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PIPELINE SAFETY BUREAU

ONLINE PIPELINE INSPECTION DATA REPORTING SYSTEM

PROJECT CHARTER FOR CERTIFICATION

EXECUTIVE SPONSOR – JOHNNY MONTOYA, CHIEF OF STAFF

BUSINESS OWNER - JASON MONTOYA

PROJECT MANAGER – TBD

ORIGINAL PLAN DATE: NOVEMBER 21, 2011

REVISION DATE: NOVEMBER 3, 2011

REVISION: 0.1

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 CONTENTSABOUT THIS PROJECT CHARTER DOCUMENT........................................................................................................ I

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

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

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT....................................................................................................11.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT.........................................................21.3 PROJECT CERTIFICATION REQUIREMENTS....................................................................................................................2

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS....................................................................................................3

2.1 AGENCY JUSTIFICATION...........................................................................................................................................32.2 BUSINESS OBJECTIVES.............................................................................................................................................42.3 TECHNICAL OBJECTIVES...........................................................................................................................................42.4 IMPACT ON ORGANIZATION......................................................................................................................................52.5 TRANSITION TO OPERATIONS....................................................................................................................................5

3.0 PROJECT/PRODUCT SCOPE OF WORK............................................................................................................ 6

3.1 DELIVERABLES.......................................................................................................................................................63.1.1 Project Deliverables...................................................................................................................................63.1.2 Product Deliverables..................................................................................................................................8

3.2 SUCCESS AND QUALITY METRICS..........................................................................................................................8

4.0 SCHEDULE ESTIMATE..................................................................................................................................... 9

5.0 BUDGET ESTIMATE........................................................................................................................................ 9

5.1 FUNDING SOURCE(S)..............................................................................................................................................95.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -............................................................................................105.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE................................................................................................10

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...........................................................................10

6.1 STAKEHOLDERS...............................................................................................................................................106.2 PROJECT GOVERNANCE PLAN.........................................................................................................................106.3 PROJECT MANAGER.........................................................................................................................................11

6.3.1 PROJECT MANAGER CONTACT INFORMATION........................................................................................116.3.2 PROJECT MANAGER BACKGROUND ........................................................................................................11

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES................................................................................................116.5 PROJECT MANAGEMENT METHODOLOGY .................................................................................................................11

7.0 CONSTRAINTS............................................................................................................................................. 11

8.0 DEPENDENCIES............................................................................................................................................ 12

9.0 ASSUMPTIONS............................................................................................................................................ 12

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY........................................................................................12

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING................................................................................13

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V..............................................................................13

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES.................................................................................14

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE........................................................................14

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Revision History

REVISION NUMBER DATE COMMENT

1.0 November 3, 2011 Original PRC/Pipeline Safety Bureau Project Charter doc

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PROJECT CHARTER – PIPELINE SAFETY BUREAU – ONLINE DATA REPORTING SYSTEM 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 scope of the project is to convert a 21 page compliance inspection MS Word document into a web based on-line/data collection application using existing application software and hardware.Added June 2012: The original project converted a 21 page compliance inspection MS Word document into a web based on-line/data collection application using existing hardware. The additional scope will be to convert the remaining 26 forms.

The problems identified below all stem from rapidly increasing types and numbers of paper-intensive transactions being handled by the Insurance Division with limited staffing and inadequate tools. It is expected that the project will solve each of the problems as discussed below in Section 2.2, Business Objectives.

Problem 1: Increasing numbers of boxes stacked up within the office (several hundred annually; wasted space; violations of OSHA and ADA requirements.

Problem 2: Inability to find, retrieve, and re-file documents rapidly—wasted time

Problem 3: Lost working documents and un findable archive documents—inability to process transactions and serve constituent requests; wasted time searching for lost documents

Problem 4: Insecure storage of confidential documents, including criminal background reports, medical records, identity numbers, financial information, etc.

Problem 5: Failure to meet statutory cash deposit requirements—continuing negative audit findings

Problem 6: Insufficient management tools and information—insufficient supervision, imbalanced workloads; inability to identify, quantify, and address problems with business processes; inability to provide timely responses to requests for transaction status information

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Problem 7: Inability to link documents from multiple sources and media to common files/tasks—example: emails not linked to paper files unless printed; inability to timely respond to record requests;

Problem 8: Unnecessary and significant volume of boxes sent to archives—optical and microfilm storage more efficient and less expensive

1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT

The in-house capabilities to perform this planning and implementation are limited, and the Pipeline Safety Bureau seeks the guidance and assistance of the Department of Information Technology to identify a contract project manager who can assist us to further refine this document and to bring the project to fruition.

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 PRC was given funding in 2006 to migrate the pipeline certification documentation to an on-line application. To date no funding has been spent and the funding will expire in June of 2012.

Current Paper Based Reporting system is taking more time to report online and review.

To compile 2006 pipeline transparency act

To be more efficient when conducting inspections due to increase in regulation

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and rules from the federal laws

To ensure securityon the Application

Project cost is equal to or in excess of $100,000.00Added June 2012

Yes $150,000.00

$155,000.00

Project impacts customer on-line access No

Project is one deemed appropriate by the Secretary of the DoIT

PRC has contacted the federal oversight agency and informed them that the project is under state oversight.

Will an IT Architecture Review be required? No Waiver granted by DoIT.

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

The justification and objectives section relates the project to the purpose of the lead agency and describes the high level business and technical objectives for the project. The section also includes a high level review of the impact to the organization, and of the concerns for transition to operations.

2.1 AGENCY JUSTIFICATION

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

NUMBER DESCRIPTION

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1. Pipeline Safety Bureau

The Pipeline Safety Bureau of the New Mexico Public Regulation Commission ensures:

is charged with the task of enforcing Federal and State Pipeline Safety Regulations in order to provide for the safety of the citizens of New Mexico.

is responsible for investigating intrastate pipeline accidents within New Mexico.

enforces the State Excavation Damage Prevention Law.2. NMSA 1978 §6-10-3 Timely deposit of funds received

3. US CODE (VARIOUS)

Meet federal confidentiality requirements:

4. NMSA (VARIOUS) Meet state statutory and court-ordered confidentiality requirements:

5. Compliance Comply with state public records requirements and archival requirements

6. 49 CODE of federal regulation parts 190-199

Pipeline safety regulations

2.2 BUSINESS OBJECTIVES

USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES

NUMBER DESCRIPTION

BUSINESS OBJECTIVE 1

DEVELOP A WEB BASED APPLICATION TO GATHER THE DATA, REVIEW THE DATA AND STORE THE DATA ELCTRONICALLY AND CONVERT PAPER RECORDS TO ELECTRONIC FORMAT AND MOVE TOWARDS A FULLY PAPERLESS ENVIRONMENT.

2.3 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

TECHNICAL OBJECTIVE 1

REVIEW, INVENTORY AND DOCUMENT THE EXISTING BUSINESS PROCESSES, TYPES OF DOCUMENTS STORED, ARCHIVAL REQUIREMENTS FOR EACH DOCUMENT TYPE,

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NUMBER DESCRIPTION

AND THE COMPUTING SYSTEMS UTILIZED BY THE PRC PIPELINE SAFTEY BUREAU. DIRECT INTERVIEWS WITH SELECTED PSB AND IT STAFF MEMBERS WILL BE CONDUCTED. THIS REVIEW WILL ENCOMPASS THE CURRENT STATE OF PAPER AND ELECTRONIC DOCUMENT HANDLING, AND ASSOCIATED COMPUTING SYSTEMS. DEVELOP THE WEB BASED DATA REPORTING SYSTEM.

2.4 IMPACT ON ORGANIZATION

The impacts on the organization are areas that need to be addressed by the project through its planning process. They may not be internal project risks, but they can impact the success of the project’s implementation.

AREA DESCRIPTION

END USER The Pipeline Safety Inspectors will able to do the inspection and record the data electronically and can submit the data for review immediately.

