Electronic Records Management and Retrieval

1. Electronic Records Management and Retrieval Paul Maxwell Vice President of Sales Brian Love Sales Engineer Westbrook Technologies, Inc.

2. Records Management…As Addressed By Document Management • Are your daily business processes documented? • Knowledge Management • Does this information documented provide input to a mission-critical business decision? • Infrastructure Management • Does this information provide evidence as to why a business decision was made? • Legal Protection • Is this information required for legal, fiscal, audit, or tax purposes? • Retrieval

3. Records Management Scope • Categorization and indexing are two elements that are critical to the success of a records management program • Knowledge Management • Vital records preservation is one of the key steps in developing a disaster recovery plan • Infrastructure Management • By ignoring records management policies employees and their companies can potentially end up facing criminal penalties • Legal Protection • What led to Arthur Andersen’s downfall? • Inappropriate shredding of records that should have been retained according to the policies of both Andersen and Enron. • Retention

4. Regulation Pains

5. Regulation Pains

6. What Do I Want/Need a Records Management System to Accomplish? • Capture in multiple different ways • Manage retention schedules • Store records in their appropriate classifications along with the prescribed metadata • A system that can be flexible with your growing and changing business needs • Branch out beyond just the Records Management arena • Scale to address growing enterprise needs and industry evolution

7. Records Management System Needs • Search for records when required – QUICKLY! • Track the access of the record over its active and in-active life cycle • Put “holds” on records so they are not destroyed while the company goes through an audit or investigation • Destroy records according to prescribed schedules • Follow the retention schedules!!!

8. 2007 Survey…Who is Following Retention Schedules? Let the RECORDS MANAGEMENT SYSTEM Control the Retention www.MERresource.com/whitepapers/survey.htm

9. Document Management Approaches for State and Local Governments: Trends and Success Stories

10. Roles of Document Management and Formal Records Management • Key Needs Met: • Most regulatory compliance including: • OSHA, SEC, EPA, Sarbanes Oxley, FDA, ISOxxxx, more • Document integrity, retention, security • Document auditing, destruction schedules • Maximize capture of business documents • Business processes • Web access • Implement formal records declaration & disposition • Integrate physical and electronic records archives • DoD contracting compliance

11. Solution Benefits in State and Local Government • Easy to implement • Gain user acceptance, capture all business documents and intelligence • Can achieve “compliance” • Document immutability and security • Retention and destruction schedules • Security, retention behaviors based on document type, user type, business context • A minimum of administrative overhead • Records paradigm not introduced to business user • Can scale up and extend • Can introduce formal records management in specific regulated businessareas or globally at a later time • At the same time, flexibility of document management retained for non-rigorous (from a records perspective) business areas

12. Why is Adoption of Document Management Accelerating in State and Local Governments? • Global competitive pressure to increase “business velocity” • Document flows almost always a critical bottleneck • Compliance violations bring increased risk and visibility • Ensure document retention, control, audit ability, oversight • Pressure to improve the customer experience • Access to customer documentation key to responsiveness

13. Why is Adoption of Document Management Accelerating in State and Local Governments? • Improvements in capture technology reduces cost of entry • Multiple strategies to increase document “intelligence” • Turnkey solutions reduce need for customization • Areas such as A/P, purchasing, HR credentialing … • There is a shift away from IT having “day to day” managing responsibility - Why?

14. Government Issues Now: • Increasing cost and burden of records management • Storage costs • Administrative filing and retrieval costs • Availability and disaster recovery planning • Regulatory liabilities • Federal regulations: OSHA, HIPAA, IRS, DOL, FDA, DEA, SEC • Corporate governance: Sarbanes-Oxley, accounting standards • State regulations: State public records and privacy legislation • Competitive pressures • Improve Customer application experience • Empower and improve customer service • ISO 9xxx and B-to-B competitive advantage • Improve business decision processes

15. Disaster Recover Example: Electronic Records CUSTOMER: Florida Medical Center Clinic, FL SOLUTION: Electronic Patient Records for 60 yrs, 1 million patients, and 3.9 miles of paper, 65 physicians, 750 staff. • Tangible - ROI: • Reduce records admin from 60 to 6 staff • $1.3 million/yr in records maintenance cost savings • $300,000/yr in liability cost savings • $139,000/yr in EOB microfilm costs • Intangible: • Added focus on quality of patient care • Successful disaster recovery after hurricane Benefits Achieved KEY FACTS: • Sixty years of medical records placed into electronic DM repository resulted in rapid disaster recovery after 2004 hurricane season. Patient records protected, business back online within hours after catastrophic hurricane.

16. Compliance Example: Service History and Hotline CUSTOMER: Dassault Falcon Jet PROFILE: 1,500 jets delivered; 2,400 service professionals SOLUTION: “As built” drawings, installation instructions, maintenance instructions, materials information. • Tangible - ROI: • 95% of Calls address within 24 hours • 80% faster information retrieval • 10% manpower savings • Intangible: • FAA Compliance • Quality service Benefits Achieved KEY FACTS: • 140,000 blueprints (production drawings) and related stored in system. FAA requires drawings and service information held through lifetime of plane.

