Enterprise Architecture

BUSINESS AND IT/IRM TRANSFORMATION PLAN
ENTERPRISE ARCHITECTURE

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TABLE OF CONTENTS
EXECUTIVE SUMMARY................................................................................................................................................................................13 1.0 INTRODUCTION .......................................................................................................................................................................................17 1.1 Purpose................................................................................................................................................................................................17 1.2 Scope ...................................................................................................................................................................................................17 1.3 Document Overview .........................................................................................................................................................................17 1.4 Associated Documents....................................................................................................................................................................18 2.0 BUSINESS AND IT/IRM GOALS AND STRATEGIES AND THE ROLE OF EA...............................................................................20 2.1 Goals of Enterprise Transformation...............................................................................................................................................20 2.2 Strategies for Enterprise Transformation.....................................................................................................................................21 2.3 The Role of Enterprise Architecture .............................................................................................................................................21 3.0 STATE OF HAWAI`I EA ............................................................................................................................................................................23 3.1 Context for the EA within the State of Hawai`i’s Government Transformation ....................................................................23 3.2 Current State EA Summary .............................................................................................................................................................23 3.4 Future State EA Summary ...............................................................................................................................................................24 3.5 Transition and Sequencing Plan Summary .................................................................................................................................25 4.0 ENTERPRISE BUSINESS ARCHITECTURE (EBA) .............................................................................................................................27 4.1 EBA Current State .............................................................................................................................................................................27 4.2 EBA Future State ...............................................................................................................................................................................28 4.2.1 Business Reference Model (BRM) ..................................................................................................................................29 4.2.2 Service Reference Model (SRM) .....................................................................................................................................32 4.2.3 Performance Reference Management (PRM) ..............................................................................................................32 4.3 EBA Transition and Sequencing (T&S) Planning Summary.....................................................................................................34 4.3.1 Reengineer Administration Operational Functions ......................................................................................................35 4.3.2 Replace the Existing Financial and Business Management Solution ......................................................................35 4.3.3 Upgrade the IT Infrastructure ...........................................................................................................................................35 4.3.4 Information Stewards/Leads, Participants, and Stakeholders ..................................................................................35 4.3.5 Remove Barriers to Information Sharing ........................................................................................................................35 4.3.6 Simplify and Secure Information Gathering from Citizens..........................................................................................35 4.3.7 Ensure Required Services are Delivered........................................................................................................................35 4.3.8 Promote Process Reengineering within the State .......................................................................................................35 5.0 ENTERPRISE INFORMATION ARCHITECTURE (EIA) .......................................................................................................................37 5.1 EIA Current State ...............................................................................................................................................................................37 5.2 EIA Future State .................................................................................................................................................................................38 5.2.1 Information Management and Usage .............................................................................................................................38 5.2.1.1 Semantic Web................................................................................................................................................................39

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5.2.1.2 Knowledge Management ............................................................................................................................................40 5.2.2 EIA Elements ...................................................................................................................................................................................41 5.2.2.1 Common Information Framework ..................................................................................................................................41 Enterprise Resource .....................................................................................................................................................................41 Integration Enabler .......................................................................................................................................................................42 Information Architecture Levels for Sharing ...........................................................................................................................................42 Stewardship/Leadership Responsibility and Governance Structure ................................................................................42 Information Description ...............................................................................................................................................................42 Information Confidentiality ..........................................................................................................................................................42 Information Integrity .....................................................................................................................................................................42 Information Availability ................................................................................................................................................................43 5.2.2 Conceptual Information Architecture........................................................................................................................................43 5.2.3 Requirements for Information Delivery and Sharing..............................................................................................................45 Operational Information Management Requirements ..........................................................................................................45 Information Sharing and Delivery Requirements ...................................................................................................................46 Analysis, Visualization, and Reporting Requirements...........................................................................................................46 5.3 EIA Transition and Sequencing Planning Summary .................................................................................................................46 5.3.1 Establish the Enterprise Data and Services Administration.......................................................................................46 5.3.1.1 Governance Standards and Practices ..................................................................................................................46 5.3.1.2 Common Data and Services Architecture ............................................................................................................46 5.3.1.3 Data and Database Administration Standards and Practices .........................................................................47 5.3.2 Establish Enterprise Common Data and Services for the ERP Implementation.....................................................47 5.3.3 Establish Enterprise Common Data and Services for the Affordable Care Act .....................................................47 5.3.4 Establish Enterprise Common Data and Services for the Support Services ..........................................................47 5.3.5 Establish Enterprise Common Data and Services for the Core Mission LOBs.......................................................47 6.0 ENTERPRISE SOLUTION ARCHITECTURE (ESA) ..............................................................................................................................49 6.1 ESA Current State .............................................................................................................................................................................49 6.2 ESA Future State................................................................................................................................................................................50 6.2.1 Vision for the Future State ESA .........................................................................................................................................51 6.2.2 Guiding Principles for the Common Solutions Framework .........................................................................................52 6.2.2.1 Enterprise Integration................................................................................................................................................52 6.2.2.2 Use of Industry Standard Application Software within a Services-Oriented Architecture ......................52 6.2.2.3 Stewardship/Leadership and Governance...........................................................................................................53 6.2.2.3 Open Source Software and Compliance with Open Standards ......................................................................53 6.2.2.4 Service Orientation, Software Reuse, and Solutions Integration....................................................................53 6.2.2.5 Standard Enterprise Solution Patterns..................................................................................................................53 6.2.2.6 The Role of the ESA ...................................................................................................................................................54

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6.2.3 Conceptual Solutions Architecture ............................................................................................................................................54 6.2.3.1 LOB Services ...........................................................................................................................................................................55 Enterprise Services.......................................................................................................................................................................55 Enterprise Mission Support Services ................................................................................................................................55 Customer Management Services .......................................................................................................................................56 Business Management Services ........................................................................................................................................56 Knowledge Management Services ....................................................................................................................................57 ERP Services ...........................................................................................................................................................................58 Service Management Services...........................................................................................................................................60 Enterprise Common Services .....................................................................................................................................................61 Data Management Services ................................................................................................................................................61 Analytical Services........................................................................................................................................................................................61 Software Development and Integration Services...........................................................................................................63 Security Management Services.................................................................................................................................................................63 Collaboration Services ..........................................................................................................................................................64 Communication Services .............................................................................................................................................................................65 Search Services......................................................................................................................................................................65 Systems Management Services .........................................................................................................................................66 6.3ESA Transition and Sequencing Planning Summary..................................................................................................................66 6.3.1 Stabilize ..................................................................................................................................................................................66 6.3.1.1 Address Current “Flagship” Opportunities...........................................................................................................66 6.3.1.2 Legacy Application Solution Upgrades .................................................................................................................67 6.3.2 Rationalize and Integrate ...................................................................................................................................................67 6.3.2.1 Implement ERP System .............................................................................................................................................67 6.3.2.2 Implement Other Enterprise Solutions ..................................................................................................................68 Enterprise Email System .......................................................................................................................................................68 Enterprise Collaboration Solution .......................................................................................................................................68 Enterprise Identity Management Solution ........................................................................................................................68 Enterprise Dashboard Solution ...........................................................................................................................................68 Open Government Solutions ................................................................................................................................................68 Knowledge Management Solution .....................................................................................................................................68 Customer Service Solution (Request and Incident Reporting).....................................................................................68 Enterprise System Management Solution ........................................................................................................................68 6.3.2.3 Establish Standard Enterprise Solution Patterns.......................................................................................................68 Enterprise Web Application Solution Pattern ..................................................................................................................69 Enterprise Mobile Application Solution Pattern ..............................................................................................................69 Enterprise Data Analytics Application Solution Pattern ................................................................................................69 Enterprise Application Integration Web Service Solution Pattern..............................................................................69 Community Application Software “Stores”, Repositories, and Directories ..............................................................69 6.3.2.4 Implement Enterprise Application Integration Services ..........................................................................................70
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Support Services – Security – Identity and Access Management ..............................................................................................71 Digital Asset Services – Document/Records Management ..........................................................................................................71 Business Analytics Services – Geospatial ........................................................................................................................................71 Business Analytics Services – Dashboard Reporting ....................................................................................................................71 Back Office Services – ERP ..................................................................................................................................................................71 Process Automation Services – Workflow........................................................................................................................................71 Process Automation Services – Case Management ......................................................................................................................71 Customer Services – Event/ Incident/Request Reporting ..............................................................................................................71 7.0 ENTERPRISE TECHNOLOGY ARCHITECTURE (ETA) ........................................................................................................................73 7.1 ETA Current State ..............................................................................................................................................................................73 7.2 ETA Future State ................................................................................................................................................................................76 7.2.1 Elements of the ETA Future State Vision .........................................................................................................................77 7.2.1.1 Infrastructure: Hawai`i Cloud Computing Centers (HC3)...................................................................................77 7.2.1.2 One Network for Hawai`i (OneNet) ........................................................................................................................78 7.2.1.3 Adaptive Computing Environment (ACE)...............................................................................................................78 7.2.1.4 Information Assurance and Privacy ......................................................................................................................78 7.2.1.5 Enterprise Operations ...............................................................................................................................................78 7.2.1.6 Collaboration and Messaging .................................................................................................................................78 7.2.1.7 IT Services Management (ITSM) Framework .....................................................................................................79 Current State SWOT for ITSM .......................................................................................................................................79 Future State Vision for ITSM ..........................................................................................................................................79 Service Management ......................................................................................................................................................79 ITSM ....................................................................................................................................................................................80 ITSM Best Practices ........................................................................................................................................................81 ETA Transition and Sequencing Planning Summary for ITSM .....................................................................................82 7.2.3 Technology Domain Architecture.....................................................................................................................................87 7.2.3.1 Infrastructure Domain ......................................................................................................................................................................89 Current State SWOT for the Infrastructure Domain .................................................................................................89 Future State Vision for the Infrastructure Domain....................................................................................................89 Hosting, Cloud, Data Center Sub-Domain...................................................................................................................91 Hawai`i Cloud Computing Centers (HC3).................................................................................................................92 Disaster Recovery Sub-Domain....................................................................................................................................97 Backup - Restore ..........................................................................................................................................................97 Backup – Restore System Behavior ........................................................................................................................97 Servers and Storage Sub-Domain................................................................................................................................98 Directory Services Sub-Domain ...................................................................................................................................99 Enterprise Systems Management Sub-Domain ..................................................................................................... 100 ETA Transition and Sequencing Planning Summary for Infrastructure Domain ..............................................101 Develop and Construct or Build Out a Primary and Backup Data Center Environment ....................................................... 101 Define Primary Data Center and DR Strategy Based on Three Alternatives ........................................... 102 Consolidate Data Centers .....................................................................................................................................102
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Develop Secondary Data Center (State Owned Facility)............................................................................................................. 106 Create Three Island Data Centers (State Owned Facilities) ............................................................................ 109 Migrate Applications from the Current Data Centers to the Primary Data Center ..................................... 111 Develop a State-Wide Active Directory Services Environment ............................................................................... 112 7.2.3.2 Network Domain ............................................................................................................................................................ 113 Current State SWOT for the Network Domain........................................................................................................ 113 Future State Vision for the Network Domain .......................................................................................................... 113 Wired Sub-Domain .................................................................................................................................................. 116 Wireless Sub-Domain ............................................................................................................................................. 117 Radio Sub-Domain ................................................................................................................................................... 117 ETA Transition and Sequencing Planning Summary for the Network Domain............................................................. 118 Design and Implement OneNet .................................................................................................................................. 118 Provide Video Support ................................................................................................................................................. 119 Create IP Addressing – Removal of Network Address Translation from Departments ................................ 119 Create IP Addressing – Transition from IPv4 to IPv6 Initiative............................................................................ 119 Define and Implement Comprehensive Network Security .................................................................................. 120 Staffing Network Security Organization .................................................................................................................. 120 Implement Network Life Cycle Methodology ......................................................................................................... 121 7.2.3.3 End User Computing Domain....................................................................................................................................... 122 Current State SWOT for the End User Computing Domain ........................................................................................ 122 Future State Vision for the End User Computing Domain ........................................................................................... 122 Desktop, Laptop, and Mobile Sub-Domain .............................................................................................................. 124 User Productivity Software Sub-Domain................................................................................................................. 124 User Presentation Sub-Domain ................................................................................................................................. 125 Peripherals Sub-Domain ............................................................................................................................................. 126 ETA Transition and Sequencing Plan Summary for the End User Computing Domain ........................................ 126 Create Virtual Desktop Infrastructure ...................................................................................................................... 126 Conduct a Pilot Test of VDI .......................................................................................................................................... 127 Define and Implement Next Steps VDI Implementation....................................................................................... 127 7.2.3.4 Unified Communications Domain ............................................................................................................................... 128 Current State SWOT for the Unified Communications Domain..................................................................................129 Future State Vision for the Unified Communications Domain........................................................................................................... 132 Email and Collaboration Sub-Domain ....................................................................................................................... 133 Voice Sub-Domain ........................................................................................................................................................ 133 Video Sub-Domain ........................................................................................................................................................ 133 Broadcast Messaging Sub-Domain.......................................................................................................................... 133 Messaging and Social Media Sub-Domain ............................................................................................................ 134 Citizen Communication and Engagement ................................................................................................................ 134

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ETA Transition and Sequencing Planning Summary for the Unified Communication Domain............................................ 135 Evaluate Leading Technology Platforms ............................................................................................................................... 135 Pilot VoIP ...................................................................................................................................................................................... 135 Implement VoIP State-wide ..................................................................................................................................................... 135 7.2.3.5 Information Management Domain ....................................................................................................................................... 137 Current State SWOT for the Information Management Domain ..................................................................................... 137 Future State Vision for the Information Management Domain ........................................................................................ 137 Digital Content Management Sub-Domain .................................................................................................................... 138 Document Management Sub-Domain ............................................................................................................................ 139 Data Management Sub-Domain .......................................................................................................................................139 Analytics Sub-Domain ............................................................................................................................................................................... 140 Geographic Information System (GIS) Sub-Domain .....................................................................................................140 ETA Transition and Sequencing Planning Summary for the Information Management Domain....................... 140 7.2.3.6 Application Environment Domain ......................................................................................................................................... 141 Current State SWOT for the Application Environment Domain ....................................................................................... 141 Future State Vision for the Application Environment Domain .......................................................................................... 141 Application Development and Integration Sub-Domain ............................................................................................. 145 Client Server Applications Sub-Domain ......................................................................................................................... 145 Web Applications Sub-Domain ........................................................................................................................................ 146 Mobile Applications Sub-Domain .................................................................................................................................... 146 Embedded Systems Sub-Domain..................................................................................................................................... 146 ETA Transition and Sequencing Planning Summary for the Application Environment Domain ............................... 147 Software Engineering Improvement ............................................................................................................................... 147 Formalize an Enterprise SDLC Methodology........................................................................................................... 147 Adopt Enterprise SDLC Methodology ....................................................................................................................... 147 Implement Software Engineering Project Management Improvement............................................................ 147 Implement Software Engineering Continuous Improvement Program ............................................................. 147 Implement Software Engineering Mentoring and Consulting Program............................................................ 147 Develop Solution Patterns........................................................................................................................................... 148 Implement Software Engineering Continuous Improvement Program Operations........................................ 148 Enterprise Data and Services Standardization and Sharing ..................................................................................... 148 Implement Software Development Community Ecosystem....................................................................................... 148 Implement EA Common Information and Solutions Architecture / Framework Administration ........................ 148 Create a Common Portal Implementation ...................................................................................................................... 149 Implement Enterprise Services ........................................................................................................................................ 149 Migrate Legacy Systems ................................................................................................................................................... 150 Create Project Registry and Reporting ........................................................................................................................... 150 7.2.3.7 Information Assurance and Privacy Domain ..................................................................................................................... 151 Current State SWOT for the Information Assurance and Privacy Domain ................................................................... 151 Future State Vision for the Information Assurance and Privacy Domain ...................................................................... 152
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Security Devices Sub-Domain.......................................................................................................................................... 159 Privacy Sub-Domain ........................................................................................................................................................... 160 ETA Transition and Sequencing Planning Summary for the Information Assurance and Privacy (IA&P) Domain............................................................................................. 160 Implement Network Data Loss Prevention (NDLP)...................................................................................................... 161 Create and Implement IT Security Policy....................................................................................................................... 161 Implement Data at Rest (DAR) Encryption ..................................................................................................................... 161 Initiate Server Configuration Stability Monitoring........................................................................................................ 161 Initiate Automated Security Configuration Compliance Monitoring and Reporting............................................. 161 Implement Privacy Program Staffing and Sensitive Information Protection Improvements ............................. 161 Implement Enterprise Security Operations Center(s) ................................................................................................. 161 Implement Computer Incident Response Centers (CIRCs) ........................................................................................ 162 Implement Enterprise Penetration Testing Capability ................................................................................................. 162 Common Standards for Protecting Privacy and Other Sensitive Data .................................................................... 162 Implement a Secure Applications Testing Program .................................................................................................... 162 Implement an Enterprise Identity Management Solution........................................................................................... 162 Implement Network-Based Network Access Control (NAC) .................................................................................... 162 Implement a Secure Wireless Access Solution ........................................................................................................... 162 Implement Network End-to-End Encryption Solution.................................................................................................. 163 8.0 ENTERPRISE LEVEL TRANSITION AND SEQUENCING PLAN ................................................................................................... 166 8.1 Approach Transition and Sequencing Planning...................................................................................................................... 166 8.2 Enterprise Level Transition and Sequencing Analysis ........................................................................................................... 166 8.2.1 Strategic Portfolio Views................................................................................................................................................. 167 8.2.1.1 Investment Status by LOB ............................................................................................................................... 167 8.2.1.2 Enterprise Support Systems and Enterprise Services.............................................................................. 167 8.2.1.3 ESA and ETA Investments ............................................................................................................................... 167 8.2.1.4 EA Compliance .................................................................................................................................................. 167 8.2.1.5 Strategic Value .................................................................................................................................................. 167 8.3 Specific Projects and Activities .................................................................................................................................................. 167 9.0 CONCLUSION ........................................................................................................................................................................................ 169

LIST OF FIGURES
Figure 1: Priority Transition and Sequencing Activities.........................................................................................................................15 Figure 2: Evolution of the EA for the State ................................................................................................................................................18 Figure 3: Business and IT/IRM Transformatin Vision for the State of Hawai`i .................................................................................20 Figure 4: Business and IT/IRM Transformation Strategy for the State of Hawai`i ..........................................................................21 Figure 5: State of Hawai`i EA Practice ......................................................................................................................................................21 Figure 6: EA Practice Context for the State of Hawai`i..........................................................................................................................23 Figure 7: Gartner’s Key Forces that are Shaping IT................................................................................................................................24 Figure 8: Priority Transition and Sequencing Activities.........................................................................................................................25 Figure 9: State of Hawai`i Future State Enterprise Architecture.........................................................................................................25
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Figure 10: Current State EBA .......................................................................................................................................................................28 Figure 11: BRM, SRM, and PRM Components of the EBA ....................................................................................................................28 Figure 12: Value Chain for the State of Hawai`i Featured Through the LOB .....................................................................................29 Figure 13: Detailed BRM and Business Functions within the LOBs ...................................................................................................30 Figure 14: LOB Leads, Participants, and Stakeholders..........................................................................................................................31 Figure 15: SRM Relationship to LOB Business Functions with the Added Dimensions of Enterprise Services.......................32 Figure 16: PRM Line of Sight from Input to Business Outcome ...........................................................................................................32 Figure 17: EBA Future State Vision.............................................................................................................................................................33 Figure 18: Business Transformation Strategies Required to Achieve the Future State EBA ........................................................34 Figure 19: Information Management Continuum ....................................................................................................................................37 Figure 20: Purpose and Role of the Future State EIA .............................................................................................................................38 Figure 21: The Future State Vision for Information Management and Usage in the State of Hawai`i ........................................39 Figure 22: Example Protocols for the Semantic Web from W3C .........................................................................................................40 Figure 23: Focus Areas of the Enterprise Information Architecture...................................................................................................41 Figure 24: LOBs Providing Support Externally Subject Area Diagram ...............................................................................................43 Figure 25: Representative View Support Area LOB Subject Area Diagram .....................................................................................44 Figure 26: Future State Vision for ESA.......................................................................................................................................................51 Figure 27: Current State ETA........................................................................................................................................................................73 Figure 28: ETA Future State Vision for Hawai`i ........................................................................................................................................77 Figure 29: Future State Vision for the ITSM Model ................................................................................................................................80 Figure 30: Roadmap for Achieving Future State ITSM ..........................................................................................................................87 Figure 31: Technology Architectural Domains and Sub-Domains for the State of Hawai`i ..........................................................88 Figure 32: Data Center Future State View ................................................................................................................................................90 Figure 33: Cloud Computing Paradigm ......................................................................................................................................................93 Figure 34: Proposed Cloud Computing Framework for the State of Hawai`i ....................................................................................94 Figure 35: Notional View of Cloud Computing Framework ...................................................................................................................96 Figure 36: Notional View of a Multi-Site Data Center Disaster Recovery Environment ................................................................97 Figure 37: Notional Representation of Data Center Storage (Gartner Developed) .........................................................................98 Figure 38: Roadmap to Achieve the Future State for the Infrastructure Domain ......................................................................... 112 Figure 39: Conceptual Model of the Network Domain Infrastructure............................................................................................. 114 Figure 40: OneNet Future State Vision ................................................................................................................................................... 114 Figure 41: Shared Service Center Vision for the ETA .......................................................................................................................... 115 Figure 42: Roadmap for Achieving the Future State Network Domain ........................................................................................... 121 Figure 43: Virtual Desktop Migration ...................................................................................................................................................... 122 Figure 44: Secure Managed Services with Virtual Desktop ............................................................................................................. 123 Figure 45: Roadmap for Achieving the Future State of the End User Computing ......................................................................... 128 Figure 46: Notional View of the Future State of Communications ................................................................................................... 130 Figure 47: Collaboration-as-a-Service – An Essential Future State Element of ETA ................................................................... 131 Figure 48: Roadmap to Future State for the End User Domain ......................................................................................................... 137 Figure 49: Elements of Future State Software Development Environment .................................................................................... 141 Figure 50: Transition & Sequencing Plan to achieve Future State Software Development Environment .............................. 150 Figure 51: Future State Notional View of the Hybrid Cloud Security Architecture ...................................................................... 152
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Figure 52: Roadmap for Achieving Future State Vision for the Information Assurance and Privacy Domain (1 of 2).......... 163 Figure 53: Roadmap for Achieving Future State Vision for the Information Assurance and Privacy Domain (2 of 3).......... 164 Figure 54: T&S Process ............................................................................................................................................................................. 166 Figure 55: Investment Components......................................................................................................................................................... 167

LIST OF TABLES
Table 1: Current and Future State Summaries by Architectural Layer ..............................................................................................14 Table 2: Current State Information Sharing Assessment Results From Two Information Sharing Perspectives.....................37 Table 3: Solution or Applications Assessment Results .........................................................................................................................49 Table 4: Common Set of Specification Areas for Each Solution Pattern ...........................................................................................54 Table 5: Customer Management Services Domain Description .........................................................................................................55 Table 6: Business Management Services Domain Description ..........................................................................................................56 Table 7: Knowledge Management Services Domain Description ......................................................................................................57 Table 8: ERP Services Domain Description ..............................................................................................................................................58 Table 9: Service Management Services Domain Description .............................................................................................................60 Table 10: Data Management Services Domain Description ................................................................................................................61 Table 11: Analytical Services Domain Description.................................................................................................................................61 Table 12: Software Development and Integration Services Domain Description ...........................................................................63 Table 13: Security Management Services Domain Description..........................................................................................................63 Table 14: Collaboration Services Domain Description ..........................................................................................................................64 Table 15: Communication Services Domain Description ......................................................................................................................65 Table 16: Search Services Domain Description ......................................................................................................................................65 Table 17: Systems Management Services Domain Description .........................................................................................................66 Table 18: Opportunities for Flagship Projects to Lay Enterprise Foundations ..................................................................................67 Table 19: Solution Pattern Operating Levels Indicating Evolution of Adoption within the Enterprise.........................................69 Table 20: Services-Oriented Operating Levels indicating Evolution of Adoption within the Enterprise .....................................70 Table 21: Technical Architecture Domain/Sub-Domain and Current State of Technology Details .............................................74 Table 22: Future State ITSM Best Practices ............................................................................................................................................81 Table 23: ITSM Implementation Actions ...................................................................................................................................................82 Table 24: Key Criteria and Requirements for the State of Hawai’i Data Center ...............................................................................91 Table 25: Future State Characteristics for the Hosting, Cloud, and Data Centers ...........................................................................92 Table 26: Hosting, Cloud, and Data Center Sub-Domain Description.................................................................................................96 Table 27: Disaster Recovery Sub-Domain Description..........................................................................................................................98 Table 28: Servers and Storage Sub-Domain Description .....................................................................................................................99 Table 29: Directory Services Sub-Domain Description .........................................................................................................................99 Table 30: Enterprise Systems Management Sub-Domain Description........................................................................................... 100 Table 31: Server Closets, Server Rooms, and Data Centers by Department ................................................................................. 102 Table 32: Estimated Costs to Complete a Data Center Consolidation ............................................................................................. 103 Table 33: Projects and Initiatives Associated with Data Center Consolidation ............................................................................ 103 Table 34: Estimated Costs to Develop Secondary Data Center ........................................................................................................ 106 Table 35: Projects and Initiatives Associated with Secondary Data Center ................................................................................. 107 Table 36: Estimated Costs for Development of the Third Data Center ............................................................................................ 109
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Table 37: Projects and Initiatives Associated with Development of the Third Data Center....................................................... 109 Table 38: Estimated Costs to Perform Application Migration............................................................................................................ 111 Table 39: Projects and Initiatives Associated with Application Migration .................................................................................... 111 Table 40: Wired Sub-Domain Description ............................................................................................................................................. 116 Table 41: Wireless Sub-Domain Description ........................................................................................................................................ 117 Table 42: Radio Sub-Domain Description .............................................................................................................................................. 118 Table 43: Desktop, Laptop, and Mobile Sub-Domain Description.................................................................................................... 124 Table 44: User Productivity Software Sub-Domain Description....................................................................................................... 124 Table 45: User Presentation Sub-Domain Description ....................................................................................................................... 125 Table 46: Peripherals Sub-Domain Description ................................................................................................................................... 126 Table 47: Email and Collaboration Sub-Domain Description ............................................................................................................. 132 Table 48: Voice Sub-Domain Description .............................................................................................................................................. 132 Table 49: Video Sub-Domain Description .............................................................................................................................................. 133 Table 50: Broadcast Messaging Sub-Domain Description ............................................................................................................... 133 Table 51: Messaging and Social Media Sub-Domain Description .................................................................................................. 134 Table 52: Citizen Communication and Engagement Sub-Domain Description .............................................................................. 134 Table 53: Typical LAN Upgrade Costs..................................................................................................................................................... 135 Table 54: Digital Content Management Sub-Domain Description ................................................................................................... 138 Table 55: Document Management Sub-Domain Description ........................................................................................................... 139 Table 56: Data Management Sub-Domain Description ...................................................................................................................... 139 Table 57: Analytics Sub-Domain Description ....................................................................................................................................... 140 Table 58: GIS Sub-Domain Description .................................................................................................................................................. 140 Table 59: Application Development and Integration Sub-Domain Description ............................................................................ 145 Table 60: Client Server Applications Sub-Domain Description ........................................................................................................ 145 Table 61: Web Applications Sub-Domain Description........................................................................................................................ 146 Table 62: Mobile Applications Sub-Domain Description.................................................................................................................... 146 Table 63: SWOT for Information Assurance and Privacy Domain ................................................................................................... 151 Table 64: Security Principles for the Future State ............................................................................................................................... 154 Table 65: Security Devices Sub-Domain Description ......................................................................................................................... 159 Table 66: Privacy Sub-Domain Description ........................................................................................................................................... 160

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EXECUTIVE SUMMARY
12 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

EXECUTIVE SUMMARY
This State of Hawai`i’s Enterprise Architecture (EA) document is an appendix to the Business Transformation and Information Technology (IT)/Information Resource Management (IRM) Strategic Plan. The purpose of the EA is to describe the To Be or future state EA that will guide information technology (IT) architectural directions and decisions within the State from this point forward. The EA defines the current state but focuses on the future state vision for each EA element or layer (business architecture, information architecture, solutions architecture, and technology architecture). In addition, the EA includes a strategic roadmap (Transition and Sequencing [T&S] Plan) of projects and initiatives that will close the gaps between the current state and future state vision. The T&S plan elements are described for each layer of the EA and for the State’s lines of business (LOB) and provides details relative to the: governments, other offices and entities, business partners, and the Federal government). This description includes the goals for the enterprise, business processes, roles, organizational elements or business alignment, business information, solutions or software applications and computer systems, and the IT infrastructure that supports the environment. Each of the EA layers is defined by taxonomies, diagrams, documents, and models to describe the components and their logical organization of business functions, business capabilities, business processes, people organization, information resources, business systems, software applications, computing capabilities, and the information exchange and communications infrastructure within the enterprise. These are presented in an ever increasing level of detail in an effort to improve the effectiveness and efficiency of the State through:
• •

an improved organizational structure for service delivery, the integration/centralization or distribution of business processes, quality, availability, and timeliness of business information, that IT investments are aligned and justified.

• the

1. ongoing and planned investments and projects that will address the transition between the As Is and To Be states; and, 2. strategic order or sequence of the defined investments or projects to achieve or move the State of Hawai`i closer to the future state vision over the next ten years. The EA for the State of Hawai`i is a comprehensive description of the enterprise or all IT components of the State (each Department or more specifically each LOB) and the relationships of these components with one another (e.g., services delivered internally and services delivered to residents) as well as the relationships with external entities (e.g., the city and county

• ensuring

The EA is a living document and will be reviewed at least annually and updated in order to incorporate new technology advancements, as appropriate, and account for the changing needs of the State and especially the changing needs of the LOBs. The population of an EA tool, while underway, will require significant attention to ensure all information associated with the current environment is captured. The T&S Plan in particular will require continual update to account for new initiatives and projects.

Line of Business (LOB) is an approach for defining the activities performed and services provided within the enterprise. The LOBs are subdivided into Enterprise Mission Support Services that are citizen-facing services and Enterprise Common Support Service Areas that are provided internally to support the mission service delivery areas. The LOB is a critical entity for organizing business operations of the State from a functional perspective independent of the Departments, attached agencies, or programs that perform them in order to promote collaboration across the Departments to bring cross-cutting transformation. The LOBs are used in organizing all stewardship/leadership responsibilities for business service/process performance, information quality and availability, and information system functionality, usability, and integration.
1

State of Hawaii Business and IT/IRM Transformation Plan

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The foundation for EA is the State’s strategy for business transformation. This transformation is defined as part of the New Day Plan and identifies three key elements:
•

immediate job growth as Hawai’i’s economy is shifted to a sustainable foundation,

businesses, cities, counties, State employees, State government, business partners) in a manner they want/need; and operating in an aligned, streamlined, and integrated manner so that stakeholders’ service expectations and information needs are met in terms of quality, timeliness, reliability, and transparency. The current state environment for the State of Hawai`i was characterized in the Final Report published in 2011 and the key elements are identified by architectural layer in Table 1. In the future, each of the items identified for the current state architectural layers must undergo a transformation in order for the State of Hawai`i to more effectively and efficiently deliver services to people of Hawai`i, the citizens, and other stakeholders. The transformation will occur by addressing every action and activity (e.g., business processes, IT investment decisions, information use and utility, taking advantage of new less expensive hardware, software, and data management solutions) from an enterprise perspective. A summary of the future state vision by architectural layer is also summarized in Table 1.

invest in the education, skills, and well-being of Hawai’i’s people, and
• •

transform State government into an efficient and effective enterprise. Stated another way the strategy for transformation includes ensuring that State government is cost-effectively and efficiently managing all resources (e.g., investments, revenues, employees, IT) and delivering services and programs to all stakeholders (e.g., people of Hawai`i, citizens, residents,

Table 1: Current and Future State Summaries by Architectural Layer

Current State by Architectural Layer
•

Future State by Architectural Layer
•

Enterprise Business Architecture (EBA) - organized in a siloed, bottom-up approach with only pockets of Departments actually having or practicing EBA and primarily evolved due to the manner in which funding is provided at the program level and by default for IT.

Enterprise Business Architecture (EBA) - composed of a series of integrated value streams across the State’s Departments that can be further developed by LOB and by reference models. By using LOB and reference models to define the enterprise moves or transitions the State away from the siloed approach of functional processes and disconnected IT projects to an integrated environment Enterprise Information Architecture (EIA) – characterized by information and data that are recognized/acknowledged by everyone as a statewide asset and are managed and shared effectively among all State organizations Enterprise Solution Architecture (ESA) – features a dynamic mobile integration architecture that responds rapidly to change and delivers quality information from trusted sources to all stakeholders.

•

Enterprise Information Architecture (EIA) – characterized by a general lack of information sharing across Departments and organizations within the State even though some exceptions exist.

•

•

Enterprise Solution Architecture (ESA) - characterized by: few, true statewide solutions; large numbers of Department-specific applications have proliferated within the State; and, need to “right-size” the State’s applications portfolio.

•

Enterprise Technology Architecture (ETA) - decentralized because the technical infrastructure supports a very fragmented ESA and EIA.
•

•

Enterprise Technology Architecture (ETA) – enables rapid deployment of new services to LOBs, employees, and residents and fully supports the EBA, EIA, and ESA.

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Enterprise Architecture

As the current state was analyzed and the future state was defined, a number of high priority transition projects or initiatives were identified across the four architectural layers. Figure 1 identifies each of the priority items and its associated architecture layer(s). The business services provided within each LOB scope are also defined within the EA in terms of the future state vision for a comprehensive IT solutions architecture to deliver all required business services and functions and the investment initiatives required to achieve the targeted future state for each of the LOB segments is also included provided.
Figure 1: Priority Transition and Sequencing Activities

Of particular note, this version of the EA for the State of Hawai`i has addressed business analysis and planning at two levels: 1) the state-wide enterprise which established the LOBs, and 2) the individual LOB business segment architectures and two priority segments Health IT and the ERP. The primary accomplishment of this planning function and all associated meetings with LOB leads has been the building of cultural momentum for enterprise solutions and consolidated investment planning. Additional opportunities will exist in the years ahead for specific LOB Business Segments to be analyzed in more detail to expand and provide additional architectural detail to other priority areas. The LOBs, Health IT, and the ERP business segments are included in Appendix A – Line of Business Segment Architecture Transformation. The projects and initiatives required

to move the State from the current to the future state environment for each EA layer and by LOB are described at a high level as part of the T&S planning summaries by architectural layer and in Appendix A. Each project and initiative is then further described as a business case and with budgetary detail (i.e., description of specific activities and tasks associated with the initiative or activity; hours to perform the task by fiscal year; labor costs; equipment and hardware costs; estimated lease costs, and any other associated costs) as part of an Appendix B – Project Charters. This document is intended for IT practitioners to use when planning technology directions (i.e., development, modernization, enhancement (D/M/E); operations and maintenance (O&M) of existing technology/steady state (SS); or retirement) within the LOB

and Departments. The document also supports the evaluation of technology reviews/requests/approvals by the Chief Information Officer (CIO), Office of Information Management and Technology (OIMT), Department leadership and IT management, Executive Leadership Council (ELC), and CIO Council (CIOC) and IT Steering Committee.

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1.0

INTRODUCTION
Enterprise Architecture

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1.0 INTRODUCTION
1.1 PURPOSE 1.3 DOCUMENT OVERVIEW
The purpose of the State of Hawai`i’s Enterprise Architecture (EA) document is to describe the To Be or future state EA that will be guide information technology (IT) architectural decisions within the State from this point, and provide a strategic roadmap (Transition and Sequencing [T&S] Plan) to close the gaps between the As Is or current state and the To Be vision. This document is an appendix to the Business Transformation and Information Technology (IT)/Information Resource Management (IRM) Strategic Plan. The EA for the State of Hawai`i is a comprehensive description of the enterprise or all IT components of the State (each Department or more specifically each LOB) and the relationships of these components with one another (e.g., services delivered internally and services delivered to residents) as well as the relationships with external entities (e.g., the city and county governments, other offices and entities, business partners, and the Federal government). This description includes the goals for the enterprise, business processes, roles, organizational elements or business alignment, business information, solutions or software applications and computer systems, and the IT infrastructure that supports the environment. Each of these components is defined in terms of the As Is and To Be state. Taxonomies, diagrams, documents, and models are included to describe the components and their logical organization of business functions, business capabilities, business processes, people organization, information resources, business systems, software applications, computing capabilities, and the information exchange and communications infrastructure within the enterprise. These are presented in an ever increasing level of detail in an effort to improve the effectiveness and efficiency of the State through:
• •

1.2

SCOPE

The EA for the State of Hawai`i includes a description of the current or As Is state as well as the future or To Be state for each EA element or layer (business architecture, information architecture, solutions architecture, and technology architecture). In addition, a transition and sequencing (T&S) plan has been developed and is included for each layer of the EA and the State’s lines of business (LOB). The T&S Plan provides details relative to the: 1. ongoing and planned investments and projects that will address the transition between the As Is and To Be states; and, 2. strategic order or sequence of the defined investments or projects to achieve or move the State of Hawai`i closer to the future state vision over the next ten years.

an improved organizational structure for service delivery, the integration/centralization or distribution of business processes, the quality, availability, and timeliness of business information, and ensuring that IT investments are aligned and justified.

•

•

This document also describes the gap closure activities or transition projects, through a T&S Plan, that are required to move the current or As Is state of the EA (and its four layers) to the To Be or future state EA. Further, these gap closure activities are sequenced in terms of timing and dependencies. The creation of the EA has been facilitated by engaging stakeholders (i.e., Departmental CIOs, IT managers, business entities within Hawai`i, citizens, residents, business partners, other governmental entities) in the development and review of each component. This engagement has validated the As Is state and ensured the To Be vision is aligned with and responsive to the needs of the enterprise or State going forward.

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The EA is a living document that will be maintained and updated at least annually and more frequently (depicted in Figure 2), as required. The intended audience for this document is any individual involved in decision making about IT within the State including the Chief Information Officer (CIO), Office of Information Management and Technology (OIMT), Department leadership and IT management, Executive Leadership Council (ELC), and CIO Council (CIOC) and IT Steering Committee. This document along with the EA Methodology is appendices to the Business Transformation and Information Technology (IT) Information Resource Management (IRM) Strategic Plan.
2

Figure 2: Evolution of the EA for the State

Line of Business (LOB) is an approach for defining the activities performed and services provided within the enterprise. The LOBs are subdivided into Enterprise Mission Support Services that are citizen-facing services and Enterprise Common Support Service Areas that are provided internally to support the mission service delivery areas. The LOB is a critical entity for organizing business operations of the State from a functional perspective independent of the Departments, attached agencies, or programs that perform them in order to promote collaboration across the Departments to bring cross-cutting transformation. The LOBs are used in organizing all stewardship/leadership responsibilities for business service/process performance, information quality and availability, and information system functionality, usability, and integration.

1.4

ASSOCIATED DOCUMENTS
• Federal Segment Architecture Methodology (FSAM) • Federal Enterprise Architecture (FEA), Business Reference

The associated documents listed below are those documents referenced by or related to this document. This includes guidance from State entities as well as reference documents from the Federal and other State governments.
• State of Hawai`i, Business Transformation Strategy and IT/

Model (BRM)
• State of Hawai`i, Business Process Reengineering (BPR)

IRM Strategic Plan, 2012 (referred to hereafter as the “Strategic Plan”)
• State of Hawai`i, Governance Methodology and Organizational

Methodology, 2012
• OIMT, Project Management Methodology, 2012 • State of Hawai`i , Administrative Directive Number 11-02, 2011 • DOH Business Services and Data Systems Service Oriented

Charters, 2012
• State of Hawai`i, Portfolio Management (PfM) Methodology, 2012 • State of Hawai`i, Enterprise Architecture (EA) Methodology, 2012 • OIMT, Project Management Methodology, 2012 • Baseline of Information Management and Technology and

Architecture (SOA) Diagrams and the Public Health Domain Matrix for IT Systems and Initiatives
• World Wide Web Consortium, http://www.w3.org/2001/sw/

Comprehensive View of State Services (known hereafter as the “Final Report”) prepared by SAIC

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2.0 BUSINESS AND IT/IRM GOALS AND STRATEGIES AND THE ROLE OF EA
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2.0 BUSINESS AND IT/IRM GOALS AND STRATEGIES AND THE ROLE OF EA
In Fiscal Year (FY) 2012, the State of Hawai’i embarked on a significant journey to bring about dramatic business and IT transformation to improve efficiency, streamline government processes, and enhance service delivery to constituents. Key initial actions were the hiring of a CIO, the appointment of a Business Transformation Executive, and the establishment of OIMT. These executives and this organization were given the mandate to lead the overall transformation. In addition, the CIO was tasked by the Legislature to create the State’s Strategic Plan. To support the implementation of the Strategic Plan, the need for an EA and its implementation as a practice was identified in order to give structure and direction to the IT transformation efforts.

2.1 GOALS OF ENTERPRISE TRANSFORMATION
The foundation for EA is the State’s strategy for business transformation. This transformation is defined as part of the New Day Plan and identifies three key elements:
• immediate job growth as Hawai’i’s

To achieve business transformation a set of goals or business outcomes have been defined along with supporting information resource management (IRM) and IT goals. Each of these is discussed in detail in the Strategic Plan and is summarized in Figure 3.

economy is shifted to a sustainable foundation,
• invest in the education, skills, and

wellbeing of Hawai’i’s people, and
• transform State government into an

efficient and effective enterprise Stated another way the strategy for transformation includes:
• ensuring that State government is cost

effectively and efficiently managing all resources (e.g., investments, revenues, employees, IT) and delivering services and programs to all stakeholders (e.g., people of Hawai`i , citizens, residents, businesses, cities, counties, State employees, State government, business partners) in a manner they want/need; and
• operating in an aligned, streamlined,

Figure 3: Business and IT/IRM Transformatin Vision for the State of Hawai`i

and integrated manner so that stakeholders’ service expectations and information needs are met in terms of quality, timeliness, reliability, and transparency.

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2.2

STRATEGIES FOR ENTERPRISE TRANSFORMATION

ITo achieve the enterprise transformation goals, a number of strategies have been defined as part of the Strategic Plan. These strategies are aligned to each business transformation and IRM/IT goal. Figure 4 highlights these strategies for achieving the defined transformation goals.

Figure 4: Business and IT/IRM Transformation Strategy for the State of Hawai`i

2.3 THE ROLE OF ENTERPRISE ARCHITECTURE
With the foundation of EA established by the business transformation and IRM/IT goals and strategies, the role of EA is to describe the As Is and to define the To Be architecture for the enterprise from

four perspectives or architectural layers: business, information, solution, and technical. Figure 5 illustrates the elements of the EA practice. The EA also serves as the recipe for aligning resources to improve business performance and helps the State and each Department better execute their

core missions. In addition the EA defines a plan for transitioning from the current state to the desired future state. The State of Hawai`i, Enterprise Architecture Methodology describes the role and elements of EA in greater detail. To summarize, Figure 5 illustrates the EA practice as it is defined for the State of Hawai`i.

Figure 5: State of Hawai`i EA Practice

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3.0 STATE OF HAWAI`I EA

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3.0 STATE OF HAWAI`I EA
3.1 CONTEXT FOR THE EA WITHIN THE STATE OF HAWAI`I’S GOVERNMENT TRANSFORMATION
The EA helps organize, prioritize, achieve the future state for the IT environment, and then supports the management of the IT environment going forward. For the enterprise to achieve desired transformation or operational improvements, the EA must be fully integrated with the other elements, functions, activities, or practice areas. These related elements (annotated by number in Figure 6) include: 1. The management and oversight function that provides a governance structure/process that oversees all related business transformation activities, IT investments, and projects to ensure they achieve desired results. 2. The Strategic Plan that establishes the overarching goals, strategies, objectives, and performance measures for the transformation and drives the requirements for the EA. 3. The EA and projects, defined within the T&S Plan that are approved, funded, and initiated within the proposed sequence and timeframes. These include Business Process Reengineering (BPR) projects identified to streamline current business processes, and system and technology development implementation projects – categorized as Triage projects to address immediate needs; Pilot projects to pilot new enterprise capabilities; or Major Initiative Support projects to establish enterprise systems or technologies. 4. Portfolio Management (PfM) practice as the comprehensive inventory of all IT investments. Figure 6 provides an overview of this integration and other functions, practice, or program areas.

Figure 6: EA Practice Context for the State of Hawai`i

Finally, once specific projects are initiated, the EA future state guidance in the information, solutions, and technical architecture layers is used as a crosswalk to the Systems Development Life Cycle (SDLC) within the context of an EA governance and change management process.

3.2

CURRENT STATE EA SUMMARY

The current state or As Is environment for the State of Hawai`i is characterized in the Final Report published in 2011 and is further described in the remainder this document. As a summary of the current state, the following provides a high-level summary of the As Is for each architectural layer:
• Enterprise Business Architecture (EBA) - organized in a siloed, bottom-up approach

with only pockets of Departments actually having or practicing EBA and primarily evolved due to the manner in which funding is provided at the program level and by default for IT.
• Enterprise Information Architecture (EIA) – characterized by a general lack of

information sharing across Departments and organizations within the State even though some exceptions exist.
• Enterprise Solution Architecture (ESA) - characterized by: few, true statewide

solutions; large numbers of Department-specific applications have proliferated within the State; and, need to “right-size” the State’s applications portfolio.
• Enterprise Technology Architecture (ETA) - decentralized because the technical

infrastructure supports a very fragmented ESA and EIA.

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A cornerstone of any EA program is an EA and Portfolio Management (PfM) integrated tool suite and an EA Repository. These tools will contain details regarding each of the current application software solutions and planned investments. The EA Repository will be the common information store for all digital data and content behind the EA program. The baseline of the “As Is” or current state was initially populated in an Enterprise Alignment Database (EAD). The EAD currently contains detailed information regarding the State’s over 200 business services, over 700 application software systems, server inventory of the three data centers and over 20 server rooms, and approximately 6400 different technology product types used within the State. Currently, a new EA and PfM tool suite is being acquired and implemented for the State, and all baseline data will be moved into a new EA repository database. This tool suite and integrated repository will provide a foundation for all future planning and system and technology investment decisions. The information made available via the tool suite will support making informed decisions regarding how to manage and move IT forward in the State through the:
• analysis of options relative to IT transformation activities; • development of the strategic plan;

• definition of a governance approach; • creation of training plans for staff; • resourcing of projects; and, • identifying and prioritizing IT investments.

3.4

FUTURE STATE EA SUMMARY

• Enterprise Information Architecture

• By 2015, 35% of enterprise IT expenditures

In the future, each of the items identified for the current state must undergo a transformation in order for the State of Hawai`i to more effectively and efficiently deliver services to its constituents. The transformation will be carried out by addressing every action and activity (e.g., business processes, IT investment decisions, information use and utility, taking advantage of new less expensive hardware, software, and data management solutions) from an enterprise perspective. As a summary of the future state, the following provides insight into the To Be vision for each architectural layer:
• Enterprise Business Architecture (EBA)

(EIA) – characterized by information and data that are recognized acknowledged by everyone as a statewide asset and are managed and shared effectively among all State organizations.
• Enterprise Solution Architecture (ESA)

for most organizations will be managed outside the IT department’s budget.
• Through 2015, more than 85% of

Fortune 500 organizations will fail to effectively exploit big data for competitive advantage.

– features a dynamic mobile integration architecture that responds rapidly to change and delivers quality information from trusted sources to all stakeholders.
• Enterprise Technology Architecture

(ETA) – enables rapid deployment of new services to LOBs, employees, and residents and fully supports the EBA, EIA, and ESA. The future state vision described by the previous list is supported by Gartner’s most recent list of the four forces that are shaping the future of IT (Figure 7) and within their four top predictions:
• By 2015, mobile application

- composed of a series of integrated value streams across the State’s Departments that can be further developed by LOB and by reference models. By using LOB and reference models to define the enterprise moves or transitions the State away from the siloed approach of functional processes and disconnected IT projects to an integrated environment.

Figure 7: Gartner’s Key Forces that IT are Shaping IT

Figure 1: Gartner’s Key Forces that are Shaping

development (AD) projects targeting smartphones and tablets will outnumber native PC projects by a ratio of 4-to-1.

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3.5 TRANSITION AND SEQUENCING PLAN SUMMARY
As the current state was analyzed and the future state was defined, a number of high priority transition projects or initiatives were identified across the four architectural layers. Figure 8 identifies each of the priority items and its associated architecture layer (s).

Figure 8: Priority Transition and Sequencing Activities

Figure 9 illustrates the future state EA and the priority items associated with each EA layer.

Figure 9: State of Hawai`i Future State Enterprise Architecture.

The following sections describe the EA for the State of Hawai`i within the four architectural layers. For each layer the current state is described and the target future state is defined. Additional supporting detail regarding the architectures is maintained in the State’s EA repository. These priority items are discussed throughout the EA and are highlighted by the assigned icons identified in Figure 8.

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4.0 ENTERPRISE BUSINESS ARCHITECTURE (EBA)

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4.0 ENTERPRISE BUSINESS ARCHITECTURE (EBA)
The Enterprise Business Architecture (EBA) is essentially a model of the components within the State that enable the execution of its mission. Key concepts modeled within the EBA or the characteristics of the EBA’s structure include:
• Business processes (i.e., value streams or value chains) that

create business outcomes.
• Business outcomes that are organized and managed as Lines

of Business (LOB) that involve both services to end customers (i.e. residents) and services provided internally as enabling or supporting the service delivery to residents.
• Business functions and sub-functions that further

define the LOBs.
• Organizations, governance formality, and the interaction of the

organizations responsible for executing business processes and creation of business outcomes.
• Business outcomes and value chains which are measurable

The following sections describe the As Is or current state, the To Be or future state, and the activities or projects required to close the gaps for the EBA.

through delivered value or quality or throughput.

4.1 EBA CURRENT STATE
The current state of the EBA for the State of Hawai`i is organized in a siloed, bottom-up fashion with only a few Departments actually having or practicing EBA. This current state has evolved primarily due to the manner in which funding is provided for programs. The Departments with larger overall funding also have a larger percentage of funding to dedicate to IT and IT maturity. Larger organizations, usually referred to as the “haves”, such as the Department of Education and Department of Health, are in this category. IT funding is often tied to an external program from a federal or special project, Departments with large exposure to federal funding are more likely to have some type of EBA. While the Departmental EBAs might not be considered “formal”, they do reflect many of the characteristics of a working EBA. Given the disjointed nature of federal funding to a State as well as special projects often the resulting EBA and related IT spending does not take the holistic view that a mature EBA would provide.

Another factor associated with the current state of the EBA, is the fact that the State has not (until July 2011) had a dedicated CIO or a chartered and tiered governance process. While the larger Departments such as Education and Health have a Departmental CIO and some remnants governance, the interactions and opportunities to work in a single strategic direction across the State have been limited. This lack of a State CIO and governance has led to a lack of a single vision for the State’s IT organizations to move towards. To offset the siloed and high variability in IT maturity the resulting business architecture from an organizational view has historically been managed by each Department through their Administrative Services Office (ASO). The ASOs in turn have worked to minimize or overcome the lack of an enterprise approach relative to: How business is conducted and services are delivered effectively and efficiently within the State (i.e., EBA),
• How information is required and shared

• How IT solutions and their supporting

infrastructure technology is planned, funded, created, integrated, deployed, maintained, and retired to maximize business outcomes (i.e., ESA and ETA). The lack of a statewide EBA has resulted in systems and processes that are not compatible and this often leads to manual entry, data errors, delays in service, duplicative systems and infrastructure, and aging technology that translates to escalated overall IT costs for the State. While many Departments feel they may be optimizing their IT spending it has been shown that this lack of an enterprise view provided by the EBA leads to greater overall IT spending for the State. Figure 10 illustrates the disjointed, inefficient, cost heavy, and fragmented service delivery environment across the State.

across the State (i.e., EIA), and

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Figure 10: Current State EBA

4.2 EBA FUTURE STATE
The defined future state of the EBA is composed of a series of integrated value streams across the State’s Departments that can be further developed by LOB and State of Hawai`i tailored reference models. By using LOB and tailored reference models to define the enterprise, the State will be positioned to move in an organized manner away from the siloed approach of repetitive processes, duplicated information, and nonintegrated IT solutions and infrastructure or technology. The EBA future state, depicted in Figure 11, provides a view of:
• LOBs that provide support services externally to

• quantitative indicators, defined within the Performance

Reference Model (PRM), to help determine what success means in the future state and whether the State is achieving success or not. The following sections discuss the BRM, SRM, and PRM in more detail.

residents and other stakeholders and the LOBs that provide required support to the mission delivery LOBs; defined within the Business Reference Model (BRM);
• cross-cutting or enterprise solutions that are

required for the State to more effectively provide services and conduct business defined within the Service Reference Model (SRM); and

Figure 11: BRM, SRM, and PRM Components of the EBA 28 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

4.2.1 BUSINESS REFERENCE MODEL (BRM)
The BRM is the first step in: 1. identifying the opportunities for horizontal integration of IT based on mission support to residents and common services that support mission delivery, 2. improving the management of technology investments for the entire State using an enterprise portfolio perspective for selection of IT spending, and 3. providing a critical building block in defining the complete EA. The BRM provides an organized, hierarchical construct for describing the day-to-day business of the State of Hawai`i’s Executive Branch. While many tools exist for describing organizational constructs - organization charts, location maps, etc. – the BRM represents the business or services performed by Departments from a functional perspective. The various functional perspectives are outlined as individual LOBs with further detail given as sub-functions or services of each individual LOB. The BRM represents the link between the LOB and the final recipient of the LOBs’ services. This is the beginning point for the value chain development for the State and is a representation of how the business of the State is performed functionally. Figure 13 represents a summary and detailed level a representation of the BRM and business functions within each LOB. While many of the LOBs identified in Figure 13 correlate directly to a Department within the State, the LOB is not intended to represent a single Department. In most cases, a LOB will have business functions that are shared across multiple Departments. For example, the LOB for public health includes many of the business functions provided by the Department of Health (DOH) for the State, many of these functions for public health are shared with other Departments such as the Department of Education (DOE) which is responsible for the health of students while attending school. This is an example of how a single Department within the State is identified and designated as the lead for the LOB for public health while other Departments within the State are identified as being a LOB participant while still others are designated as stakeholders in the policy and other activities the LOB provides. The public

Figure 12: Value Chain for the State of Hawai`i Featured Through the LOB

The State’s EBA and its accompanying newly defined BRM is the first layer of the State’s EA and it is where analysis starts for other layers of the EA in terms of information, service components, solutions, and technology. Figure 12 depicts the BRM from a summary perspective and defines the high level business outcomes or value chain for the State as a whole. Additional definitions and details regarding each of the functions and sub-functions and functional interfaces or dependencies within these business services will ultimately be documented in the EA repository.

health example also illustrates how the BRM’s enterprise view supports the business of government and supports the integration of IT. Without the BRM view, the value chain that delivers public health services to the residents of Hawai`i would be narrower and lose the perspective of the LOB participants and stakeholders.

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Figure 13: Detailed BRM and Business Functions within the LOBs

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Figure 14: LOB Leads, Participants, and Stakeholders

Figure 14 depicts LOB lead with an identified Department, the relationships of other Departments with the LOB, and also the stakeholders for a LOB. The boxes marked as bright green depict Department that has been designated as the LOB lead with yellow shading indicating the Department(s) interest or information needs in the LOB (LOB participant). Blue indicates stakeholders for the LOB by Department.

or cross-cutting SRM services are translated into shared or common enterprise services; following an “everything is a service” paradigm which is explained further below. The SRM is a critical piece of the State’s EA due to the common services and activities associated with the SRM. These common activities and processes are where IT for the State will focus development efforts for common information, common data, common technology, and common infrastructure. It is in the SRM that IT investment has the highest Return on Investment and provides the greatest impact to automation of State services and processes. The SRM is where investment of IT starts for the State’s CIO.

4.2.2 SERVICE REFERENCE MODEL (SRM)
The next element of the future state EBA represents the enterprise services (those required across the State) and will be a key component to any direction for and investment in IT for the State and its Departments or LOBs. Enterprise services represent a business-driven approach for classifying the required business functions that are common across multiple LOBs (e.g., those functions described in EBA current state as being performed by the ASOs in each Department). These enterprise services are described in the Service Reference Model (SRM) and represent horizontal service components that span across multiple LOBs. Figure 15 depicts how the SRM and specifically the enterprise services relate horizontally to the LOBs. The SRM is organized across horizontal service areas (independent of the business functions) and provides a leverage-able foundation for reuse of information, applications, or solution components, and technologies. The BRM and SRM components are rolled forward into the ESA and further detailed. All BRM functional components are translated into LOB services within the ESA, and the horizontal

4.2.3 PERFORMANCE REFERENCE MANAGEMENT (PRM)
The PRM is designed to clearly identify and illustrate the cause-and-effect relationship or “line of sight” between inputs, outputs, and outcomes. PRM is built upon “line of sight” relationships and is critical for the executive leadership, IT management, project managers, and other key stakeholders to understand how, and to what extent key inputs enable progress toward desired business outcomes regarding mission achievement and delivery of services to residents. The PRM captures and reports, based on the “line of sight”, how value is created for each LOB as inputs impact outcomes. Guiding the entire PRM are the

Figure 16: PRM Line of Sight from Input to Business Outcome

“strategic outcomes” identified in the New Day Plan, Strategic Plan, and the Departments’ Measures of Effectiveness (MoE) and both are illustrated in Figure 16.

Figure 15: SRM Relationship to LOB Business Functions with the Added Dimensions of Enterprise Services

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Figure 17: EBA Future State Vision

The following areas define the PRM focus for the State of Hawai`i :
• Mission and Business Results Measurements - captures

the outputs Departments’ outcomes the State seeks to achieve. These measures commonly include New Day Plan directives, Strategic Plan strategies, and Departmental and Program MoE.
• Functional Effectiveness - captures how well a

These measures will be captured and communicated as part of an electronic dashboard to track and the outcomes will be monitored. These outcomes provide the indicators as to how well IT is supporting and enhancing the ability of LOB’s to accomplish their mission. For times when the performance of an LOB increases the changes made should be leveraged across other LOB’s to achieve similar results. In cases where a performance indicator decreases the change should be reversed. The PRM is critical in defining performance in a timely manner that allows for rapid and accurate decision making by the various IT governance committees. The composite view of the future state EBA is provided in Figure 17.

Department, LOB, program, or specific process is serving its identified user base/constituents. These measures commonly revolve around constituent benefit, service quality, service accessibility, etc.
• Process and Activity Indicators - consists of

outputs directly from the process supported by an IT investment. These measures commonly revolve around productivity, financial management etc.
• Technology - captures performance directly related to

the technology investment. These measures commonly involve cost, quality assurance, information and data availability, and reliability.
• Human Capital Management - related to the ability

of a Department to have the right people with the right skills in the right positions. This measurement area will be developed in accordance with bargaining unit rules to determine true effectiveness.

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4.3 EBA TRANSITION AND SEQUENCING (T&S) PLANNING SUMMARY
The T&S Plan for the EBA is focused on areas that are not inherently technical in nature, but instead on areas such as organization of IT staff, process steps, development of meaningful measures and looking in to the future of IT trends. T&S Plan elements associated with the EBA start with alignment to the goals and standards established for business transformation and IT is depicted in Figure 18. The advantage to the EBA T&S activities is that many of these areas will be worked in parallel with emphasis not on the urgent and immediate actions but on strategic and long-term activities. The T&S goals associated with the EBA and also derived from the Strategic Plan have implications for the EIA, ESA, and ETA. The EBA transitioning and sequencing initiatives include the following:

Figure 18: Business Transformation Strategies Required to Achieve the Future State EBA

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4.3.1 REENGINEER ADMINISTRATION OPERATIONAL FUNCTIONS
As noted in the current state, the ASOs work to minimize or overcome the lack of an enterprise approach relative to reengineering existing processes and implementing associated systems is required beginning with those having the highest immediate return on investment (ROI) enterprise-wide:
• Time and attendance reporting

4.3.3 UPGRADE THE IT INFRASTRUCTURE
The need to plan and upgrade the State of Hawai`i IT infrastructure and the facilities that house this infrastructure to support information needs was identified repeatedly as an overarching business need. This upgrade includes not only the retirement of existing hardware but also the creation of a disaster recovery environment.

4.3.6 SIMPLIFY AND SECURE INFORMATION GATHERING FROM CITIZENS
Identify the complete set of information required from citizens and business entities within the State, gathering once and enforce re-use by across the State. Address and resolve information management, privacy, and protection issues associated with the management and use of the identified information set

and tracking
• Department of Labor and Industrial

Relations unemployment distribution via checks
• Enterprise-wide document management

4.3.4 INFORMATION STEWARDS LEADS, PARTICIPANTS, AND STAKEHOLDERS
As an extension of the BRM and the identified LOBs identify and assign information stewards/leads, participants, and identify all stakeholders for each identified LOB for all data sets within the State.

4.3.7 ENSURE REQUIRED SERVICES ARE DELIVERED
Within each Department define all services defined by statute/act or administrative directive and crosswalk these requirements to actual services being performed. Based on service identification results, evaluate the effectiveness of the current organizational structure for the Executive Branch of State.

and tracking and records management
• Enterprise-wide legislative bill tracking

4.3.2 REPLACE THE EXISTING FINANCIAL AND BUSINESS MANAGEMENT SOLUTION
The Final Report as well as the analysis of the LOBs and Departmental reporting needs clearly identified the overwhelming need to plan, procure, and implement a new financial and business management solution that accommodates:
• revenue collection/accounts receivable

4.3.5 REMOVE BARRIERS TO INFORMATION SHARING
Identify and reengineer existing processes that inhibit information sharing within the State with priority on newly identified needs including:
• Patient Protection and Affordable Care

4.3.8 PROMOTE PROCESS REENGINEERING WITHIN THE STATE
While numerous processes will be improved via the implementation of new systems, many of the activities performed within the State are independent from IT solutions. For these independent processes (e.g., tax collections, tax return receipt and processing, job requisition processing) perform reengineering prioritized based on projected ROI within each Departments. The investment initiatives to accomplish these T&S goals are defined and further specified within the following sections of the EA that describe EIA, ESA, and ETA.

Act (PPACA) implementation
• Geographic Information System

[Department of Taxation (DOTAX) and other organizations with revolving funds]; accounting, procurement and acquisition;
• inventory management; accounts

(GIS information utility
• Longitudinal information • Death Records information • Business License information • Unpaid Business Tax information

payable including payroll and time and attendance reporting, [Department of Accounting and General Services (DAGS) and Department of Human Resources Development (DHRD)];
• budgetary planning and financial

management [Department of Budget and Finance (B&F)]

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5.0 ENTERPRISE INFORMATION ARCHITECTURE (EIA)
36 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

5.0 ENTERPRISE INFORMATION ARCHITECTURE (EIA)
The overarching Enterprise Information Architecture (EIA) for the State of Hawai`i is described in this section. The EIA is discussed in terms of the current or As Is state of information management, the future state or To Be vision for information management, and in terms of the implications for actionable focus areas to be expanded in the gap closure or T&S Plan. The State’s Strategic Plan has as its primary vision the realization of a State government that is operating as a fully integrated enterprise. This was echoed in the future state vision for the EBA as well. This vision of full integration includes: 1. the streamlined and efficient operation of all business processes, 2. secure and reliable access to information anytime, anywhere, and to anyone who is authorized to see it, and 3. the effective delivery of information to all citizens, state employees, and other stakeholders using a state-of-the-art, highly optimized, and standardized technology infrastructure. Consequently, the information management objectives for the State cited in this architecture were developed to facilitate the realization of that vision. The continuum in Figure 19 depicts the progression in the discipline of information management. This progression takes an enterprise through management of data, to the management of information, to the end goal of managing knowledge. Each element in the progression must be mastered before taking
Figure 19: Information Management Continuum

the next step. With this in mind, the EIA has been defined to support the State of Hawai`i in this progression in order to achieve the future state vision.

5.1

EIA CURRENT STATE

The current state of information management was characterized as part of the Final Report and the lack of information sharing across Departments and organizations within the State was noted. The assessment surveyed critical information needs and information flows used in conducting the Department’s business and the corresponding critical information sources and databases. In assessing information management and data sharing across Departments (or across divisions or programs within Departments), there were several noted instances where systems were dedicated to making critical data available for analysis and decision making on a broader scale. Examples included the Financial Accounting Management Information System (FAMIS) data mart and the Department of Health’s (DOH) data warehouse. However, across the State these noted instances or examples were the exceptions not the rule, and the overarching findings related to information management indicated that within the State a data sharing culture a was not present. These findings are summarized in Table 2 and are presented from two different information sharing perspectives:
• Perspective 1: Effective use of information at the individual or

user level for analysis and decision making.
• Perspective 2: Application or system integration used to

support the streamlining and integration of business process.

Table 2: Current State Information Sharing Assessment Results From Two Information Sharing Perspectives

Information Sharing Perspective 1.1 Individual analysis and decision making perspective

Assessment/Question of Need Do people have access to the information they need to effectively do their jobs and make key decisions, and more specifically, do the key user communities of State workers, workgroups or project teams, management, and the public have the requisite access?

Findings
• Across the enterprise, the facilitation of end user access to data through a data mart

warehouse approach including ad-hoc query and reporting tools was not common.
• IT systems in legacy mainframe environments were not well positioned to facilitate

end user analysis and reporting to minimize the need for manual intervention by already overtaxed employees.
• State workers were found to rely heavily on the content and presentation of pre

programmed reports. The continual maintenance of these reports is expensive and the entire approach is often inadequate to address rapidly changing needs and requirements.
• Solutions provided explicitly for “making information available to a broad user

community” were sparse, indicating that the engineering of solutions to support this level of sharing is not an area of emphasis within the State’s Business or IT culture.
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Information Sharing Perspective 2.1 Application or system integration perspective

Assessment/Question of Need Do applications that support mission execution have access to information that they need that might exist outside their own internally maintained set of data?

Findings
• The State’s current management of data and data sharing is characterized

by numerous silos of data and information, and a large number of complex and interdependent data feeds.
• Where no actual data feeds exist, interfaces are often accomplished via the

printing of information from one system and manual re-entry of that same data into another system, resulting in the effective use of resources, introduction of errors, and unnecessary time lags. Examples include the fixed asset inventory, personnel benefits, and time and attendance processes.
• There are essentially no shared databases within or across Departments. The GIS

database is one notable exception.
• The poor level of data sharing and information management is likely the result of the

natural tendency of Departments to adapt and address their own data needs without the benefit of any statewide, enterprise-level policies, approaches, and solutions that encourage, facilitate, and enable application data integration and sharing.

5.2

EIA FUTURE STATE
Future State Vision by 2022:

State of Hawai`i Information Management

Information management is optimized and information capital effectively captures, uses, and transfers knowledge.

The future state design for the State’s information management practices is one where information and data are recognized/acknowledged by everyone as a statewide asset and are managed and shared effectively among all State organizations. As with any critical statewide asset, appropriate management processes and methodologies will be established to enable and facilitate sharing and reuse. The purpose and role (as depicted in Figure 20) of the future state EIA is to:
• acknowledge or bring visibility to the

Figure 20: Purpose and Role of the Future State EIA
• develop a common information/data

structure to facilitate sharing across systems and organizations.
• establish policies, responsibilities,

...of Data and Services, on Everything, for Everyone”. A major component of a Web 3.0 environment is the establishment of a semantic web. In such an environment the web not only provides a linkage to and presentation of documents and files to people but it also serves as a vehicle to link and present data in a computer interpretable format for direct consumption by software systems. Both individuals and programmatic constructs such as web services or computer applications can easily integrate or “mash up” any kind of data. This semantic web of data provides an environment in which data is not embedded within systems, but rather exists independently from them. In addition, differences in vocabularies and formats are essentially overcome and result in real and significant opportunities for data reuse.

and practices that ensure the on-going security of data and information from the three requisite security perspectives of confidentiality, integrity, and availability.

concept that information and data as a critical state asset.
• recognize the fact that a data or

5.2.1 INFORMATION MANAGEMENT AND USAGE
The future state vision for information management and usage within the State of Hawai`i includes the realization of a Web 3.0 environment as characterized by the World Wide Web Consortium, “Evolution toward one Web

information asset is something apart from and not embedded within or captive to information systems that might use it.
• encourage or promote the identification

of critical information and data that has a high potential for shared use;

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The realization of this vision requires a common information framework within the State that:
• Represents a disciplined environment

that prevents the creation of redundant information, ensures the integrity of an “item of information” at the time and point of origin, and channels any subsequent use or update of the item of information to its single authoritative storage location.
• Promotes blending of structured

data (e.g. data content in relational databases), with semi-structured data (e.g. data and messaging content in an email); and unstructured data (e.g. textual and graphical content in a document or web page) in a manner that make search and traversal across these information structures are transparent as possible
• Promotes a mature management

Figure 21: The Future State Vision for Information Management and Usage in the State of Hawai`i

discipline that ensures all data: is well-designed and structured consistent with the “real world objects” of the State government. These objects would include all those from the operational and subject domain data for State business services, and would include all critical dimensions such as time and geospatial data to fully support historical analysis of operations at a point in time or location, or that support any associated trending analysis; is appropriately stored, secured, and protected; and, has no unnecessary boundary that hides or impedes access for any authorized person or business process.
• Allows people and processes, whenever

a preeminent value as a critical State resource and by extension provides for a corresponding emphasis on supporting the information and data assets that underlie that knowledge. A mature knowledge management discipline will support the capture of all operational and subject domain knowledge and facilitate its effective use for educating, problem analysis, and decision making for all State management and staff.
• The operation of all the above with

for the linking of computer interpretable data. Key elements of the Semantic Web framework and the related evolution are described below and have considerable implications for the State of Hawai`i . Several of these are discussed below. XML (eXtensible Markup Language) is a foundational element or a scheme for providing a format for tagging metadata or describing the attributes of a “real world object”, such as the author of a Web page. Prior to emergence and adoption of XML, data was almost exclusively stored in database or file formats, where only one or a limited set of applications understood the structure and format of the data to make effective use of it.. XML provides a more or less universal self-describing data syntax that is both human readable (to an extent) and machine interpretable. Presenting data in an XML format does in fact support and improve upon the exchange and sharing of data – but that exchange and sharing is still largely only accomplished within a limited community of applications in a single problem domain that share and understand the semantics of the data described with the XML syntax. The emerging protocols and technologies associated with the Semantic Web provide the next evolutionary step as a standard approach for describing “resources” (the real world objects referred to above) from a semantic perspective, enabling an ability to link across resources from multiple domains and establishing and leveraging semantic relationships. The foundational protocol
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the assurance that all necessary policies ensure that the confidentiality and integrity of the information is achieved at all time. The future state vision for information management and usage in the State of Hawai`i is summarized in Figure 21. Two key features of the future state vision – the Semantic Web and knowledge management. These are described in more detail below.

practical, to search and relate data and information across multiple LOB without having to design and program that capability in advance or in other words, boundaries across applications and organizations will, to the extent practical, be non-existent.
• Includes a common or universal

information standardization and mapping capability built on real world objects in the State government. Standardization of this mapping capability will facilitate web enabled traversal among information sources much like we navigate among document links in the environment of today.
• Supports the inclusion of all appropriate

5.2.1.1 SEMANTIC WEB
Standards, protocols, languages, and methods that support the ten-year vision for the State’s EIA was established using numerous standards and protocols originally created by organizations such as the World Wide Web Consortium (W3C). These standards and protocols enable an effective transformation of the Web from a vehicle for the linking of human interpretable document content to a vehicle that additionally provides

State data and information into a mature knowledge management system or discipline where knowledge is given

State of Hawaii Business and IT/IRM Transformation Plan

is the Resource Description Framework (RDF); the RDF and other related standards and protocols can be seen in Figure 22 below. These standards and protocols enable the meaning (semantics) of the data to be embedded with the data in a computer interpretable manner that supports a semantic linkage among the data – creating the aforementioned web of data as to opposed to the simpler web of documents. From the W3C “Semantic Web Activity” Web site (http://www. w3.org/2001/sw/): “The Semantic Web is about two things. It is about common formats for integration and combination of data drawn from diverse sources, where on the original Web mainly concentrated on the interchange of documents. It is also about language for recording how the data relates to real world objects. That allows a person, or a machine, to start off in one database, and then move through an unending set of databases which are connected not by wires but by being about the same thing.” Semantic web’s Protocol and RDF Query Language (SPARQL) as a query language for accessing data/databases in order to retrieve and manipulate data stored in RDF format. It is considered as one of the key technologies of semantic web. Making effective use of these new standards and protocols to achieve the benefits of data with embedded semantics will require the State to make a significant investment and to place a real emphasis on the support of a st requisite polices, practices and technologies. Figure 22 provides additional examples of the numerous protocols for the Semantic Web from W3C.

relevant tailored information needed within a specific problem domain. Going forward, business processes will systematically incorporate new insight and knowledge into operational processes, policies, and actions. Given that the people involved in a community of practice around a business service are constantly learning, the intent of knowledge management is that their experience and expertise is institutionalized. The community’s experience is organized into operational histories that facilitate the analysis of trends over time and the relevant impact of any significant event. Initial implementations of both the EA and the LOB Segment Architectures are planned for development during the second half of FY2012. Moving forward these architectures will be maintained and used as the “north star” guidance for achieving the desired integration of all information assets, systems, and technologies. Individual information system projects will obtain integration and standardization requirements from these architectures and will design and implement the target systems in compliance with the architectures.

5.2.1.2 KNOWLEDGE MANAGEMENT
Knowledge is the last element in the information continuum and knowledge management is the discipline that outlines the lifecycle process of identifying, capturing, organizing, and leveraging knowledge assets to improve overall performance and efficiency. Further as noted above in the discussion of the information sharing perspectives, knowledge management discipline is when individual experience, expertise, and insight is captured, standardized, and then transferred or shared with others. This discipline effectively supports the expansion of organizational insight and knowledge and will facilitate the achievement the future state vision for the State. To achieve this vision, the State’s knowledge management capabilities will have overcome the data and information overload phenomenon and will facilitate targeted access to the

State of Hawai`i Knowledge Management Future State Vision by 2022: The State of Hawai`i will be widely recognized and characterized as a knowledge-based organization where mature data and information management process that supports a cultural awareness regarding the preeminence of knowledge as an enterprise resource to be harnessed and reused at an advanced level of problem solving. It is expected that the State will be widely recognized and characterized as a knowledge-based organization.

Figure 22: Example Protocols for the Semantic Web from W3C 40 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

5.2.2 EIA ELEMENTS
To support the utilization of the EIA within the State, three primary focus areas are defined: 1. The Common Information Framework—establishes the common goals, end objectives, strategies, policies, and guiding principles for definition and management of enterprise information. 2. The Conceptual Information Architecture—establishes a classification system through a subject area hierarchy of the State’s information assets to facilitate stewardship leadership boundaries and associated responsibilities; and, supports the identification of authoritative and duplicative information resources. 3. The Requirements for Information Delivery and Sharing establishes requirements for the Enterprise Solution and Technology Architectures to achieve the future state vision for the EIA. Figure 23 illustrates the three focus areas and their purpose.

As a result, the State of Hawai`i manages this important resource or asset in a manner that will:
• control the quality of information at the point of origin, • facilitate the sharing of information across the enterprise, • minimize redundant information, • provide the timeliness of information for the intended

purpose, and,
• ensure the confidentiality, integrity, and availability of the data

in compliance with State and Federal regulations and laws. In this context, information is defined to include structured data (data maintained within computer databases), semi-structured data (email), and unstructured information (documents, images, web content, etc.). To achieve the future state relative to information as an enterprise resource, government operations within the State must be conducted within an open and transparent environment, enhancing the public trust and empowering citizens, State employees, and other stakeholders through access to information. There will be a thorough and strong classification approach to ensure that data and information that should be protected from dissemination by law or regulation will be “marked” and managed appropriately. (Note: The majority of State’s information is already public in nature and the future state environment provides greater availability and transparency by facilitating open access to all public information.)

Challenge Faced by the State Relative to Treating Information as an Enterprise Resource To discuss the treatment of information as an enterprise resource is direct and straightforward; however, moving from discussion to action will require a cultural change throughout the State and within the Departments in terms of how information is viewed, treated, and managed going forward. There are two significant challenges to effecting this cultural change. First, because data and information are inherently less tangible than hard IT assets (e.g., systems and infrastructure components that have very evident cost drivers) executives/managers often equate “data” and “data management” to “bits and bytes” that are addressed in the context of storage and server infrastructure. Information and data management must be viewed as separate from hard assets and stand on its own as a discipline to address the classification and management of data at level above that of storage management. Second, in some instances the value of information and data has been recognized and elevated, but the culture has allowed significant autonomy at the Department or program level but not at the enterprise level. The Departmental or program manager is often allowed to be entrenched as the “owner” of information and therefore controls data availability. In reality, it is often a struggle to achieve appropriate data availability within a Department, much less across Departments.

FigureFigure 1: Focus Areas of the Enterprise Information Architecture 23: Focus Areas of the Enterprise Information Architecture

The following sections provide additional insight into these three focus areas:

5.2.2.1 COMMON INFORMATION FRAMEWORK
The guiding principles for the State’s Common Information Framework, while outlined above, are expanded upon below. This framework provides the foundation for achieving the future state vision.

ENTERPRISE RESOURCE
The first order of importance is the recognition of data, information, and knowledge for the State of Hawai`i as a critical, valuable resource or asset that must be managed consistent with any other valued resource.

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KNOWLEDGE MANAGEMENT
A streamlined and efficient operation of all business processes is enabled through effective access and use of information. It is the intent of the State of Hawai`i to achieve optimal business performance through integrated business functions and using enterprise information provided by common information repositories. These repositories will not be unnecessarily constrained by organizational (i.e., Department, Agency, Branch, Attached Office, or Program) boundaries. Key tenets regarding integration enablement include:
• The State of Hawai`i will manage

STEWARDSHIP/LEADERSHIP RESPONSIBILITY AND GOVERNANCE STRUCTURE
For the benefit of all internal and external stakeholders, management and oversight of common information assets, systems, and supporting technologies will be based on a stewardship/leadership approach. Stewardship/leadership responsibilities for management and oversight will be established at two levels of integration – the enterprise level and the LOB level. The overarching responsibilities and requirements are:
• All information and data assets will be

INFORMATION DESCRIPTION
Information used within the State will have a uniform description to support information sharing. The development of the standard information description will enable Departmental stakeholders to agree on the structure (syntax) and meaning (semantics) of the information. The standard information descriptions are documented as artifacts of the EIA. Information description artifacts include metadata (data about data) and information/data models using industry standards such as entity-relationship (ER) models.

the design and implementation of integrated information repositories (e.g. operational and analytical databases based on its EA Methodology that works in tandem with the Systems Development Life Cycle (SDLC Methodology and promotes compliance with the EIA.
• To facilitate information enablement,

managed as valued assets to the State. Information and data assets will have appropriate stewardship responsibility assigned either at the enterprise or LOB level. Information stewardship leadership responsibilities are essentially the same at each level and vary only according to the body of stakeholders represented by the lead.
• Primary responsibility for establishing

INFORMATION CONFIDENTIALITY
All information lifecycle management activities and specifically information access and delivery will be done in a secure and reliable manner. In addition, all federal and state laws and regulations regarding information confidentiality and privacy will be complied with at all times. Industry best practices regarding information assurance, security, and privacy serve as standard practices within the State, and are performed as part of on-going operations, and routinely evaluated and assessed to ensure operations are being conducted in compliance with the practices. Items or portions of information that fall under confidentiality and privacy requirements will be appropriately classified and “marked”, and information access and delivery systems to ensure that appropriate access permissions have been granted and that appropriate computing boundaries for sensitive information are maintained and sensitive items of information would not cross these boundaries. Responsibility for information assurance, security, and privacy will rest with the CIO and the OIMT security officer.

emphasis will be placed on managing information architectures at both an enterprise level and LOB level. The CIO and OIMT will have primary responsibility for managing at the enterprise level and the Department Directors or other individuals designated as the LOB Lead will have primary responsibility for managing at the LOB level. The architectural components that exist at the LOB level will be referred to by the moniker of LOB Segment Architecture.
• Integration will be achieved through

analysis of integration requirements at both levels and architecting information solutions and technologies to satisfy those requirements.

the EIA resides with the CIO and OIMT. The CIO is supported by the OIMT EA Program. Governance of the EIA will be the responsibility of the OIMT EA Program. This organization will establish information architecture policy and standards that apply for the State. The CIOC has been established to provide initial direction and approval of the EIA. Whenever necessary, the CIO Working Group (a subcommittee of technical experts from a representative segment of the CIOC or other subject matter experts) will be formed to further clarify issues and propose standards. The role of “information steward/ lead” will be established within each of the LOBs. These individuals will have primary responsibility for an information subject area and its associated business processes and applications. The leads will be responsible for assuring the quality of information is enforced and enterprise standards are followed. Their primary role of the steward/lead will be to understand the data, business rules, and toolsets in order to properly define the data and monitor its quality, accuracy, consistency, security, privacy, and to facilitate information sharing.

INFORMATION ARCHITECTURE LEVELS FOR SHARING
As noted above, management of the scope of common or shared information across the State is done at two levels: the enterprise level and the LOB level. Corresponding management practices for associated governance across the stakeholder community will be applied at these same two levels.

INFORMATION INTEGRITY
LOB leads have primary responsibility for ensuring the confidentiality, integrity, and availability of information. Business rules that define and establish the integrity of information will be adhered to in information creation and update operations. Items of information (or information objects) are managed to ensure a single point of origin and an authoritative source. Redundant information sources – the same intended
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information from multiple sources – must be avoided and eliminated when identified. Copies of information are controlled and information location is tracked and controlled to ensure traceability to the authoritative source and point of origin.

INFORMATION AVAILABILITY
Access to the right information anytime and anywhere to anyone who has an appropriate need for it should be enabled and assured. Information access is supported through the effective utilization of state-of-the-art technological interfaces such as the Web and mobile devices for citizens, State employees, and all other stakeholders through an optimized and standardized technology infrastructure.

the business functions and information perspectives. Further levels of decomposition identify key business information entities or objects for which information must be defined and maintained. A common information model streamlines information exchange processes within State government and between State government and external stakeholders (e.g., citizens, business entities, Federal government). In addition, the information taxonomy will support the sorting of existing data assets according to their authoritative sources and will facilitate the recognition and elimination of redundant information sources. The next two diagrams identify the top level subject areas for the core mission LOBs and the support service LOBs. These diagrams set the stage for assignment of stewardship or lead responsibilities and then moving through subsequent segment architecture and data/service standardization projects to continue the development and maturation of the EIA over time. Figure 24 identifies the top level subject areas and notional information dependencies for the core mission LOBs. Further expansion of the Core Mission LOB subject areas is accomplished through the segment architecture projects. Information sharing in these areas will mostly be within the LOB, with some exceptions indicated by the notional information dependencies crossing the LOB subject areas. Figure 25 identifies the top two levels of subject areas and notional information dependencies for the Support Service LOBs. All core mission LOBs have information dependencies with the support service LOBs. The level of sharing is predominately at the enterprise level.

5.2.2.2 CONCEPTUAL INFORMATION ARCHITECTURE

The Conceptual Information Architecture is an enterprise level information model that categorizes government information into a hierarchy of subject areas in greater levels of detail. The top two levels of the taxonomy mirror the top two levels in the Conceptual Business Architecture (LOB and Business Services), promoting a common stewardship/leadership structure between

Figure 24: LOBs Providing Support Externally Subject Area Diagram

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Figure 25: Representative View Support Area LOB Subject Area Diagram

It is the essence of the EIA to fully expand the enterprise information definition over time to establish common information descriptions, common data models, common data element definitions, and common data structures. Common data models may include ER models, National Information Exchange Model (NIEM), and in the future Semantic Web protocols such as Resource Description Framework (RDF). As the common definitions are implemented across the State, integration efforts and information quality will be improved. The EIA is further detailed, iteratively and incrementally, through segment architecture development, data/service standardization projects, and solution architecture projects. The EA program and LOB information leads work collaboratively within these projects to create information standards (models, data structure, service components, and business rules) that ensure that all Departments and stakeholders’ requirements are met. Pragmatic progress must be balanced with the evolution of stakeholder involvement through incremental version releases. The standard information models are stored in the EA repository within OIMT.

OPERATIONAL INFORMATION MANAGEMENT REQUIREMENTS
The operational information management requirements relate to the data and information management practices to support business operations, such as data storage, retention, and management. All State data is maintained within databases using standard Data Base Management Systems. Management practices for databases housing State data are common and standard to safeguard the confidentiality, integrity, and availability of the data. Database management standards and products are defined in the ETA. Databases and other legacy data assets must be identified, inventoried, and have their metadata cataloged for inclusion in the EIA. All databases are considered official in nature and managed as such. A common EA solution will be used for this purpose. Databases are recognized and managed as separate valued resources apart from the applications that use them. Databases are designed for use by multiple applications and positioned and managed to this end. The data management philosophy is that data about a business object would be created by one application but may then be referenced by multiple applications from the same database – with direct access to the database or through a service. The ESA will enforce these principles. State databases are categorized according to the two levels of sharing – enterprise and LOB and two primary types of databases will be established and used within the State:
• Operational database—primary support

5.2.2.3 REQUIREMENTS FOR INFORMATION DELIVERY AND SHARING
The EIA places requirements upon both enterprise solutions and technologies needed to realize the information architecture future state vision. This section outlines those requirements that would flow down to the ESA and ETA respectively.

of operations and characterized by optimization for transactional processing through normalization (Third Normal Form (3NF) or greater).
• Analytics database—primary support of

analysis and reporting and characterized by de-normalized design. An analysis and reporting database is principally built upon data derived from operational databases. Standards and practices related to the administration of official databases will be established in the ESA and ETA.

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INFORMATION SHARING AND DELIVERY REQUIREMENTS
Information sharing and delivery of shared informed will occur through three primary approaches within the State:

EIA TRANSITION AND SEQUENCING PLANNING SUMMARY
Investment initiatives for achieving the future state of the EIA include the following projects:

5.3.1 ESTABLISH THE ENTERPRISE DATA AND SERVICES ADMINISTRATION
1. official databases, 2. master data sets, and 3. web services. A catalog of data assets is maintained as part of the EIA within the EA repository as a tool in locating common data. Data assets may be located in an official database or in official master data set established for collaboration and sharing. Tools are present to allow for XML (or eventually RDF) data sets to be extracted from enterprise and LOB databases to support internal exchange of data across the LOBs. Data for public access is made available through XML data sets (RDF in the future) hosted in a data.Hawaii.gov domain. A catalog of web services is maintained as part of the ESA within the EA repository as a tool in locating common services. Standards and practices for data and web service implementation and access are established in the ESA and ETA. Within the EA Program, a series of activities and accomplishments must be completed to establish these enterprise-wide data and services management standards and practices. These include:

5.3.1.1 GOVERNANCE STANDARDS AND PRACTICES
Establish governance standards and practices which include the role of the information steward/LOB lead and the processes for collaboration, agreement, documentation, and change management of common enterprise or LOB data and services – a process the industry may refer to as master data management.

5.3.1.2 COMMON DATA AND SERVICES ARCHITECTURE
Establish the common data and services architecture within the EA tool and repository, inventories of enterprise and LOB data assets and services; and the approach and practices for defining shared (or master) data standards.

ANALYSIS, VISUALIZATION, AND REPORTING REQUIREMENTS
The ESA will establish a standard solution pattern for application solutions that support analysis, visualization, and reporting. The data analytics solution pattern will in turn establish requirements for the specific technology products needed for data derivation, and extraction, transformation, and loading (ETL); data query; analysis and trending; visualization including geospatial data; and dashboards and end user reporting.

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5.3.1.3 DATA AND DATABASE ADMINISTRATION STANDARDS AND PRACTICES
Establish data and database administration standards and practices for creating and maintaining official enterprise and LOB databases. The investment initiatives to accomplish these three activities are further defined and specified within Section 7 in the ETA.

5.3.4 ESTABLISH ENTERPRISE COMMON DATA AND SERVICES FOR THE SUPPORT SERVICES
In addition to the data and services standardization initiative for the ERP system implementation, establish data standards and shared services for key common business objects within the remaining support services LOBs to include: Legislation, Policies, Program Performance Reporting, and Grants. The initiatives to accomplish this are defined within Section 7 and Appendix A.

5.3.2 ESTABLISH ENTERPRISE COMMON DATA AND SERVICES FOR THE ERP IMPLEMENTATION
Within the scope of the support services LOBs to be included in an ERP system, establish standard data and services for key enterprise business objects. These include: Organizations, Programs, Employees, Citizens, Facilities, Assets; General Ledger Accounts; Projects; etc. The investment initiatives to accomplish this are defined within Appendix A, ERP Implementation.

5.3.5 ESTABLISH ENTERPRISE COMMON DATA AND SERVICES FOR THE CORE MISSION LOBS
As business needs drive priorities and opportunities, establish data standards and shared services for key common business objects within the each of the core mission LOBs. The initiatives to accomplish this are defined within Appendix A.

5.3.3 ESTABLISH ENTERPRISE COMMON DATA AND SERVICES FOR THE AFFORDABLE CARE ACT
Within the scope of new business processes to support the Affordable Care Act, establish data standards and shared services for key common business objects. The initiatives to accomplish this are defined within Appendix A, Health IT.

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6.0 ENTERPRISE SOLUTION ARCHITECTURE (ESA)
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6.0 ENTERPRISE SOLUTION ARCHITECTURE (ESA)
The overarching ESA is described in this section and includes a discussion of the current state and future state of the solutions environment. For the current state the focus is on information systems/applications software and for the future state vision the focus is on a comprehensive set of services-oriented solutions to meet State’s business needs. This section also includes a summary of the T&S Plan to achieve the future state vision for the ESA. The ESA plays a critical role in enabling the State’s vision of realizing an integrated enterprise that consists of streamlined and efficient operations for all business processes. The ESA is also the most tangible and direct support layer of the EA in relation to the business mission and services. It also is the IT component that staff and the public directly interact with in automation of business process and information delivery. The ESA is considered as the driving force for the structure and complexity of the underpinning technology architecture layer and requires a robust multi-functional technological platform.

6.1

ESA CURRENT STATE

The current state of the ESA was characterized as part of the Final Report. The report noted the weaknesses and legacy condition of the few, true statewide solutions, the large number of applications that have proliferated within the State and the critical need for “right-sizing” the applications portfolio. The findings from the Final Report are summarized in Table 3 by the criteria that indicate the maturity of the application portfolio as a whole and the characterization of any single application within this spectrum.

Table 3: Solution or Applications Assessment Results

Application Portfolio Assessment Criteria Stability – the number and extent of failures, down-time, “break-fix” cycles, or general risk exist in an aged condition
•

Findings
• Numerous applications due to staff reductions and funding shortages

Many initiatives to upgrade or replace legacy applications and their supporting middleware and hardware infrastructures were postponed

Optimization – measuring redundancy, duplication, and “waste”

• Over 700 applications •

A significant set of older mainframe applications, based on the “batch processing” model, require numerous smaller applications to support data interface feeds and outputs A lack of enterprise-wide data governance and integrated databases results in numerous interfaces in order to support data mapping and translation A lack of effective central systems for many of the shared service areas cause the Departments to develop their own supporting systems to ease their interfaces with the central system Federal program-driven funding promotes solution architecture decisions that do not support enterprise application consolidation A lack of budget/funding creates an environment that proliferates single user or small work group applications that are easier and less costly to create

•

•

•

•

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Application Portfolio Assessment Criteria Standardization – measuring the underlying technologies (middleware and hardware/software platforms) required
•

Findings Lack of funds to support upgrades results in a broad set of older technologies continuing to be used in the environment, and this increases incompatibilities (e.g., desktops requiring older, unsupported version of Windows or Internet Explorer) Numbers of software product incompatibilities make it almost impossible to plan for enterprise-level upgrades, and this mixture of new and old software versions opens the enterprise to increasing levels of vulnerability from malware Point-solution approaches/situations have proliferated and work against enterprise or LOB integration Lack of an enterprise organization to champion integration and/or funding to support enterprise solutions reduces integration investments in the “have not” Departments to develop and maintain applications perpetuate an imbalanced environment
•

•

Integration – the characteristics and ability for an application to be well integrated with other applications and data within the enterprised

•

•

Alignment – to business mission, services, priorities, strategies – the value in achievement of critical, high priority mission objectives

• Significant investments within the “have” Departments and minimal

Fundamental capabilities expected in enterprise solutions are lacking (e.g., global address list, shared calendaring, paper-based processes, lack of emerging technology support such as mobile devices and social media) cause frustration Agility is limited because considerable customizations have been made to custom-off-the-shelf (COTS) software Reliance on one-off applications (e.g., the DCCA Lotus Notes-based Legislation Tracking System) and their proliferation as pseudo-enterprise systems are now preventing the application of vendor upgrades

Responsiveness and Agility – to changing business needs – ability to respond with relative ease to change versus being overly complex and awkward to supporting change

•

•

One of the weakest areas of the solutions or applications portfolio is the apparent lack of control in enterprise integration and consolidation for statewide support services. As noted in Table 3 many Departments have developed redundant capabilities. Creating the “right number” of enterprise support service solutions is the key challenge for the future state.

6.2

ESA FUTURE STATE

The State is facing an environment of continuous and rapid change due to technological surges and the need to transform old paradigms into new agent-based, service-oriented dynamic integration architectures. The demand for real time integration across disparate lines of business, enterprise applications, Web services, mobile interfaces, and networks, is driving industry toward pursuing standards that will enable open systems architectures to realize seamless access to multiple platforms and services. The desired outcome is the total integration of internal and external entities across the total enterprise.

The vision for the future ESA is a dynamic mobile integration architecture that responds rapidly to change and delivers quality information from trusted sources all stakeholders. This promising computing environment enables efficient services selection by LOBs delivering enterprise services while providing for the seamless integration with external stakeholders and in this case the citizens and residents of Hawai`i . The combination of intelligent Web services and mobile agents provides for the personalized demands needed by state employees to perform their missions and for the citizens and residents of Hawai`i to directly access information that is relative to their personal situations. The future state ESA will be implemented within a common solutions framework that achieves the desired interoperability and integration, as illustrated in Figure x below. The key elements of the future state vision are outlined Figure 26 .

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Figure 26: Future State Vision for ESA

6.2.1 VISION FOR THE FUTURE STATE ESA
The enabling of this vision occurs through a common solutions framework within the State that includes the following:
• Each individual’s user experience

with the State’s automated solutions is personalized through a “my Hawaii.gov” portal that knows the person’s roles, history of service usage, information interests, and tailors the portal accordingly – constantly changing based on usage. The user interface has shifted to mobile Smartphones and tablets with the portal look and feel consistent across all user devices. Solutions are built once with a user interface standard like HTML5 that works equally well across all mobile platforms. • The solutions within the State’s portfolio have been completely rationalized and transformed. All common support services have been reengineered with new service oriented solutions that effectively meet the needs of the core mission areas – all redundant support applications, like procurement or financial reporting have been eliminated.

• All of the support services have been automated through a common, integrated ERP system – resulting in broad integration across these shared services. The ERP scope includes planning and resource allocation, budgeting, financial tracking and reporting, time and attendance, payroll, accounts payable/warrants, accounts receivable, revenue collection, human resource management, procurement, asset management, facilities management, and other general services. • “Everything is a service” is the new solutions paradigm enabling full integration across the enterprise. Business process automation has moved to a to a full component assembly approach, like LEGOTM building blocks, implemented through services and linked resources supplying information (Semantic Web). • Cross-cutting services are organized into two subordinate layers for effective governance: – Enterprise Common Services – a “utility” layer for common enterprise IT services to include security services such as identity and access management; digital content services supporting documents and records; process automation supporting end-to-end workflow, robust search capabilities across the enterprise; and integrated collaboration, analytics, and geospatial visualization capabilities.
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6.2.2 GUIDING PRINCIPLES FOR THE COMMON SOLUTIONS FRAMEWORK
The guiding principles for the State’s Common Solutions Framework were outlined above and are expanded below. The discussion identifies the common goals, end objectives, strategies, policies, and guiding principles of the State’s Common Solutions Framework to achieve the future state vision.

– Enterprise Mission Support Services – a layer for common business support functions and information persistence to include customer and case master information; business management master information for organizations, programs, plans, and portfolios; service management life cycle support for performance tracking and continuous improvement; ERP services for common budgeting, financial, human resources, and acquisition functions; and knowledge management for retention and reuse of problem domain knowledge.
• The enterprise data layer has been separated from the

6.2.2.1 ENTERPRISE INTEGRATION
It is the intent of the State of Hawai`i to achieve optimal business performance through business functions and processes being integrated through the use of common solutions. The solutions will be viewed as enterprise assets and not “owned by” individual Departments or programs. The State of Hawai`i directs and controls the design and implementation of integrated solutions through its EA Methodology. The emphasis for achieving integration is placed on managing architectures at an enterprise level and at a LOB segment level. Integration will be achieved through analysis of integration requirements at these respective levels and architecting solutions and technologies to implement them.

application software itself through a robust set of official enterprise and LOB databases and Web accessible data resources – the enterprise information and data has been liberated for widespread use within and outside the State government, and all State business solutions can make use of it.
• The people of Hawai`i and citizens are full stakeholders –

State information is published through “data.Hawaii.gov” and some of the most important new applications are created by citizens. The solutions portfolio for the core mission areas such as public health or land and natural resources has a true blending of support from joint partnerships with community, private businesses, and Federal and local governments.
• “App stores” or catalogs are maintained across these

6.2.2.2 USE OF INDUSTRY STANDARD APPLICATION SOFTWARE WITHIN A SERVICES-ORIENTED ARCHITECTURE
Standard practice for the State of Hawai`i is to pursue the acquisition and implementation of industry standard application software. For State government, industry standards are found in both commercially available and government available off-the-shelf application software (COTS/GOTS). Industry standard application solutions should adhere to standards for services-orientation; so that they will be compatible with and interoperable with all service components within the ESA common solutions framework. Implementing comprehensive application software packages provides a significant advantage due to industry standard “best practices” and the scope of integration across the business functions they implement. Packages are chosen to address as many functions within the enterprise as is practical. As a result, the number of application packages is minimized. Customizations to the standard industry business processes and rules contained within the package are kept to a minimum. The State is an active participant in State and Federal communities of practice in order to collaborate on standard solutions. The State leverages and reuses applications from other States and the Federal government.

stakeholder communities for sharing and reuse. The application communities include the ability to leverage and reuse applications from other States and the Federal government. An applications development ecosystem model is used to support the collaboration and reuse of open source and community source software.
• Internal to the State’s portfolio management discipline,

solution patterns have been standardized resulting in optimized development approaches, tools, technical skills, and technology infrastructures, which reduces maintenance support costs and facilitates synergies in enterprise-wide knowledge and expertise. In a controlled manner, any recommendations for evaluating new emerging technologies are sanctioned, and an overall enterprise discipline for “new product/technology evaluation and insertion” has matured. The solutions portfolio includes a lifecycle perspective, incorporating refresh plans after a reasonable life expectancy.

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6.2.2.3 STEWARDSHIP/LEADERSHIP AND GOVERNANCE
Management and oversight of common information assets, systems, and supporting technologies is based on a stewardship approach that continually assesses the benefit for the people of Hawai`i and citizens and internal and external organizational stakeholders. Stewardship/leadership responsibilities are established at the two levels of integration. 1. The CIO and OIMT will have primary responsibility for managing the EA, and 2. The Department Director/Deputy Director designated as the LOB lead or portfolio executive has primary responsibility for managing the LOB Segment Architecture. The overall management and oversight of the ESA is conducted in accordance with the established OIMT governance model with two primary bodies – the Executive Leadership Council (ELC) leading business strategy and architecture and the CIO Council (CIOC) leading IT strategy and architecture. The ELC governs decisions regarding customizations to COTS/GOTS software and function as a liaison to the Legislature for appropriate legislative adjustments to facilitate changes to business processes to minimize COTS/GOTS customizations.

• The building blocks are defined and structured to accomplish

discrete routine functions that are highly interoperable and facilitate reuse, and this very building block/assembly paradigm results in unique approaches within the software architecture, design, and implementation lifecycle activities.
• Each block is structured as an independent “black box” (i.e. self

contained) in accomplishing its function(s) and it presents a well defined and relatively simple “interface” to its users or consumers {loose coupling or loosely joined) in order to maximize reuse.
• Services go beyond object-oriented or component-based

development paradigms in achieving these goals of independence, loose coupling, and simplicity of interface. Services are independently published for use and stand on their own (no linking or builds of executables), have no specific development technology or platform constraints, and services have evolved relatively simple and elegant interface specifications through Web service technologies such as XML and Simple Object Access Protocol (SOAP). To achieve these benefits, the State’s common solutions framework incorporates a services orientation approach and framework within its software development life cycle (SDLC) – a set of principles, methods, and tools/technologies for architecting, designing, and developing enterprise solutions using highly interoperable services. To this end, the ESA features a horizontal services layer that implements these common reusable services to achieve extensive integration across the enterprise. It should be noted that the development of a services orientation or SOA framework for the State of Hawai`i is approached in a pragmatic manner. There is recognition in the value of the design principles of SOA even at a departmental level, and that benefits can be realized with a standardization of Web service oriented technologies, as opposed to implementation of a framework based on proprietary technology choices, an example being an enterprise service bus technology. It is this lightweight approach that the State will be pursuing. Effective reuse of services as well as open source or community source software requires knowledge within the development community of what services and software are available and how to effectively use them. The OIMT Enterprise Architect has the primary responsibility for maintaining a catalog of services and for steering the architecture of individual solutions towards use of the enterprise services and software.

6.2.2.3 OPEN SOURCE SOFTWARE AND COMPLIANCE WITH OPEN STANDARDS
The State of Hawai`i should consider the use of software that incorporates or uses open standards when making decisions on software solution procurements. Open source software presents opportunities to implement solutions with minimal acquisition cost and maintenance of licenses. Decisions on use of open source software or software in compliance with open standards should be made in the context of total cost of ownership to include both acquisition and on-going operational costs.

6.2.2.4 SERVICE ORIENTATION, SOFTWARE REUSE, AND SOLUTIONS INTEGRATION
The EA development for the State of Hawai`i inserts itself into a “point in time” where the software development paradigm continues to evolve from object orientation to component-based development and now to service-oriented architecture (SOA). Each of these paradigms and frameworks share some common foundational goals for best practices in software development:
• Objects, components, and services all represent natural building

6.2.2.5 STANDARD ENTERPRISE SOLUTION PATTERNS
One of the primary objectives and standardization strategies of the ESA is the establishment and maintenance of standard enterprise solution patterns. Standard solution patterns include guidance and specifications on implementation methods, p latforms, tools/technologies, service/component reuse, available training, and available consulting support. Standard approaches and technologies for application software development are required to optimize human resource skills within the increasing complexity of the multi-tier development paradigm for Web and mobile applications (apps).

blocks. By moving software development to a building block and assembly paradigm, like LEGOTM building blocks, building of more complex structures is facilitated through reuse of solid, well formed, and tested pieces resulting in higher quality solutions.

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The cultural history of the State government has funded programs to create individual point solutions that are implemented on a dedicated technical infrastructure. Going forward programs “buy into” the standard solution patterns that are part of the ESA with necessary representation, participation, and collaboration from the CIOC. In the long run, the overall cost effectiveness of managing standard technologies and the ability for the enterprise to more effectively leverage technology for enhancing impact in business service delivery are optimized. Also, standard solution patterns support and are facilitated by the State moving to a cloud computing environment where standard application platforms can be rapidly provisioned through a service catalog request. Solution patterns are initially developed by a working group convened and empowered by the CIO and the CIOC to develop the details of the framework. The working group includes technical architects from a number of State Departments that have significant experience with software development and system integration.

The Enterprise Solution Patterns framework is used to give focus to the development and maintenance of solution patterns that have broad application across the State’s business lines. A list of potential solution patterns includes the following:
• Web Application • Mobile Application • Web Service • Analytics Application

Any given application or system might not fit cleanly into exactly one of these patterns. The patterns are not meant to concisely categorize an application, but rather to provide guidance to the design, development, and deployment of applications that have significant elements from any and all patterns. The fundamental idea is to provide guidance on how to effectively implement solutions that fit one or more of the standard patterns. Each solution pattern specification provides guidance for the common set of topics provided in Table 4.

Table 4: Common Set of Specification Areas for Each Solution Pattern

Guidance Area Implementation Methods and Best Practices
•

Description Guidance provided on extensions to the standard SDLC methodology specific for the pattern. Guidance provided (consistent with the State’s ETA) on platforms that are recommended for implementation. Guidance provided that outlines appropriate and recommended tools and technologies applicable to the pattern. Guidance provided on useful and available training relevant to implementation of the pattern. Where appropriate, sources of potential consulting or 3rd party assistance will be identified.

Implementation Platforms Tools/Technologies Available Training and Consulting Support

•

•

•

6.2.2.6 THE ROLE OF THE ESA
Initial implementations of both the EA and the LOB Segment Architectures were developed during the second half of FY2012. Moving forward these architectures will be maintained and used as the goal or “north star” guidance for achieving the desired integration of all information assets, systems, and technologies. Individual technical solution projects obtain integration and standardization requirements from these architectures and design and implement the target systems in compliance with the architectures.

The conceptual solutions architecture is characterized as follows:
• Formative – The conceptual solutions architecture establishes the

overarching structure of the ESA to organize vertical LOB solutions and horizontal services and to clarify stewardship leadership boundaries. It is an initial high level version implemented with the expectation that it will continue to be refined and expanded. The diagram organizes the solutions and services within three horizontal bands: 1) Enterprise Mission Systems or LOB solutions, 2) the Enterprise Support Systems, and 3) the Enterprise Services.
• Notional Approach – This set of solutions are notionally based

6.2.3 CONCEPTUAL SOLUTIONS ARCHITECTURE
The conceptual solutions architecture depicts the future state enterprise solutions architecture as a common model of the comprehensive set of services required to fulfill all business requirements for the State.

on the defined business functions within the LOBs. A primary goal of the ESA is to move the State towards a rationalized set of solutions recognizing that the current state has over 700 applications or systems. There are approximately 200 business services associated with the LOBs within in the EBA layer and one business solution per business function supported by Enterprise Services provides a more reasonable portfolio size. Additionally, the implementation of COTS/GOTS packages (e.g.,
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ERP system within the Enterprise Support Systems band of the future state model) further supports the consolidation.
• The set of Enterprise Services is also notionally based on the SRM

• The enterprise services are organized within 2 levels; the rationale

for this is to facilitate the appropriate stakeholder governance participation for requirements and change management. - The Enterprise Mission Support Services are business functional services that are common in support of LOB mission activities and feature the management and persistence of key shared data. Examples include customer (citizen, resident, state employee, business partner) data retention, or common functions within the enterprise resource planning realm such as financial tracking, asset inventory tracking, or procurement execution. - The Enterprise Common Services are common IT utility services such as collaboration, digital content management, or geospatial visualization.
• The level of the conceptual solutions architecture establishes

identified in the EBA and defines a set of shared services for further evaluation and refinement.

6.2.3.1 LOB SERVICES
Some Departments are further along in the development of a future state ESA architecture for their associated LOBs and in those cases the conceptual solutions architecture must be perpetually updated with that information. Additional refinement to the ESA also occurs as a result of the segment architecture development, and this information is discussed in Appendix A.

6.2.3.2 ENTERPRISE SERVICES
One of the most important elements of the ESA is establishing the approach and framework for integrating the State’s applications or solutions going forward. As discussed above, this integration is primarily achieved through the Enterprise Common Services band within the ESA. It supports the services oriented framework that provides – independent of business function – a leverageable foundation to support the reuse of applications, application capabilities, components, and business services. Key concepts and considerations for future action regarding the Enterprise Services are outlined here.
• The organization and content for the services structure is

an organizational structure, scope and boundaries, and business objectives for these services. Oversight of this architecture should move into a next phase to detail requirements and to determine opportunities to prototype/pilot, and to determine an overall implementation approach. Descriptions of each of the service domains are discussed below organized within the two layers of Enterprise Mission Support Services and Enterprise Common Services.

ENTERPRISE MISSION SUPPORT SERVICES
Customer Management Services The Customer Services Domain consists of the capabilities and persistent information that are directly related to the end customer, the interaction between the business and the customer, and the customer-driven activities or functions. Table 5 provides a description of these areas.

originally based on the Federal SRM. This provides the State a vetted starting point, while making some adjustments that streamline the set to those services oriented to common shared use. The initial set of services derived from the SRM need to be continually assessed, refined, and prioritized for use in the State. Table 5: Customer Management Services Domain Description

Service Types Customer Relationship Management

Service Components
• Customer / Account Management – retains identifying information about

the customers of the organization and their interest in specific services well as the scoring of third party information as it relates to an organization’s customers.

• Customer Analytics – the analysis of an organization’s customers as

• Contact and Profile Management – provides a comprehensive view of

all customer interactions, including calls, email, correspondence and meetings; also provides for the maintenance of a customer’s account, business and personal information.

• Partner Relationship Management – provides a framework to promote

the effective collaboration between an organization and its business partners, particularly members of the distribution chain (e.g., channel and alliance partners, resellers, agents, brokers, and dealers) and other third parties that support operations and service delivery to an organization’s customers; includes performance evaluation of partners. feedback from an organization’s customers.

• Customer Feedback – collect, analyze and handle comments and

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Service Types Customer Preferences

Service Components
• Personalization – defines the set of capabilities to change a user

interface and how data is displayed. join a forum, listserv, or mailing list.

• Subscriptions – defines the set of capabilities that allow a customer to

• Alerts and Notifications – defines the set of capabilities that allow

a customer to be contacted in relation to a subscription or service of interest. customers to sign up for a particular service at their own initiative. Reservations / Registration – defines the set of capabilities that allow electronic enrollment and confirmations for services. Multi-Lingual Support – defines the set of capabilities that allow access to data and information in multiple languages. solicitation of support from a customer.

Customer Assistance

• Self-Service – defines the set of capabilities that allow an organization’s

• Assistance Request - defines the set of capabilities that support the

• Scheduling - defines the set of capabilities that support the

plan for performing work or service to meet the needs of an organization’s customers.

Customer Case Management

• Customer Case Management – defines the set of capabilities for

identifying and tracking the history of claims or investigations for a customer and presumption of a particular case or investigation within its workflow

The Business Management Services Domain consists of the capabilities that support the management and execution of business functions and organizational activities that maintain continuity across the business and value-chain participants. Table 6: Business Management Services Domain Description

Service Types Organizational Management

Service Components
• Organizational Management – defines the set of capabilities that

support management of all levels of organization within the enterprise, including the organization hierarchy structure; all inherent levels such as departments, agencies, divisions, branches, etc.; and the identification of executives, managers, and staff members within the various sub-groups of the organization. support management of programs and projects, as well as more ad hoc workgroups of multiple users working on related tasks; and the associated executives, managers, and staff members. process for updates or modifications to the existing business processes of an organization. the environments, as well as documents of an organization.

Program/Project Management

• Program/Project Management – defines the set of capabilities that

Process Management

• Change Management – defines the set of capabilities that control the

• Configuration Management – defines the set of capabilities that control

• Requirements Management – defines the set of capabilities that gather,

analyze, and fulfill the needs and prerequisites of an organization’s efforts. intended to influence and determine decisions, actions, business rules and other matters within an organization.

• Governance / Policy Management – defines the set of capabilities

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Table 6: Business Management Services Domain Description

Service Types Process Management

Service Components
• Quality Management - defines the set of capabilities intended to help

determine the level of assurance that a product or service will satisfy certain requirements. management of the enterprise processes that support an organization and its policies. identification and probabilities or chances of hazards as they relate to a task, decision or long-term goal; includes risk assessment and risk mitigation support the determination of long-term goals and the identification of the best approach for achieving those goals. administration of a group of investments held by an organization.

• Business Rule Management – defines the set of capabilities for the

• Risk Management – defines the set of capabilities that support the

Investment Management

• Strategic Planning and Management – defines the set of capabilities that

• Portfolio Management – defines the set of capabilities that support the

• Performance Management – defines the set of capabilities for measuring

the effectiveness of an organization’s financial assets and capital.

Resource Planning and Allocation

• Resource Planning and Allocation – defines the set or capabilities that

support the determination of strategic direction, the identification and establishment of programs and processes, and the allocation of resources (capital and labor) among those programs and processes.

KNOWLEDGE MANAGEMENT SERVICES
The Business Management Services Domain consists of the capabilities that support the management and execution of business functions and organizational activities that maintain continuity across the business and value-chain participants. Table 7: Knowledge Management Services Domain Description

Service Types Knowledge Management

Service Components
• Categorization – defines the set of capabilities that allow classification

of data and information into specific layers or types to support an organization.

• Knowledge Engineering – defines the set of capabilities that support the

translation of knowledge from an expert into the knowledge base of an expert system. collection of data and information.

• Knowledge Capture – defines the set of capabilities that facilitate

• Knowledge Distribution and Delivery - defines the set of capabilities that

support the transfer of knowledge to the end customer.

Information Management

• Information Retrieval – defines the set of capabilities that allow access to

data and information for use by an organization and its stakeholders.

• Information Mapping / Taxonomy – defines the set of capabilities that

support the creation and maintenance of relationships between data entities, naming standards and categorization. use of documents and data in a multi-user environment for use by an organization and its stakeholders.

• Information Sharing – defines the set of capabilities that support the

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The ERP Services Domain consists of the capabilities that support the management of enterprise planning transactional-based functions. Table 8: ERP Services Domain Description

Service Types Financial Management

Service Components
• Billing and Accounting – defines the set of capabilities that support the

charging, collection and reporting of an organization’s accounts.

• Credit / Charge – defines the set of capabilities that support the use of

credit cards or electronic funds transfers for payment and collection of products or services. the management and reimbursement of costs paid by employees or an organization. determination of employee’s compensation.

• Expense Management – defines the set of capabilities that support

• Payroll – defines the set of capabilities that involve the administration and

• Payment/ Settlement – defines the set of capabilities that support the

process of accounts payable. [Component and definition discovered in CRM dated 5/05] of accounts receivable.

• Debt Collection – defines the set of capabilities that support the process

• Revenue Management – defines the set of capabilities that support

the allocation and re-investment of earned net credit or capital within an organization. methods and procedures used by the organization to safeguard its assets, produce accurate accounting data and reports, contribute to efficient operations, and encourage staff to adhere to management policies and mission requirements. [Added in FY06 submission; definition from CRM dated 5/05] verification of records for accuracy.

• Internal Controls – defines the set of capabilities that support the

• Auditing – defines the set of capabilities that support the examination and

• Activity – Based Management – defines the set of capabilities

that support a defined, specific set of finance-related tasks for a given objective. calculations and differences among multiple mediums of exchange. and hiring of employees for an organization.

• Currency Translation - defines the set of capabilities that support the

Human Resources

• Recruiting – defines the set of capabilities that support the identification

• Resume Management – defines the set of capabilities that support the

maintenance and administration of one’s professional or work experience and qualifications. support the monitoring of performance as well as the professional growth, advancement, and retention of an organization’s employees. submission, approval and adjustment of an employee’s hours.

• Career Development and Retention – defines the set of capabilities that

• Time Reporting – defines the set of capabilities that support the

• Awards Management – defines the set of capabilities that support the

recognition of achievement among employees of an organization.

• Benefit Management – defines the set of capabilities that support the

enrollment and participation in an organization’s compensation and benefits programs. payment of benefits to retirees.

• Retirement Management - defines the set of capabilities that support the

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Table 8: ERP Services Domain Description

Service Types Human Resources

Service Components
• Personnel Administration –defines the set of capabilities that support

the matching between an organization’s employees and potential opportunities as well as the modification, addition and general upkeep of an organization’s employee-specific information. active building of employee competencies to include the range of training from professional development to general awareness training. security and physical well-being of an organization’s employees.

• Education / Training – defines the set of capabilities that support the

• Health and Safety – defines the set of capabilities that support the

• Travel Management – defines the set of capabilities that support the

transit and mobility of an organization’s employees for business purposes.

Human Capital Management

• Skills Management – defines the set of capabilities that support the

proficiency of employees in the delivery of an organization’s products or services. support the listing of employees and their whereabouts.

• Workforce Directory / Locator – defines the set of capabilities that

• Contingent Workforce Management – defines the set of capabilities that

support the continuity of operations for an organization’s business through the identification of alternative organization personnel.

• Workforce Acquisition / Optimization – defines the set of capabilities that

support the hiring and re-structuring of employees and their roles within an organization.

Assets/Materials Management

• Property / Asset Management – defines the set of capabilities that

support the identification, planning and allocation of an organization’s physical capital and resources. support the listing and specification of available assets.

• Asset Cataloging / Identification – defines the set of capabilities that

• Asset Transfer, Allocation, and Maintenance – defines the set of

capabilities that support the movement, assignment, and replacement of assets. the construction, management, and maintenance of facilities for an organization.

• Facilities Management – defines the set of capabilities that support

• Computers / Automation Management – defines the set of capabilities

that support the identification, upgrade, allocation and replacement of physical devices, including servers and desktops, used to facilitate production and process-driven activities.

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Table 8: ERP Services Domain Description

Service Types Supply Chain Management

Service Components
• Procurement - defines the set of capabilities that support the ordering

and purchasing of products and services.

• Sourcing Management – defines the set of capabilities that support the

supply of goods or services as well as the tracking and analysis of costs for these goods. the balancing of customer service levels with inventory investment. listing of available products or services that an organization offers. placement of request for a product.

• Inventory Management – defines the set of capabilities that provide for

• Catalog Management – defines the set of capabilities that support the

• Ordering / Purchasing – defines the set of capabilities that allow the

• Invoice / Requisition Tracking and Approval – defines the set of

capabilities that support the identification of where a shipment or delivery is within the business cycle. online equivalent of the supermarket cart, where orders and merchandise are placed.

• Storefront / Shopping Cart - defines the set of capabilities that support the

• Warehouse Management – defines the set of capabilities that provide

for the storage and movement of materials within a warehouse, including these processes: material receipt, order picking, packaging, labeling, and shipping.
• Returns Management – defines the set of capabilities for collecting,

analyzing, and resolving product returns or service cancellations. for efficient freight and traffic management.

• Logistics and Transportation – defines the set of capabilities that provide

SERVICE MANAGEMENT SERVICES
The Service Management Services Domain consists of the capabilities that support the development, management, execution, performance tracking, and continuous improvement of business services. Table 9: Service Management Services Domain Description

Service Types Service Portfolio Management

Service Components
• Service Portfolio Management – defines the set of capabilities that

facilitate the creation and maintenance of products and services, including the design of service levels.

• Service Demand Management – defines the set of capabilities that

facilitate the promotion of a product or service, and the management of customer needs and service demand, and the management of customer service agreements. extraction, aggregation, and presentation of information to facilitate decision analysis and business evaluation, specifically analysis of service performance, customer satisfaction, and continuous improvement.

Service Analytics

• Service Analytics - defines the set of capabilities that allow for the

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ENTERPRISE COMMON SERVICES
Data Management Services The Data Management Services Domain consists of the capabilities that provide for the usage, processing and general administration of structured data and databases. Table 10: Data Management Services Domain Description

Service Types Data Management

Service Components
• Data Exchange – defines the set of capabilities that support the

interchange of information between multiple systems or applications; includes verification that transmitted data was received unaltered. warehouse for a single department or function within an organization. archiving and storage of large volumes of data.

• Data Mart – defines the set of capabilities that support a subset of a data

• Data Warehouse – defines the set of capabilities that support the

• Meta Data Management – defines the set of capabilities that support the

maintenance and administration of data that describes data.

• Data Cleansing – defines the set of capabilities that support the removal

of incorrect or unnecessary characters and data from a data source. support the manipulation and change of data.

• Extraction and Transformation – defines the set of capabilities that

• Loading and Archiving – defines the set of capabilities that support the

population of a data source with external data.

• Data Recovery – defines the set of capabilities that support the

restoration and stabilization of data sets to a consistent, desired state. classification of data.

• Data Classification – defines the set of capabilities that allow the

ANALYTICAL SERVICES
The Analytical Services Domain consists of the capabilities that support the extraction, aggregation, and presentation of information to facilitate decision analysis and business evaluation. Table 11: Analytical Services Domain Description

Service Types Analysis and Statistics

Service Components
• Mathematical – defines the set of capabilities that support the

formulation and mathematical analysis of probabilistic models for random phenomena and the development and investigation of methods and principles for statistical inference. of data flow and data modeling diagrams for applying systematic analysis of data. radiation and x-ray technologies for analysis and scientific examination. physical elements using science and technology for investigative and legal purposes.

• Structural / Thermal – defines the set of capabilities that support the use

• Radiological – defines the set of capabilities that support the use of

• Forensics – defines the set of capabilities that support the analysis of

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Table 11: Analytical Services Domain Description

Service Types Visualization

Service Components
• Graphing / Charting – defines the set of capabilities that support the

presentation of information in the form of diagrams or tables. or electronic images from pictures or paper forms.

• Imagery – defines the set of capabilities that support the creation of film

• Multimedia – defines the set of capabilities that support the

representation of information in more than one form to include text, audio, graphics, animated graphics and full motion video. that provide for the representation of position information through the use of attributes such as elevation, latitude, and longitude coordinates. with computers.

• Mapping / Geospatial / Elevation / GPS – defines the set of capabilities

CAD Knowledge Discovery

• CAD - defines the set of capabilities that support the design of products

• Data Mining - defines the set of capabilities that provide for the efficient

discovery of non-obvious, valuable patterns and relationships within a large collection of data.

• Modeling – defines the set of capabilities that develop descriptions to

adequately explain relevant data for the purpose of prediction, pattern detection, exploration or general organization of data. real-world processes.

• Simulation – defines the set of capabilities that utilize models to mimic

Business Intelligence

• Demand Forecasting/Mgmt. – defines the set of capabilities that facilitate

the prediction of sufficient production to meet an organization’s sales of a product or service. listing and analyzing of both positive and negative impacts associated with a decision. support the analyze information and predict the impact of decisions before they are made. reports on an as needed basis.

• Balanced Scorecard – defines the set of capabilities that support the

• Decision Support and Planning – defines the set of capabilities that

Reporting

• Ad Hoc – defines the set of capabilities that support the use of dynamic

• Standardized / Canned –defines the set of capabilities that support the

use of pre-conceived or pre-written reports.

• OLAP - defines the set of capabilities that support the analysis of

information that has been summarized into multidimensional views and hierarchies.

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SOFTWARE DEVELOPMENT AND INTEGRATION SERVICES
The Software Development and Integration Services Domain consist of the capabilities that provide communication between hardware/software applications and the activities associated with deployment of software applications. Table 12: Software Development and Integration Services Domain Description

Service Types Software Development and Integration

Service Components
• Legacy Integration – defines the set of capabilities that support

the communication between newer generation hardware/software applications and the previous, major generation of hardware/ software applications. support the redesigning of disparate information systems into one system that uses a common set of data structures and rules. organization of data from separate data sources into a single source using middleware or application integration as well as the modification of system data models to capture new information within a single system. the validation of application or system capabilities and requirements.

• Enterprise Application Integration – defines the set of capabilities that

• Data Integration – defines the set of capabilities that support the

• Instrumentation and Testing – defines the set of capabilities that support

• Software Development –defines the set of capabilities that support the

creation of both graphical and process application or system software.

SECURITY MANAGEMENT SERVICES
The Security Management Services Domain consists of the capabilities that protect an organization’s information and information systems. Table 13: Security Management Services Domain Description

Service Types Security Management

Service Components
• Identification and Authentication – defines the set of capabilities that

support obtaining information about those parties attempting to log on to a system or application for security purposes and the validation of those users. the management of permissions for logging onto a computer, application, service or network; includes user management and role/ privilege management. encryption and decryption processes, to ensure confidentiality and integrity of data.

• Access Control – defines the set of capabilities that support

• Cryptography - Support the use and management of ciphers, including

• Digital Signature Management – defines the set of capabilities that

supports the use and management of electronic signatures to support authentication and data integrity; includes public key infrastructure (PKI). prevent unauthorized access to a government information system.

• Intrusion Prevention - Includes penetration testing and other measures to

• Intrusion Detection – defines the set of capabilities that support the

detection of unauthorized access to a government information system. security incident that has allowed unauthorized access to a government information system.

• Incident Response - provides active response and remediation to a

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Table 13: Security Management Services Domain Description

Service Types Security Management

Service Components
• Audit Trail Capture and Analysis – defines the set of capabilities that

support the identification and monitoring of activities within an application, system, or network.

• Certification and Accreditation - supports the certification and

accreditation (C&A) of information systems, as described in NIST SP800-37. reporting of compliance with the Federal Information Security Management Act of 2002. remediate infection of government computing assets.

• FISMA Management and Reporting - supports management and

• Virus Protection - provides anti-virus service to prevent, detect, and

The Collaboration Services Domain consists of the capabilities that allow for the concurrent, simultaneous communication and sharing of content, schedules, messages, and ideas within an organization. Table 14: Collaboration Services Domain Description

Service Types Collaboration

Service Components
• Email - defines the set of capabilities that support the transmission of

memos and messages over a network.

• Threaded Discussions – defines the set of capabilities that support the

running log of remarks and opinions about a given topic or subject. grouping and archiving of files and records on a server.

• Document Library – defines the set of capabilities that support the

• Shared Calendaring – defines the set of capabilities that allow an

entire team as well as individuals to view, add and modify each other’s schedules, meetings and activities. undertaking or function assigned to an employee.

• Task Management – defines the set of capabilities that support a specific

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COMMUNICATION SERVICES
The Communications Services Domain consists of the capabilities that provide communication between hardware/software applications and the activities associated with deployment of software applications. Table 15: Communication Services Domain Description

Service Types Communications

Service Components
• Real Time / Chat – defines the set of capabilities that support the

conferencing capability between two or more users on a local area network or the Internet. conferencing over a Local Area Network or the Internet between two or more people. audio communications sessions among people who are geographically dispersed.

• Instant Messaging – defines the set of capabilities that support keyboard

• Audio Conferencing – defines the set of capabilities that support

• Video Conferencing – defines the set of capabilities that

support video communications sessions among people who are geographically dispersed. monitor servers, workstations and network devices for routine and non-routine events. administration of online groups that share common interests.

• Event / News Management – defines the set of capabilities that

• Community Management - defines the set of capabilities that support the

• Computer / Telephony Integration - supports the connectivity between

server hardware, software and telecommunications equipment into a single logical system. telephony or other voice communications.

• Voice Communications – defines the set of capabilities that provide

SEARCH SERVICES
The Search Services Domain consists of the capabilities that provide for the probing and lookup of specific information and data from information and data sources. Table 16: Search Services Domain Description

Service Types Search

Service Components
• Query – defines the set of capabilities that support retrieval of records

that satisfy specific query selection criteria.

• Precision / Recall Ranking – defines the set of capabilities that

support selection and retrieval of records ranked to optimize precision against recall. and retrieval of records organized by shared characteristics in content or context. records generated from a data source by imputing characteristics based on patterns in the content or context.

• Classification – defines the set of capabilities that support selection

• Pattern Matching – defines the set of capabilities that support retrieval of

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SYSTEMS MANAGEMENT SERVICES
The Systems Management Services Domain consists of the capabilities that support the administration and upkeep of an organization’s technology assets, including the hardware, software, infrastructure, licenses, and components that comprise those assets. Table 17: Systems Management Services Domain Description Table 17: Systems Management Services Domain Description Service Types

Service Components
• License Management – defines the set of capabilities that support the

Systems Management

purchase, upgrade and tracking of legal usage contracts for system software and applications.

• Remote Systems Control – defines the set of capabilities that support

the monitoring, administration and usage of applications and enterprise systems from locations outside of the immediate system environment. support the balance and allocation of memory, usage, disk space and performance on computers and their applications.

• System Resource Monitoring – defines the set of capabilities that

• Software Distribution – defines the set of capabilities that support the

propagation, installation and upgrade of written computer programs, applications and components.

• Issue Tracking – defines the set of capabilities that receive and track

user-reported issues and problems in using IT systems, including help desk calls.

6.3 ESA TRANSITION AND SEQUENCING PLANNING SUMMARY
Considerations for “go forward” requirements and implications for the T&S Plan have been organized in two focus areas:
• Stabilize – to address urgent needs to stabilize the legacy

6.3.1 STABILIZE 6.3.1.1 ADDRESS CURRENT “FLAGSHIP” OPPORTUNITIES
Consistent with recommendations in the Final Report, the CIO and OIMT will pursue opportunities that exist with current funded systems development projects to lay enterprise foundations for solutions and infrastructure. As OIMT continues to move forward on development of the enterprise future state vision and architecture and in understanding in greater detail the scope of current funded initiatives, opportunities to jointly establish portions of enterprise solutions and infrastructure will be sought after. Opportunities may exist for potential reuse or consolidation with other efforts, in establishing enterprise standards or practices, or implementing key components of the future state enterprise infrastructure. Examples are outlined below in Table 18.

environment of the State’s application solutions.
• Rationalize and Integrate – to modernize the overall solutions

architecture by “right-sizing” the number and scope of the future set of solutions and implementing the long-term integration strategies. Activities will take place in these areas in parallel, but the activity emphasis moves from urgent and immediate actions to strategic and long-term.

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Table 18: Opportunities for Flagship Projects to Lay Enterprise Foundations

Service Types DHS

Key Project Description New MedQuest Eligibility System (Affordable Care Act) Pending Review million new eligibility system to increase timeliness and transparency, electronically verify information, and interface with health insurance exchange. Replaces current 23 year old system. Benefit, Employment, and Support Services Division BPR Project BPR evaluation of the existing financial assistance and SNAP eligibility process, redesign work flow processes for efficiencies in issuing benefits; address document imaging and e-forms and portable devices to allow DHS staff to be more mobile in addressing routine tasks (e.g. child care licensing) and for responding to emergency disasters (e.g. emergency food stamps); explore the possibility of expanding the concept of telecommuting with the availability of portable devices. Hawai`i Integrated Justice Information Sharing Program (HIJIS) Strategic initiative to build enterprise-wide integrated information sharing capabilities between justice agencies and other government entities throughout the State to improve public safety and enhance the efficiency of operations. Hawai`i Health Data Warehouse Strategic initiative to standardize the collection and management of Hawai`i’s health data; dedicated to providing useful data to support public health professionals, the community and health agencies to become more effective in the application of health data. Tax Modernization Strategic initiative to explore ways to streamline and modernize tax processing electronically so that it is more cost effective and efficient. Health IT Health information technology initiative to improve the quality and efficiency of health care through electronic health record (EHR). Hawai`i Broadband Initiative A major economic development initiative to provide statewide access to affordable ultra, high-speed Internet by 2018. Positions Hawai`i to be the first state in the nation with 1 gigabit per second broadband connectivity at every public school, every public library, and every public university and college campus by using about Pending Review of federal monies received through the American Recovery and Reinvestment Act (ARRA).

