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Presentation on theme: " Electronic Content/ Electronic Document Management System (EC/EDMS) Project Closeout Presentation December 15, 2010 Sandra Jaramillo, Director."— Presentation transcript:

1 Electronic Content/ Electronic Document Management System (EC/EDMS) Project Closeout Presentation December 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)

2 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

3 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 2004 AgencyGeneral Fund Estimated Federal Fund Match SRCA$180,000 TRD$636,952 HSD$383,048$791,992 Total$1,200,000$791,992

4 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 2006 2007 2008

5 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 FY04 Expenditures - - - FY05 Expenditures (6,482) (19,064) (180,000) 34,454 (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

6 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

7 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

8 SRCA: Outcome/ Benefits/Drawbacks OutcomeBenefitsDrawbacks 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

9 Index Information 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 Scan Documents Store Documents Faster and Accurate Workflow Mainframe Posting 9 Child Support Application Court Orders Employer Verification Acknowledgement of Paternity (AOP) Form

10 HSD: Agency Project Cost HSD’S EXPENDITURE DescriptionOriginal BudgetARRA FundsTotal Professional Service$503,703$30,352$534,055 Hardware$194,930$36,855$231,785 Software$415,803$73,171$488,974 Network$0 Other$208$0$208 Total$1,114,644$140,378$1,255,022 10

11 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 Actual 20042005 EDMS Pilot Goes Live in Three Offices 20062008200920072010 Reconciliation of funds Remaining Funds Used for Production Expansion to Remaining Office. Project Reinstated HSD and TRD Split Funds Deployed EDMS

12 HSD: Outcome/Benefits/Drawbacks OutcomeBenefitsDrawbacks 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

13 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

14 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

15 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

16 TRD: Outcome/Benefits/Drawbacks OutcomeBenefitsDrawbacks 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

17 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.

18 Future Expansion The Future for Enterprise Content Management System Web Content Management Records Management Digital Asset Management Email Archiving Forms Processing Workflow Management 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.

19 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

20 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

21 Questions: 21

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