City of New York Human Resources Administration Department of Social Services

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City of New YorkHuman Resources Administration
Department of Social Services
Management Information Systems Richard G. Siemer
Deputy Commissioner
Enterprise Content Management
Presented By Michael Lavin Director, Imaging
Systems and Support
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Discussion Outline

• Human Resources Administration (HRA)/
• Management Information Systems (MIS) Overview
• HRA/MIS Imaging Volume and Savings
• HRA/MIS ECM Implemented Solutions
• Recommendations For Successful Implementation
• ECM Operational Cost-Saving Benefits

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Human Resources Administration The City of New
York Human Resources Administration/Department of
Social Services (HRA/DSS) enhances the quality of
life for New Yorkers by providing temporary help
to eligible individuals and families with social
service and economic needs in order to assist
them in leading independent lives. Programs
incorporated include temporary cash assistance,
public health insurance, food stamps, home care
for seniors and the disabled, child care, adult
protective services, domestic violence, HIV/AIDS
support services, child support enforcement and
job training to help people gain
employment. HRA's ability to deliver these
services that enable individuals and families to
achieve their highest level of self-sufficiency
is greatly dependent on HRAs efficiency in the
utilization of information technology, computer
hardware, software, and telecommunications. Manag
ement Information Systems MIS provides the
technology infrastructure and computer
applications to support the present and future
business requirements of all departments within
the Agency. This infrastructure has enabled HRA
to improve its ability to deliver timely, quality
services to our clients and to the public within
New York City, as well as obtain administrative
benefits. The combination of technologies,
applications and services continues to be refined
periodically through a continuous improvement
process achieved by the partnership of MIS, the
HRA programs, state agencies, outside service
organizations and contractors.
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HRA/MIS Supported Program Areas
HRA Client Services FIA - Family Independence
Administration PA/CA Public Assistance / Cash
Assistance FS/NCA Food Stamps / Non Cash
Assistance BTW/FSE Back To Work Food
Stamps Employment Project DV/SA Domestic
Violence and Substance Abuse programs OFFO -
Office of Food Stamps Fiscal Operations FH
Fair Hearing HEAP - Heat Energy Assistance
Program OCP/ICP - Income Clearance Program
Office of Central Processing RAU - Rental
Assistant Unit MICSA - Medicaid Insurance and
Community Services Medicaid Applications OED
Office of Eligibility Determination HASA-
HIV/AIDS Services Administration CASA - Home
Care Services NH - Nursing Home APS Adult
Protective Services OMR Office of Mail
Renewal CAS - Customized Assistance
Services DSP - Disability Services
Program OHMHS - Office of Health Mental Health
Service WeCare - Wellness Comprehensive
Assessment, Rehabilitation, and Employment IREA -
Investigation, Revenue and Enforcement
Administration C C / L R Claims and
Collections Liens and Recovery BFI / BEV -
Bureau of Fraud Investigation Bureau of
Eligibility Verification HRA Administrative/Execu
tive OSR Office of Staff Resource Finance -
Financial Operations and Fiscal Integrity MIS
Management Information Systems
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HRAs Paper-To-Image Conversion Project
How and when HRA Imaging started HRA initiated
an imaging project in June 1999 in response to a
number of sanctions resulting from losing over
thirty percent of fair hearings due to the
Agencys inability to produce the necessary
documentation to an administrative law judge in
response to a negative case action. Concurrently,
there were pending grievances with the workers
union and the Office of Labor Relations due to
poor, and in some instances, hazardous working
conditions which included the accumulation of
boxes containing case records stored over file
cabinets and desks. The agency recognized the
importance of technology in the workplace as it
has increasingly become a critical tool at both
the private and public sector to improve the way
people work and provide better service to
clients. Because case records are continuously
accessed by different internal offices and
external agencies, many are continuously
transferred from site to site for various
reasons, and case record retrieval and storage
were such imminent problems. Initial scope HRA
POS Paperless Office System was an initiative
to support the workers/supervisors with an
application to enter/capture/approve all
data/forms on-line. While the development and
implementation of this comprehensive system took
some time, HRA determined that imaging would be a
great solution as it resolves most, if not, all
of the outstanding issues while continuing to
meet the needs of the Agency and its vast
population of clients. Initially HRA implemented
imaging all forms and client documents supporting
actions within WMS, New York States Welfare
Management System.
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Initial Issues Encountered