Implications for the Enterprise Establish and leverage enterprise application integration capabilities

DHS

Establish and leverage enterprise capabilities in BPR methodology, mobile apps, and telecommuting

AG

One of the largest, most successful information sharing initiatives in the State – pattern for broader adoption One of the most successful data sharing initiatives in the State – pattern for broader adoption Position enterprise for broader Financial Management improvements Establish and leverage enterprise application integration capabilities Leverage connectivity for State offices at remote islands and improvements for State NGN

DOH

DOTAX

HHSC

DBEDT/DCA

6.3.1.2 LEGACY APPLICATION SOLUTION UPGRADES
As the State modernizes its solution platforms, there will be a number of compelling drivers to re-platform sets of applications. Some notable reasons would be the age and condition of the platform, such as the legacy mainframe applications; or that a platform may be eliminated such as Lotus Domino. This initiative would assess and stabilize critical applications. An analysis of the overall applications portfolio will identify the top risk areas. Projects will be authorized to plan and work through conversions, upgrades, and refreshes to stabilize the applications. Examples include:

• Continue work underway to implement

near-term enhancements to the legacy payroll system to automate EFT to minimize demands for check printing.
• Stabilize the email system versions and

technology lifecycle management and refresh plans. This initiative is included in the ETA, Section 7 below.

enhance overall enterprise capabilities ncluding addressing a global address list and shared calendaring.
• Migrate current Lotus Domino applications

6.3.2 RATIONALIZE AND INTEGRATE 6.3.2.1 IMPLEMENT ERP SYSTEM
The State is moving forward with implementation of an enterprise-wide ERP system that will replace the large majority of the current “central” systems within the Enterprise Support Services band. The conceptual solutions architecture has established a notional set of current systems that should be replaced by the ERP system. The ERP implementation is a critical foundational component of the future strategy. As stated in the Final Report, the proliferation
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to a standard enterprise solution pattern for web applications. The portfolio management process and program is being established along with other IT/IRM programs in OIMT such as the EA program. The applications perspective of the portfolio management process will include considerations for the appropriate life cycle of all applications software and plan for its replacement at the proper time. Create application

State of Hawaii Business and IT/IRM Transformation Plan

of many applications within the current state architecture is the result of the significant issues that the Departments have with the common central systems. A significant percentage of the goals and objectives related to business and IT/IRM transformation can be accomplished through a successful ERP system implementation. The plan for ERP implementation is specified in more detail in Appendix A.

IDENTITY MANAGEMENT SOLUTION
Establish a standard solution for management of user account identity and authorized roles and access permissions integrated with standard user directory services and enterprise services for authentication.

CUSTOMER SERVICE SOLUTION (REQUEST AND INCIDENT REPORTING)
In conjunction with organizational changes to standardize on shared service centers such as an Enterprise IT Service Desk or other back office functions related to the ERP implementation, establish an enterprise-level service desk or call center solution with tracking for resolution of all customer or user service and support requests, incidents, and event resolution.

ENTERPRISE DASHBOARD SOLUTION
Establish a standard managementlevel dashboard reporting solution with supporting data aggregation and summarization capabilities. Implement “rolling up” program-level information for project and operational performance, and institute processes for projects and operations to begin reporting.

6.3.2.2 IMPLEMENT OTHER ENTERPRISE SOLUTIONS
Additional significant opportunities exist for standardizing on common systems to support enterprise needs. Specific investment initiatives should be considered for the following critical areas, and the working groups in alignment with the technology domains within the ETA provide additional detail on these initiatives.

ENTERPRISE SYSTEM MANAGEMENT SOLUTION
Establish and implement an enterprise systems management solution, such as the SolarWinds product used in some organizations today. The enterprise systems management solution would automate basic availability (systems, service, and server uptime); capacity management (CPU, disk space, bandwidth, etc.); and security and data center operations. The solution would perform life cycle tracking of all events related to these areas and integrate event management information with the customer service solution.

OPEN GOVERNMENT SOLUTIONS
Establish a State of Hawai`i data. gov internal and public-facing web site to facilitate the sharing of “master data sets” as defined above. Support internal-facing (for State use as w ell as application integration through web services layered on top of XML data sets) and external, public-facing (for publishing public-domain master data sets). Establish an internal-facing web site to facilitate sharing of “master data sets” for application integration through web services layered on top of XML data sets.

ENTERPRISE EMAIL SYSTEM
Evaluate options for upgrade or replacement of the current email system to address a number of current issues such as the lack of a global address list or shared calendaring and to enhance the overall future enterprise capabilities for greater collaboration, migration towards smartphones and tablets, and greater efficiency and cost savings in from Total Cost of Ownership including future provisioning models “as a service”.

KNOWLEDGE MANAGEMENT SOLUTION
Establish enterprise processes and system for knowledge management. Utilize for IT services knowledge management initially, but consider use and application in other service areas. For IT services, ensure that all documentation regarding IT environments; IT system and server configurations; and known problems, workarounds, solutions, and resolution scripts are all stored within the knowledge management repository. Ensure that IT workers at all levels use the knowledge management repository for environment and work instruction documentation.

6.3.2.3 ESTABLISH STANDARD ENTERPRISE SOLUTION PATTERNS
The State of Hawai`i will establish standard enterprise patterns for kinds of common solutions such as web applications, mobile applications, data analytics applications, and web services. As discussed above, the desired outcomes in establishing the patterns are as follows:
• Simplify and standardize to capitalize

ENTERPRISE COLLABORATION SOLUTION
Establish standard collaboration solutions across the State adopting technology platforms such as Microsoft SharePoint or Lotus Domino Quickr (in conjunction with the email system initiative). Implement necessary technical underpinnings and connectivity for cross-departmental workgroup and project collaboration.

on staff expertise, reduce support costs, and to facilitate reusable code and data across the environment.
• Rapidly baseline current assumptions

regarding sunset, legacy, preferred, and standard application platforms, architectural stacks, and technologies, and develop standards and guidance
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regarding future technology decisions, specifically with respect to application architecture, design, and implementation for use and adoption across the Departments, Divisions, and programs; and create a communication plan to “market” the standards and guidance within each Department. Upgrade needed human resource skills for growth including both advanced training programs for staff and putting in place contractor resources.

• Leverage successful models, such as HIC’s work for DLNR or

Ocean IT’s mobile app development for DOD, and adjust as needed to minimize the approaches used. The State will approach the adoption of solution patterns in an evolutionary manner that moves the State through what are defined as four different Operating Levels as described in Table 19 below.

Table 19: Solution Pattern Operating Levels Indicating Evolution of Adoption within the Enterprise

Service Types Opportunistic

Level Characteristics At this initial level the state is looking for projects to attach to the initiative and include the definition of pattern artifacts in the project scope. The idea is to attach to projects that are on task to create applications that are prototypical of one of the solution patterns, and to capture and document the best practice guidelines being used by that project. At this level, projects will be selected that might benefit from one or more of the documented solution patterns. The initiative will attach these projects and offer pattern guidance and validate and improve the pattern guidance. At this level, use of pattern guidance should be relatively routine part of the development process. The initiative will be more focused on interacting with projects to determine the patterns they are using and incorporate any feedback, rather than offering counseling and guidance. At this level the set of solution patterns are essentially complete and the initiative is focused on tracking the use of the patterns and recognizing the need for new patterns as technology advances.

Tactical Strategic

Managed

Tracking the state’s progress through these four operational levels will facilitate the ongoing process of selling and obtaining funding for the Solution Patterns initiative by providing some quantifiable measurement of the adoption of and use of the patterns across the enterprise. Within this implementation framework, the State should continue to review, refine, and expand its set of enterprise solution patterns. The initial set of priority patterns are outlined below and expanded in the ETA in Section 7.

ENTERPRISE DATA ANALYTICS APPLICATION SOLUTION PATTERN
Establish a standard data analytics solution pattern and approach with standard methods, skilled resources, and tools. Evaluate and leverage, as appropriate, notable implementations of end-user data access systems to make critical data available for analysis and decision making, specifically: FAMIS Data Mart, DOH Data Warehouse, and Juvenile Justice Information System (JJIS).

ENTERPRISE WEB APPLICATION SOLUTION PATTERN
Standardize on common solution methods, architectures, and technologies for web applications development. The most common in use today within the State include the Linux/Apache/ MySQL/PHP or Python (LAMP) stack, the Windows stack (Windows\IIS\SQL Server\.NET), and the Java web application stack (Linux or Solaris/Tomcat/JSP).

ENTERPRISE APPLICATION INTEGRATION WEB SERVICE SOLUTION PATTERN
Establish a standard enterprise solution for application integration that includes standard approaches, methods, knowledge/ expertise, skilled resources, and tools/technologies to enable and support web services implementation and use. Evaluate and leverage notable implementations of application data integration through advanced capabilities (e.g., SOA, specifically DOH Services Implementation and HIC).

ENTERPRISE MOBILE APPLICATION SOLUTION PATTERN
Establish a standard mobile applications solution pattern and approach with standard methods, skill development, contractor resources, and tools/technologies. Conduct in conjunction with adoption of preferred smartphones and tablets in the future state technology architecture. Since mobile application development has a very small footprint in the State at this time, this initiative will need to analyze, pilot, and invest/implement in a standard approach, capabilities, and tools for developing mobile applications.

COMMUNITY APPLICATION SOFTWARE “STORES”, REPOSITORIES, AND DIRECTORIES
In conjunction with establishing these standard application solution patterns, establish capabilities to facilitate application software subscription, download, or common source code reuse. There are two primary considerations: an app store to subscribe and download standard apps, and shared source code or web services for reuse in application development.

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• App Store – anticipate future mobile apps for the State and

establish “app stores” for internal marketing of existing application capabilities and the ability for organizations to reuse those applications – a version of an internal “apps store” catalog.
• Community Source Repository – anticipate reuse of

6.3.2.4 IMPLEMENT ENTERPRISE APPLICATION INTEGRATION SERVICES
The State of Hawai`i will achieve integration strategies across its enterprise and LOB application solutions through the implementation of an integration services layer within the ESA. Similar to the solution pattern implementation described above, these enterprise services, the State will approach the adoption of a services oriented applications development approach in an evolutionary manner that moves the state through the four different Operating Levels as outlined in Table 20.

considerable portions (services/components) of application code such as single sign on or payment processing. Ability to leverage shared source code across trusted communities within or outside the State using a SourceForge type collaboration environment. Include trusted specifications, component code, or application code from other states.
• Web Services Directory – anticipate future enterprise web

services for the State and establish web service directories using industry standards such as UDDI (Universal Description, Discovery, and Integration) specifications. Table 20: Services-Oriented Operating Levels indicating Evolution of Adoption within the Enterprise

Operating Level Opportunistic

Level Characteristics At this initial level the state is beginning to prototype and defines its services-oriented development policies and procedures. Pilot projects are being selected based on their suitability for refining those policies and procedures, and for their suitability in proving out required technology elements of the EA. The focus is on selecting and investing in projects that will produce quick success and bolster the efforts to sell and fund an ongoing enterprise application integration initiative. At this level, rudimentary policies, procedures, and technology components are in place and are being refined based on lessons learned. Projects are being selected that focus the effort to build low level cross-cutting services that can be used by multiple lines of business. It is at this level that the details around versioning, testing, and deployment of services are being fleshed out. At this level, polices, procedures, and technology components are well established and the focus on investment in servicesoriented development is on the retirement of legacy applications and infrastructure using the SOA model that builds replacement software incrementally using the technique of service composition. At this level not only are the policy, procedure and technical components established and in widespread use, but there is an active and robust measurement and management program in place that tracks the use of developed services and focuses service development to improve performance and extend re-use opportunities.
can be roughly categorized into three different value categories:
• SOA Integration Projects

Tactical

Strategic

Managed

Tracking the state’s progress through these four operational levels will facilitate the ongoing process of selling and obtaining funding for the enterprise integration initiative by providing some quantifiable measurement of the adoption of services-oriented principles across the enterprise. Rather than define and build out a full governance and technology stack upon which to build SOA compliant services, the state will take an approach that provides for investment in projects that can incrementally fill out gaps in the EA, and incrementally bring governance processes and technology onboard. Consequently the selection of projects for SOA investment will be a critical success factor for the SOA implementation. Industry best practice research indicates that highly successful SOA based projects

SOA Integration Projects employ industry open and standardized service technologies (XML, WSDL, etc.) to provide synchronization of data flow among applications, most notably between custom written applications and COTS software packages. The use of open and standard service technologies and design approaches often result in a much improved cost profile over older point to-point custom interfaces or more traditional EAI software, e.g. SAP XI, Tibco, BizTalk, IBM MQSeries, MS MSMQ, etc.
• New Composite Application Projects

service level components. Existing legacy applications, on the other hand, are not generally well-suited to service composite solutions because of their dependence on proprietary technologies and their highly stovepipe design focused on automating specific business processes. Identifying new applications that can benefit from a SOA approach of development of low level and composite services will provide for applications that are more maintainable, and that provide opportunities for component reuse by other applications.
• Mainframe/Legacy

Modernization Projects Mainframes and associated legacy applications often consume the lion’s share of an organization’s IT budget. Retiring those applications and associated
Enterprise Architecture

New custom written applications are largely Web based and consequently are well positioned to make use of SOA

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infrastructure can be a daunting and long term proposition, high in cost and full of risk. An incremental approach that can be used is to build out new user facing applications that leverage the existing legacy applications by interfacing with SOA wrapped services that abstract the functionality of the underlying legacy application. Creating these wrappers provides a migration path toward applications with new user facing technologies that continue to use the legacy functions of the existing applications. Over time, these new user facing applications built as a composition of services can be redirected toward new back-end services that replace the legacy functionality. Unlike traditional approaches that use a rigorous waterfall approach to infrastructure build out, the SOA framework here is expected to be built out incrementally. It provides the State with the ability to select projects that can contribute to the SOA build out, regardless of the SOA operating level that is in play. Over time the state will realize a flexible SOA infrastructure and a rich inventory of services that provide for effective maintainability and high re-use. Consistent with the notional set of enterprise services included in the Conceptual Solutions Architecture, the initial set of priority services are outlined below and included in the ETA, Section 7.

BUSINESS ANALYTICS SERVICES – DASHBOARD REPORTING
Establish common services for reporting performance data against measures that need to be reported in a common dashboard reporting solution.

BACK OFFICE SERVICES – ERP
Establish common services within the financial management and human resource management domains in conjunction with the ERP implementation.

PROCESS AUTOMATION SERVICES – WORKFLOW
Establish common services to support enterprise workflow across application solutions.

PROCESS AUTOMATION SERVICES – CASE MANAGEMENT
Establish common services to support a case management life cycle and data reuse across application solutions.

SUPPORT SERVICES – SECURITY – IDENTITY AND ACCESS MANAGEMENT
Establish a standard set of authentication and single sign on services for use by all enterprise applications.

CUSTOMER SERVICES – EVENT/ INCIDENT/REQUEST REPORTING
Establish common services to support reporting of events, incidents, or requests that need to be tracked in a common customer service solution.

DIGITAL ASSET SERVICES – DOCUMENT/RECORDS MANAGEMENT
Establish common services for identification and submission of digital content to be managed as an official document or record. Investigate current capabilities that exist: KOFAX and/or IBM FileNet within DOT, B&F, (and the Judiciary), AG, DAGS, DOTAX.

BUSINESS ANALYTICS SERVICES – GEOSPATIAL
Establish common services for linking and visualizing State data with geospatial data. Investigate current capabilities such as ARCInfo within DOD, DAGS, DOT, DBEDT, DLNR, DOH, HDOA, AG, DOE, and UH.

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7.0 ENTERPRISE TECHNOLOGY ARCHITECTURE
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ENTERPRISE TECHNOLOGY ARCHITECTURE
The ETA is defined is a “logically consistent set of principles, practices, standards, and guidelines that are derived from business requirements and that guide the creation of an organization’s technical infrastructure.” For the State of Hawai`i , the ETA represents the technology infrastructure environment that must support the ESA in terms of the Enterprise Mission Systems, Enterprise Support Systems, and Enterprise Services bands. The following sections describe the current state of the ETA, the future state vision, and the gap closure activities that will be represented in the T&S Plan. In addition, the working documents that have been created by the various Technology Working Groups are available in a separate Supplemental Addendum to this document. A hyperlink to this addendum and the specific working group information is provided where appropriate.

7.1

ETA CURRENT STATE

The current state of the ETA, identified as part of the Final Report, is very decentralized because it supports a very decentralized ESA and EIA. The rationale for this decentralization is the same as described previously in the EBA, EIA, and ESA (i.e., funding sources, lack of standards provided by an EA, historic lack of a State CIO and governance). Figure 27 depicts the ETA and the lack of integration and alignment statewide.

Figure 27: Current State ETA

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The current state of technology within the State are summarized in Table 21 and organized by architectural domains associated with the ETA. In some instances, a number of Departments have strong technical solutions in place, those instances have been identified in the table but overall represent a very small portion of IT and still do not adhere to a consistent approach when viewed enterprise wide. The current state technology device type data within the EA repository includes approximately 6400 different product types being used at present. And currently the State has approximately: 15 server rooms (based on a < 500 square feet measure), five server closets (based on < 200 sq. ft.), and three data centers performing hosting services. Both of these factors indicate the opportunity for consolidation and consistency. Table 21: Technical Architecture Domain/Sub-Domain and Current State of Technology Details

Technical Architecture Domain Collaboration and Messaging

Sub-Domain Email

Current Environment Details Lotus Notes – most pervasive across all Departments, departments running 6.0, 6.5, 7.0 and 7.5 Some instances of Exchange (Employee Retirement System (ERA), Employee and Union Trust Fund (EUTF), DOE, DOH, Attorney General (AG)-HCJDC) UH is migrating to Google Mail (Cloud-based)

Broadcast, User Messaging, and Social Media

Emerging interest in and use of Twitter, Facebook (Governor’s and Lieutenant. Governor’s Offices, Department of Hawaiian Home Lands (DHHL)) Broadcast messaging products used in State Civil Defense and University of Hawai`i (UH) No standard enterprise solution selected for collaboration SharePoint purchased for use in DOE, DOH, Budget and Finance (B&F), Office of Hawai`i an Affairs (OHA) Minimal use of Lotus/Domino for collaboration UH is utilizing Google Apps DOT is utilizing Lotus/Domino TeamRoom

Collaborative Workspaces

Information Management

Document Management

No standard enterprise solution Document and imaging system components KOFAX and IBM FileNet being used in Department of Transportation (DOT), B&F, OHA, Department of Accounting and General Services (DAGS) Adobe and Microsoft Office products are prevalent across all Departments Global 360 Imaging and Workflow software are implemented and used by Department of Commerce and Consumer Affairs (DCCA) AG and Department of Business Economic Development and Tourism (DBEDT) are utilizing DropBox

Data Management Analysis, Visualization and Reporting GIS

Oracle, SQL Server, MySQL, Adabas, APPX, DB2 Crystal Reports is used in DOTAX Oracle Discoverer is used by DOT ARCInfo used in DOD, DAGS, DOT, DBEDT, Department of Land and Natural Resources (DLNR), DOH, Department of Agriculture (HDOA), AG, DOE, UH

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Table 21: Technical Architecture Domain/Sub-Domain and Current State of Technology Details

Technical Architecture Domain Application Environments

Sub-Domain Application Interaction and Integration Client Server Applications Web Applications Mobile Applications Embedded Systems

Current Environment Details Enterprise Services Bus technologies used in DOH and HIJIS IBM Rational Architect PowerBuilder is implemented. Java, .Net, PHP, Perl, Oracle Forms used across the State Emerging need identified with only Department of Defense (DOD) having a non-publicfacing one, MERCI Control systems for DOT External DNS servers reside on the Information and Communications Services Division (ICSD) network Most Departments have internal DNS servers Centralized Active Directory does not exist; numerous Departments deploy Active Directory to manage local infrastructure

Infrastructure

Directory Services

Enterprise Systems Management (configuration, performance, capacity, availability, licensing, patching) Servers and Storage Hosting Environments, Cloud, and Data Center Disaster Recovery

No enterprise-wide fault, configuration, performance, or capacity management tools exist in the State Each Department is responsible for monitoring and managing its own infrastructure Decentralized annual software license management Very diverse with no consistency in terms of vendor products Server-hosted environment at ICSD Very diverse with no consistency in terms of vendor products DLNR has an installation with DRFortress HIC recently migrated to SystemMetrics Endeavor data center ICSD uses Veritas and Tivoli to perform tape and data backups

Unified Communications

ICSD-managed video conference center established to support, schedule, and troubleshoot Contains multiple video bridges for large conference support DBEDT utilizes Skype to communicate with non-State business prospects Majority of the State utilizes Hawaiian Telcom (HATS) contract for Centrex phone services Some key systems exist as do small pockets of VoIP Many employees utilize their personal cellular and/or smartphones or iPhones for non-office voice service

Network

Wired

ICSD-managed Cisco-based MPLS network is structured to provide services to all Departments Each Department supports internal LAN with mixed vendor networks

Wireless

No Wi-Fi policy or enterprise solution is available to the Departments Departments have deployed Wi-Fi independently where required “Rogue” access points exist as end users install consumer WiFi devices

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Table 21: Technical Architecture Domain/Sub-Domain and Current State of Technology Details

Technical Architecture Domain Network End User Computing

Sub-Domain Radio

Current Environment Details Robust Radio Frequency (RF)-based network is in place; however, it is a single threaded organization with one person in charge of all infrastructure Departments have discretion to buy desktop/laptop devices (most use Western States Contracting Alliance [WSCA] vehicle) No standard operating system or enterprise image exists All purchasing and warranty support is done at the Department level Many employees utilize their personal Smartphones or iPhones for non-office email service

Desktops, Laptops, and Mobile Devices

User Productivity Software User Presentation Peripherals Information Assurance and Privacy Anti Virus/Spam Security (Authentication, Authorization, Credentials, etc.)

Operating system is being driven by legacy applications; new PCs ship with Windows 7 but in many cases the Departments must downgrade them to Windows XP to run native legacy applications No standard offerings exist for users to select software; the State is not leveraging enterprise-level discounts for common tools Printers, fax support. Each department is purchasing individual and workgroup peripherals All Departments have endpoint security deployed via Symantec or similar offerings There is no governance standard at the State level for secure authentication There is no hard-drive encryption policy Virtual Firewall and IPS deployed on NGN connections to each Department Some Departments engage third parties for penetration testing and security policy creation

Privacy Security Policy

Lacking common PII controls to manage and monitor the electronic release of PII data via means such as email Departments have standalone security devices which do not comply to a standard set of rules ICSD has virtual firewall on departmental edge of NGN which protect the backbone network

7.2

ETA FUTURE STATE

The future state vision for the State of Hawai`i’s ETA enables rapid deployment of new services to the Departments, employees, and citizens. It supports the EBA, EIA, and ESA. As the ETA future state is implemented the following items should guide all decisions:

Guiding Principles for Implementing the ETA Future State
• Align Business and Technology - A Department’s business and IT • Incorporate Security Elements in Every Design - Designs for all new

staffs understand its business functions and the role of technology in supporting these business functions. They jointly have the responsibility for defining IT needs and ensuring that the systems provide defined business benefits and that these systems are simultaneously aligned from a technical perspective with the ETA standards.
• Design for Sharing - Facilitating information sharing (within the

systems must include security (e.g., access and protection) requirements from the outset to ensure that the State is not vulnerable to threats.
• Design for Growth - Ensure the technical infrastructure investments

accommodate growth to create the lowest total cost of ownership while creating the greatest flexibility for future growth.
• Design for Performance and Reliability Metering – Implement technology

Departments, the LOB, and across the enterprise) is a key consideration for all IT implementation actions.

to capture performance measurements to support management and analysis of the IT environment.

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7.2.1 ELEMENTS OF THE ETA FUTURE STATE VISION
Given the vision and tenets cited above, Figure 28 illustrates the key technical elements of the future state vision.

Figure 28: ETA Future State Vision for Hawai`i

The Strategic Plan, EBA, EIA, and ESA of the EA document a vision for the use of organization and governance, information, solutions, and technology within the State. The following defines the key attributes of the ETA layer:
• Information Sharing: Every Department can exchange

The technology areas depicted in Figure 28 represent critical pieces of the overall technology domain. Each technology domain will be described in detail later in the ETA document but the following describe new levels of services and convergence going forward.

and access information electronically, both internally within government and externally throughout the State, nation, and world in a secure manner and as authorized. ETA sets the technology standards for sharing information.
• Collaboration: Formal and informal groups work to break

7.2.1.1 INFRASTRUCTURE: HAWAI`I CLOUD COMPUTING CENTERS (HC3)
The HC3 represents the infrastructure environment after the consolidation of the majority of Departmental applications and servers into a common set of special purpose data centers. The HC3 facilities provide hosting, virtualization, cloud computing, storage management, and disaster recovery services for the State. The upfront design of the HC3 facilitates public/private partnerships constructed to provide services to business inside and outside Hawai`i . The HC3 includes two data center facilities in Oahu (one State-owned and one non-State owned) to immediately support State computing requirements. To further leverage geographic separation of services, and to best serve the communities outside of Honolulu County, additional public/private facilities in each of the other three counties will provide enhanced services while leveraging consolidation, virtualization, common IT service management and the use of cloud computing throughout Hawai`i
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down barriers and provide consistent practices to share technology investments to support the delivery of business functions. ETA describes collaborative environments and content management approaches that brings together data and information to support physical and virtual collaboration across Hawai`i .
• Convergence: Every dollar expended on IT is maximized

through enterprise cooperation, coordination, and resource sharing. Supporting this convergence, the ETA describes the technology targets and the preferred future state technologies while identifying those technologies that have reached end of-life must be retired as quickly and smartly as possible. In addition, the ETA identifies emerging technologies for research and proof of concept analysis.

State of Hawaii Business and IT/IRM Transformation Plan

7.2.1.2 ONE NETWORK FOR HAWAI`I (ONENET)
New network technologies are creating a revolution in technology that are fueling information access and communications needs. The Internet, as a global networking infrastructure, continues to make the world a smaller and more demanding place. Wireless computing paves the way for an “anytime, anywhere connected” networking environment. This has introduced an “always-connected” citizen community that has extensive requirements for mobility computing. Recent advances in convergence technologies not only promote the convergence of a single physical IP infrastructure, but also introduce convergence of feature-rich services that can be provided in a secure, reliable, cost effective manner to meet the State’s mission. A singled network, OneNet, fulfills the network needs of all State Departments to employees and citizens in the State of Hawai`i with guaranteed performance levels.

7.2.1.4 INFORMATION ASSURANCE AND PRIVACY
The State has a fully integrated Security Operations Center (SOC) and Computer Security Incident Response Center (CSIRC) to
• provide uninterrupted security services

tools such as smartphones, scanners, and tablets or laptops. These tools will allow dynamic access to the Incident Management System and the technical Knowledge Base and reduce times resolving issues and providing service for the users. Enterprise Operations also includes a “help desk” capability that extends beyond IT by providing the full scope of Enterprise Services band (discussed as part of the ESA).

while improving security incident response times,
• reduce security threats to the State, and • enable quicker, well-coordinated

7.2.1.6 COLLABORATION AND MESSAGING
Efficient communications and information access between the State and citizens is critical to the success of any program or service. Convergence technologies associated with collaboration and messaging play a pivotal role in bringing about a powerful and revolutionary change and render many devices obsolete (e.g., traditional telephone handset, facsimiles). Online convergence services provide integrated services in a single environment including:
• Integrated Multi-Media Online

notification to all State Departments regarding security threats or issues. The SOC applies ITIL practices and processes including incident, problem, change, configuration management, release management, and security management. Data mining and digital dashboard capabilities provide instant visibility into the security of the State enterprise. Security incident data mining capability enables the State to analyze and prevent future security incidents. Proactive monitoring of email and data services precludes the release of Personally Identifiable Information (PII) or the loss/leakage of other sensitive data sets which may compromise the State or an individual Department.

7.2.1.3 ADAPTIVE COMPUTING ENVIRONMENT (ACE)
The Adaptive Computing Environment (ACE) establishes a consistent configuration for computing devices across the State using pre-approved vendors. State employees can order standard systems that are engineered to operate most efficiently in the OneNet environment. Choices are provided based on job classification for mobile/ tablet solutions, laptop/desktop or a strictly virtual environment for certain work. These systems require fewer support resources than non-standard configurations, enhance overall support effectiveness, and reduce total cost of ownership. The State uses a multiyear lease cycle for computing assets to ensure personal computing assets periodic refresh of technology for every Department to minimize asset issues, and shifts maintenance support of the hardware to the vendor.

Communications Services: A common interface provides communications services including voice to data to video. This service is provided by an online application environment.
• Collaboration and Conferencing

7.2.1.5 ENTERPRISE OPERATIONS
A single interactive Help Desk using technologies such as Voice over Internet Protocol (VoIP), live chat, video conferencing, and remote management tools provides service to the State user community. Users speak with their Help Desk representative directly as well as desk side technicians, as appropriate. The use of the remote management software enables Help Desk staff to demonstrate solutions “live” for the client. The implementation of customer service improvements including a fully developed three-tiered service model enhances Help Desk response time for problem resolution and creates an increased number of completed calls while maintaining high quality service. Enterprise Operations also includes the provision of field support staff with

Services: An integrated solution provides voice, video, and Web collaboration services are provided via robust VoIP solutions.
• Multimedia Content and Information

Services: OneNet provides quick and efficient access services to media rich and diverse content by authorized users anywhere, any time. Seamless Transition Communication Services: With mobility dominating the landscape, non-interruption of services is a must. In the course of using a service, such as voice services, a mobile user transitions from one environment to another without any service interruption.

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The following section contains the details of one of the key elements, Information Technology Services Management (ITSM) proposed for the future state of the ETA. This section is organized with the following elements:
• Definition – A brief statement to set

perspective and define the need for the domain or sub-domain architecture.
• Current State – A description of current

environment is reactive to technologybased problems. Within the various Departments and specifically the “have” organizations, SAIC found operational examples of Level 2 (service-focused environments with aspects of repeatable processes) with definite movement toward Level 3 (customer focused environments with defined processes).

• Service Excellence – Have we defined

what service excellence means to our customers?
• Service Performance Measurement –

What are our measures, and how are we measuring them? The role of IT, specifically the solutions/ systems and supporting infrastructure, is woven very deeply into business service success. The predominant customer experience with a business service and his or her impression of it is defined through the IT solutions with which they interact. Therefore, it becomes imperative for us to understand the IT systems that we have and how they map to these LOBs and business services. Managing the overall portfolio of services, and the associated IT systems and investments is critical. Again, additional key questions regarding these systems?
• How well are these systems supporting

FUTURE STATE VISION FOR ITSM
The future state eliminates stove-piped IT services and infrastructure by employing state-wide IT Service Management (ITSM). IT governance for the State employs a philosophy of managing IT services through the use of industry best practices for the improvement of business functions. ITSM is the philosophy of managing IT services, through the use of industry best practices for the improvement of business functions. The goal of ITSM is to:
• align services with the needs of

Strengths, Weaknesses, Opportunities, and Threats (SWOT) for the domain.
• Future State – A description of the

future state vision for the domain or sub-domain.
• Best Practices – A comprehensive

listing of the best practices to guide the implementation of the ITSM.
• Transition & Sequencing Plan Summary

– A list of initiatives and activities required to fully implement ITSM within the State.

the employee and/or citizen?
• What are the mission critical or

7.2.1.7 IT SERVICES MANAGEMENT (ITSM) FRAMEWORK
The future state for IT services management, and even a broader scope of a strong service management discipline across all business services provided by the State, is based upon the adoption of mature industry models and best practices such as the IT Infrastructure Library (ITIL) for ITSM, the ISO 20000 standard for ITSM, and the Capability Maturity Model – Integrated (CMMI) for Services. The goal is to align services with the customer needs. Through the creation of service level agreements and the associated performance measurement, customers know what to expect from service providers and have the assurance that the service expectations are met.

the customer;
• improve the quality of IT services

mission essential services, and associated systems?
• Have we categorized the priority and

whatever way the customer expresses quality and value,
• reduce the long-term cost of

criticality of our systems and protected them accordingly? Our service management discipline should incorporate the continuous feedback from our customer base regarding their expectations and satisfaction with the delivery of services. And it should include the two-way communications regarding the service levels to be expected to “level set” the customer expectations. This is the essence of a service level agreement. The customer should have a simple solution for contacting the State regarding any issue with the receipt of services – being able to contact a Service Desk through a standard phone number, or Web site, or email, text, or tweet.

service provisioning.

SERVICE MANAGEMENT
The future state vision for service management ensures that these industry best practices include the broader scope of the State’s 35 lines of business and approximately 200 defined business services provided to 1.4 million citizens/residents by over 40,000 employees. Service delivery team members (including vendors) focus on providing services as needed when and where needed at the appropriate level of quality and cost while always ensuring the alignment with the customer or business requirements. The fundamental elements of this service management discipline answer the following key questions:
• Service Definition – What are our

CURRENT STATE SWOT FOR ITSM
The current state or As Is environment for ITSM in the State of Hawai`i is characterized in the Final Report in detail. In summary, SAIC rated the State’s enterprise ITSM maturity at a Level 1 (service management processes initiated) where 50% of the time the

products and services?

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ITSM
The starting point for realizing the future state vision is to adopt an ITSM framework to manage IT service provision. OIMT will adopt a tailored ITIL-compliant service management model as a best practice for establishing enterprise-level IT services. The elements of the vision include:
• Implementing an ITIL-based systems management infrastructure • Proactive system monitoring to improve up-time

• A knowledgebase as a cornerstone component where IT staff

can share problem resolutions and environment knowledge to enhance everyone’s productivity and efficiency in providing service support
• Empowered users with a self-help portal that

is characterized by: – access into the knowledgebase where anyone can obtain assistance in compliance to information sensitivity – the ability to check the status an inquiry/request/problem, with transparency on who was last assigned the ticket – information about systems accessible anytime and anywhere – An overall IT service delivery environment characterized by timely response and feedback from the service providers and positive customer satisfaction Figure 29 illustrates the ITSM future state process model.

and user experience
• Consolidation of all service support and operations through

a Service Management Operations Center
• A one stop shop (service desk) for services anytime and

anywhere with 24x7x365 support, access, and availability, and secure remote access for problem resolution

Figure 29: Future State Vision for the ITSM Model

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ITSM BEST PRACTICES
Table 22 outlines the best practices to be adopted in ITSM as part of this vision. The practices are organized by the ITIL Version 3.0 life cycle phases Table 22: Future State ITSM Best Practices

ITSM Life Cycle Phase ITSM Process Area Service Strategy Service Portfolio Management Service Portfolio Management Financial / Budgeting and Accounting Management Service Strategy Service Level Management Service Catalog Management Availability and Capacity Management Service Continuity Management Information Security Management Supplier Management Service Transition Knowledge Management

Best Practices
• Full life cycle of new and planned services, broader than the Service Catalog • Includes life cycle of planning for new services • Includes validating demands for new and current services from all customers • Customer service reps would be great approach for this • Includes funding model and accounting for all planned and current services • Address “fee for service” planning and accounting • Service level agreements and operating level agreements

• Active service catalog with automated rapid provisioning

• Proactive analysis of availability and capacity trends and planning and designing response

through supply chain

• Proactive analysis, planning, policy, and design of service continuity solutions

• Proactive analysis, planning, policy, and design of information

security framework and technologies

• Supply chain components of service catalog • Most critical capability in all of ITIL V3 – all functions and organizations using a common

knowledge management system

• All processes, functions, and organizations incorporate knowledge capture

Change Management

• Common enterprise Request For Change (RFC) process • enterprise Change Advisory Board (CAB) • Forward Schedule of Change

Configuration and Asset Management Release Management Service Operations Incident Management

• Federated Configuration Management Data Base (CMDB) • Integration with enterprise asset management processes • Enterprise level process for approved RFCs • Release, deployment, validation, and testing • Full incident response model that drives response group and logic from incident categorization • Tailored response from High Priority outages requiring immediate notification and 24x7 response

team to lower priority Tier 1 response

Event Management

• Enterprise systems management capability – tracking all devices/components,

up-time, resource usage

• Automate the linkage of events from Enterprise Systems Management to the Incident Management

Problem Management Access Management Request Fulfillment

• Most important discipline to identify and capture solutions for new, recurring problems

and push resolutions to lowest tier

• Automation of account resets, account requests and associated approval workflows • Multi-channel request capability, (800 number, text, email, Tier 0 Web request,

mobile app, tweet, etc.)

• Service catalog integration and rapid provisioning models (Select-Provision-Manage)

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ETA TRANSITION AND SEQUENCING PLANNING SUMMARY FOR ITSM
In terms of the transition and sequencing plan for ITSM the tasks and activities are identified in relation to the service elements that are inherent to the ITSM. Additionally, outcomes and deliverables as well as dependencies are provided to guide the implementation activities. Table 23 provides additional detail on the initiatives required to ensure the successful implementation of the ITSM in conjunction with the implementation of the “new” enterprise infrastructure.

Table 23: ITSM Implementation Actions

ITSM Initiatives ITSM Program Development

Tasks/Actions
• Survey enterprise for existing service management

Outcomes / Deliverables
• ITSM Implementation Plan

Dependencies
• Confirm staffing

operations (what do we have?), capacity evaluation / assessment / requirement

• Communication planning and execution • Training/consulting in ITIL • Certification program (initiation/planning) • Curriculum development including University (UHM, HPU,

including organizational change, architecture, implementation, operations and maintenance

• ITSM Organization • ITSM Consulting

included within People and Organization Plan – FTE for Program Communications and Training

and Training Contractor

Chaminade, CC, etc.)

• ITSM Training Program • Certification/training

program roll-out

• Curriculum development

including University (UHM, HPU, Chaminade, CC, etc.) including funding model with fee for service introduction methodology
• Confirm staffing

Service Portfolio Development

• Use as a basis for planning and expanding the new OIMT

enterprise services to be offered including their definition, price/cost/funding structure, and service level agreements; leverages and re-purpose ICSD’s service catalog work. part of overall funding strategy for OIMT.

• Service Portfolio / Catalog

• Establish services cost build-ups and pricing structures as • Adapt new services/product/technology evaluation and

• New service / technology

included within People and Organization Plan – FTE for Portfolio and Funding Model development of rolling out new enterprise IT services included within People and Organization Plan – FTE for Customer Liaisons – ramp up over multi-year period to 12 representatives

• Conduct in advance

insertion methodology for services portfolio management.
• Customer Liaisons staffed

Customer Liaison Implementation

• Establish customer liaison or customer relationship

management role within OIMT and include services input and demand planning as part of the overall responsibilities. from Departments

• Confirm staffing

• Validate demands for new and current services • Facilitate and support LOB portfolio management activities

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Table 23: ITSM Implementation Actions

ITSM Initiatives IT Service Accounting System Implementation

Tasks/Actions
• Develop needed IT services cost measurement and

Outcomes / Deliverables
• Enterprise IT Services

Dependencies
• Leverage State ERP

accounting processes and systems

Accounting System deployed and operational

Financial Management module when operational; consider interim or pilot capability till that point included within People and Organization Plan – FTE for Portfolio and Funding Model development included within People and Organization Plan – FTE for Customer Liaisons – ramp up over multi-year period to 12 representatives

Service Portfolio Oversight

• On-going service portfolio oversight • Services funding model oversight • New service / product / technology evaluation /

• On-going service portfolio

• Confirm staffing

insertion oversight

On-going Customer Relationship Management

• On-going department customer liaison /

customer relationship management

• On-going customer

relationships

• Confirm staffing

SERVICES On-line Service Catalog Implementation
• Service Catalog Management • Publish services catalog-level information regarding all • Published Service Catalog • On-line request and rapid • Enterprise IT

production services through the OIMT web site in conjunction with services portfolio management discussed above. on the technical architecture.

provisioning capability implemented

Hardware / Software Procurements

• Include IT hardware products defined/authorized based

• Expand service catalog capabilities in the future to include

on-line requests and provisioning, e.g., use of a web form to request a virtual server and an automated provisioning system that implements the virtual server for the requester in near real-time.
• Enterprise service level

Service Level Reporting Implementation

• Service Level Management and Reporting • Develop a program plan for service-level measurement and

dashboard and reporting capabilities operational

• Depends on enterprise

analytics capabilities

reporting in conjunction with services portfolio management. methods and techniques/tools. dashboards for OIMT.

• Identify all required service-level measures and measurement

• Implement service-level reporting systems and summary

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Table 23: ITSM Implementation Actions

ITSM Initiatives

Tasks/Actions

Outcomes / Deliverables
• Availability, capacity,

Dependencies
• Depends on Enterprise

Enterprise IT Services Service Availability and Capacity Management Analytics Implementation • Implement end-to-end service monitoring system and measure up-time and response-time for critical applications, databases, processes, servers, storage devices, and networks. Leverage existing SolarWinds Orion toolset as the foundation.
• Profile server and storage inventory data to include

continuity, and security event analytics

Systems Management Implementation below in Service Operations

• Integrate with

capacity attributes.

Information Assurance and Privacy program

• Implement server and storage monitoring systems to

track and trend usage data.

• Integrate demand planning and usage trend analysis into

ongoing capacity management plan.

Service Security Management
• Integrate security operations monitoring and event response

with enterprise operations center approach.

• Establish standard security monitoring solutions, approaches,

and reporting. Leverage ArcSight and other existing products.

Service Supplier Management Implementation

Service Supplier Management
• Documenting and maintaining relationship with third-party

• Extension of enterprise service • Depends on Service

suppliers when used.

level dashboard and reporting capabilities to include supplier tier operations system to include suppliers

Level Reporting Implementation

• Measuring supplier performance. • Ensuring that suppliers participate in service request and

• Extension of service

incident management.

• Providing supplier reimbursement based on service fulfillment. • Benefits include integrated service delivery team, corrective

action, and dispute resolution.

SERVICE TRANSITION IT Service Knowledge Management System Implementation Knowledge Management
• Establish enterprise processes and a system • IT services knowledge

for knowledge management.

management system deployed and operational

• Depends on enterprise

collaboration service

• Depends on enterprise

• Ensure that all documentation regarding environments, asset

configuration, known problems, workarounds, solutions, user requests for service, and resolution scripts are stored within the knowledge management repository. management repository for environment and work instruction documentation. use this approach.

knowledge management service / system approach

• Ensure that IT workers at all levels use the knowledge

• Begin by ensuring that OIMT central services

Federated CMDB Implementation

Configuration and Asset Management
• Implement federated Configuration Management Data Base

• Federated CMDB deployed

and operational

• In parallel with enterprise

infrastructure deployment

(CMDB) – base federation on existing enterprise systems management tools, and build appropriate linkages/services to aggregate asset and configuration perspectives Add, Change, Delete authorization asset management services chain services

• Augment configuration management actions with appropriate • Integrate asset management transactions with enterprise • Integrate supply chain transactions with enterprise supply

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Table 23: ITSM Implementation Actions

ITSM Initiatives Service Transition (Change Management) System Implementation

Tasks/Actions Enterprise Change Management
• Record, plan, route, review, and approve changes associated

Outcomes / Deliverables
• Service Transition System

Dependencies
• In parallel with new

deployed and operational

with a configuration item.

enterprise service implementation Federated CMDB

• Provide adequate capacity to support change. • Ensure that change meets security, availability,

• In parallel with

and continuity requirements. expertise and authority.

• Convene a change review board with a balance of technical • Create an emergency change review process. • Communicate planned service outages through a schedule of

change and transition project portfolio.

• Perform post implementation reviews, project lessons learned,

and impact of change on incident volume.

Transition Project Management
• Address project management and oversight of all key

elements of a service/product/technology insertion with well-planned roll-out and upgrades to existing service/product technology including communications to and involvement of all key stakeholders in schedule decisions and transition execution, and impact analysis, planning, and mitigation.

Release, Validation, Testing, Deployment, and Evaluation Management
• Establish enterprise standards and procedures for execution

of releases to the production environment. on the production environment.

• Ensure adequate impact analysis and testing to mitigate impact • Ensure appropriate deployment plans are developed, tested,

and executed including roll-back procedures.

SERVICE OPERATIONS Enterprise Service Desk Implementation
• Establish Tier 1 Service Desk Function and ITIL Service • Enterprise Tier 1 Service Desk • In parallel with

Operation processes

established and operational

• Incident Management Provide/restore service as

quickly as possible by classifying, prioritizing, routing, and escalating incidents. Establish tier/escalation definitions. Communicate status of incidents. Validate user satisfaction with incident resolution. through workflow and approval, and submitting requests for fulfillment through incident management. Benefits include self-help, automation, and efficiency. service desk implementation.

• Service Operations processes

deployment of initial enterprise IT services

• Request Fulfillment – Capturing requests, distributing requests

• Access Management – Include all access requests in central • Problem Management – Establish root cause analysis

approach and procedures as part of a problem management process within the service operations program plan. Over time, ensure that all IT critical failures at all levels include a root cause analysis.

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Table 23: ITSM Implementation Actions

ITSM Initiatives Service Operations System Implementation Operations solution

Tasks/Actions
• Evaluate, select, and implement Integrated Service • Modules include:

Outcomes / Deliverables
• Integrated Service

Dependencies
• In parallel with Service

Operations Solution Management and Incident Management

Desk implementation enterprise systems management (event management integration)

• Integration of Event

• Integration with

- Enterprise “Ticketing” - Knowledge management - Self-help Web portal and tools - User Service Request - Integration with federated enterprise systems management tools (event management) - Remote support tool Enterprise Systems Management Implementation Event Management and Enterprise Systems Management
• Enhance operational availability monitoring through monitoring

• Enterprise systems

service infrastructure using network and server management tools, such as SolarWinds, CiscoWorks and Tivoli. system for automated ticket creation and support staff notification, where they are then tracked to resolution by the Service Desk. and infrastructure events (e.g., a server outage) and initiate appropriate incident notification and resolution processes.

management deployed and operational management with incident management system

• In parallel with incident

management system

• Integration of event

• In parallel with roll-out

of enterprise services

• Automate alerts and forward to an incident management

• Design and implement needed monitors for application

Enterprise Identity Management System Implementation

Access Management
• Establish access management systems to provide self-service

• Identify management system

deployed and operational operational

• Integrate with

options for end users on password management and resets. credentials and role-driven access management.

• Role-based access control

Information Assurance and Privacy program

• Establish identity management systems for management of

CONTINUOUS SERVICE IMPROVEMENT ITSM Communications and Training Program Execution ITSM Continuous Service Improvement Program Execution
• On-going ITSM Communications and Training • On-going ITSM

Communications and Training

• Follows ITSM Program

Development

• On-going service monitoring and analysis, corrective action,

and continuous improvement initiatives

• Service improvements

• In parallel with all

enterprise service initiatives

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Figure 1 provides a roadmap for both development/implementation of an ITSM capability and on-going operations and maintenance across the planning horizon.

Figure 30: Roadmap for Achieving Future State ITSM

7.2.3 TECHNOLOGY DOMAIN ARCHITECTURE
The ETA embodies a vision or view of the future of IT in the State. It was crafted with the widest possible participation from members of the State’s IT community and the population at large. Architectures are not developed to bind organizations to inflexible rules; the goals of the architecture are coordination, simplification, improved performance, and greater efficiency. The ETA is a component-driven, technical framework that categorizes the standards and technologies to support and enable the delivery of services and capabilities. It also unifies existing Departmental technical models and eGov guidance by providing a foundation to advance the reuse and standardization of technology and service components from an enterprise wide perspective. The governance process will resolve any architectural variances that may emerge over time. The ETA will evolve as technology evolves and as new initiatives emerge.

For the technology domain architecture discussed in the following sections, there are references to specific products as current or emerging standards, although the goal was to have a standards-based architecture throughout. In a number of cases, products were chosen as the standard where no widely accepted architectural standard currently existed. Product equivalence determinations relative to the architecture will be made by the governance committees as they review investment requests going forward. Aligning IT investments to the ETA leverages a common, standardized vocabulary, allowing interdepartmental discovery, collaboration, and interoperability. Departments and the State government benefit from economies of scale by identifying and reusing the best solutions and technologies to support their business functions, mission, and target architectures. The technologies, tools and systems within the State of Hawai`i are organized into seven primary technology domains. These domains are depicted in Figure 1.

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Figure 31: Technology Architectural Domains and Sub-Domains for the State of Hawai`i

The following sections contain the details of the domains and sub-domain that form the ETA for the State of Hawai`i. Each section is structured to support access to the information and technical content required as part of architecting a solution and its accompanying infrastructure and/or as part of the investment selection, control, and evaluation process. Each section is organized with the following elements:
•

•

Standards – Categorical tables that list current supported products or standards, twilight products or standards, preferred products or standards, and emerging trends within the industry. Preferred Products and Standards represent the preferred directions and products that should be considered when making implementation and design decisions. IT investments within the State center on the elements of this category. Supported Products and Standards represent the current supported products or standards that will continue to be supported within the State’s technical infrastructure for the foreseeable future. This column may designate supported standards by Department as needed. Rationale or historical reasons may be included when there is a broad set of choices. Sunset Products and Standards (or technology retirement targets) are those that should not be used for future investment or implementation. This is not to imply that existing resources should be eliminated/replaced, but that the use of these products and services

should not be extended in future planning and development. Guidance should be provided on timeframes for when a product should no longer be used. – Emerging Trends (or newly identified or introduced technologies) include directions and options that need continued monitoring to find applicability within the State IT infrastructure as they mature Generally the technologies associated with emerging trends are not yet fully production-worthy, but are potential candidates for future investment and implementation. Advanced users of technology, such as academic researchers in the State Universities, are usually the first implementers of these technologies. Continued market acceptance and adaptation will move these solutions toward the ETA’s preferred products or standards.
•

•

Definition – A brief statement to set perspective and define the need for the domain or sub-domain architecture. Current State – A description of current Strengths, Weaknesses, Opportunities, and Threats (SWOT) for the domain. Future State – A description of the future state vision for the domain or sub-domain. Guiding Principles – An expression of values to be used in guiding technical choices in any effort. The order of the values does not imply priority or importance but merely assists with consistent technical direction setting.

•

•

•

•

Transition & Sequencing Summary Plan

•

– A summary of initiatives that will move the domain from the current state to the identified future state vision.

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7.2.3.1 INFRASTRUCTURE DOMAIN
The infrastructure domain represents the physical hardware used to interconnect technology and users. The infrastructure includes transmission media such as telephone lines, cable television lines, satellites, routers, and antennas. Included in the infrastructure domain are any devices, hardware or software, which supports the flow and processing of information.

• Poor location of primary State

• Technology should “Just Work”

data center
• Lack of COOP and DR Plan • 72 hours backup power • Issues with cooling, power, space

for whomever, wherever, whatever, whenever using any device of choice to interface with the IT information required.
• Desirable outcomes include:

and capacity
• Lack of Help Desk Support • No fully supported wireless access • Limited Pipe • Single DNS • Disparate email systems

– Technology that is effective in supporting customers’ missions – Technology that is easy to use (give users the “Easy Button”) – Technology that is easily adapted to changing business needs – Technology that empowers the end user
• Outcomes that are measurable • Hawai`i First and Cloud First – the State

CURRENT STATE SWOT FOR THE INFRASTRUCTURE DOMAIN
Strategy, architecture, design, implementation, and operation of the State’s technical infrastructure are currently distributed across the Departments. As noted in the Final Report, the State’s technical infrastructure lacks collaboration on common solutions and standards, and is characterized by a diversity of technologies. As noted in networks, this diversity and distributed management results in a general lack of coordination, compliance to best practices in a comprehensive fashion, and a robust, universal 24/7/365 support model. The current technical infrastructure environment is characterized by:
• Budget constraints • Out dated and limited facilities,

Nevertheless, there are significant areas of opportunity as identified by the CIOC and its working groups for starting fresh to bring standardization and economies of scale to benefit the customer base, to include:
• Virtualization technologies are a

pivotal means to aide in standardizing computing platforms.
• Volume discounts for hardware and

has a vision for a premiere data center capability and technical infrastructure that is hosted here in Hawai`i, with the cloud computing paradigm as the cornerstone.
• Five Islands – Hawai`i First, Mainland

software and coordinated purchasing
• Consolidated Storage • Statewide wireless (Wi-Fi hotspots) • Opportunity to leverage resources intra

departmentally (databases, applications, staff knowledge, etc.)
• Statewide standards that are enforced

Offload – the cloud computing solution will be a joint private/public cloud capability featuring fully meshed computing centers distributed across the 5 major islands with load balanced provisioning, with additional computing capacity offloaded to public cloud capability on the mainland.
• Private Cloud – the Hawai’i Cloud

equipment, and applications; and general lack of tools
• Reactive management versus proactive

to assure compatibility with current environment and to simplify support
• Establishment of an enterprise private

• Cumbersome procurement process • Lack of standardization (hardware,

state governmental cloud.
• 24 x7 x365 support

software, processing, etc.) and direction and multiple technology platforms (hardware/software/OS); fragmented infrastructure
• Lack of adequate engineering and

FUTURE STATE VISION FOR THE INFRASTRUCTURE DOMAIN
The future state vision for the Infrastructure Domain is based on input from the Computing and Storage Working Group and has the following major elements:

Computing Center will feature a private cloud capability with virtual environments supported by rapid provisioning (minutes). Cloud computing is a model for enabling convenient, on-demand network access to a shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider interaction.
• One clock source – all computing

operations support staff and lack of training of our technical staff
• Lack of willingness of staff to

centers and servers will operate from a synchronized clock source.

accept changes
• Lack of inter-departments

coordination collaboration/ cooperation/communication
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• Mainframe Reconfiguration – the Mainframe assets across the

• Acquisition – new enterprise level contracts will streamline the

State and Local governments will be reconfigured to provide redundancy and backup support; and the future state will leverage zLinux as a preferred platform.
• Technology Refresh – a technology refresh plan will be a major

supply chain connected through the service catalog to enable rapid provisioning of standard devices.
• Rights management services – enterprise rights management

component resulting in servers being refreshed every 4 years; and end user devices every 3 years.
• Select-Provision-Manage – an on-line Service Catalog

services will enable consistent role-based access controls across the solutions and infrastructure. IT services for the State of Hawai`i reside in central data centers that will provide high bandwidth connectivity, redundancy, and rapid provisioning of new services. This assures the high level of interconnectivity between IT systems, workloads, and facility infrastructure required for the departments to remain agile and adapt to changing business and regulatory environments in the future; therefore, future data centers will be designed to deliver desired service levels in a flexible environment that reduces complexity and increases operational efficiency. The following is a “notional” high level drawing for the proposed New Primary Data Center for the State of Hawai’i, including hosting services, the Hawai’i OneNet infrastructure, storage, compute, backup/recovery, and cloud devices are illustrated in Figure 1.

will contain standard virtual server platforms and end user computing devices for user selection and rapid provisioning.
• Virtual Desk Top – user interface devices will be thin client with

exceptional bandwidth and server side compute capabilities.
• Service Management – automated enterprise systems

management capabilities and ITSM best practices will improve overall quality while saving operational costs.
• SLAs – service level expectations will be defined within service

level agreements, and service performance will be regularly reported against those measures.
• Sustainability – the data centers and technical infrastructure

will be engineered consistent with Green IT best practices with features such as auto shutdown and alternative fuel and power sources.

Guiding Principles for Infrastructure Domain 1. IT is an enterprise-wide resource. IT investments will be aligned with the strategic goals of the state of Hawai`i through planning and architecture processes. a. Reduce implementation and support costs, through a consistent enterprise-wide approach to IT solutions. b. Consolidate or integrate existing systems and technical infrastructure. c. Provide the IT foundation to support the business processes of state entities and local governing authorities. 2. State IT infrastructure and architecture will support the state’s long term business, strategies and plans. a. Align and optimize IT resources with changing needs of state entities and local governing authorities. Enable the effective implementation of state business strategies. b. Highlight and promote the value of IT to executives and policy makers. 3. State IT solutions that deliver products and services to stakeholders will leverage the shared technology infrastructure by providing an infrastructure and architecture which will enable the state to respond to agency changes in technology and business requirement to increase the consistency, accessibility, and sharing of data and ensure interoperability by eliminating technology silos.

Figure 32: Data Center Future State View

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HOSTING, CLOUD, DATA CENTER SUB-DOMAIN
In terms hosting, cloud, and data center environment, IT services for the State of Hawai`i will reside in central data centers (new or repurposed) that provide high bandwidth connectivity, redundancy, and rapid provisioning of new services. The data center environment will be based on the TIA-942 Telecommunications Infrastructure Standards for Data Centers. The TIA-942 covers Site Space and Layout, Cabling Infrastructure, Tiered Reliability, and Environmental considerations. Table 24 provides a partial list of data center requirements. Table 24: Key Criteria and Requirements for the State of Hawai’i Data Center

Data Center Criteria Internal Network Backbone Speed Connection to Current State Next Generation Network External Internet Connections Speed Multiple Trusted Internet Carriers Multiple Network Backbones Loading Dock/moving Traffic Impact Building accessibility Emergency Services Building Foundation Physical Security (Guards, Alarms, Video Surveillance) Uninterruptible Power Supply Backup power generator(s) Adequate fuel supply for generators Facility Power load requirement Cooling requirements IT Systems Monitoring (network, cyber security, servers) Land Location 100+gb Minimum

Minimum Notional Requirements

Multiple Multiprotocol Label Switching connections

T1 or larger Digital lines 2 or more ISP Trusted Internet Connection providers Production/Test/Development environments Handle Semi-trailers and forklifts Minimize any necessary changes to local traffic patterns Disabled access to all areas, Americans with Disabilities Act (ADA) compliant Easy accessibility by Fire/Police/Sheriff/EMS services Able to support 1,000 pounds per SF 24/7/365 guard force and monitoring, card key access, person traps and fencing

4 hrs. minimum to critical systems Critical system support (1Mw) Daily tank top off deliverables 1.5 Mw, with multiple substations 1 Mw @ 72 degrees F with 70% humidity 24/7/365 Network/Security Operations Center, Shared Services and Help Desk Support personnel 25 or more acres, includes parking and secure perimeter Facility must be located outside the flood zones

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The following further characterizes the future state for the hosting, cloud, and data center environment: Table 25: Future State Characteristics for the Hosting, Cloud, and Data Centers

Area IT Core Infrastructure Fully Provisioned
• Facility is in place

Characteristic
• Data Center room is built and ready including raised floor • Fully redundant power including Generators, UPS, Power Busses and PDUs • Fully redundant cooling including redundant Chillers and Compressors • Fire suppression using desired technology with appropriate zoning and monitoring • Redundant communications penetrations, risers and distribution frames • Physical Security Infrastructure

Power

• Power is the most critical design element for data centers

– Power exhaustion occurs prior to space exhaustion – Resiliency and proximity to multiple sources
• Every equipment refresh drives increased power and reduced space usage power sources critical • Minimum 24-30” raised floor, 350 w/SF for new data centers being built today • Thermal challenges now exist at all levels of the data center: chip, server, cabinet, data center and facility

Cooling

• Energy Usage Profile varies based on whether cooling is localized or via centralized chiller plant • Centralized plants are considerably more efficient than distributed plants, resulting in lower electrical

operating costs

• Centralized plants are initially more expensive and require more space to deploy • Sizing of cooling supply is directly related to average energy density at a facility bulk load • Increasing incidence of asymmetric design for cooling distribution to accommodate spot loads well above

planned average energy density the desired processor density

Servers

• Blades demand higher electrical draw and greater heat than 1U servers, but more thermally efficient for • Equipment strategy drives data center requirements significantly impacting

power and cooling requirements

• SAN implementations remove low energy density disks from cabinets, allowing for more energy dense

processors and increasing cabinet level thermal loads

• CPU density is driven by ever increasing business volumes and computational complexity

Storage

• Increasing integration from vendors, e.g. Cisco MDS • Storage market has been driven to significantly increase rate of development for replication technologies • Connectivity between the servers and storage will be provided via SAN fabric with switches comprising

the core of the fabric designed to handle large port counts and reduce the need for multiple aggregation switches. This allows servers to connect to storage through a common connection point. provisioning, dynamic tiering, archiving, and the extension of these technologies to existing assets with storage virtualization.

• There will be a greater focus on storage efficiency technologies such as dynamic or thin

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As part of the future state vision for the hosting, cloud, and data center sub-domain will evolve into the HC3. Going forward the HC3 facilities will provide hosting, virtualization, cloud computing, storage management, and disaster recovery services for the State. The initial planning and design of the HC3 environment will facilitate public/private partnerships so that services to business inside and outside Hawai`i can be accommodated. The HC3 will include two data center facilities in Oahu to immediately support State computing requirements. To further

leverage geographic separation of services, and to best serve the communities outside of Honolulu County additional public/ private facilities in each of the other three counties will provide enhanced services while leveraging consolidation, virtualization, common IT service management and the use of cloud computing throughout Hawai`i . Cloud computing is the next “pay-as-you-go” utility model. As depicted in Figure 1, the cloud computing paradigm has four Deployment Models, three Service Models, and five Essential Characteristics.

Figure 33: Cloud Computing Paradigm

The four deployment models which the cloud model is composed of: include private cloud, community cloud, public cloud, and hybrid cloud. Below are definitions of each deployment model.
• Private cloud -- The cloud infrastructure is operated solely for

• Hybrid cloud -- The cloud infrastructure is a composition

an organization. It may be managed by the organization or a third party and may exist on premise or off premise.
• Community cloud -- The cloud infrastructure is shared by

of two or more clouds (private, community, or public) that remain unique entities but are bound together by standardized or proprietary technology that enables data and application portability (e.g., cloud bursting for load balancing between clouds). There are three basic service delivery models that together create the ‘Cloud’ which categorizes vendors and services provided according to Cloud Computing Architecture types:
• Software as a Service (SaaS): Software deployment model

several organizations and supports a specific community that has shared concerns (e.g., mission, security requirements, policy, and compliance considerations). It may be managed by the organizations or a third party and may exist on premise or off premise.
• Public cloud -- The cloud infrastructure is made available to

whereby a provider licenses an application to customers for use as a service on demand
• Platform as a service (PaaS): Delivery of computing platform

and solution stack as a service

the general public or a large industry group and is owned by an organization selling cloud services.
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• Infrastructure as a Service (IaaS): Delivery of computer

• Offers Web or programmatic control interfaces. • Enables full customer self-service on demand • Offers location independent resource pooling.

infrastructure (typically a platform virtualization environment) as a service The five essential characteristics of the cloud include:
• Is accessible via Internet protocols from any computer. • Is always available and scales automatically to meet demand.

Figure 1 depicts the segments within the Cloud infrastructure and an example of what each segment could contain.

Figure 34: Proposed Cloud Computing Framework for the State of Hawai`i

The essential implementation steps to assess, design, transition, and operate the State of Hawai’i cloud computing environment are described below:

Guiding Principles for the Cloud Computing Domain
• On-demand self-service. A consumer can unilaterally provision

computing capabilities, such as server time and network storage, as needed automatically without requiring human interaction with each service’s provider.
• Broad network access. Capabilities are available over the network

the provided resources but may be able to specify location at a higher level of abstraction (e.g., country, state, or datacenter). Examples of resources include storage, processing, memory, network bandwidth, and virtual machines.
• Rapid elasticity. Capabilities can be rapidly and elastically provisioned,

and accessed through standard mechanisms that promote use by heterogeneous thin or thick client platforms (e.g., mobile phones, laptops, and PDAs).
• Resource pooling. The provider’s computing resources are pooled to serve

in some cases automatically, to quickly scale out and rapidly released to quickly scale in. To the consumer, the capabilities available for provisioning often appear to be unlimited and can be purchased in any quantity at any time.
• Measured Service. Cloud systems automatically control and optimize

multiple consumers using a multi-tenant model, with different physical and virtual resources dynamically assigned and reassigned according to consumer demand. There is a sense of location independence in that the customer generally has no control or knowledge over the exact location of

resource use by leveraging a metering capability at some level of abstraction appropriate to the type of service (e.g., storage, processing, bandwidth, and active user accounts). Resource usage can be monitored, controlled, and and policy makers.

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The Cloud Service Life Cycle for the State of Hawai`i will contain four implementation phases and a series of activities. There are outlined below: 1. Strategy and Assessment – activities include: a. Providing orientation/training on cloud computing and vendors’ capabilities, experience, and approach b. Understanding customer culture, organization, and environment c. Defining, communicating, and obtaining acceptance of charter including: constraints (time, resources, scope) and deliverables

iv. Assessing service/application and licensing capability with virtualization/cloud and orchestration. v. Assessing service/application architecture for benefits from cloud automation. vi. Assessing and design integration of cloud with existing landscape. vii. Finalizing definition future-state architecture: vendor’s cloud reference architecture, cloud model, cloud type, cloud security. viii. Completing initial and detailed design: Cloud Network element design, Cloud Storage element design, Cloud Compute element design. ix. Completing traceability assessment of design to requirements. x. Documenting bill of materials. 3. Transition – activities include: a. Documenting transition and communicating the project plan/schedule b. Acquiring bill of materials c. Implementing, testing, and documenting infrastructure (network, compute, storage, virtualization), cloud services (self-service, charge back, measured service, cloud operating environment, and orchestration), and cloud storefront (catalog, portal, provisioning, management of workflow, approvals, financial controls

d. Assessing current-state e. f. Assessing if cloud makes good mission/business sense Assessing what capabilities, services, or use cases cloud will address

g. Assessing risk (security, cost, schedule, etc.) h. i. j. Assessing if a cloud solution is feasible Assessing cloud readiness Developing an operational vision/strategy (initial concept of operations) Developing and recommending cloud solution roadmap/timeline and obtaining acceptance of deliverables

k.

2. Design – activities include: a. Selecting strategic partnerships and suppliers (using cloud partner ecosystem) b. Defining roles and responsibilities in support of cloud operations, updating the service organization structure in support of cloud operations, and identifying cloud support communications and training (organizational and cultural change management ) c. Defining g services, service levels, and metrics for iCloud on-demand self-service service catalog / Cloud portal/store front; and ii) Cloud measured service. Engineer mission/business, service, and management policies, processes, and procedures for cloud broad network access, cloud resource pooling, and cloud elasticity

d. Integrating multi-cloud management and monitoring systems with customer systems e. Engaging cloud brokerage, if appropriate (intermediation, arbitrage, aggregation) Bundling applications for migration and scheduling migration events

f.

g. Migrating application and services to cloud h. Transforming organization (roles and responsibilities, knowledge transfer, and training) Facilitating creation/update of customer policies, processes, procedures for operations

i.

d. Technology: i. Updating current-state baseline collected during the strategy phase. ii. Developing/documenting requirements leveraging methodology’s cloud requirements set. Completing analysis (alternatives, technologies, brands) and assessing cloud brokerage (intermediation, aggregation, and arbitration

4. Operation – activities include: a. Ensuring available, reliable, and functional cloud service that meets requirements and demand resulting in higher user satisfaction b. Measuring cloud service performance c. Recovering cloud service operational costs

iii.

d. Optimizing and integrating the production support team
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State of Hawaii Business and IT/IRM Transformation Plan

e. f.

Provisioning of cloud service rapidly Responding to business/mission changes through a cloud services architect role

g. Documenting operating procedures facilitating disaster recovery, cross-training, etc. Figure 1 provides a notional view of the State of Hawai`i Cloud Computing Framework.

Figure 35: Notional View of Cloud Computing Framework

Table 26 represents the hosting, cloud, and data center sub-domain description. Table 26: Hosting, Cloud, and Data Center Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain Data Center Facility Site and Construction

Sunset Products / Standards Urban location

Current Supported Products/ Standards

Preferred Products / Standards ANSI/TIA-942 or TIA-942 (2005, 2008, 2010) Uptime Institute (1995) Tier structure

Emerging Trends

Non-flood plan, above grade

Movement toward Tier 3 Data Centers based on Design Documents, Constructed Facility, and Operational Sustainability NIST 500 and 800 publications

Cloud Services Reference Model

National Institute of Science and Technology. http://csrc.nist.gov/publications/ nistpubs/800-145/SP800-145.pdf. Revised 24 July 2011.

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DISASTER RECOVERY SUB-DOMAIN
Disaster recovery options are identified to ensure the ability to continue required operations post disaster.

protection process; if the application is protected by backups alone, then it means how often a backup is run.
• Recovery Time Objective (RTO) - The time required to recover

BACKUP - RESTORE
The backup environment design will implement leading technologies to provide data protection services. The design provides a diverse platform topology containing a software suite that integrates and manages disparate physical storage mediums for the sole purpose of protecting State of Hawai`i data. The selection of a single backup will resolve several crossdisciplinary design requirements. The backup/restore product will implement a distributed client-server application that provides data protection support for the State of Hawai`i’s enterprise servers. The solution will consist of a master server with associated software components, media servers with associated software components managing storage devices and client software that provides the capability to backup, restore and archive files or directories, and volumes or partitions that exist on State of Hawai`i data center enterprise servers. The following describes the future state of the backup-restore environment:
• Backup – Restore System Inputs and Outputs

the application or server to the RPO from the moment that a problem is detected. Many factors influence the RTO including the provisioning of hardware and the roll-forward time for application transaction logs—but one constant factor is the time needed to restore the data from the backup or snapshot that forms the RPO. Figure 1 provides a notional view of a multi-Site Data Center Disaster Recovery framework for the Hawai`i COOP/DR solution.

- During a backup or archive, the client sends backup data across the dedicated backup network to a server. The server manages the type of storage and retention period that is specified in the backup policy. - During a restore, users can browse, and then select the files and directories to recover. The backup/restore product finds the selected files and directories and restores them to the disk on the client via the dedicated backup network. - Policies determine when backups occur. Policies include schedules for automatic, unattended Backups of the clients (server-directed backups). Policies also define when to back up and restore files manually (user-directed operations). - Administrators can set up periodic or calendar-based schedules to perform automatic, unattended backups for clients across a network. An administrator can carefully schedule backups to achieve systematic and complete backups over a period of time, and optimize network traffic during off-peak hours.

Figure 36: Notional View of a Multi-Site Data Center Disaster Recovery Environment

In addition, the future state vision from Infrastructure Working Group regarding disaster recovery and continuity of operations plan (COOP) includes the following elements:
• Data Recovery/COOP

•

Real time backup and point in time recovery Time to restore requirements Revenue Collection, Accounting, Human Resources, Welfare, Health, Benefits and Pension Administration

• Protection of mission critical applications including: Financials,

• Load balancing between the primary and secondary sites • DR/COOP • Load Balanced Data Centers • Fault Tolerance, hot site, active-active

BACKUP – RESTORE SYSTEM BEHAVIOR
Backup system behavior will be predicated on recovery capability—there is no such thing as a “backup service level.” Two key concepts will underpin all recovery service levels:
• Recovery Point Objective (RPO) - The most recent state to

• Loss of connectivity between island data centers (radio, microwave)
• Loss of connectivity to mainland • Backup power • Test DR/COOP plans • Long term fueling issue (IT and Procurement) • Alternative power technology (fuel cell, geothermal, wind, etc.)

which an application or server can be recovered in the event of a failure. The RPO is directly linked to the frequency of the
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Table 27 represents the description of the Disaster Recovery Sub-Domain. Table 27: Disaster Recovery Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain Off Island Storage

Sunset Products / Standards

Current Supported Products/ Standards Iron Mountain

Preferred Products / Standards
• Automatic Disparate

Emerging Trends

Cloud based solutions for “active-active” and • Bandwidth optimization “active-passive” array replication
• Consistency Sets

Application Recovery

Real time load balance

End-to-end redundancy Image-based or High fault tolerance snapshot technology SATA FireWire (IEEE-1394) RAID 6 SATA FireWire (IEEE-1394) LTO-3 Dual path multi-provider No single point of failure

Network Connectivity

Dual path multi-provider

SERVERS AND STORAGE SUB-DOMAIN
The services and storage sub-domain represent the hardware and operating systems where enterprise applications and systems reside. These platforms will be scalable, highly fault tolerant, and designed with failover capabilities for mission critical applications. Figure 1 is a notional representation of a data center storage environment that will be considered in the new Hawai`i data center implementation.

Figure 37: Notional Representation of Data Center Storage (Gartner Developed) 98 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

Table 28: Servers and Storage Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain Mainframe Platforms

Sunset Products / Standards OS/390, Z/OS release 9 and below

Current Supported Products/ Standards Z/OS

Preferred Products / Standards ERP product suite; Virtualization to fullest extent Windows Server 8, Solaris 11

Emerging Trends Specialty blades; green equipment; Big Data analytics; Virtualization Windows Server 8, Solaris 11

Server Operating System

Windows 2003 and below, NT4, Novell Netware, Solaris 8, AIX 5.3 and below Compaq, 3rd party

Solaris 9 and above, AIX 6.1 and above, Windows 2008 and above

Server Platforms Server Virtualization Platforms Storage Platforms Storage Platforms (Backup) Enterprise Storage Platforms (Backup) Enterprise Software Storage Platforms (Backup) End User

Dell, HP, IBM, Sun VMware, Citrix EMC, IBM, NetApp StorageTek, IBM Tivoli Storage Manager Minimal

Cloud virtualization “cloud” integrated platform SAN SAN SAN

Converged solutions such as Cisco UCS “cloud” integrated platform SAN SAN SAN Cloud based storage, security and retrieval

DIRECTORY SERVICES SUB-DOMAIN
The services and storage sub-domain represent the hardware and operating systems Directory services are software systems that store, organize, and provide access to information (e.g., names, contact information, computer hardware). The resulting directory will be used by other systems to identify users and process information flows related to a person or group of persons. The future state will include directory services at the enterprise level for authentication and communications. Table 29 represents this sub-domain. Table 29: Directory Services Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain Enterprise Directory Services

Sunset Products / Standards Novell

Current Supported Products/ Standards Lightweight Directory Access Protocol (LDAP) version 3, MS Active Directory Domain Services

Preferred Products / Standards X.500; Lightweight Directory Access Protocol (LDAP) version 3, MS 802.11i authentication and encryption Digital certificates; Public key infrastructure

Emerging Trends Active Directory Domain Services

Web Authentication

SiteMinder

Emerging PaaS; graphical authentication techniques; image-based authentication

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ENTERPRISE SYSTEMS MANAGEMENT SUB-DOMAIN
Enterprise systems management refers to the activities, methods, procedures, and tools that pertain to the operation, administration, maintenance, and provisioning of networked systems.
• Operation deals with keeping the network (and the services

corrective and preventive measures to make the managed network elements run “better” such as adjusting device wconfiguration parameters.
• Provisioning is concerned with configuring resources in the

that the network provides) up and running smoothly. It includes monitoring the network to spot problems as soon as possible, ideally before users are affected.
• Administration includes tracking of resources in the network

network to support a given service. For example, this might include setting up the network so that a new customer can receive voice service. Data for enterprise systems management will be collected through several mechanisms, including agents installed on infrastructure, synthetic monitoring that simulates transactions, logs of activity, sniffers and real user monitoring. Table 30 describes this sub-domain further.

and how they are assigned and it includes all the “housekeeping” that is necessary to keep the networked systems under control.
• Maintenance is concerned with performing repairs and

upgrades (e.g. when equipment must be replaced, when a router needs a patch for an operating system image, when a new switch is added to a network). Maintenance also involves Table 30: Enterprise Systems Management Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain LAN Diagnostics LAN Monitor

Sunset Products / Standards

Current Supported Products/ Standards WireShark, TCPdump SolarWinds Orion, SNMP compliant

Preferred Products / Standards

Emerging Trends

IEEE 802 LAN/MAN Standards Committee

Correlation and alarm de-duplication with impact analysis of alarms IPFIX or RMON SLA portal reporting Network based with auto data log capability Correlation and alarm de-duplication with impact analysis of alarms Synthetic modeling with proactive threshold model SLA portal reporting Stack based intrusion detection systems Integrated Network/ Wireless/Host based prevention in network. Integrated data Loss prevention platform

LAN Performance LAN Reporting WAN Diagnostics

SolarWinds Orion MRTG Cisco Works, Sniffer, WireShark, Ethereal

WAN Monitor

SolarWinds Orion, SNMP compliant

WAN Performance

MIB, SolarWinds,

WAN Reporting Intrusion Detection

MRTG Snort

Intrusion Prevention

Cisco IPS

Security Diagnostics

Vulnerability scanners, Nessus

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Table 30: Enterprise Systems Management Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain Security Monitor

Sunset Products / Standards

Current Supported Products/ Standards ArcSight

Preferred Products / Standards

Emerging Trends Integrated Security information and event management Integrated Security information and event management Integrated Security information and event management Synthetic modeling with proactive threshold model

Security Performance

ArcSight

Security Reporting

ArcSight

Application Performance

ETA TRANSITION AND SEQUENCING PLANNING SUMMARY FOR INFRASTRUCTURE DOMAIN
The following provides a list of the key projects and initiatives required to achieve the future state for the infrastructure domain. Develop and Construct or Build Out a Primary and Backup Data Center Environment Plan and create two new data centers (primary and a backup or disaster recovery site) with the participation of both the technology and business organizations. This activity will require a committed team that has technical depth in a number of areas:
• Complex Project Management • Information Assurance and Security • Business Relationship Management • Technology Infrastructure • Application Development, Database Management • Virtualization planning to reduce number of physical servers

and to drive improvements in Disaster Recovery
• Consolidation planning for database servers,

where appropriate
• Consolidation of storage onto SAN

• Reduction of the applications footprint by lowering the number of servers per application
• Identification of applications that require transformation • Reduction of capital requirements for Technology Solutions • Creation a systems standardization plan • Migration to a standardized platform (Cloud, Server Type, OS,

and Operations
• Application Testing • Data Replication • Systems Migration • Systems Consolidation

Database, etc.) where appropriate
• Server refresh cycle planning. • Develop an overall DR approach. • Determine where the primary data center should reside. • Perform a high-level cost analysis of bringing State facilities

Other required planning activities include:
• Performing a complete analysis of current servers and their

up to an acceptable level of performance versus cost of hosting services with an accredited and certified thirdparty facility.

utilization so they can be more effectively leverage in the new environment;

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Due to the criticality of the hosting, cloud, and data center sub-domain, a number of initiatives will be launched to make key determinations relative to the environment prior to the actual development. The following represent these activities and actions in detail. Define Primary Data Center and DR Strategy Based on Three Alternatives This initiative formalizes the strategy for the creation and location of the Primary Data Center and how disaster recovery will be addressed within the State. The following three alternatives have already been identified for further consideration.
• Remain in Kalanimoku

- Considerations - how to leverage a third-party facility as a co-location site for servers, storage, and network equipment; management adjustments; configuration and deployment for servers and applications; certified in environmental controls, power, 24x7 services, and physical security; near-term and long-term needs.
• Blended strategy between a third party and State facilities.

- Considerations – utilization of a third-party location as the primary data center while retaining an existing or new State facility for DR needs or vice versus. The strategy serves as the launching point for the other initiatives described below. The estimated cost of this initiative is Pending Review.

- Considerations - substantial expenditure to address cooling, airflow, structural inefficiencies, power distribution, and UPS requirements; flooding concerns; alternative locations within the building on the second or third floor to reduce the threat of flood water entering the basement.
• Utilize third-party facilities as a primary and DR data

CONSOLIDATE DATA CENTERS
This initiative builds off the direction set by the Primary Data Center and DR Strategy and addresses the consolidation of services, hardware, and physical data centers. The consolidation planning begins by using the Federal Data Center Consolidation Initiative (FDCCI) to classify the existing facilities and their overall footprint as illustrated in Table 31.

centee configuration

Table 31: Server Closets, Server Rooms, and Data Centers by Department

Departments CSEA (AG) HCJDC (AG) B&F DAGS (non-ICSD) DBEDT DCCA DHHL DHRD DHS DLIR DLNR DOD DOE DOH DOT DOTAX
4

Server Closet (<200 sq. ft.)

Server Room ( < 500 sq. ft.) X X

Data Center (> 500 sq. ft.)

X X X X X X X X X X X X X X

The FDCCI definition of computing space - any room devoted to data processing servers, i.e., including server closets (typically < 200 sq. ft.) and server rooms (typically < 500 sq. ft.) within a conventional building, just like larger floor spaces or entire buildings dedicated to housing servers, storage devices, and network equipment are defined as data centers (typically >500 square feet).” 102 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

Table 31: Server Closets, Server Rooms, and Data Centers by Department

Departments HDOA PSD UH ICSD GOV/LT GOV

Server Closet (<200 sq. ft.) X

Server Room ( < 500 sq. ft.)

Data Center (> 500 sq. ft.)

X X X X

Table 27 represents the description of the Disaster Recovery Sub-Domain. Table 32: Estimated Costs to Complete a Data Center Consolidation

Fiscal Year 13 14 15 16 17 18 19 20 21 22 23 Total

Est. Total Hrs Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Hawai`i IT Labor Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Equipment and Hardware Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Leases Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Other Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Total Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

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Table 33: Projects and Initiatives Associated with Data Center Consolidation

Fiscal Year Activity Activity FY13 Planning and Project Management
• Gather Requirements

Description of Tasks Description

• Create the Engineering Design team structure and membership • Build and Maintain the Risk Matrix • Establish and Train to the Standard Engineering Design Process • Establish Business Management to handle IT procurement, contract, negotiation activities • Perform “Design Week” preliminary design activities, with vendor consulting support

Analysis of Alternative (AoA) for Cloud solution

• Prepare RFI/RFP • Perform Analysis of Alternatives (Trade Study) • Perform Procurement and Negotiation • Cloud Training and Certification

AoA for Non-State Owned Data Center Site and preliminary design of initial infrastructure

• Prepare RFI/RFP • Perform Analysis of Alternatives • Perform Procurement and Negotiation • Design Cage Build out • Design Cable/Cabinet Build out • Design Circuit plans for WAN, internet, MetroE, MPLS

Activity FY14 Planning and Project Management
• Update the Risk Matrix

Description

• Establish and Train to the Standard Engineering Design Process • Establish Business Management to handle IT procurement, contract, negotiation activities

Cloud solution Non-State Owned Data Center Equipment Installation and Implementation

• Cloud Training and Certification • Issue final design and final Bills of Materials (BOMs) • Procurement and Installation • Foundation - Network Engineering • Foundation - Network Security • Foundation - Network Services • Traditional - Storage • Traditional - Physical Compute • Traditional - Backup • Cloud solution • Infrastructure Testing • Operations & Maintenance

Activity FY15 Planning and Project Management Cloud solution Non-State Owned Data Center O&M
• Update the risk matrix

Description

• Empower business management to handle IT procurement, contract, negotiation activities • Cloud Training and Certification • Operations and Maintenance
• Test Continuity of Operations

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Table 33: Projects and Initiatives Associated with Data Center Consolidation

Fiscal Year Activity Activity FY16 Planning and Project Management Non-State Owned Data Center O&M
• Update the Risk Matrix

Description of Tasks Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Secondary Site • Test Continuity of Operations

Activity FY17 Planning and Project Management Non-State Owned Data Center O&M
• Update the Risk Matrix

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities
• Operations and Maintenance • Load level with Secondary Site • Test Continuity of Operations

Activity FY18 Planning and Project Management Non-State Owned Data Center O&M
• Update the Risk Matrix

Description

• Empower business management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Define Technology Refresh Cycle for Hardware • Load level with Secondary Site • Test Continuity of Operations • Operations and Maintenance

Activity FY19 Planning and Project Management Non-State Owned Data Center O&M
• Update the Risk Matrix

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Secondary Site • Test Continuity of Operations

Activity FY20 Planning and Project Management Non-State Owned Data Center O&M
• Update the Risk Matrix

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Secondary Site • Test Continuity of Operations

Activity FY21 Planning and Project Management Non-State Owned Data Center O&M
• Update the Risk Matrix

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Secondary Site • Test Continuity of Operations

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Table 33: Projects and Initiatives Associated with Data Center Consolidation

Fiscal Year Activity Activity FY22–23 Planning and Project Management Non-State Owned Data Center O&M
• Update the Risk Matrix

Description of Tasks Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Secondary Site • Test Continuity of Operations

DEVELOP SECONDARY DATA CENTER (STATE OWNED FACILITY)
The development of a secondary data center includes the build out of a mirrored production environment, while also serving as the recovery site for the primary data center. Maximum protection for the State’s continuity of operations will be addressed with the near-line data backup and recovery capability at the primary data center coupled with the mirrored production workloads at the secondary data center coupled with off-site backup capabilities to the outer islands as well as the Mainland. In turn, this effectiveness requires an alignment of business continuity planning with articulated business goals. Effective disaster recovery and business continuity planning depends on the State’s ability to identify critical processes and technologies, maintain and recover functionality after a planned or unplanned event, and balance the risks with the costs of continuity efforts. Table 34: Estimated Costs to Develop Secondary Data Center For example, Dell provisions more than 100 percent capacity for each application so that it can split application load balancing across multiple data centers. Each application has 75 percent of required capacity in each data center— lending each application 150 percent of its nominal capacity requirement. Not only does this load-balancing strategy translate to high-performance applications, but it also helps ensure that disaster recovery and failover capabilities are being tested every moment of every day. This way, when Dell needs to implement its disaster recovery plan, the company knows it will work because it is already part of the existing load-balancing strategy .

Fiscal Year 13 14 15 16 17 18 19 20 21 22 23 Total
5

Est. Total Hrs Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Hawai`i IT Labor Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Equipment and Hardware Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Leases Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Other Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Total Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

http://www.dell.com/downloads/global/power/ps1q06-20060124-CoverStory.pdf

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Table 35 represents the initiatives and projects for the Secondary Data Center. Table 35: Projects and Initiatives Associated with Secondary Data Center

Fiscal Year Activity Activity FY13 Planning and Project Management Analysis of Alternative (AoA) for State Owned Data Center Site Activity FY14 Planning and Project Management Analysis of Alternative (AoA) for State Owned Data Center Site
• Update the Risk Matrix • Update the Risk Matrix

Description of Tasks Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Engage Architect Engineer • Engage process for Site Evaluation, Site surveys, building retrofit management, permitting, etc. • Engage appropriate Hawaiian Home Lands, as necessary

Description

• Establish Business Management to handle IT procurement, contract, negotiation activities • Engage Architect Engineer • Engage process for Site Evaluation, Site surveys, building retrofit management, permitting, etc. • Engage appropriate Hawaiian Home Lands, as necessary • Submit proper documentation to DAGS • Complete necessary documentation and receive approval to proceed with construction

Activity FY15 Planning and Project Management
• Update the Risk Matrix

Description

• Establish and Train to the Standard Engineering Design Process • Establish Business Management to handle IT procurement, contract, negotiation activities

State Owned Data Center Infrastructure Design activities

• Work with Architect Engineer • Work with Site Evaluation, Site surveys, building retrofit management, permitting, etc. • Work with appropriate Hawaiian Home Lands, as necessary • Complete necessary documentation and receive approval to proceed with construction • Infrastructure design for Cage, Cable plant, Cabinets, Circuits • Begin Construction/Retrofit

Activity FY16 Planning and Project Management
• Update the Risk Matrix

Description

• Establish and Train to the Standard Engineering Design Process • Establish Business Management to handle IT procurement, contract, negotiation activities

State Owned Data Center Construction and Design activities

• Complete Construction/Retrofit • Issue final design and final Bills of Materials (BOMs) • Procurement and Installation • Foundation - Network Engineering • Foundation - Network Security • Foundation - Network Services Traditional - Storage • Traditional - Physical Compute • Traditional - Backup • Cloud solution • Infrastructure Testing • Operations & Maintenance

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Table 35 represents the initiatives and projects for the Secondary Data Center. Table 35: Projects and Initiatives Associated with Secondary Data Center

Fiscal Year Activity Activity FY17 Planning and Project Management State Owned Data Center O&M
• Update the Risk Matrix

Description of Tasks Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Primary Site • Test Continuity of Operations

Activity FY18 Planning and Project Management State Owned Data Center O&M
• Update the Risk Matrix

Description

• Establish Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Primary Site • Test Continuity of Operations

Activity FY19 Planning and Project Management State Owned Data Center O&M
• Update the Risk Matrix

Description

• Establish Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Primary Site • Test Continuity of Operations

Activity FY20 Planning and Project Management State Owned Data Center O&M
• Update the Risk Matrix

Description

• Establish Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Primary Site • Test Continuity of Operations

Activity FY21 Planning and Project Management State Owned Data Center Construction and Design activities Activity FY22–23 Planning and Project Management State Owned Data Center O&M
• Update the Risk Matrix • Update the Risk Matrix

Description

• Establish Business Management to handle IT procurement, contract, negotiation activities • Define Technology Refresh Cycle for Hardware

Description

• Establish Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Primary Site • Test Continuity of Operations

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CREATE THREE ISLAND DATA CENTERS (STATE OWNED FACILITIES)
Once the Primary and Secondary sites are fully implemented, this initiative resolves access issues to the outer islands by providing all the islands of that State with access to affordable ultra, high-speed Internet by 2018. This will position Hawai`i to be the first state in the nation with 1 gigabit per second broadband connectivity at every public school, every public library, and every public university and college campus by using about Pending Review of federal monies received through the American Recovery and Reinvestment Act (ARRA). This will provide the opportunity to leverage connectivity for State offices at remote islands and improvements for State NGN.

In addition, Hawai’i is unique among the 50 States in that it is remote, susceptible to emergencies and catastrophic events that would not affect the contiguous States, and removed from the contiguous States creating latency issues therefore, providing satellite data center sites that are fully meshed and networked with the Primary and Secondary Sites on Oahu will provide the State of Hawai`i with continuity of government and operations. The three island data centers initiative will include consideration of “Docking Centers” format where the “Data-Center-In-ABox” system can plug in. The “Docking Center” would provide cooling, power, and network connectivity to the “Data-CenterIn-A-Box”, along with staff workspace. This approach minimizes the need to build multiple large data centers and provide a mobile Data Center where or when needed.

Table 36: Estimated Costs for Development of the Third Data Center

Fiscal Year 17 18 19 20 21 22 23 Total

Est. Total Hrs Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Hawai`i IT Labor Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Equipment and Hardware Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Leases Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Other Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Est. Total Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Table 37: Projects and Initiatives Associated with Development of the Third Data Center

Fiscal Year Activity Activity FY17 Planning and Project Management AoA for Three Island State Owned Data Center Site Activity FY18 Planning and Project Management AoA for Three Island State Owned Data Center Site
• Update the Risk Matrix • Update the Risk Matrix

Description of Tasks Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Engage Architect Engineer • Engage process for Site Evaluation, Site surveys, building retrofit management, permitting, etc.

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Engage Architect Engineer • Engage process for Site Evaluation, Site surveys, building retrofit management, permitting, etc. • Engage appropriate Hawaiian Home Lands, as necessary • Submit proper documentation to DAGS • Complete necessary documentation and receive approval to proceed with construction

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Fiscal Year Activity Activity FY19 Planning and Project Management AoA for Three Island State Owned Data Center Site
• Update the Risk Matrix

Description of Tasks Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Engage Architect Engineer • Engage process for Site Evaluation, Site surveys, building retrofit management, permitting, etc. • Engage appropriate Hawaiian Home Lands, as necessary • Submit proper documentation to DAGS • Complete necessary documentation and receive approval to proceed with construction • Infrastructure design for Cage, Cable plant, Cabinetry, Circuits

Activity FY20 Planning and Project Management Three Island State Owned Data Center Site Infrastructure Design and Build Activities
• Update the Risk Matrix

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Engage Architect Engineer • Engage process for Site Evaluation, Site surveys, building retrofit management, permitting, etc. • Engage appropriate Hawaiian Home Lands, as necessary • Submit proper documentation to DAGS • Complete necessary documentation and receive approval to proceed with construction

Activity FY21 Planning and Project Management Three Island State Owned Data Center Site Infrastructure Design and Build Activities O&M Activity FY22–23 Planning and Project Management Three Island State Owned Data Center Site Infrastructure Design and Build Activities O&M
• Update the Risk Matrix • Update the Risk Matrix

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Primary Site • Test Continuity of Operations

Description

• Empower Business Management to handle IT procurement, contract, negotiation activities • Operations and Maintenance • Load level with Primary Site • Test Continuity of Operations

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MIGRATE APPLICATIONS FROM THE CURRENT DATA CENTERS TO THE PRIMARY DATA CENTER
Once the Primary Data Center is implemented during FY14 (see Primary Data Center development initiative above), the next Table 38: Estimated Costs to Perform Application Migration

activity will be migrating applications from the current data centers to the Primary Data Center, where data redundancy and disaster recovery considerations have been implemented as a high priority.

Fiscal Year 14 15 16 Total

Est. Total Hrs Pending Review Pending Review Pending Review Pending Review

Est. Hawai`i IT Labor Cost Pending Review Pending Review Pending Review Pending Review

Equipment and Hardware Pending Review Pending Review Pending Review Pending Review

Est. Leases Pending Review Pending Review Pending Review Pending Review

Est. Other Pending Review Pending Review Pending Review Pending Reviewt

Est. Total Cost Pending Review Pending Review Pending Review Pending Review

Table 39 represents the key project for the Application Migration. Table 39: Projects and Initiatives Associated with Application Migration

Fiscal Year Activity Activity FY14 Applications Characterization
• Issue RFI/RFP

Description of Tasks Description

• Develop Rules of Engagement between vendor and State of Hawai’i • Develop Project Management function • Perform characterization, interdependencies, and scheduling function

Activity FY15 Applications Characterization Activity FY16 Applications Characterization
• Define Key Migration Execution Roles

Description

• Begin migration of applications to Non-State Owned Data Center

Description
• Complete migration of applications to Non-State Owned Data Center

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DEVELOP A STATE-WIDE ACTIVE DIRECTORY SERVICES ENVIRONMENT
Plan and create a State-wide active directory services environment. Benefits of deploying Active Directory in a Network Operating system (NOS) management role include:
• Ability to centrally manage very large networks. • Ability to eliminate resource domains, including the hardware

• Site topology mirrors network topology. • Dedicated use domain controllers • Multiple DNS servers

and administration they entail.
• Policy-based desktop lockdown and software distribution. • Ability to delegate administrative control over resources,

Active Directory allows administrators to organize elements of a network (such as users, computers, devices, and so on) into a hierarchical, tree-like structure based on the concept of containership. The top level Active Directory container is called a forest. Within forests, there are domains. Within domains there are organizational units (OUs). This is called the logical model because it is designed independently from most physical aspects of the deployment, such as the number of replicas required within each domain and network topology. Estimated cost for this project is Pending Review. It should be noted that all the above activities are inextricably linked the State of Hawai’i future network, OneNet.

where appropriate.
• Simplified location and use of shared resources.

Figure 38: Roadmap to Achieve the Future State for the Infrastructure Domain

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7.2.3.2 NETWORK DOMAIN
The Network Domain includes the network for the State and all associated services and technologies. The network consists of both wide-area network (WAN) and local-area network (LAN) components. The WAN extends the network outside buildings and beyond campuses. This is typically created by using circuits and routers to connect geographically separated LANs. The LAN interconnects devices over a geographically small area, typically in one building or a part of a building. The network architecture describes a common, high-performance, reliable, broadband network infrastructure providing data, video and voice communications for the State’s distributed information processing and publishing environment.

application and storage services, and full disaster recovery capabilities. OneNet, with guaranteed performance levels, will take full advantage of new network technologies and fulfill the needs of all State Departments’ employees and citizens in the State of Hawai`i for information access. The Internet, as a global networking infrastructure, continues to make the world a smaller and more demanding place. OneNet will be both wired and wireless and will truly create an “anytime, anywhere connected” networking environment. It will introduce an “always-connected” citizen community. Recent advances in convergence technologies not only promote the convergence of a single physical IP infrastructure, but also introduce convergence of feature-rich services that can be provided in a secure, reliable, cost effective manner to meet the State’s mission. The Network OneNet Working Group provided a detailed breakdown of activities by biennium with requirements as follows: 1. OneNet must be a highly redundant, reliable, and available backbone for the five Data Centers. 2. Data Center Connectivity 2.1. Data Centers provide POP for Internet and high speed interconnections to other Data Centers. 2.2. Redundant connections through private providers and State wireless systems i.e. microwave. 2.3. Integration of private carrier services to critical sites providing redundancy for immediate and surrounding sites. 2.4. Separate State fiber optic rings. 2.4.1. Networks based on access to dark fiber and optical Wave Division Multiplexers (WDMs providing additional bandwidth as needs grow. 2.4.2. Minimum requirements 2.4.3. 32 wavelengths

2.4.4. 1 and 10Gbps Ethernet 2.4.5. 2 to 10Gbps Fiber Channel 2.4.6. SONET OC-3 to OC-192 2.5. Negotiate with Private carriers for bandwidth (dark fiber, dim fiber, leased circuits, etc.). 3. High availability backbone sites must have the following: 3.1. 24x7 Access 3.2. Backup Power 3.3. Physical Security 3.4. Potential Candidates: 3.4.1. Utilize State facilities with existing infrastructure i.e. prisons and hospitals 3.4.2. Negotiate with the counties to utilize police, fire stations, and other facilities with the appropriate infrastructure. 3.4.3. Negotiate co-location terms in private carrier facilities and central offices. Benefit of allowing carriers to provided services faster and cheaper. 3.4.4. Create separate fiber optic ring infrastructure from other INET partners (DOE/UH) that is owned and controlled by the State. 3.4.5. DOE and UH can be customers of the State’s network. 4. Cost recovery based on telecom industry standard practices. 4.1. Line charges to customers based on subscribed bandwidth as well as optional subscribed services i.e. QoS/CoS. 4.2. Requirement for higher level of responsiveness (SLAs) 4.3. Non-recurring charges i.e. for infrastructure builds and engineering services.

CURRENT STATE SWOT FOR THE NETWORK DOMAIN
The State currently has specific centers of excellence in networking solutions and management practices. In its entirety, the State lacks collaboration on common solutions and standards, and has limitations on providing consolidated network management. This results in a general lack of: coordination, a centralized knowledgebase, compliance to best practices in a comprehensive fashion, and a robust, universal support model that is 24x7x365. Also, underlying system capacity knowledge is not being tracked and not readily available. In general the demand for network service provision overwhelms the current capacity and resource base.

FUTURE STATE VISION FOR THE NETWORK DOMAIN
The future state vision for the network domain is a single State of Hawai`i network (OneNet) which is deployed to provide every Department and its entire staff on every island with a high speed secure and highly reliable voice, video, and data services. At the heart of the OneNet will be a multi-path, mesh data center solution to provide virtual computing power, cloud-based

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Figure 39 depicts Hawai`i’s OneNet enterprise network with complete end-to-end governance frameworks and support services. The enterprise LAN will provide users with all services on the private cloud while the WAN will provide redundant high speed links through three different carriers. Network Operations and Security Operations Centers will provide proactive continuous monitoring of the entire network keeping assets secure and available.

Figure 39: Conceptual Model of the Network Domain Infrastructure

The Hawai`i OneNet, further illustrated in Figure 40, will be modeled after validated designs based on industry standard best practices. The goal of the enterprise network is to provide a unified, common, and centrally managed infrastructure for IT services to run on. Using a common framework, this modular design will be scaled to accommodate different size needs quickly and easily. For the future state vision the goal will be to have five fully meshed functional shared services centers (SSC) distributed across the islands to provide high availability, redundancy, fault tolerance, data backup and replication, disaster recovery, and always-on services to the State of Hawai`i (Figure 41).

Figure 40: OneNet Future State Vision 114 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

Connections between shared services centers will be provided with dedicated high-speed fiber optic lines with service providers and state wireless connections acting as redundant and backup links respectively.

Figure 41: Shared Service Center Vision for the ETA

Guiding Principles for the Network Domain 1. Networks are able to adapt to growth and technology change when they support multiple traffic types (e.g. data, video, voice).
• The increasing investment in network infrastructures dictates that

• As business expands, networks expand. A flexible, open network design

allows a business to minimize the costs and disruptions of configuration management while providing timely and responsive network changes when and where required. 2. Network access is a function of authentication and authorization, not of location.
•

the life span of each additional component or enhancement be as long as possible. This will be accomplished if the design supports both current needs and anticipated growth potential.
• As business expands, networks expand. A flexible, open network

All users must obtain authentication via a user identification method consistent with the standards and usage guidelines set by Hawai’i. Authorization of users must be performed according to the security rules of Hawai’i. In order to perform their job functions, users need to access services available from multiple sites within the enterprise, from a variety of public and private networks, and from the Internet.

design allows a business to minimize the costs and disruptions of configuration management while providing timely and responsive network changes when and where required. 1. Network access is a function of authentication and authorization, not of location.
• All users must obtain authentication via a user identification method

•

•

3. Fully available networks are essential to the enterprise.
•

consistent with the standards and usage guidelines set by Hawai’i
• Authorization of users must be performed according to the security

rules of Hawai’i.
• In order to perform their job functions, users need to access services

Networks provide an increasingly important and necessary role in the execution of business functions and processes. The availability of the network 7/24/365 must be maintained in a consistent and complete manner up to 5-sigma uptime and availability. Networks consist of and rely on many interrelated and highly complex components distributed across a wide geographic area. Failure of any single component can have severe adverse effects on one or more business applications or services. Reliable networks contain no single point of failure. Networks are comprised of many components, and are often only as reliable as the weakest link. Therefore, reliability and redundancy must be built into the design, not added-on in an ad hoc manner.

available from multiple sites within the enterprise, from a variety of public and private networks, and from the Internet.
• Networks are able to adapt to growth and technology change when

•

they support multiple traffic types (e.g. data, video, voice).
• The increasing investment in network infrastructures dictates that •

the life span of each additional component or enhancement be as long as possible. This will be accomplished if the design supports both current needs and anticipated growth potential.

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• Bandwidth must be sufficient to accommodate new and expanding

•

applications, different types of data (e.g., voice, data, image, and video), and a variety of concurrent users.
• The network must support software distribution and installation to a •

Open, vendor neutral networks provide the flexibility and consistency that allows departments to respond more quickly to changing business and regulatory requirements. An open, vendor-neutral network to allow the State to choose from a variety of sources and select the most economical network solution without impacting applications and insulates the State from unexpected changes in vendor strategies and capabilities. Design applications to be transport-independent.

widely dispersed user community.
• The network must be designed to minimize latency.

4. Properly designed networks accommodate multi-vendor participation and support common, open, vendor-neutral protocols.
• Open, vendor-neutral protocols provide the flexibility and consistency

•

that allows departments to respond more quickly to changing business requirements.

WIRED SUB-DOMAIN
This sub-domain includes wired WAN and LAN technologies and is described in Table 40. Table 40: Wired Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain Physical Layer

Sunset Products / Standards

Current Supported Products/ Standards

Preferred Products / Standards 1000BASE-T –IEEE 802.3 (40), 1000BASE-TX – TIA/EIA 854

Emerging Trends 10GBASE-T - IEEE 802.3an-2006 with Category 6A ANSI/ TIA/EIA-568-B.2-10 cables or better, WSON (Wavelength Switched Optical Networks) NSIS, MPLS-TP Multi-chassis capable switches 5G Pervasive Networks Microsoft DirectAccess Next Generation IGP with IPv6 support UCaaS (Unified Communications as a Service) MPEG-DASH Enterprise NCCM (Network Configuration and Change Management) tools

Traffic Engineering LAN

MPLS, QOS, COS SNMP managed switches

MPLS-TE, RSVP-TE SNMPv3 managed multilayer network devices Broadband, 4G-LTE VPN, SSL VPN OSPF, IS-IS

Remote Access – Physical Layer Remote Access – Protocol Layer Interior Gateway Protocol Video Teleconferencing

Broadband SSL

H.323

Unified Communications

Video Streaming Remote Management

MPEG 4 SNMP, MIB

H.264 SNMPv3

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Table 40: Wired Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain Voice Mail Gateways Domain Name Servers

Sunset Products / Standards Centrex

Current Supported Products/ Standards VoIP Cloud Based with central filtering Single statewide primary and secondary with geographically separated failover

Preferred Products / Standards Unified Communications Cloud Email Solution Distributed DNS NIST Special Publication 800-81 Secure Domain Name System (DNS) Deployment Guide NIST SP800-53

Emerging Trends IP-PBX, Hosted Voice UCaaS SaaS Email Hybrid Delivery Solution Secure Distributed DNS

WIRED SUB-DOMAIN
This sub-domain (Table 41) includes technologies (e.g., Bluetooth, WiFi, satellite and cellular) that will be used by employees as required. Table 41: Wireless Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain WiFi WiFi- Security Cellular Satellite Bluetooth

Sunset Products / Standards 802.11b/g WEP, WPA

Current Supported Products/ Standards 802.11n 802.1x w/ WPA2

Preferred Products / Standards 802.11n WPA2-Enterprise (802.1x / EAP-TLS)

Emerging Trends 802.11ac, 802.11ad Femtocells

Versions 1 and 2

Radio defaulted to off unless user activates. Version 3.0 and 4.0

Version 4.0

Pending Review

RADIO SUB-DOMAIN
The radio sub-domain will include any microwave or RF platforms in use for primary or emergency communications inter- and intra- island. Included are the facilities which support the transmission and reception as well as frequency management and required regulatory reporting. In the future today’s system’s limitations will be eliminated for the individuals representing transportation, public health, utilities, and public works, and public safety who rely on it. The Radio Program mission is to ensure the effective use of Radio and microwave equipment and licensed spectrum, to oversee radio compliance by the Executive Branch, and to fill all State and

Federal legal requirements associated with radio matters. The following further describes the future direction for the Radio Program:
• Creating a Statewide Governance and

• Providing Oversight of Radio Training

Programs and other types of outreach for both Agency Radio Officers and for all Departmental radio personnel.
• Coordinating with others in promoting

Implementation process to the support the implementation of an Emergency Communications Plan
• Establishing goals and priorities for

adherence to sound radio practices and procedures within and beyond the Executive Branch.
• Serving as central point of information

addressing deficiencies in the State’s emergency communications structure.
• Monitoring all Agencies’ Radio licensing,

on radio matters. The Radio Sub-Domain description provided in Table 42 will not be populated until OIMT and the State of Hawai`i provide a Governance oversight for this sub-domain, which has been started (refer to the additional information and url below this table), but is incomplete. In addition the Radio SubEnterprise Architecture | 117

procurement, and FCC notices for ensuring statutory compliance.
• Assisting proper fulfillment throughout

the State of reviews and reporting requirements for the Radio Program.

State of Hawaii Business and IT/IRM Transformation Plan

Domain primarily has a Law Enforcement component that links the State, Counties, DOD, and Homeland Security that will remain confidential and will not be part of any published information. Table 42: Radio Sub-Domain Description

Infrastructure Hosting, Cloud and Data Center Sub-Domain RF/Microwave Diagnostics RF/Microwave Monitor RF/Microwave Reporting Spectrum Testing Spectrum Management Platform RF Facilities Structure – exterior Data Facilities Structure – interior Mechanical Systems – Inside RF facility Mechanical Systems – Fire Suppression Mechanical Systems – backup power generation

Sunset Products / Standards

Current Supported Products/ Standards

Preferred Products / Standards

Emerging Trends

Radio Sub-Domain Addendum Information http://idea.hawaii.gov/userimages/accounts/90/907159/panel_upload_18993/SupplementalAddendumRadioSystemsPlan2.0.pdf

ETA TRANSITION AND SEQUENCING PLANNING SUMMARY FOR THE NETWORK DOMAIN
The Network T&S Planning Summary is inextricably tied to the Infrastructure Domain’s activities and initiatives. All the elements of Network Domain planning related to the Data Center, O&M resources, and inter-island communications leases are discussed in the Infrastructure Domain. Transition and sequencing initiatives and activities for the Network Domain are based on industry best practices and validated designs, includes input from the Network Working Group, and the creation of quarterly performance milestones for IPv6 adoption.

DESIGN AND IMPLEMENT ONENET
This initiative occurs in four phases. Estimated ring separation cost is Pending Review for Oahu, Pending Review per island of Hawaii, Maui, and Kauai for a total of Pending Review total.

Phase I (Years 1-2) – • Negotiate with Oceanic (Cable Franchise Agreement or independent agreement). - At least two route diverse dark fiber connections between the two main Oahu Data Centers
- Establish separate State rings on each of the major islands of Oahu, Kauai, Maui, and Hawai`i . The design is based on at least one high availability ring per island (2 on Oahu) with subtending rings and spurs connected to sites on the main ring. - Additional high speed interisland connectivity (Oceanic currently provides a shared 10Gbps link between the islands for the State, DOE, and UH. Terminations of these connections will be at the designated island’s data center and telecom center.

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- As part of standard franchise agreement with Oceanic, request connectivity to interim, private data centers.
• Establish pricing with other carrier between interim data

CREATE IP ADDRESSING – REMOVAL OF NETWORK ADDRESS TRANSLATION FROM DEPARTMENTS
This initiative occurs in four phases with an estimated cost of Pending Review Phase I (Year 1-2) • Departments will develop their respective transition plans if they are not currently using their NGN assigned addresses. • ICSD/OIMT to develop removal of NAT Transition Plan. - Determine order that departments will migrate off of NAT. - Develop policy to determine what traffic is not allowed in and out of departments for security purposes. This allows for transparency and safeguards in the event there is a security event/outbreak at a respective department location and there needs to be the ability to segment quarantine a portion of the network to prevent further outbreak. Phase II (Years 3-4) • Migration to NGN assigned addresses by departments not currently in compliance. • Implementation of NAT Transition Plan for departments in compliance. Phase III (Years 5-6) • Implementation of NAT Transition Plan for departments who were required to achieve compliance in Phase II.

centers on Oahu for network diversity.
• Establish SLA, chargeback process • Establish basic NOC/SOC 24x7 staffing

Phase II (Years 3-4) • Establish full NOC/SOC support with 24x7 onsite support. • Implement Oahu high availability backbone and connectivity to interim data centers. Phase III (Years 5-6) • Implement high availability backbone and data center connectivity (1 island) Phase IV (Years 7-8) • Implement high availability backbone and data center connectivity (1 island) Phase V (Years 9-10) • Implement high availability backbone and data center connectivity (1 island)

PROVIDE VIDEO SUPPORT
Video conferencing includes support for facility specific locations (Video Conference Centers), desktops, and mobile devices. Self-scheduling allows users to schedule conferences without the need for centralized oversight. Deployment of multicast systems allows for organizational wide announcements, training, etc. This initiative includes four phases with an estimated cost of Pending Review. Phase I (Year 1-2) • Upgrade existing video conferencing centers that will serve as enterprise models for room conferencing. • Develop cost recovery plans and acquire automated system for cost recovery Phase II (Years 3-4) • Upgrade/acquire additional bridging capabilities to support larger user base including desktops, notebooks, and mobile devices i.e. tablets and smartphones. • Deployment user based scheduling. Phase III (Years 5-6) • Deployment of VoIP and video integration (answer calls via video/voice or simply voice). Phase IV (Years 7-8) • Implementation of multicast capabilities on the network • Acquisition of multicast video equipment Phase IV (Years 9-10) • Technology refresh

CREATE IP ADDRESSING – TRANSITION FROM IPV4 TO IPV6 INITIATIVE
This initiative occurs in five phases with an estimated cost of Pending Review. The key activities include:
• Replacing and/or upgrading equipment and software to be

IPv6 ready.
• Training for staff on IPv6. • Designing the network to allow for renumbering. • ARIN recommends upstream providers enter into

contractual arrangements with their customers stipulating that the address space may have to be returned, requiring all end-sites to be renumbered. • Obtaining IPv6 address space. • Replacing/upgrading/procuring OS, software, network management tools, routers, firewalls, etc. to be IPv6 compliant. • Training for IT staff on IPv6. Phase I (Year 1-2): • Determine cost of IPv6 Address Space, Training, and Network Equipment upgrades. • Obtain IPv6 Address Space. • Training for staff on IPv6. • Establish test network/lab for IPv6.

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Phase II (Years 3-4: • Develop IPv4 to IPv6 Transition Plan. – Determine how IPv6 addresses will be distributed. – Develop order as to which departments will migrate off of IPv4. Phase III (Years 5-6): • Replacing and/or upgrading network equipment to be IPv6 ready. • Procuring IPv6 Management Tools not used in the IPv4 arena. • Replacing and/or upgrading of operating systems, software, and applications to be IPv6 compliant. Phase IV (Years 7-8): • Assignment of IPv6 addresses for existing hosts. • Assignment of IPv4 and IPv6 addresses to new hosts. Phase V (Years 9-10): • Implementation of IPv4 to IPv6 Transition Plan.

Phase III (Years 5-6):
• Complete the tasks involved with the sequencing

plan of the removal of Network Address Translation for Departments.

STAFFING NETWORK SECURITY ORGANIZATION
The ability to support the vision of OneNet is critically dependent upon the ability to recruit, hire, staff and train employees on an ongoing basis. Staffing levels must be sufficient to support Network Operation Centers (NOC) on a 24x7x365 basis. The identification and/or hiring and training additional network security occurs during the next 10 years and the estimated cost is Pending Review. Phase I (Years 1-2): • Development of OneNet Support Staff organizational structure: * Oahu – Engineering & Design Section (5) – Network Security Section (5) – Routing & Switching Section (5) – Transport Section (5) – Data Center (5) – Technicians (5) – At least two staff employees will be on site during evening and early morning hours. • Neighbor Islands: – Big Island (5) – Maui (5) – Supports Molokai and Lanai – Kauai (5)
• Development of position descriptions along with:

DEFINE AND IMPLEMENT COMPREHENSIVE NETWORK SECURITY
*Proper network security controls are required to protect the
availability of the OneNet. Network security controls allow for the ability to:
• Segment/quarantine portions of the network in the event

• •

• • • • •

there is a security outbreak at a Department attached to the OneNet. Provide protection from external and internal threats (Firewall, IDS, IPS, Secure Web Gateways, DLP). Perform health checks (e.g., Virus Signatures, Patching Levels, etc.) of devices attempting to connect to OneNet internally or externally. Support SSL VPN services. Support Role Based Access Control. Forensic/Data Retention of network events (logs) at all layers (CDA) for a minimum of two weeks. Provide flow based security incident and event monitoring. Provide application rate shaping/ flow control.

– Recruitment above the minimum. – Shortage Differential – Merit pay with opportunity for advancement.
• Begin the process of filling positions for the OneNet

Network Support Staff.
• Provide training for staff positions that are filled. This will

This initiative occurs in three phases. Estimated is Pending Review independent of the infrastructure costs. Phase I (Years 1-2): • Evaluation of existing network security tools (e.g., IPS, Next Generation Firewalls, UTM, NAC, etc.) to determine their role in OneNet. • Begin the implementation/upgrading of network security tools identified in the evaluation. - Guidance/Requirements/Recommendations will be needed from the Information Assurance Branch (IAB). Phase II (Years 3-4): • Complete the implementation/upgrading of network security tools. • Align network security tools with the sequencing plan of the removal Network Address Translation for Departments.
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include travel expenses for training conducted outside the State of Hawai`i . Phase II (Years 3-4): • Continue the process of filling positions for the OneNet Support Staff. • Provide training for staff positions that are filled. This will include travel expenses for training conducted outside the State of Hawai`i . Phase III (Years 5-6): • Continue the process of filling positions for the OneNet Support Staff. • Provide training for staff positions that are filled and continuous training for existing staff. This will include travel expenses for training conducted outside the State of Hawai`i .

Enterprise Architecture

Phase IV (Years 7-8): • Continue the process of filling positions for the OneNet Network Support Staff.

Phase II (Years 3-4): • Deployment of network support equipment/structure to support the Self Sustainment Model. Phase III (Years 5-6): • Begin the implementation of Self Sustainment Model. – Perform analysis of Self Sustainment Model and determine whether charge backs fair, consistent, and adequate
• Refresh of equipment older than 5 years.

IMPLEMENT NETWORK LIFE CYCLE METHODOLOGY
To properly maintain OneNet, implementation of a network life cycle methodology and sustainment mechanism is required. This also allows OneNet to become self-sufficient due to the implementation of a Self-Sustainment Model where charge backs are issued to Departments. The funds received will allow for equipment maintenance, upgrades, and refreshes to occur on a scheduled basis. Determination of cost items will be based on current industry standards. This implementation occurs in five phases and will cost approximately Pending Review. Phase I (Years 1-2): • Development of Self Sustainment Model (Charge Backs – Model similar to that of private carrier charges) – Recovery of NRC, ICB and special builds costs. * Bandwidth with enforcement through rate-limiting – Drops/Locations – Qos/Cos – MRC to be a percentage discount from average cost of private carriers.

Phase IV (Years 7-8): • Complete implementation of Self Sustainment Model. • Continue analysis of Self Sustainment Model. • Implement necessary changes for Self Sustainment Model. • Refresh of equipment older than 5 years. Phase V (Years 9-10): • Continue analysis of Self Sustainment Model. • Implement necessary changes for Self Sustainment Model. • Refresh of equipment older than 5 years. Figure 42 represents the roapmap to achieve the future state vision for the Network Domain.

Figure 42: Roadmap for Achieving the Future State Network Domain State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | 121

7.2.3.3 END USER COMPUTING DOMAIN
The EUC is an agent (human or machine) which consumes services provided by software packages or programs. Generally, end users are dependent on this technology to complete daily work tasks.

“PC vendors must prepare for the growth in demand for this client computing architecture by adjusting sales strategies and compensation models or they risk losing expenditure share with enterprise customers,” said Annette Jump, research director at Gartner. Figure 43 depicts how various operating systems, various releases, and various vendors’ software can be standardized and consolidated to Virtual Desktop Infrastructure (VDI). VDI extends server virtualization to desktop operating systems that are hosted on virtual machines (VMs) running is a secure datacenter. Users’ access to virtual desktops is through open Internet based protocols.

CURRENT STATE SWOT FOR THE END USER COMPUTING DOMAIN
The State currently has specific centers of innovation (Hawai`i Public Library System) in providing for end user pilots, bring your own device (BYOD) solutions, and collaborative practices. In its entirety, the State lacks end user computing common solutions and standards. This results in a general lack of coordination, a centralized knowledgebase, compliance to best practices in a comprehensive fashion, and a robust, universal support model that is 24x7x365. This EA document addresses several EUC areas that are in other sections, such as Message and Collaboration Services and End-User Development. Underlying system capacity knowledge is not being tracked and not readily available. In addition, in general the demand for network service provision overwhelms the current capacity and resource base.

FUTURE STATE VISION FOR THE END USER COMPUTING DOMAIN
Incorporation of End-user perspectives is quite complex. This is primarily due to the inability to have a clear boundary for what the term “End-user perspective” represents. Consequently, key concepts such as End-User Computing, End-User Development, and Usability all are related concepts which fall within the boundary of ‘End-user perspective’. End-User Computing has been defined as “direct interaction with application software by managerial, professional, and operating level personnel in user departments” (Torkzadeh and Lee, 2003), while other have noted that End-user computing “means that the user of the results of the computing also creates the software specifications necessary to effect the computing itself”. End-User Development has been defined as a set of methods, techniques, and tools that allow users of software systems, who are acting as non-professional software developers, at some point to create, modify or extend a software artefact (Lieberman, Paternò, and Wulf, 2006). The academicians try to define what End-User Computing is while the worldwide hosted virtual desktop (HVD) market will accelerate through 2013 to reach 49 million units, up from more than 500,000 units in 2009, according to Gartner. Worldwide HVD revenue will grow from about Pending Review to Pending Review in 2009, which is less than 1 percent of the worldwide professional PC market, to Pending Review in 2013, which will be equal to more than 40 percent of the worldwide professional PC market.
Figure 43: Virtual Desktop Migration

A VMWARE BLOG FROM 6/8/2012 SAYS:
“ …the consumerization of IT is a force in IT that can’t be stopped. It can be managed, but not stopped (nor should it). Increasingly employees are choosing the devices and the services they want to use to get their jobs done. The people you really want to work for you no longer want to be forced to work on dull corporate issued notebooks or mobile devices. They want to use the same phones and tablets at work as they and their friends do at home. Let’s face it, when it comes to devices - they’re no longer viewed as just something to get work done with. They’ve grown to become a statement, or extension of oneself, or selfimage. That is: they’re now viewed by many as fashion. Who wants to be seen with a stodgy black notebook when they can have the latest flashy netbook or tablet? However, the more important trend, at least when it comes to security and regulatory compliance - is happening under the surface of the device. It is how employees are choosing the cloud-based applications they want to use. These impulse application selections means, too often, that proprietary data or data that should be protected actually ends up scattered through many online services and accessed on devices the enterprise doesn’t manage.”

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Figure 44 provides a high level graphic depicting the capability for VDI to protect proprietary data from being scattered through many online services and accessed on devices the State does not manage.

Figure 44: Secure Managed Services with Virtual Desktop

Guiding Principles for End User Computing Domain 1. Technology is viewed as an enabler of productivity; all computing devices support mobile applications and work seamlessly throughout the technical environment. 2. End user devices are kept current with security and Operating System updates and patches. 3. “End-User Empowerment, enhancing traditional user service interaction by facilitating the selection, creation, composition, customization, reuse and sharing of applications in a personalized operating environment. 4. “Seamless Context-Aware User-Service Interaction. New-generation service front-ends should have the capability to detect, represent, manipulate, and use contextual information to adapt seamlessly to each situation, supporting human users in a more effective, personalized and consistent way. Novel engineering tools and methods should be devised in order to support context-aware service front-ends. 5. “End-User Knowledge Exploitation. This principle aims to exploit users’ domain knowledge and collective intelligence to improve service front-ends. End users’ knowledge can be used to tag resources using

light semantics, assist while interacting with services, enrich contextual information (e.g. by means of automatic user profiling) and infer new candidate processes to be later automated (on the back-end). 6. “Universal Collaborative Business Ecosystems. Enterprise systems should incorporate advanced user-centric, context-aware front-ends to enable their employees and other stakeholders to exploit and share their extensive domain expertise, and their thorough business knowledge. Employees, customers, developers and providers will collaborate to create and improve enterprise applications, sharing, reusing, changing and combining existing context-aware components.”*

*“End-User Development Success Factors and their Application to Composite Web 1Development Environments” David Lizcano, Fernando Alonso, Javier Soriano and Genoveva L´opez ICONS 2011 : The Sixth International Conference on Systems

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DESKTOP, LAPTOP, AND MOBILE SUB-DOMAIN
This sub-domain requires standardization of computing hardware to simplify maintenance and offer economies of scale for purchasing hardware. Table 43 describes this sub-domain. Table 43: Desktop, Laptop, and Mobile Sub-Domain Description

EUC Desktop, Laptop and Mobile Sub-Domain Desktop/Workstation

Sunset Products / Standards

Current Supported Products/ Standards

Preferred Products / Standards 64 bit x86 architecture with multicore CP

Emerging Trends 64 bit architecture with multi core CPU Thin or Ultra-Thin clients with virtual desktop Ultrabook with local SSD and cloud storage

Laptop

Need to be at a specification level and not call out vendors on this. Meet need multiple levels based on a short list of types of roles: Entry-level, User, Super-User. RIM Blackberry RIM Blackberry iOS, Android 4.0, Windows Mobile 8 Apple, Android

(Example:) WinTel Desktop, 8GB RAM minimum, Windows 7 Professional

Wireless/PDA

Latest stable release of iOS, Android, or Windows Mobile Tablet with Wi-Fi + 4G-LTE

Multi-core processor smartphones with high res touch displays Tablet computing with cloud storage

Tablet

USER PRODUCTIVITY SOFTWARE SUB-DOMAIN
This sub-domain includes core applications installed on the majority of computing devices to enable employees to perform work tasks and communicate electronically. This sub-domain is described in Table 44. Table 44: User Productivity Software Sub-Domain Description

EUC Desktop, Laptop and Mobile Sub-Domain Desktop Operating System

Sunset Products / Standards Windows 2000, Windows NT, Windows XP SP3

Current Supported Products/ Standards Windows 7, Mac OSX 10.6 or above

Preferred Products / Standards 64-bit standard; virtual desktops

Emerging Trends Windows 8 up Virtualized Desktop Infrastructure, Cloud based OS MS Office 2012; Hosted solutions Cloud based productivity applications

Productivity Tools

MS Office 2003, MS Office 2007

MS Office 2010, Adobe Reader X

Virtual productivity tools

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USER PRESENTATION SUB-DOMAIN
This sub-domain identifies applications and tools used to provide multi-media content to the end users. Table 45 provides additional detail about the User Presentation Sub-Domain. Table 45: User Presentation Sub-Domain Description

EUC Desktop, Laptop and Mobile Sub-Domain Web Browser

Sunset Products / Standards IE 6,7

Current Supported Products/ Standards IE 9, Firefox 9, Safari 5

Preferred Products / Standards W3C Consortium, http:// www.w3.org

Emerging Trends IE 10, Firefox 14+, Google Chrome, Opera, HTML 5 compliant WebKit2 based mobile browsers CORBA - Common Object Request Broker Architecture is an architecture and specification for creating, distributing, and managing distributed program objects in a network. AIFF(uncompressed) (*.aif, *.aiff) WAVE (LPCM only) (*.wav) Hardware design of multiple engine compression and decompression

Video

QuickTime Ver7 (Win) and X (Mac), MPEG-4

Motion JPEG2000 (*.mj2) AVI (*.avi) (uncompressed) Motion JPEG (*.avi, *.mov)

Audio

MP3

AIFF(uncompressed) (*.aif, *.aiff) WAVE (LPCM only) (*.wav)

Picture/Image

JPEG, GIF 89a, PNG

JPEG, GIF 89a, PNG

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PERIPHERALS SUB-DOMAIN
The Peripheral Sub-Domain includes external devices that provide input and output for computers. Table 46 describes this sub-domain. Table 46: Peripherals Sub-Domain Description

EUC Desktop, Laptop and Mobile Sub-Domain Printer

Sunset Products / Standards Impact Printers

Current Supported Products/ Standards Laser, Inject Printer

Preferred Products / Standards Laser, Inject Printer; ISO/IEC 24711 ISO/IEC 19752

Emerging Trends Multi-function devices which incorporate print, copy, fax, scan, email capabilities. Group printing to MultiFunction device unless business justification is satisfied. OLED (Organic Light-Emitting Diode) display, QD-LED (Quantum Dot) display External media (USB drive, SSD, etc.) with full encryption; intelligent infrastructures ready to support cloud-based environments

Personal Printer

Laser, Inkjet Printer

Color Laser, Inkjet; ISO/IEC 24711 ISO/IEC 19752

Monitor

CRT

LED, LCD

LED, LCD; ENERGY STAR program requirements for computer monitors Encrypted devices; 100 Gigabit Ethernet (100GE) and 40GE capabilities to the Cloud

External Hard Drive

Unencrypted attached storage

ETA TRANSITION AND SEQUENCING PLAN SUMMARY FOR THE END USER COMPUTING DOMAIN
Transition and sequencing is based upon a thorough assessment of the current end user posture, including looking at some of the Centers of Innovation within the State. This transition and sequencing is dependent on decisions to create Virtual Desktops and Network processes within the larger initiative. The identified initiatives have been created in participation with the End User Planning Working Group to provide a road map and project phasing to address a comprehensive integrated capability.

based protocols. Since the desktop VM is maintained in a secure datacenter, there is better containment of State information and more efficient usage of centrally managed, pooled and shared IT resources. Within the VDI infrastructure, desktops can be persisted or be taken offline; therefore, users have the flexibility to customize and access with their desktops from multiple locations. With more than 41,000 employees in state offices, the State of Hawai`i faces significant challenges from threats that may disrupt efficient operations. Vital to Hawai’i is the dependence on IT services needed to deliver adaptive and secure solutions in the future. To provide continual growing support for mobile workforces and to diminish disruptions in the workplace caused by natural disasters, pandemics, and security threats, a VDI pilot is included as part of the initiative. This pilot will enable secure and reliable web-based access to virtualized State desktops. Through VDI, desktops and data are centrally managed and contained in a secure datacenter; therefore, safeguarding information and preventing accidental data leakage to unmanaged client physical devices. The EA strategy aligns with industry trends where the rigid enterprise perimeter starts to dissolve and the need to provide a business-ready adaptive infrastructure that supports the endpoint demands between employees, customers, partners, mobile workers and outsourced functions and services is required. The pilot steps are:

CREATE VIRTUAL DESKTOP INFRASTRUCTURE
Creating Virtual Desktop Infrastructure (VDI) extends server virtualization to desktop operating systems that are hosted on virtual machines (VMs) running is a secure datacenter. Users’ access to virtual desktops is through open Internet
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• Start using Virtual Desktops as a complement to existing

desktop environment, complementary use cases might be desktop users who want to work from home, contractors or suppliers who need access, and building disaster tolerance (fire, flood etc.). Keep this environment as inexpensive and simple as possible. Manage it like a physical environment. A few hundred concurrent users of a product like VDI in a Box are perfect for this. Continue to use roaming profiles. Provide just a core set of common applications installed in the image.
• Start to stream top 10-20% of applications into this

VDI Pilot Steps from June 12, 2012 Blog Posting following Apple Working Group Meeting http://www.whyvdi.com/
7

CONDUCT A PILOT TEST OF VDI
The Pilot Test addresses the following commonly required aspects of an enterprise class solution: Standardization, Repeatability, Scalability, Availability, Security, and Integration. The client access device layer for the Pilot Test is comprised of the hardware and software components needed to deliver a PC-like experience. Estimated cost of the Pilot Test is Pending Review.

environment, making it increasingly useful, while still keeping the environment simple and clean. Keep using roaming profiles or a simple profile management solution that just does a like for like replacement. Once the top 20% of applications are streaming approximately 50% of the users’ core needs swill be met.
• Monitor event logs for application crashes and hangs to ensure

DEFINE AND IMPLEMENT NEXT STEPS VDI IMPLEMENTATION
This initiative supports the EA and uses common components and a standardized design to reduce the overall cost of implementation and management. The client access device layer is comprised of the hardware and software components needed to deliver a PC-like experience. The process for choosing the appropriate client device varies from deployment to deployment; mixed client environments are not uncommon. In most cases, users are segmented based on their needs and requirements during the planning and design phases, and business requirements and goals are also taken into consideration and mapped to the needs of the user segments. For example, a Department might have personal computers (PC) that are on a staggered depreciation schedule. Depreciated assets can be replaced by thin client devices right away, but assets that have not fully depreciated are often converted into unmanaged end-points, typically by converting them to PXEbooted clients using a Linux-based solution. An alternative to be considered includes the “lock down” of the currently installed Windows OS and then repurposing. Either approach can offer the flexibility to gain the highest return on PC hardware investment. Estimated costs for this planning activity are Pending Review. Figure 45 represents the roadmap for achieving the future state for end users computing.

performance and consider making these streamed applications the strategic delivery method for all users and optionally consider piloting virtual desktops for mainstream use, with thin clients. Keep virtualizing remaining applications in batches and 30% of applications are virtualized approximately 70% of users’ needs will be fulfilled. Virtualizing the remainder of the applications is harder because these, these are used by less than 10% of the users. [In Hawai`i, this will likely include many of the applications that will be absorbed into ERP].
• Finally, mature the rest of the desktop environment by moving

get master data off the physical PCs and onto the network, ensure user entitlements are all defined in AD, begin using a more sophisticated solution for user state virtualization (not roaming profiles). At this point, the State will have one way to deliver applications, data, policy, configuration, user state and applications to virtual and physical desktops.” The VDI test pilot initiative targets a number of users for the initial capability scoped at 1,500 users serving a maximum of 350 users concurrently. This requires the purchase of new server infrastructure and new licenses, as well as training and security enhancements. The summary required steps include: • Service Design • Service transition – Test Readiness Review – Testing – Test Completion Review – Production Readiness Review – Operational Readiness Review
• Service Operations • Organization Change Management/

Communications/Training – OCM requirements and Analysis – Communications – Training

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Figure 45: Roadmap for Achieving the Future State of the End User Computing

7.2.3.4 UNIFIED COMMUNICATIONS DOMAIN
According to the International Engineering Consortium, Unified Communications (UC) is an industry term used to describe all forms of call and multimedia/cross-media messagemanagement functions controlled by an individual user for both business and social purposes. This includes any enterprise informational or transactional application process that emulates a human user and uses a single, contentindependent personal messaging channel (mailbox) for contact access. Unified Communications is orchestrated communication and collaboration across locations, time, and medium to accelerate business results. Unified Communications is achieved through the convergence of real-time, near-real-time, and non-real-time business communication applications. These applications include: calling, conferencing, messaging, contacts,

calendaring, collaboration, and rich presence with voice, video, text, and visual elements. It is a State of Hawai`i goal to access these capabilities using multiple access methods including voice, data, and speech access through telephones, PCs, and mobile devices. Components of collaboration/ communication technology include:
• Electronic Mail (Email) – Email

(Electronic mail) is the exchange of computer generated and stored messages by telecommunication. An email can be created manually via messaging applications or dynamically programmatically such as automated response systems.
• Workflow - At its simplest is the

are synchronized, how information flows to support the tasks, and how tasks are being tracked. As the dimension of time is considered in Workflow, Workflow considers “throughput” as a distinct measure. Workflow problems can be modeled and analyzed using graph-based formalisms like Petri nets. While the concept of workflow is not specific to information technology, support for workflow is an integral part of document management and imaging software.
• Facsimile (Fax) – A fax is the

digitized image of text and/or pictures, represented as a series of dots (bit map). Faxes are sent and received through telecommunication channels such as telephone or Internet.

movement of documents and/or tasks through a work process. More specifically, workflow is the operational aspect of a work procedure: how tasks are structured, who performs them, what their relative order is, how they
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• Fax Server - A fax server is a set of

software running on a server computer which is equipped with one or more fax capable modems attached to telephone lines. Its function is to accept documents from users, convert them into faxes, and transmit them, as well as to receive fax calls and either store the incoming documents or pass them on to users. Users may communicate with the server in several ways, through either a local network or the internet. In a big State department with heavy fax traffic, the computer hosting the fax server may be dedicated to that function, it which case the computer itself may also be known as a fax server. * For outgoing faxes, several methods are available to the user: – An e-mail message (with optional attachments) can be sent to a special e-mail address; the fax server monitoring that address converts all such messages into fax format and transmits them. – The user can tell his computer to “print” a document using a “virtual printer” which, instead of producing a paper printout, sends the document to the fax server, which then transmits it. A web interface can be used, allowing files to be uploaded, and transmitted to the fax server for faxing. – Special client software may be used. – For incoming faxes, several user interfaces may be available: – The user may be sent an e-mail message for each fax received, with the pages included as attachments, typically in either TIFF or PDF format. – Incoming faxes may be stored in a dedicated file directory, which the user can monitor. – A website may allow users to login and check for received faxes. – Special client software may be used.
• Kiosk – A kiosk is a small physical

CURRENT STATE SWOT FOR THE UNIFIED COMMUNICATIONS DOMAIN
Similar to other technology domains, the Unified Communications Domain is characterized by a lack of collaboration on standard solutions and technologies. Collaboration solutions within this domain have progressed significantly in recent industry history; at the same time that the State has experienced budget constraints and cuts. A few centers of excellence such as DOH and the Hawai`i Public Library System exist as models for lessons learned.

• The State of Hawai`i’s use of VoIP

will make it possible to communicate via telephone over an IP network using Session Initiation Protocol (SIP) instead of using traditional PBX telephony infrastructure.
• The State of Hawai`i Strategic

direction requires network traffic to be effectively managed using Quality of Service (QoS) and other network optimization techniques.
• State departments will have the

FUTURE STATE VISION FOR THE UNIFIED COMMUNICATIONS DOMAIN
The pattern listed below conveys how any State department may implement a Unified Communications capability using a unified solution. It also shows how specifically the interaction may occur between different department implementations.
• A single State Department Registry

option of selecting from a single vendor solution for a fully integrated UC capability, or leverage a federated model. Federated model requires a connector to interconnect multiple UC solutions, with the ability to translate and offer presence information from the central repository to all end point and UC solutions.
• End Point Devices will require use of

Open Standards (e.g., SIP). This will allow multiple vendors, though State of Hawai`i should have a preferred vendor list.

made up of a State Directory, LDAP (w/ Integrated Active Directory), and integration into email messaging to support collection of presence information, serves as the foundation for a Unified Communications capability. – Active Directory (LDAP) will provide authentication, directory, and other infrastructure security services. – State Directory will be enhanced to provide Rich Presence Information and other, as needed, user information. – Session Initiation Protocol (SIP) Proxy server will provide the VoIP integration to State Directory and LDAP services.
• State of Hawai`i users will leverage

THE FOLLOWING BENEFITS ACCRUE FROM UNIFIED COMMUNICATIONS
• Centralization of a single State

Department Registry will support collection of presence information to ensure easier integration with existing Hawai`i Login and integration of presence into Hawaii’s consolidated E-Mail and calendaring. This centralized capability will also ensure that authentication is done once and credentials are passed along to the appropriate UC capability.
• Hawaii’s use of VoIP will make it possible

Unified Communications through End Point Devices that comply with State telecommunications and Security standards.
• Once authenticated, presence

to communicate via telephone over an IP network using Session Initiation Protocol (SIP) instead of traditional PBX telephony infrastructure. Thus avoiding certain call charges and reducing overall calling costs.
• Implementing WAN-Optimization

structure (often including a computer and a display screen) that displays information for people walking by. Kiosks are common in public buildings. Kiosks are also used at trade shows and professional conferences .”

information will be passed back to allow other users to determine which communication mechanism(s) can be used (Voice, Video or Web Conferencing, Instant Messaging).

technologies such as QoS will ensure that traffic is managed appropriately so that video and voice traffic can be transferred as required at the State of Hawaii.

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• State departments will have the option of selecting from

a single-vendor solution for a fully integrated UC capability, or leverage a federated model. Federated model requires a connector to interconnect multiple UC solutions, with ability to translate and offer presence information from the central repository to all end point and UC solutions. The following summarizes the impact and implications of State of Hawai`i implementing UC as described in the pattern above. Implications include process changes to accommodate UC, security changes, policy changes, and / or other technology changes to ensure the success of UC in Hawai`i .
• Increased technology support demands • Additional computing and storage capacity • Additional network bandwidth needs • More advanced network management • Multiple UC solution interconnectivity support • License management • New models for usage chargeback and support • Increased training needs for support personnel

* Additional need for end user training and information dissemination as UC capabilities and end-points are deployed For the purposes of the ETA, focus is on the technical standards that support the policy and enforcement of UC. Enhances services for citizens and increases efficiency by using technology to improve business processes. • Provide world-class technology for citizen-centered, integrated, and secure services. • Information sharing can be achieved when the information is designed to be discoverable, accessible, and reliable. • Heighten customer-centric research and analysis. Figure 46 provides a high level view of the current “stove piped” and “siloed” communications systems using multiple products, various vendors, various releases, various versions, and inadequate capability versus the view on the right of Unified and Integrated Communications as the notional future state.

– Need for improved IT operation’s monitoring – Need for improvements in metrics management

Figure 46: Notional View of the Future State of Communications

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Figure 47 depicts the future state view of Collaboration-as-a-Service.

Figure 47: Collaboration-as-a-Service – An Essential Future State Element of ETA

Guiding Principles for Unified Communications Domain 1. Flexible methods of communication to one or many individuals with the State of Hawai`i government. 2. Capabilities to easily communicate with citizens in the manner in that are most productive for both the State and the citizen.

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EMAIL AND COLLABORATION SUB-DOMAIN
This sub-domain, described in Table 47, includes all communication functions associated with email and collaboration tools. Table 47: Email and Collaboration Sub-Domain Description

UC Email And Collaboration Sub-Domain Mail Servers Mail User Interface

Sunset Products / Standards

Current Supported Products/ Standards SMTP, POP, IMAP

Preferred Products / Standards IMAPS – IMAP over SSL Mail Application, Browser Based, Mobile Based

Emerging Trends P-IMAPS or XMPP Unified inbox via sms, email, or chat where messages are sync’d and received through whatever medium or device that is convenient for the end user Cloud Email with large storage capacity (ex: Google Mail or Microsoft Exchange Online) Google, Microsoft, IBM Cloud based with storage and backup Workflow apps with cloud integration that can extend core ERP applications (ex: RunMyProcess) Cloud based content and document management system with integrated voice/ video/IM/forums/wiki

Thick Client

Browser Based

Mail (Proprietary)

Lotus Notes, MS Exchange

Enterprise Messaging System with Global Address Book and Directory Services Integration Gartner Magic Quadrant preferred vendor

Mail (Hosted)

Workflow

Pending Review

Collaboration Environment

MS SharePoint 2010

Gartner Magic Quadrant preferred vendor

Table 48: Voice Sub-Domain Description

UC Voice Sub–Domain VoIP

Sunset Products / Standards Individual department VoIP solutions with no state wide integration

Current Supported Products/ Standards Single vendor platform with integrated voice, data and directory services, G.711

Preferred Products / Standards Pending Review

Emerging Trends VoIP PBX to mobile device integration, SVoIP – Secure Voice over IP, MoIP (Mobile communications over IP) apps Pending Review Pending Review Bring your own mobile (BYOM) with monthly employee allocation for service. Virtualization at mobile OS for separation of work/personal data
Enterprise Architecture

Landline carrier Centrx Provider Wireless Provider Departmental purchase

Hawai`i Tel Hawai`i Tel Central procurement from dual provider with standard contract offering and pricing

Pending Review Pending Review Pending Review

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VIDEO SUB-DOMAIN
The video sub-domain (Table 49) includes communications tools and systems that support and transmit video. Table 49: Video Sub-Domain Description

UC Video Sub–Domain Video teleconference room

Sunset Products / Standards

Current Supported Products/ Standards
• Standalone high bandwidth

Preferred Products / Standards Pending Review

Emerging Trends
• Tele-presence rooms

H.323/H.320 with G.711/722 • Multi-point capable

with High Definition video capability • Centralized VTC monitoring and support Pending Review Video integration into desktop collaboration tools

Video teleconference desktop

• IP based, multi-point capability • Open standards

BROADCAST MESSAGING SUB-DOMAIN
The broadcast messaging sub-domain includes the various communications mediums and tools often considered in today’s environment as social media. Table 50 provides a description of the sub-domain. Table 50: Broadcast Messaging Sub-Domain Description

UC Broadcast Messaging Sunset Products Sub-Domain / Standards Real Time Communication

Current Supported Products/ Standards
MS Office Communicator (OCS)

Preferred Products / Standards Pending Review

Emerging Trends Messaging integration with VoIP and video conferencing Enterprise level social tool that streams information proactively via a real-time news stream (Ex: Chatter by salesforce.com, Jive, or CiscoQuad) Enterprise level social tool that sends information proactively via a real-time news stream (Ex: Chatter by salesforce. com, Jive, or CiscoQuad) Software publishing platform with blogging/content management capability (Ex: Squarespace) Public wiki software for external knowledge sharing and enterprise wiki software for internal knowledge sharing Cloud WCM (Ex: CrownPeak SaaS WCM, Autonomy, SDL Tridion, Sitecore WCM)
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External IM

Google IM

Pending Review

Social Media

Twitter

Pending Review

Blog

Blogger

Dynamic web based CMS (Content Management System) solution Pending Review

Wiki Services

MediaWiki, WikiSpaces

Web content Management

Plume

Pending Review

Pending Review

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MESSAGING AND SOCIAL MEDIA SUB-DOMAIN
Closely associated with the broadcast messaging sub-domain is the messaging and social media sub-domain described in Table 51. The key characteristic of this sub-domain is the non-broadcasting but more personal one-on-one communication activities. Table 51: Messaging and Social Media Sub-Domain Description
UC Messaging and Social Media Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards Google IM

Preferred Products / Standards Pending Review

Emerging Trends
Enterprise level social tool that sends information proactively via a real-time news stream (Ex: Chatter by salesforce.com, Jive, or CiscoQuad)

External IM

Social Media

Twitter, Facebook

Pending Review

Enterprise level social tool that sends information proactively via a real-time news stream (Ex: Chatter by salesforce.com, Jive, or CiscoQuad) Pending Review

Blog

Blogger

Pending Review

CITIZEN COMMUNICATION AND ENGAGEMENT
Citizen communication and engagement sub-domain is intended to attract comments and opinions from the citizens as well as provide significant information in a form and format that is useful. This domain is described in Table 52. Table 52: Citizen Communication and Engagement Sub-Domain Description
UC Citizen Communication and Engagement Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards Open government framework

Preferred Products / Standards Enterprise Web Portal

Emerging Trends
Enterprise web portal utilizing WSRP (Web Services for Remote Portlets)

External portal

Collaboration Engagement

Open government framework Web-based tools (e.g., IdeaScale, Constant Contact, Survey Monkey)

Pending Review Pending Review

Pending Review DCM (Digital Communication Management) platform that enables government to maximize direct connections with the public

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ETA TRANSITION AND SEQUENCING PLANNING SUMMARY FOR THE UNIFIED COMMUNICATION DOMAIN
The transition and sequencing plan for the Unified Communications Domain is based a thorough assessment of the current product base and decide status and evaluate strategic alignment options.
• Select pilot project (e.g. Voice over IP) to demonstrate near

Key Points
• Unified communications requires a phased approach, beginning with small steps that target the low-hanging fruit. • UC projects should start with harnessing existing assets and building from there rather than attempting a one-size-fits-all approach. • End-user communication is vital for project success.

term solutions using cloud based technology that integrates with the new EA.
• Participate with the Messaging and Collaboration planning

team to provide a road map and project phasing to address a comprehensive integrated capability.

• Switches – This covers the cost of IP PBXs or the cost to IP

enable an existing PBX.
• Handsets/End-Unit Devices or Applications– This includes IP

hardphones or softphones.
• Gateways – Often, companies require gateways for TDM

to-IP traffic, unless they’re using SIP trunking throughout the organization (which is rare still).
• LAN upgrades – VoIP requires Power-Over-Ethernet switches,

EVALUATE LEADING TECHNOLOGY PLATFORMS
This investment selects a standard collaboration solution across the State. Project activities include evaluation of leading technology platforms such as Microsoft SharePoint or Lotus Domino Quickr or open source offerings. This effort should be executed in conjunction with the email system initiative. Considerations will be given to solutions on Gartner Magic Quadrant. The scope includes implementation of necessary technical infrastructure and connectivity for cross-departmental workgroup and project collaboration. Estimated costs for this initiative are Pending Review.

and most companies provide Uninterrupted Power Supplies to provide for backup. When organizations upgrade their LANs, the costs account for 32% to 47% of an overall VoIP project. Table 53 highlights the typical LAN upgrade costs. These figures include the POE switches, UPS, management tools, and staffing costs, as well as first year of maintenance. Table 53: Typical LAN Upgrade Costs

IP Telephony Implementations
Cost per end unit*
IPT Hardware LAN Upgrade

Less than 500
Pending Review Pending Review Pending Review

501 – 5,000
Pending Review Pending Review Pending Review

More than 5,000
Pending Review Pending Review Pending Review

All sizes
Pending Review Pending Review Pending Review

PILOT VOIP
The State will initiate a 400-person pilot, based on vendor experience, at an estimated cost of Pending Review.

LAN Upgrade Total Average Capital LAN Upgrade % of Total Capital

45%

41%

32%

42%

IMPLEMENT VOIP STATE-WIDE
The VoIP pilot provides the implementation initiative lessons learned and a solid basis for the actual implementation schedule and costs. As an additional data point, a vendor-provided estimate to the State of Hawai`i to extend VoIP to every State building was estimated to be Pending Review for a “turnkey” engagement for 26,000 end points and as planning progresses the following provides a list of cost considerations: • Implementation – Typically, companies spend about 20% more in the first two years of their VoIP deployments on the actual implementation than they would have spent in TDM. After they gain expertise, implementation costs are equivalent to TDM rollouts.

*End unit is IP handset, audio bridge, softphone or other end-user device.

• Management/monitoring tools – Many companies don’t budget for management and monitoring tools, which is a mistake. Acquisition costs range from free (with open-source tools) to several million dollars. On average, small and midsize companies spend about Pending Review for each third-party monitoringtool, and large companies spend about Pending Review per tool. • Training – Many vendors are including training with the sale of equipment. But when they don’t, companies spend between Pending Review and Pending Review per IT staff member for training, and they find the most success by training their end users with internal IT staff.
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• Equipment licensing and maintenance – Vendors are shifting more to a software model in which the initial acquisition cost is lower, but maintenance and licensing is higher. Whereas vendors once charged about 10% to 14% for maintenance, those fees now are 16% to 22%. • Ongoing WAN costs – This includes the cost of the converged WAN. Typically, this includes the circuit costs for services such as MPLS, Ethernet, and/or SIP trunking. • Ongoing operational costs – This includes the cost to manage and maintain the network from a staff perspective. It includes the total compensation of internal staff members devoted to VoIP, plus the cost of any third-party MSPs managing the VoIP system. Also included are power and cooling costs. • Ongoing network costs – Companies that have not converged voice and data traffic onto a single WAN can save money by eliminating idle capacity and combining access lines. The typical savings is 23%. – Staff changes (non-IT) – Some companies are able to reduce staff in other areas because of VoIP. For example, one receptionist can handle multiple locations when he or she can transfer calls and intercom between locations, rather than having to tell a caller to hang up and dial a different number. Or, by using automated attendant, companies have been able to reduce the need for a receptionist at every location, as well. This typically translates into a Pending Review to Pending Review annual savings. – Turnover Rates – By allowing employees to work from home, particularly those who work in a contact center, companies are reducing turnover rates. Typical contact-center turnover rates are 35% to 45%, but by giving those employees more flexible work schedules from their home offices, they are dropping turnover rates to 10% to 20%. VoIP allows companies to do this cost-effectively by paying for just a broadband access line (Pending Review to Pending Review per month, depending on service level) and eliminating the Pending Review to Pending Review monthly POTS charge for voice service.
• Savings from SIP trunking – Replacing PRI lines with SIP trunks

– Softphones vs. hardphones – There is a small but growing

trend among companies to continue using existing analog or digital handsets with their IP or hybrid switches and move directly to IP softphones. Licenses for softphones range from about Pending Review to Pending Review, compared to a range of Pending Review to Pending Review IP hardphones, so companies can save money with this approach. Among companies using softphones, 53.6% are using them as an adjunct to hardphones, and 35.7% are using them as a replacement to softphones. The balance is in pilot phase. – Centralizing servers – By centralizing servers at the data center, organizations report savings in the number of servers they need to buy, along with reduced tools and resources to manage applications such as unified messaging, conferencing, and even the IP PBX itself. By using fewer servers than would be used in a distributed model, companies can save on power and cooling costs, as well. – Audio conferencing – By replacing audio-conferencing services with an internal audio-conferencing bridge, companies can eliminate their monthly charge for audio conferencing services. For organizations with limited audio conferences, most vendors offer bridges that are integrated with the IP telephony system (albeit limited to the number of participants). – Hosted services – Companies concerned about capital outlay find savings through the use of hosted services. They eliminate the up-front costs of the IP PBXs and handsets because they are included in the monthly service fee. But, the overall service may or may not be less expensive. The point here is that hosted services eliminates the up-front capital cost and depreciation but typically costs more monthly to operate than in-house deployments. – Moves, Adds, and Changes – Many companies have justified their entire IP telephony rollout though MAC savings alone. Externally provide MACs cost Pending Review to Pending Review, depending on the city. Internally managed IP telephony MACs cost about Pending Review, based on average telecom salaries. – Staff changes (IT) – Though we do not see huge reductions in the staff required to manage VoIP vs. TDM environments, more companies decrease their staff than increase it. Among those who decrease the telecom staff, they lose about 2.8 people on average. Attrition is more common than layoffs; IT staffs frequently reassign their telecom staff to other areas of IT or don’t replace retirees. Those who increase their staff do so by one person. (Please see Figure Z: Staff Changes with VoIP).

can save about 40% off the monthly circuit costs.
• Fixed Mobile Convergence – Companies with many mobile

employees eliminate costly roaming charges by moving mobile calls to the corporate IP backbone (calling a local number and routing the call from the IP PBX through the corporate WAN).
• IT Cost Considerations

– Cabling – With IP telephony, there is no longer a need for three to four drops (two Ethernet; two RJ-11) per desktop Companies typically save about 40% on cabling costs in new buildings (and average spend per drop is about Pending Review).

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Figure 48: Roadmap to Future State for the End User Domain

7.2.3.5 INFORMATION MANAGEMENT DOMAIN
The goals, objectives, strategies, policies, and principles defined within the EIA and the associated solutions within the ESA are supported by the technology principles, standards, and products defined within the Information Management Domain of the Enterprise Technology Architecture. The information management domain considers relevant technologies related to the scope of data, information, and knowledge assets of the enterprise – both structured and unstructured data as defined within the EIA, and the full life cycle and management discipline of information from creation, to storage and retention, to use, archival, and deletion.

FUTURE STATE VISION FOR THE INFORMATION MANAGEMENT DOMAIN
The future state vision for Information Management was discussed above in the EBA, EIA, and the ESA outlined the related enterprise service areas of knowledge management, data management, analytics, digital content management, and search. This section highlights additional detail regarding the future state services and technology vision, principles, and standards within the sub-domains. The summary elements of the future state vision for Information Management include:
• Data Management Services

CURRENT STATE SWOT FOR THE INFORMATION MANAGEMENT DOMAIN
The current state of information management practices within the State was discussed above in the EIA. The current state is characterized by a lack of standardization in technologies used in any of the sub-domains below. This area provides a significant opportunity to vault forward with enhanced cultural values in the importance of sound information management, and new processes, practices, and technical solutions.

– Enterprise and LOB operational databases implemented using relational database management systems technology – Enterprise and LOB analytical databases (data warehouses or data marts) implemented using de-normalized relational databases or On-Line Analytical Processing (OLAP) cube technology – Enterprise and LOB data management services for create, read, update, and delete (CRUD) of enterprise or LOB data entities

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• Digital Content Management Solutions

• Business Intelligence and Analytics Solutions

– Electronic documents – Document management services to store and manage electronic documents including all media types (text, images, video) – Document management repositories – Document metadata maintained over the life of the document – Other content (unstructured data) – Content management services to store and manage other unstructured data within defined stores, such as Web page or collaboration content to include all media types – Automated content indexing to facilitate search and retrieval • Records Management – Record management services to create and extract digital records and link to and partition within underlying data and information (digital content) stores – Records metadata maintained over the life of the record
• Search

– Utility services to support the creation of analytics solutions to include analysis and statistics, visualization, graphics, dashboards, drill-downs, ad hoc query, and reporting
• Knowledge Management Solutions

– The utilization of all capabilities above + collaboration services to build knowledge management solutions for specific problem domains within the enterprise or LOBs.

Guiding Principles for the Information Management Domain 1. The State will continue to have a need to manage official documents and records within its operations. The future direction is for the official authoritative source of all documents or records to be electronic. An enterprise document management solution will address this need, but associated technology standards and products are specified here. 2. Within the operations tier, relational database management systems will be the standard for storing all State data. 3. Analytics and visualization capabilities will integrate geospatial data. Geotagging of data should be evaluated for use in all State database implementations.

– An enterprise search capability that integrates search across all information management sub-domains discussed here – data, documents, and other digital content

DIGITAL CONTENT MANAGEMENT SUB-DOMAIN
The Digital Content Management Sub-Domain is described in Table 54. Table 54: Digital Content Management Sub-Domain Description
Information Management Document Management Sub-Domain

Sunset Products / Standards
• Microsoft Office • PDF

Current Supported Products/ Standards
• Microsoft Office • PDF • XML • HTML5
• FileNet • Documentum • Microsoft SharePoint

Preferred Products / Standards

Emerging Trends HTML5

Electronic document formats

Electronic document workflow

• FileNet • Documentum • Microsoft

SharePoint Document integration with other structured data

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DOCUMENT MANAGEMENT SUB-DOMAIN
The Document Management Sub-Domain is included in Table 55. Table 55: Document Management Sub-Domain Description
Information Management Document Management Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards
• Microsoft Office • PDF • XML • HTML5

Preferred Products / Standards ISO 19005-1. Document management - Electronic document file format for long-term preservation - Part 1: Use of PDF 1.4 (PDF/A) ISO 19005-2:2011 specifies the use of the Portable Document Format (PDF) 1.7, as formalized in ISO 32000-1 ISO 19005-2:2011 specifies the use of the Portable Document Format (PDF) 1.7, as formalized in ISO 32000-1

Emerging Trends HTML5

Electronic document formats

Electronic document workflow

Microsoft Office 2010

Document integration with other structured data

DOCUMENT MANAGEMENT SUB-DOMAIN
Table 56 described the Data Management Sub-Domain. Table 56: Data Management Sub-Domain Description
Information Management Document Management Sub-Domain

Sunset Products / Standards
• ISAM

Current Supported Products/ Standards
• Oracle • SQL Server • DB2 • Adabas • Microsoft Access • Relational DBMS integrity rules;

Preferred Products / Standards
• Relational DBMS

Emerging Trends

Database management

Data integrity

• Application

software Data modeling Metadata management – dictionaries, directories, or repositories Data query Data exchange

web services
• ER models • EA repository • RDF

• SQL • XML

• SPARQL

• RDF extractions from Databases, NIEM

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ANALYTICS SUB-DOMAIN
Table 57 describes the Analytics Sub-Domain. Table 57: Analytics Sub-Domain Description
Information Management Analytics Sub-Domain

Sunset Products / Standards
• ISAM

Current Supported Products/ Standards
• Pending Review

Preferred Products / Standards

Emerging Trends

Data storage for analytics data or “big data” Data extraction, transformation, and loading (ETL) and cleansing, Dimensional data cubes Analysis and visualization Dashboards End user ad hoc data query and reporting

Hadoop

• Pending Review

• Pending Review • Pending Review • Pending Review • Pending Review

GEOGRAPHIC INFORMATION SYSTEM (GIS) SUB-DOMAIN
Table 58 represents the GIS Sub-Domain Table 58: GIS Sub-Domain Description
Information Management GIS Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards

Preferred Products / Standards OpenGIS© Standards: http://www. opengeospatial.org/standards OpenGIS© Standards: http://www. opengeospatial.org/standards OpenGIS© Standards: http://www. opengeospatial.org/standards

Emerging Trends ArcGIS Online (in the cloud) ArcGIS Online (in the cloud)

Geospatial data formats and frameworks Geospatial data interoperability and transformation Geospatial data sets and services Geographic information systems ESRI ArcGIS

ArcGIS Online (in the cloud) ArcGIS Online (in the cloud)

OpenGIS© Standards: http://www. opengeospatial.org/standards

ETA TRANSITION AND SEQUENCING PLANNING SUMMARY FOR THE INFORMATION MANAGEMENT DOMAIN
Transition and sequencing will be based upon a thorough assessment of the current data management and GIS posture. This assessment is a critical input to the development of a sequencing plan that organizes all of the major elements of GIS, Data Management, and Analysis and Visualization as subprojects within the larger initiative

The Information Management Working Group is identifying a roadmap and project phasing to address a comprehensive integrated capability. Additional directional information is provided at the below url. Information Management Domain Addendum Information http://idea.hawaii.gov/userimages/accounts/90/907159/panel_ upload_18993/SupplementalAddendumDigitalArchives.pdf

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7.2.3.6 APPLICATION ENVIRONMENT DOMAIN
The goals, objectives, strategies, policies, and principles defined within the ESA are supported by the technology principles, standards, and products defined within the Application Environment Domain of the Enterprise Technology Architecture. The application environment domain considers relevant technologies related to the environments, platforms, and technology stacks that the enterprise application solutions are built upon. As directed in the ESA, the State will move towards standard enterprise solution patterns that will in turn lead towards on optimum set of standard application environments.

FUTURE STATE VISION FOR THE APPLICATION ENVIRONMENT DOMAIN
To achieve the future state vision for the ESA, the State will require considerable standardization and maturity within the software development and integration service area. The key elements for this service area are depicted in Figure 49 and discussed in more detail below.

CURRENT STATE SWOT FOR THE APPLICATION ENVIRONMENT DOMAIN
The State currently has individual areas of strength in applications development maturity, but the overall environment lacks standardization for process, methodology, skills development, knowledge exchange, or tools and technology.

Figure 49: Elements of Future State Software Development Environment

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The elements related to achievement of the future state vision are organized within the three major focus areas of Governance, Architecture and Engineering, and Projects. Governance Key elements of governance related to the Application Environment Domain include the SDLC, the PMO, and Organization, Culture, and Professional Development. Software Development Life Cycle (SDLC) Methodology The vision for the State’s new SDLC includes these elements:
• Agility – the most critical aspect is

• Experienced Project Managers – the

• Knowledge Collaboration – software

State develops over time a strong PMO with experienced and certified IT project managers. These project managers facilitate the strong execution of the SDLC within their teams. They are engaged early on, and help navigate through requirements development and software package procurement.
• Defined Project Teams – all software

development becomes a model discipline for effective knowledge management. The software development community promotes knowledge sharing of environments, platforms, and specific application problem domains. Collaborative wiki style tools are used across the software development community.
• Centers of Excellence – organizations

development and system implementation projects are managed as a project effort with a defined project team.
• Project Performance Incentives – the

the incorporation of agile methods to facilitate a responsive environment for making rapid decisions, course corrections, and establishment of new directions quickly with system implementation projects within the State.
• Tailorable – the SDLC methodology is

successful execution of a project is a critical competency for the State, and project performance is measured and reported, and cultural factors have been enhanced to provide significant incentives for success
• Organizational Change Management

or teams are recognized for expertise in specific application development approaches and patterns, and facilitate project team success through training, knowledge exchange, and mentoring. (Example of AG Justice for J2EE development.)
• SWAT Teams – skilled, experienced

organized in such a manner to facilitate tailoring of project activities and deliverables based on project size, e.g. small, medium, or large.
• Software Packages – the methodology

– the extent of change for the user community as the new solutions are deployed is significant, and a robust organizational change discipline ensures user involvement, awareness, and education.
• Project Collaboration – collaboration

teams from the Centers of Excellence support projects with inexperienced staff to facilitate mentoring and project delivery success.
• Skill Registry – a skill registry provides

a critical tool for location of expertise within the State for help and assistance.
• Just-in-Time Training – a continuous

addresses both software package implementation and custom software development.
• Usability – the methodology is

services enable each project to effectively share information, knowledge, and status, and coordinate activities and schedules.
• Project Dashboard – project status

developed and maintained with helpfulness and usability in mind, and ncludes process overviews, activity and deliverable instructions and helpful guidelines and suggestions for use, including templates and examples.
• Requirements Focus– a key focus area

is reported through a dashboard for visibility into performance and risk/issues.
• Continuous Improvement – a continuous

throughout the SDLC is on developing and managing appropriate measurable requirements for both business and technical perspectives.
• The goal for overall software

improvement program surrounds project execution enabling lessons learned, customer and participant feedback, and performance measurement to weave back into improvements of the SDLC methodology, project culture, and tools and technologies. Knowledge Management and People Development The vision for the development of people, skills, capabilities, and knowledge for software development as a whole includes these elements:

education program for software development integrates with staff annual performance plans, focusing on development of new skills and enhancement of skills. Various incentives approaches are inculcated into the culture. A variety of educational approaches are used such as mini classes, brown bags, informal sharing and collaboration, social network, wiki’s, as well as formal training. The variety enables the project to ensure that education is provided just-in time. Partnering with UH provides new programs tailored to developing skills for State employees.
• Contractor Support and Mentoring –

development maturity within the State is to achieve a CMMI Level 3 maturity within 5 years. Project Management Office The vision for the State’s new PMO with respect to systems implementation projects includes these elements:

contractors are strategically used to bring in expertise and experience; but project teams incorporate the needed mentoring and knowledge capture activities to transfer the expertise to State team members.

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Software Package Implementation The vision for incorporating packaged software includes these elements:
• Standard Technical Requirements –

consistent with the ETA and standard platforms, technical requirements are standardized for reuse in RFPs. These requirements are managed adequately within the evaluation to not stop but steer decisions.
• Environment and Ecosystem

Common Solutions Framework and Patterns The vision for a common solutions framework and solution patterns or reference architectures includes these elements:
• Common Solutions Framework – a

Integrated Development Environment The vision for the integrated development environments for software development includes these elements:
• Visualization and Modeling – draw it to

code it.
• Development Automation / Generators

Requirements – standard requirements in software RFPs include making sure package or system procurements include life cycle support such as test (QA/QC), staging, production environments, and training environments.
• Integration Requirements –

common solutions framework, including architecture and development approach facilitates software development. The framework incorporates standard enterprise services for a common user interface (my.Hawaii.gov), authentication, role-base authorization, data access, and shared enterprise services.
• Standard Application Patterns –

– automate as much of the SDLC as possible, including code generation and automated testing.
• Development Languages – standardize

on technologies used.
• Testing and Deployment –

requirements are included for providing data models, compliance with industry standard data such as NIEM, use of Web services or APIs, standard data access (like ODBC), providing reporting capabilities or a data mart/warehouse.
• Viability of Software Vendor – include

convergence on standard platforms environments and strategic solution patterns with associated technologies such as mobile applications streamline the overall development approach. Software Development Ecosystem The vision for a software development ecosystem supporting collaborative development and reuse includes these elements:
• Enterprise Services – inclusion

standardize on approaches, tools, and technologies used. Platform as a Service The vision for provision of platforms as a service includes these elements:
• Research, Development, Test

Environment (RDTE) – provisioning of platforms for the RDTE.
• Hybrid Cloud Platform Provisioning

an evaluation of the viability of the vendor to enhance the probabilities that the vendor will support the package for the life expectancy needed.
• Open Software / Escrow Code – use

of enterprise services within the development ecosystem for integration into the common solutions framework.
• Community and Industry Software

– rapid provisioning of private (or public) virtual environments for system environments.
• Target Private Cloud Application

open software to have access to the source code or require the vendor to put the source code into escrow.
• Support Agreement – include a support

agreement in the procurement. Include provisions to bring support in house, or with consultants to keep those options open.
• Customization Change Management

Collaboration – a SourceForge or “Force.com” or “Google App Engine” or “Github” type environment for community development and sharing reuse of trusted, certified source code. Also, a State “apps store” for release of trusted, certified apps to the customer base.
• Legacy Systems Services – specific

Platforms – standard target application environments (platforms) are provisioned within minutes within the State’s private cloud.
• Target Public Cloud Application

– use an Executive Steering Team for guidance and escalation of requirements issues, specifically with respect to minimizing customizations to industry standard software. Architecture and Engineering Key elements of architecture and engineering related to the Application Environment Domain include the ESA Common Solutions Framework, Solution Patterns, the Development Ecosystem, the Integrated Development Environment, and Platforms as a Service.

services to support the wrapping and inclusion of legacy software into the enterprise services, and migration approaches or tools for migrating legacy code into the modernized environment.
• Full Life Cycle Planning – planning

Platforms – for specific public or non sensitive uses, standard target application environments (platforms) are provisioned within minutes within secure, trusted public cloud environments such as Amazon Web Services, Windows Azure, or Google App Engine. Projects Key project elements related to the Application Environment Domain include the Hawai`i Common Portal and Enterprise Services Implementation, Project Registry and Reporting, and Legacy Systems Migration. Hawai`i Common Portal The implementation of the Hawai`i Common Portal, the my.hawaii.gov, includes the following:

for the life expectancy of a software application and building refresh upgrade into the planning. Having metrics on application system “soundness”, to include break fix frequency, difficult to fix/sustain, and down-time.

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• Implement new my.hawaii.gov

standards, solution, technologies – Develop governance structure over common requirements gathering and management for shared services. – Pilot initial implementations; pilot potential future state technologies. – Standardize and finalize overall governance and implementation approach, and scale out to broader set of capabilities and implementation stakeholders in an on-going implementation.
• Monitor on-going use and

broader set of services and implementation stakeholders in an on-going implementation.
• Monitor on-going use and

• The legacy systems portfolio is

continuous improvement. Project Registry and Reporting The implementation of the Project Registry and Reporting approach, standards, and tool set includes the following:
• Implement new IT project registry and

characterized by numerous small point solutions that often times are intended to address shortcomings of the mission support systems – such as departmental tracking systems in Lotus Domino for procurements, time and attendance, financial transactions, etc.
• Perform Analysis of the overall legacy

reporting approach, standards, solutions, and technologies – Develop governance structure over common requirements gathering and management for project oversight and reporting. – Scope includes life cycle reporting of IT projects, focused on initial authorization, governance, and reporting through consolidated dashboard capabilities. – Pilot initial implementations; pilot potential future state technologies. – Standardize and finalize overall governance and implementation approach, and scale out to broader set of capabilities and implementation stakeholders in an on-going implementation.
• Monitor on-going use and

systems portfolio. Determine future action on current apps, ERP impact, etc. Examples for consideration – Mainframe apps, Lotus Domino apps. Use a graded approach – some need to be redesigned, some need to be killed, some could be ported.
• Re-platform the targeted set

continuous improvement. Enterprise Services The implementation of the Enterprise Services within the Common Solutions Framework includes the following:
• See Enterprise Services Section 6

of apps – some subset of apps ported off a legacy platform to a modernized platform.

Guiding Principles for the Application Environment Domain 1. Target technology platforms for State application solutions shall be based upon open industry standards and shall avoid being “locked into” specific vendor products, and therefore able to operate on a variety of technology platforms. This standards-based approach allows for vendor independence which promotes cost savings. 2. The target architecture for future applications will be thin client requiring only network access and a web browser for end-user access. Application solutions targeted for thick client, client/server, or the desktop are no longer preferred and should not be developed. 3. XML web services are the preferred future state application integration technology. Business logic and data access should be implemented through XML web services.

to see the potential scope of the services needed.
• Prioritize the initial set of services for

implementation –suggested initial focus includes identity management, role based access, customer management, business management (e.g. organizations), document management, geospatial, and dashboards/drill-down reporting.
• Develop governance structure over

common requirements gathering and management for shared services.
• Pilot initial implementations; pilot

continuous improvement. Legacy Systems Migration The implementation of a consolidated Legacy Systems Migration project includes the following:
• Goal of Legacy Systems Migration

potential future state technologies – e.g. whether an enterprise services bus needs to be used.
• Standardize and finalize overall

governance and implementation approach, and scale out to

project is to help achieve overall reduction by tenfold of the applications portfolio (reduce 705+ applications).

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APPLICATION DEVELOPMENT AND INTEGRATION SUB-DOMAIN
The Applications Development and Integration Sub-Domain is described in Table 59. Table 59: Application Development and Integration Sub-Domain Description
Application Environment Application Development and Integration Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards
• XML Web services • Direct SQL access

Preferred Products / Standards
• Relational DBMS

Emerging Trends

Application Integration

to Enterprise and LOB Databases Integrated Development Environment Visualization and Modeling
• UML • ER models • XML transfers • UML • XML transfers

Requirements Management Software Configuration Management

CLIENT SERVER APPLICATIONS SUB-DOMAIN
Table 60 describes the Client Server Applications Sub-Domain. Table 60: Client Server Applications Sub-Domain Description
Application Environment Client Server Applications Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards
Pending Review

Preferred Products / Standards

Emerging Trends

Development Environment and Tools Quality Assurance and Testing Production Platform

Pending Review

Pending Review

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WEB APPLICATIONS SUB-DOMAIN
This sub-domain is described in Table 61. Table 61: Web Applications Sub-Domain Description
Application Environment Web Applications Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards
• IBM WebSphere • MS Visual Studio

Preferred Products / Standards

Emerging Trends

Development Environment and Tools Quality Assurance and Testing Production Platform

• Java 2 Enterprise Edition • Microsoft .NET • LAMP

User Interface Business Logic Data Access

• HTML5

• SQL

MOBILE APPLICATIONS SUB-DOMAIN
Table 62 describes the Mobile Applications Sub-Domain. Table 62: Mobile Applications Sub-Domain Description
Application Environment Web Applications Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards
Rhodes, RHOStudio

Preferred Products / Standards

Emerging Trends

Development Environment and Tools Quality Assurance and Testing Production Platform User Interface Business Logic Data Access
RHOHub

RHOHub

RhoConnect HTML5 Pending Review Pending Review

EMBEDDED SYSTEMS SUB-DOMAIN
Table 63 describes this sub-domain. Table 62: Mobile Applications Sub-Domain Description
Application Environment Embedded Systems Sub-Domain

Sunset Products / Standards

Current Supported Products/ Standards Pending Review Pending Review Pending Review

Preferred Products / Standards

Emerging Trends

Development Environment and Tools Quality Assurance and Testing Production Platform

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ETA TRANSITION AND SEQUENCING PLANNING SUMMARY FOR THE APPLICATION ENVIRONMENT DOMAIN
The Development Working Group consists of representation of the software development community across the state and has been active in providing direction in future state visioning and in implementation planning for this area. The work plan enables the continued development and detailing of the elements of the future state vision, in addition to implementation of the vision.

IMPLEMENT SOFTWARE ENGINEERING PROJECT MANAGEMENT IMPROVEMENT
This initiative has to the goal of improving overall project management approach, expertise, practices, and tools for software engineering projects within the state. Achieves the vision for the Project Management Office defined in Section 7.2.3.6. Focus areas include PM best practice development, training program development and execution, project performance measurement and reporting, and resource development in a collaborative environment. The initiative will be done in close collaboration with Project Registry and Reporting System Implementation. The cost estimate for this project is Pending Review.

IMPLEMENT SOFTWARE ENGINEERING CONTINUOUS IMPROVEMENT PROGRAM SOFTWARE ENGINEERING IMPROVEMENT
Several identified software engineering improvement initiatives have been identified and detailed separately below and are consolidated together in one initiative within the T&S Plan. This activity is a one-time implementation of a software engineering continuous improvement program within the State. This initiative includes tasks to establish the organization, staff the organization, and establish the program. Goals of the program include establishing performance service levels and measures, on-going monitoring of progress, administering performance and compliance assessments against industry best practice frameworks and maturity models such as CMMI, and sponsoring desired audits from external organizations. This task also provides guidance and assurance of achieving industry best practices in software engineering for optimized performance in responsive automation of business processes, achieving strategic integration, and interoperability. The estimated cost for this project is Pending Review.

FORMALIZE AN ENTERPRISE SDLC METHODOLOGY
This initiative formalizes the State’s new enterprise SDLC methodology and achieves the vision for two key areas defined in the Section 7.2.3.6 – Software Development Life Cycle (SDLC) Methodology and Software Package Implementation. (Refer to the requirements listed there for inclusion in project scope.) The formulation initiative ensures appropriate review and feedback on the draft SDLC developed by OIMT, and will accomplish suitable piloting of the SDLC within initial projects with the goals of further refining the methodology and building teams of experts to accomplish broader adoption in the follow on initiative. Methodology is delivered through Web collaborative environment. The estimate of costs for this initiative is Pending Review.

IMPLEMENT SOFTWARE ENGINEERING MENTORING AND CONSULTING PROGRAM
This initiative establishes a standard mentoring and knowledge transfer approach for the software engineering community and pilot the approach with refinement and adoption for use across the State. Activities include establishing a skills and expertise registry for locating expertise for assistance; and would put in place appropriate acquisition channels for access to external consultants. Project startups with new approaches, tools, or technologies are supported by a formal mentoring process including special mentoring or SWAT teams to assist. See Knowledge Management and People Development in Section 7.2.3.6 for additional information. The estimate for this initiative is Pending Review

ADOPT ENTERPRISE SDLC METHODOLOGY
This activity serves as the process to adopt the State’s new enterprise SDLC methodology through focused use of new methodology on projects across the departments in an incremental fashion using expertise from mentoring teams and training to equip project teams and staff across the state. This task also includes further refining of the methodology through lessons learned approach. The cost estimate for this project is Pending Review on-going O&M annually.

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DEVELOP SOLUTION PATTERNS
This project expand the SDLC to include guidelines, how-to’s, techniques, tools, and training/mentoring to do software engineering in strategic solution patterns: Web, Mobile, Services, and Analytics. Refer to Section 6.2.2.5 Standard Enterprise Solution Patterns and Common Solutions Framework and Patterns in Section 7.2.3.6. The activities for this project optimize effectiveness of software engineering efforts/projects in use and development of skilled resources for overall improvement in responsive automation of business processes, achieving strategic integration and interoperability. The estimated cost is Pending Review.

ENTERPRISE DATA AND SERVICES STANDARDIZATION AND SHARING
This investment centers on establishing a program to support the standardization and sharing of enterprise data and services. See EIA Common Information Framework in Section 5.2.2.1 and the ESA Common Solutions Framework in Section 6.2.2. The investment supports the Enterprise Architecture Program, and implements a series of activities and accomplishments to establish these enterprise-wide data and services management standards and practices. These include:
• Establishing governance standards

IMPLEMENT SOFTWARE DEVELOPMENT COMMUNITY ECOSYSTEM
This initiative has the goal of implementing tools and an environment to support collaboration and code retention and sharing within the software development community for the State of Hawai`i. It achieves the vision for the software development community ecosystem and integrated development environment (IDE) defined in Section 7.2.3.6; similar to environments such as SourceForge.com; force.com; and Google apps development communities. It also streamlines, standardizes, agile processes and the methodology for developing application software for responsive automation of business processes, achieving strategic integration and interoperability, and maximizing reuse of existing software components. The cost estimate is Pending Review.

IMPLEMENT SOFTWARE ENGINEERING CONTINUOUS IMPROVEMENT PROGRAM OPERATIONS
This activity formalizes the on-going administration and operation of software engineering continuous improvement program within the State. It includes ongoing emphasis and activities within the following focus areas: on-going training and skill development; compliance to industry best practices and maturity models; and on-going assessments and improvements. It also optimizes effectiveness of software engineering efforts/projects in use and development of skilled resources for overall improvement in responsive automation of business processes, achieving strategic integration and interoperability. The estimated cost is Pending Review

and practices which include the role of the information stewards and the processes for collaboration, agreement, documentation, and change management of common enterprise or LOB data and services – an area similar to what the industry may refer to as master data management.
• Establishing the common data and

services architecture within the EA tool and repository, inventories of enterprise and LOB data and services assets; and the approach and practices for defining shared (or master) data and services standards.
• Establishing the administration

IMPLEMENT EA COMMON INFORMATION AND SOLUTIONS ARCHITECTURE / FRAMEWORK ADMINISTRATION
The on-going support of common information and solutions architecture and framework within the State is included in this project. Activities include administration of common architectures to support standardization and sharing across the State; and oversight and maintenance of data and services information within EA repository. Refer to the EIA Common Information Framework in Section 5.2.2.1 and the ESA Common Solutions Framework in Section 6.2.2 for more information on this project. The cost estimate for this work is Pending Review.

standards and practices for creating and maintaining official enterprise and LOB databases and services. The budgetary estimate for this is Pending Review.

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CREATE A COMMON PORTAL IMPLEMENTATION
This project include the implementation of the common user interface portal for all end users – state employees, citizens, residents, and other government staff – federal and local, and business partners. The portal is envisioned as a “my.hawaii. gov” implementation – a customized common interface across any end user device platforms – desktop, laptop, tablet, and mobile. This is a critical element of the ESA Common Solutions Framework as defined in Section 6.2.2. Portal implementation has significant standardization issues from a people, culture, and organization perspective as well as from a technology perspective. Suggested implementation approach would generally require working through a phased approach such as:
• Phase 1: Group research, information

IMPLEMENT ENTERPRISE SERVICES
Implementation of the “infrastructure” to support enterprise services within the common services-oriented architecture to be used across the State is included in this set of activities. This is a critical element of the ESA Common Solutions Framework as defined in Section 6.2.2. Similar to the portal implementation above, moving to common enterprise services has significant standardization issues from a people, culture, and organization perspective as well as from a technology perspective. Suggested implementation approach would generally require working through a phased approach such as:
• Phase 1: Group research, information exchange, and education

on what a services-oriented environment would require organizationally and technically.
• Phase 2: Group deliberation, visioning, establishing

exchange, and education on what a common portal environment would require organizationally and technically.
• Phase 2: Group deliberation, visioning,

governance, and planning towards the common approach.
• Phase 3: Corporate technology decisions and

establishing governance, and planning towards the common approach.
• Phase 3: Corporate technology

acquisition actions.
• Phase 4: Implementation –piloting and initial scope

decisions and acquisition actions.
• Phase 4: Implementation –piloting and

initial linkage; phased roll-out with full application integration. This project will result in enhanced user productivity and efficiency through portal-driven individual customization for stream-lined access to functionality and self-service applications for employees, customers and partners. Examples include employee benefits, vacation time, loans, procurement, interactive training, expense processing, service desk, access to state services and associated case tracking, etc. The cost estimate for this activity is Pending Review.

implementation; structure for on-going future scope areas such as ERP. Web services would be a primary approach for implementation, but other technological models need to be assessed such as messaging, enterprise service bus, open source versus proprietary, etc. The cost estimate is Pending Review.

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MIGRATE LEGACY SYSTEMS
This investment funds the upgrade of legacy applications to address immediate areas of risk to the State due to the age and condition of the application software and platform, or due to needs to reposition our application software off of legacy platforms in order to enable modernization initiatives to move forward. This initiative will include an analysis of the overall applications portfolio and identify the top risk areas. Projects will be authorized to plan and work through conversions, upgrades, and refreshes to stabilize the applications. Examples of efforts that may already be underway but need to continue to move forward include:
• Continue work underway to implement near-term

CREATE PROJECT REGISTRY AND REPORTING
This project creates a project registration and reporting system and identifies all required project measures and measurement methods and techniques/tools. Implement project management reporting systems and summary dashboards for OIMT. Outcomes: Enterprise project management dashboard and reporting capabilities operational. This project depends on enterprise analytics capabilities. The cost estimate is Pending Review. Figure 50 below identifies and organizes the needed initiatives for establishing the enterprise methodology, processes, and practices for software engineering, the common solutions framework, and the applications environment technologies. As described above, the initiatives are organized within the areas of governance, architecture and engineering, and projects.

enhancements to the legacy payroll system to automate EFT to minimize demands for check printing.
• Stabilize the email system versions and enhance overall

enterprise capabilities including addressing a global address list and shared calendaring.
• Migrate current Lotus Domino applications to a standard

enterprise solution pattern for web applications. Estimate of costs for this project are Pending Review.

Figure 50: Transition & Sequencing Plan to achieve Future State Software Development Environment

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Figure 1: Transition & Sequencing Plan to achieve Future State Software Development Environment

Enterprise Architecture

7.2.3.7 INFORMATION ASSURANCE AND PRIVACY DOMAIN
The IA domain represents the rules for maintaining information privacy, protecting information soundness, and ensuring information accessibility by mandating that there is accountability for the creation and maintenance of organizational policies, standards, and procedures to match the mandatory regulatory controls and that IT is are properly aligned with these policies, standards, and procedures.

CURRENT STATE SWOT FOR THE INFORMATION ASSURANCE AND PRIVACY DOMAIN
Table 63 provides a description of the SWOT for this domain. Table 63: SWOT for Information Assurance and Privacy Domain
Information and Privacy Domain Strengths • Knowledgeable Current Cyber Security Staff • Information Privacy and Security Council • Vulnerability Scans of ICSD Tier 1 – 2 Systems • Secure Web Gateway • Intrusion Prevention Systems • SEIM • Website App scanning • Virtual Firewalls between Departments • Enterprise SSL Certificate Available • Security Awareness Training (ICSD UH Only) • Spam Filtering for ICSD Lotus Notes • Two-Factor Authentication for Remote Access • Several ICSD IAM Policies • Partnership with MS-ISAC • Albert Project • DNSSEC Opportunities • Security as a Service model. • New skills and opportunities for current and new staff. • Collaborate with Local and Federal IA organizations. • Data Governance, defining the classification of data • Culture • Change • ‘Untrusted’ Insider • Unions Acceptability • BYOD • Compensation does not align with industry standards. • State IA/Cyber PDs Threats Weaknesses • Any known weaknesses have been intentionally omitted for this

public domain report

during the lifecycle.

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FUTURE STATE VISION FOR THE INFORMATION ASSURANCE AND PRIVACY DOMAIN
Hawai`i’s future state vision is to offer world-class technology for citizen-centered, integrated, and secured services. This will be achieved by utilizing the Security as a Service model to provide secure end to end transformation of data for all its employees and citizens. Figure 51 offers a notional view of this future state vision.

Figure 51: Future State Notional View of the Hybrid Cloud Security Architecture

The future state vision will view Security as a Service and will include the provision of security applications and services via the cloud either to cloud-based infrastructure and software or from the cloud to the customers’ on-premise systems. This will enable enterprises to make use of security services in new ways, or in ways that would not be cost effective if provisioned locally. The following security service categories will be of the most interest to the State of Hawai`i going forward:
• Identity and Access Management (IAM) • Security Assessments • Encryption • Intrusion Management • Business Continuity and Disaster Recovery • Security Information and Event Management (SIEM) • Data Loss Prevention (DLP) • Network Security • Web Security • Email Security

Guiding Principles for the Information Assurance & Privacy Domain

1. Security is the first design consideration for all projects, products or services used by the State of Hawai`i. 2. Employees use a straightforward mechanism for gaining physical access to the work environment while providing electronic authentication to the appropriate electronic work environment. 3. Every device (server, computer, phone, wireless device, etc.), which connects to the States network, is considered a threat until credentials are validated.

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Table 64 provides information that is based on “best practices” and “guiding principles” from the Technical Architectures Security Domains of North Carolina, Kansas, Oregon, and includes Security Principles, Security Identification and Authentication Practices, and Security Authorization and Access Control Practices. This information will supplement the OIMT Information Assurance and Cyber Security Strategic Plan (IA and CS) dated July 2012. This IA and CS Plan recommends both a strategic and tactical approach to IT security improvements that address current and future needs of the State’s security posture while recognizing the technical, financial, and cultural needs of State’s organizational subcomponents. The plan includes initiative and project recommendations that specifically focus on enhancements and advancements that address specific security needs and establish a long-term (3-5 year) strategic direction for the overall IA and CS Program. Table 64: Security Principles for the Future State
Security Principles

1.1. Implementation of proven security policies, procedures, and controls greatly improves the security posture of an organization.
•

Rationale: – Security policies are management directives for directing, governing, and regulating an organization’s security requirements. Security procedures and controls detail the processes required to implement the types and levels of protection necessary. – Successful security efforts depend on management and staff commitment to the protection of resources. – Security is only as strong as its weakest link. A lack of alignment opens opportunities for exploiting differences in commitment to and implementation of security processes and solutions.

1.4. Focusing on assuring data confidentiality, availability, integrity, and accountability ensures that State’s business objectives and security policies are satisfied. 1NIST Special Publication 800-33 – Underlying Technical Models for Information Security.
• Rationale:

– The availability of data is essential in ensuring security. If data is inaccessible by authorized personnel important decisions or processes are delayed. Furthermore, confidence is easily lost when data cannot be accessed. – It is critical to ensure that data or systems have not been altered in an unauthorized manner. Corrupted data jeopardizes all business functions and requires that recovery processes be invoked when discovered. – Data confidentiality is more important than ever. Only authorized entities can be allowed to access data. Agencies must comply with privacy laws; failures in this area could result in fines or the need to notify the citizenry of data exposure

1.2. Security controls for Hawai’i assets must be commensurate with their value and sufficient to contain risks to an acceptable level.
• Rationale:

– Security is a business necessity with associated costs. Security expenditures should be a balance between cost and risk. – Qualitative or quantitative analysis techniques can be utilized to determine the proper amount of money to budget to protect assets. – Requirements for security vary depending on the information system, connection to other systems, sensitivity of data, and probability of harm.

1.5. Classifying information as either Public or Confidential helps to ensure compliance with legal and regulatory requirements and protects the privacy of citizens, businesses, and employees.
• Rationale:

1.3. Comprehensive security programs are essential. Program operation should occur within a Statewide Security Office.
• Rationale:

– By law, the general public has the right to request access to government information. If the information has been classified as Public, then the information can be made available according to established procedures. Access to Confidential information must be authorized on a strict “need to know” basis, in conformance with legal requirements for allowable access. – Confidentiality is to be determined in accordance with Hawai’i Public Records Law and all other applicable legal and regulatory requirements. – Occurrences of identity theft continue to rise. Public and confidential information must be secured and only revealed to requestors according to approved procedures. – Government has a responsibility to perform its duties as required by law; however these duties must be performed in a manner that ensures privacy.

– Recent policy-based internal security assessments have shown the need to establish a security program or security office. Without a coordinated and on-going security initiative in place, the ability to adequately secure State’s IT assets over time becomes increasingly less possible. – Security programs should focus on accomplishing both the strategic and tactical aspects of security which include identifying and prioritizing security related needs, providing Department CIOs with professional guidance on the best ways to better secure an organization, developing and implementing a security training program for both IT and end users, and performing incident response activities.

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Table 64: Security Principles for the Future State
Security Principles

1.6. Security is an integral part of all stages of the Software Development Life Cycle (SDLC). NIST Special Publication 800-27 – Engineering Principles for Information Technology Security.
• Rationale:

1.9. Security risk assessments are effective in identifying vulnerabilities; once identified, actions can be taken to mitigate unacceptable levels of risk.
• Rationale:

– Security must be planned from the very beginning of the SDLC (i.e. Initiation Phase); otherwise securing the system is much more costly and inefficient. – Systems already in production (Maintenance Phase) must also be secured. – Even when systems are being retired (Disposal Phase) the proper actions must be taken to ensure the system is decommissioned securely – Designing for security from inception to implementation is significantly less costly than post-implementation attempts to retrofit security into applications.

– A security risk assessment should be performed for all new and ongoing business systems. To determine the appropriate security requirements, departments should assess the value of system assets, risk exposure to those assets, and evaluate the mitigation measures and costs of protecting those systems. – Understanding the value of assets and associated risks is essential to determining the level of security required. – Security requirements should be included when designing or purchasing new applications. – Security requirements should utilize enterprise security resources where available

1.7. Utilizing defense-in-depth and layered security approaches protects State’s information assets. NIST Special Publication 800-27 – Engineering Principles for Information Technology Security.
• Rationale:

1.10. Security risk assessments are effective in identifying vulnerabilities; once identified, actions can be taken to mitigate unacceptable levels of risk.
• Rationale:

– The use of layered security controls across all aspects of network and application better protects resources from various security threats and vulnerabilities, thereby reducing the overall risk of a potential security incident. – The use of layered security controls and mechanisms better protects the asset if security controls are circumvented. – Protection of a resource is best accomplished by placing controls as close to the resource as possible. Additional layers of security help to protect the resource in the event that the primary means of protection fails for any reason. – Due to the diverse needs of the Hawai’i, a single security perimeter that protects the entire network and all related systems may not be feasible. A Security Zoning model will be developed, which is consistent with a layered security approach.

– A security risk assessment should be performed for all new and ongoing business systems. To determine the appropriate security requirements, departments should assess the value of system assets, risk exposure to those assets, and evaluate the mitigation measures and costs of protecting those systems. – Understanding the value of assets and associated risks is essential to determining the level of security required. – Security requirements should be included when designing or purchasing new applications. – Security requirements should utilize enterprise security resources where available

1.11. Maximum effectiveness and usability is ensured when security controls are located in the appropriate communication layer.
• Rationale:

1.8. A security architecture that leverages an integrated set of enterprise services permits Hawai’i agencies to focus on the business goals rather than on the implementation of security.
• Rationale:

– Utilize State’s infrastructure security services. – Integration of security services will enable interoperability and provide flexibility in conducting electronic business across and beyond the enterprise. – Integration will reduce the costs of protecting State’s resources. – Integration will increase the reliability of security solutions.

– Whenever security is required, the location in a communications protocol will have an impact. The impact may be on performance, reliance on an underlying network protocol, and on developers. Choosing the appropriate OSI layer in a communications protocol will maximize usability and minimize future changes. – Security services can have an impact on performance. The impact is minimized when security services are located at lower layers of a communications protocol. – Security services can have an impact on developers. For example, services provided at the transport layer have less impact on application programmers than services that run above that layer. – Security services can increase reliance on a network protocol. An appropriate choice depends on the communication requirements of the business system.

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Table 64: Security Principles for the Future State
Security Principles

1.12. Formalized trust agreements between Agencies and/or external entities establish the criteria for conducting business securely.
• Rationale:

Security Identification and Authentication Practices

2.1. Establish and follow industry accepted user-id and password management practices.
• Rationale:

– The security posture of external entities should be carefully evaluated prior to establishing network communications to conduct business-oriented transactions or processes. – Agreed upon minimum security standards must be verified by each entity annually. – Even after trusted communications are allowed, most often these communications occur via a dedicated circuit or VPN into a tightly controlled area of the network, which then relays the information into other portions of the internal network for further processing.

– User-ids and passwords are the most common means, but weakest form, of identification and authentication to Hawai’i services. When not managed properly, unauthorized access is possible. – User-ids and passwords must be carefully administered to ensure proper management (selection, aging, retirement, etc.) occurs. – Examples of good management practices include requiring that passwords consist of upper and lower case characters, special characters, and numerics, which are at least 8 characters in length; required password change on a regular basis (e.g. quarterly); required password rotation; disabling user-ids after three to five failed access attempts; not sharing user-ids and passwords with others; and not writing down passwords and hiding them in places that can be easily accessed.

1.13. Systems are resilient to threats, vulnerabilities, and cyber attacks4 from both internal and external sources when properly designed and implemented.
• Rationale:

– Zero-day vulnerabilities and Distributed Denial of Services attacks can occur at any time. Networks and systems must be designed such that operations can continue at acceptable levels. – Government entities are primary targets for cyber attacks and cyber warfare. – It is critical that the necessary actions are taken to protect information assets from internal as well as external attacks. Attacks or unauthorized access to information by employees can be very damaging, since they are more knowledgeable of the internal workings of an entity. Separation of duties and rotation of responsibilities can be used to protect against these types of attacks. Unannounced external third party reviews by security professionals are also very effective.

2.2. Use vendor neutral, standards-based, APIs for identification and authentication.
• Rationale:

– Avoid proprietary identification and authorization APIs, which promote vendor lock-in.

– Examples include NIST 800-63, Office of Budget and Management memoranda M-04-04, and GSA E-Authentication Technical Architecture standards. 2.3. Encrypt user-ids and passwords during transmission. In addition, passwords must be stored in an encrypted or one-way hash format.
• Rationale:

1.14. Obtaining superior levels of information assurance within Hawai’i government depends on the use of properly trained security professionals.
• Rationale:

– User-ids and passwords are the weakest method of identification and authentication. Transmitting or storing this information in the clear places the associated systems or data at great risk of unauthorized access. – User-ids and passwords are easily captured when transmitted over IP networks. – Legacy applications, that transmit passwords in the clear when encapsulated over IP networks, must also be securely transmitted. – Security protocols such as SSL and IPSec and security solutions such as VPNs can be used to protect passwords in transit over networks.

– The expertise level of hackers is ever increasing. In addition hacking tools are widely available. Therefore, even novice hackers can cause significant damage to IT resources with very little effort. In many cases these types of attack have tended to be disruptive in nature, however, there is a second generation of hackers emerging that are focused on releasing destructive viruses and worms, or stealing monetary funds from e-commerce systems. – Without the proper expertise and training, security implementations can be faulty and ineffective.

2.4. Authenticate users prior to accessing controlled services or data.
• Rationale:

– Allowing only authenticated users to access system resources protects those resources from inappropriate access. – Authenticating users is the basis for providing accountability while permitting access.

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Table 64: Security Principles for the Future State
Security Principles Security Identification and Authentication Practices

2.5. Perform two-factor authentication when strong authentication is required.
• Rationale:

2.10. Follow PKCS #11 or PC/SC standards to interface smart cards to smart card readers.
• Rationale:

– There are three accepted factors of authentication. The factors are “something you know” (e.g. password, passphrase, or PIN), “something you have” (e.g. token or smart card), and “something you are” (e.g. fingerprint, retina scan, or hand geometry). – The authenticating factors listed above are a means of proving your Hawai’i identity. Strong authentication is accomplished when any two of these factors are provided during the authentication process.

– PKCS #11 from RSA is a widely accepted standard for integrating smart cards to applications supported by many vendors. – PC/SC is widely accepted for integration of smart cards on Intel platforms.

2.11. Follow the BioAPI when interfacing applications and biometric information other than fingerprint biometrics (e.g. voice, face, iris, etc.).
• Rationale:

2.6. Public Key Infrastructure (PKI) initiatives must interoperate with other PKI solutions, utilize a Statewide approach, and conform to any relevant Hawai’i law or Statewide policy.
• Rationale:

– A consortium of vendors, technology developers, researchers, VARs, and end-users developed the BioAPI. – The BioAPI offers interoperability over distributed environments with related APIs. – They include SAPI, HA-API, the telecom industry’s S100 (a standard architecture for developing computer-telephony applications), and JavaSpeech (a standard for speech recognition using Java). – Fingerprint biometrics must utilize standards specified by the NC SBI. – Refer to the BioAPI Consortium for specific references to the BioAPI standards.

– The establishment of any PKI infrastructure is complex and must only be pursued after proper analysis and approvals have occurred. Agencies must leverage statewide services if they exist. – Collaboration and co-operation will be required to support security services across the enterprise. – A unified approach to a Public Key infrastructure enables the Hawai’i to respond to changing requirements and conditions. – A fragmented approach to a public key infrastructure will complicate administration and management of security across the enterprise

2.12. Follow the X.509v3 standard for Public Key Certificates.
•

2.7. Use industry accepted products for applications requiring digital certificate authentication.
• Rationale:

Rationale: – Public Key authentication must be based on Public Key Certificates. – Public Key Certificates must be based on the X.509v3 standard. – Despite the widespread acceptance of this standard, care must be taken when dealing with vendors. Projects should require proof of interoperability with existing or proposed enterprise implementations using X.509v3 certificates. Proprietary extensions to certificates could inhibit interoperability and should be avoided.
Security Authorization and Access Control Practices

– Certificates for web-based applications are provided by a number of major vendors. This approach is less risky and more cost effective than internal creation of digital certificates. – Use of proprietary certificate extensions must be avoided to ensure interoperability.

2.8. Follow ISO/IEC 7816 standards for contact smart cards.
• Rationale:

– ISO 7816/1-4 standards define the electrical resistance, positioning of electrical contacts, communication protocol between card and card reader, and command set recognized by smart cards. – They correspond roughly to the OSI layered model. – The command set defined by the ISO 7816-4 standard are included in whole or in part by most smart cards on the market.

3.1. Only authorized users and devices are allowed to access State’s assets.
• Rationale:

– Unauthorized access or use of Hawai’i property such as a network, infrastructure device, or service is a violation of OIMT policy.

3.2. Authorize users according to the principle of least privilege. Security controls must be established that verify this requirement is satisfied on a regular basis.
• Rationale:

2.9. Follow ISO/IEC 14443 and 15693 and NIST Government Smart Card Interoperability Specification V2.1 standards for contactless smart cards.
• Rationale:

– Authorize users to the minimum set of resources appropriate to their role. – Authorizing users on least privilege minimizes the impact of security violations. – Authorizing users to a minimum set of resources necessary to their function makes it easier to establish accountability. – Authorization levels must be checked at least annually. A check on a monthly or quarterly basis is recommended

– ISO 14443 standards, such as such as HID’s iCLASS and NXP’s, for contactless smart cards define the characteristics and communication protocols between contactless cards and the card reader.

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Table 64: Security Principles for the Future State
Security Principles Security Authorization and Access Control Practices

3.3. All portable devices such as laptops, PDAs, smartphones, portable storage devices, other mobile devices, etc. must be scanned and cleaned of any viruses by up-to-date anti-virus software prior to connecting to State’s network.
• Rationale:

3.7. Mitigate security vulnerabilities that exist within various TCP/IP protocols.
• Rationale:

– Employees, contractors, consultants, sales representatives, etc. can be exposed to viruses while not behind firewalls or protected by out-of-date anti-virus software. In many cases, this is how viruses are introduced into the internal network.

– IP uses various protocols to provide and manage services. Due to the increased security requirements related to using the Internet, many of these protocols have security weaknesses that can negatively impact State’s network, especially when uncontrolled entry into State’s systems and networks is allowed. – Insecure and/or unauthorized network protocols must not be allowed to enter into State’s network. If use of network protocols is required either internally or externally then it must be tightly controlled or proxied from the Transaction Zone. Examples of insecure and unauthorized network protocols include NetBIOS, ICMP, and SNMP. – The use of IPX poses significant risks across State’s WAN. For that reason, routing IPX across State’s network is not acceptable.

3.4. Remote access to the internal network over a public network must occur through a VPN.
• Rationale:

– Accessing application services securely across public networks require encrypted communications. – Mobile workers (users that access the network from unpredictable locations), telecommuters and remote workers (users that routinely or occasionally work from a specific location), contractors, consultants, and vendors can easily expose userids, passwords, sensitive data, etc. over public networks. – VPN technology is not required for web-based applications (e.g. email and calendar) if the communications are secured via SSL.

3.8. Use encryption technologies to provide information assurance and recoverability.
• Rationale:

– Sensitive information may be susceptible to unauthorized access or viewing unless protected by encryption technologies. – Many applications and operating systems create temporary files, which allow access to encrypted and even unencrypted information. Use of State supported encryption technologies ensure that this type of exposure is avoided.

3.5. Remote access to the internal network must be properly authenticated.
• Rationale:

– Remote access users must be minimally authenticated using proper userid and password management practices. Additionally, strong (i.e. two-factor) authentication can be implemented, using technologies such as tokens or smart cards, to further secure the remote access. – Direct dial-in connections to modems located in desktops provide back door access to the internal network. Agencies must provide secure solutions to mobile workers, telecommuters, remote workers, contractors, consultants, and vendors to avoid this situation. – Applications and file systems must be protected from unauthorized access.

– Organizations must have the means to recover data encrypted by an employee after the employee leaves or when encryption keys are lost or stolen. Many products do not provide data recovery services. Data recovery techniques must be developed whenever data encryption is used. 3.9. Protect desktops, laptops, PDAs, smartphones, other mobile devices, etc. that are used by mobile and remote workers through the use of personal firewalls (hardware and/or software), encryption software, anti-spyware, and anti-virus software.
• Rationale:

3.6. Virtual Private Network (VPM) solutions must utilize either SSL or IPSec technology.
• Rationale:

– Remote Access and telecommuting are becoming more and more common and therefore the data located on the devices used during remote access must be protected. – Hackers looking for easy targets frequently scan remote users. These hackers may commandeer home systems to launch attacks, to destroy data, or to obtain access to the user’s work network. – Personal firewalls, desktop encryption, virus protection, anti spyware, and anti-virus software are a means of protecting remote users. End-users must be adequately trained in the use of these products. – Use of fully functional purchased software is recommended for this critical function. Shareware products are generally not intended for wide spread use by a Department, and in many cases this may be in violation of the software license agreement. – Centrally configured firewalls and desktop encryption simplify the remote user’s need to manage potentially confusing products. – Some firewall/VPN products provide configuration and administration support for personal firewalls.

– VPN solutions must be either SSL or IPSec based. While SSL is an open standard and therefore preferred, there may be times where IPSec would be a better choice based on the function being performed. IPSec, while a more proprietary solution, is also a recognized de facto standard. – IPSec is an extension to the IP communications protocol, designed to provide end-to-end confidentiality for packets traveling over the Internet. – IPSec works with both the IPv4 and the IPv6 protocol

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Table 64: Security Principles for the Future State
Security Principles Security Authorization and Access Control Practices

3.10. Secure transmission of sensitive data in both wired and wireless environments.
• Rationale:

– Data in transit to and from the enterprise must be protected in compliance with legal requirements for confidentiality and privacy. – Web-enabled applications must protect confidential or critical data from unauthorized access. – Use secure server-to-server communication to protect confidential or critical data transmissions. – Examples of PII and other sensitive data include SSN, Dates of Birth, Credit Card numbers, health related information, etc. – Examples of security protocols include SSL, VPN, Secure FTP, and WiFi Protected Access 2 (WPA2).

3.11. Use Secure Sockets Layer (SSL) or Transport Layer Security (TLS) when secure communications between the web client and server is required.
• Rationale:

– SSL/TLS is the most commonly supported protocol for communication between a Web Server and a browser. – SSL/TLS authenticates the Web Server and optionally authenticates the user. – Current implementations allow for client authentication support using the services provided by Certificate Authorities.

3.12. Cryptography must be based on open standards and utilize a key of sufficient length to adequately protect data.
• Rationale:

– Cryptosystems and their associated cryptographic algorithms must be publicly reviewed and accepted by the security industry prior to any production usage, otherwise the validity and strength of the cryptosystem cannot be considered as a viable solution. – The key lengths for these algorithms can vary; therefore the selection of an appropriate key size is critical to adequately protect data. In other words, select a key length large enough to ensure that the “work factor” (i.e. time and effort) required to defeat the protection is greater than the value of the “material being protected”. – Cryptography must be based on open standards and utilize a key of sufficient length to adequately protect data. – The Cryptography Categories and Standards Table highlights open, industry accepted, cryptographic standards.

Cryptography Categories
Symmetric (“Shared” Secret Key) Asymmetric (Public Key / Private Key) Hash Functions

Cryptography Algorithm Standards
AES, 3DES, IDEA, RC4, RC5, RC6, Blowfish, Twofish RSA, ECC, El Gamal, DSA MD5, SHA-1, SHA-224, SHA-256, SHA-384, SHA-512

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SECURITY DEVICES SUB-DOMAIN
Security defines the methods of protecting information and information systems from unauthorized access, use, disclosure, disruption, modification, or destruction in order to provide integrity, confidentiality and availability. Software is available and used by a certification authority (CA) to issue digital certificates and ensure secure access to information. The evolution of Public Key Infrastructure (PKI) is based on the verification and authentication of the parties involved in information exchange. Table 65 provides a description of this sub-domain. Table 65: Security Devices Sub-Domain Description
IA Security Sub-Domain

Sunset Products / Standards Stateful Inspection FW

Current Supported Products/ Standards Cisco Virtual FW Checkpoint NG

Preferred Products / Standards

Emerging Trends

Firewalls

Host and network based deep Cloud based web packet inspection application application firewalls, layer firewall Distributed web application firewalls IPSec VPN SSL VPN IDPS – Intrusion Detection and Prevention System IDPS – Intrusion Detection and Prevention System Endpoint protection against zero day threats, antiphishing, antispam, web based protection, and malware removal WIPS - Wireless Intrusion Prevention System NIST RBAC (Role Based Access Control) model, FIPS 201 mVPN – mobile VPN based on Host Identity Protocol (HIP) Stack based intrusion detection systems Integrated Network/ Wireless/Host based prevention in network. Integrated Anti malware/ virus for mobile devices. Central A/V deployment and push, Cloud anti-virus WiFi intrusion prevention and rogue AP detection Identity Management with single sign on, dual factor authentication and defined privilege classes within enterprise

Virtual Private Networks (VPN) Intrusion Detection System (IDS) Intrusion Protection System (IPS) Anti-Virus

Client based VPN

Vendor Specific Checkpoint VPN Cisco VPN Cisco

Network based IDS

Cisco

End user controlled A/V lacking central update capability

Symantec Endpoint

Wireless

Rogue or standalone WiFi deployments Departmental authentication systems

Secure WiFi integration with LAN authentication Single Active Directory for State, LDAP v3, Kerberos 5

Authentication and Authorization

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PRIVACY SUB-DOMAIN
Where security focuses on protection of the network from an outside in perspective, the privacy sub domain is concerned with the protection of information that could compromise an individual, system, or the State as a whole. Personally Identifiable Information (PII) is an example of data that must not be returned in a common query or data set or leaked outside the State. Table 66 provides a description of the Privacy Sub-Domain. Table 66: Privacy Sub-Domain Description
IA Security Sub-Domain

Sunset Products / Standards N/A

Current Supported Products/ Standards N/A

Preferred Products / Standards Network DLP Data in Motion DiM Storage DLP Data at Rest -DaR Endpoint DLP Data in Use - DiU AES-256 bit encryption

Emerging Trends Content inspection system to prevent transmission of PII or other sensitive data

Data Loss Prevention (DLP)

Encryption

Departmental encryption solutions for data at rest N/A

Encryption of data in transit and at rest. 3DES, AES-128

Full Disk Encryption extended to portable media devices. AES256 3rd party assessment and creation of risk management plan

IA / Risk Assessment

Risk IT, CobiT, ISO 27000

COBIT FISMA

ETA TRANSITION AND SEQUENCING PLANNING SUMMARY FOR THE INFORMATION ASSURANCE AND PRIVACY (IA&P) DOMAIN
Transition and sequencing is based upon a thorough assessment of the current security posture. This assessment is a critical input to the development of a sequencing plan that organizes all of the major elements of IA&P as sub-projects within the larger initiative. This list of initiatives and activities was created in conjunction with the Information Assurance and Privacy Working Group to provide a road map and project phasing to address a comprehensive integrated capability. The OIMT Information Assurance and Cyber Security Strategic Plan (IA and CS) dated July 2012 indicates that “The IA initiatives identified in this Plan largely fall into one or more of six strategic goal areas:
• Protect Data – As demonstrated in a succession of well

– anywhere, anytime, and any mission – securely and reliably” is fundamental to State’s ability to preserve and improve its mission capabilities. Meeting this objective, however, increases the complexities associated with protecting our sensitive information.
• Proactive Continuous Monitoring – The goal of continuous

monitoring is to provide real time awareness of a department’s security posture, enabling departments to address threats and to proactively remediate vulnerabilities before they can be exploited.
• Network Centric – The network centric approach focuses on

providing defense at the periphery. This is what many would consider the traditional approach to provide security to the enterprise. While this method of protection is still valid, a more radical approach to security must include the life cycle of data, from creation, now it is used while valid, during any archival or retention requirements, through proper method of destruction.
• Data Centric – The data centric approach focuses on the data

publicized security events, the protection of privacy and other sensitive information is one of the most significant challenges faced in organizations today. This becomes even more challenging when addressed in the context of Protecting Access. Opening the information infrastructures to provide improved “access to the right information for authorized users

itself and where it lives; the database. Data centric continuous monitoring protects the data by identifying and fixing database vulnerabilities before exploitation occurs.
• Protect Access – In meeting the two significant objectives

of protecting access – by authorized users – to the right information, State must first strengthen its ability to granularly establish and enforce access rules and then tie these rules to
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its information assets so that only those individuals with rights to information have those rights. In addition, to address the access objective of reliability, State must deploy secure, reliable, capacious, and diverse access solutions that allow users access to needed information from “anywhere” and at “anytime.”
• Situational Awareness – To support an awareness of

State owned laptops, it is essential that Data at Rest be encrypted. The estimate for this project is Pending Review

INITIATE SERVER CONFIGURATION STABILITY MONITORING
This investment helps identify alterations in operating system, database, applications, and security configurations that result in State’s assets being more susceptible to threats. This includes the ability to examine, evaluate, and report on the level of compliance with security hardening requirements (often referred to as Security Technical Implementation Guides, or STIGs) that are established for equipment and systems across State’s infrastructure. This provides mitigation for exploiting vulnerabilities in devices connected to networks and connecting non-compliant devices to networks without compliance monitoring. The cost estimate for this activity is Pending Review.

infrastructure or information risk related to configuration or patching weaknesses, exposure, attacks, and deliberate or accidental misuse, through implementation of security monitoring technologies and operational monitoring of these technologies. “The ‘New Day Plan’ presented established a “Unity of Purpose” with One Team – One Mission – One Vision – One Set of Goals and Objectives. This plan was one of the six focus areas identified as part of the proposed 4 phases to be completed over the next four years of the current administration.”

IMPLEMENT NETWORK DATA LOSS PREVENTION (NDLP)
This investment implements a system to protect Personally Identifiable Information (PII) and other sensitive data from inadvertently leaving State’s network without authorization or other appropriate protections. This investment includes implementing software, processes, procedures, and support personnel to protect Personally Identifiable Information (PII) and other sensitive data types from unauthorized use, access, disclosure, and to report on any perceived or confirmed exposure of PII. Benefits of this initiative include:
• Prevent network data loss regardless of protocol • Monitor and inspect all TCP protocols – SMTP, HTTP/S, FTP/S,

INITIATE AUTOMATED SECURITY CONFIGURATION COMPLIANCE MONITORING AND REPORTING
This investment helps identify alterations in security configurations that result in State’s assets being more susceptible to threats. This will provide the ability to examine, evaluate, and report on the level of compliance with security hardening requirements (often referred to as Security Technical Implementation Guides, or STIGs) that are established for equipment and systems across State’s infrastructure. The cost estimate for this is Pending Review.

IM, P2P, and other TCP
• Inline MTA inspects and controls email messages • ICAP integration controls Webmail, Web 2.0, and FTP,

IMPLEMENT PRIVACY PROGRAM STAFFING AND SENSITIVE INFORMATION PROTECTION IMPROVEMENTS
This investment enables improvements to be made at all levels within State by supporting targeted Privacy Program staffing increases and the development of improved information protection policies and procedures. This investment will be approximately Pending Review.

including SSL-enabled sessions
• Policy-based email encryption secures communication and

ensures regulatory compliance The estimate for this investment is Pending Review.

CREATE AND IMPLEMENT IT SECURITY POLICY
This investment supports the development and promulgation of revised policies better articulating the responsibilities of organizational components to more effectively manage their IT security programs, internal security configurations and risks. The estimated cost for this activity Pending Review.

IMPLEMENT ENTERPRISE SECURITY OPERATIONS CENTER(S)
This investment supports State’s ability to monitor threats presented by data loss from mission critical systems resulting from misconfigurations or unauthorized data transfers initiated by malicious actors. The lack of appropriate tools and personnel to identify hostile traffic, vulnerabilities that can be exploited and non-compliant configurations that expose the State to hostile parties could result in significant disruption of network access and services and of destruction and abuse of sensitive data. The estimate for this set of activities is Pending Review.

IMPLEMENT DATA AT REST (DAR) ENCRYPTION
This investment protects data resident on assets outside of the physical protection boundaries of State’s facilities – typically resident on mobile devices that can be lost or stolen. With the increasing utilization and usage of mobile devices, including
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IMPLEMENT COMPUTER INCIDENT RESPONSE CENTERS (CIRCS)
This investment improves computer incident detection, reporting, prioritization, response, collaboration, and resolution capabilities throughout the Department. Currently, known incidents take too long to detect, report, respond and collaborate at the State level. Incident reporting arrives too late for appropriate preventative actions to take place. All of this can pose a risk to much higher incident management costs than required; lack of uniform handling of detection, reporting, response, collaboration and resolutions; and, incident-based legal action failing due to inappropriate forensic evidence collection. The cost estimate for this effort is Pending Review.

IMPLEMENT AN ENTERPRISE IDENTITY MANAGEMENT SOLUTION
This investment establishes a standard solution for management of user account identity and authorized roles and access permissions integrated with standard user directory services and enterprise services for authentication. The expectation is that an industry standard commercial-off-the-shelf (COTS) application software package will be selected and procured and implemented. The estimate for this initiative is Pending Review.

IMPLEMENT NETWORK-BASED NETWORK ACCESS CONTROL (NAC)
This investment implements a network-based solution to prevent unauthorized systems from inappropriately accessing State’s network(s). A significant risk to all missions dependent on the information technology that supports them is a lack of network-based network access control (NAC). Without network-based NAC, any hostile party can connect any device to the network and attack it and the sensitive and PII data on it and all the devices connected to the network. Selected and deployed adequate network-based NAC solutions will be installed throughout selected bureau and office internal Local Area Networks (LANs). The network-based NAC is integrated with the host-based NAC solution within the Common EndPoint Protection Platform investment. The estimate for this initiative is Pending Review.

IMPLEMENT ENTERPRISE PENETRATION TESTING CAPABILITY
This investment defines, documents, and implements a core capability enabling State to assess the effectiveness of security controls, when evaluated from an attacker’s perspective, to deny the compromise of mission critical systems. These activities total approximately Pending Review.

COMMON STANDARDS FOR PROTECTING PRIVACY AND OTHER SENSITIVE DATA
This investment funds the development and promulgation of common standards for protecting privacy and other sensitive information. This initiative will cost approximately Pending Review.

IMPLEMENT A SECURE WIRELESS ACCESS SOLUTION
This investment will support the selection, development, implementation, and migration to a standardized State-wide wireless access solution(s) for both remote and local area network access. With the advancement into wireless access solutions to support mission-needed remote and local wireless access to State network assets, servers and data, the State is at risk of having a diversified environment of solutions implemented across the various departments, divisions, branches, and offices leading to costly adaptations for secure configurations across the multitude of products. This initiative will select, develop, implement, and migrate pilot organizations to a State-wide wireless access solution performed incrementally in coordination with all “Remote Access” related initiatives/projects. The estimate for this initiative is Pending Review.

IMPLEMENT A SECURE APPLICATIONS TESTING PROGRAM
This investment develops and implements solutions and testing regimens within application lifecycle development processes to help identify vulnerabilities and weaknesses in all custom source code. Application security should be built-in not added “after market” (much like airbags in cars). Attempting to add security to an application after the requirements have been fulfilled and the application has been developed is rarely successful and typically creates vulnerabilities that cannot be addressed within the application hence incur significant infrastructure costs to remediate. Without a robust application testing regimen, the State is at risk of continuing to deploy applications into the mission-dependent environment that are making the information technology environment less secure rather than more secure and thereby putting the mission data and mission at risk. Further, a lack of uniform testing across all development shops at the State exposes all mission data stores to the vulnerabilities in one insecure deployment. Vulnerabilities could include input validation, cross site scripting, SQL injection, cookie modification, code execution, buffer overflow, URL manipulation, and authentication bypass. The estimate for this initiative is Pending Review.
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IMPLEMENT NETWORK END-TO-END ENCRYPTION SOLUTION
This investment will support the design and implementation of secure internal network communications between mission critical servers and locations. Information Exposure, Unauthorized Use, Unsecured Operating Environments, Loss of Public Confidence, Exposure to Legal Action an . Data traveling across the State network is available for snooping and capturing by hostile parties that connect locally or remotely to the network. A significantly worse risk lies in the traffic that leaves segments of State’s network to reach field offices or other legitimate parties (e.g. remote teleworkers) that is not encrypted while in transit. This information includes login and password information, sensitive and PII data. Hostile parties can read this unencrypted and abuse the credentials and sensitive information, potentially to embarrass State or to interrupt and destroy its network and data. The estimate for this initiative is Pending Review. Figure 52 and Figure 53 represent the roadmap for achieving future State vision for the Information Assurance and Privacy Domain.

Figure 52: Roadmap for Achieving Future State Vision for the Information Assurance and Privacy Domain (1 of 2)

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Figure 53: Roadmap for Achieving Future State Vision for the Information Assurance and Privacy Domain (2 of 3)

Information Assurance and Privacy Domain Addendum Information http://idea.hawaii.gov/userimages/accounts/90/907159/panel_upload_18993/SupplementalAddendumIA.pdf

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8.0 ENTERPRISE LEVEL TRANSITION AND SEQUENCING PLAN
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8.0 ENTERPRISE LEVEL TRANSITION AND SEQUENCING PLAN
This section provides a high-level view of the transition and sequencing activities for the enterprise while Appendix A provides a detailed view of the transition and sequencing actions from the LOB perspective.

8.1

APPROACH TRANSITION AND SEQUENCING PLANNING

The State’s EA characterizes and documents the current state and more importantly defines the standards that will create the desired future state. The T&S Plan is the “how” this transition or transformation occurs in a logical and sequenced or prioritized manner. The T&S process is depicted in Figure 54.

Figure 54: T&S Process

When the T&S Plan is then coupled with the requirements defined in the IT investment Portfolio Management (PfM) Methodology (and its accompanying toolset) along with IT governance and the defined OIMT management practices, the resulting roadmap of activities and projects ensure that IT investments efficiently and cost effectively support the delivery services and programs to all stakeholders (e.g., people of Hawai`i, citizens, business entities, cities, counties, State employees, State government) in a manner they want/need in terms of quality, timeliness, reliability, and transparency. This T&S Plan covers ten years and each year the T&S Plan will be reviewed updated on at least an annual basis.

8.2 ENTERPRISE LEVEL TRANSITION AND SEQUENCING ANALYSIS
The progress of the transition is characterized using a number of perspectives or views. These views summarize the key investments and their resulting projects and activities to ensure alignment with the overarching goals and objectives identified in the future state vision defined in the EA. The details that create these views are maintained in the PfM toolset. The views also offer perspectives that assist OIMT, CIO, CIOC, and ELC in evaluating new investments to ensure they are aligned with the strategic direction set for IT as part of the Strategic Plan and the EA and in monitoring the progress of the transition to the future state definition. As an evaluation tool, the views should be “refreshed and regenerated” on a regular basis.

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The following sections describe a sample of the views that will be used in the evaluation and assessment of IT investments. The actual tables and graphics depicting these views are provided in Appendix C.

8.2.1 STRATEGIC PORTFOLIO VIEWS
This section details the description of the various portfolio views and notional graphic of how the specific views work.

8.2.1.1 INVESTMENT STATUS BY LOB
IT investment dollars are aligned between operations and maintenance (O&M) or Steady State (SS) activities and Development, Enhancement, and Modernization (D/M/E) projects and initiatives by LOB. This view indicates the portfolio’s imbalance in terms of operating and maintaining the more than 700 existing (and often duplicative) systems and their supporting infrastructures. This alignment between O&M or SS and D/M/E indicates that the cost operating and maintaining the current environment is based on technology that is inefficient and ineffective in its application at the enterprise level. Going forward, the funding must be realigned to move more investments to D/M/E (or actively and expeditiously retiring current systems and technology in O&M or SS) especially in the next ten years in order to transform the environment. The OIMT, CIO, CIOC, and ELC should use this view to monitor the investment results.

Figure 1: Investment Components Figure 55: Investment Components

8.2.1.4 EA COMPLIANCE
The enterprise technologies provides the opportunity to make informed decisions on IT activities and investments that are in compliance with the defined technology domains, standards and products outlined in the EA. This understanding of investments and their alignment with the EA help achieve faster deployment with fewer complexities at a lesser cost to the taxpayer. This view focuses the attention of OIMT, CIO, and CIOC on current investments that should be reviewed as part of the Control/Evaluate Phase for retirement or recommendation regarding D/M/E. This view used in conjunction with the Enterprise Support Systems and Enterprise Services view also supports project sequencing.

8.2.1.2 ENTERPRISE SUPPORT SYSTEMS AND ENTERPRISE SERVICES
The EA and specifically the ESA for the State identifies enterprise systems and services that support multiple LOBs (and Departments) due to the shared nature of the activity. As IT investments are identified/architected/ proposed this view supports CIO, CIOC, and/or ELC in making Selection decisions as part of PfM by highlighting the number of LOBs that benefit from the investment, amount of funding, against timeframe that IT solutions are projected to attain economies of scale and cost reduction for the State (based on business case and other provided information in the PfM toolset). This view also supports sequencing decisions. This view is based on the biannual budget submissions for FY2014. From this view the enterprise investments are substantially more effective in the achievement of the EA future state vision.

8.2.1.5 STRATEGIC VALUE
The strategic value view depicts where IT investment for the State is positioned to achieve the strategic objectives as outlined by the EA (and its alignment to the New Day Plan). This view provides the means for the CIO, ELC, Governor, and Legislature to make informed decisions in moving funding of IT from investment to investment to close business or functionality gaps that are inhibiting fulfillment of goals and objectives. All investments with low compliance with regard to strategic objectives and minimal enterprise utility are evaluated for retirement while all investments with high enterprise utility and extensive compliance with strategic objectives should be fully funded.

8.2.1.3 ESA AND ETA INVESTMENTS
This view provides insight into the distribution of investments between the ESA and ETA.

8.3 SPECIFIC PROJECTS AND ACTIVITIES
This view communicates the individual investment initiatives that are required to implement the future state EA. Initiatives are organized within each architectural layer of the EA. A high level Gantt chart depicts all the initiatives and their timing and dependencies by Fiscal Year.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | 167

9.0 CONCLUSION
168 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture

9.0 CONCLUSION
Finally, the EA and the defined projects, initiatives, and activities will serve as a resource and guide for the State’s IT practitioners within the LOBs and Departments as they make tactical and strategic decisions about the development, modernization, enhancement, maintenance, retirement of technology. It also provides a basis for the evaluation of technology plans by the Chief Information Officer (CIO), Office of Information Management and Technology (OIMT), Department leadership and IT management, Executive Leadership Council (ELC), and CIO Council (CIOC) and IT Steering Committee who are ultimately responsible for ensuring:
• State government is costeffectively and efficiently managing all resources (e.g., investments, revenues, employees, IT) and

delivering services and programs to all stakeholders (e.g., people of Hawai`i, citizens, residents, businesses, cities, counties, State employees, State government, business partners) in a manner they want/need; and
• operating in an aligned, streamlined, and integrated manner so that stakeholders’ service expectations and information needs

are met in terms of quality, timeliness, reliability, and transparency.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | 169

ENTERPRISE ARCHITECTURE (EA) – A BLUEPRINT FOR CHANGE APPENDIX A–LINE OF BUSINESS SEGMENT ARCHITECTURE TRANSFORMATION

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TABLE OF CONTENTS
A. LINE OF BUSINESS SEGMENT ARCHITECTURE TRANSFORMATION .........................................................................................12 A.1 Core Mission Areas .........................................................................................................................................................................13 A.1.1 Defense..................................................................................................................................................................................13 A.1.1.1 Future State Vision for Defense .............................................................................................................................13 Information Exchanges ...................................................................................................................................................14 A.1.1.2 Transition & Sequencing Plan Summary for Defense......................................................................................14 Initiatives ............................................................................................................................................................................14 Transition and Sequencing ............................................................................................................................................16 A.1.2 Homeland Security .............................................................................................................................................................16 A.1.2.1 Future State Vision for Homeland Security ........................................................................................................17 Information Exchanges ...................................................................................................................................................17 A.1.2.2 Transition & Sequencing Plan Summary for Homeland Security .................................................................18 Initiatives ............................................................................................................................................................................18 Transition and Sequencing ............................................................................................................................................19 A.1.3 Disaster Management .......................................................................................................................................................19 A.1.3.1 Future State Vision for Disaster Management...................................................................................................20 Information Exchange .....................................................................................................................................................21 A.1.3.2 Transition & Sequencing Plan Summary for Disaster Management ...........................................................21 Initiatives ............................................................................................................................................................................21 Transition and Sequencing ............................................................................................................................................24 A.1.4 Law Enforcement ................................................................................................................................................................24 A.1.4.1 Future State Vision for Law Enforcement ...........................................................................................................25 Information Exchanges ...................................................................................................................................................25 A.1.4.2 Transition & Sequencing Planning Summary for Law Enforcement ............................................................26 Initiatives ............................................................................................................................................................................26 Transition and Sequencing ............................................................................................................................................27 A.1.5 Correctional Activities/Public Safety ............................................................................................................................28 A.1.5.1 Future State Vision for Correctional Activities/Public Safety .......................................................................29 Information Exchanges ...................................................................................................................................................30 A.1.5.2 Transition & Sequencing Planning Summary for Correctional Activities/Public Safety ........................30 Initiatives ............................................................................................................................................................................30 Transition and Sequencing ............................................................................................................................................33 A.1.6 Legal Services .....................................................................................................................................................................34 A.1.6.1 Future State Vision the Legal Services................................................................................................................34 Information Exchanges ...................................................................................................................................................35 A.1.6.2 Transition & Sequencing Planning Summary for Legal Services .................................................................35 Initiatives ............................................................................................................................................................................35 Transition and Sequencing ............................................................................................................................................37

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A.1.7 Justice ...................................................................................................................................................................................38 A.1.7.1 Future State Vision for Justice ..............................................................................................................................40 Information Exchanges.................................................................................................................................................................................41 A.1.7.2 Transition & Sequencing Planning for Justice..................................................................................................41 Initiatives ............................................................................................................................................................................41 Transition and Sequencing ............................................................................................................................................44 A.1.8 Child Support Services ......................................................................................................................................................45 A.1.8.1 Future State Vision for Child Support Services .................................................................................................46 Information Exchanges ...................................................................................................................................................46 A.1.8.2 Transition & Sequencing Planning Summary for Child Support Services..................................................47 Initiatives ............................................................................................................................................................................47 Transition and Sequencing ............................................................................................................................................48 A.1.9 Stadium Operations............................................................................................................................................................48 A.1.9.1 Future State Vision for Stadium Operations .......................................................................................................49 Information Exchanges ...................................................................................................................................................49 A.1.9.2 Transition & Sequencing Planning Summary for Stadium Operations........................................................49 Initiatives ............................................................................................................................................................................49 Transition and Sequencing ............................................................................................................................................49 A.1.10 Transportation....................................................................................................................................................................49 A.1.10.1 Future State Vision for Transportation ...............................................................................................................49 Information Exchanges ...................................................................................................................................................50 A.1.10.2 Transition & Sequencing Planning Summary for Transportation................................................................52 Initiatives ............................................................................................................................................................................52 Transition and Sequencing ............................................................................................................................................56 A.1.11 Economic Development ..................................................................................................................................................58 A.1.11.1 Future State Vision for Economic Development..............................................................................................59 Information Exchanges ...................................................................................................................................................60 A.1.11.2 Transition & Sequencing Planning Summary for Economic Development ..............................................60 Initiatives ............................................................................................................................................................................60 Transition and Sequencing ............................................................................................................................................63 A.1.12 Commerce and Consumer Affairs .................................................................................................................................63 A.1.12.1 Future State Vision for Commerce and Consumer Affairs ............................................................................65 Information Exchanges ...................................................................................................................................................66 A.1.12.2 Transition & Sequencing Plan for Commerce and Consumer Affairs ........................................................66 Initiatives ............................................................................................................................................................................66 Transition and Sequencing ............................................................................................................................................69 A.1.13 Human Services ................................................................................................................................................................71 A.1.13.1 Future State Vision for Human Services ...........................................................................................................73 Information Exchanges ...................................................................................................................................................74 A.1.13.2 Transition & Sequencing Planning Summary for Human Services ............................................................75 Initiatives ............................................................................................................................................................................75 Transition and Sequencing ............................................................................................................................................77
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A.1.14 Employment Rights and Benefits ..................................................................................................................................79 A.1.14.1 Future State Vision for Employment Rights & Benefits..................................................................................81 Information Exchanges ...................................................................................................................................................82 A.1.14.2 Transition & Sequencing Planning Summary for Employment Rights and Benefits ..............................83 Initiatives ............................................................................................................................................................................83 Transition and Sequencing ............................................................................................................................................92 A.1.15 Education ............................................................................................................................................................................94 A.1.15.1 Future State Vision for Education .......................................................................................................................94 Information Exchanges ...................................................................................................................................................95 A.1.15.2 Transition & Sequencing Planning Summary for Education ........................................................................95 Initiatives ............................................................................................................................................................................95 Transition and Sequencing ............................................................................................................................................98 A.1.16 Higher Education ..............................................................................................................................................................99 A.1.16.1 Future State Vision for Higher Education..........................................................................................................99 Information Exchanges ...................................................................................................................................................99 A.1.16.2 Transition & Sequencing Planning Summary for Higher Education ..........................................................99 Initiatives ......................................................................................................................................................................... 100 Transition and Sequencing ......................................................................................................................................... 101 A.1.17 Public Health .................................................................................................................................................................. 102 A.1.17.1 Future State Vision for Public Health.............................................................................................................. 105 Information Exchanges ................................................................................................................................................ 106 A.1.17.2 Transition & Sequencing Planning Summary for Public Health .............................................................. 107 Initiatives ......................................................................................................................................................................... 107 Transition and Sequencing ......................................................................................................................................... 109 A.1.18 Environmental Health Management ......................................................................................................................... 111 A.1.18.1 Future State Vision for Environmental Management .................................................................................. 112 Information Exchanges ................................................................................................................................................ 113 A.1.18.2 Transition & Sequencing Planning Summary for Environmental Management................................... 113 Initiatives ......................................................................................................................................................................... 114 Transition and Sequencing ......................................................................................................................................... 116 A.1.19 Agriculture....................................................................................................................................................................... 117 A.1.19.1 Future State Vision for Agriculture .................................................................................................................. 118 Information Exchanges ................................................................................................................................................ 120 A.1.19.2 Transition & Sequencing Planning Summary for Agriculture .................................................................. 120 Initiatives ......................................................................................................................................................................... 120 Transition and Sequencing ......................................................................................................................................... 122 A.1.20 Land and Natural Resources....................................................................................................................................... 124 A.1.20.1 Future State Vision for Land and Natural Resources .................................................................................. 125 Information Exchanges ................................................................................................................................................ 125 A.1.20.2 Transition & Sequencing Planning Summary for Land and Natural Resources .................................. 125 Initiatives ......................................................................................................................................................................... 125 Transition and Sequencing ......................................................................................................................................... 131
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A.1.21 Hawaiian Home Lands ................................................................................................................................................. 133 A.1.21.1 Future State Vision for Hawaiian Home Lands............................................................................................. 133 Information Exchanges .................................................................................................................................................134 A.1.21.2 Transition & Sequencing Planning Summary for Hawaiian Home Lands .................................................................... 134 Initiatives ......................................................................................................................................................................... 134 Transition and Sequencing ......................................................................................................................................... 137 A.1.22 Hawaii State Public Library System ......................................................................................................................... 137 A.1.22.1 Future State Vision for the Hawaii State Public Library System.............................................................. 139 Information Exchanges ................................................................................................................................................ 140 A.2.1.2 Transition & Sequencing Planning Summary for the Hawaii State Public Library System ................ 140 Initiatives ......................................................................................................................................................................... 141 Transition and Sequencing ......................................................................................................................................... 142 A.2 Support Service Areas ................................................................................................................................................................. 142 A.2.1 Legislative Relations....................................................................................................................................................... 142 A.2.1.1 Future State Vision for Legislative Relations .................................................................................................. 143 Information Exchanges ................................................................................................................................................ 144 A.2.1.2 Transition & Sequencing Planning Summary for Legislative Relations .................................................. 144 Initiatives ......................................................................................................................................................................... 144 Transition and Sequencing ......................................................................................................................................... 146 A.2.2 Public Affairs .................................................................................................................................................................... 146 A.2.1.1 Future State Vision for Legislative Relations .................................................................................................. 147 Information Exchanges ................................................................................................................................................ 147 A.2.2 Transition & Sequencing Planning Summary for Public Affairs ................................................................... 148 Initiatives ......................................................................................................................................................................... 148 Transition and Sequencing ......................................................................................................................................... 151 A.2.3 Policy, Controls, and Oversight .................................................................................................................................... 152 A.2.3.1 Future State Vision for Policy, Controls, and Oversight................................................................................ 152 Information Exchanges ................................................................................................................................................ 153 A.2.3.2 Transition & Sequencing Planning Summary for Policy, Controls, and Oversight ................................ 153 Initiatives ......................................................................................................................................................................... 153 Transition and Sequencing ......................................................................................................................................... 154 A.2.4 Planning & Resource Allocation ................................................................................................................................. 155 A.2.4.1 Future State Vision for Planning & Resource Allocation ............................................................................. 155 Information Exchanges ................................................................................................................................................ 156 A.2.4.2 Transition & Sequencing Planning Summary for Planning & Resource Allocation ............................. 156 Initiatives ......................................................................................................................................................................... 156 Transition and Sequencing ......................................................................................................................................... 158 A.2.5 Grants Management........................................................................................................................................................ 158 A.2.5.1 Future State Vision for Grants Management ................................................................................................... 158 Information Exchange .................................................................................................................................................. 159 A.2.5.2 Transition & Sequencing Planning Summary for Grants Management ................................................... 159

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Initiatives ......................................................................................................................................................................... 159 Transition and Sequencing ......................................................................................................................................... 161 A.2.6 Revenue Collection ......................................................................................................................................................... 161 A.2.6. 1 Future State Vision for Revenue Collection.................................................................................................... 162 Information Exchanges ................................................................................................................................................ 163 A.2.6.2 Transition & Sequencing Planning Summary for Revenue Collection ..................................................... 163 Initiatives ......................................................................................................................................................................... 163 Transition and Sequencing ......................................................................................................................................... 164 A.2.7 Budget & Finance ............................................................................................................................................................ 166 A.2.7.1 Future State Vision for Budget and Finance .................................................................................................... 168 Information Exchanges ................................................................................................................................................ 168 A.2.7.2 Transition & Sequencing Planning Summary for Budget and Finance .................................................... 168 Initiatives ......................................................................................................................................................................... 169 Transition and Sequencing ......................................................................................................................................... 170 A.2.8 Financial Management .................................................................................................................................................. 170 A.2.8.1 Future State Vision for Financial Management .............................................................................................. 171 Information Exchanges ................................................................................................................................................ 172 A.2.8.2 Transition & Sequencing Planning Summary for Financial Management .............................................. 172 Initiatives ......................................................................................................................................................................... 172 Transition and Sequencing ......................................................................................................................................... 174 A.2.9 Human Resource Management .................................................................................................................................... 174 A.2.9.1 Future State Vision for Human Resource Management ............................................................................... 176 Information Exchanges ................................................................................................................................................ 176 A.2.9.2 Transition & Sequencing Planning Summary for Human Resource Management................................ 176 Initiatives ......................................................................................................................................................................... 177 Transition and Sequencing ......................................................................................................................................... 179 A.2.10 Procurement.................................................................................................................................................................... 179 A.2.10.1 Future State Vision for Procurement ............................................................................................................... 180 Information Exchanges ................................................................................................................................................ 180 A.2.10.2 Transition & Sequencing Planning Summary for Procurement Management ..................................... 181 Initiatives ........................................................................................................................................................................ 181 Transition and Sequencing ......................................................................................................................................... 182 A.2.11 Asset Management & Inventory Control .................................................................................................................. 182 A.2.11.1 Future State Vision for Asset Management and Inventory Control ......................................................... 183 Information Exchanges ................................................................................................................................................ 184 A.2.11.2 Transition & Sequencing Planning Summary for Asset Management and Inventory Control .......... 184 Initiatives ......................................................................................................................................................................... 184 Transition and Sequencing ......................................................................................................................................... 185 A.2.12 General Services ........................................................................................................................................................... 185 A.2.12.1 Future State Vision for General Services....................................................................................................... 186 Information Exchanges ................................................................................................................................................ 187 A.2.12.2 Transition & Sequencing Planning Summary for General Services ....................................................... 187
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Initiatives ......................................................................................................................................................................... 187 Transition and Sequencing ......................................................................................................................................... 191 A.2.13 Information Technology Management...................................................................................................................... 191 A.2.13.1 Future State Vision for Information Technology Management ................................................................. 192 Information Exchanges ................................................................................................................................................ 192 A.2.13.2 Transition & Sequencing Planning Summary for IT Management .......................................................... 193 Initiatives ......................................................................................................................................................................... 193 Transition and Sequencing ......................................................................................................................................... 195 A.3 Strategic Business Segments .................................................................................................................................................... 196 A.3.1 Health IT Business Segment ......................................................................................................................................... 196 A.3.1.1 Current State for Health IT ................................................................................................................................... 196 HHTI Roadmap ............................................................................................................................................................... 197 A.3.1.2 Future State Vision for Health IT ........................................................................................................................ 200 Information Exchanges ................................................................................................................................................ 203 A.3.1.3 Transition & Sequencing Planning Summary for Health IT ......................................................................... 204 Initiatives ......................................................................................................................................................................... 204 Transition and Sequencing ......................................................................................................................................... 208 A.3.2 Enterprise Resource Planning ...................................................................................................................................... 211 A.3.2.1 Background and Scope ........................................................................................................................................ 211 A.3.2.2 Current State of Systems for Common Mission Support Business Functions ........................................ 212 A.3.2.3 Future State Vision for ERP .................................................................................................................................. 213 Information Exchanges ................................................................................................................................................ 215 A.3.2.4 Transition & Sequencing Planning Summary for ERP .................................................................................. 215 ERP Implementation Considerations ........................................................................................................................ 215 ERP Implementation Challenges .......................................................................................................................... 215 ERP Implementation Considerations in State Government as Industry Segment..................................... 217 ERP Implementation Guiding Principles ............................................................................................................. 217 ERP Program Management Considerations ...................................................................................................... 217 Considerations on ERP Implementation Approach .......................................................................................... 220 Initiatives ......................................................................................................................................................................... 220 Transition and Sequencing ......................................................................................................................................... 221

LIST OF FIGURES
Figure 1: Defense Future State Solutions Architecture ........................................................................................................................14 Figure 2: Defense Transition and Sequencing Plan Summary.............................................................................................................16 Figure 3: Homeland Defense LOB and Architecture Layers ................................................................................................................17 Figure 4: Homeland Security Future State Solutions Architecture.....................................................................................................17 Figure 5: Homeland Security Transition and Sequencing Plan Summary.........................................................................................19 Figure 6: Disaster Management Future State Solutions Architecture...............................................................................................21 Figure 7: Disaster Management Transition and Sequencing Plan Summary...................................................................................24 Figure 8: Law Enforcement Future State Solutions Architecture .......................................................................................................25
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Figure 9: Law Enforcement Transition & Sequencing Plan Summary ...............................................................................................27 Figure 10: Correctional Activities/Public Safety Future State Solutions Architecture ...................................................................30 Figure 11: Correctional Activities/Public Safety Transition & Sequencing Plan Summary ...........................................................33 Figure 12: Legal Services Future State Solutions Architecture...........................................................................................................35 Figure 13: Legal Services Transition and Sequencing Plan Summary...............................................................................................37 Figure 14: Justice Future State Solutions Architecture ........................................................................................................................41 Figure 15: Justice Transition & Sequencing Plan Summary (1 of 2) ...................................................................................................44 Figure 16: Justice Transition & Sequencing Plan Summary (2 of 2) ...................................................................................................45 Figure 17: Child Support Services LOB Future State Solutions Architecture ...................................................................................46 Figure 18: Child Support Services Transition & Sequencing Plan Summary....................................................................................48 Figure 19: Transportation Future State Solutions Architecture ...........................................................................................................51 Figure 20: Transportation Transition & Sequencing Plan Summary (1 of 3)......................................................................................56 Figure 21: Transportation Transition & Sequencing Plan Summary (2 of 3)......................................................................................57 Figure 22: Transportation Transition & Sequencing Plan Summary (3 of 3)......................................................................................57 Figure 23: Economic Development Future State Solutions Architecture ..........................................................................................60 Figure 24: Economic Development Transition and Sequencing Plan Summary ..............................................................................63 Figure 25: Commerce and Consumer Affairs LOB Future State Solutions Architecture................................................................66 Figure 26: Commerce and Consumer Affairs Transition and Sequencing Plan Summary (1 of 3) ...............................................70 Figure 27: Commerce and Consumer Affairs Transition and Sequencing Plan Summary (2 of 3) ...............................................70 Figure 28: Commerce and Consumer Affairs Transition and Sequencing Plan Summary (3 of 3) ...............................................71 Figure 29: Human Services Future State Solutions Architecture .......................................................................................................74 Figure 30: Human Services Transition and Sequencing Plan Summary (1 of 2) ..............................................................................78 Figure 31: Human Services Transition and Sequencing Plan Summary (2 of 2) ..............................................................................78 Figure 32: Employment Rights and Benefits Future State Solutions Architecture ..........................................................................82 Figure 33: Employment Rights and Benefits Transition and Sequencing Plan Summary (1 of 3).................................................92 Figure 34: Employment Rights and Benefits Transition and Sequencing Plan Summary (2 of 3).................................................93 Figure 35: Employment Rights and Benefits Transition and Sequencing Plan Summary (3 of 3).................................................93 Figure 36: Education Future State Solutions Architecture ...................................................................................................................95 Figure 37: Education Transition and Sequencing Plan Summary .......................................................................................................98 Figure 38: Higher Education Transition and Sequencing Plan Summary ....................................................................................... 102 Figure 39: Public Health Future State Solutions Architecture .......................................................................................................... 106 Figure 40: Public Transition and Sequencing Plan Summary (1 of 3) .............................................................................................. 109 Figure 41: Public Transition and Sequencing Plan Summary (2 of 3) .............................................................................................. 110 Figure 42: Public Transition and Sequencing Plan Summary (3 of 3) .............................................................................................. 110 Figure 43: Environmental Health Management Future State Solutions Architecture ................................................................. 113 Figure 44: Environmental Health Management .................................................................................................................................... 116 Figure 45: Environmental Health Management .................................................................................................................................... 116 Figure 46: Agriculture LOB Future State Solutions Architecture ..................................................................................................... 119 Figure 47: Agriculture Transition and Sequencing Plan Summary .................................................................................................. 122 Figure 48: Land and Natural Resources Future State Solutions Architecture .............................................................................. 124 Figure 49: Land and Natural Resources Transition and Sequencing Plan Summary (1 of 3)..................................................... 131 Figure 50: Land and Natural Resources Transition and Sequencing Plan Summary (2 of 3)..................................................... 132
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Figure 51: Land and Natural Resources Transition and Sequencing Plan Summary (3 of 3)..................................................... 132 Figure 52: Hawaiian Home Lands Future State Solutions Architecture ......................................................................................... 134 Figure 53: Hawaiian Home Lands Transition and Sequencing Plan Summary ............................................................................. 137 Figure 54: Hawaii State Public Library System LOB Future State Solutions Architecture ......................................................... 140 Figure 55: Hawai`i State Public Library System Transition and Sequencing Plan Summary..................................................... 142 Figure 56: Legislative Relations Future State Solutions Architecture ............................................................................................. 143 Figure 57: Legislative Relations Transition and Sequencing Plan Summary ................................................................................. 146 Figure 58: Public Affairs Future State Solutions Architecture .......................................................................................................... 147 Figure 59: Public Affairs Transition and Sequencing Plan Summary .............................................................................................. 151 Figure 60: Policy, Control, and Oversight Future State Solutions Architecture............................................................................. 153 Figure 61: Policy, Controls, and Oversight Transition and Sequencing Plan Summary............................................................... 154 Figure 62: Planning and Resource Allocation Future State Solutions Architecture .................................................................... 156 Figure 63: Grants Management Future State Solutions Architecture............................................................................................. 159 Figure 64: Grants Management Transition and Sequencing Plan Summary................................................................................. 161 Figure 65: Revenue Collection Future State Solutions Architecture ............................................................................................... 163 Figure 66: Revenue Collection – Tax Modernization Transition and Sequencing Plan Summary ............................................ 166 Figure 67: Budget and Finance LOB Future State Solutions Architecture ..................................................................................... 168 Figure 68: Budget & Finance Transition and Sequencing Plan Summary...................................................................................... 170 Figure 69: Financial Management LOB Future State Solutions Architecture ............................................................................... 172 Figure 70: Financial Management Transition and Sequencing Plan Summary ............................................................................ 174 Figure 71: Human Resource Management Future State Solutions Architecture ......................................................................... 176 Figure 72: Human Resource Management Transition & Sequencing Plan Summary................................................................. 179 Figure 73: Procurement Future State Solutions Architecture........................................................................................................... 180 Figure 74: Procurement Transition & Sequencing Plan Summary................................................................................................... 182 Figure 75: Asset Management and Inventory Control LOB Future State Solution Architecture............................................... 183 Figure 76: Asset Management & Inventory Control Transition & Sequencing Plan Summary ................................................. 185 Figure 77: General Services LOB Future State Solution Architecture ............................................................................................ 187 Figure 78: Information Technology Management LOB Future State Solution Architecture ...................................................... 192 Figure 79: Information Technology Management Transition & Sequencing Plan Summary ..................................................... 195 Figure 80: Current State of Health Information Technology in Hawaii among All Internal and External Stakeholders ....... 197 Figure 81: Governor’s Hawaii Healthcare Transformation Initiative Four Point Strategy ........................................................... 198 Figure 82: Health IT Vision with the Hawaii Health Information Exchange’s gateway interface through a Statewide Community Master Patient Index (MPI) and Master Provider Directory (MPD) ................................................................... 201 Figure 83: Health IT Future State Solutions Architecture .................................................................................................................. 202 Figure 84: Health IT Future State Information Interactions ............................................................................................................... 203 Figure 85: Health IT Business Segment Transition and Sequencing Plan Summary (1 of 5) ..................................................... 208 Figure 86: Health IT Business Segment Transition and Sequencing Plan Summary (2 of 5) ..................................................... 209 Figure 87: Health IT Business Segment Transition and Sequencing Plan Summary (3 of 5) ..................................................... 209 Figure 88: Health IT Business Segment Transition and Sequencing Plan Summary (4 of 5) ..................................................... 210 Figure 89: Health IT Business Segment Transition and Sequencing Plan Summary (5 of 5) ..................................................... 210 Figure 90: Federated ERP Future State Solutions Architecture........................................................................................................ 214 Figure 91: ERP Solutions Architecture supporting Derived Subject Databases........................................................................... 215
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Figure 92: ERP Program Organization Chart ......................................................................................................................................... 218 Figure 93: ERP Business Segment Transition and Sequencing Plan Summary............................................................................ 222

LIST OF TABLES
Table 1: Defense LOB Business Services.................................................................................................................................................13 Table 2: Defense LOB Investment Initiatives ...........................................................................................................................................15 Table 3: Homeland Security LOB Business Services.............................................................................................................................16 Table 4: Homeland Security LOB Investment Initiatives .......................................................................................................................18 Table 5: Disaster Management LOB Business Services.......................................................................................................................20 Table 6: Disaster Management LOB Investment Initiatives .................................................................................................................22 Table 7: Law Enforcement LOB Business Services ...............................................................................................................................24 Table 8: Law Enforcement LOB Investment Initiatives ..........................................................................................................................26 Table 9: Correctional Activities/Public Safety LOB Business Services .............................................................................................28 Table 10: Correctional Activities/Public Safety LOB Investment Initiatives......................................................................................31 Table 11: Legal Services LOB Business Services...................................................................................................................................34 Table 12: Legal Services LOB Investment Initiatives .............................................................................................................................36 Table 13: Justice LOB Business Services ................................................................................................................................................39 Table 14: Justice LOB Investment Initiatives ...........................................................................................................................................42 Table 15: Child Support Services LOB Business Services....................................................................................................................45 Table 16: Child Support Services LOB Investment Initiatives ..............................................................................................................47 Table 17: Stadium Operations LOB Business Services .........................................................................................................................49 Table 18: Transportation LOB Business Services ...................................................................................................................................49 Table 19: Transportation LOB Investment Initiatives ..............................................................................................................................52 Table 20: Economic Development LOB Business Services ..................................................................................................................58 Table 21: Economic Development LOB Investment Initiatives.............................................................................................................61 Table 22: Commerce and Consumer Affairs LOB Business Services ................................................................................................63 Table 23: Commerce and Consumer Affairs LOB Investment Initiatives ...........................................................................................67 Table 24: Human Services LOB Business Services ...............................................................................................................................71 Table 25: Human Services LOB Investment Initiatives ..........................................................................................................................76 Table 26: Employment Rights & Benefits LOB Business Services ......................................................................................................79 Table 27: Employment Rights and Benefits LOB Investment Initiatives.............................................................................................83 Table 28: Education LOB Business Services ...........................................................................................................................................94 Table 29: Education LOB Investment Initiatives ......................................................................................................................................96 Table 30: Higher Education LOB Business Services ..............................................................................................................................99 Table 31: Higher Education LOB Investment Initiatives...................................................................................................................... 100 Table 32: Public Health LOB Business Services .................................................................................................................................. 102 Table 33: Public Health LOB Investment Initiatives ............................................................................................................................. 107 Table 34: Environmental Health Management LOB Business Services ......................................................................................... 111 Table 35: Public Health LOB Investment Initiatives ............................................................................................................................. 114 Table 36: Agriculture LOB Services ........................................................................................................................................................ 117 Table 37: Agriculture LOB Investment Initiatives ................................................................................................................................. 120 Table 38: Land and Natural Resources LOB Services ........................................................................................................................ 122
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Table 39: Land and Natural Resources LOB Investment Initiatives................................................................................................. 125 Table 40: Hawaiian Home Lands LOB Services ................................................................................................................................... 133 Table 41: Hawaiian Home Lands LOB Investment Initiatives ............................................................................................................ 135 Table 42: Hawaii State Public Library System LOB Services ............................................................................................................ 137 Table 43: Hawaii State Public Library System LOB Investment Initiatives..................................................................................... 141 Table 44: Legislative Relations LOB Services ....................................................................................................................................... 143 Table 45: Legislative Relations LOB Investment Initiatives................................................................................................................ 144 Table 46: Public Affairs LOB Services .................................................................................................................................................... 146 Table 47: Public Affairs Current Systems............................................................................................................................................... 148 Table 48: Public Affairs LOB Investment Initiatives ............................................................................................................................. 150 Table 49: Policy, Control, and Oversight LOB Investment Initiatives ............................................................................................... 153 Table 50: Planning and Resource Allocation LOB Business Services ............................................................................................ 155 Table 51: Planning and Resource Allocation Current Systems ........................................................................................................ 156 Table 52: Grants Management LOB Business Services..................................................................................................................... 158 Table 53: Grants Management Investment Initiatives ........................................................................................................................ 160 Table 54: Revenue Collection LOB Business Services ....................................................................................................................... 162 Table 55: Revenue Collection – Tax Modernization Investment Initiatives .................................................................................... 164 Table 56: Tax Modernization Project Phasing....................................................................................................................................... 165 Table 57: Budget and Finance LOB Business Services ...................................................................................................................... 166 Table 58: Budget & Finance Investment Initiatives ............................................................................................................................. 169 Table 59: Financial Management LOB Business Services ................................................................................................................ 170 Table 60: Financial Management Investment Initiatives .................................................................................................................... 173 Table 61: Human Resource Management LOB Business Services ................................................................................................. 174 Table 62: Human Resource Management LOB Investment Initiatives............................................................................................ 177 Table 63: Procurement LOB Business Services................................................................................................................................... 179 Table 64: Procurement LOB Investment Initiatives ............................................................................................................................. 181 Table 65: Asset Management and Inventory Control LOB Business Services ............................................................................. 183 Table 66: Asset Management & Inventory Control LOB Investment Initiatives ............................................................................ 184 Table 67: General Services LOB Business Services ........................................................................................................................... 186 Table 68: General Services LOB Investment Initiatives...................................................................................................................... 188 Table 69: Information Technology Management LOB Business Services ..................................................................................... 191 Table 70: Information Technology Management LOB Investment Initiatives ................................................................................ 193 Table 71: Health IT Stakeholders Roles & Responsibilities ............................................................................................................... 199 Table 72: Health IT Investment Initiatives .............................................................................................................................................. 204 Table 73: ERP Functional Components and Scope .............................................................................................................................. 211 Table 74: Potential Consolidation of Current Applications within the ERP Implementation....................................................... 213 Table 75: Survey on ERP Implementation Cost within State Government...................................................................................... 216 Table 76: Survey on ERP Packages Implemented within State Government ................................................................................ 216 Table 77: ERP Implementation Life Cycle Model.................................................................................................................................. 218 Table 78: ERP Investment Initiatives ....................................................................................................................................................... 220

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A. LINE OF BUSINESS SEGMENT ARCHITECTURE TRANSFORMATION
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix A | 12

A. LINE OF BUSINESS SEGMENT ARCHITECTURE TRANSFORMATION
This appendix to the State of Hawai`i’s Enterprise Architecture (EA) provides additional detail regarding each of the State’s Lines of Business (LOB). The intention is to capture and communicate additional detail for each layer of the EA – primarily the Enterprise Business Architecture (EBA), the Enterprise Information Architecture (EIA), and the Enteprise Solutions Architecture (ESA), with increasing levels of alignment with the Enterprise Technology Architecture (ETA) over time; and also to factor in LOB investment initiatives into the Transition and Sequencing (T&S) Plan. The business services provided within each LOB scope are defined; the future state vision for a comprehensive IT solutions architecture to deliver all required business services and functions is described, and the investment initiatives required to achieve the targeted future state for each of the LOB segments is provided. Additional information about each initiative is included in Appendix B of the EA. This version of an Enterprise Architecture for the State of Hawai`i has addressed business analysis and planning at two levels – first, the state-wide enterprise which established the LOBs, and then secondly, the individual LOBs. The primary accomplishment of this planning function and all associated meetings has been the building of cultural momentum for enterprise solutions and consolidated investment planning. Additional opportunities will exist in the years ahead for specific LOB Business Segments to be analyzed in more detail to expand and provide additional architectural detail to significant priority areas – both Health IT and the ERP business segments are two areas addressed in Section 8.3 that have begun this detailed business segment architecture development. As the EA content is evaluated and used, recommendations for changes to the LOB architectures will occur and will be addressed as part of an EA change control process going forward. Additional planning documents that have been created by the various LOBs are available in a separate Supplemental Addendum to this document. A hyperlink to this addendum and the specific LOB information is provided at the end of each LOB area. of federal, state, Active Guard/Reserve, and drill-status National Guard members. This force totals approximately 5,500 Army and Air National Guard members. Table 1: Defense LOB Business Services

LOB: Defense Service Name State Active Duty Activation

Service Definition

The National guard may be activated to State Active Duty by the Governor or the Adjutant General to help respond to domestic emergencies and disasters, such as hurricanes, floods, and earthquakes.

A.1.1.1 FUTURE STATE VISION FOR DEFENSE
The future vision for Defense is to apply state-of-the-art technology to the fullest extent to accomplish the following critical business objectives and to address current state issues.
• Organize, train and equip all Hawaii National Guard units • Continue to use Federal Department of Defense (DOD)

systems, services and infrastructure
• Effective collaboration solutions and protocols for DOD

across Federal and State networks that bridges information technologies and communications services to include voice, email/calendaring, and video services, email across DOD executive leadership and staff.
• Integration of State mission critical IT systems to DOD

Continuity of Operations (COOP) capabilities.
• With the exception of publishing State Active Duty orders

A.1

CORE MISSION AREAS

and email/file sharing services during emergency operations, the majority of automated services support for this LOB is obtained from Federal DOD systems.
• Operations and training of all National Guard units both

A.1.1 DEFENSE
The State of Hawaii Defense LOB protects and advances the State of Hawaii’s interests by rapidly assisting State and County civil authorities in providing for the safety, welfare, and defense of the people of Hawaii. The department maintains its readiness to respond in the event of disasters, either natural or humancaused. The Department of Defense represents a varied mixture
13 | State of Hawaii Business and IT/IRM Transformation Plan

Army and Air Force. The future state solutions architecture is depicted in Figure 1 below. Key features of this solution include:
• Dual infrastructures for Federal DOD and State. • “Hawai`i Anywhere” common web and mobile user

interface architecture.
Enterprise Architecture | Appendix A

• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 1: Defense Future State Solutions Architecture

INFORMATION EXCHANGES
• Need for the integration of processing State Active Duty

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 2 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

orders with the state payroll and accounting system.
• Need for the integration of day-to-day cross-domain

information sharing both within and between departments.
• Need for the integration of emergency response cross-domain

information sharing both within and between departments.

A.1.1.2 TRANSITION & SEQUENCING PLAN SUMMARY FOR DEFENSE
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 14

Table 2: Defense LOB Investment Initiatives

Name LOB Solutions: Production Alignment: EDOPS – Emergency Duty Orders and Pay System.

Description

Cost

Notes

State Active Duty Orders and Payment System

On-going annual O&M: Pending Review

Status: Replace EA Compliance: 3 Priority: 3

Department of Defense Web Site

hawaii.gov/dod (hosted by ICSD)

On-going annual O&M: Pending Review

Status: Use As-Is EA Compliance: 3 Priority: 3

In Progress: None

New: EDOPS – Emergency Duty Orders and Pay System. State Active Duty – major issue to work State Active duty and then getting paid in a timely manner. No interface with State Accounting. Manual process – Fiscal Officer (Tom) has to specify General Funding $ set aside for special mission – not normal State employ One-time DME: Pending Review On-going annual O&M: Pending Review Status: Replace with State Active Duty COTS EA Compliance: 3 Priority: 3

LOB Infrastructure: In Progress: None In Progress: None

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Enterprise Architecture | Appendix A

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 2.

Figure 2: Defense Transition and Sequencing Plan Summary

A.1.2 HOMELAND SECURITY
The Homeland Security line of business protects the state and the nation against terrorist attacks. This includes analyzing threats and intelligence, guarding borders and airports, protecting critical infrastructure, and coordinating responses to emergencies. Table 3: Homeland Security LOB Business Services

LOB: Homeland Security Homeland Security Intelligence Collaboration Homeland Security & Law Enforcement Support

Service Definition This is represented by the State all hazard Fusion Center. Key Asset and Critical Infrastructure Protection – involves assessing key asset and critical infrastructure vulnerabilities and taking direct action to mitigate vulnerabilities, enhance security, and ensure continuity and necessary redundancy in government operations and personnel. • Intelligence collaboration within a sensitive zone between Federal, State, and Local entities • Support for significant law enforcement activities • Protection of homeland critical infrastructure • Buffer zone planning

Homeland Security Outreach Homeland Security Strategy and Planning

Collaboration through Citizen Corp program, private sector, and whole community. Involves the development of Homeland Security strategy that involves preparedness, protection, mitigation, response, and recovery activities.
Enterprise Architecture | Appendix A | 16

State of Hawaii Business and IT/IRM Transformation Plan

A.1.2.1 FUTURE STATE VISION FOR HOMELAND SECURITY
The future state of Homeland Security for the State would include world class:
• Support for intelligence collaboration • Security requirements for elevated levels of sensitive information.

