Sandra Jaramillo, Director of State Records and Archives (SRCA)

1. Electronic Content/ Electronic Document Management System (EC/EDMS) ProjectCloseout 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)

2. 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. 3 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. History: Appropriation Description Laws 2004

4. 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. • 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. Project Review CSED 2008

5. 5 Consolidated Agency Budgets

6. 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. 7 SRCA: Outcome DOCUMENT MANAGEMENT RECORDS MANAGEMENT • SRCA developed a framework for implementation of a state-wide ERMS/EDMS solution. SRCA Goals • Document Creation • Document Workflow • Document Capture • Document Classification HSD and TRD Goals • Records Conservation • Records Compliance • Records Disposition • Manage Content • Define Context • Enable Control

8. 8 SRCA: Outcome/Benefits/Drawbacks

9. 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 Mainframe Posting Store Documents Index Information Faster and Accurate Workflow CSED Staff can successfully reduce the time of access from a three to five day wait to a few minutes.

10. 10 HSD: Agency Project Cost

11. 11 HSD: Agency Project Timeline EDMS Project Planned To End SRCA to Completed the Assessment EDMS Project Planned Closeout Agencies to Submitted Request for Funding Plan Actual 2004 2005 2006 2007 2008 2009 2010 Deployed EDMS Agencies Submitted Request for Funding Reconciliation of funds Federal Review Delays Project Three Months HSD and TRD Split Funds SRCA Completed the Assessment EDMS Project Closeout Remaining Funds Used for Production Expansion to Remaining Office. Procurement Issues Delay Project Six Months Project Reinstated EDMS Pilot Goes Live in Three Offices

12. 12 HSD: Outcome/Benefits/Drawbacks

13. 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. 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. 15 TRD: Project Cost

16. 16 TRD: Outcome/Benefits/Drawbacks

17. 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. 18 Future Expansion Records Management • 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. Document Centric Collaboration Forms Processing The Future for Enterprise Content Management System Digital Asset Management Workflow Management Web Content Management Email Archiving

19. 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. 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. 21 Questions: