Establish State Imaging Architecture Project, July 1996

Presented by
The R&D Imaging Team
Pam Roberts, OIR/PRD Project Manager
Chuck Chase, General Services/Records Management
Emory Smith, F&A/OIR
George Stenglein, F&A/OIR

This project consisted of selecting an enterprise imaging software solution, establishing a hardware solution to support the software, developed imaging standards, and evaluated existing and planned State imaging applications.

EXECUTIVE SUMMARY

Brief Background
The past couple of years within State government has shown an increased interest in Imaging Technology as an enabler to improve how services can be delivered. State government needs to examine how business processes and workflow can be improved and how Imaging Technology can enable these improvements. Because of this increased interest, an R&D Imaging Strategy project began in September, 1995 to investigate imaging and how the technology could be used.

The R&D Imaging Strategy project was completed in November, 1995. The R&D Research Report was presented and several of the recommendations were approved for implementation. The research report defined the State’s Imaging Strategy and made recommendations to implement this strategy. The main recommendation was to establish a State Imaging Architecture. This consisted of selecting an enterprise imaging software solution, establishing a hardware solution to support the software, developing imaging standards, and evaluating existing and planned State imaging systems.

R&D Project Summary
Another R&D project began in April, 1996. The main objective of the project was to establish a State Imaging Architecture. There was a core team of four members. There were representatives from OIR/Systems Development & Support, Data Center Operations staff and General Services/Records Management. In addition, a Gartner Group Consultant assisted the team throughout the project.

The primary purpose of the project was to provide an imaging solution to agencies and provide the ability to share images throughout the State. The enterprise imaging software solution to be selected would meet the needs of small departmental systems up to large enterprise based systems. The primary goals of an enterprise solution were to provide scalability, economies of scale, faster response to agencies’ business needs, and interoperability-- the ability to share images throughout state government.

The project has been completed and an enterprise software solution selected. The imaging solution that meets the State’s functional and technical requirements is FileNet. FileNet has the best architectural fit with minimum technical infrastructure impact to the State. FileNet meets the State’s UNIX based environment.

R&D Project Objectives
The overall goal of the project team was to establish a State Imaging Architecture that agencies could use to implement future imaging systems. The research project objectives included:

• Establishing an enterprise imaging software solution that provides interoperability
• Defining hardware requirements to support the enterprise imaging software solution and perform an evaluation of the existing state contract to provide these items
• Defining and publishing imaging standards
• Evaluating existing and planned State imaging systems

The project objectives were satisfied for this project.

Research Conducted
The scope of the project consisted of reading research material, defining technical and functional requirements for an enterprise imaging software solution, defining software demonstration requirements, evaluation of enterprise imaging software, and selection of an enterprise imaging solution. Functional requirements were formulated from agency user sessions that were conducted by the Gartner Group Consultant. Technical requirements were based on six major components: Image Capture, Image Store, Network Infrastructure, User Access, Application Integration and Workflow. In addition, software demonstration requirements were defined. The vendors were allowed to demonstrate how their software satisfied requirements.

Vendor Evaluation Results
The selection of the vendor was based on the functional and technical imaging requirements (See Research Results section). Once each of the imaging vendors were evaluated, strengths and weaknesses were documented for each vendor. As follows are the results:

State Imaging Architecture Recommendations
The Imaging Project Team recommends that the following steps be taken to establish a State Imaging Architecture.

1. Establish the State’s Enterprise Software Solution to be FileNet.

• FileNet should be established as the source for the State’s enterprise imaging software solution.

FileNet has taken the lead in acquiring products that will enable them to provide a comprehensive suite of products covering the Digital Document Technology marketplace. They have recently acquired Saros, which is an enterprise document management solution and GreenBar for its advanced COLD product.

In addition, FileNet acquired Watermark to provide a comprehensive desktop viewer and low-end, NT-based imaging system. FileNet calls the framework for integrating these products their foundation for enterprise document management.

• A hardware contract to support the software must be established. The existing state contract(s) will not be sufficient.

2. A State Support Staff should be established to provide the following services:

• Work with the enterprise imaging software provider
• Provide a knowledge base for the software capabilities and appropriate uses of the technology
• Manage imaging system implementations and work with the System Integrators on the imaging projects.
• Assist the agencies in analyzing and justifying imaging projects
• In addition to establishing State Staff, an Imaging Handbook should be created. The Handbook would explain the basics of imaging, workflow and related technology, basics of cost justification, and the State’s Imaging Architecture.
• The State Imaging Staff should develop a pro forma imaging system requirements analysis and implementation plan. This would be very useful in leveraging the State’s own expertise.

3. A Feasibility Study to be conducted that would determine the viability of an Imaging Service Bureau for the State.
Currently within the Department of General Services, the Records Management Division has a Micrographics Service that is provided for the State. Consideration should be given for an Imaging Service that could be provided to state agencies that would have a need for scanning and indexing of documents.