The future state solutions architecture is depicted in Figure 4 below. Key features of this solution include:
• Dual infrastructures for Federal DOD and State • “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 4: Homeland Security Future State Solutions Architecture

INFORMATION EXCHANGES
• Federal Department of

• State and Local Law Enforcement • All State Agencies • Private Sector (i.e. utilities, retail associations, tourism,

Homeland Security
• Federal Department of Commerce • US Coast Guard • Federal Department of Justice

security, malls, etc.)
• State and county emergency management

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Enterprise Architecture | Appendix A

A.1.2.2 TRANSITION & SEQUENCING PLAN SUMMARY FOR HOMELAND SECURITY
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 4 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

Table 4: Homeland Security LOB Investment Initiatives

Name LOB Solutions: Production Alignment: None In Progress: State Fusion Center

Description

Cost

Notes

The collection, synthesis, dissemination of intelligence information for all hazards.

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: 3 Priority: 1

Infrastructure and Analysis Function

Continue the assessment of critical infrastructure and prioritization of critical infrastructure for equipment and funding, identification of Group 2 assets (Ports, Harbor, Airport, Hospitals, etc.) development of buffer zone plans, identification of PII private sector activities. Identification and collection of ACAMS/Pacific Disaster Center for the assessment and identification of critical infrastructure. Development of a threat/hazard identification risk assessment on an annual basis. Management of Homeland Security grant funding for the State of Hawaii. Includes: Homeland Security funds, emergency management performance grant, pre-disaster mitigation, and others as opportunities arise. Improve the development of internal grant management system that host all the Homeland Security grants with the ability to expand to other grant programs. Development of portal base interagency collaboration tool. Includes: law enforcement, fire, emergency medical, health, public works, emergency management, transportation, private sector.

EA Compliance: 3 Priority: 1

Homeland Security Grant Management

One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: 3 Priority: 3

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 18

Name HRSS – Hawaii Region Secure System

Description Facilitated by Pacific Disaster Center. SharePoint portal. Requested “Pending Review” from Homeland Security grant to refresh platform. DHS grant funded.

Cost One-time DME: Pending Review On-going annual O&M: Pending Review

Notes EA Compliance: 3 Priority: 3

New: None LOB Infrastructure: In Progress: None New: None

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 5.

Figure 5: Homeland Security Transition and Sequencing Plan Summary

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Enterprise Architecture | Appendix A

A.1.3 DISASTER MANAGEMENT
The Disaster Management line of business prepares for, mitigates, responds to, and repairs the effects of all disasters, whether natural or manmade. NOTE: Need to confirm that the boundaries of Defense LOB, Homeland Security LOB, and Disaster Management LOB are appropriate. These may need to be combined into one LOB. Disaster Management as a LOB has considerable interaction with other areas such as Transportation, Health, etc.

NOTE: The level of sensitive information may restrict LOB business and solutions descriptions.
• The DOD supports Civil Defense activities and provides

infrastructure for assigned and volunteer personnel.
• There are Emergency POCs in each of the Departments;

regular meetings are conducted with them.

Table 5: Disaster Management LOB Business Services

LOB: Disaster Management Service Name Civil Defense Infrastructure Management

Service Definition

Continue to develop and improve statewide civil defense infrastructure which emphasizes emergency operating center preparedness; redundancy of systems and multiple means of communication; enhancement of the State siren system and the Emergency Alert System/ Common Alerting Protocol.

Damage Assessment

Assesses the Damage after a Disaster – involves determining the amount of cleanup and restoration activities that will be needed after a disaster. Includes assessing damage to homes, buildings, roads, environmental resources, or infrastructure that may be damaged due to a disaster.

Disaster Mitigation

Disaster Monitoring and Prediction – involves the actions taken to predict when and where a disaster may take place and communicate that information to affected parties. Note: Weather forecasting, while central to Disaster Monitoring and Prediction, is more closely aligned with the “Environmental Monitoring and Forecasting” Sub-function in the Environmental Management Line of Business.

Emergency Communications, Alerts, Notifications

Provide emergency communications, alerts, and notifications using emergency communications systems.

Emergency Management, Response, and Operations

Emergency Response – involves the immediate actions taken to respond to a disaster. These actions include, but are not limited to, providing mobile telecommunications, operational support, power generation, search and rescue, and medical lifesaving actions. This includes the training required to accomplish necessary response activities.

Emergency Preparedness Planning

Disaster Preparedness and Planning – involves the development of response programs to be used in case of a disaster as well as pre-disaster mitigation efforts to minimize the potential for loss of life and property. This involves the development of emergency management programs and activities as well as staffing and equipping regional response centers, and mitigation focused construction and preparation.

Disaster Recovery

Involves the actions taken to permanently recover capabilities and facilities which have been impacted by a disaster. This includes the management of project worksheets for each site which has been identified and validated for recovery funding.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 20

A.1.3.1 FUTURE STATE VISION FOR DISASTER MANAGEMENT
The future vision for Disaster Management is to apply stateof-the-art technology to the fullest extent to accomplish the following critical business objectives and to address current state issues.
• Provide multi-lingual communications in times of emergency. • OD acknowledges the need to increase bandwidth across the D

The future state solutions architecture is depicted in Figure 6 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

islands and across the .mil to the State’s network to support greater use of video and imaging as part of disaster response.

Figure 6: Disaster Management Future State Solutions Architecture

INFORMATION EXCHANGE
• State Department of Defense • Federal Department of Defense • State Homeland Security • Federal Homeland Security • Citizens of Hawaii

A.1.3.2 TRANSITION & SEQUENCING PLAN SUMMARY FOR DISASTER MANAGEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 6 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital
Enterprise Architecture | Appendix A

21 | State of Hawaii Business and IT/IRM Transformation Plan

content management, and collaboration& email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing. Table 6: Disaster Management LOB Investment Initiatives

Name LOB Solutions: Production Application Alignment: WebEOC – Web-based Emergency Operations Center

Description

Cost

Notes

Emergency Management key support system. Includes needed data, documentation, collaboration. Enables Request for Assistance – State, counties, etc. Mission response tracking – level tracked, tasking, etc. COTS, developed by ESI – accepted by most States. Training Development Developed through Congressional Ad – Fed level, graphics based, GIS like, but not really used.

One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 1

Command Responder

On-going annual O&M: Pending Review

Status: Retire EA Compliance: 3 Priority: 5 Status: Upgrade EA Compliance: 3 Priority: 1

EAS/CAP – Emergency Alert System

V/Radio. Have special client to send out notifications. EAS customized. CAP Server – off the shelf. CAP – Common Alerting Protocol, standardized messaging format.

On-going annual O&M: Pending Review

HRSS – Hawaii Region Secure System

Facilitated by Pacific Disaster Center. SharePoint portal. Requested “Pending Review” from Homeland Security grant to refresh platform. DHS grant funded.

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Upgrade EA Compliance: 3 Priority: 1

VTC - Video Teleconferencing

Support of statewide disaster response activities.

Status: Upgrade EA Compliance: 3 Priority: 1

Hawaii Tsunami Evacuation Zone Maps

This application is based on recent scientific analysis by the University of Hawaii that utilizes bathimetry data with GIS presentations. The State interaction points include the U of H, NOA, Insurance Companies, and .County Emergency Management Agencies www5.hawaii.gov/tsunami (hosted by ICSD)

On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 1

Mobile Emergency Response Command Interface (MERCI)

MERCI – Mobile Emergency Response Command Interface – Damage Assessment – iPhone app. Information is used to assist and evaluate the amount of damage sustained to determine if a Presidential declaration is warranted. Initially supported by a Federally funded Hi-Tech Grant which OceanIT received in collaboration with the Hawaii State Civil Defense. GIS Applications - Use of off-the-shelf ESRI products to support situational mapping. (ARC INFO)

On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 1

ESRI GIS

On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 1

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 22

Name Strategic Telecom Reserves

Description Federally Funded initiative to establish capacity to employ reserve systems to enhance or restore communications support. Reserves include: (1) Transportable repeater interoperable communications (TRIC) fielded low site cross band repeater capabilities. (2) Broadband Global Access Network (BGAN) SAT phones/data terminals to provide State-Wide communications. (3) Sixty (60) unit radio cache establish to access the State shared blended 700/800 MHz trunk radio system.

Cost On-going annual O&M: Pending Review

Notes Status: Use As Is EA Compliance: 3 Priority: 1

Emergency Backup Satellite Phone System

Push to talk, satellite based radio network which ties the State Emergency Operating Center to all county Emergency Operating Centers and County warning points (Police Dispatch) State-Wide

One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Upgrade EA Compliance: 3 Priority: 1

In Progress: None New: State Wide Disaster Warning System Modernization (Outdoor Siren System) State Wide Disaster Warning System Modernization (Outdoor Siren System) One-time DME: Pending Review On-going annual O&M: Pending Review EA Compliance: 3 Priority: 1

Incident Command Information Reporting System Implementation

An incident command information system to support public safety and other incident responders. Leverages public safety broadband initiatives (firstNet). This system will include field /mobile access devices that provide situational status reports to enable real-time data collection at remote sites that integrates across state agencies. Public Safety and Disaster Response information systems. Deployment of Mobile Technology and High Speed Wired and Wireless Networks.

One-time DME: Pending Review On-going annual O&M:Pending Review

EA Compliance: 3 Priority: 1

LOB Infrastructure: In Progress: None In Progress: None

23 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 7.

Figure 7: Disaster Management Transition and Sequencing Plan Summary

A.1.4 LAW ENFORCEMENT
The purpose of the Law Enforcement LOB is to uphold justice and public safety by providing law enforcement services to Hawaii’s communities with professionalism,integrity and fairness. Table 7: Law Enforcement LOB Business Services

LOB: Law Enforcement Service Name State Law Enforcement

Service Definition

Carries out law enforcement services statewide; Preserves the peace by protecting all persons and property within premises under the control of the Judiciary and all State facilities; providing process services and execution of court documents; handling detained persons; and providing secure transportation for persons in custody. Provides law enforcement services at various stages of the criminal justice system and at the Honolulu International Airport and a number of public hospitals. Assists the Department of Transportation Harbors Division with security and law enforcement functions. Protects the public by enforcing laws relating to controlled substances and regulated chemicals. Responsible for the registration and control of the manufacture, distribution, prescription, and dispensing of controlled substances and precursor of essential chemicals within the State.

Narcotics Enforcement

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 24

A.1.4.1 FUTURE STATE VISION FOR LAW ENFORCEMENT
The systems used by this line of business are antiquated and most of their applications are over 10 years old. This LOB is in need of modernizing and upgrading their applications with migration and increased use of web applications and open source systems. Currently, all applications are developed in MS Access or Visual Studio and need to migrate to Web 3.0. Remote access to systems and document sharing is important for this LOB. The future state for this LOB includes the following considerations:
• The Justice Reinvestment Initiative

Data Sharing Focus Group is identifying statute changes to address the blockage of pertinent information which is contributing to the problem.
• Expand the use of server virtualization • Investigate Cloud solutions for

• “Everything as a Service” common

some services
• Work with Hawai`i Broadband Initiative

solutions framework that facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

to migrate PSD frame relay sites to high-speed connections n electronic records management system would result in savings in paper, time, space, and create overall efficiencies in the work force
• Need automatic software upgrades

INFORMATION EXCHANGES
• Interfaces with all State departments

and State judicial buildings to provide assistance with necessary security through law enforcement.
• Partners with the Federal government:

across the board
• Need more help desk support; current

U.S. Probation/Pretrial Services, U.S. Attorney Offices, Immigration and Naturalization.
• Partners with various city, county,

(JRI) to review Hawai’i’s criminal justice system has just begun; The Public Safety Department is trying to solve the problem of a lack of a common system for law enforcement and corrections; some data is being collected by PSD while some is reported by contractors. However, there is central collection of data. A central database is needed. A

backlog of 60 calls The future state solutions architecture is depicted in Figure 8 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and

community, and private agencies through contracts and volunteer services to provide additional services for both staff and inmates.
• Interfaces and collaborates with

mobile user interface architecture.

HCJDC regarding Hawai`i Justice Information System

Figure 8: Law Enforcement Future State Solutions Architecture 25 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix A

A.1.4.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR LAW ENFORCEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

– Identify strategies to reduce overall prison population – Identify high risk offenders – Quantifying the number of programs slots available – Identifying strategies to improve the effectiveness of supervision by probation and parole staff – Examining the extent to which probation and parole revocations are using the best practices to respond to violations – Examining the reported crime and arrest trends and engaging law enforcement agencies – Examining any crime labs backlogs – Mapping out geographically where crime is occurring can help to target hot spot areas – Determine what percent of those arrested are on probation and parole at the time of their arrest and strengthening collaboration and data sharing among police, probation and parole.
• This initiative can be augmented by the State’s segment

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 8 below.
• Initiate NED’s controlled substance prescription monitoring

database (Electronic Medical Records) to authorize physicians to have 24/7 access to improve patient treatment and deter attempts to visit multiple physicians to fraudulently obtain controlled substances (to be released soon).
• eed a solution to address the sun setting of XP in 2014 N • Justice Reinvestment Initiative: This LOB is currently in

the beginning phases of the Justice Reinvestment Initiative (JRI), which will review Hawaii’s criminal justice systems by: – Collecting and examining data that drive prison admissions and the length of time that the offenders are incarcerated Table 8: Law Enforcement LOB Investment Initiatives

architecture methodology to assess and recommend needed restructuring of the current systems to achieve the new strategic direction.

Name LOB Solutions: Production Application Alignment: Department of Public Safety Training and Staff Development

Description

Cost

Notes

hawaii.gov/psd/tsd (hosted by ICSD)

Annual O&M: Pending Review

Status: Use As Is Priority: Medium EA Compliance: Medium Status: Use As Is Priority: Medium EA Compliance: Medium Status: Replace Priority: Medium EA Compliance: Medium Status: Use As Is Priority: Medium EA Compliance: Medium

Crime Victim Compensation Commission

hawaii.gov/cvcc (hosted by ICSD)

Annual O&M: Pending Review

Department of Public Safety Web Site

hawaii.gov/psd/ (hosted by ICSD)

Annual O&M: Pending Review

Records Management System

Incident Reporting to Sheriffs - Recently Implemented with new DB and WEB App.

Annual O&M: Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 26

Name In Progress: None New: None LOB Infrastructure: In Progress: None New: None

Description

Cost

Notes

TRANSITION AND SEQUENCING
The plan for transition and sequencing of initiatives is depicted below in Figure 9.

Figure 9: Law Enforcement Transition & Sequencing Plan Summary

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Enterprise Architecture | Appendix A

A.1.5 CORRECTIONAL ACTIVITIES/PUBLIC SAFETY
The Correctional Activities/Public Safety LOB provides services for correctional activities to Hawaii’s prison population and communities with professionalism, integrity and fairness.

Table 9: Correctional Activities/Public Safety LOB Business Services

LOB: Correctional Activities/ Public Safety Service Name Community Supervision of Offenders

Service Definition

Responsible for community supervision of offenders in each of the four counties. Provides pretrial evaluations, assessments, and supervision. Provides evaluations, assessments of sentenced felons returning to the community. Oversees prison and jail diversion programs throughout the state and works closely with the Courts and the Adult Mental Health Division of the Department of Health in an effort to divert offenders with mental health needs to appropriate community-based programs. Note: this is an interface to Health. Oversees prison and jail diversion programs throughout the state and works closely with the Courts and the Adult Mental Health Division of the Department of Health in an effort to divert offenders with mental health needs to appropriate community-based programs. Note: this is an interface to Health. Coordinates the various programs available to inmates in the correctional facilities and offenders in the community. Implements and monitors a variety of programs, aimed at providing inmates with education, workforce development, nutrition, religion, substance abuse counseling, and sex offender treatment. Coordinates with all courts and other law enforcement agencies, both state and federal, to ensure that all appropriate documentation is obtained to compute all inmates sentences accurately and in a timely manner and oversees the Public Safety policy and practices on sentence computation. Trains Public Safety Staff in proper sentence computation. Insures that sentences imposed by the Courts are properly applied during the offenders’ incarceration time. Continually train department staff in policy and practices and best practices for Corrections. Monitors statewide custody designations and facility placement of inmates in accordance to Policies and Procedures to ensure uniformity in its application and integration into the operations of statewide correctional facilities. Develop and maintain health care programs involving both in-house and community resources (public health, private and contract specialty care providers and volunteers) for all correctional facilities. Provides a vocational rehabilitation program in Hawaii’s correctional facilities that provides real world work experience to inmates, teaching them transferable job skills and a positive work ethic to help them prepare for post release, reentry, and employment in the community. The ultimate goal is to return an economically self-sufficient individual to the community who will be able to immediately join the work force and become a productive, law-abiding member of society.

Community-based Mental Health Programs

Community-based Mental Health Programs

Corrections Program Services Management

Courts and Law Enforcement

Departmental Staff Training Inmate Classification

Inmates Health Care Program

Inmates Vocational Rehabilitation

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 28

LOB: Correctional Activities/ Public Safety Service Name Prison Management

Service Definition

Overseeing the following three prisons: Halawa Correctional Facility, Waiawa Correctional Facility, and Women’s Community Correctional Center Oversees the Public Safety Re-Entry and transition services. Works collaboratively with PSD and other external agencies to improve case management services for offenders. This includes improved evaluation and assessment techniques and application for case management and proper data management source to better serve the offenders. Offers victims and concerned citizens free, anonymous, and confidential access to timely information and notification 24-hours a day, 365 days a year on the custody and parole status of offenders under the jurisdiction of the State Of Hawai’i.

Re-Entry Services

SAVIN - State Automated Victims I nformation Network

A.1.5.1 FUTURE STATE VISION FOR CORRECTIONAL ACTIVITIES/PUBLIC SAFETY
The near term vision is to upgrade applications to add new functionality and replace legacy desktop computers. Additionally, the future state vision includes the following considerations:
• All applications currently developed in MS Access or Visual

for authorization. Note: a system like this could also meet the needs of the Law Enforcement LOB.
• More real-time data is needed in most of the systems used by

this LOB, especially Offender Track.
• The Justice Reinvestment Initiative (JRI) is on-going to

improve justice systems across the state in conjunction with federal initiatives which will provide for improved data sharing.
• Expand the use of server virtualization to reduce costs. • Investigate Cloud solutions for some services. • Work with Hawai`i Broadband Initiative to migrate PSD frame

Studio need to be upgraded to support Web 3.0 and current database technology.
• Use the Statewide Automated Victim Information

relay sites to high-speed connections.
• An electronic records management system would result in

Notification (SAVIN) application as a model for redesigning other applications used by this LOB. It is web-based application that gives victims and the public the ability to register to receive notifications when an inmate is moved or released. It is available 24x7 and notifies subscribers either by phone or email. The system also checks that data is being sent on a timely basis to ensure the data is current.
• eed to update systems so they can status the overall N

savings in paper, time, space, and create overall efficiencies in the work force.
• Need automatic software upgrades across the board.

The future state solutions architecture is depicted in Figure 10 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

prison population (location, health, prison records, etc.) and meet the Electronic Medical Record federal directives for meaningful use.
• This LOB has a critical need for a system to use swipe cards

interface architecture
• “Everything as a Service” common solutions framework that

when entering/leaving facilities to determine hours worked and provide for grace period or mechanism to prevent erroneous overtime to be automatically generated and tie to time sheets

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Enterprise Architecture | Appendix A

Figure 10: Correctional Activities/Public Safety Future State Solutions Architecture

INFORMATION EXCHANGES
• Correctional Activities partners with the Federal government:

INITIATIVES
Near term projects include the following:
• Electronic Medical Records (eClinical Works) for Inmate

U.S. Probation/Pretrial Services, U.S. Attorney Offices, Immigration and Naturalization.
• Partners with various city, county, community, and private

Healthcare Program
• Installation of new Video conferencing equipment. • Upgrading “Offendertrak “ to accept gang information • Pursuing replacements for older PCs

agencies through contracts and volunteer services to provide additional services for both staff and inmates.
• Interfaces and collaborates with HCJDC. • Need more information sharing with other agencies and within

the Department from medical services to inmate re-entry.

The needed initiatives for the LOB solutions and infrastructure are outlined in Table 10 below.

A.1.5.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR CORRECTIONAL ACTIVITIES/PUBLIC SAFETY
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 30

Table 10: Correctional Activities/Public Safety LOB Investment Initiatives

Name LOB Solutions: Production Application Alignment: Statewide Automated Victim Information Notification (SAVIN)

Description

Cost

Notes

Victims can register to receive notifications of when an inmate is moved or released, the system uses automatic emails, and notifies data owners if their data has not been updated in a timely manner (hosted by APPRISS) hawaii.gov/psd/tsd (hosted by ICSD)

Annual O&M: Pending Review

Status: Use As Is Priority: Medium EA Compliance: Medium Status: Retire Priority: Low EA Compliance: Medium Status: Retire Priority: Low EA Compliance: Medium Status: Retire Priority: Low EA Compliance: Medium Status: Use As IsPriority: High EA Compliance: Medium Status: Use As Is Priority: High EA Compliance: Medium Status: Use As Is Priority: High EA Compliance: Medium Status: Replace Priority: High EA Compliance: Medium Status: Replace by ERP Priority: High EA Compliance: Medium Status: Replace

Department of Public Safety Training and Staff Development

Annual O&M: Pending Review

Crime Victim Compensation Commission

hawaii.gov/cvcc (hosted by ICSD)

Annual O&M: Pending Review

Department of Public Safety Web Site

hawaii.gov/psd/ (hosted by ICSD)

Annual O&M: Pending Review

PSD Integrated Web Site

Web site integration Public Safety, Correctional Activities, and Law Enforcement (HTTP://Hawaii.gov/psd) replace three previous Web sites. ICSD

Annual O&M: Pending Review

Inmate Trust Account System

Individual inmate monetary accounts - Oracle 9 been around since 2000

Annual O&M: Pending Review

Intake Service Center System

Offender intake data capture, evaluation, and selective tracking - SQL DB C/S

Annual O&M: Pending Review

Hawaii Paroling Authority

Board decision making regarding setting of minimums and conditional release from prison; Community supervision and case management; revocation information - Currently an Access DB - Replace with SQL Personnel Operations Employee Management System imports info from HRMS (DHRD)

One-time DME: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review

POEMS

TAU-OCCC

Time & Attendance

Annual O&M: Pending Review

31 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Name

Description

Cost

Notes by ERP Priority: High EA Compliance: Medium

TAU-HCF

Time & Attendance

Annual O&M: Pending Review

Status: Replace by ERP Priority: High EA Compliance: Medium Status: Replace by ERP Priority: High EA Compliance: Medium Status: Replace by ERP Priority: High EA Compliance: Medium Status: Replace by ERP Priority: High EA Compliance: Medium Status: Replace by ERP Priority: High EA Compliance: Medium

TAU-WCCC

Time & Attendance

Annual O&M: Pending Review

TAU-HCCC

Time & Attendance

Annual O&M: Pending Review

TAU-CPS

Time & Attendance

Annual O&M: Pending Review

FIS

Financial Information System (Purchase Order Management)

Annual O&M: Pending Review

In Progress: eClinical Works Electronic Medical Records One-time DME: Pending Review Annual O&M: Pending Review Priority: High EA Compliance: Medium

New: Gang Information Upgrading Offendertrak to accept gang information One-time DME: Pending Review Annual O&M: Pending Review Priority: High (2) EA Compliance: Medium

LOB Infrastructure: In Progress: RCUH Networking Increase the bandwidth of all PSD facilities; some sites on the network at all One-time DME: Pending Review Annual O&M: Pending Review Priority: High EA Compliance: Medium

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 32

Name HPA-VCC

Description Installation of new Video conferencing equipment

Cost One-time DME: Pending Review Annual O&M: Pending Review

Notes Priority: Pending Review EA Compliance: Pending Review

New: PC Upgrade Rotate older PC with new PC and standards One-time DME: Pending Review Annual O&M: Pending Review Priority: Medium-High EA Compliance: High

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 11. These initiatives include:
• Expanding our database, Offendertrak, to include gang

In addition, Correctional Activities/Public Safety LOB solutions have critical needs for the following new Enterprise-wide Solutions:
• Robust st email system that enables mobile access and

integrates easily with enterprise systems
• Enterprise Data Management Services - robust database

information.
• Currently implementing a database to track medical

servers with data definition and data warehouse services
• Platform as a Service to support server virtualization • Improved network and security services.

information for offenders.
• Continue to improve our network connection with the facilities.

Figure 11: Correctional Activities/Public Safety Transition & Sequencing Plan Summary

33 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

A.1.6 LEGAL SERVICES
The Legal Services LOB provides legal and other services to the State, including the agencies, officers, and employees of the executive, legislative, and judicial branches of the Hawaii government. In addition, the Office of Public Defender provides legal services to indigent persons needing legal assistance. Table 11: Legal Services LOB Business Services

NOTE: These two business services are organized in two separate departments (Executive Branch Legal Representation in the Department of the Attorney General and Public Defender in the Department of Budget and Finance). The IT needs are similar enough for joint consideration in one Line of Business but the significant separation of organizational responsibility makes the common direction problematic.

LOB: Legal Services Service Name Executive Branch Legal Representation

Service Definition

Provides advice and counsel; legal representation. A law firm for the State. Conducts client discussions, surfaces problems, performs research, and provides advice, communications, provides a significant amount of litigation. Represents Governor, Legislature, and Departments. Provides mostly defense. Represents all of State Government. Implements Federal and State constitutional mandates that any indigent person charged with a criminal offense or threatened with the loss of liberty shall be provided with the assistance of legal counsel.

Public Defender

A.1.6.1 FUTURE STATE VISION THE LEGAL SERVICES
The future State vision needs to correct some of the following problems:
• Legal Services operates like a very large law firm (170 attorneys),

• Confidentiality and security are serious concerns for this

Department; eDiscovery, digital signatures, etc. The IT needs for the attorneys and legal support within this Line of Business envisions an aggressive use of the most current professional tools and technologies. The future state solutions architecture is depicted in Figure 48 below.
• A mobile environment that fully supports the attorneys

legal management tools like calendaring/scheduling across the line of business is currently non-existent. Need calendar/ scheduling software (something with the functionality of TimeMatters to provide reminders for complaint/answer dates)
• There are issues with storing documents in native formats

providing access to case files, research and real-time access to court calendars, reports, and orders – future state implementation depends on the Hawaii Anywhere vision – the common user interface supporting any access device
• A near paperless environment supported by reliable privacy

causing difficulty locating information and document retrieval due to the fact that searching does not work well in current COTS (e.g. iManage).
• Attorneys need remote access to case documents. Many

attorneys work from remote locations or home as needed. There are barriers such as, lack of appropriate security measures and current policies that prevent this capability.
• Want to become a paperless office but need to think through

and security services that provide access to case files and court records as needed by the attorneys – future state implementation depends on the enterprise digital asset (document) management service, and the enterprise security service providing role-based access control and the enterprise data management services providing data/ information security markings
• The use of digital signatures, digitized case files, storage and

the impacts; the goal should be an all-digital, paperless environment. There are challenges with tying information to case documents.
• Need to look at moving to better legal services’ software

packages that support trial documentation, research support, and practice management. (This LOB is heavily dependent upon COTS products, iManage and ProLaw. iManage has significant customization built on it inhibiting upgrades.)

retrieval services that facilitate the paperless vision – future state implementation depends on the enterprise digital content management service. Further, since the legal services LOB serves every other LOB in the state, it is imperative that this LOB provide legal interface services, refined over time, to every other LOB.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 34

Figure 12: Legal Services Future State Solutions Architecture

INFORMATION EXCHANGES
• AG Legal Services interfaces with all other Departments

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 12 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

in the State plus the Governor’s office and the Legislature; Information consists of case records, legal memos, legal service requests.

A.1.6.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR LEGAL SERVICES
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

35 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Table 12: Legal Services LOB Investment Initiatives

Name LOB Solutions: In Progress: Upgrade ProLaw

Description

Cost

Notes

Upgrade Case Management System from ver. 9.6 to ver. 11 (support for existing version ended in Dec. 2011)

One-time DME: SW: Pending Review + 900 hours Annual O&M: SW: Pending Review + 100 hours One-time DME: Pending Review + 2000 hours Annual O&M: Pending Review + 100 hours

Priority: High EA Compliance: Low

Legal Services Case Management Software

Procure new case management software for legal services

Priority: High EA Compliance: Low

New: Upgrade iManage Upgrade Document Management System from ver. 8.0 to ver. 9.0. One-time DME: Pending Review + 900 hours Annual O&M: Pending Review + 100 hours One-time DME: Pending Review + 2000 hours Annual O&M: Pending Review + 100 hours One-time DME: Pending Review Annual O&M: Pending Review + 100 hours Priority: Medium EA Compliance: Low

Litigation Support Software

Acquire New Litigation Support Software (i.e., Summation) 9.0.

Priority: Medium EA Compliance: High

Westlaw

Legal Research Software

Status: Keep for Now & Use As Is; Plan for Future Replacement Priority: Medium EA Compliance: Low Status: Keep for Now & Use As Is; Plan for Future Replacement Priority: Medium EA Compliance: Low Status: Keep for Now & Use As Is; Plan for Future Replacement Priority: Medium EA Compliance: Low

AG Website

Department’s Public Web Site (hosted by ICSD)

One-time DME: Pending Review Annual O&M: Pending Review

Charities Website

Charity Registration System (developed and hosted by HIC)

One-time DME: Pending Review Annual O&M: Pending Review

Legal Services Case Manager and eDiscovery

Modernize Legal Services Case Management System. Implement integration of digital imaging, case management, and email services for full picture of a case content manager. Implement a consistent and integrated capability using electronic legal services and document management system to maintain all documents and files related to a legal case.

One-time DME: SW: Pending Review + 2000 hours Annual O&M: Pending Review + 200 hours

Status: Plan for Future Replacement Priority: Medium EA Compliance: High

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 36

Name LOB Infrastructure: In Progress: Upgrade PCs for Legal Services

Description

Cost

Notes

Acquire 389 Dell Optiplex PCs (i5, Windows 7).

One-time DME: Pending Review + 2000 hours Annual O&M: Pending Review + 200 hours One-time DME: Pending Review + 200 hours Annual O&M: Pending Review + 100 hours One-time DME: Pending Review + 200 hours Annual O&M: Pending Review + 100 hours

Priority: High EA Compliance: Low

Enable Mobility for Deputies

Acquire 16 Dell Latitude E6320 & MacBook Airs for Mobility

Priority: High EA Compliance: Low

Upgrade Standalone Servers for Legal Services Program

Upgrade & Virtualize Existing Servers

Priority: High EA Compliance: Low

New: Upgrade Microsoft Office Upgrade Microsoft Office 2003 to Microsoft Office 2010 One-time DME: Pending Review + 200 hours Annual O&M: Pending Review One-time DME: Pending Review + 200 hours Annual O&M: Pending Review + 100 hours Priority: High EA Compliance: Medium

Upgrade Network Printers

Replace Existing HP 4100 B/W Network Printers

Priority: Medium EA Compliance: Low

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 13: Legal Services Transition and Sequencing Plan SummaryFigure 13. In addition, Legal Services LOB solutions have critical needs for the following new Enterprise-wide Solutions:
• More robust email system (than Lotus Notes) that enables

• Need to upgrade to latest versions of iManage and ProLaw

(support for current version ended in December 2011); caution – there are issues in later versions of ProLaw that require administrative rights to Lotus Notes in order for the new versions of ProLaw to work with Lotus Notes. ICSD has to grant rights and is not satisfied with documentation from the ProLaw vendor; ProLaw does not have many accounts using Lotus Notes.
• Need to upgrade to Microsoft Office 2010 before support for

mobile access (attorneys must have access to email at all times) and integrates with ProLaw and iManage; this is a dire need.

our existing Microsoft Office 2003 release ends in 2014.

37 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Figure 13: Legal Services Transition and Sequencing Plan Summary

A.1.7 JUSTICE
The mission of the Justice LOB is to improve the administration of justice in the State by assuring relevance, uniformity, reliability and timeliness in the collection, reporting and exchange of justice information between justice agencies, the public, chief executives, legislative and judicial bodies; to provide a statewide system of positive identification based on fingerprints; and to provide computerized justice information. The major activities of this LOB are as follows:
• Criminal Justice Information System-Hawaii (CJIS-Hawaii) –

and to leverage national information sharing standards and best practices. HIJIS is providing statewide information sharing that will enable federated access and exchange of data between agencies systems in an efficient, timely and secure manner with the principal aim of getting the right information to the right people all of the time.
• Juvenile Justice Information System (JJIS) - provides the

provide for the maintenance and operations of this automated information system which collects and disseminates individual criminal history record information for offenders arrested and fingerprinted statewide. Identification of arrested individuals is real-time via a “lights out” process. Electronic fingerprint images captured at the time of booking along with the associated demographic data is searched automatically against the State Automated Fingerprint Identification System (AFIS) and CJIS-Hawaii, thereby allowing an identification of the individual within minutes (at the State level) and hours (at the Federal level).
• Hawaii Integrated Justice Information Sharing (HIJIS)

status of individual juveniles at any time or point in state’s juvenile justice process to police officers, probation officers, judges, prosecutors, and correctional workers. Provides background information on arrest and court data, personal data, and social services provided, and can identify juveniles who are suicide risks or involved with drugs. The repository for statewide information on missing children. JJIS also provides recidivism reports on juveniles in rehabilitative programs.
• National Crime Information Center (NCIC) - provide

connectivity and oversee operational responsibilities associated with access to the Federal Bureau of Investigation (FBI) NCIC System which contains national criminal justice information provided by all 50 states, U.S. territories and other agencies and the FBI Interstate Identification Index (III) which provides national criminal history record information via NCIC.
• Criminal History Record Checks – Includes the processing of

program – is designed to build statewide information sharing capabilities across the whole of the justice and public safety enterprise, facilitate information exchange with key agencies,
State of Hawaii Business and IT/IRM Transformation Plan

criminal history record checks mandated by law for specific

Enterprise Architecture | Appendix A | 38

programs, services or employment as outlined in Chapter 846, HRS. Public information includes conviction and sex offender registration information and is accessible via Public Access facilities at designated county police stations and the Internet.
• Expungements – Processing of an applicant’s expungement of

• Research - Provides criminological data and other objective

arrest records, pursuant to Section 831-3.2, HRS, which consists of the research of an applicant’s criminal history, the evaluation of expungement criteria, the issuance of expungement orders and certificates and the sealing of records.
• Fingerprint Identification – Operation and coordination of the

information on the nature and extent of crime in Hawaii. Available publications include the annual Crime in Hawaii Uniform Crime Report. The research provide critical, comprehensive data and analysis to criminal justice agencies and professionals, legislators, crime prevention and community mobilization groups, academic and research institutions, service providers, news media, and the general public.
• Community & Crime Prevention - Provides planning and

statewide fingerprint identification system of those arrested or adjudicated and other records from law enforcement, custodial and judicial agencies in the State. Included is the maintenance of the AFIS which stores the electronic fingerprint images of adult offenders and juvenile law violators, palm prints, with enhanced latent search capabilities.
• Sex Offender Registration - Maintenance and verification

implementation of informational and educational workshops and activities focused on community crime prevention. Facilitates information sharing and training on how individuals, businesses, agencies/organizations, neighborhoods and communities can prevent and reduce crimes.
• Missing Children - Locates and recovers missing children,

of information and records of individuals who are classified as covered offenders under Chapter 846E, HRS. Includes timely entry of covered offender information into the Registry, dissemination of covered offender information to law enforcement and the public, and tracking compliance of registered covered offenders.

reunites missing children with their families, and prevents child abductions. Coordinates the efforts of federal, state, and local law enforcement agencies as well as other public and private agencies, in the protection of children; develops and implements programs that promote community awareness about child abduction; and, maintains a system to notify the public when a child is missing.

Table 13: Justice LOB Business Services

LOB: Justice Service Name Criminal History Record Checks

Service Definition

Provides criminal history record checks for positions such as school teachers, foster parents, care givers, and other positions who serve our vulnerable populations, as well as offering public access to conviction-only information. Facilitates expunging of criminal records, pursuant to 831-3.2, HRS. Provides the statewide Automated Fingerprint Identification System (AFIS) for positive identification. Leads coordination of enterprise level integrated justice sharing program (HIJIS). The Statewide Mugphoto System (SMS) is the statewide repository for mugphotos captured at the time of booking from all law enforcement agencies statewide. The SMS is used as an investigative tool to create lineups and mugbooks to identify possible suspects. Provides access to national criminal justice information. Provides the statewide sex offender registry.

Expungements Fingerprint Identification

Integrated Justice Information Sharing Mugphotos

National Crime Information Center Sex Offender Registration

Juvenile Justice

Provides online access to the entire history of a juvenile within the justice system, from initial arrest through rehabilitation programs and additionally the statewide missing/runaway children repository.

39 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

LOB: Justice Service Name Research

Service Definition

Provides criminological data and other objective information on the nature and extent of crime in Hawaii. Provides planning and implementation of informational and educational workshops and activities focused on community crime prevention. Locates and recovers missing children, reunites missing children with their families, and prevents child abductions.

Community & Crime Prevention

Missing Children

A.1.7.1 FUTURE STATE VISION FOR JUSTICE
The future state vision includes the following considerations:
• Launch of the Hawai`i Integrated Justice Information Sharing

• Utilize strategic “partnerships” to further the capabilities of

HCJDC
• Stay current with technology and standards • Coordinate efforts with new State CIO and participate in his

(HIJIS) program is one of the largest information-sharing initiatives in the State and includes all justice agencies in the State and also non-justice agencies participating at all levels.
• Facial Recognition – offer service along with mugphotos • Launch of the Next Generation JJIS, a web-based information

strategic efforts The future state solutions architecture is depicted in Figure 14 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user interface

system for juvenile justice agencies (upgrade from mainframe system).
• Increased collaboration and data sharing • Utilize IT to enhance the business goals and processes for

architecture
• “Everything as a Service” common solutions framework that

criminal justice

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 40

Figure 14: Justice Future State Solutions Architecture

INFORMATION EXCHANGES
• Systems must be available 24/7, due to justice

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 14 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and enduser computing.

information needs
• Collaboration with Judiciary, law enforcement, intake

services, prosecution, public safety, and affiliated State, County and Federal agencies
• Support the National Juvenile Justice Information

Sharing Initiative – Information sharing and collaboration for better youth outcomes

A.1.7.2 TRANSITION & SEQUENCING PLANNING FOR JUSTICE
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

41 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Table 14: Justice LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment: National Crime Information Center/Nlets

Description

Cost

Notes

Provides access to national criminal justice information maintained by the FBI.

One-time DME: Pending Review Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review

Status: Upgrade Priority: High EA Compliance: High

Statewide Mugphoto System/ Facial Recognition

The SMS is the statewide repository for mugphotos captured at the time of booking from all law enforcement agencies statewide. The SMS is used as an investigative tool to create lineups and mugbooks to identify possible suspects. Enhancement to include facial recognition identification. The LOTC is responsible for managing the work flow for the automated lights out identification process. Through a set of business and work flow rules, the LOTC directs the AFIS, Green Box, CJIS-Hawaii, and Mugphoto systems to perform various tasks required for the lights out process. The LOTC also manages the sending of electronic fingerprint files to the FBI and receiving and distributing the identification results. Green Box is an integrated statewide booking system. Arresting agencies enter booking information directly into the Green Box system or information is transferred from the arresting agency’s records management system to Green Box. Information is then used to populate CJIS-Hawaii. Green Box is one of the key components of the Lights Out process. https://www.ehawaii.gov (developed, supported, and hosted by HIC)

Status: Upgrade Priority: Medium EA Compliance: Medium-High

Lights Out Transaction Controller

One-time DME: Pending Review Annual O&M: Pending Review

Status: Use As Is Priority: High EA Compliance: Medium-High

Green Box

One-time DME: Pending Review Annual O&M: Pending Review

Status: Upgrade Priority: High EA Compliance: Medium

Sex Offender Registry

One-time DME: Pending Review Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review

Status: Use As Is Priority: Medium-High EA Compliance: Medium-high Status: Use As Is Priority: Medium EA Compliance: Medium-high

Sex Offender Bulk Data

https://www.ehawaii.gov/SecureDownload/sof (developed, supported, and hosted by HIC)

eCrim - Limited Criminal History Search

http://ecrim.ehawaii.gov (developed, supported, and hosted by HIC)

One-time DME: Pending Review Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review

Status: Use As Is Priority: Medium EA Compliance: Medium-high Status: Replace Priority: Medium-low EA Compliance: Medium-low

Hawaii Integrated Justice Information Sharing

hawaii.gov/hijis (hosted by ICSD)

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 42

Name In Progress: Automated Fingerprint Identification System

Description

Cost

Notes

The AFIS is the State’s central repository for digitized fingerprints captured at the time of booking.

One-time DME: SW: Pending Review Annual O&M: Pending Review One-time DME: SW: Pending Review Annual O&M: Pending Review One-time DME: SW: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium-High

Criminal Justice Information System - Hawaii

Migration of the State’s criminal history central repository to a more industry standard application server and user interface.

Priority: High EA Compliance: Medium-High

Hawaii Integrated Justice Information Sharing (HIJIS)

Provides statewide information sharing capabilities across the whole of the justice and public safety enterprise.

Priority: High EA Compliance: High

New: None LOB Infrastructure: In Progress: None New: None

More detail regarding the initiatives for this LOB are described below:
• The HIJIS program was launched in March 2007 to integrate

• The NCIC program is working to upgrade the hardware and

various criminal information systems and support data sharing with various other departments to reduce redundancies and delays in getting data to key decision makers representing the principal justice agencies throughout Hawaii including judiciary, law enforcement, prosecution, intake services, public safety and affiliated State, County, and Federal agencies. This program has been very successful at getting disparate departments and systems to share and integrate data using service oriented architecture (SOA) technology (e.g. Open Justice Broker) and standards. (See the HIJIS Strategic Plan 2008 and HIJIS Overview brief June 2011.) Several pilot programs are underway. – See supplemental budget.
• The HIJIS program is incorporating the use of SOA and an

software used to support the NCIC System. The system hardware is over 10 years old and without a hardware upgraded, we are unable to upgrade our existing software applications used by justice and law enforcement agencies statewide or the software used. Upgrade of the hardware and software will also allow better support and compatibility with national standards such as the National Information Exchange Model (NIEM) and information sharing initiatives.
• The CJIS-Hawaii system is currently being migrated to an

enterprise services bus; these are complex requirements that cause issues with the lack of expertise within HCJDC division, ICSD, and with those organizations with whom they are trying to interface. HCJDC recently joined the Open Justice Broker Consortium (OJBC) which will provide much needed expertise including training at a significantly reduced price than previously researched or piloted options.

industry standard application server and user interface software. The migration will enable CJIS-Hawaii to utilize current technologies such as server virtualization to reduce operating costs, increase reliability and performance, and establish a more robust and reliable disaster recovery environment. The migration will also enable CJIS-Hawaii to more freely exchange information with other criminal justice agencies through the HIJIS Program.
• The Next Generation Juvenile Justice Information System is

currently being re-written using J2EE web server technologies and is planned to be deployed in 2013. Besides consolidating over 40 inquiry screens into one user customizable web page, the new system will include new subscribe and publish capabilities which can alert probation and parole officers of
Enterprise Architecture | Appendix A

43 | State of Hawaii Business and IT/IRM Transformation Plan

events such as a specific juvenile’s re-arrest or escape from a facility. The NG JJIS will also be able to display juvenile photographs. Additionally, the NG JJIS is designed with extensive new security capabilities that allow data providers to authorize display of juvenile data at very granular level.
• Following the 2013 release of the NG JJIS, future capabilities

• Dependent upon security & privacy capability • The following is HCJDC’s sequencing in groupings based

on each initiatives current status: – #1 = already underway – CJIS-Hawaii – HIJIS – LOTC – #2 = just underway – AFIS – NCIC – #3 = to be started soon – SMS/Facial Recognition – Green Box

will include: – Document image retrieval – User research tools – Dashboards – Electronic forwarding of data via HIJIS

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 15 through Figure 16. The following items should be considered by the enterprise for the future state initiatives:

Figure 15: Justice Transition & Sequencing Plan Summary (1 of 2)

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 44

Figure 16: Justice Transition & Sequencing Plan Summary (2 of 2)

A.1.8 CHILD SUPPORT SERVICES
The Child Support Services LOB strives to promote the well-being of children and the self-sufficiency of families through the timely and accurate delivery of Child Support Services, while providing excellence in customer care.

Table 15: Child Support Services LOB Business Services

LOB: Child Support Service Name Child Support Enforcement

Service Definition

Provides assistance to children by locating parents, establishing paternity and support obligations (both financial and medical), and enforcing those obligations.

Child Support Hearings Services

Provides fair and impartial administrative forum for the expeditious resolution of child support disputes; concurrent jurisdiction with the court in proceedings in which a support obligation is established, modified, or terminated. Attorney/Hearings Officers issue orders establishing, modifying, terminating, and enforcing child support obligations. Support Application to generate internal reports based on data extraction from the child support enforcement system.

Decision Support to track cases with and without orders

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A.1.8.1 FUTURE STATE VISION FOR CHILD SUPPORT SERVICES
The future state vision needs to factor in the following considerations:
• The mainframe-based application, KEIKI will be replaced

improvements/replacements will be considered for implementation.
• Research will continue in implementing solutions that

would result in improving operating efficiency and/or services to the public. The future state solutions architecture is depicted in Figure 17 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user interface

utilizing the latest technology.
• CSEA’s & ICSD’s infrastructure will meet all IRS and NIST

security requirements to protect Federal Tax Information.
• CSEA is rated (by Federal law) every year on cost

architecture
• “Everything as a Service” common solutions framework that

effectiveness: amount spent vs. amount collected (collect ~”Pending Review”/year and spend ~”Pending Review”/year) ß this needs to continue or improve further
• All desktop/server hardware and software will be replaced

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

as it reaches the end of its life cycle, and technological

Figure 17: Child Support Services LOB Future State Solutions Architecture

INFORMATION EXCHANGES
• DHS, DOL, OCSE, DLIR, DAGS, DMV, DCCA, C&C DIT, Financial Institutions, Credit

Bureaus, HIC, Employers for New Hires

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 46

A.1.8.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR CHILD SUPPORT SERVICES
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

• Digital project underway for content management for all case

records.
• Decision support system that looks across all cases to see

trends and trouble spots.
• Child Support Enforcement Agency (CSEA) “Keiki” Hawaii

Case Tracking System Modernization – Keiki software code maintenance is problematic. Expanded the overall system to include data warehousing and ad hoc reports, and Business Objects for data mining. Keiki was developed by another contractor in the Virgin Islands – the child support software must be certified. The contractor is no longer providing support. Software cost “Pending Review” to develop in 1988. Keiki contains millions of lines of code. (Project is for consideration and is not currently requested or funded.)

INITIATIVES
The needed initiatives for the Child Support Services LOB are outlined in Table 16 below. These initiatives are currently performing the following activities:

Table 16: Child Support Services LOB Investment Initiatives

Name LOB Solutions: Production Alignment: See below. In Progress: Child Support Enforcement Services

Description

Cost

Notes

https://csea.ehawaii.gov (developed, supported, and hosted by HIC)

One-time DME: Pending Review On-going annual O&M:Pending Review On-going annual O&M: Pending Review

EA Compliance: High Priority: High

KEIKI Maintenance / Enhancements

Federally certified system; Supported by ICSD. Improve documentation & enhance application & related processes per user requests (e.g. imaging) & external requirements (e.g. IRS Audit)

EA Compliance: Pending Review Priority: High

New: SharePoint - Child Care Workflow Implementation SharePoint - Child Care Workflow Implementation New initiative to streamline business processes for Child Care Services One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review EA Compliance: High Priority: High

KEIKI Replacement Project

Federally certified system; Supported by ICSD.

EA Compliance: Pending Review Priority: Medium

LOB Infrastructure: In Progress: Infrastructure Maintenance Hardware/software maintenance, licenses & fees; ongoing professional service fees; circuits, etc. On-going annual O&M: Pending Review Status: Pending Review EA Compliance: Pending Review Priority: High

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Name New: Interactive Voice Response Enhancement Project

Description

Cost

Notes

Interactive Voice Response unit to deliver case information and forward callers to customer service representatives.

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: Pending Review Priority: Med-High

CSEA Infrastructure Enhancements

Hardware/software infrastructure; professional services; circuits, etc. Replace server / desktop hardware & software

EA Compliance: Pending Review Priority: High

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 18. The following items

should be considered by the enterprise for the future state initiatives:
• Content Management • Decision Support System.

• SharePoint • KEIKI Replacement Project

Figure 18: Child Support Services Transition & Sequencing Plan Summary

A.1.9 STADIUM OPERATIONS
The Stadium Operations LOB manages, administers, and operates the State of Hawai`i’s Hula Bowl Stadium.

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Table 17: Stadium Operations LOB Business Services

LOB: Stadium Operations Service Name Stadium Operations

Service Definition

Administers, plans, assists and coordinates activities related to the State of Hawaii’s Hula Bowl Stadium. Services administered are scheduling, facilities maintenance, parking, planning of events, safety and control and promotion of events happening at the stadium and adjoining property.

A.1.9 STADIUM OPERATIONS
The Stadium Operations LOB manages, administers, and operates the State of Hawai`i’s Hula Bowl Stadium.

A.1.9.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR STADIUM OPERATIONS INITIATIVES
Pending Review.

A.1.9.1 FUTURE STATE VISION FOR STADIUM OPERATIONS
Pending Review.

TRANSITION AND SEQUENCING
Pending Review.

INFORMATION EXCHANGES
• Financial data • Facilities, equipment, and assets • Maintenance

A.1.10 TRANSPORTATION
Transportation is responsible to plan, design, construct, operate, and maintain State facilities in all modes of transportation, including air, water, and land. Coordination with other State, County, and Federal programs is maintained in order to achieve the objective.

Table 18: Transportation LOB Business Services

LOB: Transportation Service Name Construction Management

Service Definition

Reviews detailed plans and specifications, and administration of construction projects; develops uniform standards and procedures for construction control; conducts periodic inspections and evaluations of field activities; coordinates Attorney General’s requests for investigation of construction contract litigation with the divisional branches and district offices. Monitors construction contract administration. Reviews and processes federal-aid construction administration requests to the Federal Highway Administration for approval of contract change orders, time extension justifications, extra work item justifications, problem solutions or actions, and county federal-aid construction contracts. Manage, maintain, and operate a High Quality Integrated Statewide Air Transportation System and public airports with the Spirit of Aloha for Hawaii’s Residents and visitors. Provides airport facilities that accommodate the safe, orderly and efficient movement of aircraft, vehicles and air travelers. Manages the operations and maintenance of the State Highway System. Selects, designates or lays out, in line with the requirements of the Federal Highway Act, a system or systems of highways in the State upon which Federal-Aid funds may be expended together with State and/or county funds. Maintains and/or directs and supervises the maintenance of highways

Airport Operations

Highways Operations & Maintenance

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LOB: Transportation Service Name

Service Definition

upon which Federal-Aid funds have been expended. Provide services to the public in fulfillment of the mission of the Highways Division to provide a safe, and efficient and accessible highway system. Manages approximately 2,433 miles of paved freeways, highways and roadways on Hawaii’s six major islands. Harbors Operations Maintain, repair and operate the ten commercial harbors which comprise the statewide harbors system; plan, design and construct harbor facilities; provide program planning and administrative support; manage vessel traffic into, within, and out of harbor facilities; provide for and manage the efficient utilization of harbor facilities and lands, and maintain offices and facilities for the conduct of maritime business with the public. Effectively manage and operate a statewide commercial harbors system that facilitates the efficient movement of people and goods to, from and between the Hawaiian Islands; Support the State’s economic prosperity and quality of life as well as promote the well-being of our cargo, fishing and passenger cruise industries, other maritime related service and support activities, and the enjoyment of certain waterfront facilities by the general public.

NOTE: Within each of these Lines Of Business other services exist that can be considered subcomponents of each Line of Business. The Department has taken an action item to examine each of these services in greater detail, evaluating them as possibilities to consolidate versus keeping them separate.

• DOT-HAR’s primary mission is to manage and maintain the

state commercial harbor piers and landings, and another mission is to manage public lands under harbor facilities.
• Manage plans, control resources and schedules for

A.1.10.1 FUTURE STATE VISION FOR TRANSPORTATION
The future state vision includes the following considerations:
• Significant opportunity exists to improve overall integration

multiple planning, design and construction projects; manage contracts, budgets and expenditures; monitor critical paths and project status.
• Provide reports on CIP status for executive management,

Governor and the Legislature
• To allow customers to interface with our core applications,

of services at the LOB level to reduce redundancies when duplicating efforts to automate office automation processes such as electronic approval process and document tracking, project management and reporting, enterprise accounting practices, accounts receivables linked to concession and lease rent agreements, and others. Streamlining these work processes will result in quicker processing of project requests to support the capital improvement and construction management projects, posting of accounts receivables, and transportation planning initiatives.
• Maintain, repair and operate the ten commercial harbors

and provide customers with on-line access to look up account information and submit payments on line or by electronic funds transfer.
• The data uploaded from our customers are integrated into the

Harbor core applications to help us analyze if our facilities are meeting our customer needs.
• Provide on-line access to pier assignments and apply to

which comprise the statewide harbors system; plan, design and construct harbor facilities; provide program planning and administrative support; manage vessel traffic into, within, and out of harbor facilities; provide for and manage the efficient utilization of harbor facilities and lands, and maintain offices and facilities for the conduct of maritime business with the public. Effectively manage and operate a statewide commercial harbors system that facilitates the efficient movement of people and goods to, from and between the Hawaiian Islands; Support the State’s economic prosperity and quality of life as well as promote the well-being of our cargo, fishing and passenger cruise industries, other maritime related service and support activities, and the enjoyment of certain waterfront facilities by the general public.

schedule the assignment of piers in a Harbor Management system. After a ship has docked customers can look up and submit wharfage and storage reports for that voyage.
• These wharfage and storage reports should be automated

to upload reports into our Harbor Management and Accounting system. The future state solutions architecture is depicted in Figure 19 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as

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Enterprise Architecture | Appendix A | 50

LOB services, common LOB services, enterprise mission support(functional) services, and enterprise common (utility) services.

Figure 19: Transportation Future State Solutions Architecture

INFORMATION EXCHANGES
Major Interfaces:
• Federal government agencies include:

– U.S. Maritime Administration – U.S. Department of Homeland Security – U.S. Treasury Department – U.S. Department of Agriculture – U.S. Customs and Border Protection – Environmental Protection Agency – Federal Transportation Security Administration – Federal Aviation Administration – Federal Drug Enforcement Agency – Federal Center for Disease Control and Prevention – Air Force (Hickam Air Force Base, Kona)
• State agencies include:

– U.S. Department of Transportation – Federal Highway Administration – National Highway Traffic Safety Administration – Bureau of Transportation Statistics – Turner-Fairbank Highway Research Center – U.S. Army Corps of Engineers – U.S. Fish and Wildlife – National Oceanic and Atmospheric Administrationn – Federal Maritime Commission – U.S. Coast Guard
51 | State of Hawaii Business and IT/IRM Transformation Plan

– Department of Land and Natural Resources
Enterprise Architecture | Appendix A

– Department of Public Safety – Department of Agriculture – Department of Health – State Civil Defense – Department of the Attorney General – Criminal Justice Data Center – Department of Business, Economic Development and Tourism – Department of Human Resources Development – Department of Accounting and General Services – Department of Budget and Finance
• All island counties • Shipping lines and agents, cruise ship operators and agents,

• Hawai`i Visitors Bureau • Hawai`i Tourism Authority (HTA) • Hawaii`i Harbor Users Group

A.1.10.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR TRANSPORTATION
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 19 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end -user computing.

vessel operators, tugs, and other maritime and maritime business operators and transportation service providers
• Airlines, concessionaires, airport tenants

Table 19: Transportation LOB Investment Initiatives

Name LOB Solutions: In Progress: Financial Management System

Description

Cost

Notes

Financial Management Systems needs to be maintained and upgraded for continued vendor support. These systems may be replaced with Statewide ERP if requirements are met. The Transportation financial reporting requirements vary between the Divisions which are mandated for annual financial audits. The Highway and Airports financial management systems projects are currently being worked on. Highways legacy financial system and cost accounting system HWYAC replacement is FAST. Airports Financial Management System upgrade project is called AIRMIS21 Upgrade.

HWY-FAST Pending Review AIR AIRMIS21 Pending Review

Priority: High EA Compliance: High

PropWorks Upgrade

Upgrade Property and Lease Management System for Airports

Pending Review

Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium

Intranet Portal

Transportation intranet portal for information and collaboration (i.e., desktop video conferencing, virtual workplaces, etc.)

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Name New: HAR - GIS

Description

Cost

Notes

GIS/Asset Management for Harbor Management working with the Army-Corp of Engineers and is the State match to the program. Mapping assets with the first layer being storm water systems.

Pending Review

Priority: High EA Compliance: Medium

DOTCMS

Enhance the Transportation’s Content Management System (DOTCMS). Introduce records management and paperless workflow. Transportation Capital Improvement Project Tracking with interface to Transportation portal

Pending Review

Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium

CIP Tracking

Pending Review

Work Order/Trouble Call Tracking

Enhance and expand the Airports work order and trouble call tracking system to support the Airport Operations. Used to record and track progress and completion of work orders and trouble calls. Used as reference for liability claims against the Airports. Monitoring and tracking all Airport Operations employees (State and non-State) for compliance with airport certification classes Replacement of Kona International Airport’s GasBoy System.

Pending Review

Certification Tracking/Training

Pending Review

Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium

KOA Fuel System

Pending Review

Hawaii Aviation History Website Upgrade

Upgrade of the Hawaii.gov/hawaiiaviation website hosted by ICSD. The current website is built on unsupported application code. Update look, and feel (navigation)of the current Hawaii.gov airport webpages that services the traveling public. Website hosted by ICSD. Electronic Way Finding in public spaces Facilities asset management system System to track and analyze traffic accidents by statistical analysis Pending Review

Pending Review

State Airport websites

Pending Review

Electronic Terminal Maps AxiSM Traffic Accident Reporting System Harbors Comprehensive Financial System HAR Mgt - Automated cargo tracking system

Pending Review Pending Review Pending Review

Pending Review

Develop and implement automated cargo tracking system to ensure that all cargo is correctly reported and charged focus on cargo.

Pending Review

Priority: High EA Compliance: Medium

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Name HAR Hardware and Software license audit inventory system

Description Computer Hardware and Software Inventory database for Harbors Division

Cost Pending Review

Notes Priority: High EA Compliance: High

HAR Help Desk System

A web based Help Desk management application to track and manage IT user request and trouble tickets with status/ progress updates and reporting via email or web interface. It’s also a reference database for IT equipment’s life cycle and maintenance contracts. To manage the scheduling and assignment of berths for homeported ships and vessels visiting our state harbor facilities. Develop a statewide cruise ship scheduling system with on-line access provided to cruise ship agents to book port calls at any of the statewide commercial harbor ports Manage and maintain statistical information on harbor activities, including vessel traffic, tonnage, cargo, commodities, etc. for all shipping inbound and outbound. Automated database of all permits, leases, easements and property dispositions of harbor properties; captures tenant history, monitor rent reopening, rental step-ups, insurance renewal information, security deposit information. This system has to Interface with Accounting Billing module to generate charges based on individual rental agreements, and to identify revenues received from use of ceded harbor properties due to OHA under section 5(f) of the Admission Act, as well as to interface with GIS. Harbors initiative to establish a system to manage major assets, infrastructure, utility systems, roadways, easements, etc. to capture life cycle history and major repairs and renovations made to such assets and infrastructure. This system will monitor the remaining life of harbor infrastructure to enable more effective planning, budgeting and scheduling of repairs, renovations or replacements, and to interface with GIS. Potential for Departmental solution.

Pending Review

Priority: High EA Compliance: Medium

HAR Mgt - Web based ships and Vessels Scheduling

Pending Review

HAR Mgt - Web based Statewide cruise ship scheduling system HAR Mgt - Harbor Operations management and maintenance system HAR Property Management system

Pending Review

Pending Review

Priority: High EA Compliance: High

Asset Management System

Pending Review

Priority: High EA Compliance: High

HAR Project Management System

Manage plans, control resources and schedules for multiple planning, design and construction projects; manage contracts, budgets, expenditures and forecasts of future needs; monitor critical paths and project status. Provide reports on CIP status for executive management, Governor and the Legislature.

Pending Review

Priority: High EA Compliance: High

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Name HAR Environmental Management System

Description Harbor’s initiative to capture environmental data related to harbor properties such as pre-existing soil conditions, maintain record keeping and documentation of environmental inspections and enforcement actions; monitor storm water discharge and the surrounding environment, as the responsibility to manage public lands also includes compliance with all federal and state environmental laws and regulations to protect the land and surrounding areas from pollution. This system is also to Interface with GIS. An electronic Tracking and Approval system for Staff Study documents, Travel Requests, Purchase Requisitions and Purchase Orders, Recommendations on Contract Award and Statements of Completed Travel This system is to provide timely updating of leave records which will result in near-real time leave balances for all Harbors employees. The benefits that will result from this application are that leave hours taken or requested to be taken that are submitted via Forms G-1 will be posted and deducted from employees’ leave balances as soon as the appropriate supervisor approves the leave request in this system.

Cost Pending Review

Notes Priority: High EA Compliance: High

HAR Office Automation Approval Tracking System

Pending Review

Priority: High EA Compliance: High

HAR Office Automation Electronic Leave Record & Request system

Pending Review

Priority: High EA Compliance: High

LOB Infrastructure: In Progress: Statewide Maritime Wireless Network System (MWNS) Develop and implement a statewide regulated ports NWNS to enhance public safety throughout the regulated port infrastructure with respect to data and video signals. The MWNS will provide DOT with the opportunity to achieve meaningful and measurable improvements to the public safety surveillance system within the port infrastructure through the use of telecommunication resources and connectivity to the Hawaii Homeland Security Command Information Surveillance System. “Pending Review” has been released by the Governor for the MWNS Design and Construction, statewide with the Department of Defense being the lead agency to coordinate and manage the project. Pending Review DOD and Homeland Security are looking into to see if they have captured this.

New: Data Center Upgrade Replace hardware and software in the Transportation data center Update disaster and recovery plans (e.g., Continuity of Operations Planning, COOP) for federal funding and to support financial system audits HAR is to accommodate a fiber optic cable to be replaced in accordance with NGN connection requirements, as long as Nimitz Highway conduit crossing. Pending Review

DR Planning & Testing

Pending Review

HAR Fiber Optic Cable Replacement

Pending Review

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 15 through Figure 16. The following items should be considered for the future state initiatives:
• Capital Improvement Project Tracking System • Highways Financial System (FAST) • Airports Accounts Receivable and Database Upgrade and

• Replace the aging hardware in Transportation data center • Collaboration and Social Networking Tools • Traffic Accident Reporting System • Improved communications with the State Civil Defense and

possible County offices to support emergency response services and DOT centers
• Upgrade network bandwidth to neighbor island offices • Airports Warehouse System upgrade

Migration project
• Update Disaster Recovery and Business Continuity Plan • Transportation Intranet Portal, to include dashboard for

project tracking

Figure 20: Transportation Transition & Sequencing Plan Summary (1 of 3)

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Figure 21: Transportation Transition & Sequencing Plan Summary (2 of 3)

Figure 22: Transportation Transition & Sequencing Plan Summary (3 of 3)

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A.1.11 ECONOMIC DEVELOPMENT
This LOB provides Hawaii’s resource center for economic and statistical data, business development opportunities, energy and conservation information, and foreign trade advantages. Table 20: Economic Development LOB Business Services

LOB: Economic Development Service Name Economic Industry Development

Service Definition

Promotes industry development and economic diversification in Hawaii by supporting existing and emerging industries, attracting new investment and businesses that can create more skilled, quality jobs in the state, and work to increase exports of Hawaii products and services. Business support provides new and existing businesses direct loans, licensing and permit information and referral, business advocacy, planning and coordination of programs and projects aimed at specific business sectors or economically-distressed areas (including rural areas and areas affected by natural disaster).

Economic Research & Analysis Services

Works to enhance and contribute to the economic development of the State by providing analyses and policy recommendations on economic issues. Provides economic forecasts that contribute to long-term statewide planning and infrastructure needs assessment, and also conducts and reports on basic research into the economy of the state. These functions are conducted by collecting compiling, interpreting, and publishing data and statistics on all aspects of business activity, the economy and demographic characteristics of the State. Also develops and maintains a statewide statistical reporting system.

Economic Strategy and Planning

Supports statewide economic efficiency, productivity, development and diversification by promoting, attracting and facilitating the development of Hawaii Technology-based industries which engage in the sustainable development of Hawaii’s energy, environmental, ocean, recyclable, and technological resources. Develops a sustainable venture capital industry in Hawaii which will stimulate the growth of viable new businesses.

Tourism Services

Creates a vision and develops a long-range plan for tourism for the State of Hawaii. Provides a board of directors to oversee the Tourism Special Fund.

Creative Industry Services

Promotes the development and growth of Hawaii’s Creative Economy, whose primary and core sector consists of Copyright Based Industries, with a focus on businesses that create/design exportable products and services and depend on the protection of their Intellectual Property in order to market to a global community. IP protection is a crucial base to profitability and survival. These are the core businesses that contribute to our economy with job creation and tax revenue. This cluster is comprised of producers and service providers in film, video and digital media production, commercial and applied design firms and diverse range of creative (visual and performing) and cultural businesses in Hawaii. Surrounding this core sector are a great variety of arts and cultural organizations, service organizations, educational institutions, foundations, community groups and a variety of individual artisans.

Renewable Energy

Participates in the development and diversification of the economy of Hawaii by providing resources and facilities for energy and ocean related research, education, and commercial activities in an environmentally sound and culturally sensitive manner. Facilities are located at Keahole Point in Kona and in Puna, both on the Island of Hawaii. NELHA at Keahole Point

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LOB: Economic Development Service Name

Service Definition

is the only location in the world, which consistently pumps large quantities of warm and cold seawater ashore for use in aquaculture, marine biotechnology, and other related technologies. Foreign-Trade Zone Services Increases the amount of international trading activity in Hawaii, to encourage value-added activities, stimulate capital investment and generate employment opportunities by using the federal trade development program to reduce the costs associated with international trade. There are currently 13 sites on the islands of Oahu, Maui, and Hawaii that have received FTZ designation. Of the 13 sites, three general-purpose zones and four special-purpose subzones are active. Responsible for ensuring that U.S. Customs and Foreign-Trade Zones Board regulations are followed at these sites.

A.1.11.1 FUTURE STATE VISION FOR ECONOMIC DEVELOPMENT
The future vision for the Economic Development LOB is to apply state-of-the-art technology to address the following business objectives and issues:
• Diversity in terms of its mission and service delivery

• Ability to work with external people via email, etc., and

send large files
• Getting to a paperless environment • Case management

activities; the common thread is the need to reach beyond the boundaries of the islands.
• Produces the State of Hawai`i Data Book (900K hits/month). • GIS governance and planning – by statute (Chapter 225M-

The organization is very creative as they identify ways to use social media, forwarding their email to Gmail to enable receipt on an iPhone or Droid-type phone and increase email storage; saving mail to personal hard drives; using WIKI forms; outsourcing VOIP; using Google Docs for file share; using Skype. For the State’s GIS, historically ICSD provided file server and IT technical support, OP provided overall policy direction, database management, and user application support. Note that the file servers and databases are used by all State agencies. OP and ICSD jointly planned for system upgrades/growth/evolution. Infrastructure was generally part of ICSD’s budget. In recent years, due to budget and staff cuts, ICSD has found it difficult to maintain previous level of support. In addition, there has been a significant deterioration in the partnership that had been in place for many (15+) years. There have been many system problems, with significant down time, so that State GIS users would like ICSD removed from support of the State GIS.” OP has been investigating alternatives. The future state solutions architecture is depicted in Figure 23 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

2(4)(B)), OP is the statewide coordinating agency for GIS in State government.
• Largest and most diverse constituent pool of any agency

in the State. The need for multi-language approaches in dealing with foreign countries, as well as multi-cultural aspects, is an implied business concern in development of the State economy.
• Better email solutions • Ability to do email blasts • Ability to store email greater than 20MG • Electronic signatures coupled with Document Tracking

System (DTS)
• Improved document management system • Additional video conferencing capabilities, especially with

interface architecture
• “Everything as a Service” common solutions framework that

neighbor islands and the mainland
• IT solution that supports use of credit cards • Electronic signatures/paperless transactions • Ability to handle video-intense files (videography) • Faster network speeds

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Figure 23: Economic Development Future State Solutions Architecture

INFORMATION EXCHANGES
• State GIS data • State Data Book

INITIATIVES
The primary initiative for this LOB is the Hawai`i Broadband Initiative:
• Jointly sponsored by DBEDT and DCCA.

Opportunity to leverage connectivity for State offices at remote islands and improvements for State NGN. The needed initiatives for both LOB solutions and infrastructure are outlined in Table 21 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

A.1.11.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR ECONOMIC DEVELOPMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

• A major economic development

initiative to provide statewide access to affordable ultra, high-speed Internet by 2018. Positions Hawai`i to be the first state in the nation with 1 gigabit per second broadband connectivity at every public school, every public library, and every public university and college campus by using about “Pending Review” of federal monies received through the American Recovery and Reinvestment Act (ARRA).

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Table 21: Economic Development LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment: GIS Various databases

Description

Cost

Notes

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Status: GIS Deployment EA Compliance: 3 Priority: 2 Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Web Site EA Compliance: 3 Priority: 3

Land Use Commission

hawaii.gov/luc (hosted by ICSD)

Aloha Tower Development Corporation

alohatower.org (hosted by ICSD)

Coastal Zone Management

hawaii.gov/dbedt/czm (hosted by ICSD)

Hawaii Statewide GIS Program

hawaii.gov/dbedt/gis (hosted by ICSD)

Office of Planning

hawaii.gov/dbedt/op (hosted by ICSD)

Department of Business, Economic Development and Tourism

hawaii.gov/dbedt (hosted by ICSD)

Hawaii Community Development Authority

hcdaweb.org (hosted by ICSD)

Hawaii Film Office

hawaiifilmoffice.com (hosted by ICSD)

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Name Clean Energy Initiative

Description hawaiicleanenergyinitiative.org (hosted by ICSD.)

Cost One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Notes Status: Production Web Site EA Compliance: 3 Priority: 3 Status: Production Application – Move to Web App EA Compliance: 3 Priority: 3 Status: Production Application – Replace with Central Legislative Tracking System EA Compliance: 3 Priority: 2

DBEDT - Document Tracking System (DTS)

Custom Lotus Notes based application for tracking a documents life-cycle within the department

DBEDT Legislative Tracking System -Lotus Notes Application being maintained by ICSD in DAGS

DBEDT Legislative Tracking System is a revised version of their Lotus Notes tracking system. This database allows the creation of a tracking document for a bill or resolution. The tracking document is then circulated within the department to gather testimonies and comments. This Lotus Notes application resides on DBEDT’s Notes server.

One-time DME: Pending Review On-going annual O&M: Pending Review

LOB Infrastructure: In Progress: Infrastructure Infrastructure upgrade One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review Status: Upgrade EA Compliance: 3 Priority: 1

Wireless

wi-fi installation

Status: Upgrade EA Compliance: 3 Priority: 1

Network Upgrades

firewall/router upgrades

Status: Upgrade EA Compliance: 3 Priority: 1

New: VOIP

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 24.

Figure 24: Economic Development Transition and Sequencing Plan Summary

A.1.12 COMMERCE AND CONSUMER AFFAIRS
Commerce and Consumer Affairs promotes a strong and healthy business environment by upholding fairness and public confidence in the marketplace, and by increasing knowledge and opportunity for our businesses and citizens.

Table 22: Commerce and Consumer Affairs LOB Business Services

LOB: Commerce and Consumer Affairs Service Name Broadband Infrastructure

Service Definition

Responsible for implementing activities to promote ubiquitous access to high speed broadband at affordable prices throughout the State by expanding and accelerating the deployment of broadband infrastructure. Maintains the business registry for corporations, limited liability companies, general partnerships, limited partnerships, limited liability partnerships, and limited liability limited partnerships. In addition, the registry contains publicity rights, trade names, trademarks and service marks. This is a ministerial registry with no substantive review. Also runs one-on-one sessions to assist businesses in their business registrations needs.

Business Registry

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LOB: Commerce and Consumer Affairs Service Name Cable Television Services

Service Definition

Determines whether the initial issuance, renewal or transfer of a cable franchise is in the public’s best interest, and enforces obligations of a cable franchise and ensures cable operators’ compliance with rules and regulations relating to their practices and procedures. Represents consumers of utility and state-regulated transportation services before the Hawaii Public Utilities Commission and various federal regulatory agencies. Consumer counsel for the State of Hawaii: Investigates consumer complaints and enforces a broad range of consumer protection statutes prohibiting unfair or deceptive acts or practices against consumers; promotes consumer awareness, educates the general public on consumer protection issues and provides information to the public about the Hawaii Residential Landlord-Tenant Code. Conduct hearings and issue recommended decisions for all divisions within DCCA that are required to provide contested case hearings; administer medical tort claims through the Medical Claims Conciliation Panel; administer tort claims against design professionals through the Design Claim Conciliation Panel; hear and decide disputes arising from the State’s procurement laws; hear and decide due process hearings involving the Individuals With Disabilities Education Act and the Department of Education; and hear disputes among manufacturers, distributors, or dealers of motor vehicles. Regulates state-chartered or state-licensed financial institutions in the State of Hawaii (including banks; savings banks; savings and loan associations; foreign bank branches, agency and representative offices; trust companies; depository and non-depository financial services loan companies; and credit unions), all escrow depositories, and all money transmitters, mortgage servicers, mortgage loan originators and mortgage loan originator companies. Oversees the Hawaii insurance industry; issues licenses, examines the fiscal condition of Hawaii-based companies, reviews rate and policy filings, investigates insurance related complaints. Specializes in the licensure, regulation, and administration of Hawaii-based captive insurance companies, as well as, the prudent development of the State’s captive insurance industry. Oversees the regulatory activities of 25 boards and commissions and 22 licensing programs. Receives complaints, conducts investigations, and prosecutes licensing law violations for various licensed professions and vocations; prosecutes unlicensed activity through the issuance of citations and by filing civil lawsuits in the Circuit Courts; works to resolve consumer complaints where appropriate and provides consumer education about various issues relating to licensing and consumer protection; administers the State Certified Arbitration Program (SCAP) for “lemon” motor vehicle claims and provides the public with both licensing and enforcement (complaint) information. Conducts substantive registration for securities, franchises, broker-dealers, sales agents, investment advisers and their representatives; conducts examinations of investment a dvisers and broker-dealers. Runs an investor education program. Investigates complaints regarding potential violations of the Hawaii securities laws; prosecutes securities violations.

Consumer Advocacy Services

Consumer Protection Services

DCCA Administrative Hearing Services

Financial Institution Services

HI Insurance Industry Oversight

Professional & Vocational Licensing Regulated Industries Complaint Services

Securities Compliance

Securities Enforcement

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 64

A.1.12.1 FUTURE STATE VISION FOR COMMERCE AND CONSUMER AFFAIRS
The future state vision needs to correct some of the following problems:
• Annually, May–June bills are passed that can require expedited

Processing guarantees on these systems is measured in days so they can handle disruptions of up to one week.
• Status of servers: HP stand-alone servers are ~6 years old; the

SAN is ~6 years old. They are actively migrating to an HP Blade server running VMware. The SAN is planned for replacement next year.
• Refresh cycle on other IT: PCs are refreshed every 4 years;

work on systems which causes surges in backlog of work requests to the ISCO.
• This LOB is able to leverage funding to make significant

printers every 5 to 6 years. PCs are currently running Windows XP due to problems with Oracle. MS Office is budgeted for replacement in FY13.
• Attempts to unify business information across Departments by

IT improvements through careful strategic planning and prioritizing improvements. A major goal for this LOB is to provide for paperless, streamlined business processes supported by integrated automation.
• Interdependencies between software and incompatible

creating a central repository, have floundered due to lack of agreement by divisions to agree on the management of master data. However, successful implementation was completed for automated exchange of business-entity information and a standardized database model.
• IT staff for this LOB are dedicated, very knowledgeable, and

versions can slow progress and improvements to service delivery. Examples: current Oracle screens will not run on Windows 7, Oracle Reports only runs on IE 8 or lower, IBM Host on Demand only runs on IE 7, and some packages will not run with lower versions of MS Office.
• ICSD maintains the PVL license for system screens, maintains/

experienced therefore, would like to participate in making the future state vision a reality for the State.
• This LOB is interested in moving some services to a Cloud-

backs up the main Oracle server (P590 AIX), maintains the web server, provides web site programming, and provides WAN and bridging services for VCC. ISCO provides all other maintenance and helps support ICSD.
• DCCA is agile in terms of IT but finds that interfaces to other

based model; funding from this LOB could provide the first State Cloud-based solution. However, the AG’s review and approval is required.
• Need better data sharing between LOBs. For example,

departments cause bottlenecks due to paper processes and antiquated systems.
• DCCA focused on internet services and incurred significant

Commerce and Consumer Affairs holds business filing information that Revenue Collection needs; however, their applications do not have access to enable correlating business-owner individual tax with business tax paid.
• ISCO is seeing a growing trend toward use of national

costs to move off of ICSD’s mainframe and Wang systems to a more internet-friendly platform.
• The licensing and registration databases are considered

databases; with registrations, they are moving toward a strategy that uses the national databases and will keep only Hawai`i-specific information locally.
• Need better video conferencing to drive down the cost of

critical information and are relied on by businesses and government agencies to check on the licensure of business entities including new transparency initiatives being implemented by Hawaii Insurance Exchange.
• ISCO has requested replacement of the AIX system, but

flying people from neighbor islands.
• Need better communication and more timely input of data

between legislature and Commerce and Consumer Affairs. The IT needs for this Line of Business envisions an aggressive use of the most current application development environments, database servers, cloud service, tools and technologies. The future state solutions architecture is depicted in Figure 48 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user interface

its replacement depends on ICSD and their ability to move forward.
• ISCO has a stable backlog of 350 work requests. One or two

additional IT staff could reduce or eliminate the backlog, but improvements are needed in the business processes and the systems that support them.
• The connections between DCCA and HIC, located at

architecture
• “Everything as a Service” common solutions framework that

DRFortress, are critical to maintain processing guarantees. DCCA also maintains data connectivity to the National Association of Insurance Commissioners, synchronizing the insurance data. (Synchronizing the data between the systems is complex so they are trying to move to the National format).

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

65 | State of Hawaii Business and IT/IRM Transformation Plan

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Figure 25: Commerce and Consumer Affairs LOB Future State Solutions Architecture

INFORMATION EXCHANGES
• State legislature is a critical interface to this LOB; tracks

• Future State – provider licensing information needs to be

bills and makes preparations to support new laws and requirements; often there is a short cycle between bill passage and enforcement of new policies. This demands immediate attention and quick response from DCCA’s Information Systems and Communication Office (ISCO).
• Hawai`i Information Consortium (HIC) takes in Commerce

shared with Hawaii Health Information Exchange (HHIE) and insurance licensing information needs to be shared with Hawaii Insurance Exchange (HIX).

A.1.12.2 TRANSITION & SEQUENCING PLAN FOR COMMERCE AND CONSUMER AFFAIRS
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

and Consumer Affairs online transactions for a fee (“Pending Review”).
• Information should be shared in a common database with

other LOBs such as Revenue Collection and Employment Rights and Benefits.
• DCCA Insurance Division shares data with the National

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 23 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.
Enterprise Architecture | Appendix A | 66

Association of Insurance Commissioners (NAIC). This is a two-way exchange as there are Insurance providers who file with NAIC and we pull those filings back into our HIDS system.
• DCCA Insurance Division shares Insurance Premium Tax

information with TriTech a private sector data clearing house for Tax compliance purposes.
• Information is exchanged with First Hawaiian Bank for

ACH transactions.
State of Hawaii Business and IT/IRM Transformation Plan

Table 23: Commerce and Consumer Affairs LOB Investment Initiatives

Name LOB Solutions: In Progress: Health Insurance Premium Rate Review BPMS Pilot

Description

Cost

Notes

Pilot Business Process Management System (BPMS) to update portions of the existing HIDS system that deal with Health Insurance rate filings, data collection, validation, analysis and reporting. The new system will be replacing the outdated Oracle Forms technology and transforming the user interfaces by re-engineering the processes and creating Microsoft.Net persona oriented browser-based information worker portals.

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: High

New: ALIAS Migration Applicant/Licensee Interactive Automated System (ALIAS) Forms Migration Project - Business Process Management System (BPMS) to update the existing ALIAS system. The new system will be replacing the outdated Oracle Forms technology and transforming the user interfaces by reengineering the processes and creating Microsoft.Net persona oriented browser-based information worker portals. Database as a Service (DaaS) in order to meet DCCA’s SLA requirements. One-time DME: Pending Review Annual O&M: Pending Review Priority: High EA Compliance: High

Oracle Managed Services – Database as a Service

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

Complaint Management System (CMS) Forms Migration Project

CMS Forms for RICO, OCP, CATV, DFI and BREG-SEB Migrate existing Oracle Forms user interface to MS.Net platform possible BPMS candidate.

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: High

BRIMS Migration

Business Registration Information Management System (BRIMS) Forms Migration Project

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: High

RDPMS Migration

Registration Document Processing and Management System (RDPMS) Forms Migration Project - Migrate existing Oracle Forms user interface to MS.Net platform possible BPMS candidate. Financial Institutions Management System (FIMS) Forms Migration Project - Migrate existing Oracle Forms user interface to MS.Net platform possible BPMS candidate. Computer Account Request (CAR) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. ISCO Request For Action (RFA) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible

One-time DME: Pending Review Annual O&M: Pending Review

One-time DME: Pending Review Annual O&M: Pending Review Priority: High EA Compliance: High

FIMS - Financial Institutions Management System Migration Computer Account Request (CAR) Application Modernization RFA – ISCO Request for Action

DME: Pending Review Annual O&M: Pending Review

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

67 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Name BPMS candidate. LTS – Legislative (Bill) Tracking System

Description

Cost

Notes

Legislative (Bill) Tracking System (LTS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Employee Leave System (ELS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Director’s Office Referral System (DRS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. IN-OUT Board - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Incident (Bug) Tracking System (ITS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate.

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

ELS - Employee Leave System Modernization

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

DRS - Director’s Office Referral System

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

IN-OUT Board Application Modernization

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High Priority: High EA Compliance: Medium High

ITS – Incident Bug Tracking System

One-time DME: Pending Review Annual O&M: Pending Review

Licensing Advisory Board Members Database

Licensing Advisory Board Members Database (License Boards) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. RICO Citation Database (Citation) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Request for Services (Insurance Office Services/Clerical) (RFS1) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Request for Services (Insurance Legal) (RFS2) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Conference Room/Equipment Reservation System (CRERS) - Lotus Notes Application Modernization (Migrate to .Net) Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate.

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

Citation - RICO Citation Database

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

RFS1 – Request for Services (Insurance Office Services/Clerical)

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

RFS2 – Request for Services (Insurance Legal)

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

CRERS – Conference Room/Equipment Reservation System

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 68

Name SCAP - State Certified Arbitration Program (Auto Lemon Law Database)

Description State Certified Arbitration Program (Auto Lemon Law) (SCAP) - MS Access Application Modernization (Migrate to .Net) Migrate existing MS Access database application to MS.Net platform possible BPMS candidate. IA/BD/MF/FR - Investment Advisors / Broker Dealers / Mutual Funds / Franchises - MS Access Application Modernization (Migrate to .Net) - Migrate existing MS Access database application to MS.Net platform possible BPMS candidate. Real Estate Continued Education Tracking System - MS Access Application Modernization (Migrate to .Net) Migrate existing MS Access database application to MS.Net platform possible BPMS candidate.

Cost One-time DME: Pending Review Annual O&M: Pending Review

Notes Priority: High EA Compliance: Medium High

IA/BD/MF/FR Application Modernization

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

Real Estate Continued Education Tracking System

One-time DME: Pending Review Annual O&M: Pending Review

Priority: High EA Compliance: Medium High

LOB Infrastructure: In Progress: None New: None

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 26 through Figure 28. The following items should be considered by the enterprise for the future state initiatives:
• DCCA has a strategic plan with weighted priorities. There

virtual desktop (financial institution inspectors use them successfully now).
• Need to perform business process re-engineering to provide

efficiencies and upgrades to enable analysis and reporting of business performance.
• Allow online applications for (initial) Professional and

are active projects for each initiative in the strategic plan.
• DCCA has mature custom applications built on Oracle

Vocational Licensing for both Condominium Associations and Continued Education purposes. In addition, Commerce and Consumer Affairs LOB solutions have critical needs for the following new Enterprise-wide Solutions:
• Robust email system • Cloud service • Data Management services • Mobile technologies • Web application servers • Application Development Environments

databases. Each system is currently undergoing at least three major enhancements.
• Use of national databases; with registrations, moving toward

a strategy that uses the national databases and maintaining only Hawai`i-specific information locally
• ISCO is looking at ways to improve the financial system; the

biggest problem is that DAGS will not give them additional accounts for payments; insurance, financials, etc., are all entered into one account. Paper money is not deposited quickly. To eliminate duplicate data entry, DCCA’s financial system needs to be integrated with FAMIS.
• XP will sunset in 2014 and their screens only run in XP; they

are looking at using VMV - Virtual PCs as part of remote

69 | State of Hawaii Business and IT/IRM Transformation Plan

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Figure 26: Commerce and Consumer Affairs Transition and Sequencing Plan Summary (1 of 3)

Figure 27: Commerce and Consumer Affairs Transition and Sequencing Plan Summary (2 of 3) State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix A | 70

Figure 28: Commerce and Consumer Affairs Transition and Sequencing Plan Summary (3 of 3)

A.1.13 HUMAN SERVICES
The purpose of the Human Services LOB is to provide timely, efficient and effective programs, services and benefits, for the Table 24: Human Services LOB Business Services

purpose of achieving the outcome of empowering those who are the most vulnerable in our State to expand their capacity for self-sufficiency, self-determination, independence, healthy choices, quality of life and personal dignity.

LOB: Human Services Service Name Human Services Case Management

Service Definition

Case management services support the case life cycle of a client’s application, placement, and participation in one or many DHS programs. Provides eligibility determination and payment of medical, long term care, dental, and behavioral services through contracted managed care health plans and individual practitioners and facilities for Title XIX, Title XXI and state funded health care programs. Eligibility determination and benefit authorization for and issuance of financial assistance (TANF, TAONF, GA and AABD) and Supplemental Nutrition Assistance Program (formerly foods stamps). This service also includes medical evaluation and assessment through a contractor. Case management, work preparation and job placement services to TANF, TAONF and SNAP recipients. Provides emergency and/or transitional shelter to stabilize the homeless. Makes available to eligible homeless families and individuals, monetary assistance to prevent, avoid, or remedy

Medical Assistance

Financial Assistance

Homeless Services

71 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

LOB: Human Services Service Name

Service Definition

homelessness. Provides services to homeless individuals and families including adequate meals or cooking facilities; client assessment/social services planning; case management; job training; medical and social services referrals; childcare; educational and life skills classes; and monitoring and follow-up after transitioning to permanent housing. Provides supplementary funding for shelter operations and special programs which include job training, education to attain a GED, substance abuse counseling programs and help in transitioning to employment. Child and Adult Protective Services Provides protection from abuse and neglect for children and dependent adults. Also provides safe living arrangements with the goal of reducing abuse, neglect and maltreatment. The main goal of the foster care and adoptive services is to find forever families for children and connect those interested in adoption with a committed entity that will ensure a child (or children, hopefully) has a loving permanent home. Includes managing individual foster child cases; selection and licensing of resource families; care oversight; and financial support. Provides Supplemental Nutrition Assistance Program (SNAP) which provides low-income households with coupons that can be used like cash at most grocery stores to ensure that they have access to a healthy diet. SNAP represents the pledge that hunger will not be tolerated in America. It is the tangible expression of the unalterable belief that everyone has a right to food for themselves and their families. The program is the cornerstone of the Federal government’s food assistance programs. The U. S. Department of Agriculture (USDA) administers the SNAP at the Federal level through its Food and Nutrition Service (FNS). State agencies administer the program at the State and local levels, including determination of eligibility and allotments. The goal of the child care licensing is to protect the health, safety, and well-being of children enrolled in licensed facilities by developing and enforcing minimum standards for licensed facilities. Licensing staff monitors compliance with the law and the administrative rules and provides consultation and technical assistance to child care providers. Child care assistance provides families with: subsidies to help with child care expenses; guidance in selecting a child care provider; information about quality child care programs; and referrals to community resources for help with other concerns. The highest priority is given to children who need out-of-home care for protective service reasons, to assure children safety, comfort, and health. Provides work programs and employment and training designed to assist able-bodied adults to become attached to the workforce. Puts emphasis on: employment, skill-building, training, on-the-job training, and job search activities. Also provides supportive services such as child care, transportation reimbursement, and work-related expenses. Includes several work-incentive and job-readiness programs to recipients through partnerships and contracts with public and private agencies. Vocational rehabilitation and independent living services for individuals with disabilities, who require assistance to prepare for, secure, retain or regain employment. Provides rehabilitation and related services for persons who are blind and visually impaired to persons who are deaf or hard of hearing statewide. These services include, but are not limited to, education, vocational rehabilitation services leading to job placement, clinic examinations, and skill training to empower consumers toward independence and success in their vocations and their lives.

Foster Care

Food and Nutrition Assistance

Child Care Assistance

Work and Employment Placement Programs

Vocational Rehabilitation

Services for the Visually and Hearing Impaired

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 72

LOB: Human Services Service Name Affordable Housing Assistance

Service Definition

Provides the development and management programs that provide housing to those who are unable to provide housing for themselves including the rental of single-family or multifamily properties, and the management and operation of federally supported housing properties.

Youth Services

Provides and coordinates a continuum of services and programs for youth-at-risk to prevent delinquency and reduce the incidence of recidivism. Also strives to provide a clear sense of responsibility and accountability for all youth services in Hawaii.

A.1.13.1 FUTURE STATE VISION FOR HUMAN SERVICES
The future vision for Human Services is to apply state-of-theart technology to the fullest extent to accomplish the following critical business objectives and to address current state issues.
• Key processes: Eligibility determination and benefit issuance,

• Provide online access for consumers and modern

communication tools/applications such as texting, emailing, or tweeting.
• Explore the possibility of a new phone system (e.g., VoIP)

and telecommuting.
• Provide online access and depository for foster children

case management, procurement of health and human services, consulting contracts, fiscal management and reporting, budget management, program audit, quality control, IT support, and personnel management.
• Key process issue to improve: Dealing with lawsuits

and BESSD clients to save their vital records, photographs, employment records, resumes, etc., so that they have portable digital files/records.
• Ability to oversee, monitor, and audit service provision

related to lack of timely processing and backlog of people receiving benefits.
• New processes, working relationships, and interfaces need

partners. Need improved data about those companies providing services from either the State procurement system or DCCA.
• Better Access to Department (Gateway Portal). (Provides

to be addressed for the Patient Protection and Affordable Care Act (PPACA) such as an insurance exchange worked through DCCA.
• Treaty with Pacific Island Nations and impact upon DHS:

access to DHS both internally and externally [Fed partners].)
• Dashboard (Data Warehouse—not yet started). • Need language accessible services and disability access. • Medicaid staff are on a separate implementation of Lotus

people can freely migrate and the U.S. is required to provide State services, healthcare, and education to 7,000-12,000 people. This is an uncompensated cost of “Pending Review” a year.
• Department’s staff is geographically distributed in each of the

Notes which creates issues in communications with them and other DHS staff. The future state solutions architecture is depicted in Figure 29 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

counties (namely Oahu, Maui [including Lanai and Molokai], Kauai [including Niihau], and Hawai`i).
• BESSD, electronic forms, need help with language proficiency;

interface architecture
• “Everything as a Service” common solutions framework that

nine languages need to be supported in Hawai`i.
• Section 508 of the Rehabilitation Act Compliance is required

due to constituency.
• Electronic consumer interface and management tools, with

website that is easy to navigate, and interfaces with various databases and systems to manage the work flow process more efficiently.

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services

73 | State of Hawaii Business and IT/IRM Transformation Plan

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Figure 29: Human Services Future State Solutions Architecture

INFORMATION EXCHANGES
• State: B&F, DAGS, DOE, DOH (death records), DLIR, DCCA

providing services from either the State procurement system or DCCA.
• Electronic availability of demographic data, case load, reports,

(contractors), UH, DOD State Civil Defense
• City and County of Honolulu, County of Kauai, County of

Maui (includes Molokai and Lanai), County of Hawai`i
• State of Hawai`i Judiciary • US DHHS (Center for Medicaid and Medicare Services,

real-time fiscal (revenue and expenditure) information, DOH death records, and electronic records related to companies doing business with the State.
• VR works with the following departments but does not have

any information-sharing capabilities: – Department of Labor: VR is reimbursed approximately “Pending Review” per year by the Social Security Administration when SSI/SSDI recipients are employed. VR needs the client’s current wage information that DOL possesses. If VR were able to access the client’s wage information, the SS reimbursement rate would be greater. – Department of Education: VR works with DOE students with disabilities ages 14 -21. – Department of Health: VR works with adults and students with developmental disabilities and/or with mental health disabilities.
• Need an interface with Judiciary.

Administration for Children and Families – Office of Family Assistance, Child Care Bureau, and Head Start Bureau), USDA (Food and Nutrition Service), US DOI (Compact of Free Associated matters), SSA (income and eligibility verification)
• Multiple private for-profit and not-for-profit organizations. • Needs among the DHS Divisions and administratively attached

agencies as well. (Example: internal awareness of enrollment of a person in one program when they apply for another – when someone applies for a childcare license knowing that they are already registered as a foster care home.)
• Ability to oversee, monitor, and audit service provision

partners. Need improved data about those companies

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 74

A.1.13.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR HUMAN SERVICES
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

– Address document imaging and e-forms as well as portable devices to allow DHS staff to be more mobile in addressing routine tasks (e.g. child care licensing) and for responding to emergency disasters (e.g. emergency food stamps). – Explore the possibility of expanding the concept of telecommuting with the availability of portable devices. This would address some of the lease rental issues.
• Request for grant (“Pending Review”) from USDA to

INITIATIVES
• New MedQuest Eligibility System

demonstrate content and imaging via Xerox machines they already have.
• Implement new application and database (Maximo) to capture

– “Pending Reivew” new eligibility system to increase timeliness and transparency, electronically verify information, and interface with health insurance exchange, in alignment with Patient Protection and Affordable Care Act. Replaces current 23 year old system. Opportunity to establish and leverage enterprise application integration capabilities. – MQD has “Pending Review” budgeted to comply with the Affordable Care Act requirements by redesigning the eligibility system.
• Benefit, Employment, and Support Services Division BPR

inventory and manage civil defense emergency preparedness.
• New Purchase Order Log, in addition to the Hawai`i

Compliance Express, repository for procurement documents that are routinely needed to execute contracts and make payments. Investigate use of Maximo.
• Better Access to Department (Gateway Portal). (Provides

access to DHS both internally and externally [Fed partners].)
• Dashboard (Data Warehouse-not yet started). • Need language accessible services and disability access. • Medicaid staff are on a separate implementation of Lotus

Project – BPR evaluation of the existing financial assistance and SNAP eligibility process, redesign work flow processes for efficiencies in issuing benefits; address document imaging and e-forms and portable devices to allow DHS staff to be more mobile in addressing routine tasks (e.g. child care licensing) and for responding to emergency disasters (e.g. emergency food stamps); explore the possibility of expanding the concept of telecommuting with the availability of portable devices. Opportunity to establish and leverage enterprise capabilities in BPR methodology, mobile apps, and telecommuting.
• Replacement Applications Systems (BESSD, MQD, VR, SSD):

Notes which creates issues in communications with them and other DHS staff.
• VR virtual desktop environment • BESSD document imaging and content management • Short term/immediate needs:

– Old equipment and software – Routine repair and maintenance of hardware such as PCs, servers and routers need to be done or new equipment purchased – Purchase backup tapes for the mainframe – Basic software maintenance costs – Equipment and infrastructure needed for relocated staff due to the SSD consolidation and reorganization
• Longer term needs:

– Integration with Hawai`i Health Insurance Exchange – Hawai`i Prepaid Medical Management Information System (HPMMIS) enhancement/replacement – VR has just begun the process of procuring the services of a vendor to build an Automated Case Management System (ACMS). – SSD is in the intermediate stages of building their new Child Protective Services System. (Note: new development is being done with Ruby on Rails, SQL Server database, and .Net - all technologies that would be non-standard today.)
• Business Process Re-engineering Project. BESSD has hired a

– BESSD needs to review and assess the viability of the HAWI and HANA systems on the mainframe. BESSD needs to address the cost issues and the potential inability to maintain the legacy system as-is. – Online training would assist the Division in addressing staffing needs and ability of the Division to maintain operations. – Moving to the IFL and considering Cloud computing would address some cost issues.
Enterprise Architecture | Appendix A

consultant to evaluate the existing eligibility process pertaining to financial assistance and SNAP benefits and help redesign the work flow processes to accomplish the goal of issuing benefits in a timely manner with diminished resources:

75 | State of Hawaii Business and IT/IRM Transformation Plan

– Long-term decision for MQD network and email; i.e., join DHS network or remain independent. (Medicaid staff are on a separate implementation of Lotus Notes which creates issues in communications with them and other DHS staff.) – SSD: Complete building and implement the new child protective services system (SHAKA) – SSD Adult Community Care Services Branch (ACCSB): CPSS data system needs to be replaced. Discussion is to have ACCSB data from CPSS included in CWSB’s new SHAKA information system. Cost estimate to modify SHAKA to accommodate ACCSB-APS information is not known.

The needed initiatives for both LOB solutions and infrastructure are outlined in Table 25 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

Table 25: Human Services LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment: Health Insurance Premium Rate HANA - Hawaii Automated Network for Assistance HAWI - Hawaii Automated Welfare Information System

Description

Cost

Notes

Re-Platform Database, Mandated & Productivity Enhancements

One-time DME: Pending Review On-going annual O&M: One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review (Covered by HAWI O&M)

Status: Enhancement EA Compliance: 3 Priority: 1 Status: Replace EA Compliance: 4 Priority: 1

Phase 1: Replace HAWI to meet new Federal ACA Requirements, “Pending Review” Phase 2: Move remaining programs from HAWI “Pending Review”

HAWI - Hawaii Automated Welfare Information System

Phase 1: Replace HAWI to meet new Federal ACA Requirements, “Pending Review” Phase 2: Move remaining programs from HAWI “Pending Review”

Status: Replace EA Compliance: 4 Priority: 1

HARI - Hawaii Accounts Receivable Information System

Supports the Entitlements & Benefits Overpayment Claims generated from HAWI, HANA, CPSS, etc.

Status: Use As-Is EA Compliance: 4 Priority: 3 Status: Replace EA Compliance: 4 Priority: 1

CPSS - Child Protective Services System

Supports the Child Welfare Services Abuse & Neglect, Foster Care and Adoptions Programs, supports the Adult Protective Services Adult Day Care, Foster Grandparent, Respite Companion Service, Nursing Home Without Walls, Developmentally Disabled/Mentally re (Project evaluation to determine a path forward) Supports the Assessment, Counseling & Guidance for Rehabilitative Services, Supported Employment Services, Job Placement, Services for the Blind and the Disability Determination (Title II and Title XVI) programs. hawaii.gov/missing-children (hosted by ICSD.)

One-time DME: Pending Review On-going annual O&M: Pending Review

VRISS - Vocational Rehabilitation Information & Statistical System

One-time DME: Pending Review On-going annual O&M: Pending Review On-going annual O&M: Pending Review

Status: Replace EA Compliance: 4 Priority: 1

Missing Children

Status: Use As-Is EA Compliance: 3 Priority: 3

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Name Department of Human Services Website

Description hawaii.gov/dhs (hosted by ICSD.)

Cost On-going annual O&M: Pending Review

Notes Status: Use As-Is EA Compliance: 3 Priority: 3 Status: Use As-Is

Adult Abuse and Neglect Registry Electronic Benefit Transfer Benefits Transfer Services

Covered by CPSS.

On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Use As-Is

Document Imaging and Content Management

Electronic Client and Case Folders

Status: In-Progress EA Compliance: 3 Priority: 1

POLog

Automate DHS Purchase Process

Status: Replace EA Compliance: 5 Priority: 1

Budget Creation & Tracking

Pilot to Automate DHS Budget Process

Status: In-Progress EA Compliance: 5 Priority: 1

HPMMIS

Pilot to Automate DHS Budget Process

Status: Enhancement EA Compliance: 3 Priority: 1

Hawaii Housing Authority Accounting System (migration) LOB Infrastructure: New: DHS Portal Upgrade System Software Version and Enhance Functionality One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review Status: Upgrade EA Compliance: 3 Priority: 1

PC Replacement

Meet immediate needs to replace and upgrade old equipment and software. Routine repair and maintenance of hardware such as PCs, servers and routers need to be done or new equipment purchased.

Status: Upgrade EA Compliance: 3 Priority: 1

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 30 and Figure 31.

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Figure 30: Human Services Transition and Sequencing Plan Summary (1 of 2)

Figure 31: Human Services Transition and Sequencing Plan Summary (2 of 2)

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A.1.14 EMPLOYMENT RIGHTS AND BENEFITS
The Employment Rights & Benefits line of business protects the economic security, physical, economic and social well-being of workers and supports good labor-management relations. This includes developing and disseminating labor market information and assisting job seekers, workers and employers to facilitate workforce development. Table 26: Employment Rights & Benefits LOB Business Services

LOB: Employment Rights & Benefits Service Name Workforce Development

Service Definition

Develops and maintains various partnerships with the private sector, educators, and labor unions to identify emerging employment trends and needed skill sets, technological advances, declining industries and economic issues. Assists job seekers (including disadvantaged, lowincome, dislocated, immigrant, and refugee residents), workers and industries by providing employment related services, including but not limited to, adult basic education, employment referral and placement service, job training that links qualified job seekers with employers. Develops grant proposals in coordination with other agencies to acquire additional resources to carry out employment and job training activities. Also involved in strategically planning for economic dislocations of workers in declining industries, making appropriate services available to dislocated workers. Provides career and jobs information online: HireNet Hawaii, Hawaii Workforce InfoNet (HIWI), greenjobshawaii.org, careerkokua.org, myfuturehawaii.org, Kumu Au (State Eligible Training Provider list), America’s Career ONESTOP, America’s Career InfoNet, My Next Move, the Hawaii Directory of Green Employers, and mySkills myFuture or O*NET OnLine.

Occupational Safety and Health

Provides Hawaii Occupational Safety and Health services and enforces that portion of HRS that regulates safety and health in the workplace. Adjudicates appeals from decisions rendered by the Director of DLIR relating to Boiler and Elevator Safety Law. Provides information that can help with research, business planning, job search and career decisions; produce data such as: wages, employment, unemployment, work injuries and illness, labor market information, career information, education and training, as mandated by the Workforce Investment Act (WIA) and HRS 373C; and Act 68 (SLH, 2010) to determine work shortages in the construction industry. Administers the Prepaid Health Care (PHC) laws by establishing necessary policies and guidelines for program effectiveness and efficiency; and conducting evaluations and developing procedures, standards, and methods to improve operational areas. Proposes legislative and rule changes to improve, clarify, or expand the PHC program. Administers the Prepaid Health Care Premium Supplementation Fund, by processing and directing payments to qualified disabled workers from the fund. Prepares and conducts statewide Chapter 91 PHC hearings. Conducts statewide activities related to PHC plans, appealed case management, insurance, statistical reports, computer inputs and outputs, payments and management of the PHC Premium Supplementation Fund and financial audits, and enforcement of the PHC laws and regulations. Administers the Prepaid Health Care (PHC) laws by establishing necessary policies and guidelines for program effectiveness and efficiency; and conducting evaluations and developing procedures, standards, and methods to improve operational areas. Proposes legislative and rule changes to improve, clarify, or expand the PHC program. Administers the Prepaid Health Care Premium Supplementation Fund, by processing and directing payments to qualified disabled workers from the fund. Prepares and conducts statewide Chapter 91 PHC hearings. Conducts statewide activities related to PHC plans, appealed

Labor Research and Statistics Analysis

Prepaid Health Care

Prepaid Health Care

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LOB: Employment Rights & Benefits Service Name

Service Definition

case management, insurance, statistical reports, computer inputs and outputs, payments and management of the PHC Premium Supplementation Fund and financial audits, and enforcement of the PHC laws and regulations. Prepaid Health Care Administers the Prepaid Health Care (PHC) laws by establishing necessary policies and guidelines for program effectiveness and efficiency; and conducting evaluations and developing procedures, standards, and methods to improve operational areas. Proposes legislative and rule changes to improve, clarify, or expand the PHC program. Administers the Prepaid Health Care Premium Supplementation Fund, by processing and directing payments to qualified disabled workers from the fund. Prepares and conducts statewide Chapter 91 PHC hearings. Conducts statewide activities related to PHC plans, appealed case management, insurance, statistical reports, computer inputs and outputs, payments and management of the PHC Premium Supplementation Fund and financial audits, and enforcement of the PHC laws and regulations. Administers the Temporary Disability Insurance (TDI) laws by establishing necessary policies and guidelines for program effectiveness and efficiency; and conducting evaluations and developing procedures, standards, and methods to improve operational areas. Proposes legislative and rule changes to improve, clarify, or expand the TDI program. Administers the TDI Special Disability Fund by processing and directing payments to qualified disabled workers from the fund. Conducts statewide activities related to TDI plans, appealed case management, insurance, statistical reports, computer inputs and outputs, payments and management of the TDI Special Fund and financial audits, and enforcement of the TDI laws and regulations. Includes the collection of contributions from subject employers and the payment of unemployment benefits to eligible persons in order to alleviate the economic hardships that result from loss of wage income during periods of involuntary unemployment. Also, conducts quasi-judicial hearings on appeals by claimants and employers relative to the DLIR’s decisions on unemployment benefit, coverage and related matters, and renders formal decisions to affirm, reverse or modify the department’s decisions. Assures a lawful working environment by equitably administering and enforcing the following labor laws: overtime, minimum wage, child labor permits, on-site drug testing, Hawaii family leave, payment of wages, illegal termination due to suffering a work injury, deduction from wages, lie detector tests, prevailing wages on Public Works, direct deposit, and breaks. Administers the Workers’ Compensation (WC) Law by establishing necessary policies and guidelines for program effectiveness and efficiency; enforcing the WC laws and regulations; and conducting evaluations and developing procedures, standards, and methods to improve operational areas. Proposes legislative and rule changes to improve, clarify, or expand the WC program. Administers the WC Special Compensation Fund (SCF) by processing and directing payments to disabled workers from the SCF. Conducts statewide case management activities related to WC claims, insurance, records management and control, statistical reports, computer inputs and outputs, payments and management of the SCF and financial audits. Conducts statewide activities related to WC guidelines on frequency of treatment and the qualification of health care providers. Prepares and conducts statewide administrative WC hearings. Adjudicates WC claims for benefits, coverage and related matters, and WC appeals from decisions rendered by the Director of DLIR pursuant to the State workers’ compensation law (Chapter 386, Hawaii Revised Statutes).

Temporary Disability Insurance

Unemployment Insurance

Wage and Standards Enforcement

Workers’ Compensation

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LOB: Employment Rights & Benefits Service Name Hawaii Labor Relations

Service Definition

Administers the Hawaii Employment Relations Act (HRS Chapter 377) and Collective Bargaining in Public Employment (HRS Chapter 89) by conducting union representation elections and adjudicating unfair labor and prohibited practice complaints. Also administers appeals to occupational safety and health citations issued by the DLIR Director under HRS Chapter 896. Investigates, conciliates, and litigates complaints of discrimination in employment, housing, public accommodations, and access to state services. Investigates, conciliates, and litigates complaints of discrimination in employment, housing, public accommodations, and access to state services.

Equal Opportunity and Civil Rights Enforcement Equal Opportunity and Civil Rights Enforcement

A.1.14.1 FUTURE STATE VISION FOR EMPLOYMENT RIGHTS & BENEFITS
The future vision for Employment Rights & Benefits is to apply state-of-the-art technology to the fullest extent to: 1. Increase efficiency, effectiveness and productivity; 2. Expedite/facilitate and enhance delivery of service to clients/customers; 3. Maximize utilization of scarce resources (dollars and employees); 4. Minimize data redundancy and maximize information sharing across programs, divisions, offices and governmental departments/agencies;

5. Utilize the Internet capabilities in a secure environment; and 6. Aggressively protect confidentiality, security and integrity of data. The future state solutions architecture is depicted in Figure 32 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Figure 32: Employment Rights and Benefits Future State Solutions Architecture

INFORMATION EXCHANGES
The Wage Standards Division (WSD) currently uses Disability Compensation Division’s (DCD) employer data to identify the correct employer in their investigations. In addition, WSD provides notification of unregistered employers that are found in the investigations to DCD and Unemployment Insurance (UI). The UI Division currently uses information from the State and National Directory of New Hires to insure that claimants are not receiving UI benefits while employed. The State’s child support agency processes the new hire reports received from Hawaii based employers. The UI Division also cross matches all new claims with the Social Security Administration to insure that the claimant’s social security number is valid. The UI Division provides all UI Benefit and Quarterly Wage information to the following agencies on a quarterly basis:
• Internal Revenues Service • Social Security Administration • National Directory of New Hires

• State Department of Labor Work Force

Development Division
• State Department of Labor Disability

Compensation Division
• State Department of Labor Research

The UI Divisions provides online access to the UI Benefit and Quarterly Wage information to certain agency staff of the Department of Human Services. The UI Division provides extracts of UI Benefit, UI Tax and/or Quarterly Wage information to the following agencies at regular intervals or as one-time requests:
• State Department of Taxation • University of Hawaii • Federal Department of

and Statistics
• State Department of Business Economic

Development and Tourism
• State Department of Transportation

HIOSH uses statistics compiled by the Research and Statistics Division and the Worker’s Compensation Division to schedule occupational safety and health inspections. The HCRC Enforcement Database is designed to capture information on complaint investigations, maintain records, and produce reports. The system interfaces with web-based U.S. EEOC IMS and HUD TEAPOTS databases. Labor Research and Statistics (R&S) Analysis information exchange:
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Homeland Security
• Federal Bureau of Investigation • State Attorney General • City and County of Honolulu Prosecutor

State of Hawaii Business and IT/IRM Transformation Plan

• Provides access to the Career Kokua website to schools and

• Unemployment Insurance (UI) Tax employer information that is

organizations statewide and to the general public. Surveys employers to gather updated occupational information. Surveys schools and training providers to gather updated training programs and related educational information.
• Ability to access data sources such as R&S, BLS, employer web

passed to the Employer file and shared by the DCIS. • Employer/MIF Database: that is shared with DC employer demographics.

sites, other state agencies such as DCCA, and other sources to gather occupational, employment, and industry data.
• R&S information for Quarterly Census of Employment and

A.1.14.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR EMPLOYMENT RIGHTS AND BENEFITS
The DLIR programs are responsible for prioritizing and planning their initiative(s). Each of the DLIR programs will be supported by contracted consultant services and in-house IT support staff (EDPSO). Consideration will be given first to unemployment applications and secondly to disability compensation systems.

Wages (QCEW) program information is extracted from Unemployment Insurance (UI) Tax System and Quarterly Wage Reporting System (QWRS).
• R&S information for Local Area Unemployment Statistics

(LAUS) and Mass Layoff Statistics (MLS) programs are extracted from Unemployment Insurance (UI) Benefit System.
• R&S information on employment and wages for employers

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 27 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

covered under Hawaii Unemployment.
• Insurance; monthly job count, hours and earnings survey

data; potential mass layoff events, and summary reports on unemployment insurance claims are provided to the Bureau of Labor Statistics (BLS) under Cooperative Agreement. The Disability Compensation Information System (DCIS) uses the following data or information that is external to its environment:

Table 27: Employment Rights and Benefits LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment: Agent Reporting System

Description

Cost

Notes

The Agent Reporting System gathers information from the Internet system. This information is used for such things as calculating insured unemployment rates by county and producing reports detailing the characteristics of unemployment insurance claimants.

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3)

Child Support Enforcement Intercept

The Child Support Enforcement Intercept gathers information which will be used by the Department of the Attorney General, Child Support Enforcement Agency (CSEA). The project cross matches the DLIR-UI Benefit Master file against a CSEA individual file. The extract information is written to an extract file which is used by CSEA. The system was designed as a vehicle to cross match social security numbers obtained from the Department of Human Services (DHS), Vocational Rehabilitation and Services for the Blind Division and matched to the Unemployment Insurance wage record and employment data bases.

One time DME: Pending Review Annual on-going O&M: Pending Review

Cross Match of DHS & UI Wage & Employment Data Base

One time DME: Pending Review Annual on-going O&M: Pending Review

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Table 27: Employment Rights and Benefits LOB Investment Initiatives

Name ES-202 Employment and Wages Program

Description The ES-202 is a federal and state cooperative program between the Department of Labor and Industrial Relations (DLIR) and the Federal Bureau of Labor Statistics. This system extracts base information from the Unemployment Insurance (UI) Contributions file and generates mandated Federal reports on UI-covered employment, wages, and contributions. The ES-203 system is a federally mandated program of the Research and Statistics Office of the Department of Labor and Industrial Relations (DLIR). This system extracts base information from the Unemployment Insurance (UI) Benefits system. The information is then used to produce tables used in reporting on the characteristics of the insured unemployed. The ETA-204 system is a federally mandated program of the Research and Statistics Office of the Department of Labor and Industrial Relations (DLIR). This system provides the Research and Statistics Office with various reports concerning employer information such as total taxable wages earned, taxes paid, benefit payments made, total covered employees, and the employer’s status. Also, reports showing employers categorized statewide by account number, industry code, and island are generated. This application is part of a nationwide network. The system was designed as a vehicle for participating states to transmit Interstate Benefits (IB) Internet data from one state to another.

Cost One time DME: Pending Review Annual on-going O&M: Pending Review

Notes Status: Move to Web App and Virtual Servers Priority: Medium (3) EA Compliance: Medium (3)

ES-203

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Web App and Virtual Servers Priority: Medium (3) EA Compliance: Medium (3)

ETA-204 Research and Statistics System

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Web App and Virtual Servers Priority: Medium (3) EA Compliance: Medium (3)

Interstate Benefit Internet

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3)

Unemployment Insurance Benefits

The Unemployment Insurance (UI) Benefits system is a fully integrated system featuring extensive on-line update and inquiry facilities. This system automates most of the tasks involved in keeping track of UI Benefit claims. The system is designed to allow complex on-line inquiries, as well as the editing and validation of data before updating the files. The Quarterly Wage Reporting System services the Unemployment Insurance (UI) Division of the Department of Labor and Industrial Relations. The primary function of this system is the capture and maintenance of employee quarterly wage data for use and distribution by the UI Benefit and UI Tax systems. Other functions include controlled distribution to other qualifying agencies, penalizing non-compliant employers, and providing summary data for statistical evaluations.

One time DME: Pending Review Annual on-going O&M: Pending Review

Unemployment Insurance Quarterly Wage System

One time DME: Pending Review Annual on-going O&M: Pending Review

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Name Unemployment Insurance Tax System

Description The Unemployment Insurance (UI) Tax System will maintain the UI employer data base, track the accounting and collection of UI taxes, penalize delinquent employers, assist in the tracking of audits, assist the auditors in their functions, and maintain statistics for Federal and State reports. http://hui.ehawaii.gov/hui/app/ (developed, supported, and hosted by HIC)

Cost One time DME: Pending Review Annual on-going O&M: Pending Review

Notes Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3) Status: Use As Is Priority: Medium (3) EA Compliance: Medium (3) Status: Use As Is Priority: Medium (2) EA Compliance: Medium (2) Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: High (1) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: Medium (3) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: Low (4) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: Low (4) EA Compliance: Medium (3)

Hawaii Unemployment Insurance Express (Quarterly Wage Reports)

One time DME: Pending Review Annual on-going O&M: Pending Review Annual on-going O&M: Pending Review

Department of Labor and Industrial Relations

hawaii.gov/dlir (hosted by ICSD)

State Employment Security Fund

Supported by ICSD. - State employee security fund. Unemployment Benefits

One time DME: Pending Review Annual on-going O&M: Pending Review

Federal Parent Locator

Supported by ICSD. Locating parents that are delinquent with child support

One time DME: Pending Review Annual on-going O&M: Pending Review

Unemployment Insurance Interactive Voice Response System

Front end system which allows users to request benefits via telephone. (AIX Server/Client)

One time DME: Pending Review Annual on-going O&M: Pending Review

Certificate of Age Registration System

Certificate of Age Registration System is operated from the director’s server and is a MySQL based program to take in requests and issue Child Labor Work Permits for minors ages 16 to 17

One time DME: Pending Review Annual on-going O&M: Pending Review

WSD Information Management System

WSD Information Management System is the division’s data base system for all hearings, wage investigations, child labor work permits for minors age 14 to 15 years old, and special minimum wage & payment of wages exceptions.

One time DME: Pending Review Annual on-going O&M: Pending Review

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Name Disability Compensation Lotus Notes DCDNet Program

Description The DCDNet program is a client-server program developed to utilize data from the Division’s mainframe program (DCIS) to manage the WC case and hearings systems, and to provide robust and responsive management reports. This system was developed in response to the division’s IT Master Plan (2002) to migrate off of the mainframe (DCIS). The Disability Compensation Information System (DCIS) is a mainframe application that maintains case, claimant, entity, insurance and employer information for the Workers’ Compensation (WC), Temporary Disability Insurance (TDI), and Prepaid Health Care (PHC) programs. The DCIS provides a full range of real-time update/query and batch reporting capabilities and shares an employer data base with the information processing systems of the Unemployment Insurance (UI) Division. Supported by ICSD. This application is part of a nationwide network. The system was designed as a vehicle for participating state and federal programs to transmit data to a national database. The system is based on Unix programming language, is text based only with no graphics, icons or color. Data can be retrieved either through the system or by accessing a website, http://www.osha.gov. The Local Area Unemployment Statistics Program (LAUS) is a federal and state cooperative program between the Department of Labor and Industrial Relations (DLIR) and the USDOL Bureau of Labor Statistics (BLS) to produce total unemployment estimates for the state, counties and islands. These systems extract claims information from the Unemployment Insurance (UI) Benefits system. The main applications used to process data are PROMIS (see below), LAUSOne, and Stars. LAUSOne and Stars are web-based systems. LSS-Plus is a pc-based system that is being discontinued and replaced by LAUSOne. PROMIS is a pc-based system that uses claims data extracted from UI Benefits system and formats it for input to the LAUS program LAUSOne system and the MLS program WinMLS system.

Cost One time DME: Pending Review Annual on-going O&M: Pending Review

Notes Status: Move to Web App and Virtual Servers Priority: Low (4) EA Compliance: Medium (3) Status: Move to Web App and Virtual Servers Priority: High (2) EA Compliance: Medium (3)

Disability Compensation System

One time DME: Pending Review Annual on-going O&M: Pending Review

Hawaii Occupational Safety and Health Division

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Web App and Virtual Servers Priority: Low (4) EA Compliance: Medium (3)

Local Area Unemployment Statistics

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Dashboard Analytics App Priority: Low (4) EA Compliance: Medium (3)

Program Management Information System

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Dashboard Analytics App Priority: Medium (3) EA Compliance: Medium (3) Status: Move to Dashboard Analytics App Priority: Medium (3) EA Compliance: Medium (3)

Mass Layoffs Statistics

The Mass Layoff Statistics Program (MLS) is a federal and state cooperative program between the Department of Labor and Industrial Relations (DLIR) and the USDOL Bureau of Labor Statistics (BLS) to produce data on mass layoffs. These systems extract claims information from the Unemployment Insurance (UI) Benefits system. The main applications used to process data are PROMIS (see below), WinMLS, MLSTRS and MLS-LTS. WinMLS

One time DME: Pending Review Annual on-going O&M: Pending Review

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Name

Description is a pc-based system and MLSTRS is an add-on application to WinMLS and MLS-LTS runs on a network server.

Cost

Notes

Alchemy Document Imaging and Management System

Alchemy is a pre-packaged software document imaging and management system used to reduce paper and manage document filing and retrieval.

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Dashboard Analytics App Priority: Medium (3) EA Compliance: Medium (3) Status: Move to Dashboard Analytics App Priority: Medium (3) EA Compliance: Medium (3) Status: Move to Dashboard Analytics App Priority: Medium (3) EA Compliance: Medium (3) Status: Move to Dashboard Analytics App Priority: Medium (3) EA Compliance: Medium (3)

Estimate Delivery System

The Estimate Delivery System utilizes data files from the SPAM output to produce customized employment and wage reports for the state, county, and support the ALMIS and Labor projection units.

One time DME: Pending Review Annual on-going O&M: Pending Review

Career Kokua, the Hawaii Career Information Delivery System

Career Kokua is the State’s statutorily authorized career information delivery system. It provides localized career and related educational information for career planning and career decision making. Career Kokua’s information and assessments are used by over 230 schools and agencies statewide. The Projections Suite software is used to generate both shortterm and long-term industry and occupational employment projections for the State and counties. It was developed through the PMP (Projections Managing Partnership) which is a partnership between the U.S. Department of Labor, Employment and Training Administration (ETA), the U.S. Department of Labor, Bureau of Labor Statistics (BLS), the National Association of State Workforce Agencies (NASWA), and the State Projections Consortium. The HIWI website provides labor market information for the State and counties which is utilized by employers, job seekers, career counselors, education providers, students, planners, and others. The web site is hosted by Geographic Solutions, Inc. (GSI)

One time DME: Pending Review Annual on-going O&M: Pending Review

Projections Suite

One time DME: Pending Review Annual on-going O&M: Pending Review

Hawaii Workforce Infonet

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Dashboard Analytics App Priority: Medium (3) EA Compliance: Medium (1) Status: Move to Web App & Virtual Servers Priority: Medium (3) EA Compliance: Medium (3)

Hawaii Directory of Green Employers

The Directory of Green Employers features information on local green employers. Employers themselves are able to post and update profiles that describe their operations, specify their core occupations, and describe the skills and education they want in employees. The web site is hosted by the Hawaii Information Consortium (HIC).

One time DME: Pending Review Annual on-going O&M: Pending Review

HireNet Hawaii

Capture all participant and employer data, produce federal, state, and local reports; develop and maintain job board with self-entry portals for employers and jobseekers.

Annual on-going O&M: Pending Review

Status: Use As Is Priority: Medium (3) EA Compliance: Medium (3)

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Name In Progress: OCS Contract Tracking System

Description

Cost

Notes

Services (DHS), Vocational Rehabilitation and Services for the Blind Division and matched to the Unemployment Insurance wage record and employment data bases.

One time DME: Pending Review Annual on-going O&M: Pending Review One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

Direct Deposit of UI Benefit Payments

Provide claimants with the option of having their UI benefit payments directly deposited into their bank accounts. This initiative will result in increased productivity, reduce fraud, and improve the timeliness of delivering benefit payments to its claimants. Estimated implementation is 9/30/2012.

Priority: High (1) EA Compliance: Medium (3)

UI Online Appeals Filing and Scheduling System

Provide claimants and employers with the option of filing their appeals online. The system will also include an appeals scheduling system. This initiative will result in increased productivity and improve the timeliness of completing appeal decisions. Estimated implementation is 3/31/2013. Provide agency staff with a desktop application, which is an enhanced version of the internet application that claimants use to file their initial claims. This initiative will improve the timeliness of delivering initial claims filing services to claimants who report in person or use the telephone to file their claims. Estimated implementation is 6/30/2012. This project initiative is designed to help reduce administrative cost by developing an HCRC Enforcement database that is connect through a Web-based application that will electronically collect, process, file, store, track, and create reports from information captured on complaint investigations. HIOSH’s Boiler/Elevator Section has started a Web-based application project that will be hosted and developed by Hawaii Information Consortium (HIC). The application is designed to provide B&E inspectors with the ability to post schedules of their upcoming inspections. The web-based application will simplify the process to request inspection, view possible findings and make it easy to access archival or historical data. The application will also provide the B&E section with the ability to levy fees for their inspections. The cost for the development and the hosting of the webbased application by HIC will be paid by the fees collected. Inspectors in the entire division, not just B&E Branch, will be able to use mobile devices such as a Macintosh iPads to document and offload the inspection information to a collection database.

One time DME: Pending Review Annual on-going O&M: v

Priority: High (1) EA Compliance: Medium (3)

Internet Initial Claims Desktop Application

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Low (5)

HCRC Electronic Filing and Document Storage

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

HIOSH (Hawaii Occupational Safety and Health) Boiler/ Elevator (B&E) Web Development

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 88

Name New: Electronic Low Earnings Report System

Description

Cost

Notes

Enable employers to file their weekly low earnings report online instead of having to complete and submit hardcopy reports which agency staff must data enter into our UI benefit system. The system will also notify employers who have not submitted their reports in a timely manner. This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants. Status: In the process of selecting a vendor via RFP. Enable agency staff to modify employer tax records to include partially transferring employer experience rate information and to assess penalties for violating employer reporting requirements. This initiative will result in increased staff productivity in administering the UI Tax laws. Status: In the process of acquiring the services of a vendor. Enable employer to submit their Separation Information online instead of having to complete and submit hardcopy reports that agency staff must review. This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants. Is designed to help reduce administrative and operational cost by developing a Collective Bargaining (CB) web-based application that will electronically collect, process, file, store, and track documents and also integrate with the Appellate Court’s JIMS and JEFS systems. This application will allow for electronic processing of complaints, decisions, orders and reports. Additionally, it will allow parties to file and receive documents including complaints, answers, motions replies, exhibits and to receive Board notices, decisions and orders and to review a trial and conference calendar. This project initiative will help HLRB to reduce administrative and travel cost to conduct hearings remotely using video conferencing and to digitally record the hearings. It will also enable non-Oahu employees to reduce their travel costs generated by filing a prohibited practice complaint and non-Oahu employees who are subpoenaed to testify before the Board. Safety, Health and Consultation & Training Branches have NCR/Informix database collection systems that are currently uploaded to a mainframe on the East Coast. This is an old system that is text based. During the new 2 -3 years the system will be migrating to a web application. The transition is being managed by OSHA, the Federal agency that partially funds the state program through grants. Computer requirements for the web application may or may not be compatible with State systems.

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

Unemployment Tax (SUTA) Dumping

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

State Information Data Exchange System (SIDES)

One time DME: Pending Review Annual on-going O&M: Pending Review

One time DME: Pending Review Annual on-going O&M: Pending Review

HLRB Electronic Filing and Document Storage

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

HLRB Video Conferencing and Digital Recordings

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

HIOSH Safety, Health and Consultation & Training Migration to Web-Based Application

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Medium (3)

89 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Name LIRAB Electronic filing and Document Storage

Description This project initiative is designed to help reduce administrative and operational cost by developing a Workers’ Compensation (WC) web-based application that will electronically collect, process, file, store, and track documents and integrate with the Appellate Court’s JIMS and JEFS systems and DCD (Disability Compensation Division). This application will also allow for electronic processing of claims, reports, and treatment denials or approval. Additional capabilities of the WC web-based application: Allow secure access for WC litigants to access trial and conference calendar and to view case files; and Capability to send text message reminders to WC litigants of upcoming conference and trials. The LED system is a partnership between the DLIR and the Census Bureau to produce quarterly workforce indicators for the counties in Hawaii, create maps and tabulations. The system extracts wage records from the UI Quarterly Wage Reporting System (QWRS).

Cost One time DME: Pending Review Annual on-going O&M: Pending Review

Notes Priority: High (1) EA Compliance: Medium (3)

Local Employment Dynamics

One time DME: Pending Review Annual on-going O&M: Pending Review

Status: Move to Dashboard Analytics App Priority: High (1) EA Compliance: Medium (1)

Workforce Longitudinal Data System

The WorLDS is a statewide longitudinal data system to provide greater information about the state’s workforce, education, and training. WorLDS will integrate data sets from within the DLIR, DHS, DOH, Public Safety, County Workforce Development Programs, and non-profit agencies. These data sets will also be integrated with the UH and DOE. The Construction Building Permits Database will collect data from all counties in the state to help with the inspection scheduling of construction sites. One time DME: Pending Review Annual on-going O&M: Pending Review One time DME: Pending Review Annual on-going O&M: Pending Review One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High (1) EA Compliance: Medium (3)

Construction Building Permits Database

iQ System

Quarterly Census of Employment and Wages (QCEW) program processing system will be updated from a mainframe application to a web-based system called iQ in summer 2013. The MLS-LTS provides an automated and standardized method of analyzing layoff events for longer-term impact of such dislocation on employment and wages. Hawaii is part of a pilot program developing this system for potential deployment of a nationwide system.

One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High (1) EA Compliance: Medium (3)

Mass Layoff Statistics – Longitudinal Tracking System

LOB Infrastructure: In Progress: Alternative Site for UI IVR and Internet Servers (In Progress) Relocate the UI IVR and Internet servers to the basement of the State Kalanimoku Building in order to eliminate a single point of failure for UI’s critical Internet and IVR claim filing systems in its current location in the Keelikolani building. This initiative will enable agency staff in remote offices to continue to process claims and tax information and enable claimants to continue to access critical unemployment claim filing and benefit payment services in the event of One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High (1) EA Compliance: Low (5)

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 90

Name

Description a power outage in the Keelikolani building. Estimated implementation is 12/31/2012. Estimated cost is “Pending Review.”

