1. GENERAL SERVICES DEPARTMENT Risk Management Division Electronic Content Management System Project Certification-Initiation Phase September 24, 2008

2. General Services Department Electronic Content Management System Executive Summary The ECM Project - Funding Source Laws of 2007, Chap 28, Section 7, Subsection 8 Risk Management Division (RMD) Service Overview Services Provided –Workers Comp (work injured state & univ. workers) –Employee Benefits (med, dent, vision, life, disability) –Property & Casualty Claims –Legal Claims –Purchase Insurances (fine arts, aviation, spaceport, etc) –Unemployment Insurance Customers –150 State Agencies and 25,000 State employees –9 Universities and 26,500 University employees –83 Local Public Bodies (Counties, Municipalities, Water Districts & others) –All Public Schools (including NMSD & NMSVH) Why Enterprise Content Management (ECM)? –Enables RMD to capture, manage and search electronic content/documents generated with the appropriate authorization and security

3. General Services Department Electronic Content Management System Business Problem and Opportunity “It is estimated that more than 90% of the records being created today are electronic. Coupled with the overwhelming growth of electronic messages - most notably e-mail and instant messaging - the management of electronic records has become a critical business issue.”[1][1] The ECM solution and multi-agency collaboration supports Governor Richardson's initiatives, [2] –including IT consolidation, –reducing the cost of operating government and improving customer service. –sharing ECM project expertise and lessons learned. –An ECM solution will provide mechanisms to manage RMD records as required by law throughout their life cycle; enabling RMD to create, capture, manage, secure, control, store and search digital content within the ECM system. RMD’s business processes are paper intensive. Implementation Benefits –Increased efficiency and productivity through a well managed records environment; –Optimize business processes, decreasing number of steps, saving time; –Lower the cost of government; –Improved service delivery to constituency –Substantial GSD/RMD business process improvements are achievable through implementing document scanning, electronic document management and electronic records management. 1]1] ARMA International, The Association of Records Management Professionals, www.arma.orgwww.arma.org [2] FY09 ECM Multi-Agency Business Case

4. General Services Department Electronic Content Management System Identified RMD Opportunities Improve the management of paper business processes for all seven RMD Bureaus –Workers’ Compensation, Finance, Insurance, Loss Control, Legal, Property and Casualty, and Employee Benefits. –Currently handle and store large quantities of paper documents, onsite file storage, as well as off site file storage. Defined Planned Phased Approach for RMD Document Imaging and Management Needs; –Phase I – Workers’ Compensation (Active & New); –Phase II – Legal, Employee Benefits & Workers’ Compensation (Closed Onsite Files); –Phase III – Loss Control, Workers’ Compensation (Closed Offsite Files ); –Phase IV – Property and Casualty Workers’ Compensation (Closed Offsite Files);

5. General Services Department Electronic Content Management System Claims involve forms, medical history, medical treatment notes, mediation, judge’s rulings, etc. –A claim can be closed but the file is stored for any future related injuries until the death of the claimant. –Workers’ Compensation - grouped into three categories described below and are incorporated into the four phases outlined above: Closed Offsite Files – –dates range from the 1970’s to 1994, with an estimated 1,000 boxes of files. –most challenging to manage given the condition of the paper, type of paper and file organization Closed Onsite Files – –dates range from 1995 to current, estimating 50-60 boxes per fiscal year, –representing about 2200 cases each fiscal year, of which half are documents that need to be joined with files in offsite storage. Active Files – –approximately 2000 files are active open cases, with 10 staff carrying an average caseload of 200. –involves new claims that are received daily. –Active and New Workers’ Compensation business processes are priority for implementing document imaging, electronic document management and workflow management.

6. General Services Department Electronic Content Management System Proposed ECM Project Objectives/Performance Metrics – 5 Primary Objectives [2] Integrate records management into RMD work processes, information systems and the IT Enterprise Architecture; Support managing electronic records according to statutory requirements codified as rules in records retention and disposition schedules administered by SRCA and other federal requirements; Adhere to metadata standards to support interoperability across GSD Divisions and other agencies; Adhere to ECM Application Architecture Standards that support executive management, IT functions and legal requirements; Reengineer RMD business processes –fundamental to implementing an Enterprise Content Management solution. –Content, documents and document management are inherent within RMD business processes. [2] FY09 ECM Multi-Agency Business Case

7. General Services Department Electronic Content Management System Business Risks RMD possible risks as a result of not actively managing electronic records are: –Inability to retrieve business critical information on a daily or historic basis –Increased costs of doing business from inefficiencies related to disparate or inaccessible data –Failure to comply with statutory or regulatory retention and disposition requirements –Reduced ability to comply with court orders and other litigation-related imperatives requiring access to existing information –The consequences of a failure will vary depending upon the circumstances, but could range from minor to catastrophic: –Inefficient service to State constituents –Regulatory fines and penalties –Civil litigation consequences, such as increased litigation costs and fines, and criminal liability for agencies and individuals

8. General Services Department Electronic Content Management System Governance Structure Executive Sponsor, Arturo Jaramillo IV&VProject Sponsor, Mike Wilson Executive Steering Committee Arturo Jaramillo Mike Wilson George McGeorge Nancy Bearce Karen Baltzley Angela Lucero, Records Management Division Director, SCRA Business Owner, Nancy Bearce Project Manager CSW-John Salazar Project Director, Karen Baltzley Business Operations Review Team: Benefits Financial/Training Legal Disability Workers Comp Loss Control Reports/HIPAA Regulations Technical Review, David Vilar, Lead Ryan Woodard, System Support TRD/HSD Tech Staff

9. General Services Department Electronic Content Management System Budget by Project Phase Project Phase Time Frame Request for Release of Funds Cost Breakdown InitiationSeptember – October, 2008 $ 50,000 PM - $50.0 - 588\hrs@$85/hr PlanningOctober – December, 2008 $ 547,000 PM –$50.0- 588hrs@$85/hr, HW/SW @$442.0, IV&V@$55.0 ImplementationJanuary – August, 2008 $ 448,000 PM – $40.0 - 471hrs@$85/hr, Data Integration $40.0, Training $8.0 471hrs@$85/hr Close-outSeptember – November, 2008 $ 55,000 Contingency - $55.0 Project Total $1,100,000

10. General Services Department Electronic Content Management System IT Architecture –Open Source/COTS –Aligned with State’s Enterprise Architecture –Identity Management/Active Directory –Standard operating platforms –Interface with SHARE and GSD RMIS –Housed at Simms Data Center –Web front-end –Interchange capability to allow on-line access to information across multiple platforms

11. General Services Department Electronic Content Management System ECM Components –Capture Management – Batch image scanning, processing, collection, categorization –Content/Revision Management – Document, records, web content –Business Process/Workflow Management – Business rules, Process rules –Search, Consume/Edit and Utilize

12. ECM Components

13. General Services Department Electronic Content Management System Request Approval of Project Certification Initiation Phase and Release of $50,000