4. Acquire Imaging System Integration Resources for the State of Tennessee.
The imaging system integrator(s) must have expertise in the enterprise software solution. An imaging system integrator would provide, as needed, the following:

• Assistance in skill transfer to the State Imaging Staff
• Expertise in workflow analysis, business process reengineering, system installation, application training, system training and staff support training
• Assistance to OIR application development teams
• Assistance with legacy system integrations
• Project sizing for storage and scanning requirements
• Assistance in backfile conversions

Management Issues

1. Implementation and rollout of Imaging Systems within the State
The State should carefully analyze and plan for the rollout of imaging systems within the State. Any comprehensive imaging project will require planning in areas such as, training, personnel changes, facility reallocation, redesign of current forms and documents, and a re-evaluation of record disposition authorizations. The State should carefully analyze and plan for the rollout of imaging systems within the State. Any comprehensive imaging project will require planning in areas such as, training, personnel changes, facility reallocation, redesign of current forms and documents, and a re-evaluation of record disposition authorizations.

Assistance will be required from the imaging software provider for some of the first applications to be installed.

2. Support of Imaging Systems

• Centralized Support

  There will most likely be the need for some centralized support on imaging system implementations. Support would include the creation of necessary contracts, a training curriculum, project management, and integration of software and hardware components.

• Decentralized Support

The agencies will have to provide a certain amount of day-to-day systems administration support for the imaging system. The support personnel will have to be knowledgeable in the operational aspects of networking, hardware, the imaging software and backup and recovery.

3. Support of Windows NT
The low-end deployment for FileNet will be NT-based. NT is clearly a leading platform and most of the imaging vendors have developed or are in the process of developing their software to run on Windows NT.

On July 11, 1996, the OIR Leadership Team adopted a statement of direction for the integration and support of Windows NT Servers in the State’s environment. The support structure for Windows NT server is being built in OIR/TSS. Formal support is targeted for October, 1996. Presentations at the ISM groups (ISM Directors meeting, MTSPF, and LAN Administrators meeting) are planned for September, 1996.

There will be a significant learning curve for NT and Imaging technology; experience levels with NT, and support for multiple, diverse, and complex operating systems in the State’s environment.

4. System Integration Services
The implementation of the imaging system could be a complex phase and will require System Integration services for most beginning imaging systems. The State must monitor and learn as much as possible from the System Integrators during the implementations.

5. Cost Justification
Cost Justification will be very important for imaging system acquisition and implementation. There may be considerable infrastructure costs to the agency, such as, acquiring high speed scanners, large monitors, and operating systems. An in-depth look at the business process and how the agency functions will have to be done. Some areas to look at are:

• Examination and understanding of the complete business process:
  • who the business process serves
    how the process flows
    who the workers are
    what information they need to do their job.
• Facts regarding the paper-filing system including:
  • when and where paper comes into the department
    what information on the paper is needed and for what reasons
    who needs the information
  • what the legal responsibilities for that information are
    what the retention requirements are
    who accesses the files - how, why and how often
• Facts regarding microfilm/COM systems (if applicable) including:
  • when documents are microfilmed and by whom
    whether microfilming is done in-house or outsourced
    whether duplicate rolls or fiche are provided
    how much in-house microfilm equipment is in place
    whether it’s under maintenance agreements
    whether computer indexing is done, and how--- what fields, what system, who uses it
    
• Facts regarding existing computer systems including:
  • what systems are in place
    what information relating to the documents is already being processed
    how many users, and where they are --- local or remote
    whether there are LANs or WANs in place

6. Backfile Conversion Services
There will be applications that will require a backfile conversion of their documents. A backfile conversion is the process of scanning in, indexing, and storing a large backlog of paper or microfilm documents in preparation for an imaging system. In some instances, a forward conversion would only be required.

There are companies that specialize in backfile conversions and can offer the best prices in providing this service. Since these services will be necessary for some projects, a method for acquiring the services will have to be addressed at a later date.

7. Training
There will be a considerable amount of training for the support areas. FileNet offers training from management and technical support to the general basics of operating an imaging system. Courses range from workflow design, business process reengineering to system administration support for a FileNet Sun/Solaris system. OIR training may need to investigate potential training courses that should be offered to agencies.

RESEARCH RESULTS

Definition of State Enterprise Imaging Architecture
The essence of enterprise imaging is the ability to add additional users (people or applications) to the enterprise’s current population of imaging users, provide potential imaging on every desktop and meet three key conditions:

• The additional users or applications are not denied potential access to any current pools of images or imaging data.
• The additional users or applications do not create new pools of images or imaging data that are inaccessible by current users or applications.
• If alternative methods of implementation are available, additional users are added in the most technically and economically efficient manner possible.

State Enterprise Imaging Architecture

Functional Requirements

State Enterprise Imaging Categories

Imaging projects will generally fall into three categories: "Standard" Imaging, Technical Imaging and Special Imaging.