Cost One time DME: Pending Review Annual on-going O&M: Pending Review

Notes Priority: High (1) EA Compliance: Medium (3)

DCD Network and Data Migration

This is a network and data migration of the existing wide area network (WAN) to a virtualized platform WAN and upgrade of the Domino server and SQL applications. The purpose of this engagement is to provide comprehensive network and data migration of an existing WAN to a virtualized platform WAN and upgrade of its Domino Server and SQL applications. The Contractor will be replacing and upgrading the existing server environment for the State of Hawaii, Department of Labor and Industrial Relations, Disability Compensation Division (DLIR DCD). The current information technology environment is a client-server setup that primarily runs a Windows Server system, with adjunct Linux servers. Upgrading our server applications is critical as the DLIR DCD utilizes a proprietary Domino application that interfaces with Microsoft SQL and Lotus Enterprise Integrator. The new LAN/WAN system will be a Virtualization Platform, replacing all servers in the present setup. Contractor will be designing, specifying, configuring, testing, installing, documenting, training, and deploying the hardware components, utilizing Windows 2008 R2 Enterprise, Active Directory, virtualization software (VMware, vSphere 5), application software (Domino 8.5, SQL 2008 R2, Office 2010). The contracting will also be migrating existing data to a new environment and backup system. The DLIR DCD Domino/LEI application presently is running Domino 6.5 and LEI 6.5 on a Windows 2000 Advanced server platform and must be upgraded to the latest version, which are presently Domino 8.5 and LEI 8.5. The application is written in Lotus Script and uses its agents extensively. The Domino/LEI application database interfaces with a Microsoft SQL server using it as a back-end database. The Contractor will also be recommending and installing other new features that would be appropriate to expand or leverage Domino/ LEI capabilities.

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High (1) EA Compliance: Low (5)

DCD Replacement/Virtualization for Servers, Network Equipment, PC Client Equipment

This project is to replace the division’s PCs, Printers, Servers, and Network Switches with equipment that will create a virtual environment.

One time DME: Pending Review Annual on-going O&M: Pending Review One time DME: Pending Review Annual on-going O&M: Pending Review

One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High (1) EA Compliance: Medium (3)

WSD Workstations/ Server Upgrade

This project will replace existing aged workstations, laptops, and server to include the upgrading of existing Microsoft systems. It will also include the procurement of new types of IT equipment or hardware to support the daily office activities such as educational workshops, seminars, and meetings.

91 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Name WDD IT Equipment Updating

Description Desktops, laptops, network printers, servers, and other peripheral equipment will be replaced as they age and funds become available.

Cost One time DME: Pending Review Annual on-going O&M: Pending Review

Notes Priority: High (1) EA Compliance: Medium (3)

New: HIOSH Inspectors’ Desktop and Laptop Procurement The branch must also obtain 11 more desktop CPU computers or docking stations and plan to get laptops for inspectors. One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High (1) EA Compliance: Medium (3)

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 33 through Figure 35.

Figure 33: Employment Rights and Benefits Transition and Sequencing Plan Summary (1 of 3)

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 92

Figure 34: Employment Rights and Benefits Transition and Sequencing Plan Summary (2 of 3)

Figure 35: Employment Rights and Benefits Transition and Sequencing Plan Summary (3 of 3)

93 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

A.1.15 EDUCATION
The mission for the Department of Education is for all public school graduates to:
• Realize their individual goals and aspirations;

• Possess the attitudes, knowledge, and skills necessary to

contribute positively and compete in a global society;
• Exercise the rights and responsibilities of citizenship; and • Pursue post-secondary education and/or careers

Table 28: Education LOB Business Services

LOB: Education Service Name Primary, Secondary Education

Service Definition

The provision of facilities, teachers, curriculum, and supplies to educate children in grades Kindergarten to 12th grade The provision of facilities, teachers, curriculum, and supplies to educate people in vocational trades and crafts. Promotes the education of the adults, including both earned and unearned benefit programs.

Vocational Education

Continuing Education

A.1.15.1 FUTURE STATE VISION FOR EDUCATION
The future vision for the Education LOB is to apply state-of-theart technology to the fullest extent to accomplish the following critical business objectives and to address current state issues.
• To begin to use SharePoint beyond it simply being used to it

by the Governor; the last appointment was May 2011.) so as to optimally support the education and management of Hawai`i’s school system. Hawaii’s school system is unique among the states and serves more than 178,000 students (255 regular schools, two special schools, and 31 charter schools). Hawai`i’s school system is approximately the tenth largest school system in the nation.
• Hawai`i’s state Board of Education formulates policy for the

being maximized for collaboration and reporting/coordination for Race to the Top. As well as to effectively implemented Kronos as a time and attendance solution and has created a payroll module to feed the ICSD payroll application.
• The DOE collects comprehensive metrics and feedback from

their Centralized Support Desk on services provided. The DOE uses a balanced score card approach to measure performance against strategic plan targets and to be able to hit the targets and performance measures outlined.
• OITS uses Solar Wind’s Orion Network Management System

public schools and state library system. DOE is treated almost independently in that they do their own building and grounds maintenance (not DAGS Central Services); they also do their own procurement functions with only some oversight from the Office of Procurement.
• For DOE to build a new data center in the cafeteria of an old

to monitor traffic in the Wide Area Network (WAN). To have a fully implemented and functioning BMC Remedy system for used along with Atrium Configuration Management Data Base (CMDB), which is part of BMC’s Remedy system, was purchased but not fully implemented.
• Centralizing on Cisco equipment as well as effectively

elementary school that has space available for ICSD to use as an alternate site (Phase 1 will house 2,000 to 3,000 square feet with Phase 2 expandable to 5,000 square feet). With a DOE CIO has advisory council of key CIOs in the public and private sectors that meets monthly to review plans and strategies and to provide their opinions and recommendations.
• A seamless teaming relationship between DOE and UH

implementing video conferencing between schools to maximize teaching talent and student-to-teacher ratios.
• Two data centers (one primary and one backup; McKinley

has and continues to improve both organizations. DOE is looking closely at UH Google Mail and Apps deployment as a model for them. Along with the Superintendent is extremely engaged and involved in IT governance/ direction setting within the Department. The future state solutions architecture is depicted in Figure 36 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

High School is the backup, and the primary is in the DOE Building on Miller Street), plus ICSD and space within a third-party data center.
• The superintendent or CEO is appointed/hired by the

interface architecture

Board of Education (BOE). (The BOE is now appointed

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 94

• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB

services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 36: Education Future State Solutions Architecture

INFORMATION EXCHANGES
• UH – graduates from DOE as Federal grant partners. • Other critical interfaces are with the Department of Human

A.15.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR EDUCATION
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

Services (DHS) and Department of Health (DOH) to be able to understand a child’s holistic environment and better serve the student to achieve goal One. (This interface is not as robust as it should be.)
• Department of Hawai`i Homelands (DHHL) from a cultural

basis relative to DHHL’s mission.
• Other critical interfaces on the non-mission side are with the

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 29 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.
Enterprise Architecture | Appendix A

Department of Business, Economic Development, and Tourism to understand changes to community environments.
• Budget and Finance from a budgeting perspective. • DAGS and its Office of Accounting (FAMIS, payroll, warrants)

and to some extent the Office of Procurement.
• Office of Hawaiian Affairs.

95 | State of Hawaii Business and IT/IRM Transformation Plan

The implementation roadmap should include:
• Longitudinal Data Enterprise Solution

• New financial system, specifically an ERP solution, is on top

of the DOE list (leveraging Gartner Study from 2009 and upgrading the specifications).
• Building out a new primary data center. • Organization is pursuing a form of electronic signatures via

– DOE and UH working a longitudinal solution (e.g., DOE, UH). Multiple organizations must provide information/files in order to ensure accurate and complete longitudinal reporting as required by Federal grants. Assess how to more effectively collect longitudinal information in an automated manner from a truly enterprise perspective.

two pilot projects.
• Organization is pursuing a form of electronic signatures via

two pilot projects.

Table 29: Education LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment: T-SEAS Substitute Teacher System

Description

Cost

Notes

SubstituteTeacher Finder/Call-Out System based on priority lists -Owned by HR

Annual O&M: Pending Review

Use-As-Is Priority: 5 EA Compliance: 5

PDE3 Professional Development System

Course Registration and Tracking for Professional Development (Subscription License including license usage, hosting, and maintenance/enhancements. Supports race to the top initiatives. Transaction system for student enrollment, demographics, attendance, grading, report cards, etc. (Replacement strategy will replace as part of an integrated Instructional Improvement System (IIS)) Integrates student data from multiple student information systems in use at DOE regular schools and charter schools. Transaction Case Management System for all student support services and interventions. (Replacement strategy will replace as part of an integrated Instructional Improvement System (IIS)) System for classroom teachers to develop and deliver formative assessments based on standard assessment item banks. (Replacement strategy will replace as part of an integrated Instructional Improvement System (IIS)) Statewide high stakes annual student assessments (What do the students know?) Replaced strategy : DOE is part of the National Smarter Balanced Consortium which is developing a common assessment content and delivery platform that Hawaii will adopt. Collects and stores on-going data for students, employees, financial information, facilities, etc. and provides analytics and dashboard/business intelligence.

Annual O&M: Pending Review

Enhancement Priority: 1 EA Compliance: 3

Student Information System (eSIS)

One-time DME: Pending Review Annual O&M: Pending Review Pending Review

Replace Priority: 1 EA Compliance: 3

Statewide Student Enrollment System (SSES) Electronic Comprehensive Student Support System (eCSSS)

Use-As-Is Priority: 1 EA Compliance: 3 One-time DME: Pending Review Annual O&M: Pending Review Replace Priority: 1 EA Compliance: 3

One-time DME: Pending Review Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review

Data for School Improvement System (DSI)

Hawaii State Assessment

Replace Priority: 1 EA Compliance: 3

Data Warehouse/Longitudinal Data System

Annual O&M: Pending Review

Upgrade Priority: 1 EA Compliance: 3

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 96

Name e-HR

Description Human Resource Management System for certificated (teachers & principals) classified, support services personnel (Replaced eventually with State’s future ERP system) On-line purchasing, payments, fixed assets, cash receipts, and DOE general ledger accounting system. (DB2)

Cost Annual O&M: Pending Review

Notes Replace with DOE ERP Priority: 1 EA Compliance: 3 Replace with DOE ERP Priority: 4 EA Compliance: 3

Financial Management System (FMS)

One-time DME: Pending Review Annual O&M: Pending Review See DOE ERP. Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review

Budget Execution and Preparation System

Budget Execution and Preparation System (Replacement cost included in DOE10)

See DOE ERP. Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review Replace Priority: 4 EA Compliance: 3 Use-As-Is Priority: Pending Review EA Compliance: Pending Review

Financial Reporting System (FRS)

Data from financial and budgeting systems are populated in a DOE data-warehouse. This is modern technology that will be a bolt on to a new ERP.

Lotus Notes

Provides email, central workflow, school newsletters, lunch counts, etc. Facilities maintenance and build project management system

Maximo

In Progress: SIF-Operational Data Store School Interoperability Framework compliant ODS/Enterprise Service bus One-time DME: Pending Review Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: One-time DME: Pending Review Annual O&M: Pending Review Pending Review Priority: 1 EA Compliance: 3

DOE Enterprise Portal

DOE Enterprise Portal WEB based site structure for internal and external communications. (Race to the top funding)

Priority: 1 EA Compliance: 3

1DOE Identity Management/ Single Sign-On

Implementation single sign on and identity access management for all core DOE data systems

Priority: 1 EA Compliance: 3

Electronic Signature

Organization is pursuing a form of electronic signatures via two pilot projects The Superintendent has just launched a data governance council.

Priority: 1 EA Compliance: 3 Estimated Labor by hours and loaded rate

Data Governance Council

Annual O&M: Pending Review

New: Longitudinal Data Enterprise Solution DOE and UH working a longitudinal solution (e.g., DOE, UH). Multiple organizations must provide information/files in order to ensure accurate and complete longitudinal reporting as required by Federal grants. Assess how to more effectively collect longitudinal information in an automated manner from a truly enterprise perspective. One-time DME: Pending Review Annual O&M: Pending Review Priority: 1 EA Compliance: 3

97 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A

Name Financial Management System

Description New financial system, specifically an ERP solution, is on top of the DOE list (leveraging Gartner Study from 2009 and upgrading the specifications)

Cost One-time DME: Pending Review Annual O&M: Pending Review

Notes Priority: 1 EA Compliance: 3

LOB Infrastructure In Progress: School Networking Upgrading the network in every school over the next 3 years – 3 schools per month (wireless is also part of the equation) Priority: 1 EA Compliance: 3

New: Data Center Building out a new primary data center One-time DME: Pending Review Priority: 1 EA Compliance: 3

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 37. The following items should be considered by the enterprise for the future state initiatives:
• FMS – current financial system (interfaces via FTP transmittals

• Educational Focused Systems: DSI (Learning Management),

eSIS (Student Information Management), eCSSS (Student Case Management), FMS (ERP Financials and Procurement) and K-12 LDS (Longitudinal Data Analysis)
• Maximo for facilities repair and capital dollar tracking • Replacement of E-HR system to recruit and hire teachers,

to FAMIS and Payroll)

aides, and administrators

Figure 37: Education Transition and Sequencing Plan Summary

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 98

A.1.16 HIGHER EDUCATION
The primary mission of the University is to provide environments in which faculty,

staff and students can discover, examine critically, preserve and transmit the knowledge, wisdom, and values that will help ensure the survival of present and

future generations with improvement in the quality of life.

Table 30: Higher Education LOB Business Services

LOB: Higher Education Service Name Higher Education – Educational Capital

Service Definition

Increase the educational capital of the State through the provision of education and training beyond the secondary level including community college through graduate and professional programs for degrees, certificates and lifelong learning Increase the role and impact of research and innovation in expanding and diversifying the state’s economy and addressing the challenges that face Hawaii today

Higher Education – Economic Development

A.1.16.1 FUTURE STATE VISION FOR HIGHER EDUCATION
Hawaii’s citizens have a high level of educational attainment, our workforce is globally competitive, and research drives our economy and provides solutions to our communities’ challenges.
• Innovative technologies for teaching and learning (UH

• New building being built for IT organization. • UH has constitutional autonomy.

INFORMATION EXCHANGES
State Government: Department of Accounting & General Services Information and Communication Services Division Budget and Finance Research Corp of the University of Hawaii Department of Human Resources Development Department of Labor and Industrial Relations Employees Retirement System Department of Attorney General-Child Support Enforcement Agency Federal Government: Various federal agencies depending on multiple funded research projects Private Sector: Various financial institutions Other: Various universities

focus area).
• Uses real-time web conferencing (Adobe Connect Pro); also

has conventional H.323 videoconferencing.
• Has VoIP (Avaya). • Has WiFi authentication service for laptops, smart

phones, PDAs.
• Establishing an advanced broadband capability. • ICSD does their payroll and DHRD helps with

miscellaneous hiring.
• Dr. Greenwood created the President’s Advisory Council on

Hawai`i Innovation and Technology Advancement.
• Key research university with involvement in High Performance

Computing and Internet2.
• Dr. Lassner chairs the Business Process Committee (BPC)

at UH: – Meets once a month; canceled if no agenda items. – In existence for six years. – Members: CFO, Budget, HR, Controller, VP Admin, Disbursing, and IT. – Right level of authority and representation to make actionable decisions. – http://www.Hawaii.edu/bpc/.
99 | State of Hawaii Business and IT/IRM Transformation Plan

A.1.16.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR HIGHER EDUCATION
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

Enterprise Architecture | Appendix A

INITIATIVES
The initiatives are structured to address the following key needs:
• Cloud: moving to Google for email and calendaring for 80,000

• IT-enablement of research “big data:” high-performance

computing; data visualization; analytics; support of economic development; suite of technologies and interactive distance learning. FY13/14
• 100% hit rate on ARRA broadband grants: faster connections

students, faculty, and staff; working to shut down current email system later this year; students moved to Google mail in February 2011.
• Financial system: Java, web-based; switching to new system

to mainland and now connecting schools, libraries and UH sites on all islands at gigabit speeds and- need to check with DOE and library for counting purpose FY13
• Security: Information security program has implemented

July 1, 2012; Kuali is the new system which is open source and web-enabled; already used by Michigan St., Cornell, Colorado St., USC, and the University of Arizona. Significant enhancements slated for upcoming FY13.
• Research administration: The Kuali Research Administration

training, server registration, scanning and remediation for identified risks.
• Document imaging is on the future plan.

system (Coeus) was implemented in November 2012. Interface with the financial Kuali towards the end of FY13/14.
• Web enablement initiatives: get applications off the

The needed initiatives for both LOB solutions and infrastructure are outlined in Table 31 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

mainframe including leave accrual; 100% hit rate on grants and delivering on those, especially with broadband; information security. Redesigning system wide portal to include mobile access FY13/14
• Data governance: System wide data governance effort

underway within the University/ coordinates with DOE Data Governance FY13. Table 31: Higher Education LOB Investment Initiatives

Name LOB Solutions: In Progress: e-Mail Migration

Description

Cost

Notes

The University is moving to Google for email and calendaring for 80,000 students, faculty, and staff; working to shut down current email system later this year; students moved to Google mail in February 2011 with the rest of the University moving in late FY13 Java, web-based; switching to new system July 1, 2012; Kuali is the new system which is open source and webenabled; already used by Michigan St., Cornell, Colorado St., USC, and the University of Arizona. The Kuali Research Administration system (Coeus).

Pending Review

Google higher education offering

Financial Management System

Pending Review

Labor participation in Kuali

Research Administration

Pending Review

Labor participation in Kuali Labor

Data Governance

System wide data governance effort underway within the University also coordinates with DOE Data Governance

Pending Review

New: Web Enablement Initiative Migration of web applications off the mainframe including leave accrual. Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 100

Name Document Imaging LOB Infrastructure: In Progress: ARRA Broadband Grant

Description Document imaging capability for the University

Cost Pending Review

Notes

Faster connections to mainland and now connecting schools, libraries and UH sites on all islands at gigabit speeds. Information security program has implemented training, server registration, scanning and remediation for identified risks ongoing. Pending Review Labor

Cyber Security

New: Big Data IT-enablement of research “big data:” high-performance computing; data visualization; analytics; support of economic development; suite of technologies and interactive distance learning. Pending Review Industry number

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 38. The following items should be considered by the enterprise for the future state initiatives:
• Cloud: moving to Google for email and calendaring for 80,000

• Data governance: System wide data governance effort

underway within the University/coordinates with DOE Data Governance FY13, labor
• IT-enablement of research “big data:” high-performance

students, faculty, and staff; working to shut down current email system later this year; students moved to Google mail in February 2011.
• Financial system: Java, web-based; switching to new system

computing; data visualization; analytics; support of economic development; suite of technologies and interactive distance learning.FY13/14.
• 100% hit rate on ARRA broadband grants: faster connections

July 1, 2012; Kuali is the new system which is open source and web-enabled; already used by Michigan St., Cornell, Colorado St., USC, and the University of Arizona. Significant enhancements slated for upcoming FY13.
• Research administration: The Kuali Research Administration

to mainland and now connecting schools, libraries and UH sites on all islands at gigabit speeds and- need to check with DOE and library for counting purpose FY13.
• Security: Information security program has implemented

training, server registration, scanning and remediation for identified risks ongoing 3FTE +1.
• Document imaging is on the future plan.

system (Coeus) was implemented in November 2012. Interface with the financial Kuali towards the end of FY13/14.
• Web enablement initiatives: get applications off the mainframe

including leave accrual; 100% hit rate on grants and delivering on those, especially with broadband; information security. Redesigning system wide portal to include mobile access FY13/14.

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Figure 38: Higher Education Transition and Sequencing Plan Summary

A.1.17 PUBLIC HEALTH
The Public Health LOB strives to eliminate disparities and improve health of all groups throughout the state. This LOB provides direct services to “at risk” population and other community groups, as well as, providing supporting services related to Health. This LOB is moving

from a reactive focus (driven largely by federal funding) to a more strategic approach for all of its business services. The table below describes each of the business services provided by the LOB. Note: DOH has developed additional details on its business and information management solutions for public health

and environmental management in the DOH Business Services and Data Systems Service Oriented Architecture (SOA) Diagrams and the Public Health Domain Matrix for IT Systems and Initiatives. These documents are provided in the Supplemental Addendum links at the end of this section.

Table 32: Public Health LOB Business Services

LOB: Public Health Service Name Health Systems Planning and Development

Service Definition

• Develops and maintains strategic planning for health systems, planning, development and implementation • Adult Mental Health Services: Provides a comprehensive, integrated mental health system supporting the recovery of adults with severe mental illness both, inpatient and outpatient. • Child & Adolescent Mental Health Services: Provides mental health services to children and youth through a system of care that includes both school-based services provided by the Department of Education (DOE) and an array of more intensive mental health services contracted by the Department of Health (DOH) Child and Adolescent Mental Health Division (CAMHD).

Health Services for at Risk Underinsured Populations

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LOB: Public Health Service Name

Service Definition

• Developmental Disability Services: Planning, coordinating, monitoring, evaluating, advocating, and reporting on behalf of individuals with DD; engages in advocacy, capacity-building, and systems change activities to improve system of care for DD individuals. • Developmental Disability Services: Planning, coordinating, monitoring, evaluating, advocating, and reporting on behalf of individuals with DD; engages in advocacy, capacity-building, and systems change activities to improve system of care for DD individuals. • Alcohol & Drug Abuse Prevention Services: Provides the leadership necessary for the development and delivery of quality substance abuse prevention, intervention and treatment services for the residents of the State of Hawaii. • Dental Health Services: Develops public policy to help assure adequate access to basic dental care and through the development and implementation of early detection, disease prevention and treatment programs targeting high risk populations. • Public Health Nursing Services: Administers the public health nursing services through the Public Health Nursing Sections, statewide. The staff is made up of Public Health Nurses, who are Registered Nurses, Licensed Practical Nurses, Para-medical Assistants, and Health Aides in the public schools, and clerical support staff. • Family Women and Children Service: Reduces health disparities for women, children, and families of Hawaii. Programs provide core public health services which include: assurance activities through contract monitoring; systems development through mobilizing community partnerships and coalitions; monitoring health status, service delivery and utilization; and developing strategies to improve health status • Women Infant Child and Nutrition Services: Provides Hawaii residents with nourishing supplemental foods, nutrition education, breastfeeding promotion and health and social service referrals through the federally funded Special Supplemental Nutrition Program for Women, Infants and Children (WIC). Participants of WIC are either pregnant, breastfeeding, or postpartum women, and infants and children under age five who meet income guidelines and have a medical or nutritional risk. Safeguards the health of low-income women, infants and children ages 1-4 who are at nutritional risk; provides supplemental food, nutrition education and referral to health care and other social services. • TB/STD/Aids Hansen (Screening/Registry): Monitors the number of cases of tuberculosis and Hansen’s disease, and other transmittable diseases (such as STDs and AIDS). • Primary Care in Rural Health: Coordinates local, state and federal resources to improve primary care service delivery and workforce availability to meet the needs of underserved populations. Monitoring Health Events and Health Forecasting • Epidemiological Services: Provides epidemiological profiles for substance abuse prevention. • Vital Records Registry: Maintains Vital Records. Issues marriage, birth, death certificates, and civil unions. • Health Surveillance: Health Case Management - Assists people with developmental disabilities and/or intellectual disabilities, and their families or guardians by tracking cases. Health Related Quality Assurance and Control • Emergency Medical Services: Minimizes death, injury, and disability due to life threatening situations by assuring the availability of high quality emergency medical care through the development of a system capable of providing coordinated emergency medical and health services.

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LOB: Public Health Service Name

Service Definition

• Licensing / Accreditation and Certification • DCAB - American with Disabilities Act (ADA) Support • EOA – Elderly • SHPDA - Service Delivery • OEQC – Environmental Impact • OHCA – Health Care Facilities • Community Relations: Facilitates community coalition building and partnership mobilization with volunteer organizations. Emergency Preparedness and Response • All Hazards: Monitor and respond to hazards. • Disease Outbreak Control: Works together to monitor, investigate, prevent, and control infectious diseases in Hawaii, especially those preventable through immunizations, and to ensure Hawaii’s ability to respond to emergencies that threaten the public’s health; works to strengthen the relationships between the Department of Health and other partners including laboratories, hospitals, schools, emergency response agencies, private organizations, and the military. – Disease Surveillance: conducts investigation, surveillance, prevention, and control of general communicable diseases of public health importance. Monitors incoming disease reports for occurrence of unusual or rare diseases, disease clusters, and outbreaks in the community. – Immunization: Provides immunizations for qualifying children; those with no health insurance, have Medicaid or QUEST, or those whose health insurance does NOT pay for childhood immunizations, or your child is American Indian or Alaska Native, your child may qualify to receive free/low cost shots through the Vaccines for Children (VFC) Program. Health Promotion and Chronic Disease Prevention • Chronic Disease: Chronic disease Prevention, management and control services that focus on risk areas of nutrition, physical activity and tobacco; chronic disease areas of asthma, cancer, diabetes, heart disease and stroke; conducts public health surveillance, data analysis and programmatic evaluation. • Injury Prevention and Control: Provides statewide leadership in preventing death and disability associated with injuries in Hawai‘i. This is accomplished by educating, supporting and mobilizing individuals and organizations to incorporate comprehensive injury prevention strategies in their on-going efforts. • Healthy Lifestyle: Educate and promote healthy lifestyles (Healthy Hawaii Initiative). • Behavioral Risk Reduction: Provide services to assist in the care of children with Special Health Care Needs. Children with Special Health Care Needs are children who have or are at risk for chronic physical, developmental, behavioral, or emotional conditions and require health and related services beyond that required by children generally.

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A.1.17.1 FUTURE STATE VISION FOR PUBLIC HEALTH
The future state vision for Public Health needs to correct the following problems:
• liminate duplication of data in disparate databases E • liminate duplication of functions within applications E • liminate or reduce the manual efforts to generate paper E

where applicable; Need to migrate toward more Web 3.0 applications/services especially for public facing applications
• Using integrated strategy regarding Microsoft Exchange,

SharePoint, and Office; upgrading and maintaining software to the latest levels.
• Increased use of video conferencing and facilitate increased

reports and interim files for distribution by manually generated emails to other departments in the state
• liminate or reduce the replication of databases in E

external locations
• educe the manual implementation of generating and R

use of video streams where appropriate to increase frequency of mental health services while reducing travel cost especially in remote areas: for example, Behavioral Health is developing/ piloting TeleHealth using telepresence to provide psychiatrists in group therapy; catalyst for sharing to provide care for kids in Special Ed
• Providing an interface point for Electronic Medical Records

forwarding federally required, periodic reports
• educe overall risk to the state in terms of disaster recovery R

and protection of personally identifiable information (PII) used on a daily basis. The IT needs for managerial, clinical, case workers, providers within the Public Health LOB envision aggressive use of EMR initiatives and the enterprise infrastructure to play a major role in meeting the state’s goals for health transformation. The Health Information Systems Office (HISO) is working with the DOH Director’s Committee and the Department Executive Committee to ensure a shared vision for how IT can support their mission and that IT is moving forward to improve the technical infrastructure, SOA, systems, network, and the end user access. This includes:
• Standards-based enterprise architecture • SOA and web services deployed and continue to migrate to

(EMR) especially Client EMR; creating information exchange capability by providing a single point of entry to Public Health from and to related LOBs as well as approved external organizations such as, HHIE.
• Migrate to Electronic Bank Transfer (EBT) especially for WIC

services and migrate to a web-enabled approach.
• Integrate social media into public information dissemination/

education with assigned staff to maintain the information and keep it current
• Increase use of video and audio files to share information. • Enhance Vital Records to ensure that organizations within the

state are notified upon death and other changes in vital status as appropriate
• Use of SharePoint (underway) to increase collaboration and

and improve the SOA vision defined for Public Health
• DOH stores and utilizes personally identifiable information (PII)

document sharing/tracking, documentation management.; increase user-developed applications that can leverage the capability of SharePoint
• Expand the use of server virtualization • Investigate Cloud solutions for some services; explore

on a daily basis, likelihood of breaches; DOH has information assurance/security policies in place that are well-documented (based on HIPPA guidelines). (See DOH Security Policies and Procedures.) (HISO is sharing these policies and procedures with other Departments); need to continue to improve and enforce security and privacy protections.
• Improve project management, tracking and oversight of 206

replacing HISO bank of servers in the Cloud
• Work with Hawai`i Broadband Initiative to migrate DOH frame

relay sites to high-speed connections
• Begin strategic move to paperless environment and automate

Agency contractors and more than 10,000 vendors
• Need DR for all critical applications and services; DOH has

document workflow and tracking.
• Improve intranet; improve outlying offices’ connectivity • Upgrade Department website • Cell phone consolidation • Incorporate enterprise social networking policies, procedures,

replication sites but not a formal disaster recovery plan; DOH relies on real-time data to perform critical tasks that have farreaching implications for the public
• Approximately 50% of the Department’s applications

are COTS; would like to increase this number and lessen customization
• Microsoft ASP .NET is the primary development environment

and training to facilitate appropriate use of social networking (e.g., Facebook, Twitter, YouTube) The future state solutions architecture is depicted in Figure 39 below. Two key features of this solution include:

and Oracle ADF is secondary. SharePoint is also used as a portal framework and development environment

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• “Hawai`i Anywhere” common web and mobile user

interface architecture.
• “Everything as a Service” common solutions framework that

“services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

facilitates application assembly through reusing application

Figure 39: Public Health Future State Solutions Architecture

INFORMATION EXCHANGES
• Critical interfaces with organizations

– Federal: CDC, HRSA, DOE, ACF, SAMSHA, CMS, USDA, FEMA, EPA, FDA, and the Army Corps of Engineers – Private: HI Primary Care Assoc., HI Disease Surveillance Assoc. of Hospitals, Health/Human Service Organizations, HI Medical Assoc., Papaolokahi Child Care Centers, Substance Abuse Treatment |Coalition, and the Mental Health Assoc. of Hawai`i – Non-profits: Hawai’i Health Information Exchange (HHIE), Hawai’i Health Systems Corporation (HHSC).
• Systems that interface with other

and stakeholders is broad and farreaching; encompasses coalitions, working groups, businesses, non-profits and others making up the health care community, environmental protection, and human services safety net. Interfaces include: – State: Human Services, Public Safety, Education, Defense, DLNR, DAGS, B&F, DHRD, HHSC, DHHL, SCD, UH/ JABSOM, SPH, DOA, DBEDT, and the DOT. –City and County: Kauai, Maui, Hawai`i, Honolulu: Emergency preparedness and emergency response

– Client Tracking: Medicare/Medicaid reimbursement from DHS assists HI State Hospital with understanding treatments/needs of people. – Immunization Records: School entrance requirements. – Need increased access to data: – Hospital and community health data – Insurance/claims data – County-level data – DOE student data – DHS Medicaid and child welfare data.

State agencies: – Vital Records: tracks births, marriages, and deaths.

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• Other important interfaces:

– Program accomplishments/success stories, best practices, and case studies – Current/future sponsored conferences, speaker sessions, trainings, public meetings and events – Employee dialog and views on public health initiatives.

providing useful data to support public health professionals, the community and health agencies to become more effective in the application of health data. – One of the most successful data sharing initiatives in the State – opportunity to establish as a pattern for broader adoption.
• Syndromic Reporting

A.1.17.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR PUBLIC HEALTH
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

– Data mining and real time analysis of cases reported across Hawaii medical facilities for early warning and health response.
• Public Health Social Media Applications

– Integrate social media into public information dissemination/education
• Vital Records

INITIATIVES
The initiatives for Public Health strive toward the Strategic Vision for this LOB outlined in the Department of Health Strategic Plan (need to get correct reference). The initiatives support the following objectives:
• Health IT

– Provide increased automation and data sharing with other LOBs; especially automatic notifications of deaths to all applicable systems – Electronic Verification of Vital Events (EVVE); HI is one of eight states participating in the national initiative. The needed initiatives for LOB solutions are outlined in Table 33 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

– Health information technology initiative to improve the quality and efficiency of health care through electronic health record (EHR), in alignment with Federal Patient Protection and Affordable Care Act. Opportunity to establish and leverage enterprise application integration capabilities.
• Hawai`i Health Data Warehouse

– Strategic initiative to standardize the collection and management of Hawai`i’s health data; dedicated to

Table 33: Public Health LOB Investment Initiatives

Name LOB Solutions: In Progress: MAVEN

Description

Cost

Notes

Replace PHS3 as the Disease Surveillance System

DME: Pending Review O&M: Pending Review/year DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review over next 3 years (Pending Review/year)

Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High

ELR

Replace Current Electronic Lab Reporting

Hawaii Immunization Registry (HIR)

Increase participation in Hawaii Immunization Registry and modify system to conform to CDC new requirements

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Name Behavioral Health Management Information System (BHMIS/AVATAR/ ECURA) Child Adolescent Mental Health Information System (CAMHIS) eVista WEB Information for Treatment Service (WITS)

Description Upgrade electronic medical records system to an EMR certified version

Cost DME: Pending Review O&M: Pending Review

Notes Priority: High EA Compliance: Medium High

Upgrade electronic medical records system to an EMR certified version

DME: Pending Review O&M: Pending Review/year

Priority: High EA Compliance: Medium High Priority: High EA Compliance: Medium High Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: Medium to Medium High

Implement WITS to be in compliance with Federal Funding Requirements

DME: Pending Review O&M: Pending Review

TB Screening / Registry (TIMS/TBMIS) Vital Statistics System (VSS)

Replace DOS based system with a WEB based system

DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review O&M: Pending Review

Upgrade client server based system to web based and virtualize servers General support for existing applications

Production Alignment

New: HIEAMHD Health Information Exchange interface for DOH Electronic Medical Record for AVATAR Health Information Exchange interface for DOH Electronic Medical Record for eVista Syndromic Surveillance Information Exchange for Meaningful Use Electronic Lab Reporting Information Exchange for Meaningful Use Immunization information exchange for Meaningful Use DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review/year Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High

HIECAMHD

HHESS

HIEELR

HIEHIR

WICEBT

WIC System Replacement to a Web Based one with Electronic Benefit Transfer Capabilities Socio-ecological Assessment System using the Hawaii Health Data Warehouse Mobile Apps for reporting Health irregularities

HEQSYS

Mobile Apps

LYNC Integration

Integrate and Implement LYNC capabilities with MS Exchange and SharePoint

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Name eBirth

Description Upgrade eBirth Application

Cost DME: Pending Review O&M: Pending Review/year

Notes Priority: High EA Compliance: High

LOB Infrastructure: In Progress: None Known New: None Known

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 40 through Figure 42. In addition, Public Health LOB solutions have critical needs for the following new Enterprise-wide Solutions:

• Enterprise Mission Support Services – Case Management • Enterprise Common Services - Collaboration tools (e.g.

SharePoint and Workflow tools) and Analytics
• Enterprise Data Management Services – Data definition and

Data warehouse services

Figure 40: Public Transition and Sequencing Plan Summary (1 of 3)

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Figure 41: Public Transition and Sequencing Plan Summary (2 of 3)

Figure 42: Public Transition and Sequencing Plan Summary (3 of 3)

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A.1.18 ENVIRONMENTAL HEALTH MANAGEMENT
The mission for Environmental Health Management is to protect and improve the environment for all people in the State of Hawaii. The strategic goal of this LOB is to create social and physical environments that promote and support good health.

Note: DOH has developed additional details on its business and information management solutions for public health and environmental management in the DOH Business Services and Data Systems Service Oriented Architecture (SOA) Diagrams and the Public Health Domain Matrix for IT Systems and Initiatives.

Table 34: Environmental Health Management LOB Business Services

LOB: Environmental Management Service Name Air/Water (Clean, Safe Drinking, Waste) Solid (Hazardous, Waste) Monitoring

Service Definition

Protects the environment, workplace, air, food and water. Provides consumer protection, hazardous material and solid waste management, risk surveillance which includes Clear Air, Clean Water, Safe Drinking Water, Waste Water, and Solid Hazardous Waste. Conducts laboratory testing in support of environmental and public health programs statewide. Provides consultation, licensing, and other related laboratory services focused on environmental health and communicable disease control provided to various federal, state, city, county, and private organizations; also, conducts research, laboratory science investigations, and participates in emergency response efforts such as bioterrorism preparedness and monitoring air quality effects of volcanic activity. Works with agency such as the EPA to determine compliance with Clean Air and Clean Water Acts and to request variances as appropriate; Provides compliance tracking and enforcement of EPA standards. Includes: • Regulatory Enforcement: Assists small businesses to overcome the hurdles they face in their efforts to succeed in business while following environmental regulations. • Hazard Evaluation & Response Services: Provides leadership, support, and partnership in preventing, planning for, responding to, and enforcing environmental laws relating to releases or threats of releases of hazardous substances.

Public Health Laboratory

Variance Permitting

Environmental Health Services Permitting / Inspection & Compliant Tracking / Enforcement

Protects the environment, workplace, air, food, and water. Provides consumer protection, hazardous material and solid waste management, risk surveillance which includes Food and Drug, Noise Radiation Indoor Air, Sanitation, and Vector Control. Includes: • Food and Drug • Sanitation • Vector Control • Noise Radiation • Indoor Air Permitting • Inspection & Compliant Tracking • Enforcement

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A.1.18.1 FUTURE STATE VISION FOR ENVIRONMENTAL MANAGEMENT
The future state vision needs to factor in the following considerations:
• Standards-based enterprise architecture • SOA and web services deployed • Lack of DR for all critical applications and services • Relies on real-time data to perform critical tasks that have

Expand/facilitate SharePoint initiatives; Continue to build on the SharePoint intranet portal; Continue to leverage features that promote document sharing and collaboration; More user-developed applications that can leverage the capability of SharePoint.
• Expand the use of server virtualization • Investigate Cloud solutions for some services; explore

replacing HISO bank of servers in the Cloud
• Work with Hawai`i Broadband Initiative to migrate frame relay

sites to high-speed connections
• Begin strategic move to paperless environment and automate

far-reaching implications for the public
• Microsoft ASP .NET is the primary development

document workflow and tracking.
• Improve intranet; improve outlying offices’ connectivity • Upgrade Department website. • Cell phone consolidation. • Facilitate increased use of video streams • Create social networking policies, procedures, and training

environment and Oracle ADF is secondary. SharePoint is also used as a portal framework and development environment where applicable.
• Using integrated strategy regarding Microsoft Exchange,

SharePoint, and Office
• OITS uses SolarWinds’ Orion Network Management System

(e.g., Facebook, Twitter, YouTube) The future state solutions architecture is depicted in Figure 39 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user interface

to monitor traffic in the WAN
• Permits and Licensing: ePermitting System soon to

be released.
• Complaints Tracking, Compliance Enforcement. • Integrate social media into public information dissemination/

architecture
• “Everything as a Service” common solutions framework that

education with assigned staff to keep information current
• Increase use of video and audio files to share information. • Use of SharePoint (underway) to increase collaboration and

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

document sharing/tracking, documentation management;

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Figure 43: Environmental Health Management Future State Solutions Architecture

INFORMATION EXCHANGES
• Critical interfaces with organizations and stakeholders is broad

• Increased access to data: – Hospital and community health data. – County-level data. – Program accomplishments/success stories, best practices, and case studies. – Current/future sponsored conferences, speaker sessions, trainings, public meetings and events. – Employee dialog and views on public health initiatives.

and far-reaching; encompasses coalitions, working groups, businesses, non-profits and others making up the health care community, environmental protection, and human services safety net. Interfaces include: – State: Human Services, Public Safety, Education, Defense, DLNR, DAGS, B&F, DHRD, HHSC, DHHL, SCD, UH/JABSOM, SPH, DOA, DBEDT, and the DOT. – City and County: Kauai, Maui, Hawai`i, Honolulu: Emergency preparedness and emergency response. – Federal: CDC, HRSA, DOE, ACF, SAMSHA, CMS, USDA, FEMA, EPA, FDA, and the Army Corps of Engineers. – Private: HI Primary Care Assoc., HI Disease Surveillance Assoc. of Hospitals, Health/Human Service Organizations, HI Medical Assoc., Papaolokahi Child Care Centers, Substance Abuse Treatment Coalition, and the Mental Health Assoc. of Hawai`i.

A.1.18.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR ENVIRONMENTAL MANAGEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

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INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 35 below.

Table 35: Public Health LOB Investment Initiatives

Name LOB Solutions: In Progress: Air Monitoring Reporting System

Description

Cost

Notes

Capture air quality data for statewide reporting of air quality. (Air Data Management System (ADMS)) Public Health Domain: Environmental Health Monitoring and Reporting Provides online permit & licensing applications

O&M: Pending Review

Priority: High EA Compliance: High

ePermitting System

DME: Pending Review O&M: Pending Review DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: High Priority: High EA Compliance: High

Hawaii Environmental Information Exchange (HEIX)

EPA exchange network allowing the exchange of Hawaii a regulated environmental data with EPA and other states. Public Health Domain: Environmental Health Monitoring and Reporting Profile of every environmental interest in Hawaii from facilities to sites with special viewer for water quality and safe drinking water. Public Health Domain: Environmental Health Monitoring and Reporting Add environmental sample testing into this laboratory management information system Food establishment Inspection and complaint tracking

Hawaii Environmental Health Warehouse (HEHW)

O&M: Pending Review/ year

Priority: High EA Compliance: High

Starlims Environmental Lab Testing Inspection and Complaint Tracking System Water Pollution Control System (WPC)

DME: Pending Review O&M: Pending Review O&M: Pending Review

Priority: High EA Compliance: High Priority: High EA Compliance: High Priority: High EA Compliance: High

Application to manage Pollutant elimination systems and Water Quality Certification including permit complaints, inspections, and enforcement processing. Manages the process of testing analyzing and reporting drinking water quality throughout the State’s water testing points A reference library data base of every environmental impact statement in Hawaii. Public Health Domain: Permits and Licensing Food establishment Inspection and complaint tracking

O&M: Pending Review year

Safe Drinking Water Information System

O&M: Pending Review year

Priority: High EA Compliance: High

Environmental Impact Statement (EIS)

O&M: Pending Review year

Priority: High EA Compliance: High

Inspection and Complaint Tracking System New: Complaints Tracking and Compliance Enforcement of Environmental Variances

O&M: Pending Review year

Priority: High EA Compliance: High

DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: High

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Name Hazardous Evaluation and Emergency Response Information Systems LOB Solutions: In Progress: Clean Air Branch Management Information Systems Upgrade to the Environmental Health Data Warehouse to implement a public facing version of the existing EHDW Safe Drinking Water Information System phase II - Sample collection and Reservation System LOB Infrastructure: In Progress: None Known New: None Known

Description

Cost DME: Pending Review O&M: Pending Review

Notes Priority: High EA Compliance: High

DME: Pending Review O&M: Pending Review/ year DME: Pending Review O&M: Pending Review/ year

Priority: High EA Compliance: High Priority: High EA Compliance: High

DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: High

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing initiatives is depicted below in Figure 2.

Figure 44: Environmental Health Management Transition & Sequencing Plan Summary (1 of 2)

Figure 45: Environmental Health Management Transition & Sequencing Plan Summary (2 of 2)

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A.1.19 AGRICULTURE
Agriculture line of business works to support, enhance, and promote Hawai`i’s agriculture and aquaculture industries and is responsible for animal quarantine, plant, and pest control, and are a resource for travel and shipping information. The business services are described in the table below. Table 36: Agriculture LOB Services

LOB: Agriculture Service Name Plant Quarantine and Importation Control

Service Definition

Protects agricultural industries, natural resources, and the public of Hawai`i from the entry and establishment of detrimental plants, animals, insects, weeds, and other pests through inspections and certification programs. Also, provides service for fee inspections for the seed industry. The service involves field and seed inspections to preserve genetic purity and identity. Protects the public and animal population from potentially serious health problems associated with the introduction and spread of rabies and other agents through its Animal Quarantine program. Prevent, detect, diagnose, control and eradicate livestock and aquaculture diseases in order to promote the health and economic well-being, marketing and export of Hawai`i’s livestock, poultry and aquaculture industries and their products. Surveillance for regulatory diseases is conducted routinely to identify diseases which constitute a threat to the State’s animal industries and public health. Reviews brand applications and approves brands after determining that the brand is not the same or similar to others that are registered and provides book of brands. Branding continues to be the most practical and approved means by which cattle ownership is determined. Administers the Agricultural Loan Program and the Aquaculture Loan Program to promote agricultural and aquacultural development of the State by providing credit at reasonable rates and terms to qualifying individuals or entities. Through the establishment of a revolving loan fund, credit is made available by supplementing private lender sector loan funds or by providing direct funding. Provides assistance in the marketing of quality agricultural commodities through local, domestic and international programs and activities, promotes the economic viability of commercial agriculture in Hawai`i by sponsoring joint marketing programs for agricultural products with high revenue growth potentials. Administers the Seal of Quality program. • Looks after the interests of the consumer by inspecting and grading commodities in wholesale and retail establishments assisting in the marketing of quality agricultural commodities and promotion of fair trade and honest business practices. Assists in the development of agricultural industries through quality assurance of agricultural commodities; licensing of dealers in agricultural products; and milk producer price and quota control to maintain stability within the dairy industry. • Assures accuracy of measurement, packaging, labeling and pricing of commercial goods to prevent unfair practice. Works to minimize losses to both the buyer and seller in transactions of goods or services based on a measurement process or quality standards enforced by the Measurement Standards Branch such as “Made in Hawaii” products, scales, gasoline, taximeters,. Octane levels, and pricing at grocery stores.

Animal Quarantine and Importation Control

Animal Health

Brand Registration

Financial Assistance – Agricultural Loan

Agricultural Development

Quality Assurance Commodities and Measurement Standards

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LOB: Agriculture Service Name Plant Pest Control

Service Definition

Eradicates, contains, or controls pests of plants which could cause significant economic damage to agriculture, our environment, and quality of life. This is achieved through statewide programs using chemical, mechanical, biological, and integrated control measures to eradicate or control plant pests, including insects and mites, mollusks, weeds, and plant pathogens. Regulates the manufacture, sale, and use of pesticides in the State of Hawaii Regulates to ensure safety and availability of important pesticides. Charged with preserving land and water resources to sustaining agricultural operations and ensure the viability of Hawai`i’s diversified agricultural industry. Operates the State’s Agricultural and Non-Agricultural Park Lands Program and the State’s Irrigation Systems to assist people who are interested in leasing land for farming ventures by providing reasonably priced farmland and agricultural water to encourage competition within the industry. There are currently over 1,000 parcels of leaseable land and/or parcels receiving irrigation water. Facilitates and coordinates the development and expansion of Hawaii’s agricultural industry by directly participating in the shift from plantation-based production and infrastructure to a multi-farm/multi-crop industry.

Pesticides

Agricultural Resource Management

Agribusiness Development

A.1.19.1 FUTURE STATE VISION FOR AGRICULTURE
The following represents the foundational elements for the Agriculture LOB future state:
• Provide better tools to enable the IT staff for this LOB to

• Implement and facilitate collaboration to participate more

efficiently in research (pesticides, insect identification, etc.) with the University of Hawai`i.
• Improve Business processes and use technology to reduce

work seamlessly with ICSD, contractors (under maintenance contracts), and other IT staff in other Departments increase efficiency of IT support
• Implement new technologies effectively to enable access to

the amount of paper used and provide more efficient use of storage and retrieval.
• The DOA would like to implement online submittal of forms

agriculture services to a wide diversity of people across the state. One example is how to provide access for poor farmers.
• Enable common internal business functions and remove

and payments similar to DCCA. Programs. Areas that would benefit include Animal Quarantine (quarantine fees) and Plant Quarantine (permits and inspections). Currently, only the Animal Quarantine Branch accepts credit card payments.
• The DOA is very interested in adopting a system used in CA

variation in the processes from division to division.
• Facilitate more private sector/businesses that are industry

because it tracks produce statistically; food safety is Federally mandated so a process must be developed; Invicta is working toward this.
• Foster and facilitate the vision to lessen HI’s dependence

partners with them to co-develop solutions.
• Need more inspection facilities; sometimes producers wait too

long to get an inspection.
• Improve web development and phase out Plone – the tool that

is used to manage the State’s websites (difficult to use and they get a lot complaints about it).
• Develop more efficient ways to reduce the manpower required

on imports, UH/College of Tropical Agriculture and Human Resources (CTAHR) have been tasked with developing a statistical analysis of imports and the economy. People want to buy locally grown produce, but farmers have to make money or it won’t work.
• Transfer ARMIS accounts to DLNR’s SLIMS. HDOA user

to check scanners and scales in stores to see if correct pricing, correct labeling, and product measurements/weights are accurate.
• Facilitate more efficient ways to calibrate scales, taxi meters,

accounts were setup and training was conducted but work to establish customer accounts was not done. SLIMS is more comprehensive and will improve land management and inventory of State’s land.

and gas pumps.

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• Develop more public-facing web applications to get

• Introduce and expand the use of AutoCad and GIS capability

information out to the community (e.g. farmers markets, product available, agricultural regulations) and better web management; currently treated like an afterthought.
• Investigate and implement Cloud solutions for some services. • Expand the use of server virtualization. • Need failover for all applications supporting critical services

to help improve irrigation, dams, reservoirs, etc.
• Introduce use of social media such as, Facebook and Twitter.

The future state solutions architecture is depicted in Figure 46 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user interface

architecture
• “Everything as a Service” common solutions framework that

such as, food safety inspections.
• Enable receipt and processing of online payments for existing

applications.
• Increase use of mobile technologies and strategies for the

inspectors in the field.

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 46: Agriculture LOB Future State Solutions Architecture

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INFORMATION EXCHANGES
• Agriculture interfaces with Federal government agencies

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 37 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

especially USDA and provides a number of reports to them.
• Agriculture interfaces with Federal government agencies

especially USDA and provides a number of reports to them.
• Agriculture interfaces with Land and Natural Resources

A.1.19.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR AGRICULTURE
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

Table 37: Agriculture LOB Investment Initiatives

Name LOB Solutions: In Progress: Invicta

Description

Cost

Notes

The Invicta system supports the agricultural permit and inspection process in the State of Hawaii. Logs inspection results, allows online access to permits conditions and provides statistics to assist administrators in monitoring daily activities. (.net) A Food Safety RFID pilot system that is currently operational at Armstrong Produce; tracks food temperature.

Annual O&M: Pending Review

Priority: Medium EA Compliance: Medium-High

ColdChain

Annual O&M: Pending Review

Priority: Medium EA Compliance: Medium Priority: Medium EA Compliance: Medium Priority: Medium EA Compliance: Medium Priority: Medium EA Compliance: Medium Priority: Medium EA Compliance: Medium Priority: Medium EA Compliance: Medium

Department of Agriculture

hawaii.gov/hdoa Plone; Hosted by ICSD; [email protected]

Annual O&M: Pending Review

Pesticides Registrations (PESTREG)

Registration processing of pesticides in Hawaii.

Annual O&M: Pending Review

Dealer Licensing

Processing of Dealer licensing for Commodities.

Annual O&M: Pending Review

Brand Database

Compilation of registered livestock brands mandated by law. Generates Brand Book with brand images and index. Report published to the web. Compiles data generated from tests performed at the Veterinary Laboratory.

Annual O&M: Pending Review

Veterinary Laboratory Information System

Annual O&M: Pending Review

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Name Hawaii Agricultural Food and Products Database

Description Searchable database of producers, wholesalers of Hawaii’s food and products. (Created by ICSD from HDOA’s Access Database) Inventory records uploaded from DAGS and allows inventory managers to indicate users, location and/or actions regarding an item. Keeps track and saves telecom requests and disposal requests submitted to DAGS.

Cost Annual O&M: Pending Review

Notes Priority: Medium EA Compliance: Medium Priority: Medium EA Compliance: Medium Priority: Medium EA Compliance: Medium

HDOA Inventory

Annual O&M: Pending Review

HDOA Property Management

Annual O&M: Pending Review

New: Agriculture Resource Management Information System (ARMIS) Customer information and accounting for Ag park and irrigation systems. Updates payments and prints invoices. Databases include Waimea Irrigation, Honokaa/Paauilo Farms, Honokaa/Paauilo Livestock, Molokai Irrigation, Non-Ag Parks, Ag Parks, Waimanalo Irrigation. Customer information and accounting for ag park and irrigation systems. Databases include Ag Loan General, General Fund Emergency Loans, Kauai Task Force Loans, North Kohala Loan & Grant, Hawaii Ag Products, Aquaculture, Act 19 Sugar Loan, and Special. Individual Pet/owner information and accounting for the Animal Quarantine Station. Databases incl. Animal entry information, Quarantine Operations, Accounts Receivable, animal veterinary qualification data for quarantine programs (incl. vaccination, rabies). ASO APPX Applications Conversion and Enhancement One-time DME: Pending Review Annual O&M: Pending Review Priority: Medium EA Compliance: Medium-High

Agricultural Loan Management System (ALA)

One-time DME: Pending Review Annual O&M: Pending Review

Priority: Medium EA Compliance: Medium-High

Animal Quarantine Information System (AQSIS)

One-time DME: Pending Review Annual O&M: Pending Review

Priority: Medium EA Compliance: Medium-High

ASO APPX

One-time DME: Pending Review Annual O&M: Pending Review One-time DME: Pending Review Annual O&M: Pending Review

Priority: Medium EA Compliance: Medium-High

WINWAM

Weights and Measurements application to monitor Taxi Meters, track and license devices. (APPX Client/Linux Server) COTS: WinWam/Datahouse

Priority: Medium EA Compliance: Medium-High

LOB Infrastructure: In Progress: Agriculture LAN Conversion Conversion from Novell/Linux to Microsoft AD One-time DME: Pending Review Annual O&M: Pending Review Priority: High EA Compliance: High

New: None

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 47 through Error! Reference source not found.. In addition, Agriculture LOB solutions have critical

needs for the following new Enterprise-wide Solutions:
• GIS • Mobile technology • Computer aided Design tool

• Web 3.0 capability • Cloud solution • Social Media Policies and access • Training (current training for IT staff

ends in 2014)

Figure 47: Agriculture Transition and Sequencing Plan Summary

Table 38: Land and Natural Resources LOB Services

LOB: Land and Natural Resources Service Name Boating and Ocean Recreation

Service Definition

Registers vessels, trailer stickers, commercial boating permits, and event permits. Vessel registration system, accounts receivable system. Processes Conservation Land Use Applications, enforces violations of uses in conservation district (usually by contested case now starting Civil Resource Violation System). Approximately 2 million acres falls into the conservation district, not all of it is State lands and not all State lands are conservation either. Responds to administrative penalties as enforcement officers for State lands. Enforcement Management Information System, utilizes DLNR radio system.

Conservation & Coastal Land Services

Conservation and Resources Enforcement

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LOB: Land and Natural Resources Service Name Aquatic Resources

Service Definition

Manages three programs: (1) Commercial Fishery and Resources Enhancement, (2) Aquatic Resources and Environmental Protection, and (3) Recreational Fishery. Issues commercial fishing licenses, freshwater fishing license, aquarium collection permits, various other collecting permits, and receives commercial catch reports. Manages 5 major program areas: (1) Forestry, (2) Wildlife, (3) Native Ecosystems Management, (4) the Na Ala Hele Trail system, and (5) Fire management. Management jurisdiction includes approximately, 1,000,000 acres of Forest Reserves, Wildlife Sanctuaries, Game Management Areas, and Natural Area Reserves and approximately 1,000,000 acres of private lands in watersheds partnerships. In addition, has regulatory jurisdiction and authority statewide for the protection of terrestrial wildlife and endangered plants. For these services, issues commercial trail permits, NARS and Forest Reserves access permits, collecting permits, Habitat Conservation Plans, Forestry support services (CREP, etc.), Forest Reserve camping permits, wildlife sanctuary permits, land acquisition, legacy land program grants, support services for watershed partnerships. Manages 3 major program areas: (1) Architecture, (2) Archaeology, and (3) History and Culture. Responsible for reviewing approximately 6,000 projects annually with the potential to affect a historic resource. Also keeps a register of historic properties, inventory, and surveys, public library (all need to be available electronically to the public.) GIS, intake system. Manages 1.3 million acres of state lands, database is critical to keep track of leases, E.O.s to other departments, etc. Also processes lease applications, beach wedding applications, and shoreline certifications (working with OCCL). Also serves as an office of record dating back to the Great Mahele of 1848. Surveys state lands to keep accurate records for land management. Land Information Management System, Land trust information system Manages 3 programs (1) Water and Land Development, (2) Mineral Resources development, and (3) Prevention of Natural Disasters. The Water and Land Development program is responsible to update the State Water Projects Plan as required under the State Water Code (Chapter 174C, HRS) and provides administrative support to the 16 soil and water conservation districts. The Mineral Resources program is responsible for the effective management of geothermal resources. The Prevention of Natural Disasters administers programs for Dam Safety, National Flood Insurance (NFIP), and General Flood Control. The Engineering division also coordinates CIP with the divisions and contractors. Records property transactions, and public records. The Bureau of Conveyance is the States sole recording office for deeds, mortgages, assignments, modifications, notices of lien, releases of lien, uniform commercial code financing statements, security agreements, judgments and decrees from courts, military discharge papers (DD-214), Federal and State tax liens, child support enforcement liens, satisfactions and releases of such liens. The Bureau staff examines, records, indexes and digitizes Regular System and Land Court documents and maps; issues Land Court Certificates of Title; certifies copies of matters of record; and researches uniform commercial code information. Records an average of 370,000 documents per year. Records system Manages the State Parks system; includes 67 state parks and other areas of responsibilities that encompass nearly 34,000 acres ranging from landscaped grounds with parking areas, rest rooms and other developed facilities to wild land areas and cultural sites with only trails and primitive facilities. Issues permits to individuals for recreation use includes camping permits, group gathering permits, photography/film permits, in some cases access is by permit only (e.g. Kaawaloa at Kealakekua Bay). Also, issues concession contracts/permits for commercial uses. Parks reservation system.
Enterprise Architecture | Appendix A

Forestry & Wildlife Management

Historic Preservation Services

Land Management Services

Natural Development Engineering Services

Bureau of Conveyances Property Records

State Parks Services

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LOB: Land and Natural Resources Service Name Water Resource Management

Service Definition

Protects, conserves and enhances the water resources of the State through wise and responsible management and provides for the maximum beneficial use of water by present and future generations. Performs data collection, inventory, assessments and long term planning and regulates and protects water resources by responding to petitions for new and manage water use in existing designated water management areas, issues permits for well construction, pump installation, water use, stream channel alterations, and stream diversion works statewide, and investigating complaints and violations. Water management reporting system.

NOTE: Land Survey Services was removed from the Land and Natural Resources LOB due to organizational alignment issues. All the business services above are within DLNR, and the Land Survey Services business service is in DAGS. The potential overlap of common land management functionality resulting in duplicative and non-interoperable information system investments should lead to greater cooperation and coordination across these two related areas.

implement systems currently in development; meet FCC radio requirements for narrow banding; increase the network bandwidth for remote offices; and develop the geographic information system to provide greater management capabilities and services to the public. The future state solutions architecture is depicted in Figure 48 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

A.1.20.1 FUTURE STATE VISION FOR LAND AND NATURAL RESOURCES
Technology services will continue to coordinate the computerization of departmental business functions;

interface architecture.
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 48: Land and Natural Resources Future State Solutions Architecture State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix A | 124

INFORMATION EXCHANGES
Receives and provides information to the public and government agencies.

• Establishing FCC narrowbanding

• Under development/recently deployed:

compliance for DLNR’s radio system; used to provide enforcement to the State’s natural resources.
• DLNR uses GIS for program decision

A.1.20.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR LAND AND NATURAL RESOURCES
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

making, participated in the statewide strategic planning process for enterprise GIS and OIMT’s working group and plans to develop GIS interfaces to DLNR databases as well as mobile technologies.
• DLNR uses HIC for a variety of

Bureau of Conveyances’ electronic recordation and management system; Boating’s accounts receivable system; Conservation and Resources Enforcement’s electronic management information system; Water Resources’ well reporting system; Public land trust information system.
• Provide data replication through

virtualization and storage area networks.
• A new initiative is to acquire in-house

INITIATIVES
• Utilizes DRFortress as a disaster

transaction-based web applications providing online services to the public; HIC receives a portion of the collected fee and is also paid by DLNR; HIC has created more than 10 systems for DLNR.
• Systems development projects in

business analysts and application. developers. The needed initiatives for both LOB solutions and infrastructure are outlined in Table 39 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

recovery off-site location. The second stage consists of developing a business continuity structure that will create a network system for backup and remote accessibility utilizing replication and virtualization services in an effort toward real-time data retrieval.
• Implemented a Polycom HDx8000

progress for enhanced automation of division programs.
• Improve the network infrastructure

in the areas of bandwidth, services, and security. There are more than 40 remote sites using DSL; upgrading to an Ethernet solution to increase work productivity.
• Expand the Civil Resource Violation

statewide video conferencing system including the RMX2000 bridge, which serves as a backup to ICSD’s bridging capabilities. In the process of expanding video conferencing sites on the neighbor islands.

System to improve compliance with State laws and rules protecting Hawai`i’s natural resources, in support of the Office of Civil Compliance.

Table 39: Land and Natural Resources LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment: Payroll Database DLNR

Description

Cost

Notes

Fiscal backend database, monitors payroll funding source / DLNR

One-time DME: (in ERP) On-going annual O&M: Pending Review One-time DME: (in ERP) On-going annual O&M: Pending Review

Status: Replace with ERP EA Compliance: 1 Priority: 1 Status: Replace with ERP EA Compliance: 1 Priority: 1

Automated Revenue Accounting System

ICSD

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Name Time and Leave System for DLNR

Description Lotus Notes leave reporting system / ICSD

Cost One-time DME: (in ERP) On-going annual O&M:Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review

Notes Status: Replace with ERP EA Compliance: 1 Priority: 1 Status: Use As Is EA Compliance: 3 Priority: 3

Recreational Freshwater Game Fishing License

Online freshwater fishing license. https://www.ehawaii.gov/ dlnr/fish/exe/fresh_main_page.cgi. (developed, supported, and hosted by HIC)

Commercial Fisheries Licenses & Permits

Online commercial fishing license. https://dlnr.ehawaii.gov/ cmls-fr/app/license-search.html. (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Conveyance Recording

Land recording. Every land Real Estate Transaction is recorded via this application. https://boc.ehawaii.gov/ landlink. (developed, supported, and hosted by HIC. )

Status: Use As Is EA Compliance: 3 Priority: 3

Conveyance Documents Search & Order

Online land title records search and ordering. https://boc. ehawaii.gov/docsearch/nameSearch.html. (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Uniform Commercial Code Recording

Online UCC financing statement recording. https://boc. ehawaii.gov/ucc-recording/index.html. (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Vessel Registration

Online vessel renewals. http://vessel.ehawaii.gov. (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Civil Resource Violation System

Online citation or case status / HIC - Very Large. Integrate department’s permits and licensing systems with Civil Resource Violation System.

Status: Use As Is EA Compliance: 3 Priority: 3

Well permit applications & forms

Online water resource forms / DLNR

Status: Use As Is – Web page EA Compliance: 3 Priority: 3 Status: Use As Is EA Compliance: 3 Priority: 3

Hunter Education Student & Exceptions Database

Conservation and Resources Enforcement backend database Hunter Ed course, ID, FW use / DLNR

FEMA Flood Designation

Engineering, public properties with GIS to reduce future flood risks in hazard areas / DLNR

Status: Use As Is EA Compliance: 3

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Name

Description

Cost On-going annual O&M: Pending Review

Notes Priority: 1

NFIP: National Flood Insurance program

Engineering assessment tool for plain management of Federal, State & local flood regulations, ordinances and a newsletter / DLNR

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 1

NaAlaHele Commercial Hiking Permits

Online trail and access system. http://hawaiitrails.org. (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Reports to City Tax Office

Additions, deletions, changes to encumbrances on State land / DLNR - Older Oracle database and report generation application. Tied to SLIMS

Status: Replace EA Compliance: 3 Priority: 1

Appropriation Ledger

This batch system produces monthly fiscal reports for DLNR from tapes produced by FAMIS. The system provides Operating Fund and CIP reports on expenditures, appropriations, allotments, & encumbrances by division cost center and project levels / DLNR https://boc.ehawaii.gov/LandShark. (developed, supported, and hosted by HIC)

Status: Replace with ERP EA Compliance: 3 Priority: 1

BOC Subscriber Services

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 3

Commercial Marine Licensing System

http://dlnr.ehawaii.gov/cmls (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Online Hunting Licenses

http://hunting.ehawaii.gov (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Land Use Permits

http://dlnr.ehawaii.gov/permits (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Land Use Permits

http://dlnr.ehawaii.gov/permits (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

Statewide Camping Reservation System

https://camping.ehawaii.gov/camping/welcome.html (developed, supported, and hosted by HIC)

Status: Use As Is EA Compliance: 3 Priority: 3

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Name Department of Land and Natural Resources

Description www6.hawaii.gov/dlnr (hosted by ICSD)

Cost One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Notes Status: Use As Is EA Compliance: 3 Priority: 3

Commission on Water Resource Management

hawaii.gov/dlnr/cwrm. (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Division of Boating and Ocean Recreation

hawaii.gov/dlnr/dbor. (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Division of Forestry & Wildlife

www6.hawaii.gov/dlnr/dofaw. (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Historic Preservation Division

hawaii.gov/dlnr/hpd. (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Maui Forest Bird Recovery Project

www6.hawaii.gov/dlnr/mfbp. (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Office of Conservation and Coastal Lands

www6.hawaii.gov/dlnr/occl. (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Office of Conservation and Coastal Lands

www6.hawaii.gov/dlnr/occl. (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Registration Index System Land Court System DLNR Legislative Tracking System

Not used - Retired Not used - Retired “The Department of Land and Natural Resources (DLNR) Legislative Tracking System is based on the Department of Business Economic Development and Tourism (DBEDT) Lotus Notes Legislative Tracking System / ICSD Supported by ICSD. One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review Status: Use As Is EA Compliance: 3 Priority: 3

FAMIS Vendor Database

Status: Replace with ERP

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Name

Description

Cost On-going annual O&M: Pending Review

Notes EA Compliance: 3 Priority: 1 Status: Use As Is EA Compliance: 3 Priority: 3

Correspondence Log DLNR

Tracks all correspondence via the Chairperson’s Office / DLNR

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Track Referrals, Activities, and Correspondence for DLNR

“The Track Referrals, Activities, & Correspondence (TRAC) system monitors items requiring a response, records various activities within the organization, and logs notices received/ sent / ICSD

Status: Replace with Central Legislative Tracking System EA Compliance: 3 Priority: 3 Status: Use As Is EA Compliance: 3 Priority: 3

Accounts Receivable System

Boating commercial licensing and fees for small boat harbors / HIC In-Progress - Automate Boaters Fees and Licensing for payment on-line. See Harbor Pro/BARS.

One-time DME: Pending Review On-going annual O&M: Pending Review

In Progress: Enforcement Management Information System Conservation and Resources Enforcement System / DLNR One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review EA Compliance: 3 Priority: 1

Harbor Pro/ BARS

http://dobor.ehawaii.gov (developed, supported, and hosted by HIC)

EA Compliance: 3 Priority: 1

Enforcement Management Information System

Systems development projects in progress for enhanced automation of division programs. Enforcement IMS, Water Resources Well Reporting, and HIC Web Based applications Expand the Civil Resource Violation System to improve compliance with State laws and rules protecting Hawai`i’s natural resources, in support of the Office of Civil Compliance. HIC Supported - Need to add additional HIC applications to the Violation System Under development/recently deployed: Bureau of Conveyances’ electronic recordation and management system; Boating’s accounts receivable system; Conservation and Resources Enforcement’s electronic management information system

EA Compliance: 3 Priority: 1

Civil Resource Violation System

EA Compliance: 3 Priority: 1

Electronic Recordation Management System

One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Move to Web App EA Compliance: 3 Priority: 3

New: DLNR GIS DLNR uses GIS for program decision making, participated in the statewide strategic planning process for enterprise GIS and OIMT’s working group and plans to develop One-time DME: Pending Review On-going annual O&M: Pending Review Status: Use As Is EA Compliance: 3 Priority: 1

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Name

Description GIS interfaces to DLNR databases as well as mobile technologies.

Cost

Notes Status: Use As Is EA Compliance: 3 Priority: 1

Land Trust IMS

Public Land Trust IMS

One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 1

LOB Infrastructure: In Progress: DNLR Disaster Recovery Utilizes DRFortress as a disaster recovery off-site location. The second stage consists of developing a business continuity structure that will create a network system for backup and remote accessibility utilizing replication and virtualization services in an effort toward real-time data retrieval. Implemented a Polycom HDx8000 statewide video conferencing system including the RMX2000 bridge, which serves as a backup to ICSD’s bridging capabilities. In the process of expanding video conferencing sites on the neighbor islands. Establishing FCC narrowbanding compliance for DLNR’s radio system; used to provide enforcement to the State’s natural resources. One-time DME: Pending Review On-going annual O&M: Pending Review EA Compliance: 3 Priority: 1

Video Conferencing

One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: 3 Priority: 1

DLNR Radio System

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: 3 Priority: 1

Network Infrastructure Upgrade

Improve the network infrastructure in the areas of bandwidth, services, and security. There are more than 40 remote sites using DSL; upgrading to an Ethernet solution to increase work productivity. Provide data replication through virtualization and storage area networks

EA Compliance: 3 Priority: 1

Data Visualization System

EA Compliance: 3 Priority: 1

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TRANSITION AND SEQUENCING
The first 10 initiatives above are in various stages of its lifecycle and are funded. Funding is needed for the initiative to acquire in-house business analysts and application developers. The plan for future state transition and sequencing of initiatives is depicted below in Figure 13 through Figure 49.

Figure 49: Land and Natural Resources Transition and Sequencing Plan Summary (1 of 3)

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Figure 50: Land and Natural Resources Transition and Sequencing Plan Summary (2 of 3)

Figure 51: Land and Natural Resources Transition and Sequencing Plan Summary (3 of 3)

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A.1.21 HAWAIIAN HOME LANDS
The Hawaiian Home Lands LOB manages the Hawaiian Home Lands trust effectively and develops and delivers lands to native Hawaiians.

Table 40: Hawaiian Home Lands LOB Services

LOB: Hawaiian Home Lands Service Name Development & Demographic Research & Planning

Service Definition

Conducts research and planning studies in DHHL program development. Provides for review and updating of the DHHL General Plan. Produces master plans for the development of planned communities and subdivisions. Develops and administers approved pilot projects. Conducts studies to compile and evaluate data about native Hawaiians, including demographics, needs, as well as current and future trends and developments affecting beneficiaries and their communities. Compiles and disseminates information on DHHL resources, including, but not limited to, land, water, minerals, archaeological and historic sites, and other resources. Manages the list of people eligible for DHHL programs. Strive to move as many Hawaiians off the list as possible. Important component is functioning of Hawaiian Homes Commission. Oversight body that sets policy, a judicial body making decisions on awards and cancellations, and approves contracts. Managing the Commissions data is an important need. Development of Hawaiian home lands for homesteading and income-producing purposes. Maintains DHHL grounds, common areas, buildings and facilities, roads, and other public works. Provides lease life cycle management for Hawaiian Home Lands. Recommends actions relating to surrender, transfer, cancellation, and designation of successors to homestead leases. Provides for the receipt, processing, and review of loan applications and applications for loan guarantees; recommends approval or disapproval of for documentation of loans approved by the Commission; administers and enforces applications and provides terms and conditions of loans, including the monitoring of and collecting on delinquent loan accounts.

Hawaiian Home Lands Applications & Eligibility

Hawaiian Home Lands Commission Support

Hawaiian Home Lands Development Planning Hawaiian Home Lands Maintenance

Hawaiian Home Lands Lease Management

Hawaiian Home Lands Loan Administration

A.1.21.1 FUTURE STATE VISION FOR HAWAIIAN HOME LANDS
The future vision for Hawaiian Home Lands is to apply state-ofthe-art technology to the fullest extent to address the following key areas:
• There are defined beneficiaries with a defined trust. The

opportunities of three kinds: residential, agricultural, and pastoral.
• Keeping the eligibility list current and accurate is a real need;

at present there are multiple lists with no authoritative source.
• DHHL generates revenue through rents and delinquencies

and gets to keep the monies generated.
• Revenue collection is a major activity. There are 740 general

purpose is to provide beneficiaries with homesteading

lease, license, and revocable permit accounts that need to be managed.

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The future state solutions architecture is depicted in Figure 52 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

• “Everything as a Service” common solutions framework that

interface architecture.

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 52: Hawaiian Home Lands Future State Solutions Architecture

INFORMATION EXCHANGES
The Hawaiian Home Lands core mission LOB shares common information exchanges with the mission support areas to include Planning & Resource Allocation, Budget & Finance, Financial Management, Human Resources Management, Procurement, Asset Management & Inventory Control. The Hawaiian Home Lands LOB shares unique needs for geospatial imaging and land and property information with DLNR and DAGS. Common information shared within the LOB include Land Inventory and

Management, Property Management, Client (Applicant) Information and Genealogy, Homestead Lease Management, Loan Management, and Document Imaging and Management.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 39 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

A.1.21.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR HAWAIIAN HOME LANDS
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

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The initiatives are structured to address the following key needs:
• Document Imaging of Applicant and Lessee files as well as

other important shared documents is needed.
• DHHL needs a concrete electronic methodology for managing

of success is how many applicants have been moved off the list. There is no means for applicants to apply/status information online. Managing the list is an issue due to lack of information between entities.
• Wait List Improvements

the Eligibility List
• DHHL would like to devise a way to track and/or communicate

why lands are handled in a certain way. They need to be able to provide rationale so that outside entities will understand and to help address the backlog.
• A real need is integrated data (GIS, loans, demographic

information, leases, applications, and genealogy).
• Another area of need is the ability to view online who owns

surrounding lands to be able to work with other departments.
• Would like to be able to provide central servers for sharing

– Biggest data need for DHHL is managing the list of those people eligible for their programs. At present, there are multiple sources of the list being maintained with siloed processes. Need to assess improvement options, and implement a “master data management” approach regarding the Wait List which is the integration point with all other systems. Need a better picture of the profile of the people on the list. Need to support being market driven. Need to be able to have models to meet different requirements. Need to know demographic details about the people. (Supplemental budget request for Assessment of Waitlist. “Pending Review.”)
• Provide online access for current constituents including

information among distributed teams as well as provide a system upgrade due to capacity issues.
• In working toward the mission, applicants qualify by being

minutes and community information.
• Provide an interface for current constituents to add/update

50% Hawaiian and by meeting financial qualifications.They are then put on a waiting list (i.e., “the list”). A measurement

their information.

Table 41: Hawaiian Home Lands LOB Investment Initiatives

Name LOB Solutions: In Progress: Integrated Data (MIS) DHHL

Description

Cost

Notes

The DHHL Integrated Data consists of major system functions that provide a related set of services or capabilities. Also known as the Management Information System (MIS). It includes Asset Management, Client Services, Financial Management, and Office Automation and Administrative Support Systems. Replaces current APEX based systems: Applicant/Lessee System, and Mortgage Loan System.

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High EA Compliance: Medium

New: Land Handling Tracking DHHL One time DME: Pending Review Annual on-going O&M: Pending Review One time DME: Pending Review Annual on-going O&M: Pending Review Digital creation, management, and storage of documents enabling employee access in a timely and efficient manner. To convert documents to electronic and/or digital documents supported by automated business rules and workflow management integrated with internal systems as well as external systems. One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High EA Compliance: Medium Priority: High EA Compliance: Med

Land Ownership Online DHHL

Document Imaging

Priority: High EA Compliance: Med

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Name Production Applications Alignment: Financial Management System

Description

Cost

Notes

General Ledger, Accounts Receivable, Accounts Payable, Purchasing Based on Oracle Financials modules. Use As Is. Evaluation of future state financial management modules of ERP for integration/consolidation.

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High EA Compliance: Medium

Utility 2000

Water Billing System. Continue and use as is.

One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High EA Compliance: Medium

Lotus Notes w/Collaboration

Email and collaboration system. ICSD handles all the overhead One time DME: and support. DHHL houses the clients only. Pending Review Annual on-going O&M: Pending Review The website on hawaii.gov/dhhl replaced by www.hawaiianhomelands.org site. One time DME: Pending Review Annual on-going O&M: Pending Review

Priority: High EA Compliance: Medium

Department of Hawaiian Home Lands Website

Priority: High EA Compliance: Medium

LOB Infrastructure: In Progress: Virtualize Desktops & Servers DHHL This project virtualizes the neighbor island branch offices, select Oahu office servers and upgrades the Oahu office physical servers, tape libraries and Storage Area Network (SAN). One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High (1) EA Compliance: Medium (3)

New: Online Access DHHL The branch must also obtain 11 more desktop CPU computers or docking stations and plan to get laptops for inspectors. One time DME: Pending Review Annual on-going O&M: Pending Review Priority: High (1) EA Compliance: Medium (3)

Provide Central Servers DHHL System Upgrades DHHL

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 53.

Figure 53: Hawaiian Home Lands Transition and Sequencing Plan Summary

A.1.22 HAWAII STATE PUBLIC LIBRARY SYSTEM
The mission of the Hawaii State Public Library System is to provide Hawaii’s residents, in all walks of life, and at each stage of their lives, with access to education, information, programs, and services and to teach and nurture the love of reading and the habit of life-long learning. Table 42: Hawaii State Public Library System LOB Services

Hawaii State Public Library System Services LOB: In-house Patron Services

Service Description

State “New Day/Recovery & Reinvestment” Plan objectives that inspire technology initiatives within service • Being a focal point for statewide pride, simultaneously providing learning opportunities and valuable community services

Federal Objectives that inspire technology initiatives within service • Libraries as strong community anchors that encourage civic engagement • Strategic alignment of resources and prioritization of programmatic activities, maximizing value for patrons

• Physical collection distribution • Physical collection distribution • Reference/reader’s advisory • Weekly Programs and Events • Passport application services • Meeting Rooms Service

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Hawaii State Public Library System Services LOB:

Service Description

State “New Day/Recovery & Reinvestment” Plan objectives that inspire technology initiatives within service

Federal Objectives that inspire technology initiatives within service

• Fines & fees • Microfilm Reader, Copier, TeleCopying services • PC Reservation/Sign-Up • Wireless access based upon patron status • Use of public computers with privacy assurance components Remote Access Patron Services • Electronic Media Collections (audio-books, e-books, mp3, etc.) • Reference/reader’s advisory • Delivery of Academic Databases • Comprehensive Portal services • Inter-library Digital Social Communities that foster literacy Outreach & Bookmobiles • Outreach circulation & reference services to rural communities • Use of virtualization • Cloud services • Commitment to early childhood education • Maximum participation of the private sector • Investment in workforce development • Access to information services in underserved communities • Develop opportunities for the aging communities • Increase digital services • Teach business skills • Increase public access to information and ideas • Build digital communities • Facilitate the discovery of knowledge

Life-long Educational Services

• HI-Tech Academy (Digital Literacy and IT Academy) • Computing Centers across the state • Summer Reading Program • Children Story-time Services • Targeted Outreach (demographic specific (seniors, college, etc.)) • Non-targeted outreach (theme specific)

• Create a nation of learners • Citizens that learn continually, adapt to change readily, evaluate information critically

Materials Collection Development

• Time sensitive, publisher specific materials acquisition. Development, decision-making, logistics, delivery of materials

• Strict spending philosophy requiring comprehensive vision of use • Comprehensive consolidation of workloads • Partial move to cloud paradigm • Green IT and reduction of carbon footprint

• Open Data - Promote greater transparency and accountability

Digitization

• Audio oral history collections • Unique and fragile archive of rare historical/cultural materials

• Stewardship of Cultural Heritage • Support the care and management of the nation’s collections

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Hawaii State Public Library System Services LOB: Distribution hub for Government Information

Service Description

State “New Day/Recovery & Reinvestment” Plan objectives that inspire technology initiatives within service • Assistance in the advancement of the high tech sector • Create inter-agency collaboration

Federal Objectives that inspire technology initiatives within service • Support and extend national digital information infrastructure with reliable, persistent and widely available access

• Community, State and Federal hub of information for residents and citizens • Federal Depository Collection

Specialty Library Services

• Acquisitions, Circulation, and Special Services for the Blind and Physically Handicapped • Daily Radio Program (broadcasting and digital receiver equipment services) • Regional service provider for sub-regionals in the U.S. Affiliate Pacific Island States • Assistive Software for all public stations

• Use the bonding power of the state to help fund necessary improvements in information technology systems • Accessibility for all customers

• Investment in projects that provide inclusive and accessible learning opportunities

A.1.22.1 FUTURE STATE VISION FOR THE HAWAII STATE PUBLIC LIBRARY SYSTEM
The future state vision for the Hawaii State Public Library System is: “A society where communities and individuals thrive with broad public access to knowledge, cultural heritage and lifelong learning” The future vision for the Hawaii State Public Library System is to apply state-of-the-art technology to the fullest extent to address the following key areas:
• The Public Library System is to sustain its strong strategic

• HSPLS must persevere in being a community anchor that

enhances civic engagement, cultural opportunities, and economic vitality.
• The libraries will act as communication centers providing

teleconference and other technology services to fulfill the needs of communities and continue to be a key institution in the state.
• HSPLS is to support and extend a local and national

digital infrastructure that leverages libraries as key providers of access to digital information and services. The libraries are to partake in the national effort to build digitally inclusive communities.
• HSPLS is to increase its partnerships with more state

technology alignment with state and federal goals and initiatives, and to cultivate a culture of planning, evaluation, and evidence-based practice to maximize the impact of public technology investments
• HSPLS must continue to support inclusive and accessible

agencies to further the workforce, educational, and social needs of the communities.
• The library system is to garner more support for providing

safe conditions to rare collections learning opportunities to the state and meet the needs of diverse communities in the rapidly changing digital environment.
• HSPLS will continue to add no-charge educational services • HSPLS will continue to act as a resource center for

government information and dissemination of data, along with live capitol webcasts and other pertinent resources
• HSPLS is committed to increase the technology services

to the existing informational ones, providing unique and necessary community resources for workforce skill augmentation and educational growth. HSPLS is committed to developing a nation of learners and provide the necessary technological means to accomplish it.

and education that promote life-long learning – from keiki to kupuna - and that position the agency as a vital part of the state.

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• HSPLS is to become a center of attraction for developers and

• “Hawai`i Anywhere” common web and mobile user

other IT citizens that wish to collaborate and have technology development civic engagement through the libraries.
• The libraries are to propel state initiatives with regards to

interface architecture.
• “Everything as a Service” common solutions framework that

matching a civic need with an existing resource, as in the case of inter-agency collaborations. The future state solutions architecture is depicted in Figure 54 below. Two key features of this solution include:

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 54: Hawaii State Public Library System LOB Future State Solutions Architecture

INFORMATION EXCHANGES
• G2C: HSPLS is committed to engage in the open data state

initiatives to increase government visibility to citizens
• G2G: Presently all data exchanges with other agencies within

A.2.1.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR THE HAWAII STATE PUBLIC LIBRARY SYSTEM
The Public Library System presently possesses technology that already complies with most of the state and federal ‘best practices’ recommendations. With almost complete virtualization, consolidated storage, digitization, and other modern practices, its IT equipment has been upgraded to the latest versions and its infrastructure has been re-built, leaving HSPLS in good condition to be able to easily

the state reside in the shared services category and not in the line of business. These include payroll, financial services, and human resources.
• C2G: HSPLS is to act as a repository and promoter of IT civic

engagement by providing the ability and resources to patrons to shape and improve government services.

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migrate to the state the elements that will become part of shared IT services. The line of business technology will need to undergo yearly upgrades to ensure that the public facing components are delivering the services that the public has come to expect and demand. This is a summary of what will be needed in the coming years:
• Backend yearly upgrades for ILS – Integrated Library Systems

software
• All portal services maintenance and upgrade • Digitization efforts and augmentation of practice • Continued use of shared platform for workflow development,

NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.
• Cultural and Civic Engagement – Technologies that allow for

digital solutions for Libraries in an era of participatory culture
• 21st Century Skills – Learning Transformed – enabling a culture

of digital transformation through public library services
• Demonstrating Public Value – through purpose driven

such as SharePoint
• Continued use of private cloud services for innovative use and

development
• Mobility services

technology deployments that meet immediate needs of public service
• Building digital communities – inter-library and inter-agency

communications amongst government customers
• Preserving State’s Cultural Heritage through Digitization

The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

efforts in public libraries
• Partnerships with state departments to improve early

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 43 below.

learning, special conditions, elderly education, among others.
• Development of modern technology enabled-libraries in

upcoming new buildings

Table 43: Hawaii State Public Library System LOB Investment Initiatives

Name LOB Solutions: In Progress: Integrated Library System

Description

Cost

Notes

Modular system including: acquisitions, cataloging, serials, circulation, cluster services

One time DME: Pending Review Annual on-going O&M: Pending Review One time DME: Pending Review Annual on-going O&M: Pending Review One time DME: Pending Review Annual on-going O&M: Pending Review Annual on-going O&M: Pending Review

Priority: (3) EA Compliance: (3)

Comprise - Patron Reservation Management

Management of public units, reservations, sign-up, authentication based on patron type and status

Priority: (1) EA Compliance: (1)

Portfolio

Repository of digitized items, reports, links, etc. Private/Public cloud service for all archival purposes that face public view

Priority: (1) EA Compliance: (1)

HI-Tech Academy

Digital Literacy Program and IT Academy Program

Priority: (1) EA Compliance: (1)

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TRANSITION AND SEQUENCING
The following is the sequencing strategy for the Hawaii State Public Library System:

• Capacity Planning • Digitization Efforts • Development, Modernization, and

• Infrastructure improvements

Enhancements of Present Technology

The plan for future state transition and sequencing of initiatives is depicted below in Figure 53.

Figure 55: Hawai`i State Public Library System Transition and Sequencing Plan Summary

A.2

SUPPORT SERVICE AREAS

A.2.1 LEGISLATIVE RELATIONS
Legislative Relations coordinates legislative activity for the Department of State and advises the Secretary, the Deputy, as well as the Under Secretaries and Assistant Secretaries on legislative strategy. Legislative Relations facilitates effective communication between State Department officials and the Members of Congress and their staffs.

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Table 44: Legislative Relations LOB Services

LOB: Legislative Relations Service Name Legislative Tracking

Service Definition

Monitors and tracks legislation from introduction to enactment. Includes tracking hearings and testimonies. Involves all activities associated with supporting the formal relationship between a state agency and the State Congress. Responsible for inspections and auditing – involves the methodical examination and review of regulated activities to ensure compliance with standards for regulated activity.

State Congressional Interaction

Audit Services

A.2.1.1 FUTURE STATE VISION FOR LEGISLATIVE RELATIONS
The Legislative Relations Line of Business needs an automated legislative tracking system to effectively support the flow of legislation through the State Government. The complete life cycle from inception, proposal, review, approval, disapproval, and final disposition of legislative activities is needed to efficiently serve constituents, stake holders and citizens. In addition, an integrated workflow and document management system will support automation of efficient business processes and official document life cycles.

The future state solutions architecture is depicted in Figure 48 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture.
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 56: Legislative Relations Future State Solutions Architecture

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INFORMATION EXCHANGES
Information exchanges occur within the State Government, with State Agencies, and with the citizens of Hawaii.

INITIATIVES
Procure, install and configure a Legislative Tracking system that support the complete life cycle of legislative activities. In addition workflow and document management capabilities are needed to support efficient workflow process and tracking and disposition of official documents. The needed initiatives for both LOB solutions and infrastructure are outlined in Table 45below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB nfrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

A.2.1.2 RANSITION & SEQUENCING PLANNING SUMMARY FOR LEGISLATIVE RELATIONS
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

Table 45: Legislative Relations LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment – Kept: Accounting and Audit Review Committee Web Site

Description

Cost

Notes

aarc.hawaii.gov. (hosted by ICSD)

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Status: Use As Is EA Compliance: 3 Priority: 3

Office of the Auditor Web Site

hawaii.gov/auditor (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Office of the Ombudsman Web Site

ombudsman.hawaii.gov (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Legislative Reference Bureau Web Site

hawaii.gov/lrb (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Hawaii State Ethics Commission Web Site

hawaii.gov/ethics (hosted by ICSD)

Status: Use As Is EA Compliance: 3 Priority: 3

Production Applications Alignment – Replaced by Enterprise Legislative Relations System: DAGS Legislature Bill Tracking Tracks legislative bills generated by the department or related to the department - [Lotus Scripting] One-time DME: Pending Review On-going annual O&M: Pending Review Status: To be Replaced EA Compliance: 3 Priority: 3

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Name DBEDT Legislative Tracking System

Description Lotus Notes Application being maintained by ICSD in DAGS. DBEDT Legislative Tracking System is a revised version of their Lotus Notes tracking system. This database allows the creation of a tracking document for a bill or resolution. LTS tracks bills in the Hawaii State Legislature in which DCCA has an interest. LTS is used throughout DCCA as a collaboration tool.

Cost One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Notes Status: To be Replaced EA Compliance: 3 Priority: 3

DCCA Legislative (Bill) Tracking System

Status: To be Replaced EA Compliance: 3 Priority: 3

DLIR Legislative Tracking System

The Department of Labor and Industrial Relations (DLIR) Legislative Tracking System is based on the Department of Business, Economic Development and Tourism (DBEDT) Lotus Notes Legislative Tracking System. This database allows the creation of a tracking. The Department of Land and Natural Resources (DLNR) Legislative Tracking System is based on the Department of Business Economic Development and Tourism (DBEDT) Lotus Notes Legislative Tracking System. Track legislative bills during session and support hearing .

Status: To be Replaced EA Compliance: 3 Priority: 3

DLNR Legislative Tracking System

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

Status: To be Replaced EA Compliance: 3 Priority: 3

DOH Legislative Tracking System (LTS)

Status: To be Replaced EA Compliance: 3 Priority: 3

DOT Legislative Tracking System

The Department of Transportation (DOT) Legislative Tracking System is based on the Department of Business Economic Development and Tourism Lotus Notes Legislative Tracking System. The Department of Agriculture (HDOA) Legislative Tracking System is based on the Department of Business, Economic Development and Tourism (DBEDT) Lotus Notes Legislative Tracking System. The Department of Public Safety (PSD) Legislative Tracking System is based on the Department of Business, Economic Development and Tourism (DBEDT) Lotus Notes Legislative Tracking System.

Status: To be Replaced EA Compliance: 3 Priority: 3

HDOA Legislative Tracking System

Status: To be Replaced EA Compliance: 3 Priority: 3

PSD Legislative Tracking System

Status: To be Replaced EA Compliance: 3 Priority: 3

New: Enterprise Legislative Relations System Implement an enterprise-wide automated legislative relations system to effectively support the flow of legislation through the State Government. The complete life cycle from inception, proposal, review, approval, disapproval, and final disposition of legislative activities is needed to efficiently serve constituents, stake holders and citizens. In addition, an integrated workflow and document management system will support automation of efficient business processes and official document life cycles. One-time DME: Pending Review On-going annual O&M: Pending Review Status: Use As Is EA Compliance: 3 Priority: 1

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 57. The implementation roadmap should address the following considerations:

• Pursue a comprehensive legislative tracking system • Pursue a workflow management system • Pursue a document management system that is

integrated with legislative tracking, workflow management and document management.

Figure 57: Legislative Relations Transition and Sequencing Plan Summary

A.2.2 PUBLIC AFFAIRS
Public Affairs involves the exchange of information and communication between the state government, citizens and stakeholders in direct support of citizen services, public policy, and/or state interest.

Table 46: Public Affairs LOB Services

LOB: Public Affairs Service Name Customer Service

Service Definition

Supports activities associated with providing an agency’s customers with information regarding the agency’s service offerings and managing the interactions and relationships with those customers. Includes all efforts to provide official government information to external stakeholders through the use of various types of media, such as video, paper, web, etc.

Public Communications

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LOB: Public Affairs Service Name Public Outreach

Service Definition

Relates to the marketing of government services products, and programs to the general public in an attempt to promote awareness and increase the number of customers/beneficiaries of those services and programs. Involves the efforts to promote an organization’s image through the effective handling of citizen concerns.

Constituent Response

A.2.1.1 FUTURE STATE VISION FOR LEGISLATIVE RELATIONS
The Public Affairs Line of Business needs to improve the capabilities for all state departments, agencies, and programs to interact with the public – citizens, residents, and tourists – regarding the state’s service offerings, including support for general public communications and

outreach programs, and managing the life cycle of service or support request from a constituent. Future state considerations for such a capability include a single point of contact for constituents through defined channels such as a common phone number, web portal, texting, and other social media such as Twitter. The future state solutions architecture is depicted in Figure 58 below. Two key features of this solution include:

• “Hawai`i Anywhere” common web and

mobile user interface architecture.
• “Everything as a Service” common

solutions framework that facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 58: Public Affairs Future State Solutions Architecture

INFORMATION EXCHANGES
Information exchanges occur within the State Government, with State Agencies, and with the citizens of Hawaii.
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A.2.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR PUBLIC AFFAIRS
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

INITIATIVES
The current systems spread across the departments today with overlapping capabilities for tracking constituent response and correspondence are listed below in Table 47.

Table 47: Public Affairs Current Systems

Name LOB Solutions:

Description

Production Applications Alignment – Replaced by new enterprise web portals
NOTE: The applications below come from several different departments and represent potential cost savings and operational streamlining by moving to a common enterprise solution for tracking constituent service management and response. Annual O&M cost for each application is estimated at “Pending Review” That represents a total of approximately “Pending Review. . ”

TRAC for DAGS/Public Works Division

The Track Referrals, Activities, & Correspondence (TRAC) system for DAGS/Public Works Division monitors items requiring a response, records various activities within the organization, and logs notices received/sent. The TRAC system helps ensure timely re The Track Referrals, Activities, and Correspondence (TRAC) System monitors items requiring a response, records various activities within the organization, and logs notices received/sent. TRAC helps ensure timely responses, provides status on items of i hawaii.gov/icis (hosted by ICSD)

Track Referrals, Activities, and Correspondence

Interagency Council on Intermediate Sanctions Correspondence Log DLNR Track Referrals, Activities, and Correspondence for DLNR

Tracks all correspondence via the Chairperson’s Office. “The Track Referrals, Activities, & Correspondence (TRAC) system monitors items requiring a response, records various activities within the organization, and logs notices received/sent. TRAC helps ensure timely responses, provides status on items of interest Administrative Support This Correspondence Log supports logging functions for both Outgoing and Incoming documents. It will keep track of documents originating from and received by your section. The fields for each document will provide information on dates and persons involve This letter log will keep track documents originating from this section The DOT stores its contracts, correspondence, project documents, program documents, etc. in DOTCMS. Runs on IBM FileNet, Kofax Ascent Capture, Oracle Database. DOT is in the process of updating the DOTCMS application with Filenet version 4.5. Letter Log for the DIR-C office Tracks issues, complaints, and notifications having to do with the public or the media, for the Public Affairs Office

Correspondence/Contract Log AIR Correspondence Logs

CSS Letter Log Department of Transportation Content Management System, DOTCMS DIR-C Letter Log DIR-P Request Log

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Name Harbors Correspondence log

Description This database is for the use of the Harbors Division Administrator and Office Service Staff in maintaining a log of correspondence. Harbors Discussion Issues Meeting minutes of the DOT IT Advisory Committee, ITAC. This letter log keeps track of documents originating from the Office of Civil Rights. The fields for each document will provide information on dates and persons involved for tracking purposes and historical information for archiving. This letter log keeps track of documents originating from the Personnel Office. The fields for each document will provide information on dates and persons involved for tracking purposes and historical information for archiving. Log used to track complaints during the H-1 Widening Project for the Public Affairs Office http://hawaii.gov/gov/contact/msg-comm-proc (developed, supported, and hosted by HIC)

Harbors Discussion Issues ITAC Discussion Items OCR Letter Log

PER Letter Log

Public Affairs Office Log Request a Message, Commendation or proclamation Request a meeting with the Governor Governor Flag Requests Email Signup for Governor Contact the Governor Online Volunteers in Public Services Stay Connected Office of the Governor Office of the Governor Photo Gallery 50th Anniversary of Statehood Robotics Organizing Committee Correspondence Log

http://hawaii.gov/gov/contact/request-meeting (developed, supported, and hosted by HIC)

http://hawaii.gov/gov/contact/flag-requests (developed, supported, and hosted by HIC) http://hawaii.gov/gov/contact/email-updates (developed, supported, and hosted by HIC) http://hawaii.gov/gov/contact/contact-gov (developed, supported, and hosted by HIC) http://vips.ehawaii.gov (developed, supported, and hosted by HIC)

stayconnected.hawaii.gov (hosted by ICSD) hawaii.gov/gov (hosted by ICSD) hawaii.gov/govgallery (hosted by ICSD)

statehood.hawaii.gov (hosted by ICSD) robotics.hawaii.gov (hosted by ICSD) Tracking of incoming and outgoing correspondences from the Chairperson’s Office with PDF files of correspondences. (Microsoft Access Client/Linux File Server) http://www.ehawaii.gov/calendar (developed, supported, and hosted by HIC)

Online State Calendar System

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Name Request a meeting with the Lt. Governor Email Signup for Lt. Governor Contact the Lt. Governor Office of Information Practices Office of the Lieutenant Governor Vivian Aiona Hawaii Drug Control Strategy Enterprise Legislative Relations System

Description http://hawaii.gov/ltgov/contact/request-meeting (developed, supported, and hosted by HIC)

http://hawaii.gov/ltgov/contact/email-updates (developed, supported, and hosted by HIC) http://hawaii.gov/ltgov/contact/contact-lg (developed, supported, and hosted by HIC) hawaii.gov/oip (hosted by ICSD) hawaii.gov/ltgov (hosted by ICSD)

hawaii.gov/vivian_aiona (hosted by ICSD) hawaii.gov/hawaiidrugcontrolstrategy (hosted by ICSD) Implement an enterprise-wide automated legislative relations system to effectively support the flow of legislation through the State Government. The complete life cycle from inception, proposal, review, approval, disapproval, and final disposition of legislative activities is needed to efficiently serve constituents, stake holders and citizens. In addition, an integrated workflow and document management system will support automation of efficient business processes and official document life cycles.

The needed initiatives for both LOB solutions and infrastructure are outlined in Table 48 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of

Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

Table 48: Public Affairs LOB Investment Initiatives

Name LOB Solutions: New: iQ Implementation

Description

Cost

Notes

Internet Quorum - Data Capture System to manage inputs and responses. Basically a CRM type application for constituent response tracking.

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: 3 Priority: 1

Enterprise Mail Improvements

Need a replacement for Lotus Notes (Takes too long to send mass mailings) 100s of emails per day brings staff desktop computer to a slow crawl. Issues with administration of Lotus Notes – deletes emails after 60 days. Need a good collaboration, scheduling, and tracking system. SharePoint would be a good choice.

EA Compliance: 3 Priority: 1

Public Affairs Collaboration System Implementation

EA Compliance: 3 Priority: 1

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Name LOB Infrastructure: New: LG LAN Improvements

Description

Cost

Notes

Need a good LAN system (60 users)

One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: 3 Priority: 1

LG Phone System Improvements

Need a phone system with voice menuing.

EA Compliance: 3 Priority: 1

LG Mobile Device Deployment

Mobile Devices with camera, video conferencing and voice for Field Support (10)

EA Compliance: 3 Priority: 1

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 59.

Figure 59: Public Affairs Transition and Sequencing Plan Summary

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A.2.3 POLICY, CONTROLS, AND OVERSIGHT
The Policy, Controls, and Oversight LOB involves activities associated with developing regulations, policies, and guidance to implement laws and ensuring that the operations and programs of the state government and its external business partners comply with applicable laws and regulations and prevent waste, fraud, and abuse.

LOB: Policy, Controls and Oversight Service Name Policy Creation and Rule Development

Service Definition

Policy and Guidance Development involves the creation and dissemination of guidelines to assist in the interpretation and implementation of regulations. Involves the data gathering activities required to determine the effectiveness of internal and external programs and the extent to which they comply with related laws, regulations, and policies.

Program Monitoring, Evaluation, Compliance, and Reporting

A.2.3.1 FUTURE STATE VISION FOR POLICY, CONTROLS, AND OVERSIGHT
The Policy, Control, and Oversight (PCO) Line of Business needs to improve common capabilities for all state departments, agencies, and programs in governance and assurance of compliance to all applicable laws and regulations. NOTE: Policy Control and Oversight (PCO) does not have applications within the LTG organization. The PCO LOB needs to be centralized to enable the creation, review, approval and notification of standards for the State of Hawaii and its internal agencies.

The future state solutions architecture is depicted in Figure 60 below. Two key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture.
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Figure 60: Policy, Control, and Oversight Future State Solutions Architecture

INFORMATION EXCHANGES
Information exchanges occur within the State Government, with State Agencies, and with the citizens of Hawaii.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 49 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

A.2.3.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR POLICY, CONTROLS, AND OVERSIGHT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

Table 49: Policy, Control, and Oversight LOB Investment Initiatives

Name LOB Solutions: New: Statewide Policy Control Workflow System

Description

Cost

Notes

A Policy control Workflow System will provide for the tracking of the complete lifecycle of Statewide and Agency specific policies, standards, and guidelines. This includes creation, review, approval and dissemination of policies and guidelines

One-time DME: Pending Review On-going annual O&M: Pending Review

EA Compliance: 3 Priority: 2

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Name Statewide Policy Control Document Management System

Description A document management system is needed to manage the complete set of polices, standards, and guidelines

Cost One-time DME: Pending Review On-going annual O&M: v One-time DME: Pending Review On-going annual O&M: Pending Review

Notes EA Compliance: 3 Priority: 1

Statewide Policy Control Notification System

A Web based Policy Control Notification System is needed to provide on-line access to the State’s policies and information regarding standards, and guidelines. Essentially, this Web application will become an information center supporting statewide policy control and oversight.

EA Compliance: 3 Priority: 1

TRANSITION AND SEQUENCINGV
The plan for future state transition and sequencing of initiatives is depicted below in Figure 61.

Figure 61: Policy, Controls, and Oversight Transition and Sequencing Plan Summary

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A.2.4

PLANNING & RESOURCE ALLOCATION

Planning and Resource Allocation involves the activities of determining strategic direction, identifying and establishing programs and processes, and allocating resources (capital and labor) among those programs and processes. Strategic Planning, Enterprise Architecture, Capital Planning, Budget Formulation, Workforce, Management Improvement,

Program/Project Planning, and Contract Management are services provided by this LOB. A unique activity that cross cuts all services is budget planning, development, roll up, review, and approval. It is the essence of business management services. The Planning and Resource Allocation Line of Business is included in the Budget and Finance ERP estimates. A project team will be formed to represent the requirements for these services.

Table 50: Planning and Resource Allocation LOB Business Services

LOB: Planning and Resource Allocation Service Name Capital Planning

Service Definition

Capital Planning involves the processes of ensuring that appropriate investments are selected for capital expenditures. Budget formulation involves all activities undertaken to determine priorities for future spending and to develop an itemized forecast of future funding and expenditures during a targeted period of time. Strategy management; performance improvement activities; oversees policy analysis and development; assures compliance; risk management practices; grant tracking; and legislative tracking. Workforce Planning involves the processes for identifying the workforce competencies required to meet the agency’s strategic goals and for developing the strategies to meet these requirements. Strategic Planning entails the determination of annual and long-term goals and the identification of the best approach for achieving those goals. Contract Management involves the oversight and/or management of contractors and service providers from the private sector.

Budget Formulation

Program/Project Planning

Workforce Planning

Strategic Planning

Contract Management

A.2.4.1 FUTURE STATE VISION FOR PLANNING & RESOURCE ALLOCATION
Planning & Resource Allocation services will provide the leadership, planning, scheduling, and implementation of a layered planning and budgeting process. This process will be implemented with integrated solutions to support local budget developments, roll ups, standard summaries, and an online review and approval capability.

The future state solutions architecture is depicted in Figure 62 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Figure 62: Planning and Resource Allocation Future State Solutions Architecture

INFORMATION EXCHANGES
• Strategic Planning cross cuts all

segments of the State enterprise
• Program and project authorization

processes are results of planning, budgeting, and approvals for all services for State employees and Hawaii citizens.
• An information exchange occurs with

A.2.4.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR PLANNING & RESOURCE ALLOCATION
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

INITIATIVES
The current systems that support various aspects of the support services within this LOB are spread across the departments today with overlapping capabilities for planning, budgeting, and resource allocation. A sampling of those current systems are listed below in Table 51.

each LOB to enable an orchestrated planning and budgeting process.

Table 51: Planning and Resource Allocation Current Systems

Name LOB Solutions:

Description

Production Applications Alignment – Potential for Replacement by the ERP Implementation
NOTE: The applications below come from several different departments and represent potential cost savings and operational streamlining by moving to a common enterprise resource planning solution. Annual O&M cost for each application is estimated at “Pending Review. That represents a total of approximately “Pending Review. ” ”

Planning System

Tracks the status of Project Initiation Requests, Request for Planning Studies, and informal requests for Planning - [Java]

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Name Capital Improvement Projects System (CIP) RFA - ISCO Request for Action

Description http://cip.ehawaii.gov (developed, supported, and hosted by HIC)

Allows IS contacts to submit work requests to ISCO. Work requests are automatically routed to ISCO staff based on subject. Also allows for IS contact and ISCO staff feedback during processing with acceptance and rejection processing. The RFA system is a Copy of ISCO RFA system for Insurance’s Office services branch

RFS1 - Request for Services (Insurance Office Services / Clerical) RFS2 - Request for Services (Insurance Legal) BUS DataMart

Copy of ISCO RFA system for Insurance’s legal branch

This database provides the PPB Management Office of the Department of Transportation a budget expenditure plan. This database is a tool to create a budget expenditure plan and communicate this plan between the PPB Management Office and the Staff offices. Custom Access application used by the Computer systems & Services Office to create, maintain, report, and submit yearly budget requests. DOT Budget System Project Information Repository The DOT O&M Budget System is used by the DOT’s budget analysts to create and maintain Operations & Maintenance budget information that is submitted to the Dept of Budget & Finance. Data is stored in an Oracle database on a IBM P-Series Server. This database was originally named HAR 03 Expenditure Plan to provide the Harbors Division of the Department of Transportation with an shared budget expenditure plan. This database was intended to be a tool to create a budget expenditure plan and communicate it District-Level financial system used to maintain budgets, generate and approve purchase orders, track vehicle maintenance costs, and employee timesheets. This database provides the Highways Division of the Department of Transportation a budget expenditure plan. This database is a tool to create a budget expenditure plan and communicate this plan between the PPB Management Office and the Highways Division. Tracks budget requests related to the DOT’s Capital Improvements Program (CIP) Projects, for the PPB Management Analytical Office. Tracks budget requests related to the Operations & Maintenance (O&M) program, for the PPB Management Analytical Office. Tracks budget requests related to travel (intra- and inter-state) for the PPB Management Analytical Office. Project documentation database for a dynamic workflow application.

CSS Budget

DOT Budget System Library DOT O&M Budget System

HAR Datamart

Highways AS/400

HWY Budget Expend Plan

PPB Management Database

PPB Operating Log

Travel Request Log Workflow Project Documentation

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TRANSITION AND SEQUENCING
As part of the ERP implementation, these critical cross-cutting business functions which every program performs will be included in the scope of the ERP. Functional support through the ERP package will be evaluated. Any substantial functional “gap” will be identified – as represented by the functionality of the above systems, and an overall solution architecture and implementation plan will be developed to address the needed functionality in a common manner.
• The sequencing of these initiatives will be part of a

A.2.5

GRANTS MANAGEMENT

The management of federal and state grant services provides provision, management and reporting to federal and state agencies and congress. Grant management depends on a sound financial system, purchasing system, merit-based personnel practices, appropriate property management capability, sound security, health and safety practices, the ability to perform audit and resolution services, and to provide quality review and control activities. All departments in the Hawaii State Government participate in Grants Management At present each organization provides grant management services. While each organization should be responsible for pursuing grants, a central Grants Management service will provide standards, guidelines, subject areas of interest, grant proposal examples, and a public offering organizing and describing State Grant opportunities for the citizens of Hawaii. Examples can be extracted from other State’s experiences.

comprehensive modernization road map.
• A priority scheme will target flagship initiatives such

as infrastructure modernization, ERP planning, and Health IT requirements.
• The Planning and Resource Allocation Line of Business

is included in the Budget and Finance ERP estimates.

Table 52: Grants Management LOB Business Services

LOB: Planning and Resource Allocation Service Name Federal Grants Pursuit and Oversight

Service Definition

The management of federal grant services provides provision, management and reporting to federal agencies and congress. Grant management depends on a sound financial system, purchasing system, merit-based personnel practices, appropriate property management capability, sound security, health and safety practices, the ability to perform audit and resolution services, and to provide quality review and The objective of managing state grants is to standardize, streamline, and improve state grant-making practices to improve public awareness about state-grant opportunities.

State Grants Transfers and Oversight

A.2.5.1 FUTURE STATE VISION FOR GRANTS MANAGEMENT
The future vision for Grants Management is to apply state-of-the-art technology to the fullest extent towards a common capability across the state departments, agencies, and programs to accomplish the following critical business objectives and to address current state issues.
• Provide central grants management

• Provide grant management tools and

services to support the complete life cycle including reporting, milestone tracking, and expenditures.
• Provide collaboration capabilities to

the ability of the State to increase the percentage of acceptances with regard to submissions. The future state solutions architecture is depicted in Figure 63 below. Key features of this solution include:
• “Hawai`i Anywhere” common web

support grant preparation, reviews, approvals, initial submissions, responses to questions, and final approvals and authorizations.
• Manage associated funding, expenditures,

and mobile user interface architecture.
• “Everything as a Service” common

and financial transactions associated with grant monies.
• Integrate Grants Management with

services with a central Web site to provide support to each organization with regard to grant opportunities, standards, contact information, grant examples, and training.

the new ERP. Transition and Sequencing from a disparate grant life cycle to a Central support service for each LOB will increase

solutions framework that facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Figure 63: Grants Management Future State Solutions Architecture

INFORMATION EXCHANGE
• Grant management is a service area that touches all core

mission LOBs. Each area has need for support to move efficiently and effectively in the delivery of a quality product.
• Leveraging the collective experience of the best of the best

across the enterprise will only enhance the State of Hawaii’s opportunities to realize successful grant approvals.

NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing. The implementation roadmap should include:
• Initiate planning to establish a central grant management

A.2.5.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR GRANTS MANAGEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

service for each LOB.
• Extract the best of the best expertise in establishing

standards, guidelines, examples, contact information, and grant categories available from the Federal Government.
• Establish a central Web portal for the citizens of Hawaii

to examine grant opportunities that may be of interest.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 53 below.

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Table 53: Grants Management Investment Initiatives

Name LOB Solutions: Production Alignment: Grants Management Services Production Applications Portfolio

Description

Cost

Notes

There are currently no central Grants Management applications. Each State Agency has embedded applications that are essentially operating separately without support from a central financial, budgeting, or project management capability. The Federal government is calling for increased transparency and accountability regarding the use of federal funds. In June 2011, the Digital Accountability and Transparency Act of 2011 (DATA Act) was introduced and referred to the House Committee on Oversight and Government Reform. If enacted, the DATA Act would apply the type of intensive recipient reporting that is required for American Recovery and Reinvestment Act (ARRA) awards to all federal grants, contracts and loans and establish an independent body to track all federal spending on a single website. It is critical that the State of Hawaii maximize the federal funds that the State receives and use these funds efficiently. Therefore a Grant Management capability as part of the new integrated ERP is essential to the future success of all Federal Grant activities. The estimated O&M is based on embedded project activities for each State Agency, Division, and Section pursuing and managing Grants.

One-time Annual DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: Low

New: ERP Phase II Grants Management Architecture and Project Planning Initiate planning, perform Business Process Re-Engineering, prepare vendor specifications, evaluate and select vendor, and initiate conference room pilots One Time DME: SW$ HW: Effort: Pending Review Portfolio Costs are captured in the ERP Section. One Time DME: SW: Pending Review HW: Pending Review Effort: Pending Review Portfolio Costs are captured in the ERP Section. Priority: High EA Compliance: High

ERP Phase II Grants Management Project Life Cycle

The management of federal and state grant services provides provision, management and reporting to federal agencies and congress. Grant management depends on a sound financial system, purchasing system, merit-based personnel practices, appropriate property management capability, sound security, health and safety practices, the ability to perform audit and resolution services, and to provide quality review and oversight. The objective of managing state grants is to standardize, streamline, and improve state grant-making practices to improve public awareness about state-grant opportunities.

Priority: High EA Compliance: High

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 57. The implementation roadmap should address the following considerations:
• Form a Grant Management Project team • Create grant life cycle content supporting each phase of the

• Research grant management tools for preparation, review,

approvals and submissions
• Provide project and financial life cycle management to support

the complete life cycle
• Pursue working with the new ERP team to ensure the Grant

Management Life Cycle requirements are included in the specification and follow on pilots and deployments.

grant management process

Figure 64: Grants Management Transition and Sequencing Plan Summary

A.2.6

REVENUE COLLECTION

• System Administration Office –Liaison between the user and

ITSO. Performs testing, users assistance, and business analysis.
• Rules Office – oversees all tax laws and ensures their

Revenue Collection includes the collection of Government income from all sources. For the State of Hawaii this includes collections, receivables, fund transfers, asset sales and debt collection.
• Administrative Services Office – facilitates the internal business

implementation within the State and performs enforcement (civil and criminal) activities
• External Training and Outreach Office – performs training

of DOTAX; e.g., human resources/personnel, procurement, Departmental budget.
• Information Technology Services Office – provides IT support

relative to tax law, etc.
• Tax Services & Processing Division – provides document

processing, taxpayer services, and revenue accounting
• Compliance – oversees collections, audit, field audit,

for the entire Tax organization.
• Tax Research and Planning Office – performs tax research

and provides forecasts.

and the oversight of the district offices relative to the tax collection activities

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Table 54: Revenue Collection LOB Business Services

LOB: Revenue Collection Service Name User Fee Collection

Service Definition

User fee collection involves the collection of fees assessed on individuals or organizations for the provision of Government services and for the use of Government goods or resources. (i.e. National Parks) Tax collection oversees collections, audit, field audit, and the oversight of the district offices relative to the tax collection. Activities include tax research, forecasts, collections and refunds. The service is responsible for overseeing all tax laws and ensures their implementation within the State and performs enforcement (civil and criminal) activities. Asset sales encompasses the activities associated with the acquisition, oversight, tracking, and sale of non-internal assets managed by the State Government with a commercial value and sold to the private sector. Debt Collection supports activities associated with the collection of money owed to the State Government from both foreign and domestic sources.

Taxation Collection

State Asset Sales

Debt Collection

A.2.6.1 FUTURE STATE VISION FOR REVENUE COLLECTION
The overarching objective is to modernize the revenue collection (tax) system. An integrated Tax Information and Management System is a high priority. As the Tax Modernization Team aggressively assesses the need for new software, coordination with DAGS/Accounting and B&F regarding integration of a new Tax system with an ERP solution is critical. NOTE: Following the Federal Business Reference Model, all services related to the collection of income from all sources are included in the scope of this LOB. However, the focus for modernization in alignment with the DOTAX mission is modernizing Tax Collection. The other revenue collection services are very distributed across many departments today, and considerations for consolidation of those services will be addressed appropriately as part of the ERP implementation. The expectation of the Tax Modernization is to build a more stable and robust Integrated Tax Processing system that can provide:
• Speedier processing,

• Better tax analytic functions to improve the tax audit

and collection
• More flexible and efficient to handle the tax law changes • Provide better services for tax payers, such as on-line tax

information system
• Desired services include:

– Increased e-filing – Electronic payments – Improved collections analytics – Tax information management system – Improved case management processes – Improved network connectivity – Improve the revenue accounting system in DOTAX The future state solutions architecture is depicted in Figure 65 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

• Greater integration among tax processing, tax collection, and

interface architecture
• “Everything as a Service” common solutions framework that

tax audits
• More accurate and better accounting functions such Account

Receivable and account Payable.
• Better reporting system for the decision making

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Figure 65: Revenue Collection Future State Solutions Architecture

INFORMATION EXCHANGES
• Information exchanges include interfaces with Federal

The steps include:
• Evaluate and select a path forward to replace and modernize

agencies such as the IRS and FBI as well as other State agencies (specifically, B&F, DAGS, DCCA, DBEDT, AG, and the Legislature).
• Additionally, there are interfaces with tax software vendors

tax collection services.
• For short term improvements apply Business Process

Engineering to analyze priority areas to improved revenue collection
• Disaster recovery planning is essential as part of the

(e.g., Quicken Books, TurboTax, etc.), tax form preparers, and local financial institutions and citizens.
• Approximately “Pending Review”in tax revenues are

Technology Domain.
• A new data center is needed to support the operations

processed daily.
• Revenue collection services have the largest customer base. • Millions of forms and checks are processed each year,

of this LOB.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 55 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

collecting over “Pending Review” in revenue with a budget of only “Pending Review.”

A.2.6.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR REVENUE COLLECTION
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

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The implementation roadmap should include:
• Tax system modernization. • Work with the enterprise ERP team to evaluate tax

collection options
• Develop a road map to guide strategic alignment

with the Enterprise Architecture. Table 55: Grants Management Investment Initiatives

Name LOB Solutions: Production Alignment: Revenue Collection TAX modernization Services Current O&M costs

Description

Cost

Notes

The suite of thirty-six (36) Revenue Collection Applications will be replaced by a new TAX modernization project. The current tax system (Integrated Tax Information Management System ITIMS) was poorly implemented and requires significant hands on technical support to ensure 24x7 operations. The current system poses a high risk of failure that requires a high priority for funding a replacement.

One-time Annual DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: Low

New: Revenue Collection TAX modernization Project Planning Initiate planning, perform Business Process Re-Engineering, prepare vendor specifications, evaluate and select vendor, and initiate conference room pilots Tax collection oversees collections, audit, field audit, and the oversight of the district offices relative to the tax collection. Activities include tax research, forecasts, collections and refunds. The service is responsible for overseeing all tax laws and ensures their implementation within the State and performs enforcement (civil and criminal) activities. This phase launches the project life cycle. See Sequencing below. One Time DME: SW HW: Pending Review Effort: Pending Review One Time DME: SW HW: Pending Review Effort: Pending Review For 4 years Priority: High EA Compliance: High

Revenue Collection TAX Modernization Project Life Cycle

Priority: High EA Compliance: Low

TRANSITION AND SEQUENCING
Project sequencing includes Year 1 planning followed by four years of project life cycle design, implementation, functional and system testing, user training, and production certification. (Outlined below in Table 56.)

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Table 56: Tax Modernization Project Phasing

Project Phasing YEAR 1 Analysis and Vendor Selection • Select priority functions for first phase implementation • Produce Future State Vision for each Business Function • Develop detailed demonstration scripts for each element of the future state vision • Schedule demonstrations with prospective vendors • Identify gaps during first sessions with vendors • Schedule follow on sessions with selected vendors to address gaps • Prepare Specification for ERP RFQ • Prepare Specifications for Hardware and Software • Prepare Contracts for technical support • Initial Business and Technical Training for Project Teams YEAR 2 Design • Take the time to map out the current business processes • Attend basic training on software to be implemented • Re-engineer business processes with the targeted software in mind • Packaged-based re-engineering defining the ideal “to-be” state • Initiate conference room pilots to design, configure, evaluate, and test functionality • Understand and define the data needs for each stake holder • Plan for ERP derived subject data bases to support data requirements for each agency • Configuration and Implementation • Plan for legacy data extractions, translation, and loading into the new ERP system • Scale up conference room pilots and test the performance of each functions • Identify interfaces that will be necessary to deliver data from existing systems that are not part of the initial phase. • Fully configure and implement all functions • Ensure networks are deployed, tested and certified for operation
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YEAR 3 Functional Testing • Develop functional test plans for standalone modules, module sets, interfaces, and full integration test plans • Perform functional test for each module with live data • Perform integrated testing for module sets ensure problems are found and fixed as the process moves forward • Perform testing of interfaces • Perform final integration testing of all modules • Identify functional gaps that are “MUST HAVE” for custom implementation • Customization must be kept to a minimum

YEAR 4 System Testing • Develop system integration test plans to include interfaces from other systems. • Perform system testing with live data in a test and evaluation environment • Perform integrated performance testing with simulated loads representing the target environment • Fully test, evaluate, and certify the system for production

YEAR 5 User Training Production Operation • Plan for efficient and seamless turnover from legacy applications to new system • Ensure staff are properly trained and have access to consultants for coaching and guidance • The new TAX system will require a standard, layered network topology, standard servers, operating systems, and centralized computing facilities that will include disaster recovery strategies, 24 x 7 operations, and a testing and migration environment.

The plan for future state transition and sequencing of initiatives is depicted below in Figure 66.

Figure 66: Revenue Collection – Tax Modernization Transition and Sequencing Plan Summary

A.2.7

BUDGET & FINANCE

Budget and Finance includes the management of the State budget process including the development of plans and programs, budgets, and performance outputs and outcomes as well as financing State programs and operations through appropriation and appointment of direct and

reimbursable spending authority, fund transfers, investments and other financing mechanisms.
• An accrual-basis accounting

• Hyperion was mentioned as a

possible solution for performance management software. (Oracle Business Foundation Suite)
• Financial management system (used

capability is needed
• Visibility and access into quarterly

budget appropriations and spend plans is needed.

specifically by DOTAX, Accounting, and B&F) was mentioned as a possible way to integrate information across Departments.

Table 57: Budget and Finance LOB Business Services

LOB: Budget and Finance Service Name Budget Planning and Execution

Service Definition

Budget planning involves all activities undertaken to determine priorities for future spending and to develop an itemized forecast of future funding and expenditures during a targeted period of time. This includes the collection and use of performance information to assess the effectiveness of programs and develop budget priorities. Budget Planning and Execution Services is responsible for planning, directing and coordinating the development of the State’s plans and strategies relative to cash management, investments and bond financing. This service administers the State’s financial affairs, by continually monitoring and evaluating the State’s overall financial condition.

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LOB: Budget and Finance Service Name Treasury Management

Service Definition

The Cash Management Program is responsible for ensuring the availability of cash to meet the State’s financial obligations when required. To carry out this responsibility, the Financial Administration Division is assigned the tasks of receiving, safeguarding, investing and disbursing all funds in the State Treasury. All State funds deposited with State appointed depositories (financial institutions) are deemed, under State law, to be deposited in the State Treasury. To protect the deposits, the funds must be fully collateralized by the depository with securities deposited with the Director of Finance as provided in Section 38-2, Hawai`i Revised Statutes (HRS). All funds that are in excess of immediate needs are invested in the types of investments permitted under Section 36-21, HRS. Permitted investments are based on the criteria of safety, liquidity and yield, with yield as a secondary consideration, to ensure payment of State obligations. In the Department’s continuous effort to maximize investment income, an investment pool program was implemented in August 1999. The investment pool program centralizes all phases of the investment process under the sole direction of the Department, thereby pooling the State’s vast cash resources to enhance investment returns. Income derived from investments from the State Treasury annually exceeds “Pending Review.”

Unclaimed Property

The State of Hawaii’s Unclaimed Property Program is administered under the provisions of Chapter 523A of the Hawaii Revised Statutes (HRS). This program collects and holds, in a custodial capacity abandoned and dormant property from “holders”. As a public service, the Unclaimed Property Program returns property to rightful owners at no charge. The Department of Budget and Finance oversees the general management of State debt, including reimbursable and non-reimbursable general obligation bonds, special assessment bonds, refunding bonds, mortgage credit certificates, short-term loans, certificates of participation, and municipal lease financings. In addition, the Department has oversight responsibility for revenue bonds and special facility revenue bonds issued by State agencies, in particular, the Department of Transportation - Harbors, Highways and Airports Divisions; and the Housing and Community Development Corporation of Hawai`i. The Department also oversees the issuance and management of special purpose revenue bonds, or tax-exempt debt incurred by private parties pursuing qualified projects in the interest of the general public. For example, the Department assisted with the issuance of special purpose revenue bonds to finance projects for public utilities and for projects for health care facilities provided to the general public. These are bonds authorized by the Legislature and approved by the Governor. Documents and forms for initiating action on projects approved by the Legislature include: The Loan Application and Review Procedures, Administrative Rules, Formal Application, Fee Agreement, and Statement of Benefits.

Debt Management

Health Benefit Plan Administration (EUTF)

The EUTF services provide health and other benefit plans to State and County employees and retirees at cost affordable to both the public employers and public employees. The ERS service provides retirement, disability, survivor, and other benefits to more than 112,000 members. The membership is comprised of retirees, beneficiaries, inactive vested members and active public employees working for the State and Counties of Hawaii.

Retirement Benefit Plan Administration (ERS)

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A.2.7.1 FUTURE STATE VISION FOR BUDGET AND FINANCE
The future state vision for Budget and Finance is to participate with the new ERP team and pursue immigration of legacy applications into the new ERP Budget and Finance functions. This will enable integration with other functional areas such as General Accounting, DOTAX, Procurement, and State-Wide delivery of budget data to each State Agency’s Divisions, Departments, and Sections.

• Work with the ERP strategy team to

evaluate functionality to address Budget and Finance services, replace legacy application, provide agile reporting, and mobile access on a need to know basis.
• A federated ERP will enable a modular

The future state solutions architecture is depicted in Figure 67 below. Key features of this solution include:
• Hawai`i Anywhere” common web and “

mobile user interface architecture
• Everything as a Service” common “

approach to ERP function selection and integration with the State Enterprise
• Evaluate products such as Oracle’s

Hypension for ad hoc query and analysis, reporting, dash boards and score cards, predictive analysis, OLAP analytics, and mobile cloud deployments.

solutions framework that facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 67: Budget and Finance LOB Future State Solutions Architecture

INFORMATION EXCHANGES
• udget information is exchanged with every LOB to plan, B

create, rollup, review, and approve enterprise budgets.
• ealth Benefits, Insurance, and Investments are shared across H

A.2.7.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR BUDGET AND FINANCE
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.
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Lines of Businesses.

State of Hawaii Business and IT/IRM Transformation Plan

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 58 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing. The implementation roadmap should include:
• valuate and select a path forward to replace and integrate E

• hese new capabilities are considered high priority and will be T

included in a comprehensive roadmap for the total enterprise.
• reate a roadmap team to evaluate ERP capabilities with C

respect to Budget and Finance
• ear term plans can include incorporation of digital N

dashboards displaying the State’s financial situation and providing the potential to drill down into the Department’s financial spending against the budget. – A digital dashboard displaying the State’s financial situation and providing the potential to drill down into the Department’s financial spending against the budget would facilitate open communication of the State’s financial situation to both the citizens of Hawai`i, the Legislature, and each Department. Opportunity to leverage enterprise initiative for a common performance measurement dashboard solution. (Project is for consideration and is not currently requested or funded.)
• eplace legacy applications, provide agile reporting, and R

budget and finance services with the State’s Enterprise Architecture.
• federated ERP will enable a modular approach to function A

selection and integration with the State Enterprise and provide for an accrual based accounting system

mobile access on a need to know basis.

Table 58: Budget & Finance Investment Initiatives

Name LOB Solutions: Production Alignment: Budget and Finance Services Production Applications Portfolio

Description

Cost

Notes

The suite of fifty (30) thirty Applications will be replaced in a future ERP Budget and Finance application. These systems are in Operation and Maintenance and will be sustained until all are replaced by a new ERP initiative. There are an estimated additional fifty (50) embedded Budget and Finance applications within each State Agency’s Departments and Sections.

One-time Annual DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: Low

New: ERP Phase II Budget &Finance Architecture and Project Planning Initiate planning, perform Business Process Re-Engineering, prepare vendor specifications, evaluate and select vendor, and initiate conference room pilots. One Time DME: SW HW: Effort: Pending Review Portfolio Costs are captured in the ERP Section. One Time DME: SW: Pending Review HW: Pending Review Effort: Pending Review Portfolio Costs are captured in the ERP Section. Priority: High EA Compliance: High

ERP Phase III Budget & Finance Project Life Cycle

Budget planning involves all activities undertaken to determine priorities for future spending and to develop an itemized forecast of future funding and expenditures during a targeted period of time. This includes the collection and use of performance information to assess the effectiveness of programs and develop budget priorities. Budget Planning and Execution Services is responsible for planning, directing and coordinating the development of the State’s plans and strategies relative to cash management, investments and bond financing. This service administers the State’s financial affairs, by continually monitoring and evaluating the State’s overall financial condition.

Priority: High EA Compliance: High

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 68.

Figure 68: Budget & Finance Transition and Sequencing Plan Summary

A.2.8

FINANCIAL MANAGEMENT

• DAGS accounting system is COBOL-based and runs on dated

Financial Management is the use of financial information to measure, operate and predict the effectiveness and efficiency of an entity’s activities in relation to its objectives. The ability to obtain and use such information is usually characterized by having in place policies, practices, standards, and a system of controls that reliably capture and report activity in a consistent manner. Table 59: Financial Management LOB Business Services

hardware. Disaster recovery is an issue. As DOTAX and B&F look at ERP solutions, Accounting’s requirements should be included as part of any solution.
• Many of DAGS processes are paper-based and require the

continuation of data-entry processes.

LOB: Financial Management Service Name State-wide Accounting Services

Service Definition

The State-Wide Accounting Services provides the General Ledger to prepare the State’s financial statements. Departments also use financial information to prepare department financial statements. Payroll execution is provided by the State-Wide Accounting Services. Accounting services entails accounting for assets, liabilities, fund balances, revenues and expenses associated with the maintenance of State funds and expenditure of State appropriations (Salaries and Expenses, Operation and Maintenance, Procurement, Working Capital, Trust Funds, etc.), in accordance with applicable State standards.

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Table 59: Financial Management LOB Business Services

LOB: Financial Management Service Name Accounts Payable

Service Definition

Accounts Payable represents the various amounts owed to vendors and suppliers of the state. When the state buys products and services on credit, these unpaid amounts are totaled as Accounts Payable. The State is then obligated to pay these amounts based on the credit policies agreed between the State and its suppliers. In government finance, a warrant is a written order to pay that instructs a federal, state, or county government treasurer to pay the warrant holder on demand or after a maturity date. Such warrants look like checks and clear through the banking system like checks, but are not drawn against cleared funds in a checking account (demand deposit account). Instead they may be drawn against “available funds” so that the issuer can collect interest on the float or delay redemption.

Accounts Receivables

An account receivable (AR) is defined as a claim against a debtor, such as a person, business, or governmental entity for money owed to the state. An invoice or other document requesting payment will be prepared. The invoice shall be sent to the debtor as soon as practical and within 30 days after the event giving rise to the AR. Invoices shall include a date for which payment is due. The AR shall be considered delinquent if payment is not received by the due date. Departments may also consider the postmark date to determine if an AR is delinquent. Financial Reporting includes providing accounting support for the management of assets and liabilities of the State Government.

Financial Reporting

A.2.8.1 FUTURE STATE VISION FOR FINANCIAL MANAGEMENT
The future state vision for Financial Management is to participate with the new ERP team and pursue immigration of legacy applications into the new ERP Financial Management functions. This will enable integration with other functional areas such as General Accounting, Tax, Procurement, and State-Wide delivery of budget data to each State Department’s Divisions, Agencies, and Programs. The future state vision includes the following considerations:
• Work with the ERP strategy team to evaluate functionality

• As part of the ERP team, financial management requirements

will be prepared to represent financial services, information exchanges, and a financial user based Web portal.
• Evaluate products such as Oracle’s Hypension for ad

hoc query and analysis, reporting, dash boards and score cards, predictive analysis, OLAP analytics, and mobile cloud deployments. The future state solutions architecture is depicted in Figure 69 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

to address Financial Management services, replace legacy applications, provide agile reporting, and mobile access on a need to know basis.
• A federated ERP will enable a modular approach to ERP

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

function selection and integration with the State Enterprise.
• Pursue near term solutions such as digital dashboard

addressing access and drill down to financial data for internal services and for the citizens of Hawaii.

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Figure 69: Financial Management LOB Future State Solutions Architecture

INFORMATION EXCHANGES
• Provide financial information on demand to effectively and

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 60 below. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing. The implementation roadmap should include:
• Evaluate the current portfolio of applications and make a

efficiently serve this LOB.
• Provide financial information as segmented alignments

with other LOBs.
• Provide financial information to the citizens of Hawaii on

a need to know basis.

A.2.8.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR FINANCIAL MANAGEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

determination regarding strategic alignment with the new Enterprise Architecture
• Evaluate and select a path forward to replace and integrate

financial management services. This new capability is considered a high priority and will be included in a comprehensive roadmap for the total enterprise.

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Table 60: Financial Management Investment Initiatives

Name LOB Solutions: Production Alignment: Financial Management Services Production Applications Portfolio

Description

Cost

Notes

The suite of fifty (50) Financial Management Applications will be replaced in a future ERP Financial Management application. These systems are in Operation and Maintenance and will be sustained until all are replaced by a new ERP initiative. There are an estimated additional fifty (50) embedded Financial applications within each Department’s Divisions and Programs. These estimates do not include Financial Services in Attached Agencies.

One-time Annual DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: Low

New: ERP Phase II Finance Architecture and Project Planning Initiate planning, perform Business Process Re-Engineering, prepare vendor specifications, evaluate and select vendor, and initiate conference room pilots. One Time DME: SW$ HW: Effort: Pending Review Portfolio Costs are captured in the ERP Section. One Time DME: SW: Pending Review HW: Pending Review Effort: Pending Review Portfolio Costs are captured in the ERP Section. Priority: High EA Compliance: High

ERP Phase II Finance Project Life Cycle

Financial services entails accounting for assets, liabilities, fund balances, revenues and expenses associated with the maintenance of State funds and expenditure of State appropriations (Salaries and Expenses, Operation and Maintenance, Procurement, Working Capital, Trust Funds, etc.), in accordance with applicable State standards.

Priority: High EA Compliance: High

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Figure 70: Financial Management Transition and Sequencing Plan Summary

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 70.

A.2.9

HUMAN RESOURCE MANAGEMENT

Human Resource Management involves all activities associated with the recruitment and management of personnel.

Table 61: Human Resource Management LOB Business Services

LOB: Human Resource Management Service Name Employee Claims & Workers Compensation Administration

Service Definition

Employee Claims and Workers Compensation administers Workers Compensation for the Executive Branch. Fee-based service for HPHA, City and County of Honolulu, and Charter Schools. Identification of hazardous working conditions and development of strategies to eliminate or mitigate the identified hazard. Provides accident injury and illness profiles, for analysis and identification of accident trends, sources, and factors that contribute to occupational injuries and illnesses. Labor Relations provides collective bargaining, negotiations, and contract interpretations.

Safety Program

Collective Bargaining Agreement Administration

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LOB: Human Resource Management Service Name Employee Benefits

Service Definition

Administration of employee benefits involves the administration of entitled benefits for State personnel such as disability, and insurance. (Note: This excludes Health and Retirement which are separate services under Budget & Finance.)

Employee Development & Training

Employee development & training refers to the active building of competencies in staff members through formal, technical, or other means of education. Includes administration of training programs; including development of programs, curriculum, various modes of training, and execution of those programs. Administers various programs providing family-friendly benefits to facilitate leave from work under provisions such as Family and Medical Leave, leave sharing, and flexible work hours. Staff performance management involves the general management of the State workforce, including but not limited to functions such as personnel action processing, employee tracking, discipline/grievance, advancement and awards, labor relations, etc. Ensures equal employment opportunity and a harassment-free work environment. Federal and State employment laws protect persons from unlawful discrimination based on their race, color, national origin, gender, religion, ancestry, age, marital status, disability, arrest/court record, sexual orientation, or National Guard Participation. (Future service to be provided by DHRD.)

Employee Leave Administration

Staff Performance Management

Equal Employment Opportunity (EEO) Administration

Investigations Services & Assistance

Investigates allegations of unlawful discrimination and harassment. (Future service to be provided by DHRD.)

Personnel Transactions & Processing

Personnel Transactions Office (PTO) – executes all personnel transactions for employees on leave, employee transfers, and employee terminations (owners of employee information for the Executive Branch). This service provides position classification and management. Provides job position/position classification and auditing of positions. Manages the compensation plan associated to the position/job classification. Recruitment and staffing refers to the active marketing and hiring of personnel to capitalize on opportunities and fill vacancies within an organization as well as the activities focused on retaining staff. The reporting and maintenance of state employee time and attendance. (Co-led by DHRD and DAGS)

Position Classifications & Compensation

Recruitment & Staffing

Time & Attendance

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A.2.9.1 FUTURE STATE VISION FOR HUMAN RESOURCE MANAGEMENT
The future state vision for service provision and automation of the Human Resources Management (HRM) LOB will be shaped largely by a future ERP implementation. It is anticipated that most all HRM functionality will be covered by modules of the ERP. During the ERP implementation, a functional gap analysis will be a key phase of the project, and decisions will be made regarding any outlying functionality that would need a separate

solution path. The go-forward assumption at this time is that all current applications will be replaced by the ERP. The future state solutions architecture is depicted in Figure 71 below. Key features of this solution include:
• Hawai`i Anywhere” common web and mobile user “

interface architecture
• Everything as a Service” common solutions framework that “

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 71: Human Resource Management Future State Solutions Architecture

INFORMATION EXCHANGES
• ey interfaces: DAGS, departmental personnel staff, unions, K

persons seeking positions with the Executive Branch Departments
• nterfaces with payroll, pensions (ERS), and benefits (EUTF) I

A.2.9.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR HUMAN RESOURCE MANAGEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below. The primary objective is to participate with the ERP team to plan an approach to integrate Human Resource Management services and provide enterprise access.

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INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 39Table 62 below.

NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security,

digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

Table 62: Human Resource Management LOB Investment Initiatives

Name LOB Solutions: In Progress: None New: ERP HR Upgrade

Description

Cost

Notes

Strategic initiative to upgrade enterprise HR management capabilities through the ERP implementation.

One-time DME: SW: Pending Review + 20,000 hours + HW Pending Review Annual O&M: SW: Pending Review + 6,000 hours Current annual O&M: SW: Pending Review + 4,000 hours Specified in HRMS above.

Priority: High EA Compliance: High

HRMS

Replace current HRMS implementation by ERP.

Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium Priority: High EA Compliance: Medium

Employee Transaction System

To be replaced by ERP.

neogov

Recruiting software as a service sponsored by State Recruiting Office to support recruiting across the State. Work file integration with ERP HR.

One-time DME: 1000 hours (for file integration) Annual O&M: Other: Pending Review (SaaS)

Time & Attendance

Time & Attendance COTS package implementation with integration with overall Federated ERP architecture. This is a project that may overlap between Departments, as there are aspects of policy and rules determination along with operational procedures. DHRD will participate in the planning & design, however this specific initiative will be led by B&F. Functionality for managing leaves/absence benefits programs. This project also relates to Time & Attendance, however, implementation may follow the core HR system implementation. Assumption that Time & Attendance package will include required functionality with minimal customization. Learning Management is a key component of the ERP under the HR scope, however, this may be secondary to the core HR system implementation. Additionally, there isn’t any current system in place. Assumption that functionality is present in HR module(s).

One-time DME: SW: Pending Review + 20,000 hours + HW Pending Review Annual O&M: SW: Pending Review + 6,000 hours One-time DME: 2,000 hours Annual O&M: covered above

Priority: High EA Compliance: High

Leaves/Absence Management

Priority: High EA Compliance: High

Learning Management

One-time DME: 6,000 hours Annual O&M: 2,000 hours

Priority: High EA Compliance: High

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Name Performance Management

Description Performance Management is a key component of the ERP under the HR scope, however, this may be secondary to the core HR system implementation. Additionally, there isn’t any current system in place. Assumption that functionality is present in HR module(s). Benefits Administration is included under the general functions under “HR”, however, only voluntary benefit programs are administered by DHRD. Core medical and dental benefits are administered under EUTF using a separate system - Vitech. Future consideration needs to be given to how a common system may benefit multiple departments (i.e. DHRD and B&F - EUTF and possibly ERS).

Cost One-time DME: 6,000 hours Annual O&M: 2,000 hours

Notes Priority: High EA Compliance: High

General HR Benefits Administration

One-time DME: 2,000 hours Annual O&M: 2,000 hours

Status: Replace by ERP Priority: High EA Compliance: Medium

DHRD/HRM Web Content

Department’s Public and internal Web Sites (hosted by ICSD). Includes DHRD, SPIN, and HRD Community Pages. Future compliance to ESA Common Portal.

One-time DME: Pending Review Annual O&M: Pending Review

Priority: Medium EA Compliance: Low

LOB Infrastructure: In Progress: None New: None

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TRANSITION AND SEQUENCING
The T&S Plan for the HRM LOB in Figure 72 below provides the roadmap for implementation of the future state vision.

Figure 72: Human Resource Management Transition & Sequencing Plan Summary

A.2.10

PROCUREMENT

The procurement LOB provides State-Wide procurement policy, oversight, and execution for the total enterprise. Policy, oversight, and procurement execution is a centralized function. Procurement Execution is embedded in each State Department’s Divisions, Agencies, and Programs.

Table 63: Procurement LOB Business Services

LOB: Procurement Service Name State-wide Procurement Policy & Oversight

Service Definition

The procurement services provides State-wide procurement policy, oversight, and execution for the total enterprise. Procurement execution involves the purchasing, tracking, and overall management of goods and services. This includes the procurement of physical goods, products, and capital assets to be used by the State government. Procurement Execution is decentralized and embedded within each organization.

Procurement Execution

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A.2.10.1 FUTURE STATE VISION FOR PROCUREMENT
The future state vision for Procurement is to participate with the new ERP team and pursue immigration of legacy applications into the new ERP Procurement/Supply Chain functions. This will enable integration with other functional areas such as General Accounting, Tax, and State-Wide delivery of budget data to each State Department’s Divisions, Agencies, and Programs. The future state vision includes the following considerations:
• ork with the ERP strategy team to evaluate functionality to W

• rovide a Statewide procurement system that facilitates P

smart buys across the state (e.g., licenses, selected solutions, pre-approved products available on demand, etc.) The future state solutions architecture is depicted in Figure 73 below. Key features of this solution include:
• Hawai`i Anywhere” common web and mobile user “

interface architecture
• Everything as a Service” common solutions framework that “

address procurement services, replace legacy applications, and provide agile reporting and status, and mobile accessibility to information regarding procurement status.
• federated ERP will enable a modular approach to ERP A

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

function selection and integration with the State Enterprise.

Figure 73: Procurement Future State Solutions Architecture

INFORMATION EXCHANGES
• rocurement is a cross cutting service that has P

• rocurement is a central service that will be included in P

the new ERP initiative
• rocurement Execution is decentralized and will be P

information exchanges with each LOB that performs procurement transactions.

integrated as part of a new ERP solution.

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A.2.10.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR PROCUREMENT MANAGEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below. The primary objective is to participate with the ERP |team to plan an approach to integrate Procurement services to provide enterprise transactions.

NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing. The implementation roadmap should include:
• entralized purchasing for commodity IT is an opportunity C

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 64 below.

• ursue ERP Procurement Modules P • eed to overhaul the procurement system to eliminate the N

need for a six-part carbon PO forms and use of twinax dot matrix printers in all Departments.

Table 64: Procurement LOB Investment Initiatives

Name LOB Solutions: Production Alignment: Procurement Services Production Applications Portfolio

Description

Cost

Notes

The suite of fifty (30) procurement Applications will be replaced in a future ERP Procurement application. These systems are in Operation and Maintenance and will be sustained until all are replaced by a new ERP initiative. There are an estimated additional fifty (50) embedded Procurement applications within each State Department. These estimates do not include Procurement Services in Attached Agencies.

Annual DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: Low

New: ERP Phase II Procurement Architecture and Project Planning Initiate planning, perform Business Process Re-Engineering, prepare vendor specifications, evaluate and select vendor, and initiate conference room pilots One Time DME: Effort: Pending Review Portfolio Costs are captured in the ERP Section. One Time DME: SW: Pending Review HW: Pending Review Effort: Pending Review Portfolio Costs are captured in the ERP Section. Priority: High EA Compliance: High

ERP Phase II Procurement Project Life Cycle

Procurement services provide State-wide procurement policy, oversight, and execution for the total State enterprise. Procurement execution involves the purchasing, tracking, and overall management of goods and services. This includes the procurement of physical goods, products, and capital assets to be used by the State government. Procurement Execution is currently decentralized and embedded within each organization.

Priority: High EA Compliance: High

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 74. The implementation roadmap should address the following considerations:
• Initiate roadmap planning to pursue a comprehensive

• Pursue Business Process Re-Engineering to

streamline processes
• Actively lead and participate in the ERP Procurement

initiative to develop requirements, provide input to the ERP, and initiate pilots to configure, test and evaluate functional gaps in the new system.
• Address only must have gaps in the new product and

Procurement solution to be included as part of an enterprise ERP.

launch technical teams to fill the gaps.

Figure 74: Procurement Transition & Sequencing Plan Summary

A.2.11 ASSET MANAGEMENT & INVENTORY CONTROL
Asset Management provides accounting support for the management of assets. Inventory Control refers to the tracking of information related to procured assets and resources with regard to quantity, quality, and location.

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Table 65: Asset Management and Inventory Control LOB Business Services

LOB: Asset Management & Inventory Control Service Name Asset Management Inventory Control

Service Definition

Asset Management provides accounting support for the management of assets. Inventory Control refers to the tracking of information related to procured assets and resources with regard to quantity, quality, and location. Inventory tracking is related to the real time status of inventory throughout the complete life cycle of an asset. This includes from the initiation of procurement, receiving, storing, delivery to the desired location, steady state status inside a using organization, and final disposition of the asset through sale or retirement. with regard to quantity, quality, and location.

Inventory Tracking

A.2.11.1 FUTURE STATE VISION FOR ASSET MANAGEMENT AND INVENTORY CONTROL
The future state vision for Asset Management and Inventory Control is to provide an ERP central capability to integrate all inventory, control, and tracking of the State’s assets. Subject data bases will be provided to stakeholders and constituents to enable direct read only access to required information for each Agency and underlying organizations. This new ERP system will require representation and leadership from key organization involved in asset management and inventory control.

The future state solutions architecture is depicted in Figure 73 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 75: Asset Management and Inventory Control LOB Future State Solution Architecture 183 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix A

INFORMATION EXCHANGES
Asset Management and Inventory Control services cross cut most of the LOBs and will provide real time access to information and data needed to service other LOBs as well as access to for the citizens of Hawaii.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 64 below. The new ERP working group will include representation for this service. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

A.2.11.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR ASSET MANAGEMENT AND INVENTORY CONTROL
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below. The application portfolio for Asset Management and Inventory Control will be evaluated with regard to alignment strategies with the new Enterprise Architecture. An ERP initiative will provide most of the new functionality.
• FAIS - Fixed Asset Inventory System is an example of a system

for strategic alignment.

Table 66: Asset Management & Inventory Control LOB Investment Initiatives

Name LOB Solutions: Production Alignment: Asset Management and Inventory Control Services Production Applications Portfolio

Description

Cost

Notes

The suite of fifty (10) Application Management and Inventory Control Applications will be replaced in a future ERP application. These systems are in Operation and Maintenance and will be sustained until all are replaced by a new ERP initiative. There are an estimated additional fifty (50) embedded applications within each State Agency’s Departments and Sections. These estimates do not include Financial Services in Attached Agencies.

One-time Annual DME: Pending Review O&M: Pending Review

Priority: High EA Compliance: Low

New: ERP Phase II Asset Management and Inventory Control Architecture and Project Planning ERP Phase II Asset Management and Inventory Control Project Life Cycle Initiate planning, perform Business Process Re-Engineering, prepare vendor specifications, evaluate and select vendor, and initiate conference room pilots. One Time DME: SW$ HW: Effort: Pending Review Portfolio Costs are captured in the ERP Section. One Time DME: SW: Pending Review HW: Pending Review Effort: Pending Review Portfolio Costs are captured in the ERP Section. Priority: High EA Compliance: High

Asset Management provides accounting support for the management of assets. Inventory Control refers to the tracking of information related to procured assets and resources with regard to quantity, quality, and location. Inventory tracking is related to the real time status of inventory throughout the complete life cycle of an asset. This includes from the initiation of procurement, receiving, storing, delivery to the desired location, steady state status inside a using Agency, and final disposition of the asset through sale or retirement.

Priority: High EA Compliance: High

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 76. A comprehensive road map will provide a guide for sequencing legacy applicators and strategic alignment of services with the new EA.

Figure 76: Asset Management & Inventory Control Transition & Sequencing Plan Summary

A.2.12 GENERAL SERVICES
The General services LOB provides provision of services that cannot reasonably be classified in any other LOB. As a normal rule, all activities reasonably or closely associated with other LOBs or sub-functions shall be included in those LOBs or Sub-Functions rather than listed as a part of general services. This LOB is reserved for central State management operations.

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Table 67: General Services LOB Business Services

LOB: General Services Service Name Automotive Services

Service Definition

Operates a financially self-supporting motor pool program by assessing fees for the acquisition, operations, maintenance, repairs and disposal of state vehicles rented by various agencies. Provides custodial and food services for government facilities. Ensures that past artifacts that have significant relevance and importance for the state of Hawaii are identified, cataloged, stored and made available to the public and state agencies. Provides records management policy and procedures for records retention disposition schedules of records for the state executive and legislative branch. Operates a financially self-supporting parking program by assessing fees to provide and maintain parking facilities; to assign and control parking spaces for employees and the public; to direct traffic and provide security patrols in parking facilities, and to enforce parking rules and regulations. Oversees construction permits and ordinances within the state. Supports the provision of office services and personnel for the state. Management of leases of facility and office space in non-state buildings for user agencies. Activities required to develop and disseminate workplace policies such as dress codes, time reporting requirements, telecommuting, etc. The management of maintenance, administration, and operation of government facilities. Plans, coordinates, organizes, directs and controls a variety of engineering and architectural services for the State, including land acquisition, planning, designing, inspecting and managing construction projects, facilitating quality control, contracting, construction management, and equipping facilities and other improvements for State agencies. Provides the delivery of mail to all State agencies. Plans, schedules and executes all equipment and material moves.

Custodial and Food Services Archives Services

Parking Control

Construction Permits and Ordinances Office Services Space and Facilities Leasing Workplace Policy

Facilities Management General Construction Management

Mail Services Equipment & Material Moves

A.2.12.1 FUTURE STATE VISION FOR GENERAL SERVICES
Developing a future state vision for the General Services LOB will require assessing an existing set of applications to determine a disposition strategy. For example, can sets of application be strategically aligned with the new architecture by incorporating WEB based technology with a unifying user interface to select desired services? Some services may be incorporated into strategic initiatives at the enterprise level.

The future state solutions architecture is depicted in Figure 77 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

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Figure 77: General Services LOB Future State Solution Architecture

INFORMATION EXCHANGES
• General Services cross cuts all LOBs and involves information

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 68 below. The new ERP working group will include representation for this service. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

exchanges to request, authorize, fund, schedule, and perform a service.

A.2.12.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR GENERAL SERVICES
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below. The application portfolio for General Services will be evaluated with regard to alignment strategies with the new Enterprise Architecture.

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Table 68: General Services LOB Investment Initiatives

Name LOB Solutions: Production Applications Alignment

Description

Cost

Notes

NOTE: The applications below come from General Services’ applications and represent potential cost savings and operational streamlining by moving to a common enterprise solution. Annual O&M cost for each application is estimated at “Pending Review. ” That represents a total of approximately “Pending Review. ”

Project Tracking

Tracks project timeline and expenditures for all CIP projects managed by Public Works Division - [Access] Tracks usage and expenditures on building leasing for State usage. - [Access] Keeps track on all materials and supplies that are issued to work orders & projects - [RPG] The Hawaii State Archives was established in 1905 and is responsible for collecting, appraising, preserving, and making available to the public Hawaiian government records of enduring value. The Campaign Spending Commission (CSC) is the state’s political “”watch dog”” on campaign spending. An internet browser based system will be developed for the CSC to ensure that candidate campaign spending reports are filed timely, thoroughly and without. House Bill 2003 requires corporations to file a report for contributions made to candidate or candidate committees that total more “Pending Review” per two (2) year election period. The Campaign Spending Commission is the state’s political “”watch dog”” on campaign spending. This project will utilize the latest technology in communication to ensure campaign spending reports are filed timely, thoroughly and without error. It will al “Contains the names and descriptions of all “”public”” reports.” https://russellc.wufoo.com/forms/honolulu-foreveryoung-nomination-form/ http://payments.ehawaii.gov/kauaisewer (developed, supported, and hosted by HIC) hawaii.gov/campaign (hosted by ICSD) Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review

Replace with ERP

Building Leasing System

Replace with ERP

Materials Inventory Tracking

Replace with ERP

Digitized Gallery System

Records Management Upgrade

Hawaii Candidate Filing System

Replace with ERP

Hawaii Corporate Filling System

Replace with ERP

Hawaii Non-Candidate Filing System

Replace with ERP

Records Reporting System

Replace with ERP

Forever Honolulu Registration Form Kauai Sewer Payments

Virtualization Servers & Web Apps Virtualization Servers & Web Apps Web Pages

Campaign Spending Commission

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Name Hawaii State Foundation on Culture and the Arts Public Works FTP Public Works Division Aloha Stadium Department of Accounting and General Services Office of Elections Oahu Metropolitan Planning Organization Maximo

Description hawaii.gov/sfca (hosted by ICSD)

Cost Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review

Notes Web Pages

www4.hawaii.gov/publicworks (hosted by ICSD) hawaii.gov/pwd (hosted by ICSD) alohastadium.hawaii.gov (hosted by ICSD) hawaii.gov/dags (hosted by ICSD)

Web Pages Web Pages Web Pages Web Pages

hawaii.gov/elections (hosted by ICSD) hawaii.gov/oahumpo (hosted by ICSD)

Web Pages Web Pages

Inventory for Grant delivered equipment.City & County of Honolulu. Provide material and supplies inventory control for AIR-OM warehouse. Lotus Notes database application used to process Controlled Item Disposals. This database contains a roster of employees in the Harbors Division located at 79 S Nimitz Hwy and other locations. This roster is also used to create ID badges for the employees of this building This database contains a roster of employees in the Aliiaimoku Building located at 869 Punchbowl Street. This roster is also used to create ID badges for the employees of this building. Domino Reservation COTS template for meeting room in the CSS Library. Domino Reservation COTS template for the Director’s Conference Room The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment. The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment.

Virtualization Servers & Web Apps Replace with ERP

AIR-OM Materials and Supplies Inventory System AIR Controlled Item Disposal

Annual O&M: Pending Review Annual O&M: Pending Review

Virtualization Servers & Web Apps Virtualization Servers & Web Apps

79 S Nimitz

869 Punchbowl

Annual O&M: Pending Review

Virtualization Servers & Web Apps

ADMIN-Punchbowl CSS Reservation ADMIN-Punchbowl DIR Reservation Harbors Conference Video Reservation

Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review

Virtualization Servers & Web Apps Virtualization Servers & Web Apps Virtualization Servers & Web Apps

HAR-Kauai District Reservations

Annual O&M: Pending Review

Virtualization Servers & Web Apps

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Name HAR-M Reservations

Description The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment. This database contains a roster of employees in the DOT Kapolei Building located at Kapolei, Hawaii. This roster is also used to create ID badges for the employees of this building. Reservation application

Cost Annual O&M: Pending Review

Notes Virtualization Servers & Web Apps

HWY Kapolei

Annual O&M: Pending Review

Virtualization Servers & Web Apps

HWY-C Car Reservation

Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review Annual O&M: Pending Review

Virtualization Servers & Web Apps Virtualization Servers & Web Apps Virtualization Servers & Web Apps Virtualization Servers & Web Apps Virtualization Servers & Web Apps

HWY-C Conference Room Reservations HWY-Oahu District Reservations Wabits

Reservation application

Reservation application

Contracts regarding office furnishings, etc. for DOT

Agriculture Motor Pool Management System (AMS)

Keeps tracks of department vehicle information. Includes maintenance and usage information. (APPX Client/Linux Server)

In Progress: None New: Interim Solutions: Upgrade the following hardware with an i-Series IBM processor. Long Term Solution will be to replace these applications with the new ERP . Vehicle Repair Order Tracks vehicle repair parts, parts orders, interface to Motor Pool Sys. - Interim - Upgrade with IBM iSeries. This upgrade will also host the other IBM based applications. This is an interim solution until the new ERP is deployed. Generates minor repairs and emergency work orders for public buildings and libraries - [RPG] Interim Upgrade with IBM iSeries - covered by one procurement. Tracks statewide public buildings and libraries projects (includes backlog) - [RPG] Interim - Upgrade with IBM iSeries – Covered by one procurement. One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review One-time DME: Pending Review On-going annual O&M: Pending Review EA Compliance: 3 Priority: 3

Work Order

EA Compliance: 3 Priority: 3

Project Tracking/Priority

EA Compliance: 3 Priority: 3

LOB Infrastructure: In Progress: None New: None

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TRANSITION AND SEQUENCING
The current applications in General Services cover a broad spectrum of functionality and require additional analysis for final future dispositioning on the portfolio. Several considerations should guide the dispositioning:
• A significant subset of applications center in the General

• The Records Management application suite in support

of the Hawai`i Archives will be replaced/upgraded through a Records Management initiative.
• Conference room scheduling applications should be replaced

through the Collaboration & e-mail system upgrades.
• Support of the Automotive Management and Parking Control

Facilities Management business area. This industry has significant packages available for integrated automation. One example would be Maximo, which is already being used. This area like many within the State will have cultural challenges in removal of the highly customized applications that performs functions exactly as the user community expects as opposed to deploying an off-the-shelf package.

will be evaluated for a level of inclusion in the ERP, but may likely remain as custom applications.

A.2.13 INFORMATION TECHNOLOGY MANAGEMENT
The purpose of the Information Technology Management LOB is to assist state organizations in the effective, efficient and convenient delivery of programs and services to the public through business process reengineering and information technology services.

Table 69: Information Technology Management LOB Business Services

LOB: Information Technology Management Service Name IT Infrastructure Management

Service Definition

Involves the planning, design, and maintenance of an IT Infrastructure to effectively support automated needs (i.e. platforms, networks, servers, printers, etc.). Provides help desk services to the users of Enterprise applications. Supports all activities associated with the in-house design and development of software applications. Supports all activities associated with the operations and maintenance of in-house designed software applications. Includes Lifecycle/Change Management that involves the processes that facilitate a smooth evolution, composition, and workforce transition of the design and implementation of changes to agency resources such as assets, methodologies, systems, or procedures. Performs system analysis, engineering and design of business systems. Influence and determine decisions, actions, business rules and other matters within the IT organization managing the policies, guidelines, and standards regarding systems development, acquisition, and maintenance of information management to facilitate organizational standardization and coordination of information collection, storage, and dissemination, and destruction. Involves all functions pertaining to the securing of the State’s information and information systems from unauthorized access, use, disclosure, disruptions, modification, or destruction, through the creation and definition of security policies, procedures and controls covering such services as identification, authentication, and non-repudiation.

User Support Applications Development

Applications Operations & Maintenance

Systems Analysis & Design IT Governance, Policy, & Oversight

Cyber Security

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A.2.13.1 FUTURE STATE VISION FOR INFORMATION TECHNOLOGY MANAGEMENT
The Office of Information Management and Technology (OIMT) in leading the State in information resource and technology management will establish a culture of innovation throughout the State government. This strategy includes the key components of innovation and open government – transparency, engagement, and collaboration, as well other facets such as partnerships, entrepreneurship, idea generation, creative funding strategies, innovative science and technology, prizes, challenges, and grants.

The future state solutions architecture is depicted in Figure 78 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user

interface architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.

Figure 78: Information Technology Management LOB Future State Solution Architecture

INFORMATION EXCHANGES
Information Technology Management has touch points with all organizations through the following:
• Business process reengineering & optimization • Enterprise Architecture • Cyber Security

• IT procurements • IT service and support requests • IT change management • System & application implementation life cycle

phases – requirements & design

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A.2.13.2 TRANSITION & SEQUENCING PLANNING SUMMARY FOR IT MANAGEMENT
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

INITIATIVES
The needed initiatives for both LOB solutions and infrastructure are outlined in Table 70 below. The new ERP working group will include representation for this service. NOTE: Future LOB solution initiatives should adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. Future LOB infrastructure solution initiatives should adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

Table 70: Information Technology Management LOB Investment Initiatives

Name LOB Solutions: In Progress: Business Services

Description

Cost

Notes

Services and tool support for operations for the support of areas such as EA, portfolio management, System engineering, business process reengineering, and other business support activities for the State. Consulting and contracting services and personnel for support of State enterprise initiatives that improve government across multiple LOB’s and Department in areas of IT and all associated functions of IT. Labor that is for the development of IT security posture for the State and Departmental guidance in adherence to a State security posture for IT. Hawaii Innovation Program will undertake a series of projects as described below. Some of these projects are intended to stand up various components of the Program, while others are innovation projects that will eventually be transferred out of the Innovation Program and become either stand-alone programs or enterprise services.

Pending Review

Includes labor and tools

Enterprise Services

Pending Review

Security

Pending Review

Innovation Program

Pending Review

New: ERP The State is moving towards an ERP system as an enterprise solution for various aspects of business services such as Human Resources, Financial Management as well as other enterprise business functions. The Health IT Business Segment provides an overarching view of the Health Transformation initiatives across the State of Hawaii and embodies the health transformation vision over the next 10 years. This transformation includes the requirements for the Affordable Care Act (ACA), Medicare/ Medicaid, insurance connector, and analytics needed by the state and the state’s health care delivery system. It also includes the governor’s to transform health information Cost are covered in ERP section

Health IT

Costs are covered in Health IT section

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Name

Description technology to improve the health care delivery to Hawaiian citizens by leveraging the State’s new IT initiatives as well as the initiatives hosted by private sector organizations and funded by Federal grants.

Cost

Notes

Tax Modernization

To assist the Revenue Collections line of business as well as the Department of Tax with their migration from ITSM to a new tax system for the State.

Costs are covered in the Revenue Collection section

LOB Infrastructure: In Progress: ICSD Support for the ongoing support of the NGN and application hosting and high speed printing for the State. Pending Review

New: Hawaii Broadband An incident command information system to support public safety and other incident responders. Leverages public safety broadband initiatives (firstNet). This system will include field /mobile access devices that provide situational status reports to enable real-time data collection at remote sites that integrates across state agencies. Public Safety and Disaster Response information systems. Cost are covered in the broadband initiative for Disaster Management

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TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 79.

Figure 79: Information Technology Management Transition & Sequencing Plan Summary

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HEALTH IT
Healthcare services delivery and public health functions of the State are undergoing a transformation to empower better patient care. The Governor’s Healthcare Transformation Initiative is coordinating plans for a healthier Hawai‘i. Aligning with Federal reforms under the Patient Protection and Affordable Care Act (ACA), Hawai‘i seeks to lead State, Federal, and private sector resources toward the national Triple Aim goals of improving care quality for individuals, lowering costs, and creating better health for the entire State population. Envisioning a more effective, efficient, patient-focused healthcare system, the State Transformation Plan includes a four-point strategy of innovations for health via:
• Delivery system improvements • Payment reforms • Health IT • Healthcare purchasing

A.3.1 HEALTH IT BUSINESS SEGMENT
The Health IT Business Segment provides an overarching view of implementing the Hawaii Health Transformation vision as it moves into initiatives over the next 10 years. This transformation includes requirements for the Affordable Care Act (ACA), new Medicare/Medicaid initiatives such as Meaningful Use of electronic health records, insurance reforms, and health-related data analytics needed for the delivery system and statewide public health. The Governor’s Hawaii Healthcare Transformation Initiative (HHTI) aims to leverage state, Federal, and private sector initiatives to improve the wellness of all Hawaiian citizens. The use of information technology has revolutionized the American economy and advances in Health Information Technology offer an important opportunity to improve the Hawaiian healthcare system. Hawaii and the nation are facing rising healthcare costs that outpace inflation. State and Federal policies to encourage health IT implementation promise higher levels of health system efficiency and effectiveness. The national Triple Aim goals of better care, better health, and lower health costs require a foundation in data-driven system approaches to healthcare. Promoting this patient-centric vision for care across the state and furthering quality improvements are public health goals leading to enhanced wellness for all of Hawaii. Constructing resilient, interoperable Health IT systems builds a solid foundation to improve care quality, create a healthier population, and deliver better health outcomes while reducing healthcare costs.

The Health IT vision links the State to providers, hospitals, indirect health services, and health-related organizations, utilizing quality and performance measures to create a learning health system that creates better health outcomes for all. Hawai’i seeks systemic improvements in public health through measuring health status, performing assessments, and the tracking of preventions, promotion, and outcomes. Utilizing statewide efforts encouraging the use of Electronic Health Record systems and the secure exchange of information, Health IT innovation is the foundation for Accountable Care. Clinical information sharing will improve care coordination, reduce duplication and waste, empower patient engagement in their health, and enable public health analytics to shape policy decisions that will improve the health system.

A.3.1.1 CURRENT STATE FOR HEALTH IT
The current picture of Health Information Technology in the State of Hawaii among all stakeholders internal and external to state government is depicted in Figure 80. The Health IT environment comprises many separate interactions sharing clinical and claims data. These many, redundant data interactions comprise manual, semi-automated, and in limited cases, fully automated systems performing data transforms and data sharing to facilitate healthcare services delivery. Current data flows operate independently, limiting opportunities for information sharing between departments and partner organizations. Health care is constrained, as doctors are inhibited by limited information available in realtime at the point of care. Patient care additionally suffers from duplicated information flows, increasing health system costs. There are significant opportunities to improve the healthcare system through Health IT. Opportunities include: increasing organizational synchronization, simplifying care coordination, activating citizens to engage in their own health decisions, eliminating duplication of information, improving information quality and response times, advancing data on care quality, and eliminating manual processes thru automated interfaces.

A.3

STRATEGIC BUSINESS SEGMENTS

The State currently has two initiatives that are underway which have been identified as strategic business segments – Health IT and an Enterprise Resource Planning (ERP) system. These areas include multiple LOBs that require a level of tight integration across their business processes. The segment architectures for these areas are outlined below.

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Figure 80:Figure 80: Current State of Health Information Technology in Hawaii among All Internal and External Stakeholders, Simplified

HHTI ROADMAP
The Governor’s Hawaii Healthcare Transformation Initiative aims to develop and operationalize plans for improving local health. As a top healthcare purchaser for employees, retirees, and MedQuest enrollees, the State is leading strategic health system change. Leveraging the State purchase of healthcare for one-third of the population, the Transformation Plan will shape State, Federal, and

private sector resources towards a more patient-focused, responsive learning health system. Hawaii’s four-point strategy, as depicted in Figure 81 below, focuses on: 1. Changes needed in our healthcare delivery system aimed at improving and coordinating care for patients with the greatest and most expensive needs 2. Innovative payment models that reimburse for outcome improvements in our healthcare delivery system,

which reduce costs while improving quality and satisfaction. 3. Making better use of health information technology including electronic health records and the exchange of health information, and using health data to improve care and reduce medical errors, waste, and abuse. 4. Leveraging our status as healthcare purchaser for one-third of the State’s population to rapidly achieve the innovations we’ve identified above.

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Figure 81: Governor’s Hawaii Healthcare Transformation Initiative Four Point Strategy

Health IT is the foundational resource for systemic healthcare improvement, and is therefore critical to implementing state health strategy. Capitalizing on Federal reforms and the Triple Aim goals set out in national health policy, the state is creating a vision for a healthier Hawaii. Aligning with federal efforts, Hawaii seeks to empower patient access to their own health information, provide doctors with incentives for electronic medical record systems, cooperatively work with the delivery system to shape new payment models, and utilize reporting of systematized health data to improve citizen health. Using nationally-identified health and quality measures for patient interactions, providers, insurers, and the system, healthcare transformation will lead to better health outcomes. Information flow across State agencies, affiliated health organizations, providers, hospitals, insurers, and labs is critical to reaching the care, health, and cost goals for all of Hawaii. Specific long-term Health IT goals include: expanding the use of

electronic health records, promoting information exchange among providers, facilitating the operations of a statewide health data repository, and utilizing enhanced data analysis to perform health assessments for citizens and the system. These aims have the intent of driving public health gains for all Hawaii residents through transparent quality and cost reporting on providers, hospitals, insurers, and the entire healthcare system. The enhanced use of Health IT has the potential to improve care coordination, enhance inter-agency citizen services, reduce miscommunication leading to medical errors, decrease waste, and improve patient health outcomes over time. In order to achieve the optimum results and the highest benefit to the citizens of Hawaii, partnership and coordination between State government departments, agencies, officers, and the private sector – providers, hospitals, non-profits, pharmacies, labs, etc. – is absolutely essential. Maintaining this high level of collaboration will continue to be a challenge to all participants in Health IT, as it involves transformation that aligns diverse systems, disparate databases, and collective health goals. This system-wide transformation is akin to the past decade’s transformation of the banking industry thru government regulations and private sector financial institutions. This change created world-wide access to banks through ATMs, automatic deposits, internet banking, and Smart Phone banking. Complex system transformation of this magnitude, across a diverse set of communities and stakeholders will take time. Needed change will involve new regulations, new business processes, new data sharing and transformation strategies, and new automated systems. Health IT within the state government involves the following departments and lines of business:

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• Department of Health (DOH) - Public Health • Department of Human Services (DHS) - Human Services • epartment of Commerce and Consumer Affairs (DCCA) D

HI Insurance Industry Oversight (HIDS) and Professional & Vocational Licensing (PVL) LOBs
• Department of Public Safety (PSD) - Correctional Activities/

Public Safety
• Department of Education (DOE) • University of Hawaii (UH) - Higher Education • Employees Union Trust Fund (EUTF) (attached to BNF).

The roles and responsibilities of each stakeholder are outlined in Table 71 below. In addition, the OIMT will provide guidance through management of the Health IT Working Group, State IT infrastructure projects, and potentially manage Health IT grants programs. Health IT entities that are external to the

state government are the following non-profits: Hawaii Health Information Exchange (HHIE) Hawaii Island Beacon Project, Hawaii Health Connector (HIX), Hawaii Health Information Corporation (HHIC), Hawaii Health Systems Corporation (HHSC), and hospitals, providers, health insurers, labs, and pharmacies across the state. Each of the leading stakeholders and their roles from the State’s perspective are described in Table 71 and detailed in the following paragraphs. In addition, the systems for each state health-related department are illustrated via “as is” and “to be” diagrams in supplemental addendums. This plan includes the Health IT transition and sequencing plan of initiatives required by OIMT to coordinate and facilitate achieving a successful “to be” vision over the next 10 years. An essential element to assist with completion of the external initiatives is the establishment of a state Health IT grants program. In the near future, it will be determined which State organization is best suited to manage this grants program. Finally, the Attorney General’s office will provide guidance regarding legislative and policy changes that may become necessary to achieve the State’s Health IT goals.

Table 71: Health IT Stakeholders Roles & Responsibilities

Health IT Stakeholder/LOB Internal to Hawaii State Government OIMT

Business Services

Health IT Roles & Responsibilities

Information Technology Infrastructure Management, IT Governance, Policy & Oversight, Systems Analysis & Design

Provide IT infrastructure support (such as, network, cyber security, cloud, and other enterprise wide services), Provide governance and policy development & oversight, and Systems Analysis & Design as needed. In addition, OIMT will facilitate the Health IT Working Group. Support DOH health information systems and interfaces for Public Health systems; participate in Health IT Working Group meetings and strategic planning meetings with external stakeholders such as HHIE. Facilitate State capacity for health data aggregation and analysis to direct population health assessments. Upgrade MedQuest systems, Hawaii Automated Welfare Information System (HAWI) and Hawaii Prepaid Medical Management Information System (HPMMIS) to use the State’s HHIE MPI/MPD Interfaces; participate in Health IT Working Group meetings and strategic planning meetings with external stakeholders such as, HHIE. Upgrade the HIDS to use the HHIE MPD interface. Upgrade Professional Licensing (PVL) System to use HHIE MPI interface. Upgrade existing health management systems for the inmate population to meet federal mandates of EMR meaningful use.

DOH/ Public Health

Health Services for at Risk Underinsured Populations, Monitoring Health Events and Health Forecasting, Emergency Preparedness and Response, Health Promotion and Chronic Disease Prevention

DHS/Human Services

Human Services Case Management, Medical Assistance, Financial Assistance

DCCA/Commerce and Consumer Affairs

HI Insurance Industry Oversight Professional & Vocational Licensing

PSD/Correctional Activities/ Public Safety

Inmates Health Care Program, Community-based Mental Health Programs

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Health IT Stakeholder/LOB DOE/Education

Business Services Primary, Secondary Education

Health IT Roles & Responsibilities Integrate student health system with Public Health for EMR. Maintain existing EMR and interface with the state as needed. Upgrade the EUTF System to provide automated interfaces to DOH eDeath and DLIR Disability Compensation Information System (DCIS). Upgrade systems to use the HHIE MPI.

UH/Higher Education

Higher Education

EUTF

HHSC External to Hawaii State Government HHIE

Provide to the state, strategic and tactical planning to assist the State with its implementation of MPI/ MPD; Participate in Health IT Working Group meetings and strategic planning meetings with other external stakeholders as required. Handle insurance information exchange start up. Continue to implement and improve the Hawaii Health Insurance Exchange and assist in broadening its user base. Provide analytics to the healthcare delivery system and State agencies. Complete Federally-funded health IT initiatives and provide lessons learned to the Health IT Working Group and other State entities as needed.

HHC (HIX)

HHIC

Beacon

A.3.1.2 FUTURE STATE VISION FOR HEALTH IT
The vision for Health IT in the State of Hawaii is illustrated in Figure x and provides a high level, simplified view of what can be accomplished. The flows indicate the kinds of data that would be provided to each of the stakeholders both internal and external to the state. The central assumption is that all data would be pushed or pulled as needed by each stakeholder. Data flows will enhance the health of all Hawaii citizens, improving the cost and quality of healthcare, through a heightened focus on preventive primary care via the following:
• Making clinical data available to all providers as needed to

Registries to enable care extenders and providers to deliver more effective primary care.
• Empowering social services and health system use to ensure

all citizens receive needed services seamlessly without gaps in care.
• Engaging citizens to become active and empowered patients,

invested in learning about health conditions and improving their wellness.
• Facilitating Hawaii-based statistical analysis of all state

obtain a comprehensive health record for all patient diagnoses and treatment history independent of providers visited. This includes promoting Federal goals such as the Meaningful Use program to incentivize Electronic Health Record adoption.
• Reducing the percentage of patients lost to follow-up care,

health resource usage to aid in healthcare system evaluation, public health awareness campaigns, and direct health services interventions.
• Creating a learning health system that responds to patients

needs and efficiently delivers effective health services.
• Reducing the cost of new automated systems by establishing

thereby increasing health system effectiveness. This will be achieved in part through the use of chronic condition
State of Hawaii Business and IT/IRM Transformation Plan

standard interfaces between organizations and their disparate systems.
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In Figure 82, the Health IT vision is described, revolving around the Hawaii Health Information Exchange’s (HHIE) gateway interface to needed information through a Statewide Community Master Patient Index (CMPI) and Master Provider Directory (MPD). Utilizing these core exchange functions, each health-related State agency will tie into the CMPI through interfaces and agency-level Enterprise Master Patient Indices (EMPI). This vision links the state through the trusted HHIE network to hospitals, doctors, health centers, and indirect

service providers. Patient-centered health services drive the health transformation vision. Citizens will view the healthcare system through direct patient-provider interactions, empowered by new tools for systemic health data on quality, cost, and effectiveness. A patient will build their comprehensive health record, over time increasing the quality of services they receive. The My.Hawaii.gov portal will enhance patient knowledge and function as a transparent, easily accessible resource for all citizen-facing state information on health. In the Health IT

Figure 82: Health IT Vision with the Hawaii Health Information Exchange’s gateway interface through a Statewide Community Master Patient Index (MPI) and Master Provider Directory (MPD)

vision, system innovation is driven by quality with a foundation in evidence-based medicine to deliver better patient outcomes. All direct and indirect care providers, hospitals, insurers, and state health agencies will orient to improve health services to the citizens of Hawaii. There are several crucial areas of strategic emphasis critical to achieving the health transformation vision. Significant factors to be addressed include identifying relevant statewide policies and legislative changes necessary for health transformation implementation. Facilitating the health vision further requires defined public perception strategies to effectively communicate the benefits of health system changes. Other critical factors include:
• Sustaining the operational capabilities of the HHIE. Current

• Demonstrating the benefits to the state and delivery system

players of electronic health record systems. The value to statewide public health of comprehensive EHR’s must become clear to providers and all health system participants, including patients. Working alongside state partner organizations, the state must achieve the critical mass necessary for reaching envisioned care coordination and the Triple Aim health goals.
• Enhancing capabilities for health analytics across the state,

utilizing existing organizational partners such as HHIC and similar partners to coordinate and measure health statewide. The state must promote advanced analytics for care, population health, and research in order to reach the optimum results of a linked, learning health system.
• Coordinating the implementation of highly useful interfaces.

funding is Federal-grant based, with a limited time horizon. State government must further the ongoing discussion of solutions required to ensure that the HHIE will continue to provide crucial Information Exchange functions.
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The state is committed to working on the parallel development of critical Health IT interfaces between state agencies and the Health Connector and HHIE. These departmental system interfaces will function around a core State Hub for
Enterprise Architecture | Appendix A

Electronic Data Interchange, enhancing secure information flows between state lines of business. These efforts must be advanced to cooperatively align state health functions with Federally-funded health infrastructure partners, mindful of National time schedules.
• Establishing universally agreed standards for minimum

Federal Regulations (CFR) - 42 CFR Part II for confidentiality of client records of alcohol, substance abuse clients and HIPAA privacy regulations regarding access to health records and duration of access. The IT needs for Health IT envisions interfaces between State government and private sector health organizations, utilizing the most current medical information, EHR, software tools and technologies. The future state solutions architecture is depicted in Figure 83 below. Key features include:
• A secure mobile environment that fully supports providers, for

datasets. To empower accurate and timely system-wide reporting on quality and costs, the State and affiliated health resource organizations must utilize common data standards and fields for collected data.
• Coordinating the establishment of contracts to handle

organizational legal liability and privacy policies for ongoing security and access needs. The future State vision will correct some of the following deficiencies:
• Disparate databases, manual interfaces, delayed notifications,

example, providing mobile clinical device access to a patient’s health records maintained by the State to enhance physician understanding of a patient’s comprehensive health – future state implementation depends on the Hawaii Anywhere vision – the common user interface supporting any access device.
• A near paperless environment supported by reliable privacy

duplication of records, and data ownership issues.
• Confidentiality and security are serious concerns for electronic

health records therefore; enterprise security systems must be demonstrated as reliable, tracking access and performing system security audits. Systems that share information must be upgraded and designed to meet the progressing requirements of Meaningful Use while protecting the information by role based access and need to know via institutionalized security policies. Additionally, the systems must adhere to the Code of

and security services that provide regimented access to needed information– future state implementation depends on the enterprise digital asset (document) management service, and the enterprise security service providing rolebased access control and the enterprise data management services providing data/information security markings.
• The use of digital signatures, digitized case files, storage and

retrieval services that facilitate the paperless vision – future state implementation depends on the enterprise digital content management service.

Figure 83: Health IT Future State Solutions Architecture, Notional

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INFORMATION EXCHANGES
Health IT interfaces with other Departments performing health related services in the State. Currently these are largely manual processes, accomplished through transferring files and sending emails. In the future state vision, most interfaces external as well as internal to the State will occur through automated interfaces, such as those to the State Hub, HHIE MPI and MPD, and Health Connector. Figure 84 provides a notional depiction of these interactions in the future state solutions architecture. In the future state, interfaces are provided to link departments, organizations, and citizens. For example, insurance provider quality data will support insurance shopping through the Hawaii Health Connector (HIX). Primary care providers will share Electronic Health Records to enhance patient care through the Hawaii Health Information Exchange (HHIE). The state envisions that most connections will be through these two portals. Connections internal to the state will occur through MPI interfaces provided by DOH/Public Health, DHS/MedQuest,

DCCA HIDS and PVL, PSD/Correctional Activities – Inmate Health Care Program, and EUTF Systems. Other shared entities are: Hawaii Health Information Corporation (HHIC) for analytics and the Nationwide Health Information Network (NwHIN) for federal government reporting. This future state will enable health information to follow the consumer, be available for clinical decision making, and support appropriate use of healthcare information beyond direct patient care to support improving overall health care delivery. State agency health information technology priorities include the reorganization of systems to more effectively share data among agencies, and to reduce duplication. Through business process redesign of state agency functions, opportunities will be identified for new solutions that will expedite data sharing and reduce duplicate information systems. The state assessment of data relationships from a service-oriented architecture (SOA) perspective has identified functional relationships for modeling information systems and their function within the state and connections to outside organizations. Identified future information system upgrade priorities will target these data flows to return value to the state in agency day-to-day operations.

Figure 84: Health IT Future State Information Interactions, Notional

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A.3.1.3 INITIATIVES TRANSITION & SEQUENCING The initiatives needed for OIMT to PLANNING SUMMARY FOR HEALTH IT coordinate and ensure success as well as, solutions and infrastructures needed
The plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below are outlined in Table 72 below. The details for each of the new, key health transformation initiatives from other departments are included in the owning Line of Business sections.

NOTE: All Future Health IT solution initiatives will adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. All future Health IT infrastructure solution initiatives will adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

Table 72: Health IT Investment Initiatives

Name Business Segment Solutions: HIT Governance: Statewide HHIE Coordination for MPI and MPD

Description

Basis of Estimate

Cost

On-going oversight and facilitation of initiatives for Master Patient Index (MPI) and Master Provider Directory (MPD); attend meetings, provide guidance, and support as needed. Develop State government policies and develop MOUs that can be used internally and standard agreements that can be used externally for providers, hospitals, labs, etc.; requires AG input. Develop State government policies and develop MOUs that can be used internally and standard agreements that can be used externally for providers, hospitals, labs, etc.; requires AG input. Migrate the Hawaii Health Transformation Initiative to a formal office; Seek legislative guidance and provide input for written legislation.

½ FTE for 1 year; 1,000 hours of government labor ¼ FTE for 2 months

Pending Review

Formal MPI Agreements and Policies

Pending Review

Formal MPD Agreements and Policies

¼ FTE for 2 months

Pending Review

Establish Health Transformation Office

1 FTE for 2 years to establish office, and 4 FTE for 8 years to staff office 500 hours (1 year)

Pending Review

Establish Contract Access to Consultants

Establish contract with consultants for health transformation and plan development for Health; assist agencies in health related functions to seek federal grants. (OIMT) Provide governance and technical guidance for sharing health related data and services across agencies to minimize duplication and enhance citizen services. Establish Health IT Working group with appropriate representation from state agencies and partner organizations (HHIE, HHIC, etc). Provide funding for agencies to facilitate regular consistent participation.

Pending Review

Establish Governance for Data and Services Standardization and Sharing Formalize Health IT Working Group

½ FTE for 2.5 years of contract labor

Pending Review

160 hours of government labor

Pending Review

Health IT Working Group

4 hrs/month * 14 participants for 10 years 672 hours/ year = 6720 hours of

Pending Review

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Name

Description

Basis of Estimate government labor

Cost

Enable Meaningful Use: Establish EHR Adoption Grant Program Develop grant program to incentivize EHR adoption for a predetermined number of providers (approximately 8001000) not served by the Hawaii Pacific Regional Extension Center (REC) (e.g. HHIE); program to exist for two years – each provider gets one year of help; Pending Review for SaaS solution plus Pending Review/provider to implement plus Pending Review for SaaS = Pending Review = Pending Provide source selection and award; Evaluate progress and overall grant performance for meeting provider sign-on goals; OIMT Project Management Office. ½ FTE for 2 years plus Pending Review for 500 providers over 2 year period Pending Review

Award Grant to Administrator Grantee Evaluation

320 hours 1 FTE for 8 years

Pending Review Pending Review

Health IT Projects Data Sharing: Establish MPI/MPD Agreements with HHIE MPI/MPD Interface Setup (State w/ HHIE) Establish formal agreements between HHIE and state agencies especially DOH and DHS Setup MPI/MPD interfaces between state agencies and HHIE; implementation and integration ½ FTE PM ½ FTE for Technical from OIMT over 2 years spread over this and these 2 tasks using blended rate: 1. MPI/MPD Testing - System testing to ensure integration is complete 2. MPI/MPD Deployment - MPI/MPD Deployment; setup new software train staff and go live to complete transition. 200 hours Pending Review

½ FTE PM, 2 FTE for DOH, 2 FTE for DHS, 1 FTE for PSD, ½ FTE for EUTF and ½ FTE for DCCA Spread over this and next 2 subtasks for 2 years. Plus 5% of 5 positions O&M for 8 years. ½ FTE for PM, ½ FTE for DBA over 2.5 years. Plus ½ FTE O&M for 8 years ½ FTE for PM over 2years. Plus ½ FTE for DBA, ½ FTE O&M over 7 years ½ FTE (same person as Data Sharing task earlier) over 2 years. ½ FTE System Integrator (over 4 years – shared w/next task) contract labor

Pending Review

State’s Clinical Data Repository

Build/integrate data sets based on inter-agency agreements through ODBC or similar connections; dependent upon cloud services and data integration tool (assume enterprise availability). Build/integrate data sets based on inter-agency agreements through ODBC or similar connections; dependent upon cloud services and data integration tool (assume enterprise availability). Establish formal agreements with external health organizations (e.g. providers, hospitals, labs, pharmacies, etc.).

Pending Review

State’s Claims Data Repository

Pending Review

Establish Clinical & Claims Data agreements w/ External Entities

Pending Review

External Clinical Data Repository Interface

Build interface to access external clinical data with organizations with established agreements to support Public Health.

Pending Review

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Name External Claims Data Repository Interface

Description Build interface to access external claims data with organizations with established agreements to support Public Health.

Basis of Estimate ½ FTE System Integrator (over 4 years – shared w/next task) contract labor

Cost Pending Review

Health IT Projects: Portal (my.hawaii.gov): My.hawaii.gov (CRM) Systems Integration & Data Visualization (i.e. DOH, DHS, HIX, DCCA) Create portlets and other widgets as needed to aggregate data and facilitate data visualization (dashboards including quality and performance measures) for: a) Hospital Health Quality Data: Data Integration w/Hospital Compare - provides access to the federal hospital quality data under “Hospital Compare” program; create a portlet so the state has access to up to date information b) Doctor Compare – portlet to Doctor Compare when ready c) DOH, DHS, HIX, DCCA – widgets as needed to support citizen access to health care data d) Public Health Information: Geospatial (data acquisition, aggregation, visualization) e) Public Health Information: Syndromic (data acquisition, aggregation, visualization) Note: Dependent upon GIS, data integration tool (assume enterprise availability). Health IT Department Specific Projects DOH: EMR Upgrade BHMIS/AVATAR/ECURA DOH: EMR Upgrade – CAMHIS Upgrade electronic medical records system to EMR certified version Upgrade electronic medical records system to EMR certified version Develop interface to the HHIE for the Adult Mental Health Information System (BHMIS/AVATAR/ECURA) Develop interface to the HHIE for the Child Adolescent Mental Health Information System (CAMHIS) eVista Converge disparate HHIE interfaces into one HHIE interface for DOH Information Exchange for Meaningful Use Information Exchange for Meaningful Use Information Exchange for Meaningful Use Pending Review over 3 years + O&M for 7 years Pending Review over 3 years + O&M for 7 years Pending Review over 2 years Pending Review over 2 years Pending Review over 2 years Pending Review 3 FTEs programmers over 5 years; 1 FTE to cover coordination time with state agencies plus PM time 15% FTE Pending Review

Pending Review

DOH: HHIE Interface (ECURA)

Pending Review

DOH: HHIE Interface (CAMHIS)

Pending Review

DOH: EMR Convergence

Pending Review

DOH: Syndromic Surveillance DOH: Electronic Lab Reporting DOH: Immunization

Pending Review Pending Review Pending Review

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Name PSD: EMR Implementation

Description In Progress: eClinicalWorks EMR implementation for Inmate Health Records

Basis of Estimate DME: Pending Review O&M: Pending Review/year for 10 years

Cost Pending Review

PSD: HHIE Interface

Develop interface to the HHIE for the Inmate Health Record system. Replace the current MedQuest (Medicaid/eligibility) system (currently service purchased from State of Arizona) with new system owned by the State of Hawaii; cost includes projected 90% federal grant match Provide interface to HHIE for the Medicaid/eligibility system. Interface eligibility to the HIX Connector to review provider data. Provide interface from Hawaii Insurance Division System to HIX Connector to make available current insurance provider information such as: issuance of licenses; collection of taxes, fees, and fines; review of rate and policy filings; investigation of complaints and disciplinary actions. HIE to ensure current information of provider licensing through the Professional & Vocational Licensing system. Replace current benefits system with one that provides automatic interfaces to the ERP system, Vital Records, Case Management, and other state systems as required. Implement converged EMR solution in Cloud service Pending Review over 10 years + O&M Pending Review over 10 years Pending Review over 3 years

Pending Review

DHS: Replace HPMMIS

Pending Review

DHS: HHIE Interface DHS: MedQuest HIX Interface

Pending Review over 2 years Pending Review over 2 years Pending Review over 2 years

Pending Review Pending Review

DCCA: HIDS HIX Interface

Pending Review

DCCA: PVL HIE Interface

Pending Review over 2 years

Pending Review

EUTF: Replace EUTF System

Pending Review

EMR Convergence to Cloud

Pending Review

Enable Analytics: Analytics Product Trade Study Assumes using the KLAS data service as basis and 3 – 5 software packages analyzed Pending Review for KLAS service plus 1 FTE 3 months ¼ FTE for 3 years Pending Review

Establish Analytics Agreements (SLA) Analytics Service Pilot

Work with agencies to coordinate and establish Service Level Agreements (SLAs) Pilot the software

Pending Review

½ FTE for 1 year + SW Lease Pending Review 2 FTEs + SW leasing cost Pending Review/ year for 9 years

Pending Review

Analytics Service

Provide statisticians (epidemiologists, etc.) and software leasing (the tool selected from trade study) for needed number of users.

Pending Review

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Name Support Services: Professional and Team Development and Collaboration

Description

Basis of Estimate

Cost

Hire and develop workforce and establish contracts with consultants for health transformation and plan development for Health; assist agencies in health related functions to seek federal grants. Support Services: Health Transformation Office Dependent on Health IT working group direction; provide information models (detailed data definitions and ensure common minimum data sets) and data flow across agencies. Set up Cloud service and SLAs

1 FTE for 9 years of government labor

Pending Review

Facilitate Statewide Data and Services Modeling

1 FTE 2.5 years of contract labor

Pending Review

Establish HIT Cloud Service

1 FTE for 2 years of government labor 3 Positions at half effort for 8 years of government O&M + Cloud Service Cost

Pending Review

Provide HIT Cloud Services

Provide Software and services to the HIT cloud clients.

Pending Review

TRANSITION AND SEQUENCING
The plan for future state transition and sequencing of initiatives is depicted below in Figure 85 through Figure 89. In addition, Health IT solutions have critical

needs for the following new Enterprise-wide Solutions:
• Cloud services • Data integration

• Web application server • Case Management • Network security • Single sign-on

Figure 85: Health IT Business Segment Transition and Sequencing Plan Summary (1 of 5)

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Figure 86: Health IT Business Segment Transition and Sequencing Plan Summary (2 of 5)

Figure 87: Health IT Business Segment Transition and Sequencing Plan Summary (3 of 5)

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Figure 88: Health IT Business Segment Transition and Sequencing Plan Summary (4 of 5)

Figure 89: Health IT Business Segment Transition and Sequencing Plan Summary (5 of 5)

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A.3.2

ENTERPRISE RESOURCE PLANNING

A.3.2.1 BACKGROUND AND SCOPE
The ERP scope is challenging and will be prioritized to deliver phased implementations of services. Phase I includes a planning phase consisting of Requirements, Business Process Re-Engineering, preparing Request for Quotes to Vendors, Evaluating Vendors, and launching contracts for a System Integrator, Project Oversight providing Independent Verification and Validation (IV&V), and Hardware and Software contracts to support the ERP solution. Subsequent ERP phases involve Design and Implementation, Functional and System Testing, and Production Operations. ERP Components and Functional Scope are described in Table 73.

The State of Hawaii is facing an environment of continuous and rapid change due to technological surges and the need to transform old paradigms into new common business practices. The demand for real time integration across eighteen (18) State Departments and thirty-six (36) Lines of Business (LOB) is the result of a highly decentralized, localized, legacy environment. A priority for the State of Hawaii is to eliminate duplication of effort, retire applications and to reduce the current portfolio suite of an estimated seven hundred (700) systems and associated embedded services. The outcome will be a modern technological enterprise with standard business practices implemented with current technology. An important goal is to minimize customization of new solutions. Business Process Re-Engineering can assist in streamlining processes, eliminating waste and creating a new paradigm for work to proceed efficiently. Table 73: ERP Functional Components and Scope

Strategic Business Segment: ERP Components Budget/Finance

Functional Scope

Budget planning involves all activities undertaken to determine priorities for future spending and to develop an itemized forecast of future funding and expenditures during a targeted period of time. This includes the collection and use of performance information to assess the effectiveness of programs and develop budget priorities Accounting services entails accounting for assets, liabilities, fund balances, revenues and expenses associated with the maintenance of State funds and expenditure of State appropriations (Salaries and Expenses, Operation and Maintenance, Procurement, Working Capital, Trust Funds, etc.), in accordance with applicable State standards. A General Ledger is used to sort and store balance sheet and income statement transactions. Examples of general ledger accounts include the asset accounts such as cash, accounts receivable, inventory, investments, land, and equipment. Examples of the general ledger liability accounts include notes payable, accounts payable, accrued expenses payable, and deposits. Examples of income statement accounts found in the general ledger include sales, service fee revenues, salaries expense, rent expense, advertising expense, interest expense, and loss on disposal of assets.

Human Resource Management (HRM)

HRM involves all activities associated with the recruitment and management of personnel to include Benefits Management, Personnel Management, Positions Classification and Compensation, and Resource Training and Development. The management of federal grant services provides provision, management and reporting to federal agencies and congress. Grant management depends on a sound financial system, purchasing system, merit-based personnel practices, appropriate property management capability, sound security, health and safety practices, the ability to perform audit and resolution services, and to provide quality review and control activities. At present each organization provides grant management services. While each organization should be responsible for pursuing grants, a central Grants Management service will provide standards, guidelines, subject areas of interest, grant proposal examples, and a public offering organizing and describing State Grant opportunities for the citizens of Hawaii. Examples can be extracted from other State’s experiences.

Grants Management

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Strategic Business Segment: ERP Components Acquisition / Procurement

Functional Scope

Procurement execution involves the purchasing, tracking, and overall management of goods and services. This includes the procurement of physical goods, products, and capital assets to be used by the State government. The procurement services provides State-wide procurement policy, oversight, and execution for the total enterprise. Asset Management and Inventory Control provide accounting support for the management of assets. Inventory Control refers to the tracking of information related to procured assets and resources with regard to quantity, quality, and location Time and Attendance services are the reporting and maintenance of the State employee time and attendance activities. Payroll services provide for payroll management and expense reimbursement and involve the administration and determination of State employee compensation.

Asset Management and Inventory Control

Time and Attendance

Payroll

A.3.2.2 CURRENT STATE OF SYSTEMS FOR COMMON MISSION SUPPORT BUSINESS FUNCTIONS
The initial request to appropriate funds for Phase One of the ERP requirements and planning activities stated the following rationale regarding the current situation that is still relevant: Specifically, based on the recent assessment of State Services and Creation of the Information Technology Baseline Report, prepared by SAIC, a number of issues and cost savings/ avoidance opportunities were identified regarding the status of financial management activities (and other mission support business functions) across the State. Using this documented assessment and the input of the Departmental leadership statewide, the following provides the key reasons for the ERP initiative:
• Current processes are paper-based and are people intensive

• Numerous Departments have “procured” and implemented

financial management packages in an effort to meet management and reporting needs (especially Federal grant reporting requirements);
• Other Departments are planning on implementing a financial

management package in an effort to meet management and reporting needs;
• Inaccurate and non-timely entry of time and accounting

information increases the State’s payroll expenditures;
• Most Departments acknowledged that they were performing

financial management with a variety of point solutions, custom systems, and hybrid spreadsheets and databases to pull and push information to/from the State’s financial system;
• The current financial management/tracking system (FAMIS) is

a 25+-year old system design that is COBOL/mainframe-based and does not facilitate information integration or manipulation or necessary analytics;
• Support for the current financial management systems

at a time where staff reductions are negatively impacting the performance of these processes within the State;
• The State is not maximizing receipt of revenues due to process

inefficiencies
• Current financial reports (e.g., monthly and year-to-

hardware (an IBM mainframe) will not be available indefinitely from the manufacturer and it will continue to be costly, and further, individuals with the requisite COBOL skills will continue to be a staffing challenge;
• The three Departments that manage the State’s financial

date expenditures) lag behind actual expenditures for the Departments due to current processes and financial management system;
• The required level of analytical analysis to support projections

position, DOTAX, B&F, and DAGS, operate in a non-integrated environment; and,
• Accrual-based accounting required for financial reporting

and other financial management activities is not is not possible given the current financial management process and system;

(i.e., the Comprehensive Annual Financial Report) is manual intensive and cannot be produced within a reasonable (3-6 months after the close of the State’s fiscal year).

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Table 74 below provides estimates on the number of applications residing out in the Departments today that have the potential for consolidation and absorption into the federated ERP implementation. The IT Applications (IT APPS) are the number of applications captured by the base line assessment and identified by the sponsoring Line of Business providing the support. Embedded applications are individual applications created by departments, divisions, programs, etc.

to perform these functions on a local basis. Applications such as Finance and Budgeting, Human Resource Management, and Procurement are duplicated multiple times across the State. There are also multiple applications within each organization dealing with Time and Attendance and Grants Management. The ERP provides an integrated solution with subject data bases that will replace this distributed duplication of effort across the State.

Table 74: Potential Consolidation of Current Applications within the ERP Implementation

ERP Functions

IT Apps

Embedded Departmental Apps Estimated 100 200

Total Replaced By ERP

Human Resource Management Time and Attendance Payroll Finance Budgeting Inventory Grants Management Procurement/Acquisition Totals

30

130 200 1

1 60 30 150 200 200 30 151 200 1050

210 230 200 230 1201

The O&M for the IT APPS including fifty (50) Time and Attendance and fifty (50) Grants Management Applications is estimated to be Pending Review per year. For an ERP implementation of Pending Review over five (5) years with a 15% O&M continuing cost, the new ERP O&M is estimated to be Pending Review per year for a net savings of Pending Review per year.

A.3.2.3 FUTURE STATE VISION FOR ERP
The vision for a future ERP is a dynamic integration suite of functions that enables delivering quality information and services to all stakeholders thus replacing multiple implementations, duplications of effort and embedded practices within each State Agency. The ERP will become the trusted source for transactions and data validation. In addition the ERP can provide subject area data views that are derived and made available to stakeholders and constituents to serve the unique information needs of each organization. Technology gaps can be addressed but only after sufficient evaluation that the new requested function(s) are indeed necessary. The guiding principle to the selection of an ERP for the state of Hawaii is based on a service-oriented, federated approach.

The aim is the reduction in the total number of existing applications, improvement of data sharing, collaboration, mobile accessibility and functional execution between the different Lines of Businesses (LOBs) supported by an ERP consistent with the new State enterprise architecture. In pursuing a path forward it is essential that the boundaries of the ERP can plug and play seamlessly with other enterprise agents. There will be no boundaries to sharing data and enabling decision support within the ERP and externally to the broader set of LOBs. The appropriate architecture to enable a service-oriented approach is one which makes its components available over a network using cross cutting services. These component ensembles will still appear as a single ERP system to the end user, however it can consists of different independent elements which exist on different computers. Based on this construction it is possible for an enterprise to achieve real time data requests and provide functionality that achieves a state of plug and play services for their enterprise members over a layered network topology. Essentially the main objective of an ERP is to integrate business components across it domain, with other vendors, and with other LOBs. Important requirements going forward with an ERP implementation is to minimize customization and provide read only subject databases supporting data needs of each State Department and Lines of Business.

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Enterprise Architecture | Appendix A

to achieve the required integration. The future state solutions architecture is depicted in Figure 90 below. Key features of this solution include:
• “Hawai`i Anywhere” common web and mobile user interface

architecture
• “Everything as a Service” common solutions framework that

facilitates application assembly through reusing application “services” to include various “levels of sharing” such as LOB services, common LOB services, enterprise mission support (functional) services, and enterprise common (utility) services.
• These two above components enable the potential

The future vision for interoperability within the State across significant areas such as these Federated ERP functions with the strong potential for multiple packages being used plus the supporting enterprise common services such as Identity Management/Single Sign-On and Document Management (as examples) also with separate COTS solutions will require these features of the EA. Additional detail regarding a Federated ERP concept can be found at the following sources:
• A proposed Federated ERP architecture from Oracle to

“federation” and “plug and play” of multiple commercial offthe-shelf (COTS) packages as well as appropriate customized components within the mission support business segment. The over-arching architecture will identify integration touch points and shared business objects/data and specify needed services

the University of California: www.ucop.edu/irc/docs/ hrarchconcept.pdf
• A NASCIO position paper on the benefits of a service-

oriented environment (and implied enablement of a federated environment): http://www.nascio.org/publications/documents/

Figure 90: Federated ERP Future State Solutions Architecture

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 214

nascio-soa_research_brief.pdf A major planned feature of the ERP implementation will include the derivation of subject databases or subject data marts for use in business intelligence and analytics solutions, as depicted in Figure 91.

Figure 91: Federated ERP Future State Solutions Architecture

INFORMATION EXCHANGES
The elements of the ERP were chosen as flag ship initiatives serving a super set of LOBs. These services are cross cutting and provide seamless information integration across Revenue Collection, Budget and Finance, Financial Mnagement, Human Resources, Procurement, Asset Management and Inventory Control, Grant Management, and Planning and Resource Allocation. The architecture also enables a reach out to other LOBs to provide information and data services to satisfy business needs and to enable information exchange with the citizen’s and residents of Hawai`i on a need to know basis.

ERP IMPLEMENTATION CONSIDERATIONS
The industry literature contains numerous examples of project challenges and failures in ERP implementations. There is no greater situation in IT project implementations for taking great care in consideration of implementation challenges and risks, and lessons learned from others. ERP Implementation Challenges An SAIC strategist provided the following insight regarding a recently published article referenced below on this critical area: Snippet: Advice on avoiding five common ERP implementation errors This CFO Magazine article begins by describing yet another major ERP implementation disaster story. Even though more and more companies are adopting flexible, cloudbased ERP options, many organizations will still struggle trying to implement legacy-type ERP products. If you are ever involved in one of these projects, this article highlights vsome common errors you can help your team guard against. Here are excerpts:

A.3.2.4 TRANSITION & SEQUENCING PLANNING SUMMARY FOR ERP
ERP implementation considerations and the plan for needed transition initiatives to achieve the future state vision and the sequencing of those initiatives is described below.

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http://www3.cfo.com/article/2012/6/it-value_fiveerp-errors-cfos-can-avoid This story, unhappily, is far from unique. It happens all the time. Most likely, it has happened to you. What could the CFO have done to prevent this disaster? Here’s my list of five common ERP mistakes to avoid:
• Selecting the wrong product. Unbelievably, companies

laugh at this joke, so I’m thinking about retiring it.) I have seen companies push back their ERP launch date because recruiting those rare birds with the right blend of industry, technology, and leadership experience is much harder than they anticipated.
• Underestimating how long an ERP will take. It is rare

often select ERP packages that are not commonly used in their industries. In addition to looking for the right balance of reliability and flexibility, the ERP vendor you choose should have a long list of happy customers in the same industry as your own.
• Locating program leadership too low in the

for a company to complete an ERP implementation (or upgrade) in the time they budget at the start. Whatever formula you use, you have to build in a cushion because, if history is a guide, you are bound to need more time. A critical consideration from above, worth repeating, is the recommendation that the State find an ERP package that has a considerable track record for successful implementations within state government. The State could go so far as to research another state government’s organization/legislative funding/ financial structure and determine their level of similarity and then work with the state customer and the vendor to purchase a copy of their configuration/customizations. ERP Implementation Considerations in State Government as Industry Segment Within state government as an industry, a study performed by Gartner in association with NASCIO on statewide ERP implementations documented the data in the following tables – Table 75: Survey on ERP Implementation Cost within State Government and Table 76: Survey on ERP Packages Implemented within State Government.

organization. ERP is a game-changing project that requires leadership in the upper echelons. At the mid-management level, these directors do not have either the visibility or influence to lead. Consequently, the program suffers.
• Assuming that ERP is an IT project. I’ve said it

before and I’ll say it again: ERP is not an IT project; it is a business project, and it requires more than business sponsorship. It requires business leadership, not to mention resources, commitment, and engagement.
• Ignoring the talent question. Sometimes I tell clients,

“Finding SAP talent is easy. Just add a zero to their monthly pay.” (I’ve noticed that clients almost never

Table 75: Survey on ERP Implementation Cost within State Government

Estimated ERP Implementation Cost Pending Review Pending Review

States Idaho, Alabama, Maine, Nebraska, New Hampshire, Utah, Vermont Georgia, Kansas, Kentucky, Minnesota, New Mexico, North Dakota, Oklahoma, South Carolina, West Virginia Delaware, Illinois, Missouri California, Michigan, New York, North Carolina, Tennessee, Texas, Pennsylvania, Ohio

Pending Review Pending Review

Table 76: Survey on ERP Packages Implemented within State Government

ERP Packages Implemented within State Government AMS Advantage JD Edwards Lawson Oracle e-Business Massachusetts, Missouri, Nevada, Utah Nebraska New Hampshire Rhode Island

States

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ERP Packages Implemented within State Government PeopleSoft

States Connecticut, Georgia, Indiana, Kansas, Minnesota, Montana, New Mexico, New York, North Dakota, Ohio, Oklahoma, Tennessee, Texas, Vermont Arkansas, Louisiana, Pennsylvania Florida –PeopleSoft (financials) and SAP (outsourced using SAP HR/Payroll) Kentucky –AMS Advantage (financials) and SAP (HR/payroll)

SAP Combination

Underway and Undecided on Package

Alaska, Mississippi, West Virginia

Source: Gartner and NASCIO Study: Trends in Statewide ERP Implementations, 2009 For consideration, a notional peer group for use in comparing the State of Hawai`i based on population and revenue consists of: Alaska, Idaho, Kansas, Maine, Nebraska, Nevada, New Hampshire, New Mexico, Rhode Island, Utah, West Virginia. There are some observations that can be made from the data:
• Hawai`i’s implementation should not require the upper end of • ead and encourage functional ownership of the project . L • ake the time to map out, streamline, and standardize business T

processes for each functional area.
• stablish and implement common data standards. E • nsure Business and Technical contributors are sufficiently E

the spectrum in implementation costs as the largest states – a notional implementation cost in the band of Pending Review to Pending Review.
• PeopleSoft has a significant base of current state government

trained on the selected ERP.
• e-Engineer business processes with the targeted software in R

mind (“package-based re-engineering”).
• UST minimize customization of the ERP system. M

implementations. ERP Implementation Guiding Principles In planning and moving forward with ERP project execution, the following guiding principles are best practices within the industry:
• nsure proper governance structure is in place E • evelop business case and funding plan D • roviding Senior Management leadership and commitment P

Customization will drive the cost up and increase the complexity for operations, maintenance, and new version releases.
• nsure project teams do not slip into functional silos. An ERP E

is an integrated system where most decisions have impacts across the enterprise.
• et up project team facilities to facilitate COMMUNICATIONS S

and responsive decisions.
• reate a partnership with your software vendor, contractors, C

from each Division is critical to the success of the project. Eliminating obstacles, team building, and being a change agent for the culture to adopt new business practices are important
• nclude contingency in the ERP estimate. It is rare for I

implementation partners, and institutional stakeholders. ERP Program Management Considerations One of the greatest needs for a successful implementation will be establishing the appropriate executive leadership and functional expertise from the state. The notional ERP implementation program organization chart in Figure 92 below outlines initial considerations for the roles and involvement required.

a company or State Government to complete an ERP implementation in the time they budget at the start.
• reate a project organization structure to provide planning and C

quick response for decision making and issues management.
• reate a positive environment for the ERP team to function. C

This is a very difficult project and the team will need inspiration to stay the course.

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Figure 92: ERP Program Organization Chart

Considerations on ERP Implementation Approach Notional considerations on an ERP implementation approach are provided below in Table 77. The table outlines life cycle stages for an implementation and the activities within the life cycle stage. Table 77: ERP Implementation Life Cycle Model

ERP Implementation Life Cycle Stage Analysis and Vendor Selection

States • Select priority functions for first phase implementation • Produce Future State Vision for each Business Function • Develop detailed demonstration scripts for each element of the future state vision • Schedule demonstrations with prospective vendors • Identify gaps during first sessions with vendors • Schedule follow on sessions with selected vendors to address gaps • Prepare Specification for ERP RFQ • Prepare Specifications for Hardware and Software • Prepare Specifications for Hardware and Software • Initial Business and Technical Training for Project Teams

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ERP Implementation Life Cycle Stage Design

States • Take the time to map out the current business processes • Attend basic training on software to be implemented • Re-engineer business processes with the targeted software in mind • Packaged-based re-engineering defining the ideal “to-be” state • Initiate conference room pilots to design, configure, evaluate, and test functionality • Understand and define the data needs for each stake holder • Plan for ERP derived subject data bases to support data requirements for each agency

Implementation

• Plan for legacy data extractions, translation, and loading into the new ERP system • Scale up conference room pilots and test the performance of each functions • Identify interfaces that will be necessary to deliver data from existing systems that are not part of the initial phase. • Fully configure and implement all functions for the project phase • Ensure networks are deployed, tested and certified for operation

Functional Testing

• Develop functional test plans for standalone modules, module sets, interfaces, and full integration test plans • Perform functional test for each module with live data • Perform integrated testing for module sets ensure problems are found and fixed as the process moves forward • Perform testing of interfaces • Perform final integration testing of all modules

System Testing

• Develop system integration test plans to include interfaces from other systems • Perform system testing with live data in a test and evaluation environment • Perform integrated performance testing with simulated loads representing the target environment • Fully test, evaluate, and certify the system for production

User Training

• Ensure staff are properly trained and have access to consultants for coaching and guidance • Plan for efficient and seamless turnover from legacy applications to new system • The ERP production environment requires a standard, layered network topology, standard servers, operating systems, and centralized computing facilities that will include disaster recovery strategies, 24 x 7 operations, and a test and migration environment.

Production Operations

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Enterprise Architecture | Appendix A

INITIATIVES
The ERP implementation is recommended to be organized within 3 major implementation phases. A summary of the elements of the activities in within the phased approach are outlined below.
• An ERP working group team has

• Funding has been approved for a

– Budget Planning and Execution – End User Subject Databases, tools, and Analytics The initiatives needed for OIMT to coordinate and ensure success as well as, solutions and infrastructures needed are outlined in Table 78 below. NOTE: All future solution initiatives will adhere to the ESA Common Solutions Framework for interoperability with the Hawaii Anywhere common user interface and the use of Enterprise Services such as common security, digital content management, and collaboration & email services. All future infrastructure solution initiatives will adhere to the ETA Adaptive Computing Environment for enterprise and end-user computing.

FY13 start
• Phase I will include

– Human Resources – Payroll – Time and Attendance
• Phase II will include

been formed
• Phase 0 will include:

– Finance – Acquisition (Procurement) – Asset management and Inventory Control – Grants Management
• Phase III will complete the

– Planning – Business Process Re-Engineering – Request for Proposal (RFP) – Vendor Evaluation – Vendor Selection – Launch Pilots

deployments and include – Budget and Finance Function

Table 78: ERP Investment Initiatives

Name ERP LOB Solutions: New: ERP Phase 0 Planning

Description

Cost

Notes

Phase 0 involves ERP planning, Business Process Re-Engineering, Proposal preparation, Vendor evaluation and selection, and launching initial pilots.

One Time DME: SWPending Review HW Pending Review Effort: Pending Review One Time DME: SW HW Effort: Pending Review

Priority: High EA Compliance: High

ERP Phase I HRM

HRM involves all activities associated with the recruitment and management of personnel to include Benefits Management, Personnel Management, and Resource Training and Development Payroll services provide for payroll management and expense reimbursement and involve the administration and determination of State employee compensation. Time and Attendance services are the reporting and maintenance of the State employee time and attendance activities. Financial services entails accounting for assets, liabilities, fund balances, revenues and expenses associated with the maintenance of State funds and expenditure of State appropriations (Salaries and Expenses, Operation and Maintenance, Procurement, Working Capital, Trust Funds, etc.), in accordance with applicable State standards.

Priority: High EA Compliance: High

ERP Phase I PAYROLL

One Time DME: SW HW Effort: Pending Review One Time DME: SW HW Effort: Pending Review One Time DME: SWPending Review HW: Pending Review Effort: Pending Review

Priority: High EA Compliance: High

ERP Phase I Time and Attendance

Priority: High EA Compliance: High

ERP Phase II Finance

Priority: High EA Compliance: High

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix A | 220

Name ERP Phase II Asset Management and Inventory Tracking

Description Asset Management and Inventory Control provide accounting support for the management of assets. Inventory Control refers to the tracking of information related to procured assets and resources with regard to quantity, quality, and location. Procurement provides State-Wide procurement policy, oversight, and execution for the total State of Hawaii. This include RFQs, material procurement, shipping, receiving, delivery, and external services procurement. The management of federal grant services provides provision, management and reporting to federal agencies and congress. Grant management depends on a sound financial system, purchasing system, merit-based personnel practices, appropriate property management capability, sound security, health and safety practices, the ability to perform audit and resolution services, and to provide quality review and control activities. Budget planning involves all activities undertaken to determine priorities for future spending and to develop an itemized forecast of future funding and expenditures during a targeted period of time. Activities includes budgeting, planning, execution, structure, and treasury management.

Cost One Time DME: SW Pending Review Effort: Pending Review One Time DME: SW Pending Review Effort: Pending Review One Time DME: SW Pending Review Effort: Pending Review

Notes Priority: High EA Compliance: High

ERP Phase II Acquisitions /Procurement

Priority: High EA Compliance: High

ERP Phase II Grants Management

Priority: High EA Compliance: High

ERP Phase III Budget Perpetration

One Time DME: SW Pending Review HW Pending Review Effort: Pending Review

Priority: High EA Compliance: High

TRANSITION AND SEQUENCING
Considerations for sequencing of the implementation initiatives are outlined below:
• Year 1 Transitioning and Sequencing

• Year 2 Transitioning and Sequencing

– Phase I Design and Implementation of HRM, Payroll and Time and Attendance – Phase II Vendor evaluations – Phase II Vendor selection and award – Phase II Pilot selections – Phase II Project plans to support implementation. – Phase II Pilots reviews for lessons learned – Phase II Scale up and project launch
• Year 3 Transitioning and Sequencing

– Phase I ERP planning, Business Process Re-Engineering, Requirements and RFP – Phase I Requirements preparation to include process and data modeling of business services – Phase I Procurement options based on requirements – Phase I Project planning – Phase I Vendor evaluations – Phase I Vendor selection and award – Phase I Pilot selections – Phase I Detail project plans to support implementation. – Phase I Pilot reviews for lessons learned – Phase I Scale up and project launch – Initiate Phase II planning, Business Process Re-Engineering, Requirements and RFP for Phase II.
221 | State of Hawaii Business and IT/IRM Transformation Plan

– Phase I Functional and System Testing – Phase I User Training – Phase I Production Operations – Phase II Design and Implementation of Finance and Budgeting, Acquisition, Asset Management and Inventory Control, and Grants Management
• Year 4 Transitioning and Sequencing – Financial Management

– Phase II Functional and System Testing
Enterprise Architecture | Appendix A

– Phase II User Training – Phase II Production Operations
• Year 5 Transitioning and Sequencing – Budget Preparation

– Phase III User Training – Phase III Production Operations The plan for future state transition and sequencing of initiatives is depicted below in Figure 93.

– Phase III Functional and System Testing

Figure 93: ERP Business Segment Transition and Sequencing Plan Summary

State of Hawaii Business and IT/IRM Transformation Plan

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ENTERPRISE ARCHITECTURE (EA) – A BLUEPRINT FOR CHANGE APPENDIX B – PROJECT CHARTERS
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TABLE OF CONTENTS
B. PROJECT CHARTERS ...............................................................................................................................................................................17 B.1 ENTERPRISE TECHNOLOGY ARCHITECTURE INITIATIVES (EA SECTION 7)......................................................................17 B.1.1 ITSM (7.2.1.7) ........................................................................................................................................................................17 B.1.1.1 ITSM INITIATIVES AND ACTIVITIES .......................................................................................................................17 ITSM Program Development ...............................................................................................................................................17 Service Portfolio Development & Oversight.....................................................................................................................17 Customer Liaison Implementation ......................................................................................................................................18 IT Service Accounting System Implementation ............................................... ............................................................. 18 On-line Service Catalog Implementation .............................................................................. .......................................... 18 Service Level Reporting Implementation ............................................................................ ............................................ 19 Enterprise IT Services Analytics Implementation ......................................... ................................................................ 19 Service Supplier Management Implementation ................................ ........................................................................... 19 Continuity Planning ........................................................................................... ................................................................... 20 IT Service Knowledge Management System Implementation ................................................................................... 20 Federated CMDB Implementation ..................................................................................... ............................................... 20 Service Transition (Change Management) System Implementation ...................... .................................................. 21 Enterprise Service Desk Implementation ........................................................................................................................ 21 Service Operations System Implementation......................................................... .......................................................... 22 Enterprise Systems Management Implementation .......................................... ............................................................ 23 Enterprise Identity Management System Implementation ............................ ............................................................. 23 ITSM Continuous Service Improvement Program Execution ..................................................................................... 24 B.1.2 TECHNOLOGY DOMAINS (7.2.3) ........................... ......................................................................................................... 25 B.1.2.1 Infrastructure Domain (7.2.3.1) ............................................ .................................................................................... 25 Primary Data Center ............................................................................................................................................................. 25 Secondary Data Center ................................................................. ...................................................................................... 26 Three Island Data Centers .................................................................................................................................................. 26 Characterize, Schedule, and Migrate Applications from the Current Data Centers to the Primary Data Center ............................................................................................................................................................. 27 Develop a State-Wide Active Directory Services Environment ........................... ..................................................... 27 B.1.2.2 NETWORK DOMAIN (7.2.3.2) ............ ....................................................................................................................... 30 OneNet Initiative ........................................ ........................................................................................................................... 30 Video Support Initiative ............................. .......................................................................................................................... 30 IP Addressing – Removal of Network Address Translation from Departments Initiative ......................................30 IP Addressing – Transition from IPv4 to IPv6 Initiative ............. ................................................................................... 31 Network Security ...................................................................................................................................................................31 Network Security - Personnel ............................................... ............................................................................................ 32 Network Life Cycle ........................ ....................................................................................................................................... 33 Develop a State-Wide Active Directory Services Environment ................................ ................................................ 33

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B.1.2.3 END USER COMPUTING DOMAIN (7.2.3.3 .................................................... ....................................................... 34 Virtual Desktop Infrastructure (VDI) Pilot Test ............................................. .................................................................. 34 Virtual Desktop Infrastructure (VDI) Next Step Implementation ............. .................................................................. 35 B.1.2.4 UNIFIED COMMUNICATIONS (7.2.3.4) ...................................................... ............................................................ 35 Enterprise Collaboration Solution ........................................................... .......................................................................... 35 Voice over Internet Protocol (VoIP) Pilot Initiative......................................................................................................... 35 Voice over Internet Protocol (VoIP) State-wide Initiative ........... ................................................................................ 36 B.1.2.5 INFORMATION MANAGEMENT (7.2.3.5) ..................................... ......................................................................... 36 B.1.2.6 APPLICATION ENVIRONMENT DOMAIN (7.2.3.6) .................... .......................................................................... 37 Software Engineering Improvement ..................................... ............................................................................................37 Enterprise Data & Services Standardization & Sharing ............ .................................................................................. 39 Software Development Community Ecosystem .......................... .................................................................................. 40 EA Common Information & Solutions Architecture / Framework Administration................................................... 40 Common Portal Implementation ........................................................................................................................................ 41 Enterprise Services Implementation ..................................................................... ........................................................... 41 Legacy Systems Migration ................................................................................ ................................................................. 42 Project Registry & Reporting ........................................................................... .................................................................. 42 B.1.2.7 INFORMATION ASSURANCE & PRIVACY DOMAIN (7.2.3.7)....... ..................................................................... 43 Network Data Loss Prevention (NDLP) ..................................... ...................................................................................... 43 IT Security Policy ............................................................. ..................................................................................................... 43 Data at Rest (DAR) Encryption ........................................................................................................................................... 43 Server Configuration Stability Monitoring .................... .................................................................................................. 43 Automated Security Configuration Compliance Monitoring and Reporting ...... ..................................................... 44 Privacy Program Staffing and Sensitive Information Protection Improvements ........ ........................................... 44 Enterprise Security Operations Center(s) ............................................................... ........................................................ 44 Computer Incident Response Centers (CIRCs) ............................................. ................................................................. 45 Enterprise Penetration Testing Capability .................................................. ..................................................................... 45 Common Standards for Protecting Privacy and Other Sensitive Data ... .................................................................. 45 Secure Applications Testing Program .................................................... ......................................................................... 45 Enterprise Identity Management Solution ........................................... ........................................................................... 46 Network-Based Network Access Control (NAC) ............................. ............................................................................. 46 Network Security Upgrade ................................................................................................................................................. 46 Secure Wireless Access Solution ...................................................... .............................................................................. 47 Network End-to-End Encryption Solution ....................................... ................................................................................ 47 B.2 LOB INITIATIVES (EA APPENDIX A) ......................................... ................................................................................................. 48 B.2.1 CORE MISSION AREAS (A.1) .......................................... ................................................................................................ 48 B.2.1.1 DEFENSE (A.1.1) ...................................................... .................................................................................................... 48 Emergency Duty Orders and Pay System- EDOPS............... ......................................................................................... 48 Department of Defense Web Site ............................................... ...................................................................................... 48 State Active Duty System Implementation ................................. .................................................................................... 48 B.2.1.2 HOMELAND SECURITY (A.1.2) .......... ...................................................................................................................... 49 The Fusion Center ................................................................................................................................................................. 49
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Infrastructure and Analysis Functions ............................................................................................................................. 49 Homeland Security Grants Management ....................... ................................................................................................ 49 HRSS – Hawai`i Region Secure System .......................................................................................................................... 50 B.2.1.3 DISASTER MANAGEMENT (A.1.3) ....................................... .................................................................................. 50 WebEOC – Web-based Emergency Operations Center ............................................................................................... 50 Command Responder ........................................................ .................................................................................................. 50 EAS/CAP – Emergency Alert System ................. .............................................................................................................. 50 VTC - Video Teleconferencing ....... .................................................................................................................................... 51 Hawai`i Tsunami Evacuation Zone Maps ....... ................................................................................................................. 51 Mobile Emergency Response Command Interface (MERCI) ...................................................................................... 51 ESRI GIS .................................................................................................................................................................................. 51 Strategic Telecom Reserves ............. ................................................................................................................................. 52 Emergency Backup Satellite Phone System ......... ......................................................................................................... 52 State Wide Disaster Warning System Modernization (Outdoor Siren System)........ .............................................. 52 Incident Command Information Reporting System Implementation ........ ................................................................. 52 B.2.1.4 LAW ENFORCEMENT (A.1.4) ....................... ............................................................................................................. 53 Department of Public Safety – Training and Staff Development ...... ......................................................................... 53 Crime Victim Compensation Commission ................................................................... .................................................... 53 Department of Public Safety Website .............................................................................................................................. 53 Records Management System ................................................... ....................................................................................... 53 B.2.1.5 CORRECTIONAL ACTIVITIES/PUBLIC SAFETY (A.1.5) .................................. ..................................................... 54 PSD Integrated Web Site ............................................................................. ....................................................................... 54 Inmate Trust Account System ............................................................................................................................................ 54 Intake Service Center System ............................................................... ............................................................................ 54 PSD Time & Attendance .................................................................. ................................................................................... 54 FIS ..................................................................................................... ....................................................................................... 55 POEMS ......................................................................................... ........................................................................................... 55 eClinical Works .......................................................................... ........................................................................................... 55 RCUH Networking ................................................................................................................................................................. 55 HPA-VCC .................................................................................... ..............................................................................................56 Gang Information ..................................................................... ............................................................................................. 56 PC Upgrade ..................................................................................................... ....................................................................... 56 Statewide Automated Victim Information Notification (SAVIN) ......... ....................................................................... 56 Hawai`i Paroling Authority .................................................................................................................................................. 57 B.2.1.6 LEGAL SERVICES (A.1.6) ................................ ........................................................................................................... 57 Upgrade ProLaw ......................................................... .......................................................................................................... 57 Legal Services Case Management Software .............. .................................................................................................. 57 Upgrade iManage ................................................................................................................................................................. 58 Westlaw ............................................................................ ...................................................................................................... 58 Litigation Support Software ........................................ ....................................................................................................... 58 AG Website .................................................................... ........................................................................................................ 58 Charities Website ........................................................... ...................................................................................................... 59
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Legal Services Case Manager and eDiscovery .................... ........................................................................................ 59 Upgrade End User Computing for Legal Services ............... .......................................................................................... 59 Upgrade Standalone Servers for Legal Services Program ......................................................................................... 60 B.2.1.7 JUSTICE (A.1.7) ............................................................................. .............................................................................. 60 Automated Fingerprint Identification System ................................... ............................................................................. 60 Hawai`i Integrated Justice Information Sharing (HIJIS) .......................... ................................................................... 60 Criminal Justice Information System – (CJIS-Hawai`i) ................................................................................................ 61 National Crime Information Center/Nlets ........................................................................................................................ 61 Statewide Mugphoto System/Facial Recognition ......................................................................................................... 62 Lights Out Transaction Controller ...................................................................................................................................... 62 Green Box................................................................................................................................................................................ 62 Sex Offender Registry, Sex Offender Bulk Data, eCrim – Limited Criminal History Search, and Hawai`i Integrated Justice Information Sharing - Web Site Management . .................................... 62 B.2.1.8 CHILD SUPPORT SERVICES (A.1.8) ........................................................... ............................................................. 63 Infrastructure Maintenance ............................................................................................................................................... 63 Child Support Enforcement Services ................................. .............................................................................................. 63 KEIKI Maintenance / Enhancements ................................. .............................................................................................. 63 Interactive Voice Response Enhancement Project ............... ....................................................................................... 63 SharePoint - Child Care Workflow Implementation ...................................................................................................... 64 KEIKI Replacement Project ............................................................ .................................................................................... 64 CSEA Infrastructure Enhancements .............................................. .................................................................................. 64 B.2.1.9 STADIUM OPERATIONS (A.1.9) ............................................................................................................................... 65 B.2.1.10 TRANSPORTATION (A.1.10) .................................................... ............................................................................... 65 Financial Management System ......................................................................................................................................... 65 PropWorks Upgrade ................................................................ ............................................................................................ 65 HAR-GIS .................................................................................................................................................................................. 66 DOTCMS ................................................................................... .............................................................................................. 66 CIP Tracking ............................................................................. .............................................................................................. 66 Work Order/Trouble Call Tracking ..................................................................................................................................... 67 AIR-OM ...................................................................................... ............................................................................................. 67 Certification Tracking/Training ........................................................................................................................................... 67 KOA Fuel System............................................................. ...................................................................................................... 68 Hawaiian Aviation History Website Upgrade ................ ................................................................................................. 68 State Airport Websites ........................................................ ................................................................................................ 68 Traffic Accident Reporting System .................................. ................................................................................................. 68 Harbors Comprehensive Financial System ..................................................................................................................... 69 Automated Cargo Tracking System ........................................ .......................................................................................... 69 Hardware and Software License Audit Inventory System .......................................................................................... 69 Help Desk System ................................................................................................................................................................. 70 Ship and Vessel Scheduling System ....................................... ......................................................................................... 70 Cruise Scheduling System .................................................................................................................................................. 70 Harbor Property Management System ................................... ........................................................................................ 70
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Asset Management System .................................... ........................................................................................................... 71 Harbor Project Management System ................................ .............................................................................................. 71 Harbor Environmental Management System ..................... ............................................................................................ 71 Harbor Office Approval Tracking System......................................................................................................................... 72 Statewide Maritime Wireless Network System (MWNS) ........................................................................................... 72 Harbor Fiber Optic Cable Replacement ............................................ ............................................................................... 72 DOT Production Applications O&M .................................................................................................................................. 72 B.2.1.11 ECONOMIC DEVELOPMENT (A.1.11) ............................................. ...................................................................... 91 GIS ............................................................................................................................................................................................ 91 DBEDT Web Sites O&M ....................................................................... ............................................................................... 91 DBEDT - Document Tracking System (DTS) ............................. ...................................................................................... 91 DBEDT Legislative Tracking System ......................................... ....................................................................................... 92 DBEDT Infrastructure Upgrade ................................................ ......................................................................................... 92 DBEDT Wireless Implementation .......................................... ........................................................................................... 92 DBEDT Network Upgrades ................................................................................................................................................. 92 DBEDT VOIP ........................................................................................................................................................................... 93 B.2.1.12 COMMERCE AND CONSUMER AFFAIRS (A.1.12) ............................................ ................................................. 93 Oracle Managed Services – Database as a Service ...................................... ............................................................. 94 Complaint Management System (CMS) Forms Migration Project .............. .............................................................. 94 RDPMS Migration ................................................................................................................................................................. 95 Computer Account Request (CAR) Application Modernization ............. .................................................................... 95 RFA – ISCO Request for Action .......................................................................................................................................... 96 LTS – Legislative (Bill) Tracking System ............................................... ........................................................................... 96 DRS - Director’s Office Referral System ............................................. ............................................................................. 96 ELS - Employee Leave System Modernization................................................................................................................ 97 ITS – Incident Bug Tracking System .......................................................... ...................................................................... 97 Licensing Advisory Board Members Database ................................................. ............................................................ 98 Citation - RICO Citation Database ................................................................... .................................................................. 98 RFS1 – Request for Services (Insurance Office Services/Clerical) ................... ....................................................... 98 RFS2 – Request for Services (Insurance Legal) .................................................. .......................................................... 99 CRERS – Conference Room/Equipment Reservation System ..................................................................................... 99 SCAP - State Certified Arbitration Program (Auto Lemon Law Database) .......... .................................................... 99 IA/BD/MF/FR Application Modernization ...................................................................................................... ............... 100 Real Estate Continued Education Tracking System ............................... ......................................... ........................... 100 B.2.1.13 HUMAN SERVICES (A.1.13) ......................................................................................................... ........................ 101 HANA - Hawai`i Automated Network for Assistance ............................... .......................................... ...................... 101 HAWI - Hawai`i Automated Welfare Information System .................................................................... .................... 101 HARI - Hawai`i Accounts Receivable Information System ...................... .......................................... ...................... 101 CPSS - Child Protective Services System ................................................... ........................................ ......................... 102 VRISS - Vocational Rehabilitation Information & Statistical System ........ ......................................... .................... 102 Missing Children .................................................................................................. ........................................... ................... 102 Department of Human Services Website .............................................................................................. ....................... 103
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Adult Abuse and Neglect Registry ................................................................... ......................................... .................... 103 Electronic Benefit Transfer ........................................................................................................................ ...................... 103 Document Imaging and Content Management ......................................... ......................................... ........................ 104 POLog ............................................................................................................... .............................................. ...................... 104 Budget Creation & Tracking ........................................................................ ........................................... ......................... 104 HPMMIS .......................................................................................................... ............................................. ....................... 105 Hawai`i Housing Authority Accounting System (migration) ................ ......................................... ........................... 105 DHS Portal ....................................................................................................... ............................................. ....................... 105 PC Replacement ............................................................................................. .......................................... ......................... 106 B.2.1.14 EMPLOYMENT RIGHTS AND BENEFITS (A.1.14) ....................................................................... .................... 106 Direct Deposit of UI Benefit Payments ....................................................... ........................................... ....................... 106 UI Online Appeals Filing and Scheduling System ...................................... ......................................... ....................... 106 Internet Initial Claims Desktop Application ................................................. ........................................... ..................... 107 Alternative Site for UI IVR and Internet Servers .................................................................................... ..................... 107 Electronic Low Earnings Report System ....................................................... .......................................... ..................... 108 Unemployment Tax (SUTA) Dumping ............................................................. .............................................. ................. 108 State Information Data Exchange System (SIDES) ............................................................................. ....................... 109 DCD Network and Data Migration .................................................................. ............................................ ................... 109 DCD Replacement/Virtualization for Servers, Network Equipment, PC Client Equipment ................................ 110 WSD Workstations/Server Upgrade ............................. .......................................... ...................................................... 110 HLRB Electronic Filing and Document Storage .................. ........................................... ............................................. 111 HLRB Video Conferencing and Digital Recordings .................. ........................................... ....................................... 111 HCRC Electronic Filing and Document Storage ........................... ............................................ ................................... 112 HIOSH (Hawai`i Occupational Safety and Health) Boiler/Elevator (B&E) Web Development ................ ......... 112 HIOSH Safety, Health and Consultation & Training Migration to Web-Based Application ................... ............ 112 LIRAB Electronic filing and Document Storage ...................................................................... .................................... 113 Local Employment Dynamics ........................................................ ............................................ ...................................... 113 Workforce Longitudinal Data System ................................... .......................................... .............................................. 113 Construction Building Permits Database ............................ ......................................... ................................................ 113 iQ System .................................................................................................................................. ........................................... 114 Mass Layoff Statistics – Longitudinal Tracking System ......... ....................................... ........................................... 114 Agent Reporting System ................................................................ .......................................... ........................................ 114 Child Support Enforcement Intercept ......................................... ........................................... ....................................... 115 Cross Match of DHS & UI Wage & Employment Data Base ................................................... ................................. 115 ES-202 Employment and Wages Program ....................................... .......................................... .................................. 115 ES-203 ................................................................................................................................................... ................................ 116 ETA-204 Research and Statistics System ...................................... ........................................ ...................................... 116 Interstate Benefit Internet ................................................................. .......................................... .................................... 117 Unemployment Insurance Benefits .......................................................................................... ..................................... 117 Unemployment Insurance Quarterly Wage System .................. ....................................... ......................................... 118 Unemployment Insurance Tax System ............................................................... ......................................... ................. 118 Hawai`i Unemployment Insurance Express (Quarterly Wage Reports) .......... ........................................ .............. 118
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Department of Labor and Industrial Relations Website ............................................................................. ............... 119 UH State Employment Security Fund ................................................................... ........................................... .............. 119 Federal Parent Locator ..................................................................................................................................... ................ 119 Unemployment Insurance Interactive Voice Response System ................ ...................................... ...................... 120 Certificate of Age Registration System .................................................................................................. ....................... 120 WSD Information Management System ...................................................... ......................................... ....................... 120 Disability Compensation Lotus Notes DCDNet Program ..................... ............................................ ......................... 121 Disability Compensation System ................................................................. .......................................... ......................... 121 Hawai`i Occupational Safety and Health Division .................................. ......................................... .......................... 121 Local Area Unemployment Statistics ......................................................... ......................................... .......................... 122 Program Management Information System ............................................. ......................................... .......................... 122 Mass Layoffs Statistics ............................................................................... ......................................... ............................ 123 Alchemy Document Imaging and Management System ............................................................ .............................. 123 Estimate Delivery System ............................................................................ .......................................... .......................... 124 Career Kokua, the Hawai`i Career Information Delivery System ........... ........................................ ........................ 124 Projections Suite ............................................................................................................................................ .................... 124 Hawai`i Workforce Infonet ................................................................................ ........................................... ................... 125 Hawai`i Directory of Green Employers ........................................................... ........................................... ................... 125 HireNet Hawai`i ................................................................................................... ............................................................... 126 OCS Contract Tracking System ...................................... ........................................... ..................................................... 126 HIOSH Inspectors’ Desktop and Laptop Procurement ...... ........................................... ............................................ 126 WDD IT Equipment Updating ............................................. .............................................. ............................................... 127 B.2.1.15 EDUCATION (A.1.15) ................................................................................................. ............................................. 127 T-SEAS Substitute Teacher System ........................................................................... .................................................... 127 PDE3 Professional Development System .................................................................. ................................................... 127 Student Information System (eSIS) ................................. .......................................... .................................................... 127 Statewide Student Enrollment System (SSES) ....................... ........................................ ............................................ 127 Electronic Comprehensive Student Support System (eCSSS) .......... ....................................... ............................... 127 Data for School Improvement System (DSI) ................................................................................. ............................... 128 Hawai`i State Assessment ................................................................. ........................................ ..................................... 128 Data Warehouse/Longitudinal Data System ................................. ......................................... ..................................... 128 e-HR ...................................................................................................... .............................................. .................................. 128 Financial Management System (FMS) .................................................................................. ........................................ 128 Budget Execution and Preparation System ........................................................................ ......................................... 128 Financial Reporting System (FRS) .............................................. ........................................... ......................................... 129 Lotus Notes ................................................................................... ............................................ .......................................... 129 Maximo ......................................................................................... ............................................. .......................................... 129 SIF-Operational Data Store ...................................................... ........................................... ............................................ 129 DOE Enterprise Portal ................................................................ ............................................. .......................................... 129 1DOE Identity Management/Single Sign-On ........................ ............................................ ........................................... 129 Electronic Signature ........................................................................ .......................................... ....................................... 129 Data Governance Council .......................................................................................................... ...................................... 129
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FMS- Financial Management Systems ...................... ....................................... ........................................................... 129 Longitudinal Data Enterprise Solution ....................... ........................................... ........................................................ 129 Maximo ............................................................................ ............................................. ....................................................... 130 e-HR System ................................................................ ........................................... ............................................................ 130 B.2.1.16 HIGHER EDUCATION (A.1.16) ...................................................................... ........................................................ 131 Google Cloud for e-Mail .......................................... ............................................ ............................................................. 131 Financial System ...................................................... ........................................... ............................................................... 131 Research Administration ......................................... .......................................... .............................................................. 131 Web Enablement Initiatives ............................................................................. ................................................................ 132 Data Governance ............................................................................................. .................................................................. 132 Big Data .................................................................. ............................................. ................................................................ 132 ARRA Broadband Grants .................................... ............................................ ................................................................. 132 Security ................................................................... ............................................ ................................................................. 133 Document Imaging ................................................... ............................................ ............................................................. 133 B.2.1.17 PUBLIC HEALTH (A.1.7) ..................................... ........................................... ........................................................ 134 Upgrade electronic medical records system to an EMR certified version (BHMIS/AVATAR/ECURA) .... ....... 134 Upgrade electronic medical records system to an EMR certified version (Child Adolescent Mental Health Information System (CAMHIS) eVista) ............ ...................................................................... ....................................... 134 HIE Interface for DOH EMR for AVATAR/ECURA ..................... ...................................................... ............................. 134 HIE Interface for DOH EMR for CAMHIS (eVista) ..................................................................................... .................. 135 Upgrade WITS (Comply w/Fed funding requirements) .......................... ........................................... ........................ 135 TIMS/TBMIS: Replace DOS based w/ Web based system ............................................................ .......................... 135 Replace WIC System w/ Web based & Electronic Benefit Transfer Capabilities ........................................... .... 136 Syndromic Surveillance Information Exchange for Meaningful Use ........................ ....................................... ..... 136 Socio-ecological Assessment System using the Hawaii Health Data Warehouse ........ .................................. . 136 Upgrade eBirth Application ................................................................................................................................. ............ 137 Upgrade client server based system to web based and virtualize servers ...... .................................. ................. 137 MAVEN: Replace PHS3 as the Disease Surveillance System ................................................................ ................. 137 Replace ELR System ............................................................................................. ........................................... ................. 138 Electronic Lab Reporting Information Exchange for Meaningful Use ................................................................... 138 Increase HIR Usage................................................................................................ ........................................... ................ 138 Increase HIR Usage Immunization information exchange for Meaningful Use ............................................ ...... 138 Mobile Apps for reporting Health irregularities ............................................................................................... ........... 139 Integrate / Implement LYNC capabilities with MS Exchange & SharePoint .......................................................... 139 Production Alignment ............................................................................................. ............................................ .............. 140 B.2.1.18 ENVIRONMENTAL HEALTH MANAGEMENT (A.1.18) ........................................ ................................. ...........140 Air Monitoring Reporting System .......................................................................................................... ......................... 141 ePermitting System ........................................................................................ .......................................... ......................... 141 Hawai`i Environmental Information Exchange (HEIX) ............................ .............................................. ..................... 141 Hawai`i Environmental Health Warehouse (HEHW) ............................................................................. ..................... 141 Starlims Environmental Lab Testing ............................................................ ........................................... ....................... 141 Inspection and Complaint Tracking System ............................................... ......................................... ........................ 141
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Water Pollution Control System (WPC) ....................................................... ........................................... ...................... 142 Safe Drinking Water Information System ................................................... .......................................... ....................... 142 Environmental Impact Statement (EIS) ................................................................................................ ......................... 143 Inspection and Complaint Tracking System ........................................... ......................................... ............................ 143 Complaints Tracking and Compliance Enforcement of Environmental Variances ............................................ .. 143 Hazardous Evaluation and Emergency Response Information Systems ................ ....................................... ....... 143 Clean Air Branch Management Information Systems........................................... ........................................ ............ 144 Upgrade to the Environmental Health Data Warehouse ................................. ......................................... ................ 144 Safe Drinking Water Information System phase II - Sample collection and Reservation System........... ....... 144 B.2.1.19 AGRICULTURE (A.1.19) ................................................................... .......................................... ............................ 145 Agriculture LAN Conversion ........................................................ ............................................ ....................................... 145 Agriculture Resource Management Information System (ARMIS) ............... ....................................... ................. 145 Agricultural Loan Management System (ALA) .................................................. ......................................... ................ 145 Animal Quarantine Information System (AQSIS)....................................................................................... .................. 145 ASO APPX ................................................................................................................ ............................................. .............. 146 WINWAM .................................................................................................................... ............................................. ........... 146 Invicta .................................................................................................................................................................. ................. 146 ColdChain ................................................................................................................. ............................................. .............. 146 Department of Agriculture Website .................................................................. .......................................... .................. 147 PESTREG .............................................................................................................................................................. ................ 147 Dealer Licensing ........................................................................................... ........................................... .......................... 147 Brand Database ............................................................................................ .......................................... ........................... 148 Veterinary Laboratory Information System ..................................................................................... ............................. 148 Hawai`i Agricultural Food and Products Database ................................ ........................................ ........................... 148 HDOA Inventory ............................................................................................. .............................................. ...................... 148 HDOA Property Management .................................................................................................................. ....................... 149 B.2.1.20 LAND AND NATURAL RESOURCES (A.1.20) ................................................................................ .................... 149 Payroll Database DLNR ............................................................................. ............................................ ........................... 149 Automated Revenue Accounting System .............................................. ........................................ .............................. 149 Time and Leave System for DLNR ......................................................................................................... ......................... 150 Recreational Freshwater Game Fishing License .......................................................................... .............................. 150 Commercial Fisheries Licenses & Permits ............................................. ........................................ ............................. 150 Conveyance Recording .............................................................................. .......................................... ............................ 150 Conveyance Documents Search & Order ...................................................................................... .............................. 151 Uniform Commercial Code Recording .................................................... ........................................... ........................... 151 Vessel Registration ................................................................................................................................. ........................... 151 Civil Resource Violation System ............................................................................................................ ......................... 151 Well permit applications & forms ............................................................... .......................................... ......................... 152 Hunter Education Student & Exceptions Database ............................... .......................................... .......................... 152 FEMA Flood Designation ............................................................................................................................. ..................... 152 NFIP: National Flood Insurance program ............................................................................................. ........................ 152 NaAlaHele Commercial Hiking Permits .................................................. ........................................... ........................... 152
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Reports to City Tax Office ...................................................................................................................... ........................... 153 Appropriation Ledger ........................................................................................................................... ............................. 153 BOC Subscriber Services ..................................................................... ......................................... .................................. 153 Commercial Marine Licensing System ............................................. ......................................... ................................... 154 Online Hunting Licenses ......................................................................... ........................................... .............................. 154 Land Use Permits .................................................................................................................................. ............................. 154 Statewide Camping Reservation System ................................................ ....................................... .............................. 154 Department of Land and Natural Resources Web Site ..................................................................... ........................ 155 Commission on Water Resource Management .................................................................................. ........................ 155 Division of Boating and Ocean Recreation Web Site ......................................................................... ........................155 Division of Forestry & Wildlife Web Site ...................................................... ........................................... ..................... 156 Historic Preservation Division Web Site ..................................................... .......................................... ....................... 156 Maui Forest Bird Recovery Project Web Site ............................................ ........................................ ......................... 156 Office of Conservation and Coastal Lands Web Site ........................................................................ ......................... 156 DLNR Legislative Tracking System ............................................................. ........................................... ........................ 157 FAMIS Vendor Database .............................................................................. ........................................... ........................ 157 Correspondence Log DLNR ..................................................................................................................... ........................ 157 Track Referrals, Activities, and Correspondence for DLNR ........................................................... .......................... 157 Accounts Receivable System ....................................................................... ........................................ .......................... 158 Enforcement Management Information System ...................................... ......................................... ......................... 158 Harbor Pro/ BARS ......................................................................................................................................... ..................... 158 Enforcement Management Information System .................................... ......................................... ........................... 158 Civil Resource Violation System ............................................................................................................ ......................... 159 Electronic Recordation Management System...................................... ........................................ ............................... 159 DLNR GIS .................................................................................................... ............................................... .......................... 159 Land Trust IMS .......................................................................................... ............................................ ............................. 160 DNLR Disaster Recovery ........................................................................ ............................................ ............................. 160 Video Conferencing ........................................................................................................................... ................................ 160 DLNR Radio System ............................................................................... ............................................. .............................. 161 Network Infrastructure Upgrade ......................................................... ......................................... ................................. 161 Data Visualization System ..................................................................... .......................................... ................................ 161 B.2.1.21 HAWAIIAN HOME LANDS (A.1.21) ........................................................................................... ......................... 162 Integrated Data (MIS) DHHL ................................................................. ............................................. ............................. 162 Document Imaging .................................................................................... ............................................ ............................ 162 Virtualize Desktops & Servers DHHL........................................................ ............................................. ........................ 163 B.2.1.22 HAWAI`I STATE PUBLIC LIBRARY SYSTEM (A.1.22) ............................. ................................. ...................... 164 Government to Citizens Production Alignment Applications .......................................................... ......................... 164 Government to Government Production Alignment Applications ............ .......................................... .................... 164 Government to Citizens New Initiatives ..................................................................................................... ................... 164 Government to Government Production New Initiatives ......................................................................... ................. 164

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B.2.2 MISSION SUPPORT AREAS (A.2) ........................................................................ ........................................................ 165 B.2.2.1 LEGISLATIVE RELATIONS (A.2.1) ................................................ ........................................ ................................. 165 Legislative Relations Web Site O&M ............................................................ .......................................... ...................... 165 Departmental Legislative Tracking Systems O&M .................................... ......................................... ....................... 165 Enterprise Legislative Relations System Implementation ....................... ........................................ ......................... 166 B.2.2.2 PUBLIC AFFAIRS (A.2.2) ............................................................................... ............................................. ............. 167 iQ Implementation ................................................................................ ............................................ ................................. 167 Enterprise Mail Improvements ...................................................... .......................................... ....................................... 167 Public Affairs Collaboration System Implementation .................................................. .............................................. 167 LG LAN Improvements .................................................................................................................. .................................... 167 LG Phone System Improvements ............................................ ........................................... ............................................ 168 B.2.2.3 POLICY, CONTROLS, AND OVERSIGHT (A.2.3) ......................... ......................................................................... 169 Statewide Policy Control Workflow System ................................................................... ............................................. 169 Statewide Policy Control Document Management System ............ ...................................... .................................. 169 Statewide Policy Control Notification System .................................... ......................................... ............................... 169 B.2.2.4 PLANNING AND RESOURCE ALLOCATION (A.2.4) ............................... ................................. .......................... 170 B.2.2.5 GRANTS MANAGEMENT (A.2.5) ................................................ ........................................ ................................. 170 Grants Management ERP Planning ............................................. .......................................... ........................................ 170 Grants Management ERP .............................................................. ........................................... ....................................... 170 B.2.2.6 REVENUE COLLECTION – TAX MODERNIZATION (A.2.6) ..................................................... .......................... 171 Tax Modernization Revenue Collection Planning .................................................................... ................................... 171 Tax Modernization Project ....................................................................................................... ........................................ 171 B.2.2.7 BUDGET & FINANCE (A.2.7) ................................................................................................. ................................. 172 Budget & Finance ERP Planning ................................................ ........................................... ......................................... 172 Budget & Finance ERP .................................................................. ............................................ ....................................... 172 B.2.2.8 FINANCIAL MANAGEMENT (A.2.8) .......................................... ....................................... ................................... 173 Financial Management ERP Planning ............................................................................... ............................................ 173 Financial Management ERP ...................................................... .......................................... ............................................ 173 B.2.2.9 HUMAN RESOURCE MANAGEMENT (A.2.9) .............................. ...................................... ................................ 174 ERP HR Upgrade ................................................................................... ............................................. ................................ 174 HRMS, Employee Transaction System, and Bus Pass Operations & Maintenance .... ..................................... . 174 neogov ............................................................................................. ..................................................................................... 174 Time & Attendance ............................................................................................ ................................................................ 175 Leaves/Absence Management ..... ........................................ ......................................................................................... 175 Learning Management ........................................ .......................................... ................................................................... 175 Performance Management ................................. ......................................... ................................................................... 176 General HR Benefits Administration .................. ........................................... ................................................................ 176 DHRD/HRM Web Content ................................... ................................................ ............................................................. 176 B.2.2.10 PROCUREMENT (A.2.10) ............................... ............................................ ............................................................177 Procurement ERP Planning ................................ ........................................... .................................................................. 177 Procurement ERP Project .................................. ........................................... ................................................................... 177 B.2.2.11 ASSET MANAGEMENT AND INVENTORY CONTROL (A.2.11) ............. ............................ ...........................178
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Asset Management and Inventory Control ERP Planning ...................................................... .................................. 178 Asset Management and Inventory Control ERP ................................. .......................................... .............................. 178 B.2.2.12 GENERAL SERVICES (A.2.12) ................................................ ......................................... ..................................... 179 Project Tracking ............................................................................ ........................................... .......................................... 179 Building Leasing System ..................................................................... .......................................... ................................... 179 Materials Inventory Tracking ............................................................. .......................................... ................................... 179 Digitized Gallery System ...................................................................... ........................................... ................................. 179 Hawai`i Candidate Filing System ............................................................................................. ....................................... 179 Hawai`i Corporate Filling System ................................................ ........................................... ........................................ 179 Hawai`i Non-Candidate Filing System ........................................ .......................................... ........................................ 179 Records Reporting System ........................................................... .......................................... ......................................... 179 Forever Honolulu Registration Form ........................................................................................ ...................................... 179 Kauai Sewer Payments .............................................................. ......................................... ............................................. 179 Campaign Spending Commission ........................................... .......................................... ............................................. 179 Hawai`i State Foundation on Culture and the Arts ............................................................. ........................................ 179 Public Works FTP ...................................................................................................................... ......................................... 179 Public Works Division .................................................................. ............................................ ......................................... 179 Department of Accounting and General Services .................... ........................................ ......................................... 179 Office of Elections .......................................................................................................................... .................................... 179 Oahu Metropolitan Planning Organization .............................. .......................................... .......................................... 179 Maximo ........................................................................................... ............................................. ........................................ 180 AIR-OM Materials and Supplies Inventory System .............. ......................................... ............................................ 180 AIR Controlled Item Disposal ........................................................ ............................................. ..................................... 180 79 S Nimitz ......................................................................................... ............................................. ..................................... 180 869 Punchbowl ................................................................................ ............................................ ....................................... 180 ADMIN-Punchbowl CSS Reservation ......................................... .......................................... ....................................... 180 ADMIN-Punchbowl DIR Reservation ........................................................................................ .................................... 180 Harbors Conference Video Reservation ............................................................................. .......................................... 180 HAR-Kauai District Reservations ............................................... ........................................... ......................................... 180 HAR-M Reservations .................................................................... ........................................... ......................................... 180 HWY Kapolei .................................................................................... ............................................. ...................................... 180 HWY-C Car Reservation ....................................................................... ............................................ ................................ 180 HWY-C Conference Room Reservations ......................................... ........................................... .................................. 180 HWY-Oahu District Reservations ...................................................... ............................................ ................................. 180 Wabits ...................................................................................................... ............................................ ................................ 180 Agriculture Motor Pool Management System (AMS) ........................... ........................................ ............................ 180 General Services Production Alignment .................................................. ......................................... ........................... 181 IBM i-Series Computer Replacements .................................................... ......................................... ............................ 181 B.2.2.13 INFORMATION TECHNOLOGY MANAGEMENT (A.2.13) ....................................................... ....................... 182 Business Services .......................................................................................... ......................................... .......................... 182 Enterprise Services .......................................................................................... .......................................... ....................... 182 Security ........................................................................................ ............................................ ............................................ 182
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Innovation Program ................................................................................................................. .......................................... 183 ICSD ............................................................................................... .............................................. ......................................... 183 B.2.3 BUSINESS SEGMENTS (A.3) ...................................................... ........................................ ......................................... 184 B.2.3.1 HEALTH IT BUSINESS SEGMENT (A.3.1) .................................. ........................................ ................................. 184 HIT Governance: Statewide HHIE Coordination for MPI and MPD ........... ............................................. ............... 184 HIT Governance: Formal MPI Agreements and Policies ........................... .......................................... ..................... 184 HIT Governance: Formal MPD Agreements and Policies .......................... .......................................... .................... 184 HIT Governance: Establish Health Transformation Office .................................................................... .................... 185 HIT Governance: Establish Contract Access to Consultants .................. ......................................... ....................... 185 HIT Governance: Establish Governance for Data and Services Standardization and Sharing ...... ................. 185 HIT Governance: Formalize Health IT Working Group ............... .............................................. ................................. 186 HIT Governance: Health IT Working Group .................................. .............................................. ................................. 186 Enable Meaningful Use: Establish EHR Adoption Grant Program ............ ........................................... ................... 186 Enable Meaningful Use: Award Grant to Administrator ............................... .......................................... .................. 186 Enable Meaningful Use: Grantee Evaluation ......................................................................................... ...................... 187 Establish MPI/MPD Agreements with HHIE .............................................................................................. .................. 188 MPI/MPD Interface Setup (State w/ HHIE); MPI/MPD Testing; and MPI/MPD Deployment ............................ 188 State’s Clinical Data Repository ........................................... ......................................... ................................................. 188 State’s Claims Data Repository ............................................................................... ........................................................ 188 Establish Clinical & Claims Data agreements w/ External Entities ......................................................... ................ 189 External Clinical Data Repository Interface ................................................................................................. ................ 189 External Claims Data Repository Interface ..................................................... .......................................... ................... 189

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my.Hawai`i.gov (CRM) Systems Integration & Data Visualization (i.e. DOH, DHS, HIX, DCCA) ... ..................... 190 Health IT Department Specific Projects (these are included with the owning LOB) .. ....................................... 190 Health IT Department Specific Projects: OIMT .................................... ........................................... ........................... 191 Enable Analytics Projects: Analytics Product Trade Study ........................................................ .............................. 192 Enable Analytics Projects: Analytics Service Pilot .............................. ....................................... ............................... 192 Enable Analytics Projects: Establish Analytics Agreements (SLA)............................................... .......................... 192 Enable Analytics Projects: Analytics Service ............................................. ....................................... ......................... 193 Support Services: Professional and Team Development and Collaboration ........ ...................................... ......... 193 Support Services: Facilitate Statewide Data and Services Modeling .................. ................................... ............. 193 Support Services: Establish HIT Cloud Service ................................................ ......................................... ................. 194 Support Services: Provide HIT Cloud Services ............................................................................................. .............. 194 B.2.3.2 ERP BUSINESS SEGMENT (A.3.2) ............................................................ ........................................... ................ 194 ERP Phase 0 Planning ................................................................................................................................... .................... 195 ERP Phase I HR Implementation ......................................................... ............................................ ............................... 195 ERP Phase I Time and Attendance Implementation ...................... .......................................... .................................. 195 ERP Phase I Payroll ................................................................................ ............................................ ............................... 195 ERP Phase II Finance ..................................................................................................................... ................................... 196 ERP Phase II Asset Management and Inventory Control ........... .......................................... .................................... 196 ERP Phase II Grants Management .................................................. .......................................... .................................... 197 ERP Phase II Acquisition/Procurement ........................................ ............................................ .................................... 197 ERP Phase III Budget Preparation .......................................................................................... ....................................... 198

15 | Table of Contents

B. PROJECT CHARTERS
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 16

B. PROJECT CHARTERS
This appendix to the State of Hawai`i Enterprise Architecture contains the project charters for the various investments needed, driven from the Enterprise Technology Architecture (ETA) and the Lines of Business (LOB). Investments include initiatives or projects covering both Development, Modernization, and Enhancement (D/M/E) – typically a onetime investment – and Operations and Maintenance (O&M) – an on-going annual expenditure to maintain Steady State (SS). The project charters vary in the detail and precision of the investment profile, and serve as a starting point for managing the IT investment portfolio for the State. This appendix contains the project charters with no additional narrative. The section headings of this document reference the appropriate section within the EA ETA or LOB Appendix that correspond to the investments. Funding Source: General Funds Summary Basis of Estimate: 2 member team to conduct assessment and develop new implementation plan, communications program, and training program. Involvement of other stakeholders, participants estimated to as 50 people at 4 hours a month – approximately 1 additional FTE of effort. Ongoing includes 1 FTE as ITSM program manager.

Service Portfolio Development & Oversight
Use as a basis for planning and expanding the new OIMT enterprise services to be offered including their definition, price/ cost/funding structure, and service level agreements; leverages and re-purpose ICSD’s service catalog work. Establish services cost build-ups and pricing structures as part of overall funding strategy for OIMT. Adapt new services/product/technology evaluation and insertion methodology for services portfolio management. On-going includes covers service portfolio oversight, services funding model oversight, new service / product / technology evaluation / insertion oversight. Program: OIMT Initiative Type: Enterprise Infrastructure Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2012 Justification or Business Case: Establish service portfolio/ catalog for new enterprise services from OIMT and related processes and new service introduction approach/methodology. Budgetary Estimate:
• Personnel

B.1 ENTERPRISE TECHNOLOGY ARCHITECTURE INITIATIVES (EA SECTION 7) B.1.1 ITSM (7.2.1.7)
B.1.1.1 ITSM INITIATIVES AND ACTIVITIES
ITSM Program Development
Develop overall ITSM Program including People, Organization, Policies, Processes. Program: OIMT Initiative Type: Enterprise Infrastructure Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2012 Justification or Business Case: Establish service management program and processes for the state as a whole and initial implementation for IT service management. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 5600 hours Pending Review); and on-going O&M annually: 2000 hours Pending Review
• • Equipment/Hardware • Leases • Other

Services (Hours) – 1 time D/M/E: 1000 hours Pending Review on-going O&M annually: 2000 hours Pending Review
• • •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 2 member team with 50% commitment for 6 months - .5 FTE. On-going support includes 1 FTE.

($) – Pending Review

($) – Software – Pending Review

($) – Pending Review

17 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Customer Liaison Implementation
Establish customer liaison or customer relationship management role within OIMT and include services input and demand planning as part of the overall responsibilities. Validate demands for new & current services from Departments. Facilitate& support LOB portfolio management activities. Ongoing department customer liaison / customer relationship management. Outcomes: Customer Liaisons staffed. Dependencies: Confirm staffing included within People & Organization Plan – FTE for Customer Liaisons – ramp up over multi-year period to 12 representatives. Program: OIMT Initiative Type: Enterprise Infrastructure Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2012 Justification or Business Case: Establish customer service representation for OIMT to Departments/LOBs to improve service quality, and streamline service provision. Budgetary Estimate:
• • • •

Budgetary Estimate:
• Personnel

Services (Hours) – 1 time D/M/E: 2400 hours Pending Review); on-going O&M annually: 100 hours Pending Review ($) – Pending Review

• Equipment/Hardware • Leases

($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review ($) – Pending Review

• Other

Funding Source: General Funds Summary Basis of Estimate: Small package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff member half time (1000 hours), and user involvement (5 people 15% or 1400 hours). Purchase price for all solutions is estimated at Pending Review.

