www.company.com

Electronic Content/ Electronic Document Management System

(EC/EDMS) Project

Closeout PresentationDecember 15, 2010

Sandra Jaramillo, Director of State Records and Archives (SRCA)Joel Matek, CIO Tax and Revenue Department (TRD)Debra Saiz, ITPM Human Services Department (HSD)

www.company.com

History:

•HSD and TRD independently submitted funding requests to develop an EDMS Solution.

•SRCA, also submitted a request to assess the Electronic Records Environment in State Government.

•Per State CIO, the requests were combined into a multi-agency funding request in 2004-2005.

2

2004

C-3 Combined Multiagency

www.company.com

History: Appropriation Description

Subsection 6, Section 8, Chapter 114, Laws 2004, appropriation was approved for implementing a multi-agency system for imaging and archiving documents electronically to improve access, integration and accuracy of information.

3

Laws 2004Agency General Fund

Estimated Federal Fund Match

SRCA $180,000

TRD $636,952

HSD $383,048 $791,992

Total $1,200,000 $791,992

www.company.com

History: Split HSD and TRD into separate projects

CSED

•Procurement issues were addressed during FY2006.

•HSD Child Support Enforcement Division(CSED) reviewed the project and identified the best use of resources.

•HSD CSED and TRD RPD were selected to implement EDMS.

•HSD CSED and TRD RPD would implement independent EDMS Projects.

•Laws 2008, Chapter 3, Section 7, Subsection 25 Reauthorized the appropriation and granted a final extension through FY2010.

4

Project Review

20062007

2008

www.company.com

Consolidated Agency Budgets

Description General

Funds (GF) Appropriation

HSD GF TRD GF SRCA GF Total GF

Remaining After Expenditures

Federal Funds (FF)

Appropriation

HSD FF Expenditure

Total FF Remaining

After Expenditures

Expenditures

OCIO Letter of Oct. 19, 2004

$240,000

$240,000

FY04 Expenditures

-

-

-

FY05 Expenditures

(6,482)

(19,064)

(180,000)

34,454

(12,582) (12,582)

OCIO Letter Jul. 27, 2005

960,000

994,454

ACF Letter of Sep. 27, 2005

791,992

779,410 FY06 Expenditures

(29,418)

(86,523)

878,513 (57,105)

722,304

FY07 Expenditures

(27,887)

(81,606)

769,020 (51,733)

670,571

FY08 Expenditures

(201,923)

(407,759)

159,339 (391,968)

278,604

FY09 Expenditures

(14,035)

(42,000)

103,303 (27,245)

251,359

FY10 Expenditures

(100,051) 3,253

(194,216) 57,143

TOTALS

$1,200,000

$(379,795)

$(636,952)

$(180,000) $791,992

$(734,849)

Total Reverted

Funds$3,253 $57,143

5

www.company.com

SRCA: Project Description

• Goal: Assess electronic records environment in state government and formulate strategies for the capture and preservation of electronic records through an electronic records management systems (ERMS).

• Appropriation Allocation: $180K

• Timeline: March 2005, SRCA contracted Optimos Inc. to conduct assessment (SPD#30-000-00-0061).

• Completion: Assessment completed June 22, 2005.

6

www.company.com

SRCA: Outcome

•Document Creation

•Document Workflow

•Document Capture

•Document Classification

•Records Conservation

•Records Compliance

•Records Disposition

DOCUMENT MANAGEMENT

RECORDS MANAGEMENT

•Manage Content

•Define Context

•Enable Control

• SRCA developed a framework for implementation of a state-wide ERMS/EDMS solution.

HSD and TRD Goals

SRCA Goals

7

www.company.com

SRCA: Outcome/Benefits/Drawbacks

Outcome Benefits Drawbacks

SRCA developed a framework for implementation of a state-wide ERMS/EDMS solution.

Provided strategy for improving management of inactive electronic records residing in an EDMS.

No available funds to implement solution.

Provided strategy for moving from paper-based workflow process to EDMS driven process.

Length of time required to implement EDMS. Agencies have differing amounts of paper intensive business processes in place.

8

www.company.com

IndexInformation

HSD: Agency Project Description

CSED Staff can successfully reduce the time of access from a three to five day wait to a few minutes.

The HSD Electronic Document Management Systems (EDMS) project converts Child Support paper files into electronic formats.

Prepare Cases

ScanDocuments

StoreDocuments

Faster and Accurate Workflow

MainframePosting

9

Child Support ApplicationCourt OrdersEmployer VerificationAcknowledgement of Paternity (AOP) Form

www.company.com

HSD: Agency Project Cost

HSD’S EXPENDITURE

Description Original Budget ARRA Funds Total

Professional Service $503,703 $30,352 $534,055

Hardware $194,930 $36,855 $231,785

Software $415,803 $73,171 $488,974

Network $0 $0 $0

Other $208 $0 $208

Total $1,114,644 $140,378 $1,255,022

10

www.company.com

Procurement Issues Delay Project Six Months

HSD: Agency Project Timeline

11

Agencies to Submitted Request for Funding

SRCA to Completed the Assessment

EDMS Project Planned To End

Agencies Submitted Request for Funding

SRCA Completed the Assessment

Federal Review Delays Project Three Months

EDMS Project Planned Closeout

EDMS Project Closeout

Plan

Actual2004 2005

EDMS Pilot Goes Live in Three Offices

2006 2008 20092007 2010

Reconciliation of funds

Remaining Funds Used for Production Expansion to Remaining Office.