1. The "Standard" category will meet most of the criteria for the State Enterprise Imaging requirements. These three categories relate to the three basic categories of users described in the Logical Model, User Access Section on page 12.

• Electronic File Cabinet Search, view, print
• Electronic File Cabinet with Search, view, print with application Workflow integration, where the integration is with the workflow product only.
• Electronic File Cabinet with Search, view, print with application Application Integration/ integration, where the integration is with the Workflow workflow product and other applications, e.g., a host 3270 session, and optionally provide image markup also.

2. "Technical Imaging" deals with a more narrowly focused product solution, such as Product Data Management offerings. Technical imaging products typically are used for the storage, retrieval and markup of engineering drawings. As such, they require functionality not needed for standard imaging. These functions include red lining and clouding to markup drawings, the ability to link image drawings to text documents with engineering change notice (ECN) specifications, and support for large page sizes, e.g., E-size or larger. There is also a frequent requirement for raster to vector conversion tools to transform the scanned image to a format that can be manipulated by CAD tools.

3. "Specialized Imaging" deals with specialized and unique applications. Unique application requirements are best satisfied by highly specialized products. Photographs, mug shots and digitized drivers’ license fall within this category and will be addressed by the State Enterprise Imaging Architecture.

General State Enterprise Architecture Requirements
The following details the basic outline of the State Enterprise Imaging Architecture.

1) Multiple Image Databases can exist.
There can be image databases that reside in the respective agencies.

2) An Image Database can be central or distributed.
A central image database is a single image repository residing on a single server. Access to the central database may be on a state-wide basis or an agency-wide basis depending on the State’s actual requirements.

A distributed image database is comprised of multiple separate image databases residing on one or more servers, but viewed by the users as a single large database. The fact that the images may be stored in multiple locations is operationally transparent to the users.

3) A distributed image database will be accessed via a single central index.
4) WAN connectivity will be available to all image databases, where required.
5) A single vendor image solution for all "standard" imaging applications will be supported.
6) A single vendor image solution for all photographs will be supported.
7) A single vendor technical solution for engineering drawings, etc. will be addressed by possibly another vendor.

Components of State Enterprise Imaging Architecture
The logical view of the enterprise imaging architecture is composed of five major components:

• Image Capture
• Image Store
• Network infrastructure/WAN
• User access
• Application linkage and integration

See hard copy paper for Enterprise Imaging Configuration - Logical View

The enterprise is represented as sites A, B, C with remote users and host (mainframe) system connectivity. The actual enterprise will have many sites with different network infrastructures.

There are eleven main imaging application components. The logical view maps to these application components as shown below:

The State of Tennessee’s functional requirements were based on the logical view of an enterprise imaging architecture. Agencies were sent a Preparation Guide to complete prior to the sessions. The Preparation Guide addressed document inventory, process issues, access to documents, support services, document retention, and cross-agency access. Each of the agencies that participated in the Imaging Requirement Gathering Sessions were asked to identify processes that might possibly be an imaging application. (See the Preparation Guide in Appendix for further detail.). Once the requirements were compiled from the sessions, each agencies’ requirements were analyzed and defined.

From the agency sessions, determinations were made concerning:

• type of state enterprise imaging category
• how the images would be captured
• how the images would be stored
• user access requirements
• whether or not there would be application integration
• agencies output requirements
• benefits of an imaging application

A more detailed definition of each major imaging component is listed as follows:

• image capture
• image store
• network infrastructure/WAN
• user access
• application linkage and integration

Image Capture

• Image capture capability is provided at the sites where it is needed.
• The image capture component consists of the following elements:

Scanner: creates digitized image of paper document input

Quality Assurance (QA): manual or automatic review of scanned image to ensure it is readable, correctly oriented, etc. Image enhancement software (e.g., despeckle, deskew) is utilized. A rescan capability is included for documents that must be scanned again, (e.g., wrong side scanned).

Indexing: Manual or automatic creation of the index information to identify the image. Manual indexing is performed by operators viewing the image and keying the index values. Automatic index information can be provided by bar code reading or OCR/ICR. The latter approach will also require a reject/repair subsystem. (Full text OCR may also be implemented).

• A particular site may have multiple different scanners and sets of capture components. (e.g., Human resources may require a high-speed scanner, while the Governor’s office requires a low or medium speed scanner.)
• A single QA or index facility can support multiple scanners.
• Images are stored in the Image server during the QA and indexing steps.
• After image QA and indexing, the images are released to the image store.
• Images may also be input via fax.

Image Store

• All Images can be stored in one central corporate image repository or in multiple image repositories.
• Any image should be accessible by any authorized user on the network.
• The location of the image repositories will be determined based on detailed requirements.
• The image store may include an optical jukebox and optional tape backup (Mass storage).
• Images may be organized using a file folder metaphor. The system should allow folders within folders.