BUSINESS PROCESSES

Appropriate project implementation will assure consistent application of business processes, promote supervision, and provide ready access to necessary information

IT OPERATIONS AND STAFFING

The system selected and implemented should run on hardware, operating system and databases that are the same as or similar to those which are already implemented within the agency in order to leverage the existing knowledge and abilities of it support staff. Existing technology within the agency includes Intel servers, Sybase and MS SQL server databases and PowerBuilder, .Net or COTS Applications

OTHER NA

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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

PIPELINE SAFETY BUREAU INSPECTORS WILL WORK WITH THE CONTRATORS AND PRC IT STAFF DURING THE LIFE OF THE PROJECT. AS PIPELINE SAFETY BUREAU INSPECTORS AND PRC IT STAFF WILL CONSISTANTLY WORK WITH THE CONTRACTOR THE TRANSITION WILL OCCUR DURING THE LIFE OF THE PROJECT.

DATA SECURITY, BUSINESS CONTINUITY

THE WEB BASED APPLICATION WILL BE DEPLOYED IN EXSISTING WEBSERVER AND DATABASE SERVER. THE PIPELINE SAFTEY INSPECTORS WIL USE THE VPN TO LOG IN TO THE INTRANET WEBBASED APPLICATION TO COLLECT THE DATA AND SUBMIT THE DATA. THE APPLIATION ARE DEPLOYED IN THE EXSISTING SERVER AND IT FALLS UNDER THE EXSISTING BUSINESS CONITNUY PLAN OF THE AGENCY.

MAINTENANCE STRATEGY

THE IN-HOUSE PRC IT STAFF WILL MAINTIAN THE SYSTEM AFTER THE IMPLEMTATION AND IMPLEMENT THE REQUIRED CHANGES FOR THE APPLICATION.

INTEROPERABILITY N/A, CURRENTLY THIS SYSTEM IS A STAND ALONE SYSTEM.

RECORD RETENTION THE RECORD WILL BE RETAINED AS PER THE PIPELINE SAFTEY BUREAU COMPLIANCE AND THE STATE RECORD ARCHIVE STATNDARDS.

CONSOLIDATION STRATEGY

NOT PART OF THE SCOPE OF THE PROJECT.

3.0 PROJECT/PRODUCT SCOPE OF WORK

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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.

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.”

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

IT Service Contracts The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts.

Risk Assessment and management

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

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

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

Monthly Project Status Reports to DoIT

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

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

3.1.2 PRODUCT DELIVERABLES

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

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Requirements Documents The contractor will work with the pipeline safety bureau and document all the requirements for the project.

Design Documents The contractors will work with pipeline safety bureau and build the design documents as part of the deliverables.

Systems Specifications The contractors will write the system specifications for the project by working with the pipelines safety bureau inspectors and the PRC IT staff.

Systems Architecture The contractors will build the system architecture by working with the IT staff and pipeline bureau inspectors.

System and Acceptance Testing

The pipeline safety bureau inspectors will work with the contractors on the User Acceptance Testing (UAT) as part of the deliverables.

Operations requirements The pipeline safety bureau inspectors will work with the IT Staff on Operations.

3.2 SUCCESS AND QUALITY METRICS

Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget.

NUMBER DESCRIPTION

QUALITY METRICS 1

ALL PAGES CONVERTED AND TESTED BY THE END OF THE PROJECT.

QUALITY METRICS 2

ADDITIONAL 26 FORMS CONVERTED.

4.0 SCHEDULE ESTIMATE

The schedule estimate is requested to provide the reviewers with a sense of the magnitude of the project and an order of magnitude of the time required to complete the project. In developing the

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schedule estimate, certification timelines and state purchasing contracts and procurement lead times are as critical as vendor lead times for staffing and equipment delivery. Project metrics include comparisons of actual vs. target date. At the Project Charter initial phase, these times can only be estimated.

ITEM DUE DATE PROJECT PHASE

Phase 1: Form 1

Project Coordination Jan. 2012 Planning & Implementation

Gather Requirements March 2012 Planning

Design and Develop April 2012 Implementation

Testing May 2012 Implementation

Deploy June 2012 Implementation

Close with PCC July 2012 Close

Phase 2: Form 2 - 26

Project Coordination 12/02/11 Planning & Imple-mentation

Gather Requirements 1/13/12 Planning

Design and Develop 2/24/12 Implementation

Testing 3/22/12 Implementation

Deploy 05/16/12 Implementation

5.0 BUDGET ESTIMATE

Within the Project Charter budgets for the project can only be estimated. Original budgets requested in appropriations or within agency budgets are probably not the numbers being worked with at project time. Funding sources are asked for to help evaluate the realism of project objectives against funding, and the allocation of budget estimates against project deliverables.

