Business Case Template

T E X A S P RO J ECT D E LI V E R Y F R AM E WO R K BUSINESS CASE State Department of Compliance and Enforcement Automated Client Data Collection VERSION: 1.6 REVISION DATE: 8/9/2006 Approval of the Business Case indicates an understanding of the purpose and content described in this document. Approval of the Business Case constitutes approval of the business case analysis results and hereby certifies the overall accuracy, viability, and defensibility of the content and estimates. By signing this document, each individual agrees the proposed business solution has been analyzed effectively as described herein. Agency Head Andrea Wiggins Signature Executive Sponsor Rob Smith, Compliance Division Signatures Technology Sponsor Irma Treacher Signature Project Manager Scott Sledge Signature Information Security Officer John Doe Signature J.Doe@sdce.state.tx.us (512) 475-5555 Date S.Sledge@sdce.state.tx.us (512) 475-5555 Date I.Treacher@sdce.state.tx.us (512) 475-5555 Date R.Smith@sdce.state.tx.us (512) 475-5555 Date A.Wiggins@sdce.state.tx.us (512) 475-5555 Date State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Contents Section 1. Executive Summary ............................................................................1 1.1 1.2 1.3 1.4 1.5 1.6 Issue ....................................................................................................1 Anticipated Outcomes .........................................................................1 Recommendation ................................................................................2 Justification .........................................................................................3 Assumptions........................................................................................4 Limitations ...........................................................................................4 Section 2. Governance and Business Case Analysis Team................................5 2.1 2.2 Governance.........................................................................................5 Business Case Analysis Team Members ...........................................6 Section 3. Problem Definition ...............................................................................7 3.1 3.2 3.3 Problem Statement .............................................................................7 Agency and Constituent Environment ................................................8 Current Technology Environment .....................................................10 Section 4. Project Overview ...............................................................................11 4.1 4.2 4.3 4.4 4.5 4.6 4.7 Project Description ............................................................................11 Goals and Objectives ........................................................................11 Performance Measures .....................................................................12 Assumptions......................................................................................13 Constraints ........................................................................................14 Proposed Technology Environment ..................................................14 Major Project Milestones ...................................................................15 Section 5. Project Evaluation .............................................................................17 5.1 5.2 5.3 5.4 5.5 5.6 Statutory Fulfillment ..........................................................................17 Strategic Alignment ...........................................................................17 Agency Impact Analysis ....................................................................18 Financial Analysis .............................................................................19 Initial Risk Consideration ..................................................................21 Alternatives Analysis .........................................................................21 Section 6. Project Selection ...............................................................................23 6.1 6.2 Methodology......................................................................................23 Results ..............................................................................................23 Section 7. Glossary ............................................................................................26 Section 8. Revision History ................................................................................27 Section 9. Appendices .......................................................................................28 Based on DIR Document 10BC-T1-4 Page i State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 1. Executive Summary 1.1 Issue Briefly describe the business issue that the recommended IT project would solve without describing how the problem will be addressed. Include a brief statement of any mandates that require processes and/or services not currently in place.  The State Department of Compliance and Enforcement (Department) will lose $1.4 million in federal reimbursements this year because of inefficient or improper handling of client applications. Numerous factors contribute to these losses, such as a highly complex and volatile regulatory environment, a purely paper-based application process, and inadequate personnel resources. Losses of federal reimbursements have increased by 20% per year for the past two years and the loss appears likely to grow at that rate for the next two. The number of documents received by the agency has grown by nearly 15% annually over the past three years and probably will for the next two. In addition, federal and state reporting requirements continue to increase, putting considerable strain on the field office personnel and reducing their effectiveness and accuracy. Because the application process is based entirely on paper, clients must submit new applications each year. Applications average seven to ten pages, including supporting documents, and take approximately two hours to complete, including everything from gathering documentation to mailing the application. Because the regulatory environment is complex and volatile, clients often find it difficult to comply with changing requirements. As a result applications must often be reworked by clients, and department field service personnel must provide significant assistance. Even in this difficult environment, the error rate is quite low given that the department has approximately 360,000 clients. The cost for errors is quite high though, so the reduction of processing errors is necessary. 1.2 Anticipated Outcomes Describe the anticipated outcomes of implementing of a project that specifically addresses the business issue. The description should include answers to questions such as “What are we aiming for?” and “What are the expected benefits to business operations?”  The project will implement a web-based interface through which clients can enter and submit their applications, and department personnel can access, audit, correct, and route the applications through the approvals process. This approach will minimize the use of paper, replacing it with electronic forms, imaging, workflow, and other electronic tools to manage documents. Key results include dramatically reducing the processing time for applications thus eliminating the main factor in the loss of federal reimbursements; improving the agency’s ability to respond to frequent changes in federal and state statutes and rules; reducing the amount of support clients Based on DIR Document 10BC-T1-4 Page 1 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 need to complete applications; and providing more effective records management and client privacy. The project will reduce operating costs by decreasing the number of staff hours spent processing each document and supporting each client. However, it is anticipated that the same number of FTEs will be required, due to the projected increase in number of documents and clients, as well as the need to allocate some staff to maintain the application. 1.3 Recommendation Describe the project that is being recommended to achieve the anticipated business outcomes by summarizing the approach for how the project will address the business issue. Identify the stakeholders/customers involved in determining whether the desired results are achievable by implementing the project.  The recommended project will reengineer four core agency business processes by automating the handling of client documents. The automated system will be accessible via a web portal through which both clients and agency caseworkers can collect, access, and manage client data easily and securely. The project will implement a document management and workflow system that is integrated with records management and content management. It will provide electronic forms so that clients can enter data from a common web browser and simply refresh the data every year instead of creating a new application. Online help and training will also be provided along with workflow and electronic forms to reduce data entry errors as well as enforce collection of mandatory data. Access for clients with limited English proficiency and clients with disabilities will be greatly improved. All web pages will be provided in Spanish, and will be available through display enhancements as well as through audio presentation. Delivering such services online will reduce the amount of support field office personnel must give the general public, thus allowing field personnel to provide more intensive support in specific cases in which it is needed. Clients without Internet access will still be able to use paper forms and attachments. The documents will continue to be submitted to the regional offices, but from that point the documents will be handled with imaging and workflow technology. Key stakeholders and the benefits they will realize include the following: Clients will be able to complete applications online through electronic forms that will reduce data entry errors and document handling errors. It will also reduce the amount of data and documentation they have to resubmit every year. Clients and Department field service personnel will be provided with extensive online help and training. This will reduce the number of processing errors and improve compliance with the continually evolving federal and state regulatory environment. Based on DIR Document 10BC-T1-4 Page 2 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 The Department Central Office will realize considerable savings by replacing the growing volumes of paper documents with electronic documents. In addition, many records management functions will be streamlined and standardized, reducing potential legal problems. The Department and the State will receive additional Federal reimbursements from timely and accurate completion of documentation. The Department plans to issue an RFO to select an integrator to deliver the system solution. A deliverables-based contract will be executed that will specify both project and certain project management functions. The project will be managed by the Information Systems Division. The manager will be responsible for overall management of the project, including managing the contract and integrator; coordinating all department personnel involved in the project; quality control and acceptance testing; providing all reports to the Quality Assurance Team; and co-authoring all weekly progress reports with the integrator’s project manager. It is anticipated that the implementation will require two years to complete, although it will be preceded by a six month RFO process and followed by a two month post implementation review. Note that the milestones table represents the Business Case Analysis Team’s best estimates based on their understanding of the problem space, and general knowledge of the available technology solutions. When the integrator/vendor is selected, they will provide a detailed Work Breakdown Structure and implementation schedule based on the proposed technology solution. The Milestone schedule will be revised to reflect the new implementation schedule. 1.4 Justification Justify why the recommended project should be implemented and the rationale for why the project was selected above the other alternative solutions. Provide a compelling argument by summarizing key quantitative and qualitative information from the Project Evaluation section, including a description of the impact of not implementing the project. Determine and include analysis information that is necessary to provide a clear justification for the project. The type and extent of information included in the justification will vary based on the best approach for making a compelling and accurate argument.  The recommended solution reengineers the core processes that deliver on the Department’s mission. In doing so it creates a business and technical environment that not only saves money for clients and the department but also provides a flexible platform to adapt to rapid and frequent changes in federal and state requirements. This approach reduces most sources of data and handling errors, allowing the Department to recoup over $18 million in additional federal reimbursements over ten years. It also provides processing efficiencies that are projected to save over $1 million in the next ten years while Based on DIR Document 10BC-T1-4 Page 3 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 allowing the current personnel to handle the anticipated increases in caseload without any increase in FTEs. The automated system also significantly reduces the amount of time and resources clients must expend creating and submitting applications. Benefits to clients are conservatively estimated to be in excess of $13 million over ten years. Of this amount, more than $800,000 is attributed to clients avoiding federal penalties and/or fines. The project is estimated to break even at during the fourth year and achieve a positive cash flow of over $20 million at the end of ten years, based only on the benefits to the agency. If benefits to clients are included, the project achieves breakeven at the end of the third year and the positive cash flow is over $33 million in ten years. Other approaches solve some of the processing problems but ultimately only change the location of the obstructions. For instance, hiring more FTEs to handle the workload does nothing to relieve the burden on clients. Implementing electronic forms by themselves does nothing to address bottlenecks in workflow or the challenges of managing the increasing volume of other documentation. 1.5 Assumptions List and describe any assumptions relevant to the project that is being recommended to achieve the anticipated business outcomes. The Department assumes the regulatory environment will continue to be volatile for the foreseeable future, requiring considerable Department resources to train personnel and clients. The number of documents required to be filed by clients is expected to increase by about 15% per year for the next two years, then increase by only 3.5% per year thereafter. Lost federal reimbursements are projected to increase by up to 20% for the next two years, then increase by 1.5% annually in succeeding years using current manual processing methods. The majority of the client base has access to the Internet and, based on experiences of TexasOnline, it is estimated that 50% of the clients will use the web-based interface within two years, and 80% will use it after five years. 1.6 Limitations List and describe any limiting factors, or constraints, relevant to the project that is being recommended to achieve the anticipated business outcomes. The Department’s FTE cap is not expected to be raised in the foreseeable future. As a result, it is unlikely that the Department will be able to make headway in processing the applications rapidly enough to reduce the shortfall in federal reimbursements. In addition, the Department does not have sufficient resources in the Information Systems Division to implement the application. Thus an external integrator must be engaged to execute the project and provide training to department personnel who will support the system. Based on DIR Document 10BC-T1-4 Page 4 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 2. Governance and Business Case Analysis Team 2.1 Governance Describe the IT governance processes and structures within the agency. Include the relationship of the Executive Sponsor and the Technology Sponsor to the IT governance structures and to senior management.  