Network infrastructure/WAN

• All components at a single site and all sites are connected via the network infrastructure or WAN. The connectivity can include remote dial-in users.
• Host/mainframe connectivity is provided. This may also require a client application for 3270 emulation (e.g., Attachmate 3270).
• The minimum level of connectivity is to allow any client to access any image store that is part of the enterprise imaging architecture.

User Access

There are three basic categories of users:

• Search, view, print: Utilizes the image application index information to search and retrieve the image, and optionally print the image. Standard image manipulation functions are provided (rotate, zoom, page up/down, etc.). This is an "electronic file cabinet" application.
• Search, view, print and application integration: In addition to the previous functions, this user also requires linkage or integration with another application. E.g., a host 3270 session window provides the index information (e.g., SSN) which is programmatically transferred to the image application, which retrieves the image.
• Search, view, print and markup: Includes either of prior functions, plus the ability to mark up the image. The actual image will not be changed, but the markups will reside on a logical overlay. Annotations may be in this category or the first category.
• The user gains access to the image stores via the imaging application. The user may be logged in to the local server/image store or a remote server/image store. The imaging application may also provide distributed database functionality to allow user access to images stored remotely without having to explicitly login to the remote system.
• Remote (dial-in) users gain access to the images in the identical manner.
• Print output should be able to be directed to a selected printer. Only compressed images should be sent to the printers. The printers should be able to decompress the images for printing and also run at rated speed.
• Fax output is a user option.

Application linkage and integration

• As described previously, one user category will require integration of the image viewer with another application. The integration options and capabilities will have to match the business and technical requirements of the user.
• There may be the requirement for a common customized user interface to be implemented across the enterprise. This will require the imaging application to be accessed via the standard interface.
• Integration approaches include "screen scraping," DDE, APIs, and OLE.
• In addition to integration at the client (user) level, there may be server level integration requirements (e.g., E-mail).
• Form or data entry software is an option.
• COLD integration is an option.
• Workflow may be provided as a tightly integrated application with the imaging software or may be added as a stand-alone product that also integrates with other, non-imaging applications.
• A toolset is used to customize the desktop and create extensions to the base imaging product’s functionality.

Summary of Agency Functional Requirements

Summary of Agency Functional Requirements

Summary of Agency Functional Requirements
Potential Statewide Imaging Applications

State Enterprise Imaging Architecture
Functional Requirements

Technical Requirements
State Enterprise Imaging Architecture Technical Requirements

Image Capture

Image Capture

Image Capture

Image Store

Image Store

Image Store

Network Infrastructure

User Access

User Access

User Access

Application Integration

Workflow

Workflow

Enterprise Imaging Vendors - Analysis Summary

The search for an Enterprise Imaging vendor began with a Gartner Group analysis summary of imaging vendor positioning. The list (See below) consisted of 20 vendors who were classified into four categories that indicate the course a vendor will take before the end of 1996 and the state the vendor will be in at year-end.

By placing vendors in multiple categories and forecasting the probability that they will stay in that category throughout the imaging market consolidation, Gartner Group has been able to forecast the potential final states for specific vendors. In categorizing vendors, overall strategy, financial performance, product-development plans, distribution channels, product-delivery capabilities, competitive advantages and disadvantages, strategic partnerships and a bottom-line forecast of the vendor’s prospects were examined. The Imaging Market Consolidation Projection Matrix is as follows:

Gartner Group provided the project team with an enterprise vendor analysis that identified which vendors offer enterprise imaging (EI) solutions. The following consists of the vendors offering enterprise imaging (EI) solutions who are candidates to be evaluated by the State of Tennessee.

Of the 20 vendors, only six offered in Gartner’s words, "enterprise imaging solution". Of these, only four had a Gartner sovereign rating above .1 and they were: FileNet .8, Wang .8, IBM .7, and Unisys .4. The importance of being sovereign was actually demonstrated when Wang purchased Sigma last year. Unisys’ has a partner alliance with Wang, thus their imaging software is the Sigma product. The State contacted the four vendors and provided them with the technical and software demonstration requirements. Of the four vendors, all were able to respond in a timely manner with the exception of Wang. The software demonstrations were conducted the last week of June, 1996.

Enterprise Imaging Architecture: Vendor Strategy Model

The evaluation of the vendors was based on the vendor strategy model. The vendor strategy model consisted of the five components of the logical view decomposed to define the functional and technical requirements. Vendor analysis consisted of an evaluation of the vendor’s capabilities in each element. The capabilities included the range of products supported (e.g., which scanners, servers, clients), functionality (e.g., types of image enhancement supported, automatic or manual), and customization options (e.g., index structure and number of indexes.

Vendor Selection

The vendor that best met the State’s functional and technical requirements was FileNet. FileNet has been selected to be the State’s enterprise imaging solution. FileNet offers a series of products that allow microcomputers to access documents from a FileNet optical storage and retrieval system, as well as, a series of products that link multiple FileNet systems in a network configuration. FileNet provides a facsimile capability, which enables a PC to exchange document images electronically with any facsimile unit.

FileNet Products

FileNet has a suite of workflow and document-imaging software products. These products support industry-standard servers, workstations (Compaq, SunSparc), optical storage devices, scanners, and printers.

Visual WorkFlo is FileNet’s robust workflow product and complete business process automation solution. Visual WorkFlo combines object-oriented technology and graphical tools that allows users to perform information management at the desktop. The software allows various types of users, such as, workgroup administrators, managers, workflow authors, programmers, and end users, to create, manage, and modify the workflow process. Visual WorkFlo also functions as a tool for combining client/server applications and integrating such standards as DDE, DLL, and OLE.

Visual WorkFlo contains a suite of products which include: Visual WorkFlo/Composer, which provides the tools to define and assemble Visual WorkFlo applications; Visual WorkFlo/Performer, the runtime software; and Visual WorkFlo/Conductor, which handles the management, monitoring, modifying, and modeling of Visual WorkFlo applications.

FileNet Ensemble is FileNet’s easy-to-use and inexpensive ad hoc workflow tool, that will be integrated with the Novell GroupWise suite. There are plans for Visual WorkFlo to also be available on Novell’s NetWare.

Image Management Services (IMS) software is FileNet’s back-end server software and the foundation of the WorkFlo Business System. A set of highly optimized software components, each undertaking a specific object management task, these services provide the performance and functionality required for high-volume, document-image processing in mission-critical, production environments.

FileNet WorkGroup software is a powerful document-imaging and workflow application designed for workgroups, departments and small business areas overwhelmed by paper. FileNet’s WorkGroup captures incoming documents electronically, automatically sorting and organizing, and routing to PC workstations for processing, then stored on optical disk.

Watermark Enterprise Edition is a document imaging NT-based solution that will meet the needs of low-end imaging systems. When the system grows, scalability will be possible to the FileNet imaging product suite. Watermark can be used for ad hoc imaging use, groupware imaging use and client/server production imaging applications.

FileNet Education Courses

FileNet offers training to fit all skill levels in an organization. Some representative classes offered are:

FileNet Professional Services

FileNet Professional Services offers a suite of services to assist customers in addressing some of the technical challenges they may face when implementing systems successfully. FileNet Professional Services offers a broad spectrum of services and they include:

• Visual WorkFlo Mentoring - assists customers in the initial design of applications using Visual WorkFlo.
• Database and Image Conversion Services -provides an in-depth knowledge of FileNet Image Management Software.
• Systems Consulting and Special Utilities - includes professional services consultants that can assist in system performance, database design to help optimize performance or plan for future increases in workload.
• Disaster Recovery Consulting - offers a document-imaging disaster recovery solution to its customers through Comdisco.

Appendix

                        __________________________________________________________________

1. Imaging Technology Preparation Guide
2. Agency/Division Summarizations

Imaging Information Gathering Session
Imaging Technology Preparation Guide
________________________________________________________________

The objectives of the sessions are to:

• Describe the basic concepts of enterprise imaging and present the configuration - logical view to establish a common baseline for discussion.
• Identify opportunities to apply image and workflow technologies to improve the efficiency of the processes and to reengineer the processes.
• Categorize opportunities as:

• A - high payback: fully cost justified; short-term implementation potential
• B - medium payback: "soft-dollar" justification; short or longer term implementation
• C - leverageable - not cost justified as stand-alone installation; could be used to leverage high payback installations.

• Identify documents that are common (or could be common) across multiple agencies and have imaging potential.
• Identify requirements for common access to documents and systems across multiple agencies.
• Identify high-level technical requirements to support the application.
• Identify implementation issues, e.g., infrastructure, standards, application integration, resource requirements.

Participation by all participants is essential to gain the most benefit from the session. Participants should be prepared to discuss the following topics, as they apply to their agency, during the half-day session:

Process candidates

• Select no more than three processes to focus on during the needs sessions. The processes should be ones most likely to benefit from imaging and workflow technology. E.g.,paper and document intensive; process delays caused by time handling paper; storage and/or filing issues.

Document inventory

• What are the variety of documents processed?
• How many per week by type?
• What are range of sizes, conditions, preparation required for scanning? What are the sources of documents?
• How are documents uniquely identified (indexed)?

Process issues

• Where are the bottlenecks or delays in processing?
• How could imaging improve the processes?
• Is there a well defined set of steps involved in processing the document or is the process ad hoc?
• How many people are involved in the processes?
• What are the financial benefits from improving the process?

