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NMCDNMCD VVIDEO CCONFERENCING

PPROJECT CCHARTER FFOR CCERTIFICATION

EXECUTIVE SPONSOR – LAWRENCE C. PACHECO, CIO

PROJECT DIRECTOR – TIM OAKLEY

PROJECT MANAGER – BRYAN GILL, PMP

ORIGINAL PLAN DATE: NOVEMBER 9, 2007

PROJECT CHARTER

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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.

NEW MEXICO CORRECTIONS DEPARTMENT FINAL VERSION 1.0 I

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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...... 1 2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS...... 2

2.1 AGENCY JUSTIFICATION...... 2 2.2 BUSINESS OBJECTIVES...... 3 2.3 TECHNICAL OBJECTIVES...... 3 2.4 IMPACT ON ORGANIZATION...... 3 2.5 TRANSITION TO OPERATIONS...... 4 3.0 PROJECT/PRODUCT SCOPE OF WORK...... 5

3.1 DELIVERABLES...... 5 3.1.1 Project Deliverables...... 5 3.1.2 Product Deliverables...... 5 3.2 SUCCESS AND QUALITY METRICS...... 6 4.0 SCHEDULE ESTIMATE...... 6

5.0 BUDGET ESTIMATE...... 6

5.1 FUNDING SOURCE(S)...... 6 5.2 BUDGET BY PROJECT CERTIFICATION PHASE...... 6 6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...... 7 6.1 STAKEHOLDERS...... 7 6.2 PROJECT GOVERNANCE PLAN...... 8 6.3 PROJECT MANAGER...... 8 6.3.1 PROJECT MANAGER CONTACT INFORMATION...... 8 6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES...... 8 7.0 CONSTRAINTS...... 9

8.0 DEPENDENCIES...... 9

9.0 ASSUMPTIONS...... 9

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY...... 9

SCHEDULE ADHERENCE...... 9 PROJECT CERTIFICATION APPROVAL...... 10 TIMELY DELIVERY OF COMMUNICATION LINES...... 10 11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING...... 10

NEW MEXICO CORRECTIONS DEPARTMENT FINAL VERSION 1.0 II

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12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V...... 10

13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES...... 11

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE...... 11

NEW MEXICO CORRECTIONS DEPARTMENT FINAL VERSION 1.0 III

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Revision History

REVISION NUMBER DATE COMMENT 1.0 November 16, 2007 Submitted to DoIT.

NEW MEXICO CORRECTIONS DEPARTMENT FINAL VERSION 1.0 IV

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1. PROJECT BACKGROUND

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT In FY05 the New Mexico Corrections Department (NMCD) held various pilots that provided the assurance the NMCD would be able to support the technology and implement pilot Video Conferencing Services. Currently video conferencing is used or has been used on a limited basis for: . Parole Hearings . Family Visitations . Training Sessions . Staff Meetings . Re-entry Hearings . Court Hearings Phase I was completed which installed video equipment at one location within each of NMCD’s eleven facilities and twelve Probation & Parole Offices. In FY07 NMCD received Phase II funding for additional equipment which will provide a conferencing unit at each building within the facilities. This has eliminated the need of transporting offenders between buildings.

Video training has provided NMCD the ability reach staff who are located offsite to train quickly. NMCD has 2,300 staff state-wide and the use of the video conferencing technology has had a positive impact on staff time and travel. This initiative also provides offenders an incentive for good behavior in order to qualify for family visitation. Families are able to go to Peanut Butter and Jelly in Albuquerque and use Video Conferencing to visit inmates throughout the state. Video Parole hearings provide the Parole Board members the ability to conduct Parole hearings from any NMCD location with a conferencing unit in the state without having to travel.

Currently NMCD is running limited video conferencing sessions at off peak hours in order not to impact the NMCD data network. The current network provides connectivity for our core system CMIS which tracks 26,000 offenders. This critical application must be available 24/7 and cannot be impacted with the added network traffic required by video conferencing. Additional functions on this network include: e-mail service, Share financial tracking, printing, file sharing etc. The NMCD data network supports over 2000 Personal Computers and onsite/offsite servers that support approximately 1800 users.

1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT

In FY05 the NMCD Probation & Parole Division received funding to provide Video Conferencing for Re-Entry Transition of incarcerated offenders. This provides inmates the ability to meet their Parole Officer from the facility prior to release. This funding only provided enough equipment for P&P District offices and one set of equipment per Institution.

Phase I was completed which installed video equipment at one location within each of our eleven facilities and twelve Probation & Parole Offices. In FY07 NMCD received Phase II funding for additional equipment which will provide a conferencing unit at each building within the facilities. This will eliminate transporting offenders between buildings.

1.3 PROJECT CERTIFICATION REQUIREMENTS Does the project fit into the criteria for certification? Which and how?

CRITERIA YES/NO EXPLANATION

Project is mission critical to the agency YES System supports Department’s mission to provide Parole Hearings,

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Family Visitations, Re-entry Hearings and Court Hearings.

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

Project impacts customer on-line access NO

Project is one deemed appropriate by the Secretary of YES Computer Enhancement the DoIT Funding

Will an IT Architecture Review be required? NO

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

2.1 AGENCY JUSTIFICATION

Completion of this project will offer great cost saving in video parole hearings, video visitations, video court hearings, and training as follows: 1. Video parole hearing will reduce travel for Parole Board Members. 2. Video parole hearings will reduce cost of in-house parolees (IHPs). 3. Video visitations will improve recidivism rates by allowing low income families with small children the opportunity to stay in touch with family members 4. Video court hearings will reduce costly transports of high-risk offenders and minimize the liabilities in risk to public safety. 5. Video training will save cost of staff traveling.

Anticipated cost savings

Area Anticipated Savings

Court Hearing Transport $54,400.00

Parole Hearings $58,240.00

Probation and Parole Training Sessions $78,000.00

Adult Prisons Training Sessions $163,00.00

Staff Meetings $13,104.00

NMCD anticipates re-curing costs to maintain the Video Network to be $212,048.00 per year. The net result would be an estimated savings of $162,446.00 per year.

The project addresses Goal 4 within the Department’s strategic plan as outlined below.

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NUMBER DESCRIPTION GOAL 4 Objectives  Attempt to lower per diem rates and/or annual cost increases as to private prison contracts.  Require budget accountability from directors, wardens, region managers, budget managers and program managers.  Expand the use of facilities management initiative and technological resources to lower operating costs.

2.2 BUSINESS OBJECTIVES NUMBER DESCRIPTION

BUSINESS OBJECTIVE 1 Implement separate network for video conferencing in order to lift current restrictions due to bandwidth constraints.

BUSINESS OBJECTIVE 2 Grow Video Conferencing Family Visitation programs.

BUSINESS OBJECTIVE 3 Increase Video Conference Staff Training sessions to lower travel costs and requirements.

BUSINESS OBJECTIVE 4 Increase number of video conferences for re-entry hearings

BUSINESS OBJECTIVE 5 Increase schedule availability for courts to schedule and hold court hearings.

2.3 TECHNICAL OBJECTIVES NUMBER DESCRIPTION

TECHNICAL Implement independent video conferencing network. OBJECTIVE 1

TECHNICAL Implement enhanced routing capability to allow for use of additional connections OBJECTIVE 2 for fail over.

2.4 IMPACT ON ORGANIZATION AREA DESCRIPTION

END USER More time available to schedule and hold conferences.

BUSINESS PROCESSES More time available to schedule and hold conferences.

IT OPERATIONS AND Increased utilization of video conferencing services may impact operations staff STAFFING

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AREA DESCRIPTION

2.5 TRANSITION TO OPERATIONS AREA DESCRIPTION

PRELIMINARY Current staff will continue to support video conferencing services and environment. OPERATIONS LOCATION AND STAFFING PLANS

DATA SECURITY, No specific project requirements have been identified at this time. BUSINESS CONTINUITY

MAINTENANCE New network will leverage existing staff skills and video conferencing equipment. STRATEGY

INTEROPERABILITY No specific project requirements have been identified at this time.

RECORD RETENTION NMCD 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 have been 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: Retention:  platform (software): one year after discontinuance of the system.

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AREA DESCRIPTION  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 NMCD is prepared to work with DoIT in consolidation efforts that may provide STRATEGY opportunities in the area of telecommunications.

3.0 PROJECT/PRODUCT SCOPE OF WORK

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 This document is the Project Charter for Certification and sets the Project Charter overall scope for the project, the governance structure, and when signed is considered permission to proceed with the project.

NMCD will complete The Request for Certification as required. Certification Form A Project Management Plan will be drafted, reviewed and approved by Project Management Plan project Executive Sponsors.

Project Risk Management plan will be a supporting plan within the Risk Assessment and management Project Management Plan. Risks will be tracked and addressed throughout the project.

A work plan will be developed and maintained in MS Project for the Project Schedule duration of the project and will reflect all project work packages and activities.

Monthly project status reports will be provided to DoIT upon Monthly Project Status Reports to certification through project close out. DoIT Project close out report will be executed with DoIT upon the completion Project Closeout Report and acceptance of project deliverables.

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3.1.2 PRODUCT DELIVERABLES The product deliverable documents listed here are only used for illustration purposes NMCD will develop design documentation and specifications to meet Design Documents and anticipated need for video conferencing services. Specifications Contractor and NMCD will develop a test plan and test scripts to Test Plan and Test Scripts complete formal system testing activities to ensure router configuration changes and failover work appropriately.

NMCD will conduct system testing and project will document test System Testing results. Successful testing will result in product acceptance document. If testing is not successful product acceptance will not take place and vendor will be required to remediate supplied pilot configurations.