The agency Information Resources governance structure is illustrated below. The IT steering committee is composed of six division directors selected by the Executive Director. The IS division director is an ex officio member. This group is chaired by and advises the Assistant Director who is responsible for prioritizing IT projects and managing agency Information Resource assets. The Assistant Director is also the agency IRM. The committee meets at least monthly to review progress on agency projects over $150,000. They also re-prioritize projects and reallocate resources as circumstances warrant. The director of the Information Services Division manages data center operations, personnel and projects in the IS division, IT infrastructure, and IT support. The director is also chair of the IT Architecture Steering Committee. The IT Architecture Steering Committee sets IT technical standards and reviews potential IT projects to ensure that they conform to agency strategic direction. Executive Director IT Steering Committee Assistant Director IT Architecture Steering Committee IS Division Director Division Director Division Director IT Project IT Project IT Project The IS Division sponsors and manages IT-specific projects such as infrastructure maintenance and agency-wide services. Individual divisions are responsible for sponsoring line of business projects, although it is common for the sponsoring division(s) to have the IS division manage the IT project. An IT project is usually initiated by management in a line-of-business division. The manager(s) develop a concept document that describes the services that are to be automated or reengineered and the expected benefits. If the proposal appears to have merit, the directors of the Based on DIR Document 10BC-T1-4 Page 5 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 divisions that are affected assign an analysis team including subject matter experts from the affected division and technical experts from the IS division to develop a business case analysis. This analysis attempts to verify and quantify the expected benefits, as well as estimate costs for the project. When the analysis team completes a business case, they present for review it to the division directors who will be affected by the project. If the directors approve the project, it is presented to the IT Steering Committee for approval and prioritization. Projects may be re-prioritized and resources reallocated as circumstances change. For instance, new federal legislation may require the agency to rush the implementation of a new project. 2.2 Business Case Analysis Team Members For each applicable role listed below, provide the names and titles of agency staff that will fulfill them. Role Name/Title Executive Sponsor(s) Technology Sponsor Rob Smith, Director, Compliance Division Irma Treacher, Director, Information Systems Division Matt Bugle, Budget and Finance Division Mary Worthington, CPA, Budget and Finance Division Dana Spectre, Auditor, Compliance Division Joy Ells, Program Management Office, Information Systems Division Troy DuBois, Audit Manager, Federal Relations Division Joy Ells, Program Management Office, Information Systems Division John Doe, Information Security Officer Terrell Hardesty, Contracts Manager, Administrative Services Division Frances Smith, Regional Manager of State-Federal Liaisons, U.S. Department of Protocols and General Compliance Scott Sledge, Analyst, Compliance Division Budget/IT Analysts Division/Program Managers Information Security Officer Contract Manager Federal Programs Advisor Business Case Analysis Project Manager Based on DIR Document 10BC-T1-4 Page 6 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 3. Problem Definition 3.1 Problem Statement Describe the problem the project would address, including any problems related to technology, processes and/or services, without presupposing a solution. The Department was created to administer provisions of the Federal Compliance and Enforcement Act of 2002. The act requires states to gather and maintain a database of information about small and medium enterprise (SME) compliance with the act. The state currently has approximately 360,000 SMEs to whom the act applies, and the number of clients has increased by approximately 12% annually over the past three years. This growth is expected to slow within the next two years as the federal and state regulatory environment becomes more stable. To fulfill its mission, the Department established 20 regional offices staffed with 240 field service personnel to serve clients. The central office currently has 218 FTE positions, many of whom provide administrative support such as document filing, retrieval, and handling. The regional offices gather paperwork from clients to document their compliance with applicable federal and state statutes and rules. Field service personnel must review the documentation, contact clients to resolve issues such as missing or inaccurate documentation, approve documentation, and forward it to their managers for approval. Because of the complexity of the regulatory environment, caseworkers must often provide extensive support to help clients to complete the documentation. Completed paperwork is received at the central office and routed through approval processes. Exceptions are often referred to field service personnel to review and rectify with clients. Finished applications are filed at the central office to support state and federal program audits. Performance and volume metrics are maintained at the central office and are reported quarterly to the agency’s federal funding office in conjunction with the agency’s request for federal reimbursements. The regulatory environment is relatively new and federal rules change, often substantially, at six month intervals, requiring the agency to continually retrain compliance and audit personnel in the central office and regional offices. This puts considerable strain on the field office personnel and reduces their effectiveness and accuracy. Procedures must be followed precisely and within specific time limits to qualify for federal reimbursements. During a recent quarterly federal audit the agency lost $325,000 of federal reimbursements because of improper procedures, missing documentation, and failure to report on a timely basis. Annual losses to the agency were slightly more than $1.4 million in the previous year and have increased by 20% per year for the last two years. The shortfall must be made up from state General Revenue. Based on DIR Document 10BC-T1-4 Page 7 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 The number of documents received by the agency has grown by nearly 15% yearly over the past three years. The growth in documents has stressed the agency’s filing and document management to the point that documents are frequently lost or misfiled. When the federal office conducts random audits of documents, it is common for agency personnel to fail to find documents to back up claims for federal reimbursement, or to document that clients have complied with federal requirements. This also creates considerable hardship for clients who must recreate documentation and occasionally are subject to fines and penalties for missing documentation that may not be their fault. 3.2 Agency and Constituent Environment Identify and briefly describe the relation of each stakeholder/customer to the project. Stakeholders/Customers Description Clients / customers Clients are approximately 360,000 Small and Medium Enterprises (SME), sole proprietorships and individuals who provide any service to any public, private, or not-for-profit organization or individual. These customers must provide documentation demonstrating compliance with agency and federal rules and statute. If federal audits demonstrate that they are not in compliance, they may be subject to fines and other penalties. Approximately 200 field personnel are responsible for reviewing documentation provided by clients / customers, documenting the results of their reviews, assisting clients / customers in filling out forms and gathering documentation, and routing documentation through agency approval channels. Approximately 24 FTEs in the central office provide administrative support for handling client documentation. The project proposes to reduce much of the assistance burden of field service personnel by providing more effective and accurate online help. It will help clients by checking for incomplete answers and other errors in the documentation. It will also reduce or eliminate the manual labor of tracking documentation and issue