Access to documents

• Who needs to access the documents and how often?
• Where are the people located?
• What information is needed to access the document?
• What information is available?
• What do they do with the documents when retrieved?
• What applications need to be closely integrated with the imaging application? (E.g., entering data into a mainframe system from an image of a document.)
• What are the output requirements - print, fax, other?
• What are the security requirements to control access?
• Are there a large quantity of existing documents that would need to be scanned into the system for the image access process to be effective?

Document retention

• How long must the documents be retained?
• What is the document’s typical active life, i.e., during how long a time period is it likely to be accessed?
• If the document were stored as an image, what is required for the storage of the paper document?

Cross Agency

• Are any of the documents accessed or utilized by other agencies or would other agencies benefit from having access?
• Would your agency benefit from having access to documents owned or filed at another agency?

Agency/Divison: Commerce and Insurance
Application Area: Licensing -- 60 professions
Enterprise Imaging Category: Electronic File Cabinet/Application Integration
Image Capture: Centralized;Case folder (5 to 10 pages)
Image Store: Centralized within Agency; 57,000 cubic feet paper
User Access: Centralized; 6 people handling 30 requests/hr;250,000 requests yr
Application Integration: Regulatory Boards System
Output Requirements: Print, View, Fax
Document Types: Applications, Supporting documents
Benefits: Elimination of stored documents; faster handling of requests
Comments: Backfile conversion considerations.
______________________________________________________________________________ Electronic File Cabinet/Application Integration
Image Capture: Centralized;Case folder (5 to 10 pages)
Image Store: Centralized within Agency; 57,000 cubic feet paper
User Access: Centralized; 6 people handling 30 requests/hr;250,000 requests yr
Application Integration: Regulatory Boards System
Output Requirements: Print, View, Fax
Document Types: Applications, Supporting documents
Benefits: Elimination of stored documents; faster handling of requests
Comments: Backfile conversion considerations.
______________________________________________________________________________

Agency/Division: Comptroller of Treasury/Property Assessment Division
Application Area: Tax Relief Applications
Enterprise Imaging Category: Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized; DV(50-100)week; ACV(1,000-3,000)week
Image Store: Centralized within Agency
User Access: Centralized
Application Integration: Computer Assisted Appraisal System (CAAS)
Output Requirements: Print, View
Document Types: DV and ACV forms, signatures
Benefits: Application turnaround critical and would be improved.
Comments: Signature verification required; potential statewide signature database application. Potential access by Social Security Administration. Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized; DV(50-100)week; ACV(1,000-3,000)week
Image Store: Centralized within Agency
User Access: Centralized
Application Integration: Computer Assisted Appraisal System (CAAS)
Output Requirements: Print, View
Document Types: DV and ACV forms, signatures
Benefits: Application turnaround critical and would be improved.
Comments: Signature verification required; potential statewide signature database application. Potential access by Social Security Administration.

