE
Project Execution /
Implementation
(Phase II – x)
TBD
16
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE
6.1 STAKEHOLDERS
Below are the major stakeholders/types of stakeholders for the OFFENDER MANAGEMENT
SYSTEM (OMS) REPLACEMENT project.
NAME
STAKE IN
PROJECT
ORGANIZATION
T IT L E
Gregg Marcantel
Executive Leadership
NMCD
Secretary of
Corrections
Joe Booker
Executive Leadership
NMCD
Deputy Secretary,
Operations
Mark Myers
Executive Leadership
NMCD
Acting Deputy
Secretary,
Administration
Jerry Roark
Business Division
Leadership
NMCD
Director, Adult
Prisons
Rose Bobchak
Business Division
Leadership
NMCD
Acting Director,
Probation and
Parole
Timothy Oakeley
Information
Technology
NMCD
Chief Information
Officer
Cathy Catanach
Business
NMCD
Bureau Chief,
Offender
Management
Services
Victoria Lounello
Business
NMCD
Region Manager,
Probation and
Parole
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
NAME
STAKE IN
PROJECT
ORGANIZATION
T IT L E
Francine Garcia
Business
NMCD
Victim Services
Administrator
Micaela Cadena
Business
NMCD
Recidivism
Reduction Bureau
Chief
Tony Ortiz
Statistical Analysis of
NMCD data Contractor for analysis
for prison population
projections and myriad
other data projects.
New Mexico
Sentencing
Commission
(NMSC)
Director
17
6.2 PROJECT GOVERNANCE PLAN
Oversight of this project will occur through the following channels:
1
2
3
4
Executive Steering Committee – Overall project guidance and direction. Change Review
Board – all change requests over $10,000 will be voted upon by committee. Major shift in
scope or schedule also will be voted upon.
Project Certification Committee – Release of legislative funds for major project lifecycle
phases via certification tollgates.
Independent Verification and Validation (IVV) – 3rd party vendor will be hired to conduct
audits, suggest best practice, and document necessary corrective action throughout course of
project.
Department of Information Technology (DoIT) Enterprise Project Management Office
(EPMO) – Provide IT Management Lifecycle policies, methodologies and templates for
information technology (IT) initiatives to promote quality and success and report regularly to
Executive, Legislative, and ITC on the status of the State's IT Project Portfolio; Provide
support, guidance and oversight of the project to promote improved outcomes; receives
monthly project status report.
A graphical representation for project governance appears below.
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
18
Gregg Marcantel
Project Sponsor
Executive Steering
Committee
Contract Project
Manager
IVV Vendor
IT Leadership
Timothy Oakeley, CIO
Jerry Brinegar, Deputy CIO/PMO
Manager
Pamela Smyth
Business Analysis
Manager
Bu siness An alyst
Bu siness An alyst
Deepa Makkar,
Applications Manager
State Project Manager
Lilly Martin,
Infrastructure
Manager
Vendor Project Manager
IT Architect
Vendor Systems
Architect
Systems Manager
Vendor Database
Architect
Applications Developer
Database Administrator
Vendor Developer
Vendor Busines s
Analyst
Not every position is listed at this time; rather, the major roles are defined. After the vacant
positions are filled or contracted (indicated by the circles without people), and the RFP is
negotiated and awarded, this project organization chart will be further elaborated and refined.
Also, as this is a phased approach, the organization for Phase I – Initiation and Planning may be
different than that for Phase II - Project Execution and Implementation.
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
NAME
ORGANIZATION
PHONE #(S)
EMAIL
Jerry Brinegar, PMP
NMCD
(505) 827-8605
jerry.brinegar@state.nm.us
Contractor PM (TBD)
TBD
State PM (TBD)
NMCD – Currently
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
NAME
ORGANIZATION
in the recruiting
process.
Vendor PM (TBD)
TBD - Dependent
upon RFP award
PHONE #(S)
19
EMAIL
6.3.2 PROJECT MANAGER BACKGROUND
Mr. Brinegar has been a certified project manager since 2009, holding certifications of Certified
Associate of Project Management (CAPM #1235663 from 2009 through 2014) and Project
Management Professional (PMP #1269268 from 2009 to current and certification extended
through 2018). He holds degrees in Operations Management and Computer Programming and
has more than 25 years’ experience in Information Technology and Project Management. Prior
to his current role as Deputy Chief Information Officer, he was the Business/Research Analysis
Manager for 3 years, and a Project Manager for 3 years prior to that for NMCD. He has a good
grasp of the business of NMCD, as well as the technology and project management
methodology. As other project managers are hired for this project effort, Mr. Brinegar will
continue to provide direction and guidance to the other project managers and the overall project
team.
