GENERAL SERVICES DEPARTMENT

GENERAL SERVICES DEPARTMENT

Risk Management Division Document Conversion – ECM System

FY11-FY12 Project Certification Implementation Phase

July 24, 2010

GSD Risk Management DivisionDocument Conversion – ECM System

Executive SummaryProject Goal: Convert all GSD RMD paper records to electronic content

– Capitalize on the ECM infrastructure already built for all RMD bureaus by converting all paper documents to electronic forms;

– Provide ability to fully utilize and realize the full functionality of the ECM infrastructure that was previously funded.

Business Problem:

– RMD must continue printing all documents that originate in electronic form in order to maintain the official public record in paper files.

– Paper documents currently stored in an environment that is not environmentally controlled and lacks the levels of security required for storage of sensitive information

Desired Outcomes: Certify electronic content as Official Public Record:– improving service delivery to constituents;– improving productivity;– achieving cost savings;– reducing risks associated with paper records.

Certification Request: Approval to release RMD reserve fund balances in the amount of $1.1million for the FY11-FY12 GSD ECM project.

Business Problem and Opportunity

GSD RMD Bureaus are transitioning from paper-based to electronic recordkeeping environments. Problems include:

– Many business transactions that were once paper-based are now being

performed electronically.

– RMD must continue maintaining paper files until electronic content is

declared the Official Public Record – leading to inconsistent records

management.

– Benefits from ECM systems will not be fully realized until RMD

documents are converted to electronic content.


Business Problem and Opportunity

ECM solutions provide opportunities to:

– Provide better, faster, expanded services to constituents;

– Deploy e-Government and “paperless” solutions;

– Reduce costs, streamline processes, improve productivity;

– Automatically control compliance and risk factors;

– Provide audit and security to meet mandated requirements;

– Records Retention - Assess and improve records retention program, develop policy and implement Electronic Content Management document imaging systems

– Collaboration with the State’s Multi-Agency initiative


GSD RMD ECM Project – Phase 1:

• Accomplishments– Aug 2009 – To-Be Design Document Approved for

Workers’ Compensation

– Sept to Nov 2009 – ECM Infrastructure Built

– Dec 2009 to Mar 2010 – ECM Software Configured

– Mar to May 2010 – User Acceptance Testing and Training

– June 2010 – Imaging System Plan Approved by SRCA

– June 2010 – Go Live and Transition to Maintenance


Project Objectives/Performance Metrics – Phase II• GSD RMD intends to convert all seven bureaus paper documents to

electronic format and move toward a fully paperless environment,

• Document Conversion prioritized into planned phases:

– Phase I – Workers’ Compensation (Active & New Files)

– Phase II – All other bureaus:

• Jul 2010-Apr 2012: Workers’ Comp (WCB, 28 yrs Closed Offsite Files);

• Aug 2010-Jan 2011: Alternative Dispute Resolution (ADR);

• Nov 2010-Aug 2011: Employee Benefits Bureau (EBB);

• Feb 2011-June 2011: Loss Control Bureau (LCB);

• June 2011 to Feb 2012: Financial Services Bureau (FSB);

• Aug 2011 to May 2012: Legal and Property and Casualty Bureau (PAC).


GSD RMD Process (Workflow) Objectives• Automate Decisions and Minimize Human Error;• Minimize Keystrokes and Errors using Web-Based e-Forms;• Improving Delivery of Services;• Reduce the Cost/Time of Business steps;• Provide complete automated Audit Trail.

GSD RMD Compliance Objectives• Minimize Records Storage Costs;• Quickly Respond to Legal Requests;• Achieve, Sustain and Prove Compliant Behavior;• Ensure Business Continuity and Disaster Recovery;• Increase security levels• Store documents in an electronic form to ensure quality of content for

archival and legal purposes


Overall Project Objectives

• Integrate records management functions into:

– GSD/RMD work processes;

– GSD secured information systems.

• Future integration with the proposed statewide ECM architecture model.

• Future integration with the proposed Centralized Electronic Records Repository (CERR) for records management.



7/15/2010 6/29/2012

10/1/2010 1/1/2011 4/1/2011 7/1/2011 10/1/2011 1/1/2012 4/1/2012

FY11-FY12 GSD RMD ECM Project Timeline

5/28/2012 - 6/29/2012

Closeout

7/16/2010 - 5/28/2012

Implementation Phase

7/19/2010 - 4/16/2012

RMD WCB Closed files

8/2/2010 - 1/31/2011

RMD ADR files

8/1/2011 - 5/25/2012

RMD PAC files11/15/2010 - 8/1/2011

RMD EBB files

2/2/2011 - 6/1/2011

RMD LCB files6/6/2011 - 2/15/2012

RMD FSB files


Total Cost of Ownership

Description FY10 & Prior

FY11 & FY12 FY13 FY14

Professional Services 1) Contract Project Management $304,902 $360,000 $0 $0

Professional Services 2) ECM Vendor Integration $319,731 $400,000 $0 $0

Professional Services 3) IV&V $16,041 $10,000 $0 $0

Professional Services 4) Training $43,170 $15,000 $0 $0

Storage 5) Electronic Content Storage Costs $0 $230,000 $0 $0

Software 6) Software $263,542 $85,000 $0 $0

Hardware 7) Hardware $152,614 $0 $0 $0

Total $1,100,000 $1,100,000 $0 $0

Cost and Risks

Costs and risks associated with maintaining the status quo

– Cost of printing documents originating in electronic format;

– Costs of maintaining the RMD Official Public Records in paper format;

– Cost of locating records;

– Physical storage costs;

– Legal costs;

– File maintenance labor costs;

– Security risks;

– Poor environmental conditions at current off-site storage facility


Cost and Benefits

• Efficiencies gained by moving to paperless environment:

– Reduction in time spent locating and retrieving documents;

– Reduction in time spent filing;

– Reduction in copying costs;

– Reduction in off-site storage costs;

– Reduction in overnight shipping expenses;

– Reduction in filing supply expenses;

– Reduction in paper costs.


Costs and Benefits• Benefits of converting RMD records from paper to

electronic format: – Lower the cost of government;– Optimize business processes:

• decreasing number of steps;• saving time for workers.

– Meet its legislative and regulatory requirements, including audits; – Protect RMD in litigation; – Protect RMD interests as well as the rights of employees, constituents,

and other stakeholders; – Provide continuity of operations in an emergency or disaster.

• Cost Impact – RMD Operating Budget:– Increased costs for DoIT electronic storage which impacts RMD

operating budget



Summary

• GSD RMD business processes will remain paper intensive, error-prone

and at risk for compliance and legal discovery until all RMD documents

are converted from paper into electronic format.

• Substantial RMD business process improvements are achievable through

converting all RMD documents to electronic content.

• Benefits of the ECM infrastructure and business process re-engineering

efforts for the RMD Division and GSD will be fully realized as all RMD

documents are converted to electronic content and the electronic record

is declared the Official Public Record.

GSD Risk Management DivisionDocument Conversion – ECM

System

Recommendation

• Certify $1,100,000 RMD reserve fund balances for a two

year Document Conversion Implementation project.

• Thank you for your consideration!

• Questions?

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