Brilliant Answers

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Project

Scope Statement

Prepared by: Paul A. Sevigny

Date: 5/14/07

Scope Statement Revision History Rev. Rev. Date Description Prepared by

The scope statement is an agreement among the project team, the project sponsor and key stakeholders. It represents a common understanding of the project for the purpose of facilitating communication among the stakeholders and for setting authorities and limits for the project manager and team. The scope statement includes relating the project to business objectives, and defining the boundaries of the project in multiple dimensions including approach, deliverables, milestones, and budget.

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Table of Contents A. Executive Summary ............................................................................................ 3

B. Business Objectives ........................................................................................... 3

C. Project Description ............................................................................................. 5

D. Project Approach .............................................................................................. 10

E. Project Estimates .............................................................................................. 10

F. Project Controls ................................................................................................ 12

G. Authorizations................................................................................................... 13

H. Scope Statement Approval Form/Signatures.................................................... 14

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A. Executive Summary In accordance with the Vital Statistics Act (Minnesota Statutes, Sections 144.211 to 144.227), the Office of the State Registrar (OSR) is responsible for the creation and maintenance of a statewide system of vital statistics. OSR oversees a centralized electronic system for the processing of birth and death records and coordinates the work of OSR staff and in 106 local registrar offices in all 87 counties to issue birth and death certificates and provide other services related to birth and death records such as recognition of parentage and replacement of records due to adoption. Annually, these services include the issuance of over 600,000 birth and death certificates, over 35,000 corrections, amendments to and replacements of records. OSR also coordinates the provision of data by nearly 600 funeral homes in Minnesota and neighboring states, medical examiner and coroner offices in all 87 counties, 110 hospitals, and hundreds of physicians throughout Minnesota. Together with these partners, OSR registers over 70,000 births and 38,000 deaths per year.

B. Business Objectives 1. Business Need/Opportunity/Objectives The OSR is required to provide timely, accurate and appropriate information to effectively serve communities and allow other authorized agencies to obtain vital data from this system. However, the current vital record system MNVRV2000 is outdated and has difficulty meeting the growing business demands of vital statistics and a re-designed vital records system will address existing problems resulting from an outdated system. OSR recognizes the need for a more sophisticated information system to respond to the multiple challenges that they must face, including modern issues like prevention of identity theft, integration with electronic health records, and rapid response to bioterrorism and pandemic health events. A new system will use industry standards to strengthen security to prevent fraud, further eliminate manual paper-based processes, improve the timeliness and accuracy of vital event data, incorporate new administration features to meet new federal certification standards and transform OSR from its current environment to a highly secure integrated system that meets the growing needs of its constituents. Since 2004, the National Association for Public Health Statistics and Information Systems (NAPHSIS) and National Center for Health Statistics (NCHS) have urged all jurisdictions to re- design their vital statistics systems with the ultimate goal to allow immediate confirmation of the information presented by an applicant to a government office anywhere in the nation irrespective of the place or date of issuance. Nearly all of the states are participating in a system re-design project. NAPHSIS published a vital record re-engineering survey recently showing a majority of states have moved to a web-based solution for their vital records system. OSR sees the necessity to develop a system that is interoperable with other states, other federal agencies such as the U.S. Department of Homeland Security (U.S. DHS), and the Social Security Administration (SSA).

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2. Product Description (Solution) This is an integrated, web-based Vital Record System, which allows state and local registrars, funeral directors, physicians, medical examiners and their assistants, and hospital birth registrars to enter, maintain and use birth and death data including civil registration and public health data. Authorized users will access the system through a secure web browser. The system will process and print legal birth and death certificates and produce vital data for all authorized stakeholders. The system shall be highly secure and provide timely services. 3. Deliverables 1) The Vital Records Application contains the following modules:

A. Birth Module Users are: Hospital staff, OSR staff, local registrars, and other state/federal agencies. This module collects and stores birth-related data including recognition of parentage; prints informational and legal birth certificates.

B. Death Module Users are: Funeral directors, physicians, medical examiners, local registrars, OSR staff, and other state/federal agencies. This module collects and stores death related data; prints informational and legal death certificates and disposition permits.

C. Customer Service Module Users are: Authorized OSR staff and local registrar staff This module tracks the transactions for purchase of certified birth, death and Recognition of Parentage (ROP) and fetal death records. It will also track amendments to birth and death records and replacement of records due to adoption or paternity adjudication, court order or ROP’s and other customer requests. It starts when a transaction is generated, and ends when it has closed. It provides the details on each transaction. It also monitors transactions on individual records.

D. Electronic Tracking of Fees and Invoice Module Users are: Authorized OSR staff and local registrar staff The electronic fees and invoice-tracking module processes and handles any cost-related issues, such as credit card payments, checks, invoices and tracking of security paper.

E. Report Module Users are: Authorized OSR staff This module provides built-in reports and has the capability to create self-tailored reports. It is a very complete and sophisticated reporting mechanism. The purpose of this module is to provide data and efficient tools to analyze data, and improve public health.

F. View Module Users: Authorized MDH and external public health customers

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This module provides a secure layer for customers to view the portion of data they have been authorized to have access. It is read-only, without the ability to write into the system. It promotes better data security for vital records.

G. User Access Maintenance Module Users: Internal technology staff This module provides for maintaining appropriate access for the various types of users

and maintaining their login accounts. Maintenance activities include the granting and/or removal of user rights.

2) Hardware and Software Environment and Redundancy MDH will provide the necessary additional hardware and software for this system development project, and will also provide and manage the infrastructure on the servers and the network. The proposed Technical Architecture diagram is included in the RFP. 3) Establish Internal Capacity to Maintain and Enhance the System The vendor selected for the development phase of this project will provide necessary knowledge transfer and training to allow MDH staff to maintain and enhance the system.

C. Project Description 1. Scope

Includes:

o Collecting & storing birth records Including ROP & HNPS

o Collecting & storing death records o Collecting & storing fetal death records o Modifying vital records (including amending & correcting) o Replacing & rescinding vital records

Adoption ROP & HNPS Court ordered replacement Paternity legitimation

o Providing copies of vital records to customers o Responding to & tracking customer requests o Tracking of fees & invoices (including link to online financial transactions) o Vital records reporting o Creating statistical files o User Access & System Administration Maintenance (e.g. tables) o Workload management o Tracking of security paper o Notifications and messages to users o Cause of death spell checking (per NCHS standards) o Rules-based logic

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o Maintaining audit trails

Does Not Include:

o Marriage records o Divorce records o ITOP records o Hearing, Newborn metabolic screening, Immunization data

2. Completion Criteria

The system will provide functionality in all activities involved in recording and maintaining vital event data. These activities include the following:

• Collect and Store Birth Records • Record and Report Delivery of Fetal Death Events • Amend and Correct Birth Records • Replace and Rescind Birth Records • Perform Standard Birth Data Edits • Collect and Store Death Records • Initialize a John Doe or Unclaimed Body Record • Correct a Death Record • Matching Death Records with Birth Records • Cause of Death Reporting • Support for Funeral Directors • Support for Medical Examiners and Coroners • Import and Export Files and Reports • Customer Service • System/Table User Administration • Global System Requirements • Technical and Security Requirements

3. Risk Assessment

The following high-level risks have been identified during the preliminary risk assessment by the OSR project team members:

• The total estimated effort hours are greater than 5000 • If a package implementation, heavy customization would be required • Project duration is estimated at greater than 12 months • The project team may be dispersed at multiple sites • The number of organizations this will affect is more than 5 • Project will be staffed by over 50 % contractors and/or contractors’ commitment is

not expected to be complete prior to start of project

Additional risk assessment will be done as a joint effort with the selected vendor and will be expanded in the formal Risk Management Plan, completed as part of the Project Plan.

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4. Constraints

• Vital Records Redesign system shall be released on January 1, 2010. Because the data set for a given year must be consistent, the system change must occur at the beginning of a calendar year. Not meeting the January 1, 2010 deadline will result in delaying the project until January 1, 2011. The data reporting requirements change effective January 1, 2010.

• Time limited funding is available to develop this system. • All development shall be completed by July 1, 2009, to ensure ample time for testing,

training of both internal and external users, creation of systems and user documentation, etc.

• There are many processes, standards, guidelines, laws etc. required by the Federal & State government which must be adhered to.

• State and MDH security and application development standards must be adhered to. • There are new rules coming from the federal government which will have to be adhered

to, once known. 5. Dependency Linkages

The system to be developed needs to be interoperable with other states, other federal agencies, such as the U.S. Department of Homeland Security (U.S. DHS), and the Social Security Administration (SSA). In addition, the following initiatives or systems will need to interface with this system. The integration of these systems will be addressed and agreed to jointly by the vendor and project staff during the detail design phase of this project. • MN Fathers Adoption Registry • Online financial transaction and link to US Bank • Geo-coding software • Cause of death coding software (SUPERMICAR) • ImageNow imaging system • Online verification of SSN (OVS) • Electronic Verification of Vital Events (EVVE) • Mortuary Science RFID (Radio Frequency Identification) • State and Territorial Exchange of Vital Events (STEVE)

6. Impacts The current vital record system is outdated and has difficulty meeting the growing business demands of vital statistics and a re-designed vital records system will address existing problems resulting from an outdated system. OSR recognizes the need for a more sophisticated information system to respond to the multiple challenges that they must face, including modern issues like prevention of identity theft, integration with electronic health records, and rapid response to bioterrorism and pandemic health events. A new system will use industry standards to strengthen security to prevent fraud, further eliminate manual paper-based processes, improve the timeliness and accuracy of vital event data, incorporate new administration features to meet new federal certification standards and transform OSR

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from its current environment to a highly secure integrated system that meets the growing needs of its constituents.

7. Measures of Project Success The primary measure of success is the creation of a web-based system that allows authorized users to perform their functions in a streamlined, more efficient and faster way. 8. Assumptions

• There are sufficient monies to develop this system. • A shared development environment will be created with external consultants and internal

technical staff. • OSR will assign a developer, network administrator, and database administrator to this

system development project. • OSR will provide an internal and external testing team and support throughout the

duration of this system development project. • MDH will provide the necessary hardware and software for this system development

project.

9. Critical Success Factors The new web-based Vital Records System will allow state and local registrars, funeral directors, physicians, medical examiners and their assistants, and hospital birth registrars to enter, maintain and use birth and death data including civil registration and public health data. The system shall allow printing of legal birth and death certificates and produce vital data for all authorized stakeholders. The system shall be highly secure and provide timely services.

10. Roles and Project Stakeholders

Roles The following role definitions are being applied to the resources assigned to this project:

Project Sponsor

Provides executive team approval and sponsorship for the project. Has budget ownership for the project and is the major stakeholder and recipient for the project deliverables.

Project Owner Provides policy definition to the Project team. Resolves all policy issues with the appropriate policy owners in order to provide a clear, decisive definition. Makes final decisions and resolves conflicts or issues regarding project expectations across organizational and functional areas. The project owner and the project manager have a direct link for all communication. The project manager will work directly with the project owner on all policy clarification.

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Project Manager Provides overall management to the project. Accountable for establishing a Project Charter, developing and managing the work plan, securing appropriate resources and delegating the work and insuring successful completion of the project. All project team members report to the project manager. Handles all project administrative duties, interfaces to project sponsors and owners and has overall accountability for the project.

Steering committee

Provide assistance in resolving issues that arise beyond the project manager’s jurisdiction. Monitor project progress and provide necessary tools and support when milestones are in jeopardy.

Stakeholder Key provider of requirements and recipient of project deliverable and associated benefits. Deliverable will directly enhance the stakeholders’ business processes and environment. Majority of stakeholders for this project will be agency heads, CIO’s and project management representatives.

Team Member Working project team member who analyzes, designs and ultimately improves or replaces the business processes. This includes collaborating with teams to develop high level process designs and models, understanding best practices for business processes and partnering with team members to identify appropriate opportunities, challenging the old rules of the business and stimulating creating thinking, and identifying organizational impact areas.

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Stakeholders Name Role

James Golden, Health Policy Division Director Executive Sponsor Steven Elkins, State Registrar, OSR Project Sponsor/Owner Paul A. Sevigny, IT Project Manager, PQC Bureau Project Manager Barb Wills, Asst Dir., HP Division Steering Committee Member Linda Loftus, Deputy State Registrar, OSR Steering Committee Member Cecelia Jackson, Asst Dir. Operations, CM Div Steering Committee Member Otto Hiller Team Member Ambika Shashikumar Team Member Selected Vendor Staff(TBD) Team Member OSR Support Staff Stakeholder Birthing Hospital Staff Stakeholder Funeral Home Staff Stakeholder Medical Examiner/Coroner Stakeholder Local County Registrar Stakeholder

D. Project Approach

Planned Approach The Minnesota Department of Health (MDH) is issuing a request for proposals (RFP) for the design, development and implementation of an electronic information system. The desire is to implement working solutions to support the phased implementation plan for this project. The vendor selected for this project will be responsible for developing a project plan that must cover all project phases – design, development, testing, implementation and support.

E. Project Estimates

1. Estimated Schedule

Key Project milestones relative to project start are as follows:

Project Milestones Target Date Project Start 5/1/2006 RFP Completed by OSR 9/21/2007 RFP Issued by Financial Management 11/1/2007 Proposals due at MDH 11/26/2007 Vendor Presentations if deemed necessary 12/3/2007 Vendor Proposal Evaluation Completed by MDH 12/4/207

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Start Contract Negotiations with Selected Vendor 12/5/2007 Contract Negotiations with Selected Vendor Completed 12/20/2007 Vendor Starts Work on Project 1/7/2008 Project Completion 1/1/2010

2. Resource Requirements – Team and Support Resources

The following personnel resources are required to complete this project:

Personnel Resource Types Quantity

Project Manager (MDH & vendor assigned) 2 Business Analyst (Vendor assigned) 1 Technical Architect (Vendor assigned) 1 Database Administrator (MDH) 1 JAVA Developers (MDH (1) & vendor assigned (4)) 5 Subject Matter Experts (SME) – OSR Support Staff 10.15

Total Personnel Resources 20.15 3. Estimated Cost

Expense Original Budget

Current Budget

Spent to Date

Est. to Complete

Current Forecast

Variance

Labor Internal $908,903

External $2,600,000 Hardware $650,000 Software $150,000 Other $20,000

Total 4. Checkpoint/ Funding Schedule

The checkpoints or milestones will be monitored on a monthly basis with MDH Project Manager and Project Owner to ensure vendor has successfully completed work planned for the month.

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F. Project Controls 1. Steering Committee Meetings Steering Committee meetings are scheduled weekly during the RFP phase. This schedule may be adjusted as needed after the selected vendor starts work on the project. 2. Monthly Status Reports The Project Manager will provide a written status report to the Project Owner on a monthly basis and distribute the project team meeting minutes. 3. Risk Management MDH and the selected vendor will schedule periodic meetings and reviews to ensure the project risks and associated mitigation actions are monitored and controlled in accordance with the Risk Management Plan. 4. Issue Management Project-related issues will be tracked, prioritized, assigned, resolved, and communicated in accordance with Project Management procedures:

• Issue descriptions, owners, resolution and status will be maintained on an issues database. • Issues will be addressed with the Project Owner and communicated in the project status

report. 5. Change Management The change control procedures to be followed will be consistent with Project Management procedures and consist of the following processes:

• A Change Control database will be established by the project manager to track all changes associated with the project effort.

• All Change Requests will be assessed to determine possible alternatives and costs. • Change Requests will be reviewed and approved by the project owner. • The effects of approved Change Requests on the scope and schedule of the project will be

reflected in updates to the project plan. • The Change Control database will be updated to reflect current status of Change

Requests. 6. Communication Management In addition to the monthly status reports above, the following strategies have been established to promote effective communication within and about this project:

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• The Project Owner will be notified in person or via email on all urgent issues. Issue notification will include time constraints, and impacts, which will identify the urgency of the request for service.

• The project team will have weekly update/status meetings to review completed tasks and determine current work priorities. Minutes will be produced from all meetings.

• The Project Manager will provide the project sponsors with project team minutes and steering committee status reports.

G. Authorizations The Scope Statement will be approved by:

The Project Sponsor

The Project Manager

Project Changes will be approved by:

The Project Sponsor

Project deliverables will be approved/accepted by:

The Project Sponsor

The Project Manager

The Key Stakeholders

Specific task responsibilities of project resources will be defined in the Project/work Plan.

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H. Scope Statement Approval Form/Signatures

Scope Statement Approval Form

Project Name: Minnesota Registration & Certification (MR&C) System (Vital Records System Re-design) Project Manager: Paul A. Sevigny The purpose of this document is to provide a vehicle for documenting the initial planning efforts for the project. It is used to reach a satisfactory level of mutual agreement between the project manager and the project sponsors on the objectives and scope of the project before significant resources are committed and expenses incurred. I have reviewed the information contained in this Scope Statement and agree.

Name Signature Date

The signatures of the people above relay an understanding in the purpose and content of this document by those signing it. By signing this document you agree to this as the formal Project Scope Statement.