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
ROLE
RESPONSIBILITY
Project Sponsor
Provide top-level guidance and direction. Ensure that project
resources are available to the project.
Lead Project
Manager/PMO Manager
Provide direction and management of project management staff;
ensure that necessary processes are in place and being followed
per agency policy and PMO procedures. Ensures that project
timelines, resources, installations, etc., are managed
appropriately across all active projects. Oversees the RFP
process.
State Project Manager
Once the RFP process is complete and the vendor selected,
handles contract and vendor management. Manages the day-today project activities of project staff. Provides status reporting to
executive structure and works with IVV vendor for auditing
purposes. Manages the project scope, schedule and budget.
Vendor Project Manager
Manages the writing of the RFP and RFP process, completes
project planning documentation and tasks. Once RFP is
awarded, manages the vendor contract staff. Provides weekly
status reports to State Project Manager.
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
ROLE
Business Analyst
Business Analysis
Manager
Application Developer
Database Administrator
Applications Manager
Infrastructure System
Architect
Infrastructure Manager
Subject Matter Expert
20
RESPONSIBILITY
Ensures that the customer requirements are translated into
specifications that developers will use to code the system. Tests
all code and is responsible for identifying and documenting code
issues. Assists in training end users.
Lead for ensuring that all requirements are appropriately
documented and meet business need. Manage the day-to-day
tasks of the Business Analysts.
Responsible for coding system functionality based on
specifications provided by Business Analysts.
Ensures that the back-end database structure exists and that
needed tables and columns are created to appropriately store
data necessary in the system.
Lead for ensuring that the system provides the necessary
functionality based on identified requirements and specifications.
Manage the day-to-day tasks of Applications Developer and
Database Administrator.
Ensure that all infrastructure necessary for the application exists,
servers, backups, etc.
Ensures that all application infrastructure, networking, etc. are in
place to support the application needs of the end-users. Manage
the day-to-day activities of the Infrastructure Systems Architect.
Provide guidance on what specific rules should be in place in
order to meet business goals. Assist in testing, identifying issues,
and training.
Executive Steering
Committee Member
Provide necessary high-level input and sets high level project
priorities. Votes on change request and scope shifts as necessary.
IVV Vendor
Provides independent validation and verification of project
activities at regular intervals throughout the project life cycle.
Submits reports outlining status to project sponsor, NMCD lead
project manager and IT leadership, and the Department of
Information Technology (DoIT) Enterprise Project Management
Office (EPMO).
6.5 PROJECT MANAGEMENT METHODOLOGY
The project will consist of a mixed organization structure, as there will be lines of authority
both from the project management/PMO and from functional managers for project
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
21
participants. Depending on the level of the project manager, functional managers may be at
peer level or management level. Lead Project Manager/PMO Manager will be the line of
authority over both project and functional managers assigned to the project. Where possible,
the project will utilize an Agile approach to define requirements, configure and test smaller,
more manageable components to the COTS system, while the certification, funding release,
and overall timeline of the project will follow a traditional waterfall method.
Three major roles will exist in this project:

Leader - provides leadership and guidance to the team and takes responsibility for the
results of teamwork. This consists of the following roles:
o
o
o
o

Member - involved in doing assigned tasks. Team members directly access the project
and actively evolve its processes. This includes the following roles:
o
o
o
o
o
o
o
o

Project Sponsor
Lead Project Manager/PMO Manager
State Project Manager
Vendor Project Manager
Business Analyst
Business Analysis Manager
Developer
Data Architect
Applications Manager
Infrastructure/Systems Architect
Infrastructure Manager
Subject Matter Expert
Contributor - participates in teamwork but is not actually involved in performing tasks
and carrying out project team responsibilities. This will include:
o
o
o
Executive Steering Committee members
Other Subject Matter Experts
IVV Auditor
7.0 CONSTRAINTS
NUMBER
DESCRIPTION
C-001
Full future funding to procure a OFFENDER MANAGEMENT SYSTEM
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
22
NUMBER
DESCRIPTION
(OMS) REPLACEMENT application.
C-002
Full project team staffing, by filling internal vacancies where possible and
utilizing staff augmentation to implement an Offender Management System
(OMS) Replacement application.
C-003
The new offender management system must be a commercial-off-the-shelf
system, not an internally developed or inherited system.
8.0 DEPENDENCIES
Below are the project dependencies associated with Phase I – Project Initiation and Planning and
to move the project forward to Phase II – Project Execution and Implementation.



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 nonproject activities such as purchasing/procurement
NUMBER DESCRIPTION
TYPE M,D,E
DEP-001
Successful certification by PCC to initiate the project.
E
DEP-002
Ability to successfully contract project management resources
to complete Phase I – Initiation and Planning activities and
documentation.
M
DEP-003
Successful completion of RFI activities so that project may
progress into the RFP process.
D
DEP-004
Successful completion and award of RFP so that the project
may progress into the phases of project execution and
implementation.
M
DEP-005
Successful certification by PCC to move the project into the
planning phase.
E
DEP-006
Future legislative funding to procure a Offender Management
System (OMS) Replacement application and complete future
phases of project execution and implementation.
E
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
9.0 ASSUMPTIONS
NUMBER
DESCRIPTION
A-001
That a State IT Project Manager can be successfully hired in a timely
fashion at the agency to handle the day-to-day operations of the project and
to interface with the contract project manager and other contracted
resources.
A-002
That contract resources can be successfully obtained in a timely fashion to
meet the dependencies outlined above to meet the requirements of the
initiation and planning phase.
A-003
That all requirements contingent on legislative funding will be successfully
completed and communicated appropriately.
A-004
That future funding will be awarded to ensure the forward momentum of
the project.
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY
Below are the initial significant risks for both the project and the agency if the project is not
successfully funded and completed.
INABILITY TO CONTINUE FUTURE MODIFICATION OF THE POWERBUILDER SOURCE CODE
Probability - Certain
Impact - Very High
Description - The only operating
system that the source code of the legacy
system may be modified on is Windows
XP. Since this operating system is no
longer supported by Microsoft, with no
future security patches or fixes, the
agency faces the inability to modify the
source code in any way at some point in
the future, and complete stagnation to
meet future changing laws and internal
agency policy and procedure adjustments.
Mitigation Strategy – This risk cannot be fully or adequately
mitigated in a status-quo scenario.
Contingency Plan - The IT department is keeping multiple XP
machines on the shelf to continue the ability to modify the
PowerBuilder source code as a temporary measure.
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
INABILITY TO PROVIDE ADEQUATE PUBLIC SAFETY
Probability - Expected
Description - The ability to correctly
project an inmate’s release date is a toplevel agency goal in ensuring public
safety. If an inmate is released early,
additional time and resources are
necessary to apprehend and re-incarcerate
the inmate, and additional crimes could be
committed while the inmate is out. If an
inmate is released late, the NMCD spends
unnecessarily on incarceration. The
inmate has a legal right to be released as
specified by both the calculated sentence
and the good time applied while
incarcerated.
24
Impact - Very High
Mitigation Strategy – Providing the Offender Management System
(OMS) Replacement project with the necessary resources mitigates
this risk.
Contingency Plan - The agency will continue to project inmate
release date through manual calculations. Although tedious, the
centralization of records functions in the Offender Management
Services group at the Plaza Maya building in Albuquerque lessens
the risk of improper release.
NO OR INADEQUATE MANAGEMENT COMMITMENT AND SUPPORT
Description - Management
commitment of time and resources is key
to successful implementation effort. In
previous development cycles, IT has
requested that subject matter experts be
assigned to the project to ensure that the
business requirements and rules, testing,
training and implementation is successful.
This approach has been only partly
successful, as those assigned to the
project also had their normal daily
responsibilities.
Probability - Unlikely
Impact - Very High
Mitigation Strategy – The agency plans to backfill positions
utilizing a contract staffing augmentation strategy to support the
legacy system so that permanent resources, both technical and
subject matter experts will be committed to successfully complete the
project.
Contingency Plan - Extend project timeline
IMPROPER MANAGEMENT OF OFFENDER FROM INCARCERATION THROUGH COMMUNITY
SUPERVISION
Description - If the offender is not
provided the correct mix of programming
and services that address their specific
criminogenic needs, the likelihood of
recidivism increases. The 15-year old
client-server system does not have the
Probability - Expected
Impact - High
Mitigation Strategy – Providing an entire Offender Management
System (OMS) Replacement solution based on both new technology
and business requirements that quantifies and tracks program success
helps the agency ensure that the inmate’s transition back to society
has a higher likelihood of success.
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
capabilities to support the shift to
evidence-based programming.