• Often documents were sent to the vendor with
  invalid or closed/archived case numbers that
  could not be scanned/indexed to an active
  electronic case folder. In this case, the vendor
  held the folders for further instructions. Total
  reached to 70,000 un-processed pending folders.
• HRA did not have a way to electronically track
  pick-ups.
• Duplicate documents and computer generated
  documents were often included in the folders
  adding additional cost and wasted imaging.
• Duplicate/dummy folders were scanned by the
  vendor accruing unnecessary costs.
• All images in the repository were available
  unrestricted to all HRA workers servicing
  clients. This became an issue as HRA had a need
  to scan administrative and confidential records
  whose access should be limited to the originating
  program area only.
• HRA had a need to scan documents whose metadata
  came from multiple sources other than WMS these
  sources and rules had to be written and shared
  with the vendor.
• HRA built custom viewers to handle the document
  confidentiality issues.
• Using multiple viewers was not efficient. Some
  had special features added over others, some were
  web based, others were thick client applications.
  Support and maintenance/upgrades were continuous.
  Training was needed when workers moved from one
  area to another.
• Workers had difficulty finding images. They would
  try different searches (i.e. by case number or by
  CIN or by SSN) to find all corresponding
  documents.
• Documents scanned by one program area were not
  shared with other program areas.
• No billing system was in place to confirm vendors
  billed items
• HRA had no reconciliation process to confirm all
  paper documents had corresponding images in the
  repository after vendor collection.
• Purging/shredding were non-existent. HRA
  continued to warehouse all paper documents
  because the scanning procedures could not
  guarantee all documents were captured.

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Enterprise Content Management (ECM) is the
strategies, methods and tools used to capture,
manage, store, preserve, and deliver content and
documents related to organizational processes.
ECM tools and strategies allow the management of
an organization's unstructured information,
wherever that information exists.
HRA/MIS ECM Solutions

• Repository
• IBM FileNet IS/P8
• Content Services/eForms
• Document Capture
• Off-site Vendor Scanning
• On-site Scanning
• eForms
• Mail Capture
• (Incoming Outgoing)
• Document Delivery
• HRA One Viewer

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Current HRA Imaging Volume

• 5 million indexed images committed per month from
  various sources into HRAs FileNet image
  repository
• 30,000 images retrieved daily through the
  centralized HRA OneViewer application

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Repository

• IBM FileNet IS/P8
• Content Services/eForms

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Repository
IBM FileNet IS/P8
Depending on a program areas requirements,
imaged documents are kept confidential within the
originating department or are shared with
selected /all agency departments. Additionally,
based on program area needs and/or audit
requirements some documents are shared with NYC
sister and over site agencies. Projects such as
HHS Connect expand the utilization of HRAs
repository to share with other NYC agencies the
public documents collected from HRA clients
birth certificate, passport, utility bills, etc.
In this fashion, clients do not need to
continue to reproduce the same identifying
documents to each agency they contact for
assistance. As part of this initiative, HRA is
setting document level security to share only
those documents that are legally permitted to be
shared across agencies.
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Repository
IBM FileNet IS/P8
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Repository
Content Services / eForms

• The eForms solution was developed as a
  centralized, version controlled forms repository
  for all agency forms for use by all HRA
  applications.
• Prior to this effort, program areas would supply
  forms individually to each application requiring
  use. A developer for each application would
  create a custom fillable form and save the form
  locally within their application leading to
  multiple versions of the same form in separate
  repositories. Often the latest revisions were not
  circulated to all applications causing
  inconsistencies across applications.
• Benefits
• Version Control
• Centralized form creation
• -Multi-language snippet database

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Document Capture

• Off-site Vendor Scanning
• On-site Scanning
• eForms
• Outgoing Incoming Mail

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Document Capture

• HRA solutions implemented to address initial
  vendor scanning and operational issues
• Imaging rules training and reinforcement upon
  identifying the initial issues, HRA built
  in-house web applications to track and address
  these issues. Program area managers were trained
  to identify issues. Imaging procedures and how
  to manuals were created.
• Vendor scanning rules - HRA implemented scan
  all rule Any and all paper found in case
  folders by an imaging vendor is to be scanned.
• Prepping and document type rules HRA generated
  a master list of valid document types. The vendor
  is required to identify and match each scanned
  document to a valid document type. Any document
  scanned by the vendor that does not fall into the
  valid list specified by HRA are scanned and
  added to an unknown report. This report also
  includes computer generated and duplicated
  documents. Unknown reports are shared with HRA
  program managers to correct their staffs folder
  creation practices to exclude unwanted documents
  thereby decreasing the wasted scanning cost for
  unnecessary documents.

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Document Capture
Off-site Vendor Scanning

• E-Prep An in-house developed system that
  validates case number and case status prior to
  vendor pickup. Case workers place collected
  client documents into folders that are then
  prepped following strict rules to maintain
  quality control and are then verified against the
  E-Prep system database.
• Index Data Vendor receives files weekly
  containing latest client metadata to be used for
  document indexing.
• Box pickup Scheduled weekly or by-weekly
  depending on volume from each HRA site requiring
  scanning. An electronic file generated by the
  E-Prep system containing all client data per
  folder per box picked up is supplied to vendor
  for reconciliation with the weekly metadata file.
  
• Vendor Process -Scan / index based on HRA
  business rules match each folder to a client
  record and identify document type scanned (i.e.
  SS card, birth certificate, history sheet).
• Vendor to HRA transmitting - Vendor outputs
  electronic folders to HRA via direct connected T1
  line. HRA runs a process to validate batch/folder
  contents before committing to one of HRAs
  repositories.
• Quality Control - Quality checks are done on both
  vendor and HRA sides to ensure all documents are
  correctly captured and invoices are reconciled.
• Shredding - Once paper to image conversion is
  confirmed, the vendor receives permission to
  release paper folder for shredding. A certificate
  of destruction is issued back to HRA.

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Off-site Vendor Scanning Work Flow Architecture

• Vendor creates box id labels
• Labels are loaded into E-prep
• Worker enters case into e-prep
• E-prep validates number and case info
• Vendors reports box id picked up
• Associated E-prep files are uploaded to vendor
• Vendor reconciles with HRA WMS records
• Vendor scan/index/transmit images to HRA
• HRA reconcile vendors details to e-prep/FileNet
• HRA confirms and acknowledges shredding

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Document Capture
On-site Scanning

• A web based scanning/indexing application was
  developed to be utilized on site directly by the
  case workers. This application allows the case
  worker to collect documents from the client and
  scan directly to the image repository without
  need to keep paper copies and physical case
  folders.
• Features Benefits
• Connects to multiple databases to access client
  information across program areas
• Instant access to client documents via the
  OneViewer
• Increased security for sensitive documents as no
  paper copy is needed to be kept on site
• Reduces case workers efforts for preparing Vendor
  folders and reconciliation

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Document Capture
On-site vs. Off-site Vendor Scanning Costs

• 2004, 2005, 2006, 2007 - HRA spent on average 8
  million in vendor scanning
• 2008 HRA saved over 2 million in vendor costs
  by fully implementing
• e-prep and on-site scanning
• 2009 HRA saved an additional 2 million over
  2008 savings by
• continued rollout of on-site scanning even while
  new program
• areas continued to enroll into vendor scanning

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Document Capture
On-site vs. Off-site Vendor Scanning Operations
VENDOR PROCESS IN-HOUSE PROCESS Folder/box
Supplies N/A Folder creation N/A worker
scans and/or returns documents to client Folder
annotation N/A Printing N/A worker looks in
the HRA One Viewer and WMS Prepping All
supporting forms/documents are reviewed and
scanned Computer printouts Any historical client
information saved in any system are looked up
when needed Copies N/A AP case numbers N/A
all documents are scanned once case is AP in
WMS AP to AC/CL/RJ N/A imaging system will
automatically update WMS case number and CIN
when applicable. Box creation and box label
N/A E-prep system Data entry N/A the only
data entry required will be at the scanner and
indexing verification. Label
requests N/A Box pickup N/A Pick up receipt
N/A Case tracking N/A documents are
available immediately on the viewer once
scanned/index Vendors process N/A Scan
all N/A workers scan only needed documents DEL
Report N/A non-required documents are not
scanned Turnaround time N/A available as soon
its indexed Folder returns N/A Returns
reports and site action taken N/A Folder
Pending N/A Web Exception N/A Doc types
requests if any new forms are to be scanned,
program liaisons are to contact MIS Imaging
team to assign a new document type Vendor to HRA
transmitting N/A Folder tracking /reconciliation
N/A
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Document Capture
eForms
eForms are used as templates for data entry at
client centers. The client application
information is captured and stored as data to HRA
client databases. Populated eForms can also be
saved as an image directly to a clients
electronic case folder which reduces the volume
to be manually imaged. A copy can be printed to
be shared with the client for their records.
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Document Capture
Out-going Mail - Print to Mail

• Print to Mail (PTM) is an automated mailing
  solution implemented to centralize all mailing
  operations (document composition, address
  verification, printing, inserting) agency and
  city-wide to reduce manual labor costs and
  maximize postal discounts.
• As a pilot project within HRA, Print To Mail has
  accumulated over 1.3 million in postage and
  labor savings in the last three years in
  production of 2-3 million mail pieces per year.
• Fully implemented, PTM is expected to mail over
  10 million pieces per year for HRA as well as
  volumes for sister agencies.
• Incorporated with existing ECM solutions
• FileNet Repository PTM commits images of mailed
  documents to electronic case folder
• eForms Repository PTM retrieves eForms from
  repository for mail merge process

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Document Capture
Out-going Mail - Print to Mail
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Document Capture
In-coming Mail - Return Mail Capture
1 2 3 4 5 6 7 8 9

• HRA implemented an in-coming mail imaging
  solution which is currently being piloted at
  MICSA/DAB.
• HRA mails out recertification forms to be
  completed and mailed back by the client.
• The form includes a bar-code which contains the
  clients name, case number, case type and
  document type.
• Upon arrival of the returned mail, MICSA mail
  room scans the returned documents.
• The scanner captures the bar-code information
  the mail room clerk confirms case number.
• The scanning system auto updates the MICSA MRTS
  system for process and reporting purposes.
• The supervisor assigns cases to
  worker/processors.
• Worker finds all in-coming mail images and
  completes the indexing.

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Document Delivery

• HRA One Viewer

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Document Delivery
OneViewer

• A web based viewer application for accessing
  documents across all HRA repositories captured by
  any program area, driven by logon security
  levels.
• Security Security settings are assigned at both
  group and user levels. Upon logon, the user is
  authenticated and access is granted based on the
  rights for that group/user. The security rules
  will affect a users access to documents,
  metadata and viewer customization.
• Search and result options
• Retrieve all documents related to the client
  regardless of originating capture application
• Utilize sophisticated searches to return all case
  related documents. For example, a search on a SSN
  will match that SSN to a case number and return
  all results for that case number as well. All
  relevant documents for the case will be returned
  i.e. a child or spouses documents indexed
  under another SSN
• Customized search fields and results grids based
  on the program areas requirements
• Filter options - Filter returned search results
  by document types, dates, program area, etc.
• Audit View The audit admin tool is available to
  load a predefined listings of case numbers
  limiting auditors to view only the selected list
  based on audit requirements.
• A true ONE Viewer Solution A web service is
  available for application developers to embed the
  OneViewer within their application and retrieve
  data/images based on data provided within the
  application via XML file.

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Document Delivery
OneViewer
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Document Delivery
OneViewer
Search options can be customized based on program
area needs
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Document Delivery
OneViewer
A LIKE search returns multiple results for the
case number entered.
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Document Delivery
OneViewer
Search returns all records pertaining to an
electronic case folder
User clicks record to retrieve image
from repository
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Document Delivery
OneViewer
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Document Delivery
OneViewer
Apply filters to narrow search results
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Document Delivery
OneViewer
Customized Viewer POS
POS Application One Viewer
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Document Delivery
OneViewer
Customized Viewer Fair Hearing
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Document Delivery
OneViewer
Customized Viewer OHMHS
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Document Delivery
OneViewer
Customized Viewer APS
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Document Delivery
OneViewer
Customized Viewer Audit
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Recommendations For Successful ECM Implementation

• Study/understand/analyze the big picture of the
  entire organization, even of those not
• participating initially in the imaging
  process.
• Images should be saved/organized in a manner
  that allows them to be shared or
• hidden based on agency/department
  requirements. Keep in mind that the
• policy/decision/requirements could change.
• Scanning / indexing / viewer applications should
  be customized to meet the
• departments/units workflow while keeping
  standards/similarity when possible.
• Indexing should be customized to capture and
  verify data from any data source
• used by participating program area.
• Viewer search and result grids need to be
  customized to ease the finding of
• images.
• Users must be educated to take advantage of any
  shared image.
• Any and all documents to be shared, should be
  imaged and shared via a viewer.

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Additional Recommendations

• Legal issues/considerations
• Reconciliation and shredding
• Documentation
• Procedures/Training/Support
• Prepping Rules
• Document Types
• Scanning Rules
• Barcodes
• eForms
• Technical needs/planning and Infrastructure
  requirements

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Operational Benefits

• Increase the effectiveness of core processes. ECM
  allows workers to streamline the process and
  verify client cases more effectively. It reduces
  duplicative submissions of supporting
  documentation and validates the integrety of the
  clients case history all from a single access
  point.
• Case record management - guarantees real time
  case record retrieval, prevents misfiling,
  maintains integrity, provides access via any
  networked PC from any location.
• Facilitates major moves, creation of specialized
  centers, and zip code realignments with minimal
  resources including contracted moving services
  allowing the Agency the ability to create new
  programs and service centers without much effort
  or additional cost.
• All case types are combined into one virtual case
  record providing staff with a complete overview
  of the participant. All historical information on
  each case is kept and readily available within
  the imaging system
• Minimizes the flow of paper as participants are
  only required to bring documents that have not
  been imaged. Imaged documents are readily
  available at any point in time.
• Workers productivity increases and daily
  functions, such interviews and telephone
  inquiries, can be performed from their desk
  without any delays associated with case files.
• Facilitates the efficient management of large
  caseloads with few staff.
• Audits no longer interrupt site and worker
  operations. Internal auditors and oversight
  agencies now have access to the imaging system to
  review all pertinent files from their own
  facility.

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Cost-Saving Benefits

• Reduction of costly sanctions and unnecessary
  disallowances associated with the agencys
  inability to produce the appropriate documents to
  support a decision.
• Reduction of agency costs associated with lost
  Fair Hearings. Fair Hearing win-rates have
  increased substantially from the inception of the
  project.
• Significantly reduces the individual sites
  maintenance costs namely, there is no longer
  the need to build a Central Files room, purchase
  file cabinets and supplies, or hire additional
  staff to perform all associated functions with
  case management.
• Space savings a number of buildings were
  relinquished as with the elimination of file
  cabinets and boxes, the space was better utilized
  by accommodating different program areas in the
  same building and consolidating program areas as
  well.
• Health Hazards associated with the filing and
  storage of paper files outside the record room
  and by the workers desks have been eliminated.
• Save money on paper and shipping - direct cost
  and environmental savings from driving paper out
  of core processes
• Reduce off-site storage costs. Off-site storage
  of paper is expensive, often requiring rental and
  maintenance fees as well as significant
  transportation costs to the facility.

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Contact
For more information on our ECM accomplishments
and/or implementation, please contact us via
E-mail. Michael Lavin lavinm_at_hra.nyc.gov