Please remember to include agency staff time including project managers as costs.

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5.1 FUNDING SOURCE(S)

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

Federal Funds Pipeline Safety Fund

$150,000.00 EXPIRING JUNE 30, 2012

Federal Funds Pipeline Safety Fund

$155,000.00 EXPIRING JUNE 30, 2013

5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -

ITEM – PHASE 1 COST ESTIMATE PROJECT PHASE

Project Coordination $10,386.00 Planning & Implementation

Gather Requirements $31,158.00 Planning

Design and Develop $41,544.00 Implementation

Testing $20,772.00 Implementation

Deploy $25,965.00 Implementation

Close with PCC 0.00 Close

PHASE 2 As per the Contract TBD with similar items as listed above.

$155,000

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

6.1 STAKEHOLDERS

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

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NAME STAKE IN PROJECT ORGANIZATION TITLE

JASON MARKS, PATRICK H.LYONS, DOUGLAS HOWE, THERESA BECENTI-AGUILAR AND BEN L.HALL

Constitutional regulatory authority over the business of insurance; elective office

Public Regulation Commission

Commissioner

Jason Montoya and Pipeline Safety Inspectors

Primary point of contact within the Pipeline Safety Bureau for it projects

PRC Pipeline Safety Bureau

Bureau Chief

Matthew Lovato Acting Administrative Services Director

PRC ASD PRC CFO

NANDA KUMAR IT OPERATIONS STAFF

PRC ASD IT DIVISION

PRC CIO

6.2 PROJECT GOVERNANCE PLAN

The Pipeline Safety bureau chief and the IT Operations staff will be working with the contractors directly to ensure the proper implementation of the project. The pipeline safety bureau inspectors will work with the contractors on UAT for implementation. The ASD director will oversee the project.

6.3 PROJECT MANAGER

6.3.1 PROJECT MANAGER CONTACT INFORMATION

NAME ORGANIZATION PHONE #(S) EMAIL

NANDA KUMAR PRC IT 505-827-6983

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6.3.2 PROJECT MANAGER BACKGROUND

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

See section 6.1.

6.5 PROJECT MANAGEMENT METHODOLOGY

The Department of Information Technology certification process is built around a series of certification gates: Initiation, Planning, Implementation and Closeout. Each of these phases/gates has a set of expected documents associated with it. The gates and the associated documents make up the certification methodology.

For some projects such a framework might be sufficient, where for some projects the solution development life cycle (SDLC) with plan, define, design, build, close might be more appropriate.

Put most simply how is the project to be structured into a methodology or framework and where do the project and product deliverables fit into this roadmap?

Will be using the Agile Methodology.

7.0 CONSTRAINTS

NUMBER DESCRIPTION

1 The appropriate funds will expire on June 30, 2012. The current fund request will be used for the development and implementation of web based data reporting system.

2 The appropriate funds will expire on June 30, 2013. The current fund request will be used for the expansion of the development and implementation of web based data reporting system to include 26 additional forms.

8.0 DEPENDENCIES

Types include the following and should be associated with each dependency listed. Mandatory dependencies are dependencies that are inherent to the work being done.

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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

NUMBER

DESCRIPTION TYPE M,D,E

NONE

9.0 ASSUMPTIONS

NUMBER DESCRIPTION

1 CURRENT SERVERS WILL HANDLE THE LOAD OF THE NEW APPLICATION.

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1

Funding expires June 30th 2012 and will end June 30th

2013 for the 26 additional forms.

Probability Impact

Mitigation Strategy:The Agile Project management methodology will be used. The Agile method allows a component of the project to be delivered at the end of each Sprint; allowing for a portion of the project to be completely delivered if the project deadline has not been met before the funding expires.Contingency Plan:The pipeline safety bureau will request the Agency to fund the project or a portion of the project.

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

See section 6.2.

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12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

IV and V waiver granted by DoIT

13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

SIGNATURE DATE

EXECUTIVE SPONSOR

BUSINESS OWNER

PROJECT MANAGER

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE

SIGNATURE DATE

DOIT / PCC APPROVAL

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