Offender Management System (OMS)
Replacement Project
Project Charter For Certification
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.
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
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
Revision History
Revision Number / Date / Comment1.0 / March 31, 2015 / Initial Draft
1.1 / April 15, 2016 / Input from DoIT EPMO
i
Project Charter - NMCD Offender Management System (OMS) Replacement 1
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.
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 / EXPLANATIONProject 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.
Will an IT Architecture Review be required? / Yes / 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 15-year 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 / Description /B-OBJ-1 / Release inmates timely and accurately.
B-OBJ-2 / Automate the calculation of inmate good time and institute method of modifying rules surrounding good time based on changing laws.
B-OBJ-3 / Provide ability for Probation and Parole to link directly with courts to provide pre-sentence, diagnostic, executive clemency and other reporting services to the court.
B-OBJ-4 / Send and receive court sentencing data electronically.
B-OBJ-5 / Provide system mobility to allow Probation and Parole officers more time in the field supervising offenders.
B-OBJ-6 / Notify office of the DA and victims of inmate releases via real-time processing rather than batch updates.
B-OBJ-7 / Track offender program costs and report on program efficacy accurately to enable administrators to make better program choice decisions.
B-OBJ-8 / Implement industry best practices for segregation and other alternative placement scenarios.
B-OBJ-9 / Improve cross-jurisdictional data sharing and collaboration with other public safety/justice entities.
B-obj-10 / 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 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 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.