25
Contingency Plan - Agency will continue to provide offender
programming based on the knowledge, feelings and intuition of the
officers. While not empirically quantified, this experience still
provides many positive outcomes for offenders and recidivism.
PROJECT FUNDING UNCERTAINTIES
Probability - Possible
Description - Fully funding this
project is a critical success factor. Piece
meal funding has created an environment
where business functionality exists in
multiple disparate systems. The IT staff
has had to both support existing systems
while trying to move new systems
forward. This has had a negative impact
on the success of the project and the
agency overall, that expects results now.
Impact - Very High
Mitigation Strategy - Purchasing a Offender Management System
(OMS) Replacement that has the majority of the application predeveloped and requiring only client configuration allows all modules
to be more rapidly implemented.
Contingency Plan - Continue internal development at the slow pace
that it is currently going. Expected completion without funding with
current staff is 2024.
ORGANIZATIONAL READINESS
Probability - Unlikely
Description - The previous approach
that NMCD took was a development
approach. This approach has taken the
modules through development and testing,
but not through implementation. Since
this is a change to an implementation
approach, the agency needs to ensure that
processes and people are in place that will
be able to appropriately use the increased
functionality provided by the new system.
Statewide training, review and
modification of necessary policies and
possible redefinition of current job
responsibilities and tasks are objectives
that must be accomplished during this
period.
Impact - Very High
Mitigation Strategy - The project timeline mitigates this risk by
creating a lengthy implementation period early on to both adequately
plan and accomplish the transition to production operations. The
agency is ready for these changes and has support at all levels of
management.
Contingency Plan – Although the current administration is very
supportive of this effort, this priority could change in future
administrations if this project extends that far in the future. Rapid
implementation of the project is the best contingency for this
possibility.
CHANGES IN STATE OR FEDERAL LAWS
Description -
Probability - Likely
PAGE 25
Impact - Very High
PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
Since the Agency is operating in multiple
system environments, any changes in state
or federal laws create the potential for
duplication of work. The organization of
the current system does not lend itself
well to changes.
26
Mitigation Strategy – One high-level goal of a Offender
Management System (OMS) Replacement solution is to provide a
client configuration layer that allows for the definition, creation and
deprecation of rules, based on current law, such as the Earned
Meritorious Deduction laws that have changed over time.
Contingency Plan - If modification of current code set still
possible, then these changes could be programmatically handled. If
not, much manual intervention and business processing would have
to be enacted.
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
Effective communication to all relevant project team stakeholders is extremely important in
mitigating issues and realizing the project’s ultimate goal.
Issues will be reported to the Project Manager and documented. In the event the issue requires
escalation the Project Manager will escalate the issue to the appropriate level including the Lead
Project Manager, Project Sponsor and/or the Executive Steering Committee (ESC). The
Executive Steering Committee currently meets each month to prioritize IT efforts over a number
of projects. The project manager for the Offender Management System (OMS) Replacement
project will report to the ESC on all project status items and will convey any issues that require
Executive level attention.
As previously stated, all major scope and schedule changes will be voted on by the Change
Review Board, which consists of ESC members, IT management and certain Business Owners.
All changes in budget over $10,000 will also be voted upon by the CRB.
Quality metrics will be calculated and communicated as previously outlined.
Monthly reporting to the DoIT EPMO and NMCD IT management will occur.
The approach to communication and a more formal communication plan will be further
elaborated as part of the overall project management plan.
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
Below are the project and product areas identified and required for Phase I – Initiation and
Planning activities. Some of the items that are listed as a ‘No’ cannot be reviewed until the RFP
is conducted, awarded and the system is selected. As such, those listed as ‘No’ for Phase I
would be included as part of a later phase and dependent upon future funding.
PAGE 26
PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
Project/Product Area
Include –Yes/No
Project Management
Phase I - Yes
Quality Management
Phase I - Yes
Training
Phase I - No
Requirements Management
Phase I - Yes
Operating Environment
Phase I - No
Development Environment
Phase I - No
Software Development
Phase I - No
System and Acceptance Testing
Phase I - No
Data Management
Phase I - Yes
Operations Oversight
Phase I - No
Business Process Impact
Phase I - Yes
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES
SIGNATURE
EXECUTIVE SPONSOR
BUSINESS OWNER
AGENCY CIO/IT LEAD
PROJECT MANAGER
PAGE 27
DATE
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PROJECT CHARTER - NMCD OFFENDER MANAGEMENT SYSTEM (OMS) REPLACEMENT
28
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE
SIGNATURE
DOIT / PCC APPROVAL
PAGE 28
DATE