On-line Service Catalog Implementation
Service Catalog Management: Publish services catalog-level information regarding all production services through the OIMT web site in conjunction with services portfolio management discussed above. Include IT hardware products defined/ authorized based on the technical architecture. Expand service catalog capabilities in the future to include on-line requests and provisioning, e.g., use of a web form to request a virtual server and an automated provisioning system that implements the virtual server for the requester in near real-time. Outcome: On-line Published Service Catalog and On-line request and rapid provisioning capability implemented. Enterprise IT Hardware / Software Procurements standardized and included in catalog. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Streamlined, standardized, rapid provisioning of IT products and services. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 4000 hours Pending Review; on-going O&M annually: 200 hours Pending Review
• • •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – Pending Review Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 3 FTEs for first year. Ramping up to 12 FTEs for 10 years.

IT Service Accounting System Implementation
Develop needed IT services cost measurement and accounting processes and systems. Outcomes/Deliverables: Enterprise IT Services Accounting System deployed & operational. Dependencies: Leverage State ERP Financial Management module when operational; consider interim or pilot capability till that point Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: See On-going support falls into On-going Customer Relationship Management. Planned Start Date: 7/1/2013 Justification or Business Case: IT services budgeting, funding model, and cost accounting for accurate fee for service.

Equipment/Hardware ($) – 1 time D/M/E: Pending Review

Leases ($) – Software – 1 time D/M/E: Pending Review; ongoing O&M annually: Pending Review
•

Other ($) – Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 18

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff member full time (2000 hours), and user involvement (20 people 5% or 2000 hours). Purchase price for all solutions (service catalog and cloud provisioning) is estimated at Pending Review.

storage inventory data to include capacity attributes. Implement server and storage monitoring systems to track and trend usage data. Integrate demand planning and usage trend analysis into ongoing capacity management plan.

Service Level Reporting Implementation
Service Level Management and Reporting: Develop a program plan for service-level measurement and reporting in conjunction with services portfolio management. Identify all required service-level measures and measurement methods and techniques/tools. Implement service-level reporting systems and summary dashboards for OIMT. Outcomes: Enterprise service level dashboard and reporting capabilities operational. Depends on enterprise analytics capabilities. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Streamlined, standardized, rapid provisioning of IT products and services. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 4200 hours Pending Review on-going O&M annually: 200 hours Pending Review
• • •

Service Security Management: Integrate security operations monitoring and event response with enterprise operations center approach. Establish standard security monitoring solutions, approaches, and reporting. Leverage ArcSight and other existing products. Outcome: Availability, capacity, continuity, and security event analytics Depends on Enterprise Systems Management Implementation below in Service Operations Integrate with Information Assurance & Privacy program Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Analytics to optimize enterprise infrastructure up-time and availability. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 8400 hours Pending Review; on-going O&M annually: 800 hours Pending Review
• • •

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: Medium analytics implementation: Requires platform – web application server and database server. Software licensing for analytics services: SDLC project estimates: 24 month duration, 8400 hours total. SDLC includes Project Management (10%), Requirements (15%), Design (20%), Development (30%), Test (20%), Release (5%). Projected involvement: Project Manager (10%), 2 full-time Developers, Users (20 at 5%)

•

Funding Source: General Funds Summary Basis of Estimate: Medium dashboard/reporting implementation. Requires platform – web application server and database server. Software licensing for enterprise dashboard/ reporting services. SDLC project estimates: 12 month duration, 4200 hours total. SDLC includes Project Management (10%), Requirements (15%), Design (20%), Development (30%), Test (20%), Release (5%). Projected involvement: Project Manager (10%), 1 full-time Developer, Users (20 at 5%)

Service Supplier Management Implementation
Service Supplier Management: Documenting and maintaining relationship with third-party suppliers when used. Measuring supplier performance. Ensuring that suppliers participate in service request and incident management. Providing supplier reimbursement based on service fulfillment. Depends on Service Level Reporting Implementation

Enterprise IT Services Analytics Implementation
Service Availability & Capacity Management: Implement endto-end service monitoring system and measure up-time and response-time for critical applications, databases, processes, servers, storage devices, and networks. Leverage existing SolarWinds Orion toolset as the foundation. Profile server and
19 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2014 Justification or Business Case: Benefits include integrated service delivery team, corrective action, and dispute resolution. Extension of enterprise service level dashboard and reporting capabilities to include supplier tier. Extension of service operations system to include suppliers. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 4200 hours Pending Review; on-going O&M annually: 200 hours Pending Review
• • •

Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 1/1/2013 Justification or Business Case: Shared knowledge base for enterprise IT service providers to improve efficiency in problem resolution and improve overall user up-time. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 4000 hours Pending Review); on-going O&M annually: 200 hours Pending Review
• • •

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

Equipment/Hardware ($) – 1 time D/M/E: Pending Review

Leases ($) – Software – 1 time D/M/E: Pending Review; ongoing O&M annually: Pending Review
•

•

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff member full time (2000 hours), and user involvement (20 people 5% or 2000 hours). Purchase price for all solutions is estimated at Pending Review.

Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Medium dashboard/reporting implementation. SDLC project estimates: 12 month duration, 4200 hours total. SDLC includes Project Management (10%), Requirements (15%), Design (20%), Development (30%), Test (20%), Release (5%). Projected involvement: Project Manager (10%), 1 fulltime Developer, Users (20 at 5%)

Federated CMDB Implementation
Configuration & Asset Management: Implement federated Configuration Management Data Base (CMDB) – base federation on existing enterprise systems management tools, and build appropriate linkages/services to aggregate asset & configuration perspectives. Augment configuration management actions with appropriate Add, Change, Delete authorization. Integrate asset management transactions with enterprise asset management services. Integrate supply chain transactions with enterprise supply chain services. Outcomes: Federated CMDB deployed & operational. In parallel with enterprise infrastructure deployment. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Efficiency and quality improvements of overall IT service provision through visibility into IT items/assets and operational dependencies.

Continuity Planning
Service Continuity Management: Develop comprehensive availability and continuity plan including graded approach for DR based on business impact assessment. Outcome: Continuity and Disaster Recovery Plan and Routine COOP/DR Evaluation & Testing. Dependencies: In parallel with enterprise IT service provision. See Infrastructure domain for more information.

IT Service Knowledge Management System Implementation
Knowledge Management: Establish enterprise processes and a system for knowledge management. Ensure that all documentation regarding environments, asset configuration, known problems, workaround, solutions, user requests for service, and resolution scripts are stored within the knowledge management repository. Ensure that IT workers at all levels use the knowledge management repository for environment and work instruction documentation. Begin by ensuring that OIMT central services use this approach. Outcome: IT services knowledge management system deployed & operational. Depends on enterprise collaboration service and on enterprise knowledge management service / system approach.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 20

Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 6000 hours Pending Review; on-going O&M annually: 200 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review

improvements of overall IT service provision through visibility into IT items/assets and operational dependencies. Budgetary Estimate:
•

• •

Personnel Services (Hours) – 1 time D/M/E: 6000 hours Pending Review; on-going O&M annually: 200 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

• •

Other ($) – Pending Review
•

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Effort over 2 years will require 1 IT staff member full time (4000 hours), and user involvement (10 people 5% or 2000 hours). Purchase price for all solutions is estimated at Pending Review.
•

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Effort over 2 years will require 1 IT staff member half time (2000 hours), and user involvement (20 people 5% or 4000 hours). Purchase price for all solutions is estimated at Pending Review. Assume same platform as CMDB.

Service Transition (Change Management) System Implementation
Enterprise Change Management: Record, plan, route, review, and approve changes associated with a configuration item. Provide adequate capacity to support change. Ensure that change meets security, availability, and continuity requirements. Convene a change review board with a balance of technical expertise and authority. Create an emergency change review process. Communicate planned service outages through a schedule of change and transition project portfolio. Perform post implementation reviews, project lessons learned, and impact of change on incident volume. Transition Project Management: Address project management and oversight of all key elements of a service/product/ technology insertion with well-planned roll-out and upgrades to existing service/product/technology including communications to and involvement of all key stakeholders in schedule decisions and transition execution, and impact analysis, planning, and mitigation. Release, Validation, Testing, Deployment, and Evaluation Management: Establish enterprise standards and procedures for execution of releases to the production environment. Ensure adequate impact analysis and testing to mitigate impact on the production environment. Ensure appropriate deployment plans are developed, tested, and executed including roll-back procedures. Outcome: Service Transition System deployed & operational. In parallel with new enterprise service implementation and in parallel with Federated CMDB. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Efficiency and quality
21 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Service Desk Implementation
Establish Tier 1 Service Desk Function and ITIL Service Operation processes. Incident Management – Provide/restore service as quickly as possible by classifying, prioritizing, routing, and escalating incidents. Establish tier/escalation definitions. Communicate status of incidents. Validate user satisfaction with incident resolution. Request Fulfillment – Capturing requests, distributing requests through workflow and approval, and submitting requests for fulfillment through incident management. Benefits include self-help, automation, and efficiency. Access Management – Include all access requests in central service desk implementation. Problem Management – Establish root cause analysis approach and procedures as part of a problem management process within the service operations program plan. Over time, ensure that all IT critical failures at all levels include a root cause analysis. Outcomes: Enterprise Tier 1 Service Desk established & operational with Service Operations processes. In parallel with deployment of initial enterprise IT services. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Efficiency of service restoration and request fulfillment for end users to enhance overall user productivity.

Enterprise Architecture | Appendix B

Budgetary Estimate:
•

Service Operations System Implementation
Evaluate, select, & implement Integrated Service Operations solution. Modules include: Enterprise “Ticketing”, Knowledge management, Self-help Web portal and tools, User Service Request, Integration with federated enterprise systems management tools (event management), remote support tool. Outcomes include Integrated Service Operations Solution and Integration of Event Management and Incident Management. Dependencies: In parallel with Service Desk implementation and integration with enterprise systems management (event management integration). Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going within Service Desk initiative. Planned Start Date: 7/1/2013 Justification or Business Case: Efficiency of service restoration and request fulfillment for end users to enhance overall user productivity. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 0 hours; on-going O&M annually: 0 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review

• •

Other ($) – on-going O&M annually: Pending Review (full scale); pricing adjusted to ramp up service over 4 years.
•

Funding Source: General Funds Summary Basis of Estimate: Industry estimate on service desk. Source: ProBenchmark Online Market Assessment. ServiceDesk Market Report: United States 2012 - Q2 Pricing. Target of Pending Review per incident; lower bound of Pending Review and upper bound of Pending Review. 44,000 monthly incidents. Pending Review 00 a month. Pending Review annually. Note: Pricing adjusted to account for ramping up service over 4 year period.
•

Includes Tier 1 Service Desk Services.

• Number

of incidents per month 44,000 based on 1.1 incidents per month for 41,000 users.
• Average • Hours

Talk & Wrap Time 10

Personnel Services (Hours) – 1 time D/M/E: 4000 hours Pending Review on-going O&M annually: 0 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

of Operation 7 x 24.
• •

• Service

Desk First Call Resolution SLA 70% % of at risk pool for SLA failure 0%. Speed to Answer Earnback in Contract No

• Average • Percent • Within

•

of calls answered 80% Contract Length (Months) : 60

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Effort over 1 year will require 1 IT staff member full time (2000 hours), and user involvement (20 people 5% or 2000 hours). Purchase price for all solutions is estimated at Pending Review. Assume same platform as CMDB. Assume O&M is covered in Service Desk initiative.

how many seconds? 30 Rate SLA (% of calls) 7%

• Abandonment • Language •% • Is

Types

Standard Language Incidents 100 the Service Desk Toolset included in Pricing? Yes provided by vendor None

• Bandwidth • Inbound

(800) calls Yes

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 22

Enterprise Systems Management Implementation
Event Management & Enterprise Systems Management – Enhance operational availability monitoring through monitoring service infrastructure using network and server management tools, such as SolarWinds, CiscoWorks and Tivoli. Automate alerts and forward to an incident management system for automated ticket creation and support staff notification, where they are then tracked to resolution by the Service Desk. Design and implement needed monitors for application and infrastructure events (e.g., a server outage) and initiate appropriate incident notification and resolution processes. Outcomes: Enterprise systems management deployed & operational. Integration of event management with incident management system. Dependencies: In parallel with incident management system. In parallel with roll-out of enterprise services. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 18 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Efficiency of service restoration for end users to enhance overall user productivity; proactive visibility into service availability and capacity usage. Budgetary Estimate:
•

Enterprise Identity Management System Implementation
Access Management – Establish access management systems to provide self-service options for end users on password management and resets. Establish identity management systems for management of credentials and role-driven access management. Outcomes – Identify management system deployed & operational. Role-based access control operational. Dependencies: Integrate with Information Assurance & Privacy program Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 18 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Efficiency of service fulfillment and restoration for end users to enhance overall user productivity; ensure compliance to security best practices. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 6000 hours Pending Review on-going O&M annually: 400 hours Pending Review
• • •

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

Personnel Services (Hours) – 1 time D/M/E: 6000 hours Pending Review); on-going O&M annually: 400 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

•

• •

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Effort over 1 1/2 year zwill require 1 IT staff member full time (3000 hours), and user involvement (20 people 5% or 3000 hours). Purchase price for all solutions is estimated at Pending Review. Assume same platform as CMDB.

•

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Effort over 1 1/2 year will require 1 IT staff member full time (3000 hours), and user involvement (20 people 5% or 3000 hours). Purchase price for all solutions is estimated at Pending Review. Assume same platform as CMDB.

23 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

ITSM Continuous Service Improvement Program Execution
On-going service monitoring & analysis, corrective action, and continuous improvement initiatives Delivers on-going service improvements. Includes on-going ITSM Communications & Training program execution. Follows ITSM Program Development. Makes use of service level reporting and analytics environment. Dependencies: In parallel with all enterprise service initiatives. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 18 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Continuous improvement in achieving overall ITSM goals of improved quality of service, end user productivity, system availability, while reducing IT service provision cost. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 0 hours; on-going O&M annually: 2400 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review

• •

Leases ($) – Software – 1 time D/M/E: Pending Review; ongoing O&M annually: Pending Review
•

Other ($) – Compliance materials and services: on-going O&M annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: On-going annual effort will require 1 IT staff member full time (2000 hours), and user involvement (20 people 5 hours quarterly or 400 hours). Compliance materials and services include assessment materials and services for ISO 9001, ISO 20000, ISO 27000, etc.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 24

B.1.2 TECHNOLOGY DOMAINS (7.2.3)
B.1.2.1 INFRASTRUCTURE DOMAIN (7.2.3.1)
Primary Data Center
The following investment establishes a primary data center environment for the State of Hawai`i. Additionally, the State of Hawai’i OneNet network domain is inextricably linked to the primary data center build out, and is also included here. The first (primary) data center will be installed in a non- State owned facility pursuant to a Request for Proposal (RFP) during FY13 with final build out in FY14. Justification or Business Case: When viewed across all Departments, the current data center environment is extremely decentralized with the majority of Departmental applications and servers being housed within Departmental server rooms. ICSD continues to be constrained by power, cooling, and staff levels. This results in an inadequate hosting environment to serve the expanding needs of the Departments. Only a few Departments have viable disaster recovery (DR) or continuity of operations plans to sustain operations in the event of disruption to the Kalanimoku Data Center or to the NGN transport infrastructure. Estimated Duration: 132 months FY13-FY23).

Budgetary Estimate:
•

Personnel Services (Hours) – 93,000 hours Pending Review See explanation about O&M costs listed above Equipment/Hardware ($) - Pending Review Leases Pending Review – Pending Review MPLS, internet, WAN installation and lease (Pending Review to “meet me” room) – Pending Review lease office and auxiliary space – Pending Review computer room floor space – Pending Review Inter-island communications for network, servicing all data centers – Pending Review Hawai`i to Mainland communications for network, servicing all data centers

• •

•

Other ($) - Pending Review for broker/integrator and consulting services

Funding Source: General Funds

Summary Basis of Estimate:

Fiscal Year 13 14 15 16 17 18 19 20 21 22 23 Total

Total Hrs Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Hawai`i IT Labor Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Equipment and Hardware Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Leases Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Other Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Total Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

25 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Secondary Data Center
Justification or Business Case: The Secondary Data Center will be linked with the Primary Data Center in an active-active load balancing mode providing for backup recovery and restore capability to maintain continuity of services for the State. Estimated Duration: 132 months FY13-FY23). Budgetary Estimate:
•

• • •

Equipment/Hardware ($) - Pending Review Leases ($)Pending Review (WAN lines, colocation lease) Other ($) - Pending Review for broker/integrator and consulting services

Funding Source: General Funds

Personnel Services (Hours) – 45,000 hours; Pending Review See explanation about O&M costs listed above

Summary Basis of Estimate:

Fiscal Year 13 14 15 16 17 18 19 20 21 22 23 Total

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Three Island Data Centers
Justification or Business Case: A major economic development initiative to provide statewide access to affordable ultra, highspeed Internet by 2018. Positions Hawai`i to be the first state in the nation with 1 gigabit per second broadband connectivity at every public school, every public library, and every public university and college campus by using about Pending Review of federal monies received through the American Recovery and Reinvestment Act (ARRA). This will provide the opportunity to leverage connectivity for State offices at remote islands and improvements for State NGN. In addition, Hawai’i is unique among the 50 States in that it so remote, in the middle of the Pacific Ocean, susceptible to emergencies and catastrophic events that would not affect the contiguous States, and so far removed from the contiguous States creating latency issues therefore, providing satellite data center sites that are fully meshed and networked with the Primary and Secondary Sites on Oahu will provide the State of Hawai`i with continuity of government and operations. Once the Primary and Secondary sites are fully implemented, attention needs to be turned to resolving the Hawai`i statewide access to the outer islands.
State of Hawaii Business and IT/IRM Transformation Plan

Consideration will be given to building “Docking Centers” on the outer islands where the “Data- Center-In-A-Box” system can plug into. The “Docking Center” would provide cooling, power, and network connectivity to the “Data-Center-In-A-Box”, along with staff workspace. This approach could minimize the need to build multiple large data centers and provide a mobile Data Center where or when needed. Estimated Duration: 60 months FY17-FY23). Budgetary Estimate:
•

Personnel Services (Hours) – 30,000 hours; Pending Review See explanation about O&M costs listed above Equipment/Hardware ($) - Pending Review Leases ($)Pending Review (WAN lines, colocation lease) Other ($) - Pending Review for broker/integrator, consulting services, construction costs, infrastructure costs)

• • •

Funding Source: General Funds
Enterprise Architecture | Appendix B | 26

Summary Basis of Estimate:

Fiscal Year 17 18 19 20 21 22 23 Total

Total Hrs Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Hawai`i IT Labor Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Equipment and Hardware Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Leases Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Other Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Total Cost Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Characterize, Schedule, and Migrate Applications from the Current Data Centers to the Primary Data Center
Justification or Business Case: Once the Primary Data Center is implemented during FY14, the next activity will be migrating applications from the current data centers to the Primary Data Center, where data redundancy and disaster recovery considerations have been implemented as a high priority.

Estimated Duration: 36 months (FY14-FY16). Justification or Business Case: Applications will be characterized, scheduled, and migrated from current data centers to the Primary Data Center. Funding Source: General Funds

Summary Basis of Estimate:

Fiscal Year 14 15 16 Total

Total Hrs Pending Review Pending Review Pending Review Pending Review

Hawai`i IT Labor Cost Pending Review Pending Review Pending Review Pending Review

Equipment and Hardware Pending Review Pending Review Pending Review Pending Review

Leases Pending Review Pending Review Pending Review Pending Review

Other Pending Review Pending Review Pending Review Pending Review

Total Cost Pending Review Pending Review Pending Review Pending Review

Develop a State-Wide Active Directory Services Environment
Plan and create a State-wide active directory services environment. Benefits of deploying Active Directory in a Network Operating system (NOS) management role include:
•

•

Use the appropriate site topology. The site topology should mirror your network topology. Portions of the network that are highly connected should fall within a single site. Site links should mirror WAN connections, with each physical facility that is separated by a WAN link encompassing a separate Active Directory site. Use dedicated domain controllers Have multiple DNS servers Avoid putting all your eggs in one basket (virtualization) Don’t neglect the Flexible Single Master Operations (FSMO) roles (backups) Plan your domain structure and stick to it. You may not be able to predict exactly how Active

Centralized management of very large Windows networks (Active Directory is designed to support millions of objects). The ability to eliminate resource domains, including the hardware and administration they entail. desktop lockdown and software distribution.

• • •

•

• Policy-based •

•

The ability to delegate administrative control over resources where appropriate.
•

• Simplified •

location and use of shared resources.

Keep it simple

Directory will grow, but you can at least put some governance in place to dictate the structure that will be used when it does.
Enterprise Architecture | Appendix B

27 | State of Hawaii Business and IT/IRM Transformation Plan

•

Have a management plan in place before you start setting up servers. Just as you need to plan your Active Directory structure up front, you also need to have a good management plan in place. Who will administrator Active Directory? Will one person or team take care of the entire thing or will management responsibilities be divided according to domain or organizational unit? These types of management decisions must be made before you actually begin setting up domain controllers. Avoid making major logistical changes. Place at least one global catalog at each site (Primary, Secondary, Outer Islands)

Active Directory infrastructure deployment can span both technology and business areas. Therefore, your ability to progress on the design will depend on your ability to articulate the value of Active Directory to IT and business decision makers. Because Active Directory is best deployed as a State-wide infrastructure, the design team will likely involve many people in your organization. For example, deploying Active Directory in most companies requires integration with an existing DNS infrastructure. The people who manage these systems will be critical to the success of the project. At the same time, it is important to keep teams as small as possible to make decisions easier to reach. It is very important to note that deploying Active Directory in a Windows network management role should be driven from the OIMT level — not at the departmental level. Project Roles While there will be many individuals involved in a typical Active Directory deployment, it is especially important to staff two roles early on: a project architect and a project manager. In a large organization, several individuals might share these roles. There are two primary design roles for Active Directory design 1) Project Architect and 2) Project Manager.

• •

Each phase of the design process, such as creating a forest design, will include its own process flowchart and list of tasks that must be performed. Proceed through your Active Directory design in this order. Note that each step in the process may involve new team members who will be responsible for making decisions. Before you proceed with the design, ensure that you have:
•

Set and understand business goals for this Active Directory deployment. Executive-level sponsorship to implement an Active Directory–managed Windows network as designed.

•

Design Role Project architect Project manager

Responsibility Technical design Process planning

Description Specialist or consultant responsible for technical decision-making and for ensuring that the design fulfills the organization’s business goals. Acts as the single point of contact to drive progress on the design by involving the appropriate people and garnering consensus. Responsible for all planning and scheduling to support the design.
The final Active Directory design must reflect a combination of business goals and technical decisions. Therefore the project architect will review design decisions, compare them to business goals, and make sure that the two remain in alignment. Project Manager To promote an effective design process, management should nominate a person, or a small committee, to the role of project manager. The project manager facilitates cooperation across business units as well as with groups that manage technologies such as DNS, networks, and Windows NT. A project manager’s responsibilities include:
•

Project Architect Each forest requires an Active Directory architect to oversee the Active Directory design and migration process. An information technology (IT) architect or IT systems planner who has prior directory management experience would be a likely candidate. Otherwise, consider hiring a consultant who has experience with Active Directory design and deployment. Hiring a consultant brings important experience and perspective to the design team and may be particularly helpful in working through crossorganizational issues. The Active Directory architect’s responsibilities include:
• • • •

Owning the Active Directory design. Understanding the rationale for key design decisions.

Providing basic project planning, such as scheduling and budgeting. Driving progress on the Active Directory design. Involving the right people during each part of the design process.

•

Determining if the organization’s business goals are being met.
•

Suggesting other solutions that might better reflect business needs, if necessary.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 28

• •

Serving as single point of contact for the directory project. Garnering consensus among teams.

Program: OIMT Initiative Type: Active Directory Services Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Establish common Active Directory services across the State to grant access to files and folders, grant permissions to systems, apply group policy objects to AD groups, and directing email traffic. A common AD across the State will provide a consistent customer service to Departments/LOBs to improve service quality, and streamline service provision. Budgetary Estimate:
•

As you approach your design, it is important to note that you will be designing both a logical model and a physical model. Logical Models Active Directory allows administrators to organize elements of a network (such as users, computers, devices, and so on) into a hierarchical, tree-like structure based on the concept of containership. The top level Active Directory container is called a forest. Within forests, there are domains. Within domains there are organizational units (OUs). This is called the logical model because it is designed independently from most physical aspects of the deployment, such as the number of replicas required within each domain and network topology. In this example, the organization has delegated some aspects of administration to the division manager of the West domain. The division manager of the West domain has in turn delegated some aspects of administration to its sub-division managers. In the same fashion, Active Directory supports a hierarchical structure that creates levels of administrative delegation for supporting the directory service and all forest objects. As you design your logical model you will essentially be deciding where to place forest, domain, and OU boundaries. Physical Models Once you have designed the logical model, the physical nature of the network will determine what additional tasks you need to perform. These tasks might include deciding where to place replicas of domain and global catalog data. You will also need to describe your network topology at the subnet level to Active Directory so that it can set up an optimized path for inter-local area network (LAN) communications, such as replication traffic. You will want to pay particular attention to replication decisions because they impact both network traffic and scope of data visibility. For example, domain controllers do not replicate directory data between forests. Domain controllers hosting the global catalog contain a partial description of every object in the forest, and share this information forest-wide, but only with other domain controllers containing the global catalog. Within each domain, all data updates to objects within the domain replicate automatically to each of the domain’s domain controllers, but not to domain controllers in other domains. Currently, within the State, there are Active Directory Services within several departments. Only recently has ICSD started planning to replace Novell with Active Directory. Since this OIMT initiative will occur during FY14-15, it is recommended that Lessons Learned, Worksheets, Templates, and Forms that are currently being developed be leveraged by the OIMT-led team responsible for building the State-wide AD services.

Personnel Services (Hours) – 1 time D/M/E: 20,000 hours Pending Review; on-going O&M annually Pending Review. Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – Pending Review

• • •

Funding Source: General Funds Summary Basis of Estimate: (Hawai`i 40,000 State employees * 40,000 employees/4,000 set of users = 10) 10 FTEs * 2000 hrs = 20,000 hours Pending Review Osterman Research conducted a survey during April 2010 on behalf of Imanami to understand issues related to Active Directory (AD) administration in organizations of various sizes. A total of 155 surveys were completed using the Osterman Research survey panel. According to this Osterman survey, over 90% of all organizations manage Active Directory groups through manual processes. The cost for these manual processes? Over Pending Review per user per year. On average, for every 4000 users in your organization, you have a full time IT resource managing Active Directory groups. Reference: http://www.imanami.com/specials/osterman_survey1.aspx

29 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

B.1.2.2 NETWORK DOMAIN (7.2.3.2)
OneNet Initiative
Estimated Implementation Duration: 120 months (FY14-23) Justification or Business Case: Phase I (Years 1-2) –
• Negotiate

Funding Source: General Funds Summary Basis of Estimate: State of Hawai`i Working Group

Video Support Initiative
Estimated Implementation Duration: 120 months (FY14-23) Justification or Business Case: Video conferencing must include support for facility specific locations (Video Conference Centers), desktops, and mobile devices. Self-scheduling will allow users to schedule conferences without the need for centralized oversight. Deployment of multicast systems will allow for organizational wide announcements, training, etc. Phase I (Year 1-2)
•

with Oceanic (Cable Franchise Agreement or independent agreement).

– At least two route diverse dark fiber connections between the two main Oahu Data Centers – Establish separate State rings on each of the major islands of Oahu, Kauai, Maui, Hawai`i. The design is based on at least one high availability ring per island (2 on Oahu) with subtending rings and spurs connected to sites on the main ring. – Additional high speed interisland connectivity (Oceanic currently provides a shared 10Gbps link between the islands for the State, DOE, and UH. Terminations of these connections will be at the designated island’s data center and telecom center. – As part of standard franchise agreement with Oceanic, request connectivity to interim, private data centers.
•

Upgrade existing video conferencing centers that will serve as enterprise models for room conferencing. Develop cost recovery plans and acquire automated system for cost recovery

•

Phase II (Years 3-4)
•

Upgrade/acquire additional bridging capabilities to support larger user base including desktops, notebooks, and mobile devices i.e. tablets and smartphones. Deployment user based scheduling.

•

Establish pricing with other carrier between interim data centers on Oahu for network diversity. Establish SLA, chargeback process Establish basic NOC/SOC 24x7 staffing

Phase III (Years 5-6)
•

• •

Deployment of VoIP and video integration (answer calls via video/voice or simply voice).

Phase IV (Years 7-8)
• •

Phase II (Years 3-4)
• •

Implementation of multicast capabilities on the network Acquisition of multicast video equipment

Establish full NOC/SOC support with 24x7 onsite support.

Implement Oahu high availability backbone and connectivity to interim data centers. Phase III (Years 5-6) Implement high availability backbone and data center connectivity (1 island)
•

Phase V (Years 9-10)
•

Technology refresh

Phase IV (Years 7-8) Implement high availability backbone and data center connectivity (1 island)
•

Budgetary Estimate: Personnel Services (Hours) – Included later Equipment/Hardware ($) – Pending Review Leases ($) – Pending Review Other ($) – Pending Review Funding Source: General Funds Summary Basis of Estimate: State of Hawai`i Working Group

Phase V (Years 9-10) Implement high availability backbone and data center connectivity (1 island)
•

IP Addressing – Removal of Network Address Translation from Departments Initiative
Estimated Implementation Duration: 72 months (FY14-19) Justification or Business Case: Phase I (Year 1-2)
•

Budgetary Estimate: Personnel Services (Hours) – Included later Equipment/Hardware ($) – Estimated ring separation cost Pending Review for Oahu, Pending Review per island of Hawai`i, Maui, and Kauai Pending Review Leases ($) – Pending Review Other ($) – Pending Review
State of Hawaii Business and IT/IRM Transformation Plan

Departments will develop their respective transition plans if they are not currently using their NGN assigned addresses. ICSD/OIMT to develop removal of NAT Transition Plan. – Determine order that departments will migrate off of NAT.
Enterprise Architecture | Appendix B | 30

•

– Develop policy to determine what traffic is not allowed in and out of departments for security purposes. This allows for transparency and safeguards in the event there is a security event/outbreak at a respective department/location and there needs to be the ability to segment/quarantine a portion of the network to prevent further outbreak. Phase II (Years 3-4)
•

Phase II (Years 3-4)
•

Develop IPv4 to IPv6 Transition Plan. – Determine how IPv6 addresses will be distributed. – Develop order as to which departments will migrate off of IPv4.

Migration to NGN assigned addresses by departments not currently in compliance. Implementation of NAT Transition Plan for departments in compliance.

Phase III (Years 5-6)
•

•

Replacing and/or upgrading network equipment to be IPv6 ready. Procuring IPv6 Management Tools not used in the IPv4 arena. Replacing and/or upgrading of operating systems, software, and applications to be IPv6 compliant.

• •

Phase III (Years 5-6)
•

Implementation of NAT Transition Plan for departments who were required to achieve compliance in Phase II.

Phase IV (Years 7-8)
• •

Budgetary Estimate: Personnel Services (Hours) – Included later Equipment/Hardware ($) – Leases ($) – Pending Review Other ($) – Pending Review Funding Source: General Funds Summary Basis of Estimate: State of Hawai`i Working Group

Assignment of IPv6 addresses for existing hosts. Assignment of IPv4 and IPv6 addresses to new hosts.

Phase V (Years 9-10)
•

Implementation of IPv4 to IPv6 Transition Plan.

IP Addressing – Transition from IPv4 to IPv6 Initiative Requirements:
•

Replacing and/or upgrading equipment and software to be IPv6 ready. Training for staff on IPv6. Designing the network to allow for renumbering. ARIN recommends upstream providers enter into contractual arrangements with their customers stipulating that the address space may have to be returned, requiring all end-sites to be renumbered. Obtaining IPv6 address space. Replacing/upgrading/procuring OS, software, network management tools, routers, firewalls, etc. to be IPv6 compliant. Training for IT staff on IPv6.

Budgetary Estimate: Personnel Services (Hours) – Included later Equipment/Hardware ($) – Leases ($) – Pending Review Other ($) – Pending Review Funding Source: General Funds Summary Basis of Estimate: State of Hawai`i Working Group

• • •

Network Security
Proper network security controls are needed to protect the availability of the OneNet. Network security controls allow for the ability to:
• Segment/quarantine

• •

portions of the network in the event there is a security outbreak at a Department attached to the OneNet. Provide protection from external and internal threats (Firewall, IDS, IPS, Secure Web Gateways, DLP). Perform health checks (e.g., Virus Signatures, Patching Levels, etc.) of devices attempting to connect to OneNet internally or externally. Support SSL VPN services. Support Role Based Access Control. Forensic/Data Retention of network events (logs) at all layers (CDA) for a minimum of two weeks. Provide flow based security incident and event monitoring. Provide application rate shaping/ flow control. Estimated Implementation Duration: 72 months (FY14-19)
Enterprise Architecture | Appendix B

•

•

•

Estimated Implementation Duration: 72 months (FY14-19) Justification or Business Case: Phase I (Year 1-2)
• • • • • • •

Determine cost of IPv6 Address Space, Training, and Network Equipment upgrades. Obtain IPv6 Address Space. Training for staff on IPv6. Establish test network/lab for IPv6.

• •

31 | State of Hawaii Business and IT/IRM Transformation Plan

Justification or Business Case: Phase I (Years 1-2)
•

– Neighbor Islands:
• • • •

Evaluation of existing network security tools (e.g., IPS, Next Generation Firewalls, UTM, NAC, etc.) to determine their role in OneNet. Begin the implementation/upgrading of network security tools identified in the evaluation. – Guidance/Requirements/Recommendations will be needed from the Information Assurance Branch (IAB).

Big Island (5) Maui (5) – Supports Molokai and Lanai Kauai (5) Development of position descriptions along with:

•

– Recruitment above the minimum. – Shortage Differential – Merit pay with opportunity for advancement.
•

Phase II (Years 3-4)
•

Complete the implementation/upgrading of network security tools. Align network security tools with the sequencing plan of the removal Network Address Translation for Departments.

•

Begin the process of filling positions for the OneNet Network Support Staff. Provide training for staff positions that are filled. This will include travel expenses for training conducted outside the State of Hawai`i.

•

Phase III (Years 5-6)
•

Complete the tasks involved with the sequencing plan of the removal of Network Address Translation for Departments.

Phase II (Years 3-4)
•

Budgetary Estimate: Personnel Services (Hours) – Included later Equipment/Hardware ($) – Leases ($) – Pending Review Other ($) – Pending Review Funding Source: General Funds Summary Basis of Estimate: State of Hawai`i Working Group

Continue the process of filling positions for the OneNet Network Support Staff. Provide training for staff positions that are filled. This will include travel expenses for training conducted outside the State of Hawai`i.

•

Phase III (Years 5-6)
•

Continue the process of filling positions for the OneNet Network Support Staff. Provide training for staff positions that are filled and continuous training for existing staff. This will include travel expenses for training conducted outside the State of Hawai`i.

Network Security - Personnel
Estimated Implementation Duration: 120 months (FY14-23) Justification or Business Case: The ability to support the vision of OneNet is critically dependent upon the ability to recruit, hire, staff and train employees on an ongoing basis. Staffing levels must be sufficient to support Network Operation Centers (NOC) on a 24x7x365 basis. Phase I (Years 1-2)
•

•

Phase IV (Years 7-8)
•

Continue the process of filling positions for the OneNet Network Support Staff Provide training for staff positions that are filled and continuous training for existing staff. This will include travel expenses for training conducted outside the State of Hawai`i.

•

Development of OneNet Network Support Staff organizational structure: – Oahu
• • • • • • •

Phase V (Years 9-10)
•

Engineering & Design Section (5) Network Security Section (5) Routing & Switching Section (5) Transport Section (5) Data Center (5) Technicians (5) At least two staff employees will be on site during evening and early morning hours.

Continue the process of filling positions for the OneNet Network Support Staff. Provide training for staff positions that are filled and continuous training for existing staff. This will include travel expenses for training conducted outside the State of Hawai`i.

•

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 32

Budgetary Estimate: Personnel Services (Hours) – Phase 1 (FY14-15):
•

– MRC to be a percentage discount from average cost of private carriers. Phase II (Years 3-4)
•

D/M/E 10,000 hrs annually (5 new FTEs at 2,000 hrs each): Pending Review O&M calculated in Infrastructure Costs

Deployment of network support equipment/structure to support the Self Sustainment Model.

Phase II (FY16-17):
•

Phase III (Years 5-6)
•

D/M/E 10,000 hrs annually (5 new FTEs at 2,000 hrs each): Pending Review O&M calculated in Infrastructure Costs

Begin the implementation of Self Sustainment Model. Perform analysis of Self Sustainment Model. – Are the charge backs fair, consistent, and adequate?

•

Phase III (FY18-19): O&M
•

D/M/E 10,000 hrs annually (5 new FTEs at 2,000 hrs each): Pending Review O&M calculated in Infrastructure Costs

•

Refresh of equipment older than 5 years.

Phase IV (Years 7-8)
•

Phase IV (FY20-21) O&M
•

Complete implementation of Self Sustainment Model. Continue analysis of Self Sustainment Model. Implement necessary changes for Self Sustainment Model. Refresh of equipment older than 5 years.

D/M/E 10,000 hrs annually (5 new FTEs at 2,000 hrs each): Pending Review O&M calculated in Infrastructure Costs

• • •

Phase V: (FY22-23) O&M
•

D/M/E 10,000 hrs annually (5 new FTEs at 2,000 hrs each): Pending Review O&M calculated in Infrastructure Costs

Phase V (Years 9-10)
• • •

Equipment/Hardware ($) – Leases ($) – Pending Review Other ($) – Pending Review Funding Source: General Funds Summary Basis of Estimate: State of Hawai`i Working Group

Continue analysis of Self Sustainment Model. Implement necessary changes for Self Sustainment Model. Refresh of equipment older than 5 years.

Budgetary Estimate: Personnel Services (Hours) – D/M/E 1 person 2,000 hrs (Pending Review) Equipment/Hardware ($) – Pending Review Leases ($) – Pending Review Other ($) – Pending Review Funding Source: General Funds Summary Basis of Estimate: State of Hawai`i Working Group

Network Life Cycle
Estimated Implementation Duration: 120 months (FY14-23) Justification or Business Case: To properly maintain OneNet, a network life cycle methodology and sustainment mechanism needs to be implemented. OneNet will be self-sufficient due to the implementation of a Self-Sustainment Model where charge backs are issued to Departments. The funds received will allow for equipment maintenance, upgrades, and refreshes to occur on a scheduled basis. Determination of cost items will be based on current industry standards. Phase I (Years 1-2)
•

Develop a State-Wide Active Directory Services Environment
Plan and create a State-wide active directory services environment. Benefits of deploying Active Directory in a Network Operating system (NOS) management role include: Program: OIMT Initiative Type: Active Directory Services Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Establish common Active Directory services across the State to grant access to files and folders, grant permissions to systems, apply group policy

Development of Self Sustainment Model (Charge Backs – Model similar to that of private carrier charges) – Recovery of NRC, ICB and special builds costs. – Bandwidth

•

Enforcement through rate-limiting. – Drops/Locations – Qos/Cos

33 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

objects to AD groups, and directing email traffic. A common AD across the State will provide a consistent customer service to Departments/LOBs to improve service quality, and streamline service provision. Budgetary Estimate:
•

B.1.2.3 END USER COMPUTING DOMAIN (7.2.3.3
Virtual Desktop Infrastructure (VDI) Pilot Test
Virtual Desktop Infrastructure (VDI) extends server virtualization to desktop operating systems that are hosted on virtual machines (VMs) running is a secure datacenter. Users access to virtual desktops are through open Internet based protocols. Since the desktop VM is maintained in a secure datacenter, there is better containment of State information and more efficient usage of centrally managed, pooled and shared IT resources. Within the VDI infrastructure, desktops can be persisted or be taken offline; therefore, users have the flexibility to customize and access with their desktops from multiple locations. Planned Start Date: 7/1/2014 Justification or Business Case: This investment will support the EA and use common components and a standardized design to reduce the overall cost of implementation and management. The reference architecture for the Test Pilot will address the following commonly required aspects of an enterprise class solution: Standardization, Repeatability, Scalability, Availability, Security, and Integration. The client access device layer for the Test Pilot is comprised of the hardware and software components needed to deliver a PC-like experience. Estimated Duration: 12 months FY14 Budgetary Estimate:
• • • •

Personnel Services (Hours) – 1 time D/M/E: 20,000 hours Pending Review); on-going O&M annually Pending Review. Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – Pending Review

• • •

Funding Source: General Funds Summary Basis of Estimate: (Hawai`i 40,000 State employees * 40,000 employees/4,000 set of users = 10) 10 FTEs * 2000 hrs = 20,000 hours Pending Review). Osterman Research conducted a survey during April 2010 on behalf of Imanami to understand issues related to Active Directory (AD) administration in organizations of various sizes. A total of 155 surveys were completed using the Osterman Research survey panel. According to this Osterman survey, over 90% of all organizations manage Active Directory groups through manual processes. The cost for these manual processes? Over Pending Review per user per year. On average, for every 4000 users in your organization, you have a full time IT resource managing Active Directory groups. Reference: http://www.imanami.com/specials/osterman_survey1.aspx

Personnel Services (Hours) – 1,000 Pending Review Equipment/Hardware ($) - Pending Review Leases ($)Pending Review Other ($) - Pending Review in professional consultant services

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include review of recommended “best practices” from Federal Government and other States, Analysis of Alternatives, Technical Implementation, and Organizational Deployment & Use. Year long pilot effort will require 1000 hours. Purchase price for tools and software to assist with Change Management is estimated Pending Review and professional services of Pending Review.

Virtual Desktop Infrastructure (VDI) Next Step Implementation
Virtual Desktop Infrastructure (VDI) extends server virtualization to desktop operating systems that are hosted on virtual machines (VMs) running is a secure datacenter. Users access to virtual desktops are through open Internet based protocols. Since the desktop VM is maintained in a secure datacenter, there is better containment of State information and more efficient usage of centrally managed, pooled and shared IT resources. Within the VDI infrastructure, desktops can be persisted or be taken offline; therefore, users have the flexibility to customize and access with their desktops from multiple locations. Planned Start Date: 7/1/2015
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 34

Justification or Business Case: This investment will support the EA and use common components and a standardized design to reduce the overall cost of implementation and management. The client access device layer is comprised of the hardware and software components needed to deliver a PC-like experience. The process for choosing the appropriate client device varies from deployment to deployment; mixed client environments are not uncommon. In most cases, users are segmented based on their needs and requirements during the planning and design phases, and business requirements and goals are also taken into consideration and mapped to the needs of the user segments. For example, a department might have PCs that are on a staggered depreciation schedule. Depreciated assets can be replaced by thin client devices right away, but assets that have not fully depreciated are often converted into unmanaged endpoints, typically by converting them to PXE-booted clients using a Linux-based solution. An alternative would be to lock down tightly the currently installed Windows OS and repurpose them as-is. Either approach can offer the flexibility to gain the highest return on PC hardware investment. Estimated Duration: 48 months FY15-18 Budgetary Estimate:
• • • •

B.1.2.4 UNIFIED COMMUNICATIONS (7.2.3.4)
Enterprise Collaboration Solution
Justification or Business Case: This investment will select and implement a standard collaboration solution across the State. Project activities include evaluation of leading technology platforms such as Microsoft SharePoint or Lotus Domino Quickr or open source offerings. This effort should be executed in conjunction with the email system initiative. Considerations will be given to solutions on Gartner Magic Quadrant. The scope will include implementation of necessary technical infrastructure and connectivity for crossdepartmental workgroup and project collaboration. Estimated Duration: 12 months (FY15-FY16). Budgetary Estimate:
• • •

Personnel Services (Hours) – 6,500 hrs Pending Review Equipment/Hardware ($) – Pending Review Leases ($) – Software Pending Review 1 time and Pending Review annually. Other ($)

Personnel Services (Hours) – 100,000 hours Pending Review Equipment/Hardware ($) - Pending Review Leases ($)Pending Review Other ($) - Pending Review in professional consultant services

•

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Yearlong effort will require 2 IT staff members full time (3500 hours), and significant user involvement (10 people 15% or 3000 hours). Software purchase price for State users estimated at Pending Review. (20,000 users in SharePoint calculation site: http:// community.bamboosolutions.com/blogs/sharepoint-2010-pricecalculator/default.aspx.)

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include review of recommended experience from the Test Pilot, “best practices” from Federal Government and other States, Analysis of Alternatives, Technical Implementation, and Organizational Deployment & Use. Four-year long effort will require 100,000 hours. Purchase price for tools and software to assist with Change Management is estimated at Pending Review and professional services of Pending Review.

Voice over Internet Protocol (VoIP) Pilot Initiative
Justification or Business Case: Though IT staffs once viewed their VoIP projects in isolation, now it’s a part of a broader Unified- Communications (UC) initiative. Included in that UC strategy is any combination of instant messaging, presence, conferencing (Web, audio, video), unified messaging, social networking, and other applications. The starting point for UC often is VoIP, and comparing capital and operational costs of various vendors provides criteria for the vendor-selection decision. Estimated Duration: 12 months (FY14). Budgetary Estimate: Personnel Services (Hours) –1,600 hrs Pending Review) includes training
• •

Equipment/Hardware ($) – Pending Review Voice switches Pending Review Phone sets Pending Review

35 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Servers/Software Pending Review UCS Pending Review Client Software Pending Review Maintenance Pending Review
• •

B.1.2.5 INFORMATION MANAGEMENT (7.2.3.5)
See Appendix G - Records Management

Leases ($) – Pending Review Other: Training

Funding Source: General Funds Summary Basis of Estimate: The above numbers are typical for a 400-person pilot based on vendor experience; the numbers have not been discounted.

Voice over Internet Protocol (VoIP) State-wide Initiative
Justification or Business Case: The growth of VoIP today can be compared to that of the Internet in the early 90’s. The public is getting more and more conscious of the advantages they can reap from VoIP at home or in their businesses. VoIP which not only gives facilities and allows people to save, but also generating huge income for those who dived early into the new phenomenon. VoIP has a lot of advantages over the traditional phone system. The main reason for which people are so massively turning to VoIP technology is the cost. VoIP is said to be cheap, but most people use it for free. Yes, if you have a computer with a microphone and speakers, and a good Internet connection, you can communicate using VoIP for free. This can also be possible with your mobile and home phone. Estimated Duration: 48 months (FY 15-FY18). Budgetary Estimate: Personnel Services (Hours) – D/M/E 80,000 hrs Pending Review includes training
•

Equipment/Hardware ($) – Pending Review D/M/E; on-going O&M Pending Review annually
• • •

Leases ($) – Pending Review Other: Pending Review professional services

Funding Source: General Funds Summary Basis of Estimate: The above numbers, for the most part, are factored up from the pilot numbers provided above and have not been discounted. As an additional data point, a vendor-provided estimate to the State of Hawai`i to extend VoIP to every State building was estimated to be Pending Review for a “turnkey” engagement for 26,000 end points.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 36

B.1.2.6 APPLICATION ENVIRONMENT DOMAIN (7.2.3.6)
Software Engineering Improvement
Several identified software engineering improvement initiatives have been identified and detailed separately below and are consolidated together in one initiative within the T&S Plan. Program: OIMT Initiative Type: BPR Status: New Priority: High EA Compliance: High Funding Source: General Funds Enterprise SDLC Methodology Formalization Formalization of the State’s new enterprise SDLC methodology. Achieves the vision for two key areas defined in the Section 7.2.3.6 – Software Development Life Cycle (SDLC) Methodology and Software Package Implementation. (See requirements listed there for inclusion in project scope.) The formulation initiative will ensure appropriate review and feedback on the draft SDLC developed by OIMT, and will accomplish suitable piloting of the SDLC within initial projects with the goals of further refining the methodology and building teams of experts to accomplish broader adoption in the follow on initiative. Methodology should be delivered through Web collaborative environment. Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Streamlined, standardized, agile process and methodology for achieving responsive automation of business processes, achieving strategic integration and interoperability. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 2000 hours Pending Review + 500 of stakeholder participation Pending Review on-going O&M annually: 0 hours
• • •

and staff across the state. Would include further refining of the methodology through lessons learned approach. Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2014 Justification or Business Case: Streamlined, standardized, agile process and methodology for achieving responsive automation of business processes, achieving strategic integration and interoperability. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 6000 hours Pending Review on-going O&M annually: 0 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

• •

•

Summary Basis of Estimate: Assume 3 mentors funded through the year to train and work with project teams across the state – 6000 hours. Software Engineering Project Management Improvement Initiative with the goal of improving overall project management approach, expertise, practices, and tools for software engineering projects within the state. Achieves the vision for the Project Management Office defined in Section 7.2.3.6. Focus areas include PM best practice development, training program development and execution, project performance measurement and reporting, and resource development in a collaborative environment. Initiative goals in collaboration with Project Registry and Reporting System Implementation. Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Improved project management help achieve responsive and cost effective automation of business processes, achieving strategic integration and interoperability. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 2000 hours + 500 hours of stakeholder involvement Pending Review); on-going O&M annually: 0 hours
• • •

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

•

Summary Basis of Estimate: Working group participation as key stakeholders: 20 people, 2 hours/month – approximately 500 hours. Key initiative leader participating 10% for duration – 200 hours. Assume 3 pilot efforts of 3 months each with participation of key initiative leader – 1800 hours. Hardware estimate for Web server for all software engineering program needs. Enterprise SDLC Methodology Adoption Adoption of the State’s new enterprise SDLC methodology through focused use of new methodology on projects across the departments in an incremental fashion using expertise from mentoring teams and training to equip project teams
37 | State of Hawaii Business and IT/IRM Transformation Plan

Equipment/Hardware ($) – 1 time D/M/E: Pending Review

Leases ($) – Software – 1 time D/M/E: Pending Review; ongoing O&M annually: Pending Review
•

Other ($) – Pending Review

Enterprise Architecture | Appendix B

Funding Source: General Funds Summary Basis of Estimate: 1 full time PMP to develop program – 2000 hours. Stakeholder participation of 20 people, 2 hours/ month – approximately 500 hours. Software Engineering Continuous Improvement Program Implementation Initiative for a one-time implementation of a software engineering continuous improvement program within the State. This initiative would include activities to establish the organization, staff the organization, and establish the program. Goals of the program would include establishing performance service levels and measures, on-going monitoring of progress, administering performance and compliance assessments against industry best practice frameworks and maturity models such as CMMI, and sponsoring desired audits from external organizations. Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going. See Software Engineering Continuous Improvement Program Operations initiative. Planned Start Date: 7/1/2013 Justification or Business Case: Provides guidance and assurance of achieving industry best practices in software engineering for optimized performance in responsive automation of business processes, achieving strategic integration and interoperability. Budgetary Estimate:
•

Software Engineering Mentoring & Consulting Program Implementation Initiative with the goal of establishing a strong mentoring and knowledge transfer for software engineering best practices within the State, including access to external consulting expertise as needed. This initiative would establish a standard mentoring and knowledge transfer approach for the software engineering community and pilot the approach with refinement and adoption for use across the State. Activities would also include establishing a skills and expertise registry for locating expertise for assistance; and would put in place appropriate acquisition channels for access to external consultants. Project startups with new approaches, tools, or technologies would be supported by a formal mentoring process including special mentoring or SWAT teams to assist. See Knowledge Management & People Development in Section 7.2.3.6. Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Optimizes effectiveness of software engineering efforts/projects in use and development of skilled resources for overall improvement in responsive automation of business processes, achieving strategic integration and interoperability. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 2000 hours + 500 hours of stakeholder involvement Pending Review on-going O&M annually: 0 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

Personnel Services (Hours) – 1 time D/M/E: 2000 hours + 500 hours of stakeholder involvement Pending Review; on-going O&M annually: 0 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

• •

• •

•

Funding Source: General Funds Summary Basis of Estimate: 1 FTE to develop program – 2000 hours. Stakeholder participation of 20 people, 2 hours/month – approximately 500 hours. Solution Patterns Development Expand SDLC to include guidelines, how-to’s, techniques, tools, and training/mentoring to do software engineering in strategic solution patterns: Web, Mobile, Services, and Analytics. See Section 6.2.2.5 Standard Enterprise Solution Patterns and Common Solutions Framework & Patterns in Section 7.2.3.6. Estimated Implementation Duration: 24 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Optimizes effectiveness of software engineering efforts/projects in use and development of skilled resources for overall improvement in responsive automation of business processes, achieving strategic integration and interoperability.

•

Funding Source: General Funds Summary Basis of Estimate: .5 FTE to develop program – 1000 hours. Stakeholder participation of 20 people, 4 hours/quarter – approximately 300 hours.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 38

Budgetary Estimate:
•

•

Personnel Services (Hours) – 1 time D/M/E: 2000 hours over 2 years Pending Review + 300 hours annually of stakeholder involvement Pending Review); on-going O&M annually: 0 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review
• •

Personnel Services (Hours) – 1 time D/M/E: year 1: 8000 hours (or 4FTEs); year 2: 7000 hours (or 3.5 FTEs) + 2100 hours of stakeholder participation (approximately 20 participates with 2 hours/week). On-going O&M annually: 2,000 hours (1 FTE) + 500 hours of stakeholder participation Pending Review. Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review

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•

•

Funding Source: General Funds Summary Basis of Estimate: .5 FTE to develop lead effort – 2000 hours over 2 years. Stakeholder participation of 12 people, 2 hours/month – approximately 300 hours. Software Engineering Continuous Improvement Program Operations On-going administration and operation of software engineering continuous improvement program within the State. Includes ongoing emphasis and activities within the following focus areas: on-going training and skill development; compliance to industry best practices and maturity models; and ongoing assessments and improvements. Estimated Implementation Duration: See above. Estimated Operational Duration: On-going Planned Start Date: 7/1/2014 Justification or Business Case: Optimizes effectiveness of software engineering efforts/projects in use and development of skilled resources for overall improvement in responsive automation of business processes, achieving strategic integration and interoperability. Budgetary Estimate:
•

Enterprise Data & Services Standardization & Sharing
This investment centers on establishing a program to support the standardization and sharing of enterprise data & services. See EIA Common Information Framework in Section 5.2.2.1 and the ESA Common Solutions Framework in Section 6.2.2. The investment supports the Enterprise Architecture Program, and implements a series of activities and accomplishments to establish these enterprise-wide data and services management standards and practices. These include:
•

Establishing governance standards and practices which include the role of the information stewards and the processes for collaboration, agreement, documentation, and change management of common enterprise or LOB data and services – an area similar to what the industry may refer to as master data management. Establishing the common data and services architecture within the EA tool & repository, inventories of enterprise and LOB data and services assets; and the approach and practices for defining shared (or master) data and services standards.

•

Personnel Services (Hours) – 1 time D/M/E: 0 hours; on-going O&M annually: 2,000 hours +

Establishing the administration standards and practices for creating and maintaining official enterprise and LOB databases and services.
•

500 hours of stakeholder involvement, Pending Review
• •

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review

Dependencies: Staffing for this initiative may overlap with an EA Program within People and Organization working group focus area. Program: OIMT Initiative Type: BPR Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 36 months. Estimated Operational Duration: On-going. See EA Common Information & Solutions Architecture / Framework Administration. Planned Start Date: 7/1/2013 Justification or Business Case: Organizational structure and approach to optimize standardization and integration of application software and data across the enterprise in accordance with EA.

•

Funding Source: General Funds Summary Basis of Estimate: 1 FTE to lead effort – 2000 hours. On-going participation from departmental stakeholders of 20 people, 2 hours/month – approximately 500 hours. Additional Pending Review annually to support external maturity model resources and assessments. Combined Software Engineering Improvement Budgetary Estimate:

39 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 6000 hours over 3 years Pending Review on-going O&M annually: 0 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review

• •

Leases ($) – Software – 1 time D/M/E: Pending Review; ongoing O&M annually: Pending Review
•

Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: EA Program Architect – 1 person full-time for duration = 6000 hours. Stakeholders: EA Working Group – 10 people each 5% time = 1000 hours; and CIO Council – review and approval of standards and practices.

Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 2 IT staff members 50% time (2000 hours), and user involvement (20 people 5% or 2000 hours). Purchase price for all solutions is estimated at Pending Review. Second year effort (2 staff members 50% each or 2000 hours) will include working an adoption program across the departmental application development communities to promote, facilitate, and train on use of the new environment. On-going annual software maintenance for collaboration environment and IDE. Equipment includes required servers and high-end desktops.

EA Common Information & Solutions Architecture / Framework Administration
On-going support of common information & solutions architecture and framework within the State. Activities include administration of common architectures to support standardization and sharing across the State; and oversight and maintenance of data and services information within EA repository. See EIA Common Information Framework in Section 5.2.2.1 and the ESA Common Solutions Framework in Section 6.2.2. Dependencies: People and Organization plan related to EA Program support. Program: OIMT Initiative Type: BPR Status: New Priority: High EA Compliance: High Estimated Implementation Duration: See above. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2014 Justification or Business Case: Organizational structure and approach to maximize reuse of existing software components, and to optimize standardization and integration of application software and data across the enterprise in accordance with EA. Budgetary Estimate:
•

Software Development Community Ecosystem
Initiative with the goal of implementing tools and an environment to support collaboration and code retention and sharing within the software development community for the State of Hawai`i. Achieves the vision for the software development community ecosystem and integrated development environment (IDE) defined in Section 7.2.3.6; similar to environments such as SourceForge.com; force.com; and Google apps development communities. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: On-going. See EA Common Information & Solutions Architecture / Framework Administration. Planned Start Date: 7/1/2013 Justification or Business Case: Streamlined, standardized, agile process and methodology for developing application software for responsive automation of business processes, achieving strategic integration and interoperability, and maximizing reuse of existing software components. Budgetary Estimate:

Personnel Services (Hours) – 1 time D/M/E: 0 hours; on-going O&M annually: 6000 hours; Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

• • •

Personnel Services (Hours) – 1 time D/M/E: 1 time D/M/E: 4000 hours over 2 years with 2000 hours of stakeholder participation Pending Review on-going O&M annually: 1000 hours; Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: 3 enterprise architect staff members full time (6000 hours) to support on-going standardization, documentation, and support of software reuse environment and EA repository.

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•

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation.
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 40

Common Portal Implementation
Implementation of the common user interface portal for all end users – state employees, citizens, residents, and other government staff – federal and local, and business partners. The portal is envisioned as a “my.Hawai`i.gov” implementation – a customized common interface across any end user device platforms – desktop, laptop, tablet, mobile. This is a critical element of the ESA Common Solutions Framework as defined in Section 6.2.2. Portal implementation has significant standardization issues from a people, culture, and organization perspective as well as from a technology perspective. Suggested implementation approach would generally require working through a phased approach such as: Phase 1: Group research, information exchange, and education on what a common portal environment would require organizationally and technically. Phase 2: Group deliberation, visioning, establishing governance and planning towards the common approach. Phase 3: Corporate technology decisions and acquisition actions. Phase 4: Implementation –piloting and initial linkage; phased roll-out with full application integration. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Enhanced user productivity and efficiency through portal-driven individual customization for stream-lined access to functionality and self-service applications for employees, customers and partners. Examples include employee benefits, vacation time, loans, procurement, interactive training, expense processing, service desk, access to state services and associated case tracking, etc. Budgetary Estimate:
•

2000 hours) will include working an adoption program across the departmental application development communities to promote, facilitate, and train on use of the new portal environment. Estimated platform of Pending Review.

Enterprise Services Implementation
Implementation of the “infrastructure” to support enterprise services within the common servicesoriented architecture to be used across the State. This is a critical element of the ESA Common Solutions Framework as defined in Section 6.2.2. Similar to the portal implementation above, moving to common enterprise services has significant standardization issues from a people, culture, and organization perspective as well as from a technology perspective. Suggested implementation approach would generally require working through a phased approach such as: Phase 1: Group research, information exchange, and education on what a services-oriented environment would require organizationally and technically. Phase 2: Group deliberation, visioning, establishing governance and planning towards the common approach. Phase 3: Corporate technology decisions and acquisition actions. Phase 4: Implementation –piloting and initial scope implementation; structure for ongoing future scope areas such as ERP. Web services would be a primary approach for implementation, but other technological models need to be assessed such as messaging, enterprise service bus, open source vs. proprietary, etc. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Organizational structure and approach to optimize standardization and integration of application software and data across the enterprise in accordance with EA. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 4000 hours over 2 years with 2000 hours of stakeholder participation (Pending Review); on-going O&M annually: 1000 hours; Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

• •

Personnel Services (Hours) – 1 time D/M/E: 4000 hours over 2 years with 2000 hours of stakeholder participation (Pending Review); on-going O&M annually: 1000 hours; Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds
•

Summary Basis of Estimate: Project life cycle will include Research & Education; Visioning & Requirements; Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 2 IT staff members 50% time (2000 hours), and user involvement (20 people 5% or 2000 hours). Purchase price for all solutions is estimated at Pending Review. Second year effort (2 staff members 50% each or
41 | State of Hawaii Business and IT/IRM Transformation Plan

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Research & Education; Visioning & Requirements; Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 2 IT staff members 50% time (2000

Enterprise Architecture | Appendix B

hours), and user involvement (20 people 5% or 2000 hours). Purchase price for all solutions is estimated at Pending Review. Second year effort (2 staff members 50% each or 2000 hours) will include working an adoption program across the departmental application development communities to promote, facilitate, and train on use of the new portal environment. Estimated platform of Pending Review.

Legacy Systems Migration
This investment funds the upgrade of legacy applications to address immediate areas of risk to the State due to the age and condition of the application software and platform, or due to needs to reposition our application software off of legacy platforms in order to enable modernization initiatives to move forward. This initiative will include an analysis of the overall applications portfolio and identify the top risk areas. Projects will be authorized to plan and work through conversions, upgrades, and refreshes to stabilize the applications. Examples of efforts that may already be underway but need to continue to move forward include:
• Continue

move through the SDLC to construct a new web app. 2 year duration assumes approximately 25 projects a year or 8 full time developers. SDLC project estimates: 4 month duration, 1000 hours total. SDLC estimated to include Project Management (10%), Requirements (15%), Design (20%), Development (30%), Test (20%), Release (5%). Projected involvement: Project Manager (10% - 100 hours), 1 full-time Developer (900 hours), Users (4@15% or 480 hours).

Project Registry & Reporting
Develop a project registration and reporting system. Identify all required project measures and measurement methods and techniques/tools. Implement project management reporting systems and summary dashboards for OIMT. Outcomes: Enterprise project management dashboard and reporting capabilities operational. Depends on enterprise analytics capabilities. Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: On-going Planned Start Date: 7/1/2013 Justification or Business Case: Visibility into project performance to enhance accountability. Budgetary Estimate:
•

work underway to implement near-term enhancements to the legacy payroll system to automate EFT to minimize demands for check printing. Stabilize the email system versions and enhance overall enterprise capabilities including addressing a global address list and shared calendaring. Migrate current Lotus Domino applications to a standard enterprise solution pattern for web applications.

•

•

Program: OIMT Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: On-going. Planned Start Date: 7/1/2013 Justification or Business Case: Reduced support costs through elimination of legacy technologies and infrastructure. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 2200 hours + 1000 hours of stakeholder involvement; on-going O&M annually: 200 hours; Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Software – 1 time D/M/E: Pending Review; on-going O&M annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds Summary Basis of Estimate: Medium dashboard/reporting implementation. Requires platform – web application server and database server. Software licensing for enterprise dashboard/ reporting services. SDLC project estimates: 12 month duration, 3200 hours total. SDLC includes Project Management (10%), Requirements (15%), Design (20%), Development (30%), Test (20%), Release (5%). Projected involvement: Project Manager (10% or 200 hours), 1 full-time Developer (2000 hours), Users 10 at 5% or 1000 hours)

Personnel Services (Hours) –.one-time D/M/E over 2 years: 40,000 hours; Pending Review Equipment/Hardware ($) – Pending Review Leases ($) – Software – one-time D/M/E: Pending Review Other ($)

• • •

Funding Source: General Funds Summary Basis of Estimate: Estimated quantity of applications to port (over 100 current applications) are hosted on the Lotus Domino platform. Many of these have the potential of being replaced by the ERP system. So, an assumption of 50 applications is being estimated for the scope. A typical application porting will reverse engineer requirements, and then
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 42

B.1.2.7 INFORMATION ASSURANCE & PRIVACY DOMAIN (7.2.3.7)
Network Data Loss Prevention (NDLP)
Estimated Implementation Duration: 12 months (FY13). Justification or Business Case: This investment implements a system to protect Personally Identifiable Information (PII) and other sensitive data from inadvertently leaving State’s network without authorization or other appropriate protections. This investment includes implementing software, processes, procedures and support personnel to protect Personally Identifiable Information (PII) and other sensitive data types from unauthorized use, access, disclosure, and to report on any perceived or confirmed exposure of PII. Budgetary Estimate:

Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff members (1000 hours). Purchase price for tools and software to assist with Change Management is estimated at Pending Review.

Data at Rest (DAR) Encryption
Estimated Implementation Duration: 24 months (FY13). Justification or Business Case: This investment protects data resident on assets outside of the physical protection boundaries of State’s facilities – typically resident on mobile devices that can be lost or stolen. With the increasing utilization and usage of mobile devices, including State owned laptops, it is essential that Data at Rest be encrypted. Budgetary Estimate:

•

Personnel Services (Hours) – 1 time D/M/E: 2000 hours Pending Review on-going O&M annually: 200 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review (hardware, software); O&M Pending Review annually licensing and maintenance Leases ($) – Pending Review Other ($) – Pending Review

•

Personnel Services (Hours) – 1 time D/M/E: 4000 hours Pending Review); on-going O&M annually: 1000 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review; ongoing O&M Pending Review annually maintenance, licensing Leases ($) – Pending Review Other ($) – Pending Review

•

•

• •

• •

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 2 IT staff members (2000 hours). Purchase price is estimated at Pending Review based on Pending Review per seat times 40,000 employees

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. TwoYear long effort will require 10 IT staff members (4000 hours). Purchase price is estimated at Pending Review.

Server Configuration Stability Monitoring
Estimated Implementation Duration: 12 months (FY15). Justification or Business Case: This investment helps identify alterations in operating system, database, applications and security configurations that result in State’s assets being more susceptible to threats. This includes the ability to examine, evaluate, and report on the level of compliance with security hardening requirements (often referred to as Security Technical Implementation Guides, or STIGs) that are established for equipment and systems across State’s infrastructure. This provides mitigation for exploiting vulnerabilities in devices connected to networks and connecting non-compliant devices to networks without compliance monitoring. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 1000 hours Pending Review); on-going O&M annually: 500 hours Pending Review
• • • •

IT Security Policy
Estimated Implementation Duration: 12 months (FY13). Justification or Business Case: This investment will support the development and promulgation of revised policies better articulating the responsibilities of organizational components to more effectively manage their IT security programs, internal security configurations and risks. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: 1000 hours Pending Review); on-going O&M annually: 200 hours Pending Review
• • • •

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Pending Review Other ($) – Pending Review

Funding Source: General Funds

Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Pending Review Other ($) – Pending Review
Enterprise Architecture | Appendix B

43 | State of Hawaii Business and IT/IRM Transformation Plan

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 4 IT staff members (1000 hours). Purchase price is estimated at Pending Review.

Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 12000 hours Pending Review); on-going O&M annually: 12000 hours Pending Review Equipment/Hardware ($) – Pending Review Leases ($) – Pending Review Other ($) – Pending Review

• • •

Automated Security Configuration Compliance Monitoring and Reporting
Estimated Implementation Duration: 12 months (FY15). Justification or Business Case: This investment helps identify alterations in security configurations that result in State’s assets being more susceptible to threats. This will provide the ability to examine, evaluate, and report on the level of compliance with security hardening requirements (often referred to as Security Technical Implementation Guides, or STIGs) that are established for equipment and systems across State’s infrastructure Budgetary Estimate:
•

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Development of Job Descriptions, Market Survey, Alternatives Analysis & Selection, Organizational Deployment & Use. Year long effort will result in hiring 6 new IT staff members (12000 hours).

Enterprise Security Operations Center(s)
Estimated Implementation Duration: 24 months (FY14-FY15). Justification or Business Case: This investment supports State’s ability to monitor threats presented by data loss from mission critical systems resulting from misconfigurations or unauthorized data transfers initiated by malicious actors. The lack of appropriate tools and personnel to identify hostile traffic, vulnerabilities that can be exploited and non-compliant configurations that expose the State to hostile parties could result in significant disruption of network access and services and of destruction and abuse of sensitive data. Budgetary Estimate:
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Personnel Services (Hours) – 1 time D/M/E: 1000 hours Pending Review on-going O&M annually: 500 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review Leases ($) – Pending Review Other ($) – Pending Review

• • •

Funding Source: General Funds Summary Basis of Estimate: Medium package implementation. Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 4 IT staff members (1000 hours). Purchase price is estimated at Pending Review. This project has dependency on the Asset Management solution.

Personnel Services (Hours) – 1 time D/M/E: 20000 hours Pending Review on-going O&M annually: 10000 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E Pending Review (hardware, monitoring tools, security operations center); on-going O&M annually Pending Review maintenance and licensing Leases ($) – Pending Review

•

Privacy Program Staffing and Sensitive Information Protection Improvements
Estimated Implementation Duration: 12 months (FY15). Justification or Business Case: This investment will enable improvements to be made at all levels within State by supporting targeted Privacy Program staffing increases and the development of improved information protection policies and procedures.

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Other ($) – Pending Review professional vendor consulting services Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Technical Implementation, and Organizational Deployment & Use. Two-Year long effort will require 10 IT staff members (20000 hours). Purchase price for hardware, monitoring tools, security operations center, and professional consulting services is estimated at Pending Review.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 44

Computer Incident Response Centers (CIRCs)
Estimated Implementation Duration: 12 months (FY14). Justification or Business Case: This investment improves computer incident detection, reporting, prioritization, response, collaboration, and resolution capabilities throughout the Department. Currently, known incidents take too long to detect, report, respond and collaborate at the State level. Incident reporting arrives too late for appropriate preventative actions to take place. All of which can pose a risk to much higher incident management costs than required; lack of uniform handling of detection, reporting, response, collaboration and resolutions; and, incident-based legal action failing due to inappropriate forensic evidence collection. Budgetary Estimate:
•

as steal, destroy or change critical sensitive and PII data. It is the responsibility of the State to test its own network assets using penetration tools in order to discover vulnerabilities and exploits that require prioritized attention. This will be completed by a third party professional consultant.

Common Standards for Protecting Privacy and Other Sensitive Data
Estimated Implementation Duration: 12 months (FY14). Justification or Business Case: This investment will fund the development and promulgation of common standards for protecting privacy and other sensitive information. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 4000 hours Pending Review); on-going O&M annually: 2000 hours Pending Review Equipment/Hardware ($) – 1 time D/M/E: Pending Review (monitoring tools) Leases ($) – Pending Review Other ($) – Pending Review

Personnel Services (Hours) – 1 time D/M/E: 2000 hours Pending Review); on-going O&M annually: 400 hours Pending Review ($) – Pending Review

• Equipment/Hardware • •

•

Leases ($) – Pending Review Other ($) – Pending Review

• •

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff members (2000 hours).

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Technical Implementation, and Organizational Deployment & Use. One-Year long effort will require 2 IT staff members (4000 hours). Purchase price for hardware monitoring tools, is estimated at Pending Review.

Secure Applications Testing Program
Estimated Implementation Duration: 12 months (FY13). Estimated Operational Duration: On-going Justification or Business Case: This investment develops and implements solutions and testing regimens within application lifecycle development processes to help identify vulnerabilities and weaknesses in all custom source code. Application security should be built-in not added “after market” (much like airbags in cars). Attempting to add security to an application after the requirements have been fulfilled and the application has been developed is rarely successful and typically creates vulnerabilities that cannot be addressed within the application hence incur significant infrastructure costs to remediate. Without a robust application testing regimen, the State is at risk of continuing to deploy applications into the missiondependent environment that are making the information technology environment less secure rather than more secure and thereby putting the mission data and mission at risk. Further, a lack of uniform testing across all development shops at the State exposes all mission data stores to the vulnerabilities in one insecure deployment. Vulnerabilities could include input validation, cross site scripting, SQL injection, cookie modification, code execution, buffer overflow, URL manipulation, and authentication bypass

Enterprise Penetration Testing Capability
Estimated Implementation Duration: 12 months (FY15). Justification or Business Case: This investment will define, document and implement a core capability enabling State to assess the effectiveness of security controls, when evaluated from an attacker’s perspective, to deny the compromise of mission critical systems. Budgetary Estimate:
• • • •

Personnel Services (Hours) – None Equipment/Hardware ($) – Pending Review Leases ($) – Pending Review Other ($) – Pending Review professional vendor consulting services

Funding Source: General Funds Summary Basis of Estimate: Hostile parties scan state assets daily for vulnerabilities and when these are found, they employ penetration tools to gain access and escalate privileges until they can disrupt network access and server availability as well

45 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 6000 hours Pending Review on-going O&M annually: 1000 hours Pending Review Equipment/Hardware ($) – Pending Review Leases ($) – Pending Review Other ($) – Pending Review

• • •

sensitive and PII data on it and all the devices connected to the network. Selected and deployed adequate network-based NAC solutions will be installed throughout selected bureau and office internal Local Area Networks (LANs). The network-based NAC is integrated with the host-based NAC solution within the Common End-Point Protection Platform investment. Budgetary Estimate:
•

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 3 IT staff members (6000 hours).
•

Personnel Services (Hours) – 1 time D/M/E: 1000 hours Pending Review); on-going O&M annually: 400 hours Pending Review Equipment/Hardware ($) – Pending Review (bureau and office internal Local Area Networks (LANs) and host-based NAC solutions) Leases ($) – Pending Review Other ($) – Pending Review

• •

Enterprise Identity Management Solution
This investment will establish a standard solution for management of user account identity and authorized roles and access permissions integrated with standard user directory services and enterprise services for authentication. The expectation is that an industry standard commercial-off-theshelf (COTS) application software package will be selected and procured and implemented. Estimated Duration: 12 months (FY13). Budgetary Estimate:
•

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff member (1000 hours). Project cost based on 2011 Cisco bid for Smartnet.

Network Security Upgrade
Estimated Implementation Duration: 12 months (FY16). Justification or Business Case: Selected and deployed network-based intrusion prevention solutions throughout all departmental, division, branch, and office internal Local Area Networks (LANs).This investment will implement a networkbased solution to identify and automatically prevent attacks targeting State’s networks and resources. Un-challenged entries into any network, servers and data stores by hostile parties can disrupt network access and server availability and can destroy or abuse sensitive data including PII data. Without an automated network-based intrusion prevention system upgrade, the State would need to rely on personnel to manually observe and prevent automated attacks. Budgetary Estimate:
•

Personnel Services (Hours) – 3,500 + 3000 hours of user involvement Pending Review Equipment/Hardware ($) – Pending Review Leases ($) – Software Pending Review 1x and Pending Review annually. Other ($)

•

•

Summary Basis of Estimate: Project life cycle will include Market Analysis, Alternatives Analysis & Selection, Technical Implementation, and Organizational Deployment & Use. Yearlong effort will require 2 IT staff members full time (3500 hours), and significant user involvement (10 people 15% or 3000 hours). Software purchase price for State users estimated at Pending Review. (Based on Oracle Identity and Access Management Suite Plus per user one time license of Pending Review and annual maintenance of Pending Review.)

Personnel Services (Hours) – 1 time D/M/E: 500 hours Pending Review on-going O&M annually: 500 hours Pending Review Equipment/Hardware ($) – Pending Review (hardware, middleware, and software monitoring tools) Leases ($) – Pending Review Other ($) – Pending Review

Network-Based Network Access Control (NAC)
Estimated Implementation Duration: 12 months (FY13). Justification or Business Case: This investment will implement a network-based solution to prevent unauthorized systems from inappropriately accessing State’s network(s). A significant risk to all missions dependent on the information technology that supports them is a lack of network-based network access control (NAC). Without network-based NAC, any hostile party can connect any device to the network and attack it and the
State of Hawaii Business and IT/IRM Transformation Plan

•

• •

Enterprise Architecture | Appendix B | 46

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff member (1000 hours).

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Selection of Pilot group, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff member 500 hours Pending Review and for the pilot project 100 staff members 1500 hours Pending Review). Project costs Pending Review based on 2011 quotations from vendors Presidio and Accuvant.

Secure Wireless Access Solution
Estimated Implementation Duration: 12 months (FY16). Justification or Business Case: This investment will support the selection, development, implementation and migration to a standardized State-wide wireless access solution(s) for both remote and local area network access. With the advancement into wireless access solutions to support mission-needed remote and local wireless access to State network assets, servers and data, the State is at risk of having a diversified environment of solutions implemented across the various departments, divisions, branches and offices leading to costly adaptations for secure configurations across the multitude of products. This initiative will select, develop, implement, and migrate pilot organizations to a State-wide wireless access solution performed incrementally in coordination with all “Remote Access” related initiatives/projects. Budgetary Estimate:
• Personnel

Network End-to-End Encryption Solution
Estimated Implementation Duration: 12 months (FY15). Justification or Business Case: This investment will support the design and implementation of secure internal network communications between mission critical servers and locations. Information Exposure, Unauthorized Use, Unsecured Operating Environments, Loss of Public Confidence, Exposure to Legal Action. Data traveling across the State network is available for snooping and capturing by hostile parties that connect locally or remotely to the network. A significantly worse risk lies in the traffic that leaves segments of State’s network to reach field offices or other legitimate parties (e.g. remote teleworkers) that is not encrypted while in transit. This information includes login and password information, sensitive and PII data. Hostile parties can read this unencrypted and abuse the credentials and sensitive information, potentially to embarrass State or to interrupt and destroy its network and data. Budgetary Estimate:
•

Services (Hours) – 1 time D/M/E: 2000 hours Pending Review; on-going O&M annually: 200 hours Pending Review Equipment/Hardware ($) – Pending Review (hardware, middleware, and software)
• • •

Personnel Services (Hours) – 1 time D/M/E: 2000 hours Pending Review on-going O&M annually: 400 hours Pending Review Equipment/Hardware ($) – Pending Review (hardware, middleware, and software) Leases ($) – Pending Review Other ($) – Pending Review Professional vendor consulting services

Leases ($) – Pending Review Other ($) – Pending Review

•

• •

Funding Source: General Funds Summary Basis of Estimate: Project life cycle will include Review of recommended “best practices” from Federal Government and other States, Selection of Pilot group, Technical Implementation, and Organizational Deployment & Use. Year long effort will require 1 IT staff member 500 hours Pending Review and for the pilot project 100 staff members 1500 hours Pending Review

47 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

B.2 LOB INITIATIVES (EA APPENDIX A) B.2.1 CORE MISSION AREAS (A.1)
B.2.1.1 DEFENSE (A.1.1)
Emergency Duty Orders and Pay System- EDOPS
Current system for state emergency duty orders and interface to payroll system. Antiquated and needs to be replaced. Uses Dbase. Program: DEF 110 Initiative Type: LOB Solution Business Service: Defense Status: Production Application – Replace. Priority: High EA Compliance: Low Estimated Implementation Duration: NA Estimated Operational Duration: 1 years Planned Start Date: Justification or Business Case: State Active Duty – major issue to work State Active duty and then getting paid in a timely manner. No interface with State Accounting. Budgetary Estimate:
• • • •

Budgetary Estimate:
• • • •

Personnel Services (Hours) – None Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of Estimate: Industry standard cost estimate for annual web site O&M.

State Active Duty System Implementation
State Active Duty – major issue to work State Active duty and then getting paid in a timely manner. No interface with State Accounting. Manual process – Fiscal Officer has to specify General Funding $ set aside for special mission – not normal State employ. Replace with State Active Duty COTS. Program: DEF 110 Initiative Type: Department Solution Business Service: Defense Status: New project Priority: Med EA Compliance: Med Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: State Active Duty – major issue to work State Active duty and then getting paid in a timely manner. No interface with State Accounting. Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – None Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of: Budgetary estimate provided for by LOB Departmental Owner

Personnel Services (Hours) – One-time D/M/E: 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – One-time: Pending Review Leases ($) – Software – One-time: Pending Review and on-going annually: Pending Review Other ($) – One-time: Pending Review and on-going annually: Pending Review

Department of Defense Web Site
Hawai`i.gov/dod. Hosted by ICSD. Program: DEF 110 Initiative Type: LOB Solution Business Service: Defense Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability.

• •

•

Funding Source: General Funds Summary Basis of: Budgetary estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 48

B.2.1.2 HOMELAND SECURITY (A.1.2)
The Fusion Center
The collection, synthesis, dissemination of intelligence information for all hazards. . Program: DEF 110 Initiative Type: LOB Solution Business Service: Homeland Security Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: Underway Justification or Business Case: To provide a central place for the collaboration of ways to plan for and mitigate risk to the State and it citizens for all hazards posed to the State. Budgetary Estimate:
•

Budgetary Estimate:
•

Personnel Services (Hours) – One-time D/M/E: 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review

• •

Leases ($) – Software – 1 time: Pending Review and on-going annual O&M: Pending Review Other ($) – One-time D/M/EPending Review and on-going annual O&M: Pending Review
•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

Homeland Security Grants Management
Homeland Grants includes the following services: Homeland Security funds, emergency management performance grant, pre-disaster mitigation, and others as opportunities arise. Improve the development of internal grant management system that hosts all the Homeland Security grants with the ability to expand to other grant programs. Homeland Grants also includes the development of portal base interagency collaboration tool, law enforcement, judiciary, education, fire, emergency medical, health, public works, emergency management, transportation, private sector. Program: DEF 110 Initiative Type: LOB Solution Business Service: Homeland Security Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: Underway Justification or Business Case: Management of Homeland Security grants funding for the State ofHawai`i. Budgetary Estimate:
• Personnel

Personnel Services (Hours) – One-time D/M/E: 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

Infrastructure and Analysis Functions
This investment is for the identification and collection of ACAMS/Pacific Disaster Center for the assessment and identification of critical infrastructure, also for the development of a threat/hazard identification risk assessment on an annual basis. Program: DEF 110 Initiative Type: LOB Solution Business Service: Homeland Security Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: Underway Justification or Business Case: Continue the assessment of critical infrastructure and prioritization of critical infrastructure for equipment and funding, identification of Group 2 assets (Ports, Harbor, Airport, Hospitals, etc.) development of buffer zone plans, identification of PII private sector activities.

Services (Hours) – Pending Review time D/M/E: 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – One-time D/M/E: Pending Review and on-going annual O&M: Pending Review

•

• Leases

•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

49 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

HRSS – Hawai`i Region Secure System
Facilitated by Pacific Disaster Center. SharePoint portal. Requested Pending Review from Homeland Security grant to refresh platform. DHS grant funded. Program: DEF 110 Initiative Type: LOB Solution Business Service: Homeland Security Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: Underway Justification or Business Case: Provide needed secure collaboration on homeland security. Budgetary Estimate:
•

B.2.1.3 DISASTER MANAGEMENT (A.1.3)
WebEOC – Web-based Emergency Operations Center
Emergency Management key support system. Includes needed data, documentation, collaboration. Enables Request for Assistance – State, counties, etc. Mission response tracking – level tracked, tasking, etc. COTS, developed by ESI – accepted by most States. Training Development Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

Personnel Services (Hours) – One-time D/M/E: 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – One-time D/M/E: Pending Review and on-going annual O&M: Pending Review

• •

Personnel Services (Hours) – One-time D/M/E: 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annual O&M: Pending Review Other ($) – One-time D/M/E: Pending Review and on-going annual O&M: Pending Review

• •

•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

Command Responder
Developed through Congressional Ad – Fed level, graphics based, GIS like, but not really used. On-going annual O&M: Pending Review Status: Retire EA Compliance: 3 Priority: 5

EAS/CAP – Emergency Alert System
V/Radio. Have special client to send out notifications. EAS customized. CAP Server – off the shelf. CAP – Common Alerting Protocol, standardized messaging format. Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Upgrade Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 50

Budgetary Estimate:
• •

One-time D/M/E: Pending Review On-going annual O&M: Pending Review

Mobile Emergency Response Command Interface (MERCI)
MERCI – Mobile Emergency Response Command Interface – Damage Assessment – iPhone app. Information is used to assist and evaluate the amount of damage sustained to determine if a Presidential declaration is warranted. Initially supported by a federally funded Hi-Tech Grant which OceanIT received in collaboration with the Hawai`i State Civil Defense. Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

VTC - Video Teleconferencing
Support of statewide disaster response activities. Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Upgrade Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
• •

On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

One-time D/M/E: Pending Review On-going annual O&M: Pending Review

ESRI GIS
GIS Applications - Use of off-the-shelf ESRI products to support situational mapping. (ARC INFO) On-going annual O&M: Pending Review Status: Use As Is EA Compliance: 3 Priority: 1 Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

Hawai`i Tsunami Evacuation Zone Maps
This application is based on recent scientific analysis by the University of Hawai`i that utilizes bathimetry data with GIS presentations. The State interaction points include the U of H, NOA, Insurance Companies, and .County Emergency Management Agencies www5.Hawai`i.gov/tsunamihosted by ICSD. Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

51 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Strategic Telecom Reserves
Federally Funded initiative to establish capacity to employ reserve systems to enhance or restore communications support. Reserves include: (1) Transportable repeater interoperable communications (TRIC) fielded low site cross band repeater capabilities. (2) Broadband Global Access Network (BGAN) SAT phones/data terminals to provide State-Wide communications. (3) Sixty (60) unit radio cache establish to access the State shared blended 700/800 MHz trunk radio system. Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:

State Wide Disaster Warning System Modernization (Outdoor Siren System)
Outdoor Siren Warning System - Upgrade of an existing legacy siren to solar power, electronic devices controlled by satellite and cellular wireless data systems. The upgrade is a modernization initiative that provides additional geographic coverage. This system utilizes FSC Commander software application to activate and control the siren system. Program: DEF 110 Initiative Type: LOB Solution Status: New Project Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

One-time D/M/E: Pending Review On-going annual O&M: Pending Review

•

On-going annual O&M: Pending Review
•

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

Emergency Backup Satellite Phone System
Push to talk , satellite based radio network which ties the State Emergency Operating Center to all county Emergency Operating Centers and County warning points (Police Dispatch) State-Wide Program: DEF 110 Initiative Type: LOB Solution Status: Production Application – Upgrade Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
• •

Incident Command Information Reporting System Implementation
An incident command information system to support public safety and other incident responders. Leverages public safety broadband initiatives (firstNet). This system will include field / mobile access devices that provide situational status reports to enable real-time data collection at remote sites that integrates across state agencies. Public Safety and Disaster Response information systems. Deployment of Mobile Technology and High Speed Wired and Wireless Networks. Program: DEF 110 Initiative Type: LOB Solution Status: New Project Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
• •

One-time D/M/E: Pending Review On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

One-time D/M/E: Pending Review On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of: Costing estimate provided for by LOB. Cost elements not broken out; so estimate provided as “Other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 52

B.2.1.4 LAW ENFORCEMENT (A.1.4)
Department of Public Safety – Training and Staff Development
Current Department of Public Safety – Training and Staff Development website Program: PSD 402 Initiative Type: LOB Solutions Business Service: State Law Enforcement Status: Production Application – Use As Is Priority: Medium EA Compliance: Medium Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2012 Justification or Business Case: Ensure that staff is knowledgeable about changes in the law and to strengthen staff’s knowledge of law enforcement strategies. Budgetary Estimate:
• • • •

Funding Source: General Funds Summary Basis of Estimate: Industry standard cost estimate for web site O&M.

Department of Public Safety Website
Update current Department of Public Safety website. Program: PSD 402 Initiative Type: LOB Solutions Status: Production Web Site – Replace. Priority: Medium EA Compliance: Medium Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2012 Justification or Business Case: Provide access to law enforcement information to citizens of Hawai`i. Budgetary Estimate:
•

Personnel Services (Hours) – 0 hours O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – On-going annually: Pending Review
• • •

Personnel Services (Hours) – One-time D/M/E: 200 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – On-going annual O&M: Pending Review

Funding Source: General Funds Summary Basis of Estimate: Industry standard estimate for web site O&M.

Funding Source: General Funds Summary Basis of Estimate: Industry standard cost estimate for web site O&M. Replacement of web site assumed to be 1 FTE/ month – 200 hours.

Crime Victim Compensation Commission
Current Crime Victim Compensation Commission website. Program: PSD 402 Initiative Type: LOB Solutions Business Service: State Law Enforcement Status: Production Application – Use As Is Priority: Medium EA Compliance: Medium Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2012 Justification or Business Case: Provide current information for Crime Victims. Budgetary Estimate:
•

Records Management System
Update current Records Management System Program: PSD 402 Initiative Type: LOB Solutions Status: In Progress; Keep for Now & Use As Is; Plan for Future Replacement Priority: Medium EA Compliance: Medium-High Estimated Operational Duration: 10 years Planned Start Date: 7/1/2012 Justification or Business Case: Improve records management for Law Enforcement. Budgetary Estimate:
•

Personnel Services (Hours) – 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) – On-going annually: Pending Review

Personnel Services (Hours) – One-time D/M/E: 0 hours; ongoing O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – Pending Review Other ($) –On-going annual O&M: Pending Review

• • •

• • •

Funding Source: General Funds Summary Basis of Estimate: Estimate provided by PSD.
53 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B

B.2.1.5 CORRECTIONAL ACTIVITIES/PUBLIC SAFETY (A.1.5)
PSD Integrated Web Site
Web site integration Public Safety, Correctional Activities, and Law Enforcement (HTTP://Hawai`i.gov/psd) replace three previous Web sites: Department of Public Safety - Training and Staff Development; Crime Victim Compensation Commission; and Department of Public Safety Web Site. Hosted by ICSD. Program: PSD 402 Initiative Type: LOB Solutions Status: Production Application – Use As Is Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

Intake Service Center System
Offender intake data capture, evaluation, and selective tracking - SQL DB C/S. Program: PSD 402 Initiative Type: LOB Solutions Status: Production Application – Use As Is Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

Annual O&M: Pending Review

Funding Source: General Funds Summary Basis of Estimate: Provided by LOB.

PSD Time & Attendance
Time & Attendance systems. Includes: TAU-OCCC, TAU-HCF, TAU-WCCC, TAU-HCCC, TAUCPS Program: PSD 402 Initiative Type: LOB Solutions Status: Production Application – Replace by ERP Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Annual

Annual O&M: Pending Review

Funding Source: General Funds Summary Basis of Estimate: Provided by LOB.

Inmate Trust Account System
Individual inmate monetary accounts - Oracle 9 been around since 2000. Program: PSD 402 Initiative Type: LOB Solutions Status: Production Application – Use As Is Priority: High EA Compliance: Med Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

O&M: Pending Review for each; Pending Review total.

Funding Source: General Funds Summary Basis of Estimate: Provided by LOB.

Annual O&M: Pending Review

Funding Source: General Funds Summary Basis of Estimate: Provided by LOB.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 54

FIS
Financial Information System (Purchase Order Management) Program: PSD 402 Initiative Type: LOB Solutions Status: Production Application – Replace by ERP Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

Budgetary Estimate:
• Personnel

Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – One-time: Pending Review and on-going annually: Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from PSD Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Annual O&M: Pending Review.

Funding Source: General Funds Summary Basis of Estimate: Provided by LOB.

RCUH Networking
Increase the bandwidth of all PSD facilities; some sites on the network at all. Program: PSD 900 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: FY13 Justification or Business Case: Supports all business services in the Correctional Activities/Public Safety LOB. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• •

POEMS
Personnel Operations Employee Management System - imports info from HRMS (DHRD). Program: PSD 402 Initiative Type: LOB Solutions Status: Production Application – Replace by ERP Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years. Planned Start Date: N/A Justification or Business Case: Maintain production capability. Budgetary Estimate:
•

Annual O&M: Pending Review.

Funding Source: General Funds Summary Basis of Estimate: Provided by LOB.

Clinical Works
Electronic Medical Records system. Program: PSD 402 Initiative Type: LOB Solutions Business Service: Inmates Health Care Program Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: 10 years. Planned Start Date: August 2012 Justification or Business Case: Track health care for inmates and meet the Electronic Medical Record federal directives for meaningful use.

Equipment/Hardware ($) – one-time cost: Pending Review and O&M: Pending Review /year Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

•

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

55 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

HPA-VCC
Installation of new video conferencing equipment Program: PSD 402 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: Pending Review EA Compliance: Pending Review Estimated Implementation Duration: N/A. Estimated Operational Duration: 10 years. Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
•

Funding Source: General Funds Summary Basis of Estimate: SW cost from Pending Review FTE labor for D/M/E, 0.5 FTE labor for O&M.

PC Upgrade
Rotate older PC with new PC and standards Program: PSD 402 Initiative Type: LOB Solutions Business Service: Pending Review Status: New Priority: Medium-High EA Compliance: High Estimated Implementation Duration: 12 months Estimated Operational Duration: Pending Review Planned Start Date: 01JUL2012 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• •

Equipment/Hardware ($) – on-time: Pending Review and ongoing annually: Pending Review
• •

Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

Equipment/Hardware ($) – one-time: Pending Review and ongoing annually: Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

•

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.
•

Funding Source: General Funds Summary Basis of Estimate: SW cost from Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Gang Information
Upgrade Offendertrak to accept gang information. Program: PSD 402 Initiative Type: LOB Solutions Business Service: Community-based Mental Health Programs Status: New Priority: Medium-High EA Compliance: High Estimated Implementation Duration: 12 months Estimated Operational Duration: Pending Review Planned Start Date: 01JULY2012 Justification or Business Case: Gang information will be shared to enhance tracking offenders. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Statewide Automated Victim Information Notification (SAVIN)
Victims can register to receive notifications of when an inmate is moved or released, the system uses automatic emails, and notifies data owners if their data has not been updated in a timely manner. Program: PSD 402 Initiative Type: LOB Solutions Business Service: State Automated Victims Information Network Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: N/A. Estimated Operational Duration: 10 years. Planned Start Date: FY12 Justification or Business Case: Community Supervision of Offenders Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
•

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – one-time: Pending Review and O&M annually: Pending Review

•

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 56

• •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

B.2.1.6 LEGAL SERVICES (A.1.6)
Upgrade ProLaw
Upgrade current ProLaw Case Management System from ver. 9.6 to ver. 11 (support for existing version ended in Dec. 2011). Program: ATG 100 Initiative Type: LOB Solutions Business Service: Executive Branch Legal Representation Status: In Progress Priority: High EA Compliance: Low Estimated Implementation Duration: 3 months. Estimated Operational Duration: 12 months. Planned Start Date: 7/1/2012 Justification or Business Case: Maintain viability of existing case management software for legal services. Budgetary Estimate:
•

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Hawai`i Paroling Authority
Replace existing Access DB with SQL; maintains minimum requirements and conditional release parameters to control releases from prison; provides for Community supervision and case management and revocation information. Program: PSD 402 Initiative Type: LOB Solutions Business Service: State Automated Victims Information Network Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: N/A. Estimated Operational Duration: 10 years. Planned Start Date: FY12 Justification or Business Case: Community Supervision of Offenders Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Personnel Services (Hours) – 1 time D/M/E: 900 hours; and on-going O&M annually: 100 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. .5 FTE labor for D/M/E, .05 FTE labor for O&M.

Legal Services Case Management Software
Procure new case management software for legal services. Replaces ProLaw. Program: ATG 100 Initiative Type: LOB Solutions Business Service: Executive Branch Legal Representation Status: In Progress Priority: High EA Compliance: Low Estimated Implementation Duration: 12 months. Estimated Operational Duration: 3-4 years. Planned Start Date: 1/1/2013 Justification or Business Case: Strategic improvement to case management software for legal services. Budgetary Estimate:
•

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review and on-going annually: Pending Review.

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Personnel Services (Hours) – 1 time D/M/E: 2000 hours; and on-going O&M annually: 100 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

•

57 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. 1 FTE labor for D/M/E, .05 FTE labor for O&M

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. .05 FTE labor for O&M.

Upgrade iManage
Upgrade Document Management System from ver. 8.0 to ver. 9.0. Program: ATG 100 Initiative Type: LOB Solutions Status: New Priority: Med EA Compliance: Low Estimated Implementation Duration: 3 months. Estimated Operational Duration: 36 months. Planned Start Date: 7/1/2012 Justification or Business Case: Maintain viability of existing document management software for legal services. Budgetary Estimate:
•

Litigation Support Software
Acquire New Litigation Support Software (i.e., Summation). Program: ATG 100 Initiative Type: LOB Solutions Business Service: Legal Research Status: New Priority: Med EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 48 months. Planned Start Date: 7/1/2015 Justification or Business Case: Strategic improvement of legal research software for legal services. Budgetary Estimate:
•

Personnel Services (Hours) – 1 time D/M/E: 900 hours; and on-going O&M annually: 100 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

Personnel Services (Hours) – 1 time D/M/E: 2000 hours; and on-going O&M annually: 100 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

• •

•

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. .5 FTE labor for D/M/E, .05 FTE labor for O&M

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. 1 FTE labor for D/M/E, .05 FTE labor for O&M.

Westlaw
Keep existing Legal Research Software and use as is with future planned replacement. Program: ATG 100 Initiative Type: LOB Solutions Status: Keep for Now & Use As Is; Plan for Future Replacement Priority: Med EA Compliance: Low Estimated Operational Duration: 36 months. Planned Start Date: 7/1/2012 Justification or Business Case: Keep existing legal research software for legal services. Budgetary Estimate:

AG Website
Department’s Public Web Site (hosted by ICSD) Program: ATG 100 Initiative Type: LOB Solutions Status: Keep for Now & Use As Is; Plan for Future Replacement Priority: Med EA Compliance: Low Estimated Operational Duration: on-going. Planned Start Date: 7/1/2012 Justification or Business Case: Maintain viability of existing legal services website. Budgetary Estimate:
•

Personnel Services (Hours) – None Equipment/Hardware ($) – Pending Review Leases ($) – Pending Review Other ($) – on-going O&M annually: Pending Review

•

Personnel Services (Hours) – on-going O&M annually: 100 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – on-going annually: Pending Review Other ($) – Pending Review

• • •

• • •

Funding Source: General Funds Summary Basis of Estimate: Standard industry estimate.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 58

Charities Website
Charity Registration System (developed and hosted by HIC) Program: ATG 100 Initiative Type: LOB Solutions Status: Keep for Now & Use As Is; Plan for Future Replacement Priority: Med EA Compliance: Low Estimated Operational Duration: on-going. Planned Start Date: 7/1/2012 Justification or Business Case: Keep and maintain viability of existing charity registration web application from HIC. Budgetary Estimate:
• • • •

Upgrade End User Computing for Legal Services
•

Upgrade PCs for Legal Services – acquire 389 Dell Optiplex PCs (i5, Windows 7). Enable Mobility for Deputies – acquire 16 Dell Latitude E6320 & MacBook Airs for Mobility. Upgrade Microsoft Office 2003 to Microsoft Office 2010. (New) Replace Existing HP 4100 B/W Network Printers. (New)

•

• •

Personnel Services (Hours) – None Equipment/Hardware ($) – Pending Review Leases ($) – Pending Review Other ($) – on-going O&M annually: Pending Review

Program: ATG 100 Initiative Type: LOB Infrastructure Status: In Progress Priority: High EA Compliance: Low Estimated Implementation Duration: 12 months. Estimated Operational Duration: 36 months. Planned Start Date: 7/1/2012 Justification or Business Case: Maintain viability of existing end user computing for legal services. Budgetary Estimate:
•

Funding Source: General Funds Summary Basis of Estimate: HIC pricing.

Personnel Services (Hours) – 1 time D/M/E: 2,600 hours; and on-going O&M annually: 400 hours Equipment/Hardware ($) – 1 time D/M/E Pending Review; and on-going O&M annually: Pending Review. Leases ($) – Software – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Other ($) – Pending Review

Legal Services Case Manager and eDiscovery
Modernize Legal Services Case Management System. Implement integration of digital imaging, case management, and email services for full picture of a case content manager. Implement a consistent and integrated capability using electronic legal services and document management system to maintain all documents and files related to a legal case. Program: ATG 100 Initiative Type: LOB Solutions Status: New, Plan for Future Replacement Priority: Med EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 5 years. Planned Start Date: 7/1/2017 Justification or Business Case: Strategic improvement to case management software for legal services with full compliance with future state EA. Budgetary Estimate:

•

•

•

Funding Source: General Funds Summary Basis of Estimate:
•

PCs: One-time D/M/E: Pending Review + 2000 hours. Annual O&M: Pending Review + 200 hours. HW cost from AG. .5 FTE for D/M/E; .1 FTE for O&M. Mobility: One-time D/M/E: Pending Review + 200 hours. Annual O&M: Pending Review + 100 hours. HW cost from AG. .1 FTE for D/M/E; .05 FTE for O&M. Microsoft Office: One-time D/M/E: Pending Review + 200 hours. Annual O&M: Pending Review. SW cost from AG. 1 FTE/mo for D/M/E. O&M labor included in PC support above. Network Printers: One-time D/M/E: Pending Review + 200 hours. Annual O&M: Pending Review + 100 hours. HW cost from AG. 1 FTE Month for D/M/E. .05 FTE for O&M.

•

• •

Personnel Services (Hours) – 1 time D/M/E: 2000 hours; and on-going O&M annually: 200 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review
•

• •

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. 1 FTE for D/M/E; .1 FTE for O&M.
59 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Upgrade Standalone Servers for Legal Services Program
Upgrade & Virtualize Existing Servers. Program: ATG 100 Initiative Type: LOB Infrastructure: Status: In Progress Priority: High EA Compliance: Low Estimated Implementation Duration: 6 months. Estimated Operational Duration: 36 months. Planned Start Date: 7/1/2012 Justification or Business Case: Maintain viability of existing servers for legal services applications. Budgetary Estimate:
•

B.2.1.7 JUSTICE (A.1.7)
Automated Fingerprint Identification System
The AFIS is the State’s central repository for digitized fingerprints captured at the time of booking. Program: ATG231 Initiative Type: LOB Solutions Business Service: Fingerprint Identification Status: In-Progress Priority: High EA Compliance: Med-High Estimated Implementation Duration: 24 months. Estimated Operational Duration: 10 years. Planned Start Date: FY13 Justification or Business Case: Central to business services for this LOB. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Personnel Services (Hours) – 1 time D/M/E: 200 hours; and on-going O&M annually: 100 hours Equipment/Hardware ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review

•

Leases ($) – HW maintenance – 1 time: Pending Review and on-going annually: Pending Review
• •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review on-going annually: Pending Review

Other ($) – Pending Review
•

Funding Source: General Funds Summary Basis of Estimate: HW/SW cost from AG. 1 FTE/mo for D/M/E; .05 FTE for O&M.

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Hawai`i Integrated Justice Information Sharing (HIJIS)
Provides statewide information sharing capabilities across the whole of the justice and public safety enterprise. Program: ATG 231 Initiative Type: LOB Solutions Business Service: Integrated Justice Information Sharing Status: In-Progress Priority: High EA Compliance: Med Estimated Implementation Duration: 12-24 months. Estimated Operational Duration: 10 years. Planned Start Date: FY13 Justification or Business Case: Central to business services for this LOB. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• •

Equipment/Hardware ($) – Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 60

•

Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review and on-going annually: Pending Review

Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review and on-going annually: Pending Review

Criminal Justice Information System – (CJIS-Hawai`i)
Migration of the State’s criminal history central repository to a more industry standard application server and user interface. . Program: ATG 231 Initiative Type: LOB Solutions Business Service: Integrated Justice Information Sharing Status: In-Progress Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 5-6 years. Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Statewide Mugphoto System/Facial Recognition
The SMS is the statewide repository for mugphotos captured at the time of booking from all law enforcement agencies statewide. The SMS is used as an investigative tool to create lineups and mugbooks to identify possible suspects. Enhancement to include facial recognition identification. Program: ATG 231 Initiative Type: LOB Solutions Business Service: Criminal Justice Information System Status: New/Upgrade Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: 24 months. Estimated Operational Duration: 5-6 years. Planned Start Date: FY13 Justification or Business Case: Central to services for this LOB. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review and on-going annually: Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review and on-going annually: Pending Review

National Crime Information Center/Nlets
Provides access to national criminal justice information maintained by the FBI. Program: ATG 231 Initiative Type: LOB Solutions Business Service: Criminal Justice Information System Status: New/Upgrade Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years Planned Start Date: FY13 Justification or Business Case: Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

61 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Lights Out Transaction Controller
The LOTC is responsible for managing the work flow for the automated lights out identification process. Through a set of business and work flow rules, the LOTC directs the AFIS, Green Box, CJIS-Hawai`i, and Mugphoto systems to perform various tasks required for the lights out process. The LOTC also manages the sending of electronic fingerprint files to the FBI and receiving and distributing the identification results. Program: ATG 231 Initiative Type: LOB Solutions Business Service: Criminal Justice Information System Status: Use-As-Is Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 36 months. Estimated Operational Duration: 7-8 years. Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • • • •

on-going O&M annually: Pending Review hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review and on-going annually: Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Sex Offender Registry, Sex Offender Bulk Data, eCrim – Limited Criminal History Search, and Hawai`i Integrated Justice Information Sharing Web Site Management
Maintain the websites for Justice. Program: ATG 231 and ATG 500 Initiative Type: LOB Solutions Business Service: Sex Offender Registration, Criminal History Checks, Integrated Justice Information Sharing Status: In Progress Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: Pending Review. Estimated Operational Duration: 5-6 years. Planned Start Date: FY13 Justification or Business Case: Provide web access to certain criminal information. Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – D/M/E: Pending Review and on-going annuallyPending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Green Box
Green Box is an integrated statewide booking system. Arresting agencies enter booking information directly into the Green Box system or information is transferred from the arresting agency’s records management system to Green Box. Information is then used to populate CJIS-Hawai`i. Green Box is one of the key components of the Lights Out process. Program: ATG 231 Initiative Type: LOB Solutions Business Service: Criminal Justice Information System Status: New/Upgrade Priority: High EA Compliance: Medium Estimated Implementation Duration: 24 months. Estimated Operational Duration: 5-6 years. Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and
•

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Total for all websites – D/M/E: Pending Review and on-going annually Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 62

B.2.1.8 CHILD SUPPORT SERVICES (A.1.8)
Infrastructure Maintenance
Hardware/software maintenance, licenses & fees; ongoing professional service fees; circuits, etc.. Program: ATG 500 Initiative Type: LOB Solutions Business Service: Child Support Enforcement Status: Pending Review Priority: High EA Compliance: Pending Review Estimated Implementation Duration: Pending Review months. Estimated Operational Duration: 10 years. Planned Start Date: FY14 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

KEIKI Maintenance / Enhancements
Improve documentation & enhance application & related processes per user requests (e.g. imaging) & external requirements (e.g. IRS Audit) Program: ATG 500 Initiative Type: LOB Solutions Business Service: Child Support Enforcement Status: In-Progress Priority: High EA Compliance: Pending Review Estimated Implementation Duration: Pending Review Estimated Operational Duration: 10 years. Planned Start Date: FY14 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – One-time D/M/E: N/A ; O&M: Pending Review

Other ($) – One-Time D/M/E: Pending Review ; O&M: Pending Review
•

•

Funding Source: General Funds
•

Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Child Support Enforcement Services
https://csea.eHawai`i.gov Developed, supported, and hosted by HIC. Program: ATG 500 Initiative Type: LOB Solutions Business Service: Child Support Enforcement Status: In-Progress Priority: High EA Compliance: Med-High Estimated Implementation Duration: Pending Review Estimated Operational Duration: 10 years. Planned Start Date: FY14 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Interactive Voice Response Enhancement Project
Interactive Voice Response unit to deliver case information and forward callers to customer service representatives. Program: ATG 500 Initiative Type: LOB Solutions Business Service: Child Support Hearing Services Status: New Priority: Medium-High EA Compliance: Pending Review Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review. Planned Start Date: FY16 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – One-time D/M/E: Pending Review; O&M: Pending Review

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
Enterprise Architecture | Appendix B

•

63 | State of Hawaii Business and IT/IRM Transformation Plan

Other ($) – One-time D/M/E: Pending Review ; O&M: Pending Review
•

Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review

SharePoint - Child Care Workflow Implementation
SharePoint - Child Care Workflow Implementation New initiative to streamline business processes for Child Care Services Program: ATG 500 Initiative Type: LOB Solutions Business Service: Child Support Hearing Services Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 36 months. Estimated Operational Duration: Pending Review. Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Other ($) – One-time D/M/E: Pending Review ; O&M: Pending Review
•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

CSEA Infrastructure Enhancements
Hardware/software infrastructure; professional services; circuits, etc. Replace server / desktop hardware & software Program: ATG 500 Initiative Type: LOB Solutions Business Service: Child Support Enforcement Status: New Priority: High EA Compliance: Pending Review Estimated Implementation Duration: 24 months. Estimated Operational Duration: 10 years. Planned Start Date: FY14 Justification or Business Case: Pending Review Budgetary Estimate: Personnel Services (Hours) – 1 time D/M/E: Pending Review hours; and on-going O&M annually: Pending Review hours
• • •

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – One-time D/M/E: Pending Review; O&M: Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – One-time D/M/E: Pending Review ; O&M: Pending Review

KEIKI Replacement Project
Federally certified system; Supported by ICSD. Program: ATG 500 Initiative Type: LOB Solutions Business Service: Child Support Enforcement Status: New Priority: Medium EA Compliance: Pending Review Estimated Implementation Duration: 10 years. Estimated Operational Duration: 10 years. Planned Start Date: FY20 Justification or Business Case: Pending Review

•

Funding Source: General Funds Summary Basis of Estimate: SW cost from AG. Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 64

B.2.1.9 STADIUM OPERATIONS (A.1.9)
Under development.

B.2.1.10 TRANSPORTATION (A.1.10)
Financial Management System
Financial Management Systems needs to be maintained and upgraded for continued vendor support. The Highway and Airports financial management systems projects are currently being worked on. Program: TRN 595 Initiative Type: Transportation Solution Business Service: Financial Management Status: In-Process Priority: High EA Compliance: Med Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: The Transportation financial reporting requirements vary between the Divisions which are mandated for annual financial audits. Budgetary Estimate: Pending Review Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review
• • •

Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB

PropWorks Upgrade
Upgrade Property and Lease Management System for Airports. Program: TRN 195 Initiative Type: Transportation Business Service: Information Sharing Status: In-Process Priority: High EA Compliance: In-Process Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Property Management, Billing & Invoicing, Aviation Statistics, Airport Space Management, Aircraft Registration, Statistics for the State.

65 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) –

Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Introduce records management and paperless workflow. Budgetary Estimate: Pending Review
•

• •

Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

Other ($) – Pending Review

• •

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB

•

HAR-GIS
GIS/Asset Management for Harbor Management working with the Army-Corp of Engineers and is the State match to the program. Mapping assets with the first layer being storm water systems. Program: TRN 395 Initiative Type: Transportation Business Service: GIS Status: In-Process Priority: High EA Compliance: In-Process Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Army Corp of Engineers is starting this mapping and the State has match contribution it must make. Budgetary Estimate: Pending Review
•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

CIP Tracking
Transportation Capital Improvement Project Tracking with interface to Transportation portal. Program: TRN 995 Initiative Type: Transportation Business Service: Project Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Provide the capability to track and manage multiple contractors on a single complex DIP project for scope, schedule, and financial. Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds
•

Summary Basis of: Basis from Army corp.

DOTCMS
Enhance the Transportation’s Content Management System (DOTCMS). Program: TRN 395 Initiative Type: Transportation Business Service: GIS Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 years

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 66

Work Order/Trouble Call Tracking
Enhance and expand the Airports work order and trouble call tracking system to support the Airport Operations. Program: TRN 395 Initiative Type: Transportation Business Service: Project Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Used to record and track progress and completion of work orders and trouble calls. Used as reference for liability claims against the Airports. Budgetary Estimate: Pending Review Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review
• • •

• •

Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB

Certification Tracking/Training
Monitoring and tracking all Airport Operations employees (State and non-State) for compliance with airport certification classes. Program: TRN 395 Initiative Type: Transportation Business Service: Pending ReviewPending Review Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Provide material and supplies inventory control for AIR-OM warehouse. Budgetary Estimate: Pending Review Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review
• •

Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending ReviewX

AIR-OM
Materials and Supply Inventory Upgrade Program: TRN 395 Initiative Type: Transportation Business Service: Asset Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Provide material and supplies inventory control for AIR-OM warehouse. Budgetary Estimate: Pending Review
•

•

•

Funding Source: General Funds Summary Basis of: Pending ReviewX

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review

67 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

KOA Fuel System
Replacement of Kona International Airport’s GasBoy System. Program: TRN 395 Initiative Type: Transportation Business Service: Asset Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Replacement of an existing legacy system to provide better tracking fuel services. Budgetary Estimate: Pending Review Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review
• • •

Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

State Airport Websites
Update look, and feel (navigation) of the current Hawai`i.gov airport webpages that services the traveling public. Website hosted by ICSD. Program: TRN 395 Initiative Type: Transportation Business Service: Information Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 6 months Estimated Operational Duration: 3 years Planned Start Date: New Justification or Business Case: Better user experience and increase citizen involvement. Budgetary Estimate: Pending Review

Equipment/Hardware ($) –
•

Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
• •

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

Other ($) – Pending ReviewX
•

Funding Source: General Funds Summary Basis of: Pending Review
•

Hawaiian Aviation History Website Upgrade
Upgrade of the Hawai`i.gov/Hawai`iaviation website hosted by ICSD. Program: TRN 395 Initiative Type: Transportation Business Service: Information Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 6 months Estimated Operational Duration: 3 years Planned Start Date: New Justification or Business Case: The current website is built on unsupported application code. Budgetary Estimate: Pending Review Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review
• • •

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Traffic Accident Reporting System
System to track and analyze traffic accidents by statistical analysis Program: TRN 595 Initiative Type: Transportation Business Service: Information Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 year Estimated Operational Duration: 5 years Planned Start Date: New Justification or Business Case: Citizen protection Budgetary Estimate: Pending Review Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review
• •

Equipment/Hardware ($) –

Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
•

Equipment/Hardware ($) –

Other ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
• •

Funding Source: General Funds

Other ($) – Pending Review
Enterprise Architecture | Appendix B | 68

State of Hawaii Business and IT/IRM Transformation Plan

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

Harbors Comprehensive Financial System
Comprehensive Information Database – Accounts receivable, General Ledger, Agent to Accounts Receivable, Parking, Harbormaster, Property Manager, Engineering Project Manager. Integrated Financial Accounting and financial information system including required subsidiary ledgers (such as AR billing system, fixed Asset system and Capital Projects system) and electronic interface with DAGS FAMIS system Program: TRN 395 Initiative Type: Transportation Business Service: Financial Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Integrated Financial Accounting and financial information system including required subsidiary ledgers (such as AR billing system, fixed Asset system and Capital Projects system) and electronic interface with DAGS FAMIS system Budgetary Estimate: Pending Review Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review
• • •

• •

•

Funding Source: General Funds Summary Basis of: Industry pricing list

Hardware and Software License Audit Inventory System
Computer Hardware and Software Inventory database for Harbors Division. Program: TRN 395 Initiative Type: Transportation Business Service: Asset Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Better tracking of State assets and interface to State inventory system. Budgetary Estimate: Pending Review
•

Equipment/Hardware ($) –
• •

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) - Pending Review

Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
•

Other ($) – Pending Review
•

Funding Source: General Funds Summary Basis of: Based upon spend for DOT Administration system build for same purpose.

Funding Source: General Funds Summary Basis of: Internal cost estimate

Automated Cargo Tracking System
Develop and implement automated cargo tracking system to ensure that all cargo is correctly reported and charged. Program: TRN 395 Initiative Type: Transportation Business Service: Financial Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: To better regulated incoming and outgoing freight, TARIFS and revenue for the State.
69 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B

Help Desk System
A web based Help Desk management application to track and manage IT user request and trouble tickets with status/ progress updates and reporting via email or web interface. It’s also a reference database for IT equipment’s life cycle and maintenance contracts. Program: TRN 395 Initiative Type: Transportation Business Service: IT Service Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Track IT service request to reduce downtime and identify problem IT areas for future fix. Budgetary Estimate: Pending Review
•

Funding Source: Pending Review Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Cruise Scheduling System
Develop a statewide cruise ship scheduling system with on-line access provided to cruise ship agents to book port calls at any of the statewide commercial harbor ports. Program: TRN 395 Initiative Type: Transportation Business Service: Scheduling Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Better scheduling for cruise ship to increase tourism and tourism revenue. Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review

• •

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

Other ($) – Pending ReviewX
•

Funding Source: Pending Review Summary Basis of: Cost provided for by Department owner of LOB as educated estimate.
•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Ship and Vessel Scheduling System
Manage the scheduling and assignment of berths for homeported ships and vessels visiting Hawai`i’s harbor facilities. Program: TRN 395 Initiative Type: Transportation Business Service: Scheduling Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Faster loading and offloading of cargo container to increase tariff and tax revenue to the State. Budgetary Estimate: Pending Review
•

Harbor Property Management System
Automated database of all permits, leases, easements and property dispositions of harbor properties; captures tenant history, monitor rent reopening, rental step-ups, insurance renewal information, security deposit information and record information on the history of harbor properties, including governor’s executive orders, deeds, survey maps, etc. Develop a complete land inventory classification system of harbor properties by ceded and non-ceded status to comply with payments due to OHA under section 5(f) of the Admission Act. Program: TRN 395 Initiative Type: Transportation Business Service: Asset Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: This system has to Interface

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) –

• •

Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
•

Other ($) – Pending ReviewX

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 70

with Accounting Billing module to generate charges based on individual rental agreements, and to identify revenues received from use of ceded harbor properties due to OHA under section 5(f) of the Admission Act, as well as to interface with GIS. Budgetary Estimate: Pending Review
•

Harbor Project Management System
Manage plans, control resources and schedules for multiple planning, design and construction projects; manage contracts, budgets, expenditures and forecasts of future needs; monitor critical paths and project status. Program: TRN 395 Initiative Type: Transportation Business Service: Project and Financial Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Provide reports on CIP status for executive management, Governor and the Legislature.

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Budgetary Estimate: Pending Review
•

Asset Management System
Harbors initiative to establish a system to manage major assets, infrastructure, utility systems, roadways, easements, etc. to capture life cycle history and major repairs and renovations made to such assets and infrastructure. Program: TRN 395 Initiative Type: Transportation Business Service: Asset Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: This system will monitor the remaining life of harbor infrastructure to enable more effective planning, budgeting and scheduling of repairs, renovations or replacements, and to interface with GIS. Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Harbor Environmental Management System
Harbor’s initiative to capture environmental data related to harbor properties such as pre-existing soil conditions, maintain record keeping and documentation of environmental inspections and enforcement actions; monitor storm water discharge and the surrounding environment, as the responsibility to manage public lands also includes compliance with all federal and state environmental laws and regulations to protect the land and surrounding areas from pollution. This system is also to Interface with GIS. Program: TRN 395 Initiative Type: Transportation Business Service: Project and Financial Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Assist in the compliance with all State and Federal laws and regulation to protect Hawai`i from pollution.

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

71 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

Statewide Maritime Wireless Network System (MWNS)
Develop and implement a statewide regulated ports NWNS to enhance public safety throughout the regulated port infrastructure with respect to data and video signals. The MWNS will provide DOT with the opportunity to achieve meaningful and measurable improvements to the public safety surveillance system within the port infrastructure through the use of telecommunication resources and connectivity to the Hawai`i Homeland Security Command Information Surveillance System. Pending Review has been released by the Governor for the MWNS Design and Construction, statewide with the Department of Defense being the lead agency to coordinate and manage the project. Program: TRN 395 Initiative Type: Transportation Business Service: Public Safety Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Public Safety Budgetary Estimate: Pending Review
•

• •

•

Funding Source: General Funds Summary Basis of: Cost provided for by Department owner of LOB as educated estimate

Harbor Office Approval Tracking System
An electronic Tracking and Approval system for Staff Study documents, Travel Requests, Purchase Requisitions and Purchase Orders, and recommendations on Contract Award and Statements of Completed Travel. Program: TRN 395 Initiative Type: Transportation Business Service: Office Automation Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Better stewardship of state dollars and management of personnel. Budgetary Estimate: Pending Review
•

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) – Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending Review

• •

Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review Equipment/Hardware ($) –

•

Funding Source: General Funds
• •

Summary Basis of: Appropriated Funding Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – Pending ReviewX

•

Funding Source: General Funds Summary Basis of: Internal cost estimate

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 72

Program ID TRN 195

Div AIR

Project Name WINGS

Project Description Wings is a Geographic Information System. The Application aids Property Management, Engineering Section, etc. GIS on an Oracle backend Air Budget Expend Plan. Notes application Contract, Not owned by airports Provide material and supplies inventory control for AIR-OM warehouse. Systems management and deployment software Workstations backups - PC support - COTS

Plans for T&S Enhancements

Priority 1

O&M Costs Pending Review

TRN 195 TRN 195

AIR AIR

AIR Budget Expend Plan AIR-OM Materials and Supplies Inventory System Altiris

Replace with ERP Upgrade

1 1 Pending Review Pending Review

TRN 195 TRN 195

AIR AIR

Upgrade Upgrade

2 2

AIROMPrint Custom print from Materials and Supplies Inventory Purchase Requisition System -purchase requisition using the data from the AIR-OM Material and Supplies Inventory HNL Baseyard Fuel System Oracle Financials PropWorks To help automotive section manage their fleet and work orders and an automatic fueling system that interfaces with Asset works. COTS backend AIRMIS21 - Oracle Financials Accounts AIRMIS21- Property Management, Billing & Invoicing, Aviation Statistics, Airport Space Management, Aircraft Registration, Statistics. Oracle backend Hawai`i.gov/Hawai`iaviation Hosted by ICSD. Hawai`i.gov/hnl Hosted by ICSD. AutoCAD software to manage as-builts and create exhibits. Microsoft server, workstation, Office software licenses to keep current. Lotus Notes database application used to process Controlled Item Disposals. Airports Division Subscription Log database serves as a log of subscription maintained by the Procurement staff in the Airports Division. It provides listing of subscription that is available to the Airports staff. It assists the procurement staff to identify This Correspondence Log supports logging functions for both Outgoing and Incoming documents. It keeps track of documents originating from and received by offices. The fields for each document provides information on dates, routing, and filing. Notes managed by AP

TRN 195

AIR

Upgrade

2

Pending Review Pending Review Pending Review

TRN 195 TRN 195

AIR AIR

Upgrade Upgrade

1 2

TRN 195 TRN 195 TRN 195 TRN 195 TRN 195 TRN 195

AIR AIR AIR AIR AIR AIR

Hawai`i’s Aviation History Honolulu Airport CADD Office Automation AIR Controlled Item Disposal AIR Division Subscription

Upgrade Upgrade Upgrade Upgrade Use-As-Is Use-As-Is

3 3 1 1 1 3 Pending Review Pending Review Pending Review

TRN 195

AIR

AIR Correspondence Logs

Use-As-Is

1

73 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN 195

Div AIR

Project Name AIR-EG Service Request

Project Description The Drafting Section (AIR-EG) in the Engineering Branch at the Airports Division provides various support in relation to Drafting, Graphics, CAD support and presentations. This database tracks requests made to this section. Notes managed by AP. Technical Support Tips and How To’s from AIR-I. AIR-I is Airports Information Technology Office. Notes managed by AP. AIR-O Airports Suggestion Hotline - Caller database. Notes managed by AP. AIR-O Airports Suggestion Hotline - Log database. Notes managed by AP. The PPT - Engineering Library Database serves as a repository of information which the Engineering Branch can refer to for policies and procedures and to download standard forms and documents for use in the administration of engineering projects. Notes managed by AP. Purpose: To have a tracking application to record and monitor incidents, events, and activities of the AIR- OAS office, 24x7. Goals & Objectives: To automate the current method of logging AIR-OAS event activities and disseminate such information to selected Airport Managers and staff. Notes managed by AP. Used to track the Division’s requests and approvals for Intra-State Travel. Notes managed by AP. The purpose of this database is to provide a central repository for activities that take place during the day-to-day functions at Lihue Airport in a standardized format. Similar to AIR HNL Duty Manager Log. Notes managed by Airports. AIR-O Database to track the issuance of Meal Tickets. Notes managed by AP. This database functions is a tracking application to record and monitor significant incidents, events, and activities of each shift within the Ramp Control office (ORC) in the Honolulu International Airport. Notes managed by AP. Tracks FAA Part 139 Discrepancies. Notes managed by AP. This database is used to capture Transmittal information between the Property Management and Fiscal offices. This application automates the paper that was passed between the offices when processing new contracts. This form has two access controlled sections; where editor access is restricted to each section. Notes managed by AP.

Plans for T&S Use-As-Is

Priority 1

O&M Costs

TRN 195

AIR

AIR-I Help

Use-As-Is

3

TRN 195

AIR

AIR ASH Callers

Use-As-Is

1

TRN 195 TRN 195

AIR AIR

AIR ASH Log AIR Engineering PPT Library

Use-As-Is Use-As-Is

1 2

TRN 195

AIR

AIR HNL Duty Manager Log

Use-As-Is

1

TRN 195 TRN 195

AIR AIR

AIR Intra-State Travel AIR LIH District Operations Log

Use-As-Is Use-As-Is

1 1

TRN 195 TRN 195

AIR AIR

AIR Meal Ticket AIR ORC Activity Log

Use-As-Is Use-As-Is

1 1

TRN 195 TRN 195

AIR AIR

AIR Part 139 Discrepancy AIR PM/AF Transmittal DB

Use-As-Is Use-As-Is

1 1

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 74

Program ID TRN 195

Div AIR

Project Name AIRFMIS

Project Description AIRFMIS is a reporting system to produce granular financial reports not currently available in FAMIS. This AIRFMIS system receives daily and monthly expenditure data from FAMIS via a FTP process in the mainframe. It also points to revenue data views from the AIRMIS 21 Oracle Financial application to produce reports. Oracle DB with Crystal Reports AIRMIS21 Procedures database for endusers to reference e.g., How To’s. Notes managed by AP. Place to announce Airport News, e.g., System Downtime Notices, New Hires, etc. Notes managed by AP. Notes databases where scanned documents are sent to instead of to a fileserver. Access is based upon the staff that manages the scanner. Notes managed by AP. Notes application to enter Airport Staff Study requests which includes workflow for the approval process. Used to track Airports Staff Studies, budgeted or not budgeted. Notes managed by AP. Airport Telephone Directory. Notes managed by AP. Laser Barcode Solutions provides Scantrac System with DENSO BHT7364 scanners. To support wall to wall annual inventory. Access application package Computer Aided Request Technical Support database application is used to track all IT requests. Notes managed by Airports. Lotus Notes Automated reservation application for Division conference rooms. Notes managed by AP. An application for the Fiscal Office to track contract payments and is used to reconcile against FAMIS expenditure transactions. A read only module is available for project managers to see their current balance. Oracle Db Support inventory of lost and found items at HNL. Oracle To support Petty Cash transactions. Oracle Db Discussion database for Air-EP staff to track monthly Air Traffic reports submitted by the airlines to DOTA. Information entered will be share between AirEP staff and Fiscal staff. Notes managed by AP. Application to support environmental inspection information and tracking.

Plans for T&S Use-As-Is

Priority 1

O&M Costs

TRN 195 TRN 195

AIR AIR

AIRMIS21 Procedures Manual Airports News

Use-As-Is Use-As-Is

1 1 Pending Review

TRN 195

AIR

Airports Scanning

Use-As-Is

1

TRN 195

AIR

Airports Staff Studies

Use-As-Is

1

TRN 195 TRN 195

AIR AIR

Airports Telephone Directory Barcode SCANTRAC CARTS

Use-As-Is Use-As-Is

1 1

TRN 195

AIR

Use-As-Is

1

TRN 195

AIR

Conference Room Reservations Division/Districts Contract Ledger

Use-As-Is

1

TRN 195

AIR

Use-As-Is

1

TRN 195 TRN 195 TRN 195

AIR AIR AIR

HNL Lost and Found Petty Cash AIR Planning Statistics

Use-As-Is Use-As-Is Use-As-Is

1 1 1

TRN 195

AIR

Enviance

Virtualization Servers & Web Apps

1

Pending Review

75 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN 195

Div AIR

Project Name SKIRE

Project Description Still in implementation phase. Project Management system to be used by AIRE. Work flows run the gamut from allotment to Project closeout and everything in between. www6.Hawai`i.gov/dot/airports Hosted by ICSD.

Plans for T&S Virtualization Servers & Web Apps.

Priority 1

O&M Costs Pending Review

TRN 195

AIR

Department of Transportation Airports Division AIR Division Procedures Manual Traffic Work Order Log Highways Accounting System IBM Personal Communications version 5 / Client Access AS400 applications DOT Highways Web Site HWY Kapolei

Web Pages

3

TRN 195

AIR

Electronic means of disseminating Airports Division Procedures. Create and track work orders for Highways Division Traffic Branch. Notes application Contract An accounting system (batch COBOL on ICSD’s mainframe) allowing the billing of FHWA for participating Highways projects. AS400 access Eventually replaced with FAST (HI2) Enhancements Replace

2

TRN 595 TRN 595

HWY HWY

1 5 Pending Review

TRN 595

HWY

Replace

1

TRN 595

HWY

AS400: Custom applications for tracking labor, Purchase Requisitions and POs and other Highways-centric requirements. ICSD Hosted This database contains a roster of employees in the DOT Kapolei Building located at Kapolei, Hawai`i. This roster is also used to create ID badges for the employees of this building.

Replace

1

TRN 595 TRN 595

HWY HWY

Replace Replace with ERP

1 1

TRN 595

HWY

Highways Personnel Manages employee training information. Access Employee Training database Highways AS/400 District-Level financial system used to maintain budgets, generate and approve purchase orders, track vehicle maintenance costs, and employee timesheets.

