Electronic Data Content Management

Report
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:
2004
•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.
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.
Agency
General Fund
Estimated Federal
Fund Match
SRCA
$180,000
TRD
$636,952
HSD
$383,048
$791,992
$1,200,000
$791,992
Total
4
History:
Split HSD and TRD into separate projects
2006
2007
•Procurement issues were addressed during FY2006.
•HSD Child Support Enforcement Division(CSED) reviewed the
project and identified the best use of resources.
Project
Review
CSED
•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.
2008
5
Consolidated Agency Budgets
Description
OCIO Letter
of Oct. 19,
2004
FY04
Expenditures
FY05
Expenditures
OCIO Letter
Jul. 27, 2005
ACF Letter of
Sep. 27, 2005
FY06
Expenditures
FY07
Expenditures
FY08
Expenditures
FY09
Expenditures
FY10
Expenditures
TOTALS
Total
Reverted
Funds
General
Funds (GF)
Appropriation
HSD GF
TRD GF
SRCA GF
Total GF
Remaining After
Expenditures
Expenditures
$240,000
Federal Funds
(FF)
Appropriation
HSD FF
Expenditure
$240,000
-
-
-
(6,482)
(19,064)
(180,000)
960,000
34,454
(12,582)
(12,582)
994,454
791,992
779,410
(29,418)
(86,523)
878,513
(57,105)
722,304
(27,887)
(81,606)
769,020
(51,733)
670,571
(201,923)
(407,759)
159,339
(391,968)
278,604
(14,035)
(42,000)
103,303
(27,245)
251,359
3,253
(100,051)
$1,200,000
Total FF
Remaining
After
Expenditures
$(379,795)
$(636,952)
$(180,000)
(194,216)
$791,992
$3,253
57,143
$(734,849)
$57,143
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.
7
SRCA: Outcome
•
HSD and TRD
Goals
SRCA developed a framework for implementation of a state-wide
ERMS/EDMS solution.
DOCUMENT
MANAGEMENT
RECORDS
MANAGEMENT
SRCA Goals
•Document Creation
•Document Workflow
•Manage Content
•Define Context
•Enable Control
•Document Capture
•Document Classification
•Records Conservation
•Records Compliance
•Records Disposition
8
SRCA: Outcome/Benefits/Drawbacks
Outcome
SRCA developed a framework
for implementation of a statewide ERMS/EDMS solution.
Benefits
Drawbacks
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.
9
HSD: Agency Project Description
The HSD Electronic Document Management Systems (EDMS)
project converts Child Support paper files into electronic formats.
Child Support Application
Court Orders
Employer Verification
Acknowledgement of
Paternity (AOP) Form
Prepare
Cases
Scan
Documents
Index
Information
Store
Documents
Mainframe
Posting
CSED Staff can successfully reduce the time of
access from a three to five day wait to a few
minutes.
Faster and
Accurate Workflow
10
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
11
HSD: Agency Project Timeline
EDMS Project
Planned To End
Agencies to
Submitted Request
for Funding
SRCA to
Completed the
Assessment
EDMS Project
Planned
Closeout
Plan
Actual
2004
Agencies
Submitted
Request for
Funding
2005
2006
2007
2008
Federal
Review Delays
Project Three
Months
SRCA
Completed the
Assessment
Procurement
Issues Delay Project
Six Months
Project
Reinstated
2009
Reconciliation
of funds
HSD and
TRD Split
Funds
EDMS Pilot
Goes Live in
Three Offices
Remaining Funds
Used for
Production
Expansion to
Remaining Office.
2010
Deployed
EDMS
EDMS
Project
Closeout
12
HSD: Outcome/Benefits/Drawbacks
Outcome
Benefits
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.
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.
HSD selected IBM”s robust enterprise-class
platform.
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.
Manageable to rollout to additional users, and/or expand its
capabilities further.
Drawbacks
Requires vendor support
Maintenance and Operations.
Future document data storage
costs.
Requires technical staff to be
IBM Certified.
13
HSD: Moving Forward
The Structure of HSD’s EDMS
Document
Imaging
Document
Management
Integrated
Document
Archiving &
Retrieval
Routine
Workflow
Base Application Service
Data Base Service
Storage Device Drivers
Operating System
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.
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
15
TRD: Project Cost
TRD’s Cost Breakdown of General Funds Expenditures
Professional Services
$410,482
Hardware
$32,589
Software
$193,673
Other
Total
$208
$636,952
16
TRD: Outcome/Benefits/Drawbacks
Outcome
Benefits
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.
Scanned citations available from 85 field offices
instead of only microfilm at HQ.
Only used intermittently due to RPD
issues/preferences.
Central repository of citation material.
Drawbacks
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.
17
TRD: Lessons Learned
•
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
• Expanding on the ECMS
Investment:
Records
Management
Document
Centric
Collaboration
Digital Asset
Management
Web Content
Management
The Future
for Enterprise
Content
Management
System
Forms
Processing
Workflow
Management
Email
Archiving
•
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.
29
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.
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.
21
Questions:

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