Agency/Division: Department of Corrections
Application Area: Inmate files
Enterprise Imaging Category: Electronic File Cabinet/Application Integration
Image Capture: Centralized; 700,000 pages/month
Image Store: Centralized within Agency;200,000 active files; currently 25,000,000 pages; retention varies but up to a century with some document types
User Access: Centralized; future need - distributed multi-agencies, other states, FBI
Application Integration: Tracking/Status Reporting of Cases
Output Requirements: Print, View
Document Types:
Benefits:
Comments: Currently microfilming, has 20,000,000 pages waiting to be filmed.
______________________________________________________________________________
Electronic File Cabinet/Application Integration
Image Capture: Centralized; 700,000 pages/month
Image Store: Centralized within Agency;200,000 active files; currently 25,000,000 pages; retention varies but up to a century with some document types
User Access: Centralized; future need - distributed multi-agencies, other states, FBI
Application Integration: Tracking/Status Reporting of Cases
Output Requirements: Print, View
Document Types:
Benefits:
Comments: Currently microfilming, has 20,000,000 pages waiting to be filmed.
______________________________________________________________________________
Agency/Division: Department of Education
Application Area: Teacher Licensing
Enterprise Imaging Category: Electronic File Cabinet/Application Integration
Image Capture: Centralized
Image Store: Centralized within Agency;250,000 licenses (teachers can have multiple licenses); 50 yr retention
User Access: Centralized
Application Integration: Mainframe System; Teacher DB
Output Requirements: Print, View
Document Types: License, Correspondence, Annotations
Benefits: Handling of requests would improve.
Comments: Activity Life Cycle to be determined.
Agency/Division: Department of Health/Vital Records
Application Area: Vital Records
Enterprise Imaging Category: Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized; 250,000/ yr
Image Store: Centralized within Agency;12 million
User Access: Distributed Multi-Agency;(Safety, TBI, Human Resources)
Application Integration: AIRS, Tracking
Output Requirements: Print, View, Fax
Document Types: Birth, marriage, divorce, death certificates
Benefits: To secure documents; improve workflow; easier retrieval. Currently manual process to produce original copy of certificates.
Comments: Large Backfile conversion; Current staff = 60; Access from Social Security Administration; low access per document but high retrieval rate overall.
______________________________________________________________________________
Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized; 250,000/ yr
Image Store: Centralized within Agency;12 million
User Access: Distributed Multi-Agency;(Safety, TBI, Human Resources)
Application Integration: AIRS, Tracking
Output Requirements: Print, View, Fax
Document Types: Birth, marriage, divorce, death certificates
Benefits: To secure documents; improve workflow; easier retrieval. Currently manual process to produce original copy of certificates.
Comments: Large Backfile conversion; Current staff = 60; Access from Social Security Administration; low access per document but high retrieval rate overall.
______________________________________________________________________________
Agency/Division: Department of Human Services/Adult Protective Services
Application Area: Case Management
Enterprise Imaging Category: Electronic File Cabinet/WF
Image Capture: Centralized;4,000 cases/yr(1-400 pages per case)
Image Store: Centralized within Agency;1.6 million pages/yr
User Access: Distributed within Agency
Application Integration: None
Output Requirements: Print, View, Fax
Document Types: Physician records, law enforcement records, court records (includes signature & date), case records
Benefits: Improve timeliness of case management; assist in quicker risk intervention, if necessary.
Comments: LAN-based; Laptop application for field case workers; Potential State Imaging Case Management System
Agency/Division: Department of Personnel
Application Area: Employee Applications
Enterprise Imaging Category: Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized;50-100/daily
Image Store: Centralized Statewide
User Access: Multi-Agencies
Application Integration: Current mainframe personnel system
Output Requirements: Print, View
Document Types: Employee Applications
Benefits: Make applications accessible to any state agency.
Comments: Currently microfilming, Want to enter applications on- line(electronic-form); Backfile Conversion for one year (26,000 applications); short-term document life cycle
______________________________________________________________________________
Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized;50-100/daily
Image Store: Centralized Statewide
User Access: Multi-Agencies
Application Integration: Current mainframe personnel system
Output Requirements: Print, View
Document Types: Employee Applications
Benefits: Make applications accessible to any state agency.
Comments: Currently microfilming, Want to enter applications on- line(electronic-form); Backfile Conversion for one year (26,000 applications); short-term document life cycle
______________________________________________________________________________
Agency/Division: Department of Revenue
Application Area: Tax Returns
Enterprise Imaging Category: Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized;60-70,000 sales tax returns (28 taxes total)
Image Store: Centralized within Agency, short-retention
User Access: Distributed within Agency; 500-1,000 staff need access; dial- up capability needed by field auditors; limited multi-agency access/desirable; high retrieval-rate
Application Integration: Revenue Integrated Tax System (mainframe)
Output Requirements: Print, View, Fax
Document Types: Tax returns, correspondence, associated remittances
Benefits: Assist in high retrieval rate; assist field auditors with audits.
Comments: Microfilming using ScanOptics; currently have image data capture but want store and retrieval capability.
Agency/Division: Department of Safety
Application Area: Accident Reports
Enterprise Imaging Category: Electronic File Cabinet/WF
Image Capture: Centralized;150,000/yr
Image Store: Centralized within Agency
User Access: Centralized, DOT needs access and WF; High-Volume Retrieval rate
Application Integration: None
Output Requirements: Print, View
Document Types: Accident Reports
Benefits: Elimination of microfilm; eliminate hardcopies; queries could be answered by looking at image of accident report.
Comments: Currently microfilming Accident Report, data entry is outsourced.
______________________________________________________________________________
Electronic File Cabinet/WF
Image Capture: Centralized;150,000/yr
Image Store: Centralized within Agency
User Access: Centralized, DOT needs access and WF; High-Volume Retrieval rate
Application Integration: None
Output Requirements: Print, View
Document Types: Accident Reports
Benefits: Elimination of microfilm; eliminate hardcopies; queries could be answered by looking at image of accident report.
Comments: Currently microfilming Accident Report, data entry is outsourced.
______________________________________________________________________________
Agency/Division: District Attorney General Conference
Application Area: Case Management
Enterprise Imaging Category: Electronic File Cabinet/WF/Application Integration
Image Capture: Distributed within agency
Image Store: Distributed (50 offices)
User Access: Distributed within agency and Distributed multi-agency; Each office needs access to files in all offices; other agencies need access; access is very heavy until case is out of court; light thereafter.
Application Integration: Tracking/Status Reporting of Cases
Output Requirements: Print, View
Document Types: Legal documents, Correspondence
Benefits: Better handling of cases.
Comments: State Case Management System.
Agency/Division: Employment Security
Application Area: Unemployment benefits application
Enterprise Imaging Category: Electronic File Cabinet/WF
Image Capture: Decentralized within Agency, 10,000/month
Image Store: Centralized within Agency
User Access: Centralized within Agency
Application Integration: Wage DB, Claimant DB (Mainframe-based)
Output Requirements: View, Turnaround document
Document Types: Applications, Supporting document, pay stubs
Benefits: Faster turnaround of application approval.
Comments: Microfilming now, generate turnaround letters.
______________________________________________________________________________
Electronic File Cabinet/WF
Image Capture: Decentralized within Agency, 10,000/month
Image Store: Centralized within Agency
User Access: Centralized within Agency
Application Integration: Wage DB, Claimant DB (Mainframe-based)
Output Requirements: View, Turnaround document
Document Types: Applications, Supporting document, pay stubs
Benefits: Faster turnaround of application approval.
Comments: Microfilming now, generate turnaround letters.
______________________________________________________________________________
Agency/Division: Employment Security
Application Area: Appeals Tribunal - Unemployment insurance disputes
Enterprise Imaging Category: Electronic File Cabinet/Application Integration
Image Capture: Centralized
Image Store: Centralized within Agency
User Access: Centralized within Agency
Application Integration: Tracking/Status Reporting of Cases
Output Requirements: Print,View
Document Types: Legal documents, Correspondence
Benefits: Better handling of case; possible elimination of print.
Comments: State-wide Case Management System.
Agency/Division: Environment and Conservation
Application Area: Underground Storage Tanks
Enterprise Imaging Category: Electronic File Cabinet/WF
Image Capture: Centralized; 50,000 documents/yr
Image Store: Centralized within Agency; 475,000 (backfile conversion); 30 yr retention period
User Access: Centralized within Agency; future need - 10 field offices
Application Integration: None
Output Requirements: View, Print
Document Types: Forms (2-sided), letters, multi-part certificates, future - large technical drawings
Benefits:
Comments: Backfile conversion needed.
______________________________________________________________________________
Electronic File Cabinet/WF
Image Capture: Centralized; 50,000 documents/yr
Image Store: Centralized within Agency; 475,000 (backfile conversion); 30 yr retention period
User Access: Centralized within Agency; future need - 10 field offices
Application Integration: None
Output Requirements: View, Print
Document Types: Forms (2-sided), letters, multi-part certificates, future - large technical drawings
Benefits:
Comments: Backfile conversion needed.
______________________________________________________________________________
Agency/Division: Finance & Administration/Division of Accounts
Application Area: Financial records/invoices
Enterprise Imaging Category: Electronic File Cabinet/WF/Application Integration
Image Capture: Multi-Agency
Image Store: Distributed;450,000+
User Access: Distributed Multi-Agency
Application Integration: STARS, TOPS, TRACES
Output Requirements: Print, View
Document Types: Financial records, invoices, journal vouchers
Benefits: Improved workflow; faster handling of financial records.
Comments: Usually microfilm if storage longer than 12 yrs; low-volume retrieval in most areas
Agency/Division: Financial Institutions
Application Area: Correspondence Tracking
Enterprise Imaging Category: Electronic File Cabinet
Image Capture: Centralized/200 weekly
Image Store: Centralized within Agency
User Access: Centralized within Agency
Application Integration: None
Output Requirements: View,Print,Fax,E-mail
Document Types: Correspondence
Benefits: Ability to retrieve and view correspondence; simultaneous access.
Comments:
______________________________________________________________________________
Electronic File Cabinet
Image Capture: Centralized/200 weekly
Image Store: Centralized within Agency
User Access: Centralized within Agency
Application Integration: None
Output Requirements: View,Print,Fax,E-mail
Document Types: Correspondence
Benefits: Ability to retrieve and view correspondence; simultaneous access.
Comments:
______________________________________________________________________________
Agency/Division: General Services/Records Management
Application Area: Records Storage
Enterprise Imaging Category: Electronic File Cabinet/Application Integration
Image Capture: Centralized;3 to 5 million pages/yr
Image Store: Centralized within Agency; 3 to 5 million pages/yr
User Access: Distributed Multi-Agency; low-volume
Application Integration: TRACES
Output Requirements: Print, View, Fax
Document Types: Miscellaneous
Benefits:
Comments: Usually microfilm if storage longer than 12 yrs; low-volume retrieval in most areas
Agency/Division: General Services/Fiscal
Application Area: Vendor Invoices
Enterprise Imaging Category: Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized
Image Store: Centralized within Agency
User Access: Distributed within Agency
Application Integration: STARS, TOPS, TRACES, FIMS
Output Requirements: Print, View, Fax
Document Types: Vendor invoices
Benefits: Faster and more accurate verification of vendor invoices.
Comments: Potential State-wide application Electronic File Cabinet/WF/Application Integration
Image Capture: Centralized
Image Store: Centralized within Agency
User Access: Distributed within Agency
Application Integration: STARS, TOPS, TRACES, FIMS
Output Requirements: Print, View, Fax
Document Types: Vendor invoices
Benefits: Faster and more accurate verification of vendor invoices.
Comments: Potential State-wide application

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