Replace with ERP

2

TRN 595

HWY

Replace with ERP

1

TRN 595 TRN 595

HWY HWY

HWYAC Transaction database (MS-SQL Server) allowing the querying of History Database HWYAC Transaction History Highways Personnel Manages Temporary Assignment information of Temporary each employee. Access Assignment database Altiris PCAnywhere BriscCad TDS Survey Link Systems management and deployment software Workstations backups - PC support - COTS remote control software CAD drawing older version of Fore Sight DXM

Replace with ERP Replace with ERP

1 2

TRN 595 TRN 595 TRN 595 TRN 595

HWY HWY HWY HWY

Retire Retire Retire Retire

1 1 1 1

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 76

Program ID TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595

Div HWY HWY HWY HWY HWY HWY HWY HWY HWY

Project Name BackupExec Microstation InterPlot Server/ InterPlot Client InRoads/InRoads Survey Select Server Traverse PC MathCAD Intergraph map software SignCAD

Project Description backup software Computer Aided Design and Drafting (CADD) Software CADD Plotting solution Highway Design software server for CADD program licenses survey program computational program GIS software sign design program used in conjunction with CADD programs structural design software (Multiple versions , girder, pier etc.) Bridge Condition / Inventory Database communication import/export with data collector communicates(exports/imports) survey data with other software Communicate with Trimble radio CCTV Control Program - Tunnel Operations Maintenance Productivity Enhancement Tool Emergency Callbox Support Program System Control and Data Acquisition Program (SCADA) - Tunnel Operations

Plans for T&S Upgrade Upgrade Upgrade Upgrade Upgrade Upgrade Upgrade Upgrade Upgrade

Priority 2 1 1 1 1 1 1 1 1

O&M Costs Pending Review Pending Review Pending Review Pending Review See HI 25 Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

TRN 595

HWY

Brass

Upgrade

1

TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595

HWY HWY HWY HWY HWY HWY HWY HWY HWY

Pontis TDS Fore Sight DXM Trimble TGO Office Trimble PDLCONF User Chameleon MPET-NET Comarco Answer DYNAC

Upgrade Upgrade Upgrade Upgrade Upgrade Upgrade Upgrade Upgrade Use-As-Is

1 1 1 1 1 1 1 1 1

Financial accounting system (Oracle EBusiness Suite) to Accounting System replace the HWYAC system Transportation (FAST) HWY-C Car Reservation HWY-C Conference Room Reservations HWY-Oahu District Reservations Highways Letter Log Reservation application - Notes application Contract Reservation application- Notes application Contract Reservation application Notes application Contract Highways Letter Log Notes application Contract

TRN 595 TRN 595

HWY HWY

Use-As-Is Use-As-Is

2 2

TRN 595 TRN 595

HWY HWY

Use-As-Is Use-As-Is

2 1

77 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN 595

Div HWY

Project Name Highways Library

Project Description Documents pertaining to Highways operations, including documentation templates, policies/ procedures, etc. Notes application Contract This database provides the Highways Division of the Department of Transportation a budget expenditure plan. This database is a tool to create a budget expenditure plan and communicate this plan between the PPB Management Office and the Highways Division. Notes application Contract A Status Reporting application for the Highways Performance Accounting system project. Tracks the progress of project activities. It keeps team members up-todate on project status and issues. Notes application Contract https://mvr.eHawai`i.gov Developed, supported, and hosted by HIC. Owned by County, validating if funded through DOT. http://mvr.eHawai`i.gov Developed, supported, and hosted by HIC. Owned by County, validating if funded through DOT. http://vms.eHawai`i.gov Developed, supported, and hosted by HIC. Owned by County, validating if funded through DOT. http://traffic.eHawai`i.gov Developed, supported, and hosted by HIC. Owned by County, validating if funded through DOT. https://kalaiwa.eHawai`i.gov Developed, supported, and hosted by HIC. Owned by County, validating if funded through DOT. graphics viewer/editor survey program program to integrate cloud survey data with CADD structural engineering program structural engineering program provides topographic data GIS type reader with USGS Topoquad data (replaced by Topo North America on Windows7 machines) used to move between files in CADD program Small Watershed Hdrology Modeler/Calcs Hydraulic Modeling System

Plans for T&S Use-As-Is

Priority 1

O&M Costs

TRN 595

HWY

HWY Budget Expend Plan

Use-As-Is

1

TRN 595

HWY

Performance Accounting System

Use-As-Is

1

TRN 595

HWY

Online Motor Vehicle Renewals Kauai Motor Vehicle Renewals

Use-As-Is

1

TRN 595

HWY

Use-As-Is

1

TRN 595

HWY

Vehicle Violation Monitoring

Use-As-Is

1

TRN 595

HWY

Traffic Abstracts Electronic Driver Monitoring Service

Use-As-Is

1

TRN 595

HWY

Use-As-Is

1

TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595

HWY HWY HWY HWY HWY HWY HWY

ACDSee Cyclone Cloudworx CSI Bridge Advanced SP Column Delorme Topo North America 3D TopoQuads

Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is

1 2 2 2 2 2 2

TRN 595 TRN 595 TRN 595

HWY HWY HWY

RefWriter WinTR55 HEC HMS

Use-As-Is Use-As-Is Use-As-Is

2 2 2

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 78

Program ID TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595

Div HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY HWY

Project Name HEC RAS HEC SSP HY-8 Visual Urban WMS Hilti Profis Anchor WinSTRUDL Active Sync Conspan Consys Eaglepoint CPMS Complaint Log Gasboy Sight Survey 3.0 Lica Sprinter Data Loader Javelin Quest Honeywell RAS Plus SkyLine EnvoyDMS SolarTech Control Center ADDCO Software House CARDACC GE Cimplicity River Analysis

Project Description

Plans for T&S Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is

Priority 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2

O&M Costs

Hydraulic Statistical Analysis Package Culvert Hydraulic Calcs Urban Hydraulic Modeler/Calcs Watershed Modeling System Structural Calcs for base plates/anchors of varying size/config 2D/3D Finite Element Analysis Interface w/ Survey Equipment for downloads structural design software structural design software surveying CAD software construction management(formally CMS) MS Access MS access fueling application for vehicles (commercial software) CAD Survey computation surveying computational tool/data communication CCTV Control Program - Tunnel Operations CCTV IP Control Program - Tunnel Operations Variable Message Sign (VMS) Control/ Maintenance Program Remote/Monitoring Program for Portable Message Board Sign Programming Program Card Acecss Control Program System Control and Data Acquisition Program (SCADA) - Tunnel Operations Access based Document Management System to manage Planning communication. Access, FrontPage

TRN 595 TRN 595

HWY HWY

Branch Mail Logs Planning Branch Land Use Review Log

Use-As-Is Use-As-Is

2 2

79 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN 595

Div HWY

Project Name Motor Vehicle Safety Office Drivers Education Instructors Database Traffic Branch Traffic Signals database Design Branch As Built Log Motor Vehicle Safety MCV Card database Design Cadastral Index Cards Bridge Database Rights of Way Parcel Information Unit Price Summary Pavement database Sample Log Special Provisions Highways Permit Log FAIS extract

Project Description Manages Driver Education Instructor information, certification information and certificates issued. Reporting to DMV, emailing to specific or all instructors. Access Collects data of emergency call boxes. Access

Plans for T&S Use-As-Is

Priority 2

O&M Costs

TRN 595

HWY

Use-As-Is

2

TRN 595 TRN 595

HWY HWY

Manages documents and drawings as they are entered into the As Built System. Access Manages Motor Carrier Vehicle Card data. Access

Use-As-Is Use-As-Is

2 2

TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 595 TRN 995

HWY HWY HWY HWY HWY HWY HWY HWY ADM

Manages design cadastral information. Access Record bridge inspection report. Access, Dreamweaver Manages Parcels for Rights of Way. Access Collects bid price data for Highways projects. Access Manages Testing Lab pavement data Access Manages Testing Lab samples. Access Manages Special Provisions for Testing Labs. Access Tracks permit applications submitted to Highways Division. Notes application Contract Equipment inventory download from State DAGS Fixed Asset Information System (FAIS). Used for staging purposes to match and add information to current inventory listing, contained in the Computer Systems & Service Office’s Inventory System Notes Domino Application that will aggregate and be integrated into a single application or ERP Custom Access application using database to reformat 1099 data and balance with the Famis reports, for the Business Management Office Access application and Easytrieve on mainframe. O&M tied to Access maintenance contract Used for various DOT project related to the DAGS FAMIS system - Document DB on Notes Domino

Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is Notes/Domino Applications Replacements with ERP

2 2 2 2 2 2 2 3 2 Pending Review

TRN 995

ADM

1099 Interface program

Notes/Domino Applications Replacements with ERP

2

Pending Review

TRN 995

ADM

FAMIS Database Documentation

Notes/Domino Applications Replacements with ERP

2

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 80

Program ID TRN 995

Div ADM

Project Name Financial Management Library

Project Description Financial Management System Documentation repository for the Business Management Office Included in NOTES contract

Plans for T&S Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

Priority 2

O&M Costs

TRN 995

ADM

869 Punchbowl

This database contains a roster of employees in the Aliiaimoku Building located at 869 Punchbowl Street. This roster is also used to create ID badges for the employees of this building. NOTES Contract This database is used to record historical information related to disciplinary actions taken and to log and track the processing of grievances filed against the Department of Transportation, for the use of Personnel Office. Notes application Contract Business Management Office Documentation Notes application Contract

2

TRN 995

ADM

Disciplinary & Grievance Log

2

TRN 995

BUS- Library

2

TRN 995

ADM

CSS Inventory

Computer Hardware and Software Inventory database for the Computer Systems & Services Office Notes application Contract. Attached to A1 Documents related to CSS operations, technical notes, etc Notes application Contract

2

TRN 995

ADM

CSS Library

2

TRN 995

ADM

DOT New Articles

A Document Library COTS application is an electronic filing cabinet that stores reference documents for access by a workgroup. The database might contain anything from environmental impact statements for a group of engineers to financial statements for a Notes application Contract To share project documentation for DOTCMS (DOT Content Management System), Phase 2. Domino TeamRoom COTS template. Notes application Contract This database provides the PPB Management Office of the Department of Transportation a budget expenditure plan. This database is a tool to create a budget expenditure plan and communicate this plan between the PPB Management Office and the Staff offices. Notes application Contract DOT Budget System Project Information Repository. Notes application Contract

2

TRN 995

ADM

DOTCMS Project Phase 2 Teamroom BUS DataMart

Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

2

TRN 995

ADM

2

TRN 995

ADM

DOT Budget System Library

Notes/Domino Applications Replacements with ERP

2

81 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN 995

Div ADM

Project Name PPB Management Database

Project Description Tracks budget requests related to the DOT’s Capital Improvements Program (CIP) Projects, for the PPB Management Analytical Office. Notes application Contract Tracks budget requests related to the Operations & Maintenance (O&M) program, for the PPB Management Analytical Office. Notes application Contract Tracks budget requests related to travel (intra- and inter-state) for the PPB Management Analytical Office. Notes application Contract Project documentation database for a dynamic workflow application. Notes application Contract

Plans for T&S Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

Priority 2

O&M Costs

TRN 995

ADM

PPB Operating Log

2

TRN 995

ADM

Travel Request Log

2

TRN 995

ADM

Workflow Project Documentation

2

TRN 995

DOT Library

Documents containing policies and procedures, overall group training status, forms, etc used by DOT. Notes application Contract This database contains documentation of Notes databases developed by the Department of Transportation Computer Systems and Services Office since 1999. This database also documents the notes database features and conventions that is used in the DOT CSS Notes. Notes application Contract Previously used to notify people of standards updates. Notes application Contract

2

TRN 995

Standards

2

TRN 995

Standards notification

Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

2

TRN 995

ADM

2005 Contractor Responsibility

This database was used to log documents submitted by contractors for compliance with procurement requirements included in Act 216 SLH 2004. Notes application Contract This database is used by the Contracts Office to log and attach documents submitted by contractors for compliance with procurement requirements included in Section 3-122-112 of the Hawai`i Administrative Rules. Notes application Contract Contracts Office boiler plate documentation for different types of procurements, contracts, etc. Notes application Contract

2

TRN 995

ADM

Contractor Responsibility

2

TRN 995

ADM

Contracts Office Documents

Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

2

TRN 995

ADM

Contracts Office Log

Contracts Office log to track the procurement approval process for the DOT’s construction, consultant, and maintenance contracts. Notes application Contract

2

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 82

Program ID TRN 995

Div ADM

Project Name SPO Log

Project Description State Procurement Tracking Log for DOT related items. Notes application Contract

Plans for T&S Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

Priority 2

O&M Costs

TRN 995

ADM

SQQ Log

This database is a log of the Standard Qualifications Questionnaires (SQQ) to the Department of Transportation Contracts Office by contractors. It provides a list of Contractor licenses and dates SQQ are evaluated. Contractors should be evaluated every two. Notes application Contract This letter log will keep track documents originating from this section. Notes application Contract

2

TRN 995

ADM

CSS Letter Log

Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

2

TRN 995

ADM

DIR-C Letter Log

Letter Log for the DIR-C office. Notes application Contract

2

TRN 995

ADM

DIR-P Request Log

Tracks issues, complaints, and notifications having to do with the public or the media, for the Public Affairs Office. Notes application Contract This letter log keeps track of documents originating from the Office of Civil Rights. The fields for each document will provide information on dates and persons involved for tracking purposes and historical information for archiving. Notes application Contract This letter log keeps track of documents originating from the Personnel Office. The fields for each document will provide information on dates and persons involved for tracking purposes and historical information for archiving. Notes application Contract Log used to track complaints during the H-1 Widening Project for the Public Affairs Office. Notes application Contract This database logs the status of the ADA Transition Plan of the Department of Transportation from July, 1999. Notes application Contract This database is primarily for the use of the Contracts Office staff in recording and filing advertisement notices. The Contracts Office personnel are the only authorized employees to enter and update records. Notes application Contract

2

TRN 995

ADM

OCR Letter Log

2

TRN 995

ADM

PER Letter Log

Notes/Domino Applications Replacements with ERP

2

TRN 995

ADM

Public Affairs Office Log

Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

2

TRN 995

ADM

ADA Transition plan

2

TRN 995

ADM

Advertisement Log

2

83 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN 995

Div ADM

Project Name Annual Consultant Selection

Project Description The Contracts Office maintains their annual list of professional service consultants in this database. Notes application Contract

Plans for T&S Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP

Priority 2

O&M Costs

TRN 995

ADM

Bid Protest Log

This database tracks bid protests that are submitted to the Contracts Office. This database provides a way to store and search all the relevant information concerning the bid protest process. Notes application Contract This database tracks any Applicant Data Surveys and EEO Complaints that are submitted to the Department of Transportation Office of Civil Rights. This database provides a way to store and search all the relevant information concerning the Applicant Data S. Notes application Contract Used to track procurement training for the Department. Notes application Contract Notes/ Domino Applications Replacements This database contains the Departmental Staff Manual Procedures, Notes application Contract

2

TRN 995

ADM

EEOAA Log

2

TRN 995

ADM

SPO-36

Notes/Domino Applications Replacements with ERP Notes/Domino Applications Replacements with ERP Replace

2

TRN 995

ADM

PPB Department Staff Manual

2

TRN 995

ADM

ADMIN-Punchbowl Domino Reservation COTS template for meeting CSS Reservation room in the CSS Library - NOTES Application Contract, migrate to Statewide solution. ADMIN-Punchbowl Domino Reservation COTS template for the DIR Reservation Director’s Conference Room - Notes Application Contract, migrate to Statewide solution. CSS Help Desk Help Desk Application used by Computer Systems & Services Office to manage user requests and trouble tickets. Notes application Contract, Replace with a State-wide solution. Software Problem Report Journal - an application for tracking issues related to IT project testing and ongoing maintenance Notes application Contract migrate to automated development tool Software Problem Report Journal for the DOTCMS phase 2 project Notes application Contract migrate to automated development tool, see A36 Software Problem Report Journal for the eTrac project. Notes application Contract, migrate to automated development tool, see A36 Is used to track T205 requests. Notes application Contract, migrate to State EAD tool

2

TRN 995

ADM

Replace

2

TRN 995

ADM

Replace

2

TRN 995

ADM

Software Problem Report tracking System Original Software Problem Tracking DOTCMS

Replace

3

TRN 995

ADM

Replace

2

TRN 995

ADM

Software Problems Reports -eTrac

Replace

3

TRN 995

ADM

T205 LOG

Replace

2

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 84

Program ID TRN 995

Div ADM

Project Name Telecom request log

Project Description This database is a log of the Telecom Requests submitted to the Department of Transportation Computer Systems and Services Office by Divisions and staff offices. It provides a log of requests submitted and auto numbering of requests from the staff office. Notes application Contract, migrate to State EAD tool Custom Access application used by the Statewide Transportation Planning Office (STP) to maintain project information and tracking. Possible GIS replacement This database is primarily for the use of the Deputy Director for Administration in monitoring the status of corrective actions on audit report findings. The Business Management Office Audit Staff manages this database for the Deputy Director for Administration. Notes application Contract Table reservation application for Employee appreciation event held yearly. Notes application Contract, migrate to Statewide solution. Custom Access application for database of bluecollar employment applicants used to create reports and selection list for the Personnel Office Access DB This database is for the user of the Computer Systems and Services Office Information Resource Management Staff in documenting Domino applications. Notes application Contract This database contains a library of documents of the Department of Transportation Personnel (PER) Office. This library of documents is accessible to all Department of Transportation personnel for reference. Notes application Contract This database contains a library of documents of the Department of Transportation PPB Management Analytical (PPB) Office. This library of documents is accessible to all Department of Transportation personnel for reference. Notes application Contract The DOT O&M Budget System is used by the DOT’s budget analysts to create and maintain Operations & Maintenance budget information that is submitted to the Dept of Budget & Finance. Data is stored in an Oracle database on a IBM P-Series Server. Custom Access application to maintain DBE records and create reports for the Office of Civil Rights. Tracks Disasters and Civil Defense Information for DOT - Replaced by WEB EOC & Managed by Hawai`i DOD

Plans for T&S Replace

Priority 2

O&M Costs

TRN 995

ADM

Land Use Database

Replace

1

TRN 995

ADM

Audit Finding Status

Replace

2

TRN 995

ADM

Hoolaulea Table Reservations Personnel Recruitment

Replace

2

TRN 995

ADM

Replace with ERP

2

TRN 995

ADM

IRM Documentation

Replace with ERP

2

TRN 995

ADM

PER Library

Replace with ERP

2

TRN 995

ADM

PPB Library

Replace with ERP

2

TRN 995

ADM

DOT O&M Budget System

Replace with ERP

2

TRN 995

ADM

Disadvantaged Business Enterprises (DBE) Disaster Log

Replace with ERP

2

TRN 995

ADM

Retire

5

See B

85 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN 995

Div ADM

Project Name Disaster Notifications

Project Description Disaster Notification through Notes email System - Same application as A2 but separate Databases. Replaced by WEB EOC Contracts regarding office funishings,etc. for DOT Notes application Contract e-mail client Project Documentation for Replacement of Kodak microfilm system with the DOTdocs document management system Notes application Contract Old CSS request system, replaced with the CSS Help Desk Notes application Contract CSS Journal to share information with Domino system administrators Notes application Contract This database was primarily for the use of the Y2K Project Team for accumulation of project information Notes application Contract This database was primarily for the use of the Y2K Project Team in monitoring the status of Y2K compliance activities. Notes application Contract Project Team for DOTdocs Document Management System Project. Domino TeamRoom COTS template. Notes application Contract To share project documentation for DOTCMS (DOT Content Management System), Phase 1. Domino TeamRoom COTS template. Notes application Contract Documentation Database created by IBM for resolution of problems for the Domino.Doc application. Notes application Contract Documentation Database created by IBM for initial implementation of Domino.Doc application Notes application Contract A database to send and receive electronic mail using Notes. The template can be used to create a mail database either on a local workstation or on a server. Mail databases created from this template are best used by Notes, Intranet or Internet Clients. Notes application Contract Old KAR (Mircofiche) Document Index Library Replaced by DOTCMS (DOT Content Management System), Still used as a reference Notes application Contract Domino Documentation as it related to previous Domino releases Notes application Contract

Plans for T&S Retire

Priority 5

O&M Costs

TRN 995 TRN 995 TRN 995

ADM ADM

Wabits Lotus Notes Version 6.5 BUS-Document Mgmt. System Replacement

Retire Retire Retire

2 2 2

TRN 995

ADM

CSS Request Log

Retire

2

TRN 995 TRN 995

ADM ADM

DOT DOMINO DBA JOURNAL DOT Y2K Project Procedures

Retire Retire

2 2

TRN 995

ADM

DOT Y2K Project Tracking

Retire

2

TRN 995

ADM

DOTdocs Project Team

Retire

2

TRN 995

ADM

DOTdocs Project Team Teamroom

Retire

2

TRN 995

ADM

Hawai`i DOT Domino. DOC CRITSIT Guidebook Hawai`i DOTdocs Guidebook

Retire

1

TRN 995

ADM

Retire

1

TRN 995

ADM

HIDOT CSS Mail In

Retire

1

TRN 995

ADM

KAR Document

Retire

2

TRN 995

ADM

OA-HIDOT Changes

Retire

2

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 86

Program ID TRN 995 TRN 995

Div ADM ADM

Project Name R6 upgrades issues Software Problem Tracking FAST Software Problems Tracking DOTdocs Replacement BUS Document Management Project

Project Description Old database related to issues during R6 Notes upgrade Notes application Contract Software Problem Report Journal- created for the FAST project original PM. Notes application Contract Software Problem Report Journal for the DOTCMS Phase 1 project. Notes application Contract This database contains working papers and the SDM Structured project documents for use of the BUS Document Management Project Team. Notes application Contract Used during the creation and implementation of the DOT’s Legislative Tracking Log application. Notes application Contract Custom Access application used by the Computer systems & Services Office to create, maintain, report, and submit yearly budget requests. Meeting minutes of the DOT IT Advisory Committee, ITAC. Notes application Contract Application developer notes. Notes application Contract The DOT stores its contracts, correspondence, project documents, program documents, etc. in DOTCMS. Runs on IBM FileNet, Kofax Ascent Capture, Oracle Database. DOT is in the process of updating the DOTCMS application with Filenet version 4.5.

Plans for T&S Retire Retire

Priority 2 2

O&M Costs

TRN 995

ADM

Retire

2

TRN 995

Retire

2

TRN 995

ADM

Legislative Log Teamroom CSS Budget

Retire

2

TRN 995

ADM

Retire

2

TRN 995

ADM

ITAC Discussion Items BUS- Application Developer Notes Department of Transportation Content Management System, DOTCMS

Retire

2

TRN 995

ADM

Retire

2

TRN 995

ADM

Upgrade

1

Pending Review

TRN 995

ADM

DOT Legislative Tracking System

“The Department of Transportation (DOT) Legislative Virtualizaton Servers & Web Apps. Tracking System is based on the Department of Business Economic Development and Tourism Lotus Notes Legislative Tracking System. This database allows the creation of a tracking document for a bill or report. Notes application Contract, migrate to Statewide solution. www6.Hawai`i.gov/dot Hosted by ICSD. Web Pages

2

TRN 995

Department of Transportation HAR FAMIS Detail Transactions

3

Pending Review

TRN395

This database is for the use of the Harbors Division Fiscal Office in maintaining a log of FAMIS Detail Transactions. Maintenance covered by NOTES contract. This application is a historical data of FAMIS Detail Transactions.

Notes/Domino Applications Replacements with ERP

1

87 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN395

Div HAR

Project Name HAR-SF NOD Tracking Log

Project Description This application is restricted to the Accounts Receivable section of the Harbors Division Fiscal Office. The purpose of this application is to track and follow up on delinquent accounts of Harbors Division customer. The accounts receivable accountant import. Covered under Notes Contract. This application is to track and follow up on delinquent accounts of Harbors Division customers. This database was originally named HAR 03 Expenditure Plan to provide the Harbors Division of the Department of Transportation with a shared budget expenditure plan. This database was intended to be a tool to create a budget expenditure plan and communication. Notes application Contract Software Problem Report Journal for the DOTCMS Phase 1 project. Notes application Contract This application generates charges and records payments from customers.

Plans for T&S Replace with ERP

Priority 1

O&M Costs

TRN395

HAR

HAR Datamart

Replace with ERP

2

TRN395

HAR

Software Problems Tracking DOTdocs Replacement Comprehensive Information Database - Accounts Receivable Comprehensive Information Database - General Ledger Comprehensive Information Database - Agent to AR Comprehensive Information Database Parking Comprehensive Information Database Harbormaster

Replace with ERP

2

TRN395

HAR

Replace with ERP

2

TRN395

HAR

This application records, summarizes and classifies all revenues, expenditures and equity transactions. This secured web based application allows customers to upload wharfage data to CIDSHM

Replace with ERP

2

TRN395

HAR

Replace with ERP

2

TRN395

HAR

This application generates parking charges and records payments from parking customers.

Replace with ERP

2

TRN395

HAR

This application reserves, records actual ship berths and records and generates services to customers.

Replace with ERP

2

TRN395

HAR

Comprehensive This application records property leases and Information agreements and generates rents to customers. Database - Property Manager GIS/Asset Management Comprehensive Information Database - Eng. Project Manager This application manages all harbors assets and monitor storm water discharge and the environment. This application plans, control resources and schedules for multiple design and construction projects.

Replace with ERP

2

TRN395

HAR

Replace with ERP

2

TRN395

HAR

Replace with ERP

2

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 88

Program ID TRN395 TRN395 TRN395

Div HAR HAR HAR

Project Name HAR Datamart HIPORT Summary 79 S Nimitz

Project Description

Plans for T&S Replace with ERP Replace with ERP

Priority 2 2 1

O&M Costs

This database contains a roster of employees in the Harbors Division located at 79 S Nimitz Hwy and other locations. This roster is also used to create ID badges for the employees of this building NOTES Contract The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment. - Notes application Contract, The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment. - Notes application Contract The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment. - Notes application Contract This database contains documentation for the Department of Transportation, Harbors Division’s CIDS (Comprehensive Information Database System) Project. These documents are stored in this database for central storing and retrieval as needed by project member Notes application Contract CIDS Procedures Manual Notes application Contract

Retire

TRN395

HAR

Harbors Conference Video Reservation

Retire

2

TRN395

HAR

HAR-Kauai District Reservations

Retire

1

TRN395

HAR

HAR-M Reservations

Retire

1

TRN395

HAR

CIDS Database Documentation

Retire

1

TRN395 TRN395 TRN395

HAR HAR HAR

CIDS Procedures Manual ALCIE Procedures Fiscal Log

Retire Retire

1 2 2

This database is a log of bank deposits and FAMIS Treasury Deposit Receipts (TDR) of the Department of Transportation Harbors Division. This log is accessible to Harbors Division Business Offices for update and reference. NOTES - Covered under contract. This application is a log and library of Harbors Journal Vouchers, Allotment Advice and FAMIS MBP reports. This database contains a library of documents of the Department of Transportation Harbors Division. This library of documents is accessible to Harbors Division personnel for reference or use as templates to create other documents. Notes application Contract

Use-As-Is

TRN395

HAR

HAR Library

Use-As-Is

2

89 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Program ID TRN395

Div HAR

Project Name Harbors Correspondence log

Project Description This database is for the use of the Harbors Division Administrator and Office Service Staff in maintaining a log of correspondence. Notes application Contract

Plans for T&S Use-As-Is

Priority 2

O&M Costs

TRN395 TRN395

HAR HAR

Harbors Discussion Harbors Discussion Issues. Issues Notes application Contract Correspondence Log CIDS Discussion This application tracks all correspondence received by Harbors Div This application records solutions for problems in oracle application

Use-As-Is Use-As-Is

2 2

TRN395

HAR

Use-As-Is

2

TRN395 TRN395 TRN395 TRN395 TRN395

HAR HAR HAR HAR

HAR SI Log HAR-SF Personnel Time Schedule HAR-PM Personnel Time Schedule HAR Application Dev. Computer Assisted Design (CAD)

This application is a personnel sign out for HAR-SI This application is a personnel sign out for HAR-SF This application is a personnel sign out for HARThis application records solutions for problems in other application Manage the designs of HAR facilities and projects, and to be interoperable with a GIS. http://Hawai`i.gov/dot/har https://ftp.Hawai`i.dot.gov/ Web This database is to provide the Harbors Division of the Department of Transportation with a history of harbor operations beginning July 1, 2005. This database imports vessel transactions from the CIDS Harbor master module to provide a data warehouse of harbors.

Use-As-Is Use-As-Is Use-As-Is Use-As-Is Use-As-Is

2 2 2 2 Pending Review 2 2 2

TRN395 TRN395 TRN395

HAR HAR HAR

Harbors Web site Harbors FTP HIPORTs Summary

Web Application Web Application Web Application

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 90

B.2.1.11
GIS

ECONOMIC DEVELOPMENT (A.1.11)

Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

See Appendix H - Geospatial Systems (GIS) Various databases. Program: BED 130 Initiative Type: LOB Solution Status: Production Application, Keep and Enhance Priority: High (2) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Critical GIS data integration point and stewardship within the State. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Industry standard cost estimate for web site O&M. 10 sites at Pending Review per site annual O&M.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

DBEDT - Document Tracking System (DTS)
Custom Lotus Notes based application for tracking a documents life-cycle within the department Program: BED 130 Initiative Type: LOB Solution Status: Production Application – Move to Web App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DBEDT; and cost elements not identified so included as “other”.

DBEDT Web Sites O&M
DBEDT production web sites. All the web sites are static and informational. Public Facing. Hosted by ICSD.
• Land Use Commission – Hawai`i.gov/luc. • Aloha Tower Development Corporation – alohatower.org. • Coastal Zone Management – Hawai`i.gov/dbedt/czm. • Hawai`i Statewide GIS Program – Hawai`i.gov/dbedt/gis. • Office of Planning – Hawai`i.gov/dbedt/op. • Department of Business, Economic Development and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

Tourism – Hawai`i.gov/dbedt.
• Hawai`i Community Development Authority – hcdaweb.org. • Hawai`i Film Office – Hawai`ifilmoffice.com. • Kakaako Makai Area Security Group – Hawai`i.gov/kmasg. • Clean Energy Initiative – Hawai`icleanenergyinitiative.org.

annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DBEDT; and cost elements not identified so included as “other”.

Program: BED 130 Initiative Type: LOB Solution Status: Production web sites
91 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B

DBEDT Legislative Tracking System
Lotus Notes Application being maintained by ICSD in DAGS. DBEDT Legislative Tracking System is a revised version of their Lotus Notes tracking system. This database allows the creation of a tracking document for a bill or resolution. The tracking document is then circulated within the department to gather testimonies and comments. This Lotus Notes application resides on DBEDT’s Notes server. Program: BED 130 Initiative Type: LOB Solution Status: Production Application – Replace with Central Legislative Tracking System Priority: High (2) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DBEDT; and cost elements not identified so included as “other”.

DBEDT Wireless Implementation
wi-fi installation Program: BED 130 Initiative Type: LOB Infrastructure Status: In progress - upgrade Priority: High (1) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DBEDT; and cost elements not identified so included as “other”.

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

DBEDT Infrastructure Upgrade
Infrastructure upgrade Program: BED 130 Initiative Type: LOB Infrastructure Status: In progress Priority: High (1) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DBEDT; and cost elements not identified so included as “other”.

DBEDT Network Upgrades
firewall/router upgrades Program: BED 130 Initiative Type: LOB Infrastructure Status: In progress, upgrade Priority: High (1) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 92

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

B.2.1.12 COMMERCE AND CONSUMER AFFAIRS (A.1.12)
Health Insurance Premium Rate Review BPMS Pilot
Pilot Business Process Management System (BPMS) to update portions of the existing HIDS system that deal with Health Insurance rate filings, data collection, validation, analysis and reporting. The new system will be replacing the outdated Oracle Forms technology and transforming the user interfaces by re-engineering the processes and creating Microsoft.Net persona oriented browser-based information worker portals. Program: CCA 106 Initiative Type: LOB Solutions Business Service: HI Insurance Industry Oversight Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DBEDT; and cost elements not identified so included as “other”.

DBEDT VOIP
VOIP implementation. Program: BED 130 Initiative Type: LOB Infrastructure Status: New Priority: High (2) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review. Budgetary Estimate: Pending Review.
• Personnel Services (Hours) – 1 time D/M/E: 0 hours;

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

and on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-goin

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: No cost estimate provided by DBEDT.

Alias Migration
Applicant/Licensee Interactive Automated System (ALIAS) Forms Migration Project - Business Process Management System (BPMS) to update the existing ALIAS system. The new system will be replacing the outdated Oracle Forms technology and transforming the user interfaces by reengineering the processes and creating Microsoft.Net persona oriented browser-based information worker portals. Program: CCA 105 Initiative Type: LOB Solutions Business Service: Professional and Vocational Licensing Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review.

93 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review; O&M:

Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Oracle Managed Services – Database as a Service
Database as a Service (DaaS) in order to meet DCCA’s SLA requirements. Program: ALL Initiative Type: LOB Solutions Business Service: Common Services Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

BRIMS Migration
Business Registration Information Management System (BRIMS) Forms Migration Project. Program: CCA 111 Initiative Type: LOB Solutions Business Service: Business Registry Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review months. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Complaint Management System (CMS) Forms Migration Project
CMS Forms for RICO, OCP, CATV, DFI and BREG-SEB - Migrate existing Oracle Forms user interface to MS.Net platform possible BPMS candidate. Program: CCA 112 Initiative Type: LOB Solutions Business Service: Regulated Industries Complaint Services Status: New
State of Hawaii Business and IT/IRM Transformation Plan

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Enterprise Architecture | Appendix B | 94

RDPMS Migration
Registration Document Processing and Management System (RDPMS) Forms Migration Project - Migrate existing Oracle Forms user interface to MS.Net platform possible BPMS candidate. Program: CCA 111 Initiative Type: LOB Solutions Business Service: Business Registry Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Computer Account Request (CAR) Application Modernization
Computer Account Request (CAR) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

FIMS - Financial Institutions Management System Migration
Financial Institutions Management System (FIMS) Forms Migration Project - Migrate existing Oracle Forms user interface to MS.Net platform possible BPMS candidate. Program: CCA 104 Initiative Type: LOB Solutions Business Service: Financial Institution Services Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review months. Planned Start Date: FY13 Justification or Business Case: Pending Review.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

95 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

RFA – ISCO Request for Action
ISCO Request For Action (RFA) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

DRS - Director’s Office Referral System
Director’s Office Referral System (DRS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

LTS – Legislative (Bill) Tracking System
Legislative (Bill) Tracking System (LTS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 96

ELS - Employee Leave System Modernization
Employee Leave System (ELS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

ITS – Incident Bug Tracking System
Incident (Bug) Tracking System (ITS) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

IN-OUT Board Application Modernization
IN-OUT Board - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

97 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Licensing Advisory Board Members Database
Licensing Advisory Board Members Database (License Boards) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: CCA 105 Initiative Type: LOB Solutions Business Service: Regulated Industries Complaint Services Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

RFS1 – Request for Services (Insurance Office Services/Clerical)
Request for Services (Insurance Office Services/Clerical) (RFS1) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: CCA 106 Initiative Type: LOB Solutions Business Service: HI Insurance Industry Oversight Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Citation - RICO Citation Database
RICO Citation Database (Citation) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: CCA 105 Initiative Type: LOB Solutions Business Service: Regulated Industries Complaint Services Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 98

RFS2 – Request for Services (Insurance Legal)
Request for Services (Insurance Legal) (RFS2) - Lotus Notes Application Modernization (Migrate to .Net) - Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: CCA 106 Initiative Type: LOB Solutions Business Service: HI Insurance Industry Oversight Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

SCAP - State Certified Arbitration Program (Auto Lemon Law Database)
State Certified Arbitration Program (Auto Lemon Law) (SCAP) - MS Access Application Modernization (Migrate to .Net) - Migrate existing MS Access database application to MS.Net platform possible BPMS candidate. Program: CCA 112 Initiative Type: LOB Solutions Business Service: Regulated Industries Complaint Services Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

and on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review; O&M:

Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

CRERS – Conference Room/Equipment Reservation System
Conference Room/Equipment Reservation System (CRERS) - Lotus Notes Application Modernization (Migrate to .Net) Migrate existing Lotus Notes database application to MS.Net platform possible BPMS candidate. Program: Admin Initiative Type: LOB Solutions Business Service: Administrative Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review.

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

99 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

IA/BD/MF/FR Application Modernization
IA/BD/MF/FR - Investment Advisors / Broker Dealers / Mutual Funds / Franchises - MS Access Application Modernization (Migrate to .Net) - Migrate existing MS Access database application to MS.Net platform possible BPMS candidate. Program: CCA 111 Initiative Type: LOB Solutions Business Service: Securities Compliance Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Real Estate Continued Education Tracking System
Real Estate Continued Education Tracking System - MS Access Application Modernization (Migrate to .Net) - Migrate existing MS Access database application to MS.Net platform possible BPMS candidate. Program: CCA 105 Initiative Type: LOB Solutions Business Service: Professional & Vocational Licensing Status: New Priority: High EA Compliance: Medium-High Estimated Implementation Duration: 60 months. Estimated Operational Duration: Pending Review years. Planned Start Date: FY13 Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

and on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

on-going annually: Pending Review
• Other ($) – One-time D/M/E: Pending Review;

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

O&M: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 100

B.2.1.13

HUMAN SERVICES (A.1.13)

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

HANA - Hawai`i Automated Network for Assistance Re-Platform Database, Mandated & Productivity Enhancements
Program: Pending Review Initiative Type: LOB Solution Status: Enhancement, In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

HARI - Hawai`i Accounts Receivable Information System
Supports the Entitlements & Benefits Overpayment Claims generated from HAWI, HANA, CPSS, etc. Program: Pending Review Initiative Type: LOB Solution Status: Use As-Is Priority: Med (3) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

HAWI - Hawai`i Automated Welfare Information System
Phase 1: Replace HAWI to meet new Federal ACA Requirements, Pending Review Phase 2: Move remaining programs from HAWI Pending Review Program: Pending Review Initiative Type: LOB Solution Status: Replacement; In Progress Priority: High (1) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review (Covered by HAWI O&M) Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

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Enterprise Architecture | Appendix B

CPSS - Child Protective Services System
Supports the Child Welfare Services Abuse & Neglect, Foster Care and Adoptions Programs, supports the Adult Protective Services Adult Day Care, Foster Grandparent, Respite Companion Service, Nursing Home Without Walls, Developmentally Disabled/Mentally re (Project evaluation to determine a path forward) Program: Pending Review Initiative Type: LOB Solution Status: Replace Priority: High (1) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

Missing Children
Hawai`i.gov/missing-children Hosted by ICSD. Program: Pending Review Initiative Type: LOB Solution Status: Use As-Is Priority: Med (3) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

VRISS - Vocational Rehabilitation Information & Statistical System
Supports the Assessment, Counseling & Guidance for Rehabilitative Services, Supported Employment Services, Job Placement, Services for the Blind and the Disability Determination (Title II and Title XVI) programs. Program: Pending Review Initiative Type: LOB Solution Status: Replace, In progress Priority: High (1) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 102

Department of Human Services Website
Hawai`i.gov/dhs Hosted by ICSD. Program: Pending Review Initiative Type: LOB Solution Status: Use As-Is Priority: Med (3) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
•

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review

and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review (Covered by CPSS.) Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

Electronic Benefit Transfer
Benefits Transfer Services Program: Pending Review Initiative Type: LOB Solution Status: Use As-Is Priority: Med (3) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on-going O&M annually: 0 hours Equipment/Hardware ($) – Pending Review Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review

• •

•

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

Adult Abuse and Neglect Registry
Covered by CPSS. Program: Pending Review Initiative Type: LOB Solution Status: Use As-Is Priority: Med (3) EA Compliance: Low (4) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

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Enterprise Architecture | Appendix B

Document Imaging and Content Management
Electronic Client and Case Folders Program: Pending Review Initiative Type: LOB Solution Status: In progress Priority: High (1) EA Compliance: Med (3) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours;

and on-going O&M annually: 0 hours• Equipment/Hardware ($) – Pending Review
• Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

Budget Creation & Tracking
Pilot to Automate DHS Budget Process Program: Pending Review Initiative Type: LOB Solution Status: Replace, In progress Priority: High (1) EA Compliance: Med (3) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

POLog
Automate DHS Purchase Process Program: Pending Review Initiative Type: LOB Solution Status: Replace, In progress Priority: High (1) EA Compliance: Med (3) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

on-going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 104

HPMMIS
Pilot to Automate DHS Budget Process Program: Pending Review Initiative Type: LOB Solution Status: Enhancement, In progress Priority: High (1) EA Compliance: Med (3) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on-going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

DHS Portal
Upgrade System Software Version and Enhance Functionality Program: Pending Review Initiative Type: LOB Solution Status: Upgrade, In progress Priority: High (1) EA Compliance: Med (3) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on-going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review

Hawai`i Housing Authority Accounting System (migration)
New mission systems to support HPHA. Program: Pending Review Initiative Type: LOB Solution Status: Replace, In progress Priority: High (1) EA Compliance: Med (3) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

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Enterprise Architecture | Appendix B

PC Replacement
Meet immediate needs to replace and upgrade old equipment and software. Routine repair and maintenance of hardware such as PCs, servers and routers need to be done or new equipment purchased. Program: Pending Review Initiative Type: LOB Infrastructure Status: Replace, In progress Priority: High (1) EA Compliance: Med (3) Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DHS; and cost elements not identified so included as “other”.

B.2.1.14 EMPLOYMENT RIGHTS AND BENEFITS (A.1.14)
Direct Deposit of UI Benefit Payments
Provide claimants with the option of having their UI benefit payments directly deposited into their bank accounts. This initiative will result in increased productivity, reduce fraud, and improve the timeliness of delivering benefit payments to its claimants. Estimated implementation is 9/30/2012. Estimated cost is Pending Review. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years. Planned Start Date: 10/1/2011 Justification or Business Case: This initiative will result in increased productivity, reduce fraud, and improve the timeliness of delivering benefit payments to its claimants. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

UI Online Appeals Filing and Scheduling System
Provide claimants and employers with the option of filing their appeals online. The system will also include an appeals scheduling system. This initiative will result in increased productivity and improve the timeliness of completing appeal decisions. Estimated implementation is 3/31/2013. Estimated cost is Pending Review. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown, scheduled completion 3/31/2013. Estimated Operational Duration: 10 years. Planned Start Date: Unknown
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 106

Justification or Business Case: This initiative will result in increased productivity and improve the timeliness of completing appeal decisions. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on-going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Alternative Site for UI IVR and Internet Servers
Relocate the UI IVR and Internet servers to the basement of the State Kalanimoku Building in order to eliminate a single point of failure for UI’s critical Internet and IVR claim filing systems in its current location in the Keelikolani building. This initiative will enable agency staff in remote offices to continue to process claims and tax information and enable claimants to continue to access critical unemployment claim filing and benefit payment services in the event of a power outage in the Keelikolani building. Estimated implementation is 12/31/2012. Estimated cost is Pending Review. Program: LBR 171 Initiative Type: LOB Infrastructure Business Service: Unemployment Insurance Status: In Progress Priority: High EA Compliance: Low Estimated Implementation Duration: Unknown, scheduled completion 12/31/2012. Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: This initiative will improve the timeliness of delivering initial claims filing services to claimants who report in person or use the telephone to file their claims. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Internet Initial Claims Desktop Application
Provide agency staff with a desktop application, which is an enhanced version of the internet application that claimants use to file their initial claims. This initiative will improve the timeliness of delivering initial claims filing services to claimants who report in person or use the telephone to file their claims. Estimated implementation is 6/30/2012. Estimated cost is Pending Review. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: In Progress Priority: High EA Compliance: Low Estimated Implementation Duration: Unknown, scheduled completion 6/30/2012. Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: This initiative will improve the timeliness of delivering initial claims filing services to claimants who report in person or use the telephone to file their claims. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on-going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review

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Enterprise Architecture | Appendix B

Electronic Low Earnings Report System
Enable employers to file their weekly low earnings report online instead of having to complete and submit hardcopy reports which agency staff must data enter into our UI benefit system. The system will also notify employers who have not submitted their reports in a timely manner. This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants. Status: In the process of selecting a vendor via RFP. Estimated cost is less than Pending Review. Program: LBR 171 Initiative Type: LOB Solution Business Service: Labor Research and Statistics (or Unemployment Insurance) Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Unemployment Tax (SUTA) Dumping
Enable agency staff to modify employer tax records to include partially transferring employer experience rate information and to assess penalties for violating employer reporting requirements. This initiative will result in increased staff productivity in administering the UI Tax laws. Status: In the process of acquiring the services of a vendor. Estimated cost is less than Pending Review. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on-going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

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Enterprise Architecture | Appendix B | 108

State Information Data Exchange System (SIDES)
Enable employer to submit their Separation Information online instead of having to complete and submit hardcopy reports that agency staff must review. This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants. Status: In process of requesting federal funds of up to Pending Review to implement the system. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

DCD Network and Data Migration
This is a network and data migration of the existing wide area network (WAN) to a virtualized platform WAN and upgrade of the Domino server and SQL applications. The purpose of this engagement is to provide comprehensive network and data migration of an existing WAN to a virtualized platform WAN and upgrade of its Domino Server and SQL applications. The Contractor will be replacing and upgrading the existing server environment for the State of Hawai`i, Department of Labor and Industrial Relations, Disability Compensation Division (DLIR DCD). The current information technology environment is a client-server setup that primarily runs a Windows Server system, with adjunct Linux servers. Upgrading our server applications is critical as the DLIR DCD utilizes a proprietary Domino application that interfaces with Microsoft SQL and Lotus Enterprise Integrator. The new LAN/WAN system will be a Virtualization Platform, replacing all servers in the present setup. Contractor will be designing, specifying, configuring, testing, installing, documenting, training, and deploying the hardware components, utilizing Windows 2008 R2 Enterprise, Active Directory, virtualization software (VMware, vSphere 5), application software (Domino 8.5, SQL 2008 R2, Office 2010). The contracting will also be migrating existing data to a new environment and backup system. The DLIR DCD Domino/LEI application presently is running Domino 6.5 and LEI 6.5 on a Windows 2000 Advanced server platform and must be upgraded to the latest version, which are presently Domino 8.5 and LEI 8.5. The application is written in Lotus Script and uses its agents extensively. The Domino/LEI application database interfaces with a Microsoft SQL server using it as a back-end database. The Contractor will also be recommending and installing other new features that would be appropriate to expand or leverage Domino/LEI capabilities. Program: LBR 183 Initiative Type: LOB Infrastructure Business Service: Unemployment Insurance Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 4 years. Planned Start Date: Unknown Justification or Business Case: This initiative will result in increased productivity, reduce fraud and improve the timeliness of making benefit payments to its claimants.

109 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

WSD Workstations/Server Upgrade
This project will replace existing aged workstations, laptops, and server to include the upgrading of existing Microsoft systems. It will also include the procurement of new types of IT equipment or hardware to support the daily office activities such as educational workshops, seminars, and meetings. Program: LBR 152 Initiative Type: LOB Infrastructure Business Service: Wage & Standards Enforcement Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Computing infrastructure cost savings and end user productivity improvements. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

DCD Replacement/Virtualization for Servers, Network Equipment, PC Client Equipment
This project is to replace the division’s PCs, Printers, Servers, and Network Switches with equipment that will create a virtual environment. Program: LBR 183 Initiative Type: LOB Infrastructure Business Service: Workers Compensation Status: In Progress Priority: High EA Compliance: Low Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Computing infrastructure cost savings and streamlined platform provisioning. Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on going O&M annually: 0 hours • Equipment/Hardware ($) – Pending Review

• Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 110

HLRB Electronic Filing and Document Storage
Is designed to help reduce administrative and operational cost by developing a Collective Bargaining (CB) web-based application that will electronically collect, process, file, store, and track documents and also integrate with the Appellate Court’s JIMS and JEFS systems. This application will allow for electronic processing of complaints, decisions, orders and reports. Additionally, it will allow parties to file and receive documents including complaints, answers, motions replies, exhibits and to receive Board notices, decisions and orders and to review a trial and conference calendar. Dependency on Enterprise Document Management Solution. Program: LBR 161 Initiative Type: LOB Solution Business Service: Labor Relations Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Board operations streamlining and improved service to citizens. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

HLRB Video Conferencing and Digital Recordings
This project initiative will help HLRB to reduce administrative and travel cost to conduct hearings remotely using video conferencing and to digitally record the hearings. It will also enable non-Oahu employees to reduce their travel costs generated by filing a prohibited practice complaint and non-Oahu employees who are subpoenaed to testify before the Board. Program: LBR 161 Initiative Type: LOB Infrastructure Business Service: Labor Relations Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Board operations streamlining and improved service to citizens. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going O&M

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

111 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

HCRC Electronic Filing and Document Storage
This project initiative is designed to help reduce administrative cost by developing an HCRC Enforcement database that is connect through a Web-based application that will electronically collect, process, file, store, track, and create reports from information captured on complaint investigations. Dependency on Enterprise Document Management Solution. Program: LBR 153 Initiative Type: LOB Solution Business Service: EEO Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Operational streamlining and improved service to citizens. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Estimated Operational Duration: 5 years. Planned Start Date: Unknown Justification or Business Case: Simplify the process to request inspection, view possible findings and make it easy to access archival or historical data; and provide the B&E section with the ability to levy fees for their inspections. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

HIOSH Safety, Health and Consultation & Training Migration to Web-Based Application
Safety, Health and Consultation & Training Branches have NCR/Informix database collection systems that are currently uploaded to a mainframe on the East Coast. This is an old system that is text based. During the new 2 -3 years the system will be migrating to a web application. The transition is being managed by OSHA, the Federal agency that partially funds the state program through grants. Computer requirements for the web application may or may not be compatible with State systems. Program: LBR 143 Initiative Type: LOB Solution Business Service: Occupational Safety and Health Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 5 years. Planned Start Date: Unknown Justification or Business Case: Simplify the process to request inspection, view possible findings and make it easy to access archival or historical data; and provide the B&E section with the ability to levy fees for their inspections.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

HIOSH (Hawai`i Occupational Safety and Health) Boiler/Elevator (B&E) Web Development
HIOSH’s Boiler/Elevator Section has started a Web-based application project that will be hosted and developed by Hawai`i Information Consortium (HIC). The application is designed to provide B&E inspectors with the ability to post schedules of their upcoming inspections. The web-based application will simplify the process to request inspection, view possible findings and make it easy to access archival or historical data. The application will also provide the B&E section with the ability to levy fees for their inspections. The cost for the development and the hosting of the web-based application by HIC will be paid by the fees collected. Inspectors in the entire division, not just B&E Branch, will be able to use mobile devices such as a Macintosh iPads to document and offload the inspection information to a collection database. Program: LBR 143 Initiative Type: LOB Solution Business Service: Occupational Safety and Health Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown
State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 112

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Workforce Longitudinal Data System
The WorLDS is a statewide longitudinal data system to provide greater information about the state’s workforce, education, and training. WorLDS will integrate data sets from within the DLIR, DHS, DOH, Public Safety, County Workforce Development Programs, and non-profit agencies. These data sets will also be integrated with the UH and DOE. Program: Unknown Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: New Priority: HighEA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

LIRAB Electronic filing and Document Storage
This project initiative is designed to help reduce administrative and operational cost by developing a Workers’ Compensation (WC) web-based application that will electronically collect, process, file, store, and track documents and integrate with the Appellate Court’s JIMS and JEFS systems and DCD (Disability Compensation Division). This application will also allow for electronic processing of claims, reports, and treatment denials or approval. Additional capabilities of the WC web-based application: Allow secure access for WC litigants to access trial and conference calendar and to view case files; and Capability to send text message reminders to WC litigants of upcoming conference and trials.Dependency on Enterprise Document Management Solution. Program: LBR 812 Initiative Type: LOB Solution Business Service: Workers’ Compensation Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 5 years. Planned Start Date: Unknown Justification or Business Case: Reduce administrative and operational cost. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Construction Building Permits Database
The Construction Building Permits Database will collect data from all counties in the state to help with the inspection scheduling of construction sites. Program: Unknown Initiative Type: LOB Solution Business Service: Unknown Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review

113 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Mass Layoff Statistics – Longitudinal Tracking System
The MLS-LTS provides an automated and standardized method of analyzing layoff events for longer-term impact of such dislocation on employment and wages. Hawai`i is part of a pilot program developing this system for potential deployment of a nationwide system. Program: Unknown Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Meet program objectives. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually:

Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

iQ System
Quarterly Census of Employment and Wages (QCEW) program processing system will be updated from a mainframe application to a web-based system called iQ in summer 2013. Program: Unknown Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency and reduce processing cost. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Agent Reporting System
The Agent Reporting System gathers information from the Internet system. This information is used for such things as calculating insured unemployment rates by county and producing reports detailing the characteristics of unemployment insurance claimants. Program: LBR 171 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and\ supporting technologies.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 114

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Cross Match of DHS & UI Wage & Employment Data Base
The system was designed as a vehicle to crossmatch social security numbers obtained from the Department of Human Services (DHS), Vocational Rehabilitation and Services for the Blind Division and matched to the Unemployment Insurance wage record and employment data base. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Child Support Enforcement Intercept
The Child Support Enforcement Intercept gathers information which will be used by the Department of the Attorney General, Child Support Enforcement Agency (CSEA). The project crossmatches the DLIR-UI Benefit Master file against a CSEA individual file. The extract information is written to an extract file which is used by CSEA. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

ES-202 Employment and Wages Program
The ES-202 is a federal and state cooperative program between the Department of Labor and Industrial Relations (DLIR) and the Federal Bureau of Labor Statistics. This system extracts base information from the Unemployment Insurance (UI) Contributions file and generates mandated Federal reports on UI-covered employment, wages, and contributions. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Web App. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

115 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

ETA-204 Research and Statistics System
The ETA-204 system is a federally mandated program of the Research and Statistics Office of the Department of Labor and Industrial Relations (DLIR). This system provides the Research and Statistics Office with various reports concerning employer information such as total taxable wages earned, taxes paid, benefit payments made, total covered employees, and the employer’s status. Also, reports showing employers categorized statewide by account number, industry code, and island are generated. Program: LBR 901 Initiative Type: LOB Solutio Business Service: Labor Research and Statistics Status: Production Application. Move to Web App. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

ES-203
The ES-203 system is a federally mandated program of the Research and Statistics Office of the Department of Labor and Industrial Relations (DLIR). This system extracts base information from the Unemployment Insurance (UI) Benefits system. The information is then used to produce tables used in reporting on the characteristics of the insured unemployed. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Web App. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 116

Interstate Benefit Internet
This application is part of a nationwide network. The system was designed as a vehicle for participating states to transmit Interstate Benefits (IB) Internet data from one state to another. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Unemployment Insurance Benefits
The Unemployment Insurance (UI) Benefits system is a fully integrated system featuring extensive on-line update and inquiry facilities. This system automates most of the tasks involved in keeping track of UI Benefit claims. The system is designed to allow complex on-line inquiries, as well as the editing and validation of data before updating the files. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

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Enterprise Architecture | Appendix B

Unemployment Insurance Quarterly Wage System
The Quarterly Wage Reporting System services the Unemployment Insurance (UI) Division of the Department of Labor and Industrial Relations. The primary function of this system is the capture and maintenance of employee quarterly wage data for use and distribution by the UI Benefit and UI Tax systems. Other functions include controlled distribution to other qualifying agencies, penalizing non-compliant employers, and providing summary data for statistical evaluations. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational| efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Hawai`i Unemployment Insurance Express (Quarterly Wage Reports)
http://hui.eHawai`i.gov/hui/app/ Developed, supported, and hosted by HIC. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review • Other ($) – 1 time D/M/E: Pending Review and on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Unemployment Insurance Tax System
The Unemployment Insurance (UI) Tax System will maintain the UI employer data base, track the accounting and collection of UI taxes, penalize delinquent employers, assist in the tracking of audits, assist the auditors in their functions, and maintain statistics for Federal and State reports. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 118

Department of Labor and Industrial Relations Website
Hawai`i.gov/dlir Hosted by ICSD. Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Federal Parent Locator
Supported by ICSD. Locating parents that are delinquent with child support Program: LBR 171 Initiative Type: LOB Solution Business Service: Labor Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

UH State Employment Security Fund
Supported by ICSD. - State employee security fund. Unemployment Benefits Program: LBR 171 Initiative Type: LOB Solution Business Service: Unemployment Insurance Status: Production Application. Move to Web App. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

119 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Unemployment Insurance Interactive Voice Response System
Front end system which allows users to request benefits via telephone. (AIX Server/Client) Program: LBR 171 Initiative Type: LOB Solution Business Service: Labor Unemployment Insurance Status: Production Application. Move to Web App. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

WSD Information Management System
WSD Information Management System is the division’s data base system for all hearings, wage investigations, child labor work permits for minors age 14 to 15 years old, and special minimum wage & payment of wages exceptions. Program: LBR 152 Initiative Type: LOB Solution Business Service: Wage and Standards Enforcement Status: Production Application. Move to Web App. Priority: Low (4) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Certificate of Age Registration System
Certificate of Age Registration System is operated from the director’s server and is a MySQL based program to take in requests and issue Child Labor Work Permits for minors ages 16 to 17. Program: LBR 152 Initiative Type: LOB Solution Business Service: Wage and Standards Enforcement Status: Production Application. Move to Web App. Priority: Low (4) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and| supporting technologies.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 120

Disability Compensation Lotus Notes DCDNet Program
The DCDNet program is a client-server program developed to utilize data from the Division’s mainframe program (DCIS) to manage the WC case and hearings systems, and to provide robust and responsive management reports. This system was developed in response to the division’s IT Master Plan (2002) to migrate off of the mainframe (DCIS). Program: LBR 183 Initiative Type: LOB Solution Business Service: Workers’ Compensation Status: Production Application. Move to Web App. Priority: Low (4) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Disability Compensation System
The Disability Compensation Information System (DCIS is a mainframe application that maintains case, claimant, entity, insurance and employer information for the Workers’ Compensation (WC), Temporary Disability Insurance (TDI), and Prepaid Health Care (PHC) programs. The DCIS provides a full range of real-time update/ query and batch reporting capabilities and shares an employer data base with the information processing systems of the Unemployment Insurance (UI) Division. Supported by ICSD. Program: LBR 183 Initiative Type: LOB Solution Business Service: Worker’s Compensation Status: Production Application. Move to Web App. Priority: High (2) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Hawai`i Occupational Safety and Health Division
This application is part of a nationwide network. The system was designed as a vehicle for participating state and federal programs to transmit data to a national database. The system is based on Unix programming language, is text based only with no graphics, icons or color. Data can be retrieved either through the system or by accessing a website, http://www.osha.gov. Program: LBR 143 Initiative Type: LOB Solution Business Service: Occupational Safety and Health Status: Production Application. Move to Web App. Priority: Low (4) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown

121 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Program Management Information System
PROMIS is a pc-based system that uses claims data extracted from UI Benefits system and formats it for input to the LAUS program LAUSOne system and the MLS program WinMLS system. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Dashboard/Analytics App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review

• Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Local Area Unemployment Statistics
The Local Area Unemployment Statistics Program (LAUS) is a federal and state cooperative program between the Department of Labor and Industrial Relations (DLIR) and the USDOL Bureau of Labor Statistics (BLS) to produce total unemployment estimates for the state, counties and islands. These systems extract claims information from the Unemployment Insurance (UI) Benefits system. The main applications used to process data are PROMIS (see below), LAUSOne, and Stars. LAUSOne and Stars are web-based systems. LSS-Plus is a pc-based system that is being discontinued and replaced by LAUSOne. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Dashboard/Analytics App. Priority: Low (4) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 122

Mass Layoffs Statistics
The Mass Layoff Statistics Program (MLS) is a federal and state cooperative program between the Department of Labor and Industrial Relations (DLIR) and the USDOL Bureau of Labor Statistics (BLS) to produce data on mass layoffs. These systems extract claims information from the Unemployment Insurance (UI) Benefits system. The main applications used to process data are PROMIS (see below), WinMLS, MLSTRS and MLS-LTS. WinMLS is a pc-based system and MLSTRS is an add-on application to WinMLS and MLS-LTS runs on a network server. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Dashboard/Analytics App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Alchemy Document Imaging and Management System
Alchemy is a pre-packaged software document imaging and management system used to reduce paper and manage document filing and retrieval. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Enterprise Digital Content Management Solution at a future point. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown| Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

123 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Estimate Delivery System
The Estimate Delivery System utilizes data files from the SPAM output to produce customized employment and wage reports for the state, county, and support the ALMIS and Labor projection units. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Dashboard/Analytics App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Projections Suite
The Projections Suite software is used to generate both shortterm and long-term industry and occupational employment projections for the State and counties. It was developed through the PMP (Projections Managing Partnership) which is a partnership between the U.S. Department of Labor, Employment and Training Administration (ETA), the U.S. Department of Labor, Bureau of Labor Statistics (BLS), the National Association of State Workforce Agencies (NASWA), and the State Projections Consortium. Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Dashboard/Analytics App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Career Kokua, the Hawai`i Career Information Delivery System
Career Kokua is the State’s statutorily authorized career information delivery system. It provides localized career and related educational information for career planning and career decision making. Career Kokua’s information and assessments are used by over 230 schools and agencies statewide. Program: LBR 905 Initiative Type: LOB Solution Business Service: Workforce Development Status: Production Application. Move to Dashboard/Analytics App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 124

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

Hawai`i Directory of Green Employers
The Directory of Green Employers features information on local green employers. Employers themselves are able to post and update profiles that describe their operations, specify their core occupations, and describe the skills and education they want in employees. The web site is hosted by the Hawai`i Information Consortium (HIC). Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Web App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Hawai`i Workforce Infonet
The HIWI website provides labor market information for the State and counties which is utilized by employers, job seekers, career counselors, education providers, students, planners, and others. The web site is hosted by Geographic Solutions, Inc. (GSI) Program: LBR 901 Initiative Type: LOB Solution Business Service: Labor Research and Statistics Status: Production Application. Move to Dashboard/Analytics App. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

125 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

HireNet Hawai`i
Capture all participant and employer data, produce federal, state, and local reports; develop and maintain job board with self-entry portals for employers and jobseekers. Program: LBR 111 Initiative Type: LOB Solution Business Service: Workforce Development Status: Production Application. Use As Is. Priority: Med (3) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

OCS Contract Tracking System
The Contract Tracking System will increase efficiency and accountability of OCS contracts by providing real-time updates to all staff levels, Program, Fiscal, and Management and Public with contracted service provider outcomes and expenditure rates. It will also track contract execution. Program: LBR 903 Initiative Type: LOB Solution Business Service: Workforce Development Status: In progress Priority: High (1) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”

HIOSH Inspectors’ Desktop and Laptop Procurement
The branch must also obtain 11 more desktop CPU computers or docking stations and plan to get laptops for inspectors. Program: LBR 111 Initiative Type: LOB Infrastructure Business Service: Occupational Safety and Health Status: New Priority: High (1) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 126

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

B.2.1.15

EDUCATION (A.1.15)

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

T-SEAS Substitute Teacher System
SubstituteTeacher Finder/Call-Out System based on priority lists -Owned by HR Annual O&M: Pending Review Use-As-Is Priority: 5 EA Compliance: 5

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

PDE3 Professional Development System
Course Registration and Tracking for Professional Development (Subscription License including license usage, hosting, and maintenance/enhancements. Supports race to the top initiatives. Annual O&M: Pending Review Enhancement Priority: 1 EA Compliance: 3

WDD IT Equipment Updating
Desktops, laptops, network printers, servers, and other peripheral equipment will be replaced as they age and funds become available. Program: LBR 111 Initiative Type: LOB Infrastructure Business Service: Workforce Development Status: New Priority: High (1) EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Student Information System (eSIS)
Transaction system for student enrollment, demographics, attendance, grading, report cards, etc. (Replacement strategy will replace as part of an integrated Instructional Improvement System (IIS)) One-time D/M/E: Pending Review Annual O&M: Pending Review Replace Priority: 1 EA Compliance: 3

Statewide Student Enrollment System (SSES)
Integrates student data from multiple student information systems in use at DOE regular schools and charter schools. Annual O&M: Pending Review Use-As-Is Priority: 1 EA Compliance: 3

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Electronic Comprehensive Student Support System (eCSSS)
Transaction Case Management System for all student support services and interventions. (Replacement strategy will replace as part of an integrated Instructional Improvement System (IIS)) One-time D/M/E: Pending Review Annual O&M: Pending Review Replace Priority: 1 EA Compliance: 3

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLIR; and cost elements not identified so included as “other”.

127 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Data for School Improvement System (DSI)
System for classroom teachers to develop and deliver formative assessments based on standard assessment item banks. (Replacement strategy will replace as part of an integrated Instructional Improvement System (IIS)) One-time D/M/E: Pending Review Annual O&M: Pending Review Replace Priority: 1 EA Compliance: 3

Budget Execution and Preparation System
Budget Execution and Preparation System (Replacement cost included in DOE10) See DOE ERP. Annual O&M: Pending Review Replace with DOE ERP Priority: 4 EA Compliance: 3

Financial Reporting System (FRS)
Data from financial and budgeting systems are populated in a DOE data-warehouse. This is modern technology that will be a bolt on to a new ERP. One-time D/M/E: Pending Review Annual O&M: Pending Review Enhancements Priority: 1 EA Compliance: 3

Hawai`i State Assessment
Statewide high stakes annual student assessments (What do the students know?) Replaced strategy : DOE is part of the National Smarter Balanced Consortium which is developing common assessment content and delivery platform that Hawai`i will adopt. One-time D/M/E: Pending Review Annual O&MPending Review Replace Priority: 1 EA Compliance: 3

Lotus Notes
Provides email, central workflow, school newsletters, lunch counts, etc. Annual O&M: Pending Review Replace Priority: 4 EA Compliance: 3

Data Warehouse/Longitudinal Data System
Collects and stores on-going data for students, employees, financial information, facilities, etc and provides analytics and dashboard/business intelligence. Annual O&M: Pending Review Upgrade Priority: 1 EA Compliance: 3

Maximo
Facilities maintenance and build project management system Use-As-Is Priority: Pending Review EA Compliance: Pending Review

e-HR
Human Resource Management System for certificated (teachers & principals) classified, support services personnel (Replaced eventually with State’s future ERP system) Annual O&M: Pending Review Replace with DOE ERP Priority: 1 EA Compliance: 3

Financial Management System (FMS)
On-line purchasing, payments, fixed assets, cash receipts, and DOE general ledger accounting system. (DB2) One-time D/M/E: Pending Review Annual O&M: Pending Review Replace with DOE ERP Priority: 4 EA Compliance: 3

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 128

IN PROGRESS:
SIF-Operational Data Store
School Interoperability Framework compliant ODS/Enterprise Service bus One-time D/M/E: Pending Review Annual O&M: Pending Review Priority:1 EA Compliance: 3

Budgetary Estimate: $ Reference State ERP costing
• Personnel Services (Hours) – Pending Review time D/M/E:

2000 hours; and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – $ Reference State ERP costing

DOE Enterprise Portal
DOE Enterprise Portal WEB based site structure for internal and external communications. (Race to the top funding) One-time D/M/E: Pending Review Annual O&M: Pending Review Priority:1 EA Compliance: 3

Funding Source: General Funds Summary Basis of: Reference State ERP costing

Longitudinal Data Enterprise Solution
DSI (Learning Management), eSIS (Student Information Management), eCSSS (Student Case Management), FMS (ERP Financials and Procurement) and K-12 LDS (Longitudinal Data Analysis) Program: EON 100 Initiative Type: Education Solution Business Service: Student Management Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 3 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Given the unique situation of an island State and ability of students to move on the island for reporting and tracking purposes aligned with external funding tracking of students and performance is a necessary requirement to ensure continued success. Budgetary Estimate: Pending Review
• Personnel Services (Hours) – Pending Review time D/M/E:

1DOE Identity Management/Single Sign-On
Implementation single sign on and identity access management for all core DOE data systems One-time D/M/E: Pending Review Annual O&M: Pending Review Priority:1 EA Compliance: 3

Electronic Signature
Organization is pursuing a form of electronic signatures via two pilot projects Pending Review Priority:1 EA Compliance: 3

Data Governance Council
The Superintendent has just launched a data governance council. Annual O&M: Pending Review Estimated Labor by hours and loaded rate

FMS- Financial Management Systems
New financial system, specifically an ERP solution, is on top of the DOE list (leveraging Gartner Study from 2009 and upgrading the specifications) Program: EON 100 Initiative Type: Education Solution Business Service: Financial Management Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 2 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Given multiple funding sources and the need for rolling funds the current system or other FMS systems in the State do not support the recording and reporting needs of Education
129 | State of Hawaii Business and IT/IRM Transformation Plan

2000 hours; and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds and Grant Funds Summary Basis of: Costing based upon State of California and State of New York total cost reported for system modernization and build. Student counts for both States are close to the student counts for Hawai`i to base estimate on.

Enterprise Architecture | Appendix B

Maximo
Maximo for facilities repair and capital dollar tracking Program: EON 100 Initiative Type: Education Solution Business Service: Asset Management Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 1 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: DOE is the largest facility management Department in the State and needs to track building and grounds care. Budgetary Estimate: Pending Review
• Personnel Services (Hours) – Pending Review time D/M/E:

e-HR System
e-HR system to recruit and hire teachers, aides, and administrators Program: EON 100 Initiative Type: Education Solution Business Service: Personnel Management Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 3 years Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Given the size of DOE and the number of positions and uniqueness of State’s placement system to track details on placement of personnel and details of position placement to better hiring practices for DOE Budgetary Estimate: Pending Review
• Personnel Services (Hours) – Pending Review time D/M/E:

2000 hours; and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going

2000 hours; and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of: Costing estimate based upon other State Maximo owners and their system cost

Funding Source: General Funds Summary Basis of: Costing estimate provided for by Education business owner

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 130

B.2.1.16

HIGHER EDUCATION (A.1.16)

Budgetary Estimate: Pending Review • Personnel Services (Hours) – 2 full-time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review • Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – $ Funding Source: The University is a member of Kuali and provides personnel as a member and in-turn receives systems at no cost. Summary Basis of: University of Hawai`i

Google Cloud for e-Mail
The University is moving to Google for email and calendaring for 80,000 students, faculty, and staff; working to shut down current email system later this year; students moved to Google mail in February 2011 with the rest of the University moving in late FY13. Program: UOH 900 Initiative Type: Enterprise e-mail Business Service: Communication Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 6 months Estimated Operational Duration: 5 years Planned Start Date: New Justification or Business Case: Reduction in total cost of ownership of e-mail services Budgetary Estimate: Pending Review • Personnel Services (Hours) – Pending Review time D/M/E: 2000 hours; and on-going O&M annually: FTE Pending Review • Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going annually: Pending Review • Other ($) – Pending Review Funding Source: This was paid for by Google education program which came to the State as a no-cost solution Summary Basis of: University of Hawai`i

Research Administration
The Kuali Research Administration system (Coeus) was implemented in November 2012. Interface with the financial Kuali towards the end of FY13/14 Program: UOH 900 Initiative Type: Business Services Business Service: Program Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: 5 years Planned Start Date: New Justification or Business Case: Higher education specific product that the University is a member of and provides labor support and receives systems for free. Budgetary Estimate: Pending Review
• Personnel Services (Hours) – 2 full-time D/M/E: 2000 hours;

Financial System
Java, web-based; switching to new system July 1, 2012; Kuali is the new system which is open source and web-enabled; already used by Michigan St., Cornell, Colorado St., USC, and the University of Arizona. Significant enhancement for the FY13. 1-FTE+1 FTE for enhancement Program: UOH 900 Initiative Type: Business Services Business Service: Financial Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: 5 years Planned Start Date: New Justification or Business Case: Higher education specific product that the University is a member of and provides labor support and receives systems for free.

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – $

Funding Source: The University is a member of Kuali and provides personnel as a member and in-turn receives systems at no cost. Summary Basis of: University of Hawai`i

131 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Web Enablement Initiatives
Migration of web applications off the mainframe including leave accrual; 100% hit rate on grants and delivering on those, especially with broadband; information security. Redesigning system wide portal to include mobile access FY13/14 Program: UOH 900 Initiative Type: Business Services Business Service: Program Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Reduction in total cost of ownership with mainframe O&M to modern application environment Budgetary Estimate: Pending Review
• Personnel Services (Hours) – full-time D/M/E: 2000 hours; and

Funding Source: Internal University Funding Summary Basis of: University of Hawai`i

Big Data
IT-enablement of research “big data:” high-performance computing; data visualization; analytics; support of economic development; suite of technologies and interactive distance learning. FY13/14 Program: UOH 900 Initiative Type: Governance Business Service: Program Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 3 year- Phased approach Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: To foster the University’s mission for research a collaborative “big data” environment for shared services for researchers to select from a service catalog. Budgetary Estimate: Pending Review
• Personnel Services (Hours) – .5 full-time D/M/E: 2000 hours;

on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) • Leases ($) – Software – 1 time: Pending Review and

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going

on-going annually: Pending Review
• Other ($) – $

Funding Source: Summary Basis of: University of Hawai`i Data Governance System wide data governance effort underway within the University, also coordinates with DOE Data Governance Program: UOH 900 Initiative Type: Governance Business Service: Program Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Better governance structure to better control cost and platform investment Budgetary Estimate: Pending Review
• Personnel Services (Hours) – .5 full-time D/M/E: 2000 hours;

annually: Pending Review
• Other ($) – $

Funding Source: Research Grant Funding Summary Basis of: University of Hawai`i

ARRA Broadband Grants
Faster connections to mainland and now connecting schools, libraries and UH sites on all islands at gigabit speeds and- need to check with DOE and library for counting purpose FY13 Program: UOH 900 Initiative Type: Governance Business Service: Program Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: To foster the University’s mission for research a collaborative “big data” environment for shared services for researchers to select from a service catalog.

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – $

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 132

Budgetary Estimate: Pending Review
• Personnel Services (Hours) – full-time D/M/E: 2000 hours;

Budgetary Estimate: Pending Review
• Personnel Services (Hours) – 4 full-time D/M/E: 2000 hours;

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – $

on-going annually: Pending Review
• Other ($) – $

Funding Source: Research Grant Funding Summary Basis of: University of Hawai`i Program: UOH 900 Initiative Type: Governance Business Service: Program Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 3 year- Phased approach Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: To foster the University’s mission for research a collaborative “big data” environment for shared services for researchers to select from a service catalog. Budgetary Estimate: Pending Review
• Personnel Services (Hours) – .5 full-time D/M/E: 2000 hours;

Funding Source: Internal University Funding Summary Basis of: University of Hawai`i

Document Imaging
Document imaging is on the future plan Program: UOH 900 Initiative Type: Artifact Retention Business Service: Records Management Status: New Priority: High EA Compliance: New Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Given research and other mandates for record retention an electronic system to replace paper or CD/DVD based storage Budgetary Estimate: Pending Review
• Personnel Services (Hours) – full-time D/M/E: 2000 hours;

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – $

Funding Source: Research Grant Funding Summary Basis of: University of Hawai`i

on-going annually: Pending Review
• Other ($) – $

Security
Information security program has implemented training, server registration, scanning and remediation for identified risks ongoing. Document imaging is on the future plan Program: UOH 900 Initiative Type: Cyber security Business Service: Security Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Increased threats to the University and the protection of PII and other sensitive data from external and internal cyber threats.
133 | State of Hawaii Business and IT/IRM Transformation Plan

Funding Source: Internal University Funding Summary Basis of: Industry Results for Documentum/ Hummingbird/Kofax implementations of equivalent size

Enterprise Architecture | Appendix B

B.2.1.17

PUBLIC HEALTH (A.1.7)
Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

Upgrade electronic medical records system to an EMR certified version (BHMIS/AVATAR/ECURA) Upgrade current Behavioral Health Management Information System (BHMIS/AVATAR/ECURA) Systems to enable EMR certification. Program: HTH 420 Initiative Type: LOB Solutions Business Service: Health Services for at Risk Underinsured Population Status: In Progress Priority: High EA Compliance: Medium High Estimated Implementation Duration: 3 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Maintain electronic health records for the adult recipients of state’s behavioral health services. Budgetary Estimate: Personnel Services (Hours) –DME: Pending Review hours; and on-going O&M annually: Pending Review hours
• • Equipment/Hardware • Leases

on-going| O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

HIE Interface for DOH EMR for AVATAR/ECURA
HIEAMHD: Upgrade electronic medical records system to interface to HHIE. Program: HTH 420 Initiative Type: LOB Solutions Business Service: Health Services for at Risk Underinsured Population Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 2 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Maintain electronic health records for the adult recipients of state’s behavioral health services. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

($) – Pending Review

($) – Software – 1 time: Pending Review and on-going annually: Pending Review ($) – Pending Review. O&M: Pending Review /year (estimated)

• Other

Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Upgrade electronic medical records system to an EMR certified version (Child Adolescent Mental Health Information System (CAMHIS) eVista)
Upgrade electronic medical records system to an EMR certified version. Program: HTH 460 Initiative Type: LOB Solutions Business Service: Health Services for at Risk Underinsured Population Status: In Progress Priority: High EA Compliance: Medium High Estimated Implementation Duration: 3 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Maintain electronic health records for the childhood (less than 18 years old) recipients of state’s behavioral health services.

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 134

HIE Interface for DOH EMR for CAMHIS (eVista)
HIECAMHD: Upgrade electronic medical records system to interface to HHIE. Program: HTH 460 Initiative Type: LOB Solutions Business Service: Health Services for at Risk Underinsured Population Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 2 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Maintain electronic health records for the adult recipients of state’s behavioral health services. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

TIMS/TBMIS: Replace DOS based w/ Web based system
TB Screening / Registry (TIMS/TBMIS): Replace DOS based system with a WEB based system. Program: HTH 100 Initiative Type: LOB Solutions Business Service: Health Services for at Risk Underinsured Population Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Federal mandates. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Upgrade WITS (Comply w/Fed funding requirements)
Implement WEB Information for Treatment Service (WITS) to be in compliance with Federal Funding Requirements. Program: HTH 440 Initiative Type: LOB Solutions Business Service: Health Services for at Risk Underinsured Population Status: In Progress Priority: High EA Compliance: Medium High Estimated Implementation Duration: 2 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Federal mandates.

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

135 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Replace WIC System w/ Web based & Electronic Benefit Transfer Capabilities
WICEBT: WIC System Replacement to a Web Based one with Electronic Benefit Transfer Capabilities. Program: HTH 560 Initiative Type: LOB Solutions Business Service: Health Services for at Risk Underinsured Population Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 4 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Maintain electronic health records for the adult recipients of state’s behavioral health services. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Socio-ecological Assessment System using the Hawaii Health Data Warehouse
Project HEQSYS: Upgrade Socio-ecological Assessment System using the Hawaii Health Data Warehouse Program: HTH 590 Initiative Type: LOB Solutions Business Service: Monitoring Health Events and Forecasting Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 4 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2013 Justification or Business Case: Health Equity. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review

• Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Syndromic Surveillance Information Exchange for Meaningful Use
HHESS: Syndromic Surveillance Information Exchange for Meaningful Use. Program: HTH 590 Initiative Type: LOB Solutions Business Service: Monitoring Health Events and Forecasting Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2013 Justification or Business Case: Maintain electronic health records syndromic surveillance and be in compliance with the ACA requirements for meaningful use.

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 136

Upgrade eBirth Application
Project eBirth: upgrade application of the Vital Statistics System (VSS) Program: HTH 760 Initiative Type: LOB Solutions Business Service: Monitoring Health Events and Forecasting Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 1 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Vital Statistics System that maintains a registry of all birth marriage and deaths in Hawaii Public Health Domain: Vital Records Registry: Birth, Marriage, Death. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

MAVEN: Replace PHS3 as the Disease Surveillance System
Replace PHS3 as the Disease Surveillance System. Program: HTH 131 Initiative Type: LOB Solutions Business Service: Emergency Preparedness and Response Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Upgrade client server based system to web based and virtualize servers
Overall upgrade of the Vital Statistics System (VSS). Program: HTH 760 Initiative Type: LOB Solutions Business Service: Monitoring Health Events and Forecasting Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 3 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Vital Statistics System that maintains a registry of all birth marriage and deaths in Hawaii Public Health Domain: Vital Records Registry: Birth, Marriage, Death.

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

137 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Replace ELR System
Replace Current Electronic Lab Reporting. Program: HTH 131 Initiative Type: LOB Solutions Business Service: Emergency Preparedness and Response Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Increase HIR Usage
HTHHL03: Increase participation in Hawaii Immunization Registry and modify system to conform to CDC new requirements. Program: HTH 131 Initiative Type: LOB Solutions Business Service: Emergency Preparedness and Response Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 4 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M. on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Electronic Lab Reporting Information Exchange for Meaningful Use
HIEELR: Upgrade ELR Information Exchange for Meaningful Use. Program: HTH 131 Initiative Type: LOB Solutions Business Service: Emergency Preparedness and Response Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2015 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going annually: Pending Review
• Other ($) – Pending Review + Pending Review over

the next 3 years Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review to date and Pending Review over next 3 years. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Increase HIR Usage Immunization information exchange for Meaningful Use
HIEHIR: Immunization information exchange for Meaningful Use in the Hawaii Immunization Registry. Program: HTH 131 Initiative Type: LOB Solutions Business Service: Emergency Preparedness and Response Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 2 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2015 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response.
Enterprise Architecture | Appendix B | 138

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
State of Hawaii Business and IT/IRM Transformation Plan

Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

Integrate / Implement LYNC capabilities with MS Exchange & SharePoint
HTHHL36: Integrate and Implement LYNC capabilities with MS Exchange and SharePoint to enable mobile communications among state health professionals. Program: HTH 907 Initiative Type: LOB Solutions Business Service: Common Support Services for Public Health Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 2 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2013 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

Mobile Apps for reporting Health irregularities
HTHHL06: Create mobile application to enable reporting by state health professionals. Program: HTH 131 Initiative Type: LOB Solutions Business Service: Emergency Preparedness and Response Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review/year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review. O&M: Pending Review /year

(estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

139 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Production Alignment
O&M for existing systems not addressed in earlier project estimates. Program: N/A Initiative Type: LOB Solutions Business Service: Status: In Progress Priority: High EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2013 Justification or Business Case: Disease Outbreak Control & Emergency Preparedness and Response. Budgetary Estimate:
• Personnel Services (Hours) –DME: Pending Review hours; and

B.2.1.18 ENVIRONMENTAL HEALTH MANAGEMENT (A.1.18)
Air Monitoring Reporting System
Capture air quality data for statewide reporting of air quality. (Air Data Management System (ADMS)) Program: HTH 840 Initiative Type: LOB Solutions Business Service: Air, Water (Clean, Safe Drinking, Waste) Solid (Hazardous, Waste) Monitoring Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) –O&M: Pending Review /year (estimated)

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review. Pending Review FTE labor for DME, Pending Review FTE labor for O&M.

on-going annually: Pending Review
• Other ($) – O&M: Pending Review /year (estimated)

Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

ePermitting System
Provides online permit & licensing applications. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 140

Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

Hawai`i Environmental Health Warehouse (HEHW)
Profile of every environmental interest in Hawai`i from facilities to sites with special viewer for water quality and safe drinking water. Public Health Domain: Environmental Health Monitoring and Reporting Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – D/M/E: Pending Review O&M: 5,000/year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Hawai`i Environmental Information Exchange (HEIX)
EPA exchange network allowing the exchange of Hawai`i a regulated environmental data with EPA and other states. Public Health Domain: Environmental Health Monitoring and Reporting Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – O&M: Pending Review/year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Starlims Environmental Lab Testing
Add environmental sample testing into this laboratory management information system Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – D/M/E: Pending Review O&M: Pending Review/year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

141 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

on-going annually: Pending Review Other ($) – D/M/E: Pending Review O&M: Pending Review/year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – O&M: Pending Review /year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Inspection and Complaint Tracking System
Food establishment Inspection and complaint tracking Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

Safe Drinking Water Information System
Manages the process of testing analyzing and reporting drinking water quality throughout the State’s water testing points. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – O&M: Pending Review /year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review Other ($) – O&M: Pending Review/year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Water Pollution Control System (WPC)
Application to manage Pollutant elimination systems and Water Quality Certification including permit complaints, inspections, and enforcement processing. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review
State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 142

Environmental Impact Statement (EIS)
A reference library data base of every environmental impact statement in Hawai`i. Public Health Domain: Permits and Licensing. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Complaints Tracking and Compliance Enforcement of Environmental Variances
Upgrade the Complaints Tracking and Compliance Enforcement of Environmental Variances Food application. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – O&M: Pending Review/year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

on-going annually: Pending Review Other ($) – D/M/E: Pending Review O&M: Pending Review /year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Inspection and Complaint Tracking System
Food establishment Inspection and complaint tracking. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

Hazardous Evaluation and Emergency Response Information Systems
Upgrade the Hazardous Evaluation and Emergency Response Information Systems application. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – O&M: Pending Review/year (estimated) Funding Source: General Funds
143 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

on-going annually: Pending Review Other ($) – D/M/E: Pending Review O&M: Pending Review /year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – D/M/E: Pending Review, O&M: Pending Review /year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Clean Air Branch Management Information Systems
Upgrade the Clean Air Branch Management Information Systems application. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

Safe Drinking Water Information System phase II Sample collection and Reservation System
Upgrade the Safe Drinking Water Information System. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: New Initiative Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) –D/M/E: Pending Review hours;

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – D/M/E: Pending Review; O&M: Pending Review /year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Other ($) – D/M/E: Pending Review and O&M: Pending Review / year (estimated) Funding Source: General Funds Summary Basis of Estimate: SW cost from DOH Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M.

Upgrade to the Environmental Health Data Warehouse
Upgrade to the Environmental Health Data Warehouse to implement a public facing version of the existing EHDW. Program: HTH 840 Initiative Type: LOB Solutions Business Service: Pending Review Status: New Initiative Priority: High
State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 144

B.2.1.19

AGRICULTURE (A.1.19)

• Other ($) – D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Agriculture LAN Conversion
Conversion from Novell/Linux to Microsoft AD Program: AGR 101 Initiative Type: LOB Solutions Business Service: Agriculture LOB Common Services Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 18 months. Estimated Operational Duration: 10 years. Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Agricultural Loan Management System (ALA)
AGLOAN Conversion and Enhancement Program: AGR 101 Initiative Type: LOB Solutions Business Service: Financial Assistance - Agricultural Loan Status: Upgrade Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time D/M/E: Pending Review hours;

and on going O&M annually: Pending Review hours
• Other ($) – D/M/E: Pending Review and on-going annually:

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Pending Review Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

on-going annually: Pending Review
• Other ($) – D/M/E: Pending Review and on-going annually:

Pending Review Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Agriculture Resource Management Information System (ARMIS)
ARMIS Conversion and Enhancement Program: AGR 101 Initiative Type: LOB Solutions Business Service: Agricultural Resource Management Status: Upgrade Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: 10 months. Estimated Operational Duration: 10 years Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Animal Quarantine Information System (AQSIS)
AQSIS Conversion and Enhancement Program: AGR 101 Initiative Type: LOB Solutions Business Service: Animal Quarantine and Importation Control Status: Upgrade Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years Planned Start Date: January 2013 Justification or Business Case: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
145 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

on-going annually: Pending Review
• Other ($) – D/M/E: Pending Review and on-going annually:

annually: Pending Review
• Other ($) – D/M/E: Pending Review and on-going annually:

Pending Review Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Pending Review Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

ASO APPX
ASO APPX Applications Conversion and Enhancement Program: AGR 101 Initiative Type: LOB Solutions Business Service: Pending Review Status: Upgrade Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: 12 months. Estimated Operational Duration: Pending Review Planned Start Date: FY13 (October 2013) Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Invicta
Supports agricultural permitting and inspection. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Plant Quarantine and Importation Control Status: In Progress Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: N/A Estimated Operational Duration: 10 years Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – D/M/E: Pending Review and on-going annually:

annually: Pending Review
• Other ($) – on-going O& M annually: Pending Review

Pending Review Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

WINWAM
WINWAM and Accounting Conversion and Enhancement Program: AGR 101 Initiative Type: LOB Solutions Business Service: Taxi Cab Meters Inspection Status: Upgrade Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: 12 months Estimated Operational Duration: Pending Review Planned Start Date: FY13
State of Hawaii Business and IT/IRM Transformation Plan

ColdChain
Food safety pilot operational at Armstrong Produce. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Quality Assurance Commodities and Measurement Standards Status: In Progress Priority: Medium EA Compliance: Medium-High Estimated Implementation Duration: N/A Estimated Operational Duration: Pending Review Enterprise Architecture | Appendix B | 146

Planned Start Date: FY13 Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Provide registry of pesticides certified for use in the State of Hawai`i. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

annually: Pending Review
• Other ($) – on-going O& M annually: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

on-going annually: Pending Review
• Other ($) – on-going annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Department of Agriculture Website
Maintain the department’s website: Hawai`i.gov/hdoa Program: AGR 101 Initiative Type: LOB Solutions Business Service: All Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Provide information regarding agriculture services, events, locations, and personnel to the public. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Dealer Licensing
Process dealer licensing for Commodities. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Quality Assurance Commodities and Measurements Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Provide registry of pesticides certified for use in the State of Hawai`i. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

annually: Pending Review
• Other ($) – on-going O& M annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

on-going annually: Pending Review
• Other ($) – on-going O&M annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

PESTREG
Maintain registry of licensed pesticides in the State of Hawai`i. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Pesticides Status: In Progress
147 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Brand Database
Compilation of registered livestock brands mandated by law; generates Brand Book. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Brand Registration Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Provide registry of brands registered in the State of Hawai`i. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

• Other ($) – on-going O&M annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

Hawai`i Agricultural Food and Products Database
Searchable database of producers, wholesalers of Hawai`i’s food and products. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Agricultural Development Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Provide registry of brands registered in the State of Hawai`i. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – on-going O&M annually: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

• Leases ($) – Software – 1 time: Pending Review and

Veterinary Laboratory Information System
Compiles data generated from tests performed at the Veterinary Laboratory. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Animal Health Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Provide registry of brands registered in the State of Hawai`i. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

on-going annually: Pending Review
• Other ($) – on-going O&M annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

HDOA Inventory
Inventory records uploaded to DAGS allows inventory managers to indicate users, location, and/or actions regarding an item. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Manage inventory for the department.

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 148

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

B.2.1.20 LAND AND NATURAL RESOURCES (A.1.20)
Payroll Database DLNR
Fiscal backend database, monitors payroll funding source / DLNR Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Replace with ERP Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability until ERP standardization of mission support activities. Budgetary Estimate:

on-going annually: Pending Review
• Other ($) – on-going O&M annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

HDOA Property Management
Keeps track and saves telecom requests and disposal requests submitted to DAGS. Program: AGR 101 Initiative Type: LOB Solutions Business Service: Pending Review Status: In Progress Priority: Medium EA Compliance: Medium Estimated Implementation Duration: Pending Review Estimated Operational Duration: Pending Review Planned Start Date: FY13 Justification or Business Case: Manage property for the department. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: in ERP Implementation and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Automated Revenue Accounting System
Maintained by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Replace with ERP Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability until ERP standardization of mission support activities.

on-going annually: Pending Review
• Other ($) – on-going O&M annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: SW cost Pending Review FTE labor for D/M/E, Pending Review FTE labor for O&M

149 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going annually:

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Pending Review
• Other ($) – 1 time D/M/E: in ERP Implementation and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Time and Leave System for DLNR
Lotus Notes leave reporting system / maintained by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Replace with ERP Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability until ERP standardization of mission support activities. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Commercial Fisheries Licenses & Permits
Online commercial fishing license. https://dlnr.eHawai`i.gov/ cmls-fr/app/license-search.html. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

annually: Pending Review
• Other ($) – 1 time D/M/E: in ERP Implementation and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Recreational Freshwater Game Fishing License
Online freshwater fishing license. https://www.eHawai`i.gov/ dlnr/fish/exe/fresh_main_page.cgi. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown
State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 150

Conveyance Documents Search & Order
Online land title records search and ordering. https://boc. eHawai`i.gov/docsearch/nameSearch.html. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Vessel Registration
Online vessel renewals. http://vessel.eHawai`i.gov. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability.

• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Uniform Commercial Code Recording
Online UCC financing statement recording. https://boc.eHawai`i. gov/ucc-recording/index.html. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:

Civil Resource Violation System
Online citation or case status / HIC - Very Large. Integrate department’s permits and licensing systems with Civil Resource Violation System. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability.

• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review

151 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Well permit applications & forms
Online water resource forms / DLNR. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

FEMA Flood Designation
Engineering, public properties with GIS to reduce future flood risks in hazard areas / DLNROne-time D/M/E: Pending Review Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Hunter Education Student & Exceptions Database
Conservation and Resources Enforcement backend database Hunter Ed course, ID, FW use / DLNR Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability.
State of Hawaii Business and IT/IRM Transformation Plan

NaAlaHele Commercial Hiking Permits
Online trail and access system. http://Hawai`itrails.org. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown

Enterprise Architecture | Appendix B | 152

Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Appropriation Ledger
This batch system produces monthly fiscal reports for DLNR from tapes produced by FAMIS. The system provides Operating Fund and CIP reports on expenditures, appropriations, allotments, & encumbrances by division cost center and project levels / DLNR Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Replace with ERP. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Reports to City Tax Office
Additions, deletions, changes to encumbrances on State land / DLNR - Older Oracle database and report generation application. Tied to SLIMS. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Replace. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

BOC Subscriber Services
https://boc.eHawai`i.gov/LandShark. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review

153 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”. Commercial Marine Licensing System http://dlnr.eHawai`i.gov/cmls. Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Land Use Permits
http://dlnr.eHawai`i.gov/permits Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Online Hunting Licenses
http://hunting.eHawai`i.gov Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Statewide Camping Reservation System
https://camping.eHawai`i.gov/camping/welcome.html Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 154

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Department of Land and Natural Resources Web Site
www6.Hawai`i.gov/dlnr Hosted by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Division of Boating and Ocean Recreation Web Site
Hawai`i.gov/dlnr/dbor. Hosted by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Commission on Water Resource Management
Hawai`i.gov/dlnr/cwrm. Hosted by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability.

Division of Forestry & Wildlife Web Site
www6.Hawai`i.gov/dlnr/dofaw. Hosted by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability.
Enterprise Architecture | Appendix B

155 | State of Hawaii Business and IT/IRM Transformation Plan

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Historic Preservation Division Web Site
Hawai`i.gov/dlnr/hpd. Hosted by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

Office of Conservation and Coastal Lands Web Site
www6.Hawai`i.gov/dlnr/occl. Hosted by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Maui Forest Bird Recovery Project Web Site
www6.Hawai`i.gov/dlnr/mfbp. Hosted by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 156

DLNR Legislative Tracking System
“The Department of Land and Natural Resources (DLNR) Legislative Tracking System is based on the Department of Business Economic Development and Tourism (DBEDT) Lotus Notes Legislative Tracking System / ICSD Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Correspondence Log DLNR
Tracks all correspondence via the Chairperson’s Office / DLNR Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Track Referrals, Activities, and Correspondence for DLNR
“The Track Referrals, Activities, & Correspondence (TRAC) system monitors items requiring a response, records various activities within the organization, and logs notices received/ sent / ICSD Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Replace with Central Legislative Tracking System. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

FAMIS Vendor Database
Supported by ICSD. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Replace with ERP. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.
157 | State of Hawaii Business and IT/IRM Transformation Plan

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review

Enterprise Architecture | Appendix B

Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

• Other ($) – 1 time D/M/E: : Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Accounts Receivable System
Boating commercial licensing and fees for small boat harbors / HIC In-Progress - Automate Boaters Fees and Licensing for payment on-line. See Harbor Pro/BARS. Program: LNR 101 Initiative Type: LOB Solution Status: Production Application – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Harbor Pro/ BARS
http://dobor.eHawai`i.gov Developed, supported, and hosted by HIC. Program: LNR 101 Initiative Type: LOB Solution Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

IN PROGRESS:
Enforcement Management Information System
Conservation and Resources Enforcement System / DLNR Program: LNR 101 Initiative Type: LOB Solution Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Enforcement Management Information System
Systems development projects in progress for enhanced automation of division programs. Enforcement IMS, Water Resources Well Reporting, and HIC Web Based applications. Program: LNR 101 Initiative Type: LOB Solution Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 158

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Electronic Recordation Management System
Under development/recently deployed: Bureau of Conveyances’ electronic recordation and management system; Boating’s accounts receivable system; Conservation and Resources Enforcement’s electronic management information system Program: LNR 101 Initiative Type: LOB Solution Status: In progress – move to web app. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Civil Resource Violation System
Expand the Civil Resource Violation System to improve compliance with State laws and rules protecting Hawai`i’s natural resources, in support of the Office of Civil Compliance. HIC Supported - Need to add additional HIC applications to the Violation System Program: LNR 101 Initiative Type: LOB Solution Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

DLNR GIS
DLNR uses GIS for program decision making, participated in the statewide strategic planning process for enterprise GIS and OIMT’s working group and plans to develop GIS interfaces to DLNR databases as well as mobile technologies. Program: LNR 101 Initiative Type: LOB Solution Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review

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• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

Land Trust IMS
Public Land Trust IMS Program: LNR 101 Initiative Type: LOB Solution Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Video Conferencing
Implemented a Polycom HDx8000 statewide video conferencing system including the RMX2000 bridge, which serves as a backup to ICSD’s bridging capabilities. In the process of expanding video conferencing sites on the neighbor islands. Program: LNR 101 Initiative Type: LOB Infrastructure Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

DNLR Disaster Recovery
Utilizes DRFortress as a disaster recovery off-site location. The second stage consists of developing a business continuity structure that will create a network system for backup and remote accessibility utilizing replication and virtualization services in an effort toward real-time data retrieval. Program: LNR 101 Initiative Type: LOB Infrastructure Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 160

DLNR Radio System
Establishing FCC narrowbanding compliance for DLNR’s radio system; used to provide enforcement to the State’s natural resources. Program: LNR 101 Initiative Type: LOB Infrastructure Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate: • Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Data Visualization System
Provide data replication through virtualization and storage area networks Program: LNR 101 Initiative Type: LOB Infrastructure Status: Production Application – Use As Is. Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

Network Infrastructure Upgrade
Improve the network infrastructure in the areas of bandwidth, services, and security. There are more than 40 remote sites using DSL; upgrading to an Ethernet solution to increase work productivity. Program: LNR 101 Initiative Type: LOB Infrastructure Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Pending Review.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: : Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by DLNR; and cost elements not identified so included as “other”.

161 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

B.2.1.21

HAWAIIAN HOME LANDS (A.1.21)

• Other Funds ($): Pending Review

Integrated Data (MIS) DHHL
The DHHL Integrated Data consists of major system functions that provide a related set of services or capabilities. Also known as the Management Information System (MIS). It includes Asset Management, Client Services, Financial Management, and Office Automation and Administrative Support Systems. Program: Pending Review Initiative Type: LOB Solution Business Service: All service in LOB – common digital content management. Status: In Progress Priority: High EA Compliance: Med Estimated Implementation Duration: Pending Review (dependent on scope) Estimated Operational Duration: Pending Review Planned Start Date: Pending Review Justification or Business Case: – What strategic goals or objectives will the investment achieve? The Integrated Data shall include all lines of business for DHHL – What strategic capabilities will the investment provide and what is their value, priority, and/or urgency? The investment shall provide access to Land Inventory and Management, Property Management, Client (Applicant) Information and Genealogy, Homestead Lease Management, Loan Management, Document Imaging and Management. It shall also tie in with existing systems such as Oracle Financials, GIS and Water Customer Information. – What cost savings or cost avoidance will the investment facilitate? Management of the trust assets will be easily accessible for planning and management decisions. Budgetary Estimate:
• Personnel Services (Hours): Pending Review

Summary Basis of Estimate: These figures were based on a study done in 1997 and need to be revisited once we make the determination on which modules will be implemented. Purchase price for entire system is estimated to be Pending Review to Pending Review based on low and high estimates. Disposition of Current Applications: For Future State Solution investments, indicate the current applications impacted by this investment, and a disposition for each application as listed below: Applicant/Lessee System - Replaced – by new LOB Future State Solution Mortgage Loan System - Replaced – by new LOB Future State Solution

Document Imaging
Digital creation, management, and storage of documents enabling employee access in a timely and efficient manner. To convert documents to electronic and/or digital documents supported by automated business rules and workflow management integrated with internal systems as well as xternal systems. Program: Pending Review Initiative Type: LOB Solution Business Service: Status: New Priority: High EA Compliance: Med Estimated Implementation Duration: ? months. (dependent on scope) Estimated Operational Duration: ? months. (dependent on scope) Planned Start Date: Pending Review Justification or Business Case: – What strategic goals or objectives will the investment achieve? Allows employees instant accessibility enabling them to process and make determinations in a timely and efficient manner. – What strategic capabilities will the investment provide and what is their value, priority, and/or urgency? In addition to accessibility, it will also allow simultaneous multiple user viewing and reduces on-site hard copy filing space requirements. It will streamline the current process providing improved service to our beneficiaries (our top priority). – What cost savings or cost avoidance will the investment facilitate? Cost savings will be derived from labor costs associated with retrieving files and the resulting delays in receiving them. Additional cost savings will be attained in file storage floor space savings and associated maintenance costs.

(dependent on scope)
• Equipment/Hardware ($) – 1 time: Pending Review and

on-going annually: Pending Review
• Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Consulting Services – 1 time: (included in software

cost) and on-going annually: Pending Review Funding Sources:
• General Funds ($): Pending Review /Trust Funds

or combination
• Federal Funds ($): Pending Review • Trust Funds ($):

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 162

Budgetary Estimate:
• Personnel Services (Hours): To Be Determined (Pending

Justification or Business Case: – What strategic goals or objectives will the investment achieve? The investment will allow the neighbor island staff to access the data more quickly and efficiently to better serve our beneficiaries. – What strategic capabilities will the investment provide and what is their value, priority, and/or urgency? The investment will allow IT staff to more easily update software packages and replace aging workstations with less expensive thin clients as needed. Virtualized servers and less physical servers will reduce server downtime. – What cost savings or cost avoidance will the investment facilitate? The cost savings would be seen in the replacement of frame relay leases with DSL charges, no more annual server maintenance charges for the neighbor islands and the virtualized Oahu servers. Budgetary Estimate:
• Personnel Services (Hours): 1,000 • Equipment/Hardware ($) – 1 time: Pending Review and

Review)
• Equipment/Hardware ($) – 1 time: Pending Review

and on-going annually: Pending Review
• Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Consulting Services – 1 time: Pending Review

and on-going annually: Pending Review Funding Sources:
• General Funds ($): Pending Review • Federal Funds ($): Pending Review • Trust Funds ($): Pending Review • Other Funds ($): Pending Review

Summary Basis of Estimate: Project life cycle will include Needs Analysis, Analysis & Selection (feasibility), Technical Design and Implementation (includes Procurement), and Deployment & Use. Duration and user involvement dependent upon scope of project. Disposition of Current Applications: This investment is intended to collaborate with existing departmental applications and does not impact any current applications.

on-going annually: Pending Review
• Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Consulting Services – 1 time: Pending Review

and on going annually: Pending Review Funding Sources:
• General Funds ($): Pending Review • Federal Funds ($): Pending Review • Special Funds ($): Pending Review • Other Funds ($): Pending Review

Virtualize Desktops & Servers DHHL
This project virtualizes the neighbor island branch offices, select Oahu office servers and upgrades the Oahu office physical servers, tape libraries and Storage Area Network (SAN). This project continues from a Proof of Concept completed in FY2011. Program: Pending Review Initiative Type: LOB Infrastructure (Platforms, Networks, etc.) Business Service: All Status: In progress Priority: High EA Compliance: Med Estimated Implementation Duration: 6 months. Estimated Operational Duration: 6 months. Planned Start Date: 16-Apr-12

Summary Basis of Estimate: This project is ongoing and continues from the Proof of Concept completed in FY11 that virtualized one neighbor island office and 2 servers. Six month effort will require 2 IT staff members part time to assist the vendor and transfer knowledge. Purchase price is Pending Review. Disposition of Current Applications: For Future State Solution investments, indicate the current applications impacted by this investment, and a disposition for each application as listed below: System Upgrades DHHL – Kept – Modernized as LOB Future State Solution

163 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

B.2.1.22 HAWAI`I STATE PUBLIC LIBRARY SYSTEM (A.1.22)
Government to Citizens Production Alignment Applications
Applications supporting an Integrated Library System and a suite of modern portal applications Program: Initiative Type: LOB Solution Business Service: In-house services Status: On-going Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 4 years. Planned Start Date: 10/1/2013 Justification or Business Case: This initiative will result in increased productivity, interoperability, and enhancements. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 1000 hours; and

on-going O&M annually: 650 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Funding Source: Federal Grants

Government to Government Production Alignment Applications
A suite of multi-media, wireless and email services across the Hawai`i State Public Library System. Program: Initiative Type: LOB Solution Business Service: In-house services Status: In progress Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 3 years. Planned Start Date: 07/1/2012 Justification or Business Case: This initiative will result in increased performance, interoperability, and enhancements. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 1000 hours; and

on-going O&M annually: 7000 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Funding Source: Federal Grants
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 164

Government to Citizens New Initiatives
Applications supporting an mobility, e-Commerce and education to go Program: Initiative Type: LOB Solution Business Service: In-house services Status: On-going Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 4 years. Planned Start Date: 10/1/2014 Justification or Business Case: This initiative will result in increased productivity, interoperability, and enhancements. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 1000 hours; and

B.2.2 MISSION SUPPORT AREAS (A.2)
B.2.2.1 LEGISLATIVE RELATIONS (A.2.1)
Legislative Relations Web Site O&M
All sites hosted by ICSD.
• Accounting and Audit Review Committee Web Site – aarc

Hawai`i.gov.
• Office of the Auditor Web Site – Hawai`i.gov/auditor. • Office of the Ombudsman Web Site – ombudsman.Hawai`i.gov. • Legislative Reference Bureau Web Site – Hawai`i.gov/lrb. • Hawai`i State Ethics Commission Web Site –

Hawai`i.gov/ethics. Dependency: Web Sites will need to be upgraded in compliance with new EA Common Solutions Framework. Program: LTG 100 Initiative Type: LOB Solution Status: Production Web Site – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and on

on-going O&M annually: 700 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Funding Source: Federal Grants

Government to Government Production New Initiatives
Applications improving network security and increase processing power in the data center to support visualization Program: Initiative Type: LOB Solution Business Service: In-house services Status: New Initiatives Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 3 years. Planned Start Date: 07/1/2014 Justification or Business Case: This initiative will result in increased performance, interoperability, and enhancements. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 1000 hours; and

going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: in ERP Implementation and on

going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Industry standard cost estimate for web site O&M. 5 sites at Pending Review annual O&M.

on-going O&M annually: 7000 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review Funding Source: Federal Grants

165 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Departmental Legislative Tracking Systems O&M
Departmental production legislative tracking systems to be replaced by Enterprise Legislative Relations System. Current O&M costs.
• DAGS Legislature Bill Tracking • DBEDT Legislative Tracking System • DCCA Legislative (Bill) Tracking System • DLIR Legislative Tracking System • DLNR Legislative Tracking System • DOH Legislative Tracking System • DOT Legislative Tracking System • HDOA Legislative Tracking System • PSD Legislative Tracking System

Enterprise Legislative Relations System Implementation
Implement an enterprise-wide automated legislative relations system to effectively support the flow of legislation through the State Government. The complete life cycle from inception, proposal, review, approval, disapproval, and final disposition of legislative activities is needed to efficiently serve constituents, stake holders and citizens. In addition, an integrated workflow and document management system will support automation of efficient business processes and official document life cycles. Program: LTG 100 Initiative Type: LOB Solution Status: New Priority: Med EA Compliance: Med Estimated Implementation Duration: 12 – 18 months Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Consolidation of systems support and streamlined and improved business function support. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 4200 hours +

Program: LTG 100 Initiative Type: LOB Solution Status: Production Web Site – Use As Is. Priority: Med EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Maintain production capability. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

2000 hours of user/stakeholders; and on-going O&M annually: 1000 hours
• Equipment/Hardware ($) – 1 time: Pending Review • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Assumption that basic approach would be to reverse engineer current functionality into requirements, do a rapid market analysis to see if other states may have a system to consider, and move forward with a new services oriented implementation in compliance with ESA Common Solutions Framework with integration with document management services and workflow services. SDLC project estimates: 12 month duration, 4200 hours total. SDLC includes Project Management (10%), Requirements (15%), Design (20%), Development (30%), Test (20%), Release (5%). Projected involvement: Project Manager (10% - 200 hours), 2 full-time Developers (4000 hours), Users (20 at 5% - 2000) Assumption of purchase of platform (hardware/virtual system) of Pending Review and software middleware components of Pending Review.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: in ERP Implementation and on

going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate for web application support of Pending Review annually O& M with 9 applications.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 166

B.2.2.2 PUBLIC AFFAIRS (A.2.2)
iQ Implementation
Internet Quorum - Data Capture System to manage inputs and responses. Basically a CRM type application for constituent response tracking. Program: LTG 100 Initiative Type: LOB Solution Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months Estimated Operational Duration: 10 years. Planned Start Date: 1/1/2013 Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Estimate provided by LG. Needs to be validated.

Public Affairs Collaboration System Implementation
Need a good collaboration, scheduling, and tracking system. SharePoint would be a good choice. Program: LTG 100 Initiative Type: LOB Solution Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by LG. Cost elements not provided, so placed in Other.

Enterprise Mail Improvements
Need a replacement for Lotus Notes (Takes too long to send mass mailings) 100s of emails per day brings staff desktop computer to a slow crawl. Issues with administration of Lotus Notes – deletes emails after 60 days. LG needs specific needs for mass mailing and mail retention met. Program: LTG 100 Initiative Type: LOB Solution Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: 12 months Estimated Operational Duration: 10 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going O&M

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Estimate provided by LG. Needs to be validated. LG LAN Improvements Need a good LAN system (60 users) Program: LTG 100 Initiative Type: LOB Infrastructure Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years.
Enterprise Architecture | Appendix B

167 | State of Hawaii Business and IT/IRM Transformation Plan

Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Initiative Type: LOB Infrastructure Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Estimate provided by LG. Needs to be validated.

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

LG Phone System Improvements
Need a phone system with voice menuing. Program: LTG 100 Initiative Type: LOB Infrastructure Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: Unknown Estimated Operational Duration: 3 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Estimate provided by LG. Needs to be validated.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Estimate provided by LG. Needs to be validated. LG Mobile Device Deployment Mobile Devices with camera, video conferencing and voice for Field Support (10) Program: LTG 100

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 168

B.2.2.3 POLICY, CONTROLS, AND OVERSIGHT (A.2.3)
Statewide Policy Control Workflow System
A Policy Control Workflow System will provide for the tracking of the complete lifecycle of Statewide and Agency specific policies, standards, and guidelines. This includes creation, review, approval and dissemination of policies and guidelines. Program: LTG 105 Initiative Type: LOB Solution Status: New project Priority: High (2) EA Compliance: Med Estimated Implementation Duration: 12 months Estimated Operational Duration: 10 years. Planned Start Date: 1/1/2013 Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by LG. Cost elements not provided, so placed in Other.

Statewide Policy Control Notification System
A Web based Policy Control Notification System is needed to provide on-line access to the State’s policies and information regarding standards, and guidelines. Essentially, this Web application will become an information center supporting statewide policy control and oversight. Program: LTG 105 Initiative Type: LOB Solution Status: New project Priority: High (1) EA Compliance: Med Estimated Implementation Duration: 12 months Estimated Operational Duration: 10 years. Planned Start Date: 1/1/2013 Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 0 hours; and

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by LG. Cost elements not provided, so placed in Other.

Statewide Policy Control Document Management System
A document management system is needed to manage the complete set of polices, standards, and guidelines. Program: LTG 105 Initiative Type: LOB Solution Status: New project Priority: High (1) EA Compliance: Med Estimated Implementation Duration: 12 months Estimated Operational Duration: 10 years. Planned Start Date: 1/1/2013 Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and

on-going O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Cost estimate provided by LG. Cost elements not provided, so placed in Other.

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B.2.2.4 PLANNING AND RESOURCE ALLOCATION (A.2.4) B.2.2.5 GRANTS MANAGEMENT (A.2.5)

Grants Management ERP
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Grants Management capability. The Grants Management function will integrate with the Financial Management, Budgeting, Project Management and HR functions. A modern Grants Management ERP module is necessary to replace existing embedded legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Financial Management Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Grants Management functionality replaces multiple embedded applications in each State Agency. An estimated 100 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

Grants Management ERP Planning
ERP Phase I will include planning and architectural support for the Grants Management functions. A composite team consisting of representation from each functional area will participate in project planning, Business Process ReEngineering, creating specifications, vendor evaluation and selection and initiation of conference room pilots. The Grants Management function will integrate with the Financial Management, Budgeting, Project Management and HR functions. A modern Grants Management ERP module is necessary to provide a central Grants Management Life Cycle capability and to ensure that the State of Hawai`i can comply with the Digital Accountability and Transparency Act (DATA) that requires open Government transparency. Program: ERP Phase II State-Wide Grants Management System Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: N/A Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Grants Management functionality replaces multiple embedded applications in each State Agency. An estimated 100 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 10,000 hours • Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review and

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Grants Management module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Grants Management module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 170

B.2.2.6 REVENUE COLLECTION – TAX MODERNIZATION (A.2.6)
Tax Modernization Revenue Collection Planning
Tax modernization architectural and project planning will occur during the first year. A composite team consisting of subject matter experts from the State will participate in project planning, Business Process Re-Engineering, creating specifications, vendor evaluation and selection and initiation of conference room pilots. The new TAX system will integrate with Financial Management and Budgeting. A modern TAX system is necessary to replace existing high risk legacy systems and to integrate with other ERP functions. Program: TAX Modernization Project Planning Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: NA Planned Start Date: 7/1/2013 Justification or Business Case: The existing TAX system is high risk and requires 24x7 hands on Technical support. If the TAX system goes down, the State loses Pending Review per day. This deployment achieves full compliance with future state EA. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 50,000 hours • Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review and

Tax Modernization Project
The TAX modernization project is a strategic initiative to deploy a comprehensive, stable Revenue Collection System. The Revenue Collection function will integrate with Financial Management and Budgeting systems. A modern TAX system is necessary to replace an existing high risk system and to integrate with other ERP functions. Program: TAX Modernization Project Life Cycle Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 42-48 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new TAX system replaces a high risk application that requires 24x7 technical support. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 110,000 hours

per year (over 4 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Covered

in Planning
• Leases ($) – Software – Covered in Planning Other ($) –

Pending Review Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant TAX system is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (35).

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant TAX System is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (15).

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Enterprise Architecture | Appendix B

B.2.2.7 BUDGET & FINANCE (A.2.7)
Budget & Finance ERP Planning
ERP Phase I will include planning and architectural support for the Budget & Finance functions. A composite team consisting of representation from each functional area will participate in project planning, Business Process Re-Engineering, creating specifications, vendor evaluation and selection and initiation of conference room pilots. The Budget & Finance function will integrate with the Financial Management and each State organization required to prepare budgets, forecasts, and multi-year financial planning. A modern Budget & Finance ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Financial Management Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: NA Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Financial Management functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality.

Budget & Finance ERP
ERP Phase III implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Budget & Finance capability. This function will integrate with the Financial Management services module and support each State Agency in the preparation and forecasting of budget information. A modern Budget & Finance ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase III State-Wide Budget & Finance Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Budget & Finance functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 50,000 hours

per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 10,000 hours • Equipment/Hardware ($) – • Leases ($) – Software – Other ($) – Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Budget & Finance module is described in the ERP Section. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Budget & Finance module with end user subject data bases and computing tools is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (15).

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 172

B.2.2.8 FINANCIAL MANAGEMENT (A.2.8)
Financial Management ERP Planning
ERP Phase I will include planning and architectural support for the Financial Management functions. A composite team consisting of representation from each functional area will participate in project planning, Business Process ReEngineering, creating specifications, vendor evaluation and selection and initiation of conference room pilots. The Financial function will integrate with the Time and Attendance, HR, Budgeting, Payroll, Grants Management, and the new Tax modernization initiative. A modern Financial ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Financial Management Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: NA Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Financial Management functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 10,000 hours • Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

Financial Management ERP
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Financial Management capability. The Financial function will integrate with the Time and Attendance, HR, Budgeting, Payroll, Grants Management, and the new Tax modernization initiative. A modern Financial ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Financial Management Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High \ Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Financial Management functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000 hours

per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Financial Management module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Financial Management module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

173 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

B.2.2.9 HUMAN RESOURCE MANAGEMENT (A.2.9)
ERP HR Upgrade
Strategic initiative to upgrade enterprise HR management capabilities through the ERP implementation. The HRM module functionality is expected to cover all relevant HR services specified here with the exception of Time & Attendance. Program: HRD 191 Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 18-24 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. Achieves full compliance with future state EA. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 20,000 hours

Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 0 hours; and

on-going O&M annually: 4,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost provided by DHRD + estimated labor support.

neogov
Recruiting software as a service sponsored by State Recruiting Office to support recruiting across the State. Enhancement to work file integration with ERP HR. Priority: High EA Compliance: High Program: HRD 102 Initiative Type: Enterprise Solution Status: Use As Is with Enhanced Integration Priority: High EA Compliance: High Estimated Implementation Duration: 6 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. Achieves full compliance with future state EA. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 1,000 hours;

(over 2 years); and on-going O&M annually: 6000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from DHRD and industry. Significant HR module approximately Pending Review. Personnel involvement includes: PM oversight; 3 HR Functional Specialists; 1 HR Functional Consultant; 1 HR Lead Developer; 1 HR Technical Consultant; 1 General Technologist (Data Base and Systems Administration).

and on-going O&M annually: 100 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

HRMS, Employee Transaction System, and Bus Pass Operations & Maintenance
Covers current short term operations & maintenance of HRMS and related systems. Applications planned to be replaced by ERP upgrade. Program: HRD 191 Initiative Type: Enterprise Solution Status: Replaced by ERP Priority: High EA Compliance: Med Estimated Implementation Duration: Estimated Operational Duration: 18-24 months. Planned Start Date: 7/1/2013 Justification or Business Case: Operations & maintenance of current mission support applications.

and on-going annually: Pending Review
• Other ($) – on-going annually: Pending Review

Funding Source: General Funds Summary Basis of Estimate: One-time file integration enhancement estimated at 6 FTE/months. Annual SaaS O&M cost provided by DHRD + estimated annual labor.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 174

Time & Attendance
Time & Attendance COTS package implementation with integration with overall Federated ERP architecture. This is a project that may overlap between Departments, as there are aspects of policy and rules determination along with operational procedures. DHRD will participate in the planning & design, however this specific initiative will be led by B&F. Program: HRD 191 Initiative Type: LOB Solutions Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12-18 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. Achieves full compliance with future state EA. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 20,000 hours

Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 2,000 hours ;

and on-going O&M annually: 0 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 1 FTE for one-time implementation. Annual O&M: covered above in Time & Attendance.

Learning Management
Learning Management is a key component of the ERP under the HR scope, however, this may be secondary to the core HR system implementation. Additionally, there isn’t any current system in place. Assumption that functionality is present in HR module(s). Program: HRD 191 Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2015 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. Achieves full compliance with future state EA. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 6,000 hours;

(over 2 years); and on-going O&M annually: 6000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from DHRD and industry. Significant Time & Attendance package approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration).

and on-going O&M annually: 2,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

Leaves/Absence Management
Functionality for managing leaves/absence benefits programs. This project also relates to Time & Attendance, however, implementation may follow the core HR system implementation. Assumption that Time & Attendance package will include required functionality with minimal customization. Program: HRD 191 Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2015 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. Achieves full compliance with future state EA.

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Assumes 3 FTEs for one-time implementation, and 1 FTE for annual on-going O&M.

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Enterprise Architecture | Appendix B

Performance Management
Performance Management is a key component of the ERP under the HR scope, however, this may be secondary to the core HR system implementation. Additionally, there isn’t any current system in place. Assumption that functionality is present in HR module(s). Program: HRD 191 Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2015 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. Achieves full compliance with future state EA. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 6,000 hours;

Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 2,000 hours;

and on-going O&M annually: 2,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Assume 1 FTE for one-time implementation; and 1 FTE for annual on-going O&M.

DHRD/HRM Web Content
Department’s Public and internal Web Sites (hosted by ICSD). Includes DHRD, SPIN, and HRD Community Pages. Future compliance to ESA Common Portal. Program: HRD 191 Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 0 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2013 Justification or Business Case: Keep and maintain viability of existing Web sites. Enhance for compliance with ESA Common Portal at a future point. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 0 hours; and

and on-going O&M annually: 2,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Assumes 3 FTEs for one-time implementation, and 1 FTE for annual on-going O&M.

General HR Benefits Administration
Benefits Administration is included under the general functions under “HR”, however, only voluntary benefit programs are administered by DHRD. Core medical and dental benefits are administered under EUTF using a separate system - Vitech. Future consideration needs to be given to how a common system may benefit multiple departments (i.e. DHRD and B&F EUTF and possibly ERS). Program: HRD 191 Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 18-24 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. Achieves full compliance with future state EA.

on-going O&M annually: 0 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Contracted annual O&M charge: Pending Review

Funding Source: General Funds Summary Basis of Estimate: Industry standard estimate for annual Web site operations & maintenance – scope includes 2 sites.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 176

B.2.2.10

PROCUREMENT (A.2.10)

Procurement ERP Project
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Procurement and Acquisitions capability. This function will integrate with Financial Management, Budgeting, Grants Management, and Asset Management and Inventory Control. A modern Procurement ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. A modern Procurement and Acquisition ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Financial Management Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Financial Management functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate: Portfolio Costs are captured in the ERP Section. The cost summaries below are for information only.
• Personnel Services (Hours) – one time D/M/E: 30,000 hours

Procurement ERP Planning
ERP Phase I will include planning and architectural support for the Procurement functions. A composite team consisting of representation from each functional area will participate in project planning, Business Process Re-Engineering, creating specifications, vendor evaluation and selection and initiation of conference room pilots. The Procurement function will integrate with Financial Management, Budgeting, Grants Management, and Asset Management and Inventory Control. A modern Procurement ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Procurement and Acquisitions Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: NA Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Procurement and Acquisition functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate: Portfolio Costs are captured in the ERP Section. The cost summaries below are for information only.
• Personnel Services (Hours) – one time D/M/E: 10,000 hours • Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review and

per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

on-going annually: Pending Review
• Other ($) – Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Procurement and Acquisition Management module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Procurement and Acquisition module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

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Enterprise Architecture | Appendix B

B.2.2.11 ASSET MANAGEMENT AND INVENTORY CONTROL (A.2.11)
Asset Management and Inventory Control ERP Planning
ERP Phase II will include planning and architectural support for the Asset Management and Inventory Control functions. A composite team consisting of representation from each functional area will participate in project planning, Business Process Re-Engineering, creating specifications, vendor evaluation and selection and initiation of conference room pilots. The Asset Management and Inventory Control functions will integrate with the Procurement, Budgeting, and Finance and other ERP functions. Program: ERP Phase II State-Wide Asset Management and Inventory Control Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: NA Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Asset Management and Inventory Control functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 10,000 hours • Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

Asset Management and Inventory Control ERP
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Asset Management and Inventory Control. The Asset Management and Inventory Control will integrate with the Financial,, Procurement and Grants Management modules. It is also necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Asset Management and Inventory Control Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Asset Management and Inventory Control functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000 hours

per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Asset Management and Inventory Control module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Asset Management and Inventory Control module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

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Enterprise Architecture | Appendix B | 178

B.2.2.12

GENERAL SERVICES (A.2.12)

Forever Honolulu Registration Form
https://russellc.wufoo.com/forms/honolulu-forever-youngnomination-form/
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

Project Tracking
Tracks project timeline and expenditures for all CIP projects managed by Public Works Division - [Access]
• Status: Production Application – Replace with ERP • Building Leasing System • Tracks usage and expenditures on building leasing for State

Kauai Sewer Payments
http://payments.eHawai`i.gov/kauaisewer/ Developed, supported, and hosted by HIC.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

usage. - [Access]
• Status: Replace with ERP • Materials Inventory Tracking • Keeps track on all materials and supplies that are issued to

Campaign Spending Commission
Hawai`i.gov/campaign Hosted by ICSD.
• Annual O&M: Pending Review • Status: Production Web Pages

work orders & projects - [RPG]
• Status: Replace with ERP

Hawai`i State Foundation on Culture and the Arts
• Hawai`i.gov/sfca Hosted by ICSD. • Annual O&M: Pending Review Status: Production Web Pages

Digitized Gallery System
The Hawai`i State Archives was established in 1905 and is responsible for collecting, appraising, preserving, and making available to the public Hawaiian government records of enduring value.
• Status: Production Application –

Public Works FTP
www4.Hawai`i.gov/publicworks Hosted by ICSD.
• Annual O&M: Pending Review • Status: Production Web Pages

Records Management Upgrade

Hawai`i Candidate Filing System
The Campaign Spending Commission (CSC) is the state’s political “”watch dog”” on campaign spending. An internet browser based system will be developed.
• Status: Production Application – Evaluate with ERP

Public Works Division
Hawai`i.gov/pwd Hosted by ICSD.
• Annual O&M: Pending Review • Production Web Pages

implementation.

Aloha Stadium
alohastadium.Hawai`i.gov Hosted by ICSD.
• Annual O&M: Pending Review • Status: Production Web Pages

Hawai`i Corporate Filling System
House Bill 2003 requires corporations to file a report for contributions made to candidate or candidate committees that total more than Pending Review per two (2) year election period.
• Status: Production Application – Evaluate with

Department of Accounting and General Services
Hawai`i.gov/dags Hosted by ICSD.
• Annual O&M: Pending Review • Status: Production Web Pages

ERP implementation.

Hawai`i Non-Candidate Filing System
The Campaign Spending Commission is the state’s political “”watch dog”” on campaign spending. This project will utilize the latest technology in communication to ensure campaign spending reports are filed timely, thoroughly and without error.
• Status: Production Application – Evaluate with

Office of Elections
Hawai`i.gov/elections Hosted by ICSD.
• Annual O&M: Pending Review • Status: Production Web Pages

Oahu Metropolitan Planning Organization
Hawai`i.gov/oahumpo Hosted by ICSD.
• Annual O&M: Pending Review • Status: Production Web Pages

ERP implementation.

Records Reporting System
“Contains the names and descriptions of all “”public”” reports.”
• Status: Production Application –

Records Management Upgrade.

179 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Maximo
Inventory for Grant delivered equipment. City & County of Honolulu.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

HAR-Kauai District Reservations
The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

AIR-OM Materials and Supplies Inventory System
Provide material and supplies inventory control for AIR-OM warehouse.
• Status: Production Application – Replace with ERP

HAR-M Reservations
The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

AIR Controlled Item Disposal
Lotus Notes database application used to process Controlled Item Disposals.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

HWY Kapolei
This database contains a roster of employees in the DOT Kapolei Building located at Kapolei, Hawai`i. This roster is also used to create ID badges for the employees of this building.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

79 S Nimitz
This database contains a roster of employees in the Harbors Division located at 79 S Nimitz Hwy and other locations. This roster is also used to create ID badges for the employees of this building.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

HWY-C Car Reservation
Reservation application
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

869 Punchbowl
This database contains a roster of employees in the Aliiaimoku Building located at 869 Punchbowl Street. This roster is also used to create ID badges for the employees of this building.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

HWY-C Conference Room Reservations
Reservation application
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

HWY-Oahu District Reservations
Reservation application
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

ADMIN-Punchbowl CSS Reservation
Domino Reservation COTS template for meeting room in the CSS Library
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

Wabits
Contracts regarding office furnishings, etc for DOT
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

ADMIN-Punchbowl DIR Reservation
Domino Reservation COTS template for the Director’s Conference Room
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

Agriculture Motor Pool Management System (AMS)
Keeps tracks of department vehicle information. Includes maintenance and usage information. (APPX Client/Linux Server)
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

Harbors Conference Video Reservation
The Resource Reservation database is an application designed to allow workgroups to schedule and reserve physical resources such as conference rooms or office equipment.
• Annual O&M: Pending Review • Status: Production Application – Move to Web App.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 180

General Services Production Alignment
Replace legacy Web portals and applications with new enterprise web portals Program: AGS 131 Initiative Type: LOB Solution Status: New project Priority: High EA Compliance: Med Estimated Implementation Duration: 24 months Estimated Operational Duration: 10 years. Planned Start Date: 1/1/2014 Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 4500 hours; and

IBM i-Series Computer Replacements
Three (3) IBM i-Series computers are being planned as interim solutions until applications can be replaced by a new ERP. Program: AGS 131 Initiative Type: LOB Solution Status: New project Priority: Medium EA Compliance: Med Estimated Implementation Duration: 12 months Estimated Operational Duration: 5 years. Planned Start Date: Unknown Justification or Business Case: Streamline operational efficiency, integrate information, reduce processing cost, and standardize user interface and supporting technologies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: 2000 hours; and

on-going O&M annually: 500 hours
• Equipment/Hardware ($) 49,000 • Leases ($) – Software – 1 time: Pending Review and

on-going O&M annually: 750 hours
• Equipment/Hardware ($)50,000 • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going O&M

on-going annually: Pending Review
• Other ($) – 1 time D/M/E: Pending Review and on-going

annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate:

O&M annually: Pending Review Funding Source: Pending Review Summary Basis of Estimate: Estimate provided by GS. Needs to be validated.

181 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

B.2.2.13 INFORMATION TECHNOLOGY MANAGEMENT (A.2.13)
Business Services
Services and tool support for operations for the support of areas such as EA, portfolio management, System engineering, business process reengineering, and other business support activities for the State. Program: IMT-13-001 Initiative Type: Business Services Business Service: Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 months Estimated Operational Duration: 10 years Planned Start Date: FY 13 Justification or Business Case: Development of underlying IT methodologies, processes, and procedures Budgetary Estimate: Pending Review
• Personnel Services (Hours) – Pending Review time D/M/E:

Budgetary Estimate: Pending Review
• Personnel Services (Hours) – 2 full-time D/M/E: 2000 hours;

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General funding Summary Basis of: provided by OIMT

Security
Development of IT security posture for the State and Departmental guidance in adherence to a State security posture for IT. Understanding of threats and mitigation strategies to address these threats to the State’s IT environment as well as the evaluation of tools and services to increase the security posture for the State. Program: IMT-13-003 Initiative Type: Cyber Security Business Service: Security Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: State does not have a common security posture leaving the threat for security breaches of PII and other sensitive data. Budgetary Estimate: Pending Review
• Personnel Services (Hours) – 2 full-time D/M/E: 2000 hours;

2000 hours; and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funding Summary Basis of: Provided by OIMT

Enterprise Services
Consulting and contracting services and personnel for support of State enterprise initiatives that improve government across multiple LOB’s and Department in areas of IT and all associated functions of IT. Program: IMT-13-004 Initiative Type: Enterprise Services Business Service: Financial Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 3 year Estimated Operational Duration: 10 years Planned Start Date: In-Process Justification or Business Case: A priority for the State of Hawai`i is to eliminate duplication of effort, retire applications and to reduce the current portfolio suite of an estimated seven hundred (700) systems and associated embedded services.

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of: Provided by OIMT

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 182

Innovation Program
Hawai`i Innovation Program will undertake a series of projects as described below. Some of these projects are intended to stand up various components of the Program, while others are innovation projects that will eventually be transferred out of the Innovation Program and become either stand-alone programs or enterprise services. Program: IMT-13-005 Initiative Type: Innovation Business Service: Operational Management Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 2 year Estimated Operational Duration: 10 years Planned Start Date: New Justification or Business Case: Bringing together the resources, tools, and techniques required to transform the way the State runs business. Budgetary Estimate: Pending Review
• Personnel Services (Hours) – full-time D/M/E: 2000 hours;

ICSD
Support for the ongoing support of the NGN and application hosting and high speed printing for the State. Program: AGS-13-01 Initiative Type: Infrastructure Business Service: