Enterprise  Content  Management  Solutions  

R. Gregory Tschida

Chief Information Officer MN.IT Services @

Minnesota Department of Revenue

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What  is  Enterprise  Content  Management  (ECM)?  

•  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.

•  * Definition from AIIM http://www.aiim.org/what-is-ecm-enterprise-content-management

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Many  different  things •  Content management includes ECM, Web content

management (WCM), content syndication, and media asset management. Enterprise content management is not a closed-system solution or a distinct product category. Therefore, along with Document Related Technologies or Document Lifecycle Management, ECM is just one possible catch-all term for a wide range of technologies and vendors.

* http://en.wikipedia.org/wiki/Enterprise_content_management#Characteristics

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Lots  of  Options •  WaterMark – Was our first imaging and document

management system. •  We Custom Built our first Sales Tax Return scanning and

OCR system. •  We used IBM Content Manager for our Individual Income

Taxes o  Migrated WaterMark imaged to IBM Content Manager o  Still use IBM Content Manager for our Human Resource Documents

•  We used Stellent (now Oracle)for our intranet •  We use Microsoft SharePoint for our external Website and

internal intranet •  We now use GenTax for all returns, correspondence &

tax related images •  MN.IT currently supports Tridion, Drupal, FileNet and

SharePoint for different aspects of ECM.

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Steps  in  ECM •  Capture

o  Returns o  Correspondence

•  Organize o  Multiple Indexes

•  Process o  Workflow & Routing

•  Store o  Retrieval & Search Options

•  Protect o  Retention Policies

Graphic  from  hAp://www.collate.co.uk/what-­‐‑is-­‐‑enterprise-­‐‑content-­‐‑management/ 5

MN  DOR  ECM  History •  1992 – Scanning of Sales Tax returns & selected documents

•  Table Top Scanners •  OCR/ICR •  Dropout Colors

•  2001 starting scanning Individual Income Tax returns •  Customized IBM Content Manager •  4 Kodak High Volume Scanners •  8 ½ X 11 size paper only (required lots of tapping small paper on 8 ½ X 11) •  One side only

•  2002 implemented Workflow Process for correspondence •  Used a smaller Kodak scanner for correspondence •  Converted all old images over to IBM Content Manager

•  2009 We migrated or converted all our processing, audits and scanning to GenTax. (2014 new IBML Imagetrac 5 scanners) •  2 IBML scanners to replace 5 Kodak scanners (170 sheets per min

at 300 DPI).

•  All size & weight paper, simplex/duplex.

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Impact  of  eFile

Return  Type    Electronic  Return  %  

Sales  Tax   100%  

Withholding   100%  

Individual  Income  Tax     83%  

Property  Tax     57%  

Partnership     72%  

Fiducary     44%  

C-­‐‑Corporation     59%  

S-­‐‑Copration     77%  

•  To the right is a list of our larger volume returns with the % of returns that are received electronically. 

•  We have other smaller types that are mostly paper right now.

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Current  State •  All scanning and manual data entry are done in-

house. •  We image all paper returns and Correspondence

o  Returns & Correspondence - all paper returns and correspondence are imaged and stored in our integrated tax system.

o  Checks – all checks that are processed by our D21 and Dispatcher software are imaged and stored our integrated tax system. 

o  HR documents – all HR documents are imaged and stored in an IBM Content Manager system.

•  Data entry/OCR scanning technology o  EMC Captiva Input Accel/Dispatcher are used to capture and key data

for our larger volumes of returns. o  Data is captured and sent with the images to our integrated tax system.

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Highlights  of  System •  Checks and returns are scanned and captured on the

same scanners, but in different batches. •  Check data is sent to the bank electronically via Image

Cash Letter or ACH.  •  Income Tax paper returns are processed within 30 days

up until April 15.  •  Correspondence has an associated workflow,

correspondence is scanned and routed to work queues so employees throughout the agency, regardless of their location, can work the case from the image the same day it is received. 

•  We retain an enhanced, cleaned up image with a retention date.

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Return  Options •  For the smaller volumereturns we did a cost analysis and found it

was more cost effective to do direct entry into our integrated tax system.  o  Returns are keyed directly into our integrated tax system o  Once the return is keyed, the operator prints a coversheet and attaches it to that return and sends

it to scanning as backend correspondence o  Once this is scanned the images are attached to the return on that taxpayer’s account.

•  For mid volume paper returns we scan the returns and key from image into our EMC Dispatcher system o  Scanned immediately from mailroom o  Return data is keyed from the image o  Images and data sent to integrated tax system

•  For larger volume paper tax returns we scan returns and OCR as much data as possible using EMC Dispatcher system o  Data that is not captured using OCR is manually keyed by operators. o  Once the data is captured, the data, images and index files are sent to our integrated tax system

and attached to the taxpayers account. o  This is an overnight process.

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Front  End  Correspondence •  Currently have 50 mail stations for document types

o  Wage Levies, Pay Plans, Audits, General Correspondence, etc.

•  Batch Header sheets with barcodes are created by mail station which directs the images to appropriate work queues.

•  Scan, then handle correspondence from image •  Gets incoming correspondence to the appropriate

places faster, same day as received regardless of location.

•  Work queues are set up as PUSH or PULL in GenTax. •  Original paper is kept for 30 days and then destroyed •  Junk Mail process – Things we don’t need to keep.

o  Address change, Here is my payment, etc.

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Back  End  Correspondence •  Handle paper correspondence and image later •  Cover sheets are created within our Integrated Tax

system, printed locally and sent to scanning with associated items sent for scanning o  Created like letters from within taxpayer’s account so it knows which

taxpayer, includes Taxpayer ID, can select metadata from dropdown for Audit, Compromise, etc.

o  The letter ID is used to create a barcode on the coversheet which is used to tie back to the taxpayer’s account.

o  The bar code is also used as a separator sheet, signifying a new transaction to the scanner.

•  Barcode is read during scanning and document automatically attached to correct account o  No more typos on IDs, metadata, etc o  Author is always known

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Searching  Images •  We cross reference our ID numbers

o  This helps when you don’t have the primary ID, but maybe an alternate ID number like case number.

o  If you search on case number, everything associated with that taxpayer by any number can be found.

•  We offer various ways to search for images o  Primary identification number o  Alternate identification numbers o  Tracking numbers (document control numbers) o  Case number o  Audit number o  Letter ID

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Storage Year   Terabytes  

2009   4.858025  

2010   5.112239  

2011   5.834558  

2012   6.581988  

2013   7.315684  

2014*   7.785684  

*  To  date

3.5

4

4.5

5

5.5

6

6.5

7

7.5

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2009 2010 2011 2012 2013 2014

Terabytes

Year

Growth

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Benefits •  Space saved – Recaptured much of 2nd floor •  Less movement of paper •  Immediate access •  All information in one place •  Multiple search options •  Available at all locations •  Multiple users at same time •  No more lost files/documents •  Tracking •  Speed and ease of destruction

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Benefits •  Data Stewardship

o  Track the scan operator o  Who opened the mail

•  each mail processing employee has their own date stamp which includes their initials.

o  Track the data entry operator o  Track if data was OCR or operator keyed, by field o  Each version of the return data o  Employees can add notes on the taxpayer’s account regarding phone

calls, etc. o  Who looks at the data/image

•  Processes and procedures are in place that allow us to better ensure that we are protecting taxpayer’s data from unlawful browsing or disclosure.

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Lessons  Learned •  Don’t try to OCR everything. 

o  It’s expensive to develop and won’t produce a positive ROI at lower volumes. 

•  Stop maintaining old year code when the ROI drops.  o  Older year returns are entered directly because the volumes are so low. 

•  Reconcile throughout the process o  Have reports that show that what was sent is the same as what was received

and that the data and images are linked

•  If possible, convert the old paper files o  We completed a file conversion project several years ago that converted all

old paper files to image.  We converted anything that wasn’t going to be older than our retention date by the time the project ended.

•  Only retain images as long as needed o  Some users want to keep everything - forever o  We finally agreed to 10 years (C-Corp returns and audits)

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