3.2 SUCCESS AND QUALITY METRICS NUMBER DESCRIPTION

QUALITY METRICS 1 Provide separate video network to ensure critical applications are not impacted and video conferencing services are not restricted to off peak hours.

QUALITY METRICS 2

QUALITY METRICS 3

4.0 SCHEDULE ESTIMATE

Schedule for implementation is estimated to begin following Certification approval in January and be complete by June 30, 2008. A full schedule will be developed following discovery around DoIT potential enhanced telecommunications services.

5.0 BUDGET ESTIMATE

5.1 FUNDING SOURCE(S) SOURCE AMOUNT ASSOCIATED RESTRICTIONS COMPUTER $705,400.00 COMPLETE ENHANCEMENT EXPENDITURES FUND BY JUNE 30, 2008

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5.2 BUDGET BY PROJECT CERTIFICATION PHASE ITEM COST ESTIMATE

Initiation $25,000.00

Planning $45,000.00

Implementation $634,400.00

Closeout

Total $705,400.00

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE 6.1 STAKEHOLDERS NAME STAKE IN PROJECT ORGANIZATION TITLE

Erma Sedillo Program Operations NMCD Executive Deputy Secretary Management Administration

Lawrence C. Pacheco Executive Management Information Technology CIO

Tim LeMaster Executive Management Adult Prisons Director, APD

Don Dorsey Business Unit Leadership Adult Prisons Deputy Director, APD

Helen Carr Business Unit Leadership Adult Prisons Deputy Director, APD

Charlene Knipfing Executive Management Probation and Parole Director, PPD

David Jablonski Business Unit Leadership Probation and Parole Deputy Director, PPD

Tim Oakley IT Infrastructure Information Technology IT Infrastructure Manager

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6.2 PROJECT GOVERNANCE PLAN

Larry Pachecho Executive Sponsor

DoIT IV & V Project Oversight Vendor Tim Oakley Project Director

Bryan Gill Project Manager

Project Team Meet Weekly

DoIT NMCD IT Tele- Technical Staff communications

6.3 PROJECT MANAGER 6.3.1 PROJECT MANAGER CONTACT INFORMATION

NAME ORGANIZATION PHONE #(S) EMAIL

Bryan Gill New Mexico Corrections 505-827-8233 [email protected] Department

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY Oversight, Leadership Executive Sponsor Project Manager Plan execution, Business Liaison, Manage project resources, Vendor Management IT Technical Lead Vendor oversight, implementation, testing

PROJECT CHARTER

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ROLE RESPONSIBILITY Vendor Implement system, training

7.0 CONSTRAINTS

NUMBER DESCRIPTION NONE 8.0 DEPENDENCIES

NUMBER DESCRIPTION TYPE M,D,E

DEP1 Project Discovery will require active DoIT participation. M

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

9.0 ASSUMPTIONS

NUMBER DESCRIPTION NONE

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

SCHEDULE ADHERENCE Probability LOW Impact HIGH Description – Risk of loss of funding if work is not Mitigation Strategy completed by June 30, Initiation of request for recertification of funds for the upcoming 2008 legislative session. Contingency Plan Based on January legislative session and Implementation certification a contingency plan will be developed if needed.

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PROJECT CERTIFICATION APPROVAL Probability LOW Impact HIGH Description – Timely Certification and Mitigation Strategy procurement approval is New Mexico Corrections Department is working with DoIT leadership required to implement this to ensure proper documentation is provided timely. Planed system quickly and meet certification for implementation is currently planned for January. completion by end of year Contingency Plan if re-authorization of funds Based on November certification a contingency plan will be is not approved. developed.

TIMELY DELIVERY OF COMMUNICATION LINES Probability MED Impact HIGH Description – Timely Certification Historically Mitigation Strategy implementation of New Mexico Corrections Department is working with DoIT leadership communication lines in a to ensure agreed upon solution is provided in a timely manner. timely manner has been Contingency Plan challenging for the state. Based on November certification and discovery activities in conjunction with DoIT a mitigation strategy will be developed.

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

Throughout the course of this project issues will surface. Effective issue tracking and resolution will be critical to the project’s success. 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 Executive Sponsor.

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

Independent Verification and Validation (IV&V) is a risk mitigation strategy designed to provide management with project oversight through an independent evaluation a project’s product and process quality. The NMCD Video Conferencing project has adopted a low risk implementation strategy by taking the overall project in phases. This final phase will provide the network infrastructure needed for the full utilization of the work of the prior phases. The NMCD Project Management team will begin developing a contract for IV & V services following approval of Initiation Certification.

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

SIGNATURE DATE

LAWRERENCE PACHECO EXECUTIVE SPONSOR

PROJECT MANAGER

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE

SIGNATURE DATE

DOIT / PCC APPROVAL