Project Reinstated

HSD and TRD Split Funds

Deployed EDMS

www.company.com

HSD: Outcome/Benefits/Drawbacks

Outcome Benefits Drawbacks

Open to 410 Users (Field Staff, Call Center Staff, Corresponding Posting Staff).

Reliable, faster and easier retrieval of documents.

Deployed to17 field offices. Simultaneous access to documents by multiple people.Requires vendor support Maintenance and Operations.

The ability to scan and manage the Application, Court Order, Employment Verification and Acknowledgement of Paternity (AOP) Form.

Ability to share case files across related lines of business.

The system will process over 40,000 pages of material per month.

Reduces the time of access from a 3 to 5 day wait to a few minutes.

Accessible from any Child Support Enforcement System (CSES) networked computer.

Manage subsequent updates.

HSD CSED established a document database.

With approximately 63,000 open Child Support Cases every office and every case has need of the ability to have the Application, Court Order, Employment Verification and Acknowledgement of Paternity (AOP) Form captured and managed.

Future document data storage costs.

HSD selected IBM”s robust enterprise-class platform.

Manageable to rollout to additional users, and/or expand its capabilities further.

Requires technical staff to be IBM Certified.

12

www.company.com

HSD: Moving Forward

HSD’s EDMS FileNet System is built on an enterprise-class platform.•Equipped to roll out applications to additional users.•Built to expand on its capabilities further.

Operating System

Storage Device Drivers

Document Imaging

Data Base Service

Base Application Service

Document Management

Integrated Document

Archiving & Retrieval

Routine Workflow

The Structure of HSD’s EDMS

13

www.company.com

TRD: Project Description

• Goal:

– Improve TRD services specifically for Motor Vehicle Division (MVD) and the Revenue Processing Division (RPD)

– Improve business processes for Motor Vehicle citations with ECM solutions, including:

• Document Imaging

• Electronic Document Management

• Workflow Management

• Appropriation Allocation: $636,952

14

www.company.com

TRD: Project Cost

TRD’s Cost Breakdown of General Funds Expenditures

Professional Services $410,482

Hardware $32,589

Software $193,673

Other $208

Total $636,952

15

www.company.com

TRD: Outcome/Benefits/Drawbacks

Outcome Benefits Drawbacks

Established metadata and procedural process with SRCA; available as a model for future TRD ECM projects.

Clear advantages for MVD: data is accessible in minutes instead of days/weeks.

No real process improvement for RPD with MVD citations.

Central repository of citation material.Scanned citations available from 85 field offices instead of only microfilm at HQ.

Only used intermittently due to RPD issues/preferences.

Needed stronger TRD executive support; competition for resources.

RPD resources not available during tax season (Dec – May).

TRD does not have the budget for maintenance and operation.

16

www.company.com

TRD: Lessons Learned

17

• Citation record is complicated; may have been better to start ECM with simpler record series, smaller scope.

• “Black box” solution does not allow modifications without vendor assistance/cost.

• TRD requires a highly sophisticated KFI application to fulfill the high volume citation processes for MVD; this solution did not allow TRD to reach daily goals.

• Officer handwriting causes most citations to require data entry, don’t go through automatic path.

• Should have put emphasis on TRACS and receiving data electronically instead of ECM for MVD citations.

• Key staff turnover and lack of adequate cross training had negative affects.

www.company.com

Future Expansion

The Future for Enterprise

Content Management

System

Web ContentManagement

Records Management

Digital Asset Management

Email Archiving

Forms Processing

WorkflowManagement

Document Centric

Collaboration

18

• Expanding on the ECMS Investment:

• The EDMS platform has the potential to expand its capabilities to seven additional modules.

• Evaluate future options based on business process.

• Evaluate future resources based on potential cost savings.

www.company.com

In Conclusion:

• Secure funding for an Enterprise Content Management System which will serve as a Centralized Electronic Records Repository.

• Promulgate metadata standards to ensure the accurate and low cost capture, management and legal disposition of inactive electronic records.

• Adopt an ECM strategy that combines a centralized approach to records management with distributed implementation of electronic document management systems.

29

www.company.com

Lessons Learned

• Sufficient resources (staff and funding) are required for the implementation of an enterprise content management solution. This prevents delays and allows the work to be carried out in a timely fashion.

• Records management should be recognized as a core business function. This allows for records to be controlled and accessible.

• For EDMS to succeed, automated workflow analysis is a critical business functions. This allows continuous field office performance improvement through automation capabilities.

• A solid data governance structure is required for an effective Enterprise e-records management. This allows for the overall management of the availability, usability, integrity, and security of the data employed in an enterprise.

20

www.company.com

Questions:21