17. Solutions forState and Local Government

18. Key Local Government Trends…Sound Familiar? • Budget pressure on all departments, including schools and public works • Manpower shortages to manage records • Space pressure on records archives • Public safety and emergency response concerns • Emergency response plans • Disaster recovery

19. Key Local Government Trends • Public policy and enforcement • Ability to retrieve & use records • Detection of trends • Public transparency and e-Government trends • E-Discovery • Different mindset of managing • Exponential storage growth • Geographical Information System (GIS) • Integrating data

20. E-Discovery Age • Quick and automated capture • Offsite storage, Storage Area Network (SAN) • Tight security • Any electronic document that can serve a purpose in a law suit • Union Bank of Switzerland (UBS)

21. Geographical Information Systems • Maps, Coordinates, Documents Combined • Emerging Uses • Link Documents to Maps • Store GIS Data and Maps in a DMS • API • Bi-Directional Data Transfer http://en.wikipedia.org/wiki/Image:GeaBiosOpenLaszloSatelliteMappingApplication2.PNG

22. GIS Integration • Customized toolbar within the GIS • DM to GIS features • List all features of an associated document • Search maps through a text search - quick retrieval • Launch a document into the browser • Link documents together • See properties on a document in a table

23. E-Government • E-government is as much a way of doing business and way of communicating with the public as it is a technology • E-government comprises a group of enabling technologies, including enterprise content management [ECM], Web publishing, document management, GIS [geographic information system], and Web services

24. E-Government • The first goal of e-government is to enable better transparency and communication with the government’s customers (aka citizens) • A second goal of e-government is improved ability to interact and receive services, including the ability to download forms and make payments • A third goal of e-government is fulfilling public information and public meetings law requirements

25. What are the Benefits? • Provides a reliable electronic solution for compliance with public records acts • Provides secure archiving and retention of public records • Provides increase access and usability of public information and data to serve citizens • “e-government” initiatives

26. What are the Benefits? • Mobilizes critical information for “homeland security” purposes • Reduces costs for filing, storage, retrieval • Eliminates storage real estate requirement • Improves internal government business processes

27. State of Maine • Fortis has been in use in the State of Maine since the mid 1990’s • We currently have 12 installations through out the State with the Department of Professional and Financial Regulations and Accounts and Control being the major installations. Consolidation is underway • These two combined have millions of stored documents and hundreds of users

28. State of Maine – Just Some of the Capabilities In Place Today • Workflow processing - important part of PFR Case Management and InfoAdvantage Electronic Report Delivery System. • Automatically import and index documents. Important part of PFR Case Management and InfoAdvantage Electronic Report Delivery System. • Users can integrate with any line of business application. Used with PFR Case Management and PFR ALMS system. • Web interface to the solution. Heavily used by Accounts and Control.

29. State of Maine – Just Some of the Capabilities In Place Today • Import documents from Planet Press into Fortis. Important part of InfoAdvantage Electronic Report Delivery System. • An add-in to Microsoft Office that allows for users to send Office documents directly into Fortis while maintaining the original format. • Users can display documents outside of the firewall. Renders them as PDFs. • An Approval Automation System used in conjunction with Outlook and workflow that allows rapid processing of documents living in a chain of command.

30. State of Maine – Capabilities • All the accounting reports from the new accounting system are delivered electronically through Fortis. • All accounting support documents, invoices, contracts, cash receipts etc. are stored in Fortis. • The connector to the accounting system allows for automatic indexing from that database. • Public Safety - crime lab is using it to store Crime Scene photos and interview audio recordings.

31. State of Maine – Future Capabilities • Using LDAP with web client to create single sign-on and eliminate having to manage passwords. • Treasury is going to use it for Unclaimed Properties work flow and processing of claims.  • The State of Maine is just finishing the migration of 300,000 plus DD14s for Veterans from a stand alone DM system to Fortis.  They will be using Fortis Portal so that the Veteran's Home Administration can verify the Vets for housing on nights and weekends when there isn't any staff working to process their requests. • Migrating Purchases over in November to Store all contracts.  They currently are on an old system.

32. Case Study: Adams County, IN Background: Adams County incorporates 12 towns, 33,000 residents • Solution: County Auditor Tax Exception Certification • Forms and certifications for mortgage, homestead,geothermal, other exemptions • Automate document production, filing, retrieval • Link taxpayer database with Fortis • Benefits: • ROI based on filing man-hours • Additional benefits from improved business process

33. Case Study: City of Prescott, AZ Background: Small western municipality moves all city records to electronic repository • Solution: City e-Government initiative • Police & court records • Tax and licensing documents • Utility bills and correspondence • Payroll • Environmental records and permitting • Web access to government workers and public • Benefits: • Citizens’ customer service • Security of vital record archive

34. Case Study: Bergen County NJ Background: Bergen County – 900,000 citizens • Solution: Prosecutor Caseload, Dockets • All case files managed electronically • Discovery files made available electronically • Ability to seal dockets • Case and docket searchable for case research • Benefits: • Eliminate lost evidence and files • Efficiency and cost savings in satisfying discovery requirements • Speed and effectiveness in conducting case research