resolution. Approximately 40 compliance managers in regional offices and 25 in the central office must audit a selected sample from the work of field personnel, approve all applications, resolve issues and provide assistance and training to compliance personnel, and handle client complaints and issues referred by field personnel. They also handle issues raised by quarterly audits of compliance documentation by the Federal Office of Compliance and Enforcement. Accounting must track all compliance documentation to apply for federal reimbursement for services supplied to clients. Application processing must be completed without error within 45 days of receipt to qualify for federal funds. The accounting office must supply documents for random audit by the Federal Office of Compliance and Enforcement. Any shortfall in federal reimbursements must be covered by state General Revenue. Agency compliance personnel Compliance management Accounting Division State taxpayers Based on DIR Document 10BC-T1-4 Page 8 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Stakeholders/Customers Description Federal Office of Compliance and Enforcement The Federal Office audits a random sample of state documentation quarterly to determine the level of state compliance with federal rules and statutes. They must audit a specific percentage of applications no matter how long it takes. They will benefit primarily by reducing the amount of time it takes to audit the Department’s files. Describe the processes and/or services that would be modified or automated by the project. Include processes and/or services for agencies and clients (citizens, employers, other agencies). Processes/Services Description of Modifications/Automation Collecting documentation from clients / customers The project proposes to reduce the burden of collecting documentation by automating some of the collection processes through online forms. This will also allow clients to update their data rather than submitting entirely new forms every year. Data entry errors will be reduced by intelligent forms processing functions such as error checking and correction. The project also proposes to automate document management functions by providing services such as document scanning, storage, search and retrieval, media migration, security, backup, and disaster recovery. The goal is to replace the agency’s massive and growing paper files with electronic files. The agency’s records management processes will be automated, consolidated and standardized with functions such as document classification, privacy, retention and disposition. This will reduce the agency’s exposure to legal issues resulting from mishandled or lost client records. The agency does not have a central library of past versions of forms, instructions, documentation, and other resources. `The project will provide content management functionality to manage versioning synchronization of documentation related to federal and state rules and statutes. This function will be integrated with the document and records management function to ensure that field personnel and central office management can give historically accurate answers to client questions, as well as defend both clients and the agency during federal documentation audits. The project proposes to replace much of the assistance provided by agency field personnel with more effective, timely and accurate online help. This help will be integrated with online training modules and versioned through the Content Management system. This will not reduce the number of training and help desk personnel. Rather, it will make the training and help more effective and more broadly available to both agency personnel and clients. The current manual workflow in four core areas will be replaced with electronic routing including a graphical business process designer/manager. The areas are:     Data collection Approvals routing Document filing and management Records management Document Management Records Management Content Management Help and training Workflow Changes in rules and statutes will be put into practice quickly and uniformly across the state. Compliance with new processes can be enforced by the software, resulting in much higher rates of compliance and much improved and more timely federal reimbursements. Based on DIR Document 10BC-T1-4 Page 9 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Processes/Services Description of Modifications/Automation Metrics Current manual compilation of compliance metrics will be replaced by much more detailed automated collection. The workflow software will allow managers to determine where bottlenecks are, to fine-tune processes, and to reallocate resources in near-real time. 3.3 Current Technology Environment 3.3.1 Current Software Describe the agency’s existing software that will be modified or replaced by the proposed project. Software Items Description AIX v4.2.1 Sophos anti-virus v5.0 Tivoli Storage Manager Oracle 9.0 CICS Operating software of current agency application server. The OS has not been upgraded for several years due to an agency shortfall in funding. Anti-virus software may have to be replaced if it doesn’t work with the application vendor’s product(s). System backup and restore software may need to be upgraded if it is not compatible with the extended tape silo subsystem. DBMS may need to be upgraded for compatibility. Additional clients licenses will most likely be needed even if the version is not upgraded. Transaction Processing Monitor may need upgrading depending on the vendor’s solution. 3.3.2 Current Hardware Describe the agency’s existing hardware that will be modified or replaced by the proposed project. Hardware Items Description RAID 5 disk subsystem The RAID subsystem must be replaced because of age. The proposed application will require a NAS or equivalent. The current tape library currently supports 8 TB. It can be expanded to 240 TB and four tape drives, but is an aging technology that likely cannot handle the expected volume of mounts/dismounts anticipated for the near-line archive functions of the application. Tape library Based on DIR Document 10BC-T1-4 Page 10 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 4. Project Overview 4.1 Project Description Describe the approach the project will use to address the business problem. Include the project sequence number for the project from the Information Technology Detail (ITD). Description of Project The Business Case Analysis Team (Team) has determined that the loss of federal reimbursements can be traced to the following four performance issues that will be addressed by the project:     Collecting inaccurate, incomplete, and/or wrong data from clients Mishandling or inefficiently handling clients’ documents Storing and managing increasing volumes of paper files Providing training, support and help to clients and to Department field personnel In addition, the Team has identified potential legal issues because constituent records are managed inconsistently. The project proposes to reengineer four core business processes by automating handling of client documents to improve accuracy and timeliness of data, eliminate processing bottlenecks, and reduce the reporting burden on clients. The automated system will be accessible through a web portal through which both clients and agency caseworkers can collect, access, and manage client data easily and securely. The project will implement a document management and workflow system, including forms management, records management, content management, and online training and help. The electronic forms will provide error checking during data collection, eliminating many of the most common errors. The workflow will enforce routing protocols and streamline approvals by making intelligent routing decisions based on data in the electronic forms. In addition it will be supplemented by records management functions that classify documents, provide security and privacy for sensitive data, and ensure retention and disposition policies are enforced. The application will provide traditional document management functions such as scanning, filing, storage, full-text indexing and search so clients without Internet access will still be able to use paper forms and attachments. The documents will continue to be submitted to the regional offices, but from that point the documents will be scanned into electronic images and handled with the imaging and workflow technology. The application will automate collection of performance metrics to provide most of the data required for filing quarterly reports for federal reimbursements. Finally, the federal office will be able to conduct random audits of documentation without requiring state personnel to select, retrieve, and re-file paper documents. Thus the federal audits will become almost completely transparent to the agency. It is anticipated that much of the software and hardware will be provided as a turnkey package from a single vendor. The project will be implemented by a VAR/integrator who will develop the detailed Work Breakdown Structure and implementation schedule for the hardware and software, as well as providing knowledge transfer to department personnel who will be responsible for maintaining the system. ITD Project Sequence Number: 002 4.2 Goals and Objectives Describe the business goals and objectives of the project. Ensure the goals and objectives support business needs. Business Goal/Objective Description Based on DIR Document 10BC-T1-4 Page 11 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Business Goal/Objective Description Improve customer service by collecting data more efficiently and accurately Eliminate storage and management issues of paper documents Manage documents and information more efficiently Develop an Internet portal through which clients and agency personnel can enter, access, and manage data. Whenever possible, offer electronic forms that provide error checking and enforce collection of required data. Reduce the number of paper forms used to process compliance documentation by replacing them with electronic forms. Reduce and eventually eliminate the need to store paper, replacing it entirely with electronic documents. Reduce the misfiling, losing, mishandling of documents. Enable personnel to find documents, create reports on content, and conduct data mining through tools such as full-text search. Reduce the incidence of mishandled records (inappropriate access, breaching client privacy). Ensure documents are classified correctly and handled according to established records management policy and procedure. Provide content and configuration management for forms, help and reference documentation, and training. Synchronize this with the document and records management functions so that field audits can be conducted with correct configuration of forms, instructions, training materials and client documents. Reduce the client support burden by providing • Online forms that have error checking and enforce collection of required data, and contain links to online help • Extensive online help and reference material • Central office help desk accessible through email and messaging Analyze performance and reallocate personnel to reduce routing bottlenecks that are typically handled by field personnel Reduce the amount of client support needed (see above) so field personnel can conduct more audits. Provide electronic access to audit documentation so audits can be done more quickly and accurately. Reduce data errors in documentation from clients. Reduce routing and documentation handling errors. Enable managers to respond to federal audit issues more accurately and efficiently. Reduce instances of lost reimbursements by handling documentation within federal guidelines for timeliness and accuracy. Manage records more consistently and accurately Manage content and versioning consistently Reduce support burden on field personnel Enable field personnel to conduct more audits Enable compliance managers to handle exceptions and questions more efficiently Improve the rate of federal reimbursements 4.3 Performance Measures Describe performance measures that will be used to gauge the project’s business outcomes for key processes and services. Key Process/Services Performance Measure Federal reimbursements Document processing Decline in lost federal reimbursements from $1.4 million to $250,000 by the third year and less than $100,000 by the fifth year. Reduction in average processing time for client documentation from 42 days to 16 days by the third year. Based on DIR Document 10BC-T1-4 Page 12 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Key Process/Services Performance Measure Client services Reduction in the number of client enquiries and request for services that must be handled by field service personnel from 132 per month to 40 per months within 3 years. Increase in the number of client audits conducted by field service personnel from 10 per month to 30 per month within 3 years. Reduction in the number of process and data errors reported by quarterly federal audits from 1 per 12 applications to 1 per 40 applications within 3 years. Reduce the average time to conduct a federal audit because of more timely access to Department records. Client audits Federal Audits 4.4 Assumptions List the assumptions regarding the agency processes and constituent services affected by the proposed project. Key Assumptions  For the next two years, federal rules and statutes will continue to change at approximately the rate observed for the past three years. After that, the regulatory environment is expected to stabilize.   Federal reimbursements will be maintained at the same rates for the next five years. Annual growth in the number of clients will decline from the current 12% to 1.5% over the next five years.  Growth in number of documents collected from each client will remain steady at nearly 15% per year for the next two years because of changes in federal and state requirements. After that the growth is expected to slow to approximately 3.5% per year.  As a result of the growth in documents, the loss in federal reimbursements will continue to grow at approximately 20% per year for the next 2 years, then slow to 1.5%. The loss will not be staunched unless bottlenecks and inefficiencies are eliminated from agency processes.  Client acceptance and use of online applications will be approximately 50% after the first year of operation, and will increase to 80% within 3 years. Current paper-based applications will be minimized but must be maintained for the foreseeable future to provide services to clients who do not have access to the Internet.  Access for non-English speaking clients and disabled clients must be provided in the automated solution, including specific provisions to address pending rules to be adopted by the Department of Information Resources. Based on DIR Document 10BC-T1-4 Page 13 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 4.5 Constraints List the limitations or constraints regarding the agency processes and constituent services affected by the proposed project. Key Constraints  Due to FTE caps, it is unlikely that any additional field personnel will be authorized for the foreseeable future. Thus additional personnel required to maintain the automated system must be offset by a reduction in personnel required to maintain paper records  The Department IS Division does not have the resources to implement a project of this size. Hence the Department must contract with an integrator to provide the implementation, expertise in the technology, and to provide training and knowledge transfer to new IT personnel who will be required to maintain the application(s). 4.6 Proposed Technology Environment 4.6.1 Proposed Software Describe the software requirements for developing, installing, or implementing the project. The Software Items below are generic descriptions based on desired functionality identified by the Business Case Analysis Team. Specific vendor software that fulfils this functionality will be identified by the integrators that respond to the RFO. Software Item Description Document capture Handles scanning paper and importing documents from other digital formats such as Word, Excel, and email. Creates and manages electronic forms. Integrated with the Document capture and Document management functions so that data on forms is retained along with the version of the form with which it was entered. Manages physical access to electronic documents from the point of capture/creation to the time of final disposition or archival. Includes functionality such as migrating documents from online to near-line to offline storage, indexing, search and retrieval. Also includes briefcase and synchronization functions so field personnel can download records to laptops to perform on-site intake, audits, and client assistance. The document management functionality will be integrated with the agency’s Identity Management system to provide security and with the Records Management subsystem to strengthen privacy of client records. Forms manager Document manager Based on DIR Document 10BC-T1-4 Page 14 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Software Item Description Records manager Manages logical handling of documents according to retention schedules and other records management parameters. Includes functionality such as identifying the record series to which documents belong, notifying record custodians of disposition dates, and locking records that must be preserved for legal discovery. Also provides functionality such as field-level redaction to allow fine-grained privacy for client data. Creates and manages automated business processes. Includes functionality such as versioning, process tracking, exception handling and escalation, and process libraries. Also includes performance monitoring and collection of performance metrics. Manages delivery of content across the enterprise. Controls versioning of forms, documentation, business processes, records management, email management, workflow and web content management Workflow manager Content manager 4.6.2 Proposed Hardware Describe the hardware requirements for developing, installing, or implementing the project. The Hardware Items below are generic descriptions based on desired functionality identified by the Business Case Analysis Team. Specific hardware that fulfils this functionality will be identified by the integrators that respond to the RFO. Hardware Item Description Document management server (2) Document scanning stations (20) Portal server (2) Forms manager, records manager, workflow manager, content manager server (2) Tape library Server to manage the document library. One server is for production, one is for development/backup Workstations, at least one in each regional office for scanning paper documents for the Document Capture function Server to handle Internet access; one for production, one for development/backup Server to handle other less-processor-intensive services; one for production, one for development/backup Network Attached Storage (NAS) for near-line storage of documents, and backup/disaster recovery. 4.7 Major Project Milestones Provide the descriptions of the project’s major milestones and deliverables and target dates. Note that the milestones below represent the Business Case Analysis Team’s best estimates based on their understanding of the problem space, and general knowledge of the available technology solutions. When the integrator/vendor is selected, they will provide a detailed Work Breakdown Structure and implementation schedule based on the technology solution they Based on DIR Document 10BC-T1-4 Page 15 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 proposed will be verified by the Department. The Milestone schedule below will be revised to reflect the new implementation schedule. Milestones/Deliverables Target Date Approve Business Case and Statewide Impact Analysis. Approve Project Charter. Approve Project Plan. Approve Acquisition Plan; Begin work on RFO. Complete Major Contract Questionnaire. Issue RFO. Close RFO, begin vendor/integrator selection. Select integrator/vendor Negotiate BAFO. Sign contract, initiate implementation. Approve Integrator’s WBS and implementation schedule; revise milestones and deliverables based on Integrator’s schedule. Begin pilot implementation. Accept for internal deployment. Begin public pilot. Complete public rollout. Approve Project Closeout. Begin post-implementation review. Post-implementation review complete. 2/1/2007 3/1/2007 5/1/2007 5/1/2007 6/1/2007 7/1/2007 10/1/2007 1/2/2008 1/2/2008 3/1/2008 4/1/2008 7/15/2008 12/1/2008 3/1/2009 3/1/2010 8/1/2010 8/1/2010 10/1/2010 Based on DIR Document 10BC-T1-4 Page 16 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 5. Project Evaluation 5.1 Statutory Fulfillment Describe the direct and derived mandate(s) related to the project and cite statutory reference(s) for federal and state statutes, rules, and regulatory requirements. Mandates Related to Project Statutory Citations States are required to gather data for the Federal Compliance and Enforcement Act. The Federal Office of Compliance and Enforcement administers the provisions of the act. State statute established the Department of Compliance and Enforcement to administer the federal program at the state level. 88 U.S.C. § 28951(2002) TEX. GOV’T CODE ANN. § 3900 (Vernon 2003) 5.2 Strategic Alignment Describe how the project aligns with the State Strategic Plan for Information Resources Management, agency strategic plan, agency Information Resource Strategic Plan (IRSP), and other plans the project addresses. Provide citations for specific goals and objectives related to the project in each plan. Plan Goals/Objectives Relationship to IT Project State Strategic Plan for Information Resources Management 10 CORE MISSION Deploy innovative, value- This project addresses key performance issues that added technology impede execution of the agency’s core mission solutions to meet agency established by the Legislature. core missions 8.2 Align and improve review processes outlines methods to improve alignment of major technology projects with business goals and objectives. 9.1 Manage electronic data and information systematically and efficiently describes statewide efforts to standardize data and information management. State Strategic Plan for Information Resources Management The project will model the Department’s data and processes to develop a consistent framework for supporting the Department’s mission as well as exchanging data easily with other state entities. Based on DIR Document 10BC-T1-4 Page 17 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Plan Goals/Objectives Relationship to IT Project State Strategic Plan for Information Resources Management 9.2 Expand government Web site usability discusses the state’s approach to making state Web sites more usable and accessible to persons who speak Spanish or who have disabilities. 9.3 Protect the privacy of personal information in state custody outlines strategies for protecting the privacy of citizen data held by state entities. Goal 1 – Continually improve the client relationships Objective 2 – Eliminate processing bottlenecks Web pages will be offered in multiple formats including Spanish, enhanced displays, and audio. In addition, training and online help will also be furnished in these formats to provide clients with the ability to submit applications 24/7. State Strategic Plan for Information Resources Management The project provides specific records management and privacy management functions that the current environment cannot offer, or which are inefficiently implemented. Agency Strategic Plan This project focuses on eliminating both the data handling bottlenecks that result in lost federal reimbursements, and the primary sources of client dissatisfaction with agency services. The project proposes to align specific IT resources with business requirements by modeling the key data gathered by the agency and the key processes used to gather, store, and report on the data. The alignment will result in re-engineered and automated processes that enable the business units to handle increasing workloads with existing personnel. Agency Information Resource Strategic Plan Questions 1.1.1, 1.1.3, and 1.1.4 5.3 Agency Impact Analysis Summarize how the project would impact the use of technology resources at the agency level, including support of the defined architecture and standards for the agency and state. The agency currently has a single server that handles accounting and HR functions, and a LAN/WAN that provides email, file and print services to all the regional offices. The proposed project will require at least four FTE positions to support the new application. The size of the project and its strategic importance to the Department will make it the chief determinant of the agency technical architecture for the immediate future. The IT Steering Committee will evaluate the impact of RFO responses on the Department’s technical architecture before awarding the contract. The project also represents the Department’s first attempt to use information technology for training. It is anticipated that as users become more familiar with online training, they will demand more sophisticated interactive training materials, and this will consume more network bandwidth. Based on DIR Document 10BC-T1-4 Page 18 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 The increase in the size of the IT division will likely be more than offset by administrative personnel reductions from handling paper and from providing training and support to clients. Note that the IT personnel will likely require higher salaries than current clerical and client support personnel. Significant reductions in administrative support required in field offices will be offset by the increased number of audits the field personnel conduct, thus reducing the error rates noted in federal audits. 5.4 Financial Analysis Using the level of detail illustration provided in the instructions, describe methods used to calculate the estimates for project costs and quantitative project benefits including all underlying assumptions. Quantitative project benefits include benefits to both the agency (cost savings, cost avoidance, revenue generation) and clients (service level savings, regulatory savings, and other savings). Methods: Project Cost Estimates Estimate Factors/Underlying Assumptions Costs are estimated by using similar systems at other state agencies and extrapolating to the size estimated for this project. No initiative in the state has attempted to reengineer business processes to the extent this project anticipates. Thus costs for integrators have been based on recommendations from analyst services such as Forrester and Burton. The costs also include a development/test environment that doubles as a backup system for the production environment. Note that the costs in the worksheet also include technology refresh after the fifth year of operation. The integrator will provide a manager for installing the hardware and software, but the agency will provide the project manager, contract administration, and coordination of all agency personnel. This will be done through a project manager appointed by the Information Systems Division. The integrator will provide analysts and technical personnel to supplement agency SMEs and to conduct knowledge transfer for the application. It is anticipated that additional Information Systems Division personnel will be hired as new system components are brought online. However, paperhandling employees and processes will not be fully phased out until at least a year after the project is completed. • The application is based on full licenses for 200 field service personnel and 120 central office personnel. • The application anticipates up to 400 concurrent public browser connections. • The development environment is anticipated to require four full licenses for workflow and web portal development. • All Department personnel are estimated as midlevel Systems Analyst II, including fully burdened overhead. • The analysis assumes that after three years 20% of clients are still submitting applications on paper. Thus paper handling processes must be retained in regional offices, but must be synchronized with electronic forms, workflow, and training. Based on DIR Document 10BC-T1-4 Page 19 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Methods: Agency and Constituent Quantitative Project Benefits Estimate Factors/Underlying Assumptions Agency benefits are estimated from recommendations from industry analyst services such as Forrester and Burton. The primary agency benefit, reducing the loss of Federal Reimbursements, is a result of improving the processing of client applications. Thus most of the analysis effort has already been spent on understanding the business model and where bottlenecks occur. The analysis determined that one key to providing both agency and constituent benefits is to eliminate as much paper as possible. This tactic ensures that few documents are lost or misfiled and allows parallel and collaborative processing whenever possible. In addition, by using electronic forms, many user errors can be corrected before the clients send in their applications. The improvement in data integrity and reliability will reduce the amount of support that must be provided to clients. The amount and timing of benefits have been estimated conservatively because the business case analyst team has not attempted such an ambitious reengineering effort. Thus the level of benefits that are predicted by analyst services have been discounted substantially, and the resulting projections might be considered somewhat pessimistic. Methods: Qualitative Project Benefits • The number of personnel savings achieved by eliminating paper will be offset by the number of personnel needed to maintain the application. • Constituent quantitative benefits are calculated at $10 per hour. Applications are assumed to take two hours to complete. • Support is estimated to require about one-half hour per application. The amount required by clients will probably not decrease, but the amount provided by field personnel is expected to decrease to less than 10 minutes per application because of better online training and help. • Constituent benefits come primarily in later years of the project when clients do not have to send in entirely new applications but can merely update current data and resubmit. • Agency benefits are generated mainly from avoiding loss of federal reimbursements. As such, no significant benefits will accrue until the second year of implementation. Score Factors/Underlying Assumptions Ease of use (FA11) was evaluated on the number of interactions with Department personnel that an “average” application requires. Current interactions average 0.89 per application, but clients who have more experience from submitting earlier applications require fewer interactions. • It is assumed that the easier and/or more intuitive the client interface is, the fewer direct interactions clients are going to require with Department personnel. • The number of interactions with Department personnel required for a client to successfully complete an application is in inverse proportion to the number of applications the client has completed previously. This indicates that help and training are key functions to provide at all steps in the process. Thus this factor (FA11) was given a high score because of the amount of training and support that will be available through the application. Based on DIR Document 10BC-T1-4 Page 20 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 5.5 Initial Risk Consideration Identify the key barriers (those risks assigned a score as a “5”) that could impede the processes and/or services provided by the project. Risk Mitigation Actions The executive sponsor is at the senior management level and is assigned the specific accountability for achieving all of the defined project objectives within the time and with the resources allocated Oversight reviews by a senior steering committee are planned at key milestones The project is jointly sponsored by two directors whose divisions are directly affected by the issues addressed by this project. The Information Systems Division will provide project and contract management. The project is jointly sponsored by two directors whose divisions are directly affected by the issues addressed by this project. The following are risks in addition to those scored in the workbook. The Compliance Division and Human Resources Division are developing a two-prong change management plan to minimize disruption and promote acceptance. The first prong is selecting two regional offices that are the most receptive to the new process. The application will be piloted there and most of the process errors will be worked out before lessaccepting office are introduced to it. During the pilot phase, the HR division will survey the remaining divisions to identify training needs, procedural obstacles and other impediments to the success of the rollout. The application will be introduced to new offices as the HR division determines they are ready. This tactic will develop a reputation for success that will precede the introduction and improve chances for acceptance. The biggest determinant of client usage is likely the user interface. The Compliance division is selecting the most client-supportive regional offices at which to develop and pilot the client interface. The client interface will be developed while the internal system is rolled out. After Department personnel are familiar with the application, the client version will be implemented. This tactic is assumed to provide the most effective support for clients Department personnel may not support and use the application. Clients may not use the online services as aggressively as the rollout anticipates, reducing the early benefits of the application. 5.6 Alternatives Analysis Describe alternative options, including the option of not implementing any project at all and at least one non-selected project option. No Project (Status Quo) Key Factors Showing Non-Viability Based on DIR Document 10BC-T1-4 Page 21 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Continue manual processing If no process reengineering is attempted, the loss of federal reimbursements will continue to increase at about 20% per year. Also, additional staff would be needed to handle the increasing workload, but the agency is constrained by the FTE cap. Key Factors Showing Non-Viability Alternative Option(s) 1. Reengineer manual processes and increase FTEs Because of the highly volatile nature of the regulatory environment, manual processing undergoes continual reengineering every time federal statutes and rules change. In fact this is part of the problem because such reengineering requires considerable retraining among both agency personnel and clients. The only way to continue processing manually without further loss of federal funds is to increase the agency FTE cap and hire more field support personnel. 2. Use web-based electronic forms to allow clients to enter data Electronic forms (E-forms) would eliminate many of the errors clients make in entering data. E-forms will also improve handling of electronic documents. However, clients must frequently attach copies of paper documents to their applications, so these must be mailed or faxed to the agency. At the central office a mix of paper and electronic documents would have to be managed. It is not obvious how this might improve the processing bottlenecks In addition, this approach does not address workflow, content management, client support, or training. 3. Use a pure imaging solution to capture and route all paper documents. A pure imaging system would eliminate much of the paper handling, and it can automate the workflow. This approach eliminates many of the processing bottlenecks but still requires clients to use paper to complete applications. Further, imaging doesn’t provide error detection and correction that E-forms would, and doesn’t address content management, client support, or employee training, key factors in the current error rates. Based on DIR Document 10BC-T1-4 Page 22 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 6. Project Selection 6.1 Methodology Describe the agency-developed methodology used for project selection.  An IT project is usually initiated by management in a line-of-business division. The manager(s) develop a concept document that describes the services that are to be automated or reengineered and the expected benefits. If the proposal appears to have merit, the directors of the divisions that are affected assign an analysis team including subject matter experts from the affected division and technical experts from the IS division to develop a business case analysis. This analysis attempts to verify and quantify the expected benefits, as well as estimate costs for the project. When the analysis team completes a business case, they present it to the division directors for review. If the directors approve the project, it is presented to the IT Steering Committee for approval and prioritization. Projects may be re-prioritized and resources reallocated as circumstances change. For instance, new federal legislation may require the agency to rush an implementation of a new project at the expense of current projects. 6.2 Results Describe in detail the selection results based on application of the agency’s methodology for project selection. State the rationale for why the project was selected above the other alternatives solutions. Cite any market research that was conducted. Note: The graphical summary charts from the Business Case Instructions document may be copied to the Executive Summary depending on the desired approach for providing a clear and succinct justification for the project. The IT Steering Committee selected the project based first on direct economic impact to the agency and secondly on economic impact on the client. The benefits were estimated conservatively because the agency has no experience with such a large project. Even under conservative assumptions the project creates a positive cash flow in the fourth year of the project (third year of production). Note that the projections also include a technology refresh after the fifth year of production. Even after the refresh, the Net Cash Flow (RA3) is still positive. Based on DIR Document 10BC-T1-4 Page 23 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Summary: All Project Evaluation Factors Line SF SA IA FA RC AA Factor Statutory Fulfillment Strategic Alignment Agency Impact Analysis Financial Analysis Government/Constituent Initial Risk Consideration Alternatives Analysis Total, All Project Factors Maximum Rating* 35 45 35 60 45 30 250 10 34 19 42 26 16 147 Note in the chart below that the Agency Benefits (line RA1) are not projected to be substantial until the third year of the project. By the fourth year, most of the loss of federal reimbursement has been eliminated and the benefit/cost difference (line RA3) becomes quite large. At this point the project achieves its breakeven point based on savings to the agency. If client savings are included, the project breaks even slightly sooner. Substantial benefits to clients are not expected to occur until the fifth year (see line VA1). For a detail breakout of each financial category by year, see the financial analysis worksheet of the Business Case Workbook. Financial Analysis: Agency/State Line RA1 RA2 RA3 RA4 RA7 Measure Agency Benefits (Cash Inflow) Project Costs (Cash Outflow) Benefit/Cost Variance (Net Cash Flow) Cumulative Net Benefits (Cumulative Net Cash Flow) Breakeven Point (Years 1 to 10) Year 1 0 Year 2 135,000 Year 3 1,817,000 Year 4 2,423,000 Year 5 2,478,950 … … … … … 10-yr Total 20,100,576 (47,679) (2,047,567) (1,252,786) (876,748) (256,510) (6,289,841) (47,679) (1,912,567) (564,214) 1,546,252 2,222,440 13,810,736 (47,679) (1,960,246) (1,396,032) 150,219 2,372,659 13,810,736 N/A N/A N/A 3.9 N/A … N/A Financial Analysis: Constituents Line VA1 VA2 VA3 VA4 Measure Constituent Benefits Project Costs Benefit/Cost Variance Cumulative Net Benefits Year 1 0 (47,649) (47,649) (47,649) Year 2 0 (2,047,567) (2,047,567) (2,095,246) Year 3 260,000 (1,252,786) (992,786) (3,088,032) Year 4 685,000 (876,748) (191,748) (3,279,781) Year 5 1,312,000 (256,510) 1,055,490 (2,224,291) … … … … … 10-yr Total 13,947,396 (6,289,841) 7,657,555 7,657,555 Based on DIR Document 10BC-T1-4 Page 24 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Based on DIR Document 10BC-T1-4 Page 25 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 7. Glossary  Based on DIR Document 10BC-T1-4 Page 26 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 8. Revision History Version Date Name Description 0.1 0.2 7/25/2006 7/27/2006 Nick Aristophanes Nick Aristophanes Initial Draft Revised for Project Management redirection Revised to emphasize the focus of overall project control, and to provide additional specificity for the role of the Integrator and relation to the Department’s project management. Revised per comments from review team for internal consistency and grammar. Revised per project director to emphasize reengineering of core business processes Expand the explanation of the records management function to emphasize its privacy and security aspects. Add sections on accessibility. Expand the Risk Considerations, add Qualitative Project Benefits to explain alignment with agency core mission. Changed projections of savings to reflect a more stable regulatory environment after two years, hence slower growth rate. Version approved for distribution. 0.3 7/30/2006 Nick Aristophanes 0.4 0.5 8/2/2006 8/4/2006 Nick Aristophanes Nick Aristophanes 0.6 8/8/2006 Nick Aristophanes 0.7 8/9/2006 Nick Aristophanes 0.8 1.0 8/15/2006 8/17/2006 Nick Aristophanes Nick Aristophanes Based on DIR Document 10BC-T1-4 Page 27 State Department of Compliance and Enforcement Automated Client Data Collection BUSINESS CASE Version 1.0, August 17, 2006 Section 9. Appendices  Based on DIR Document 10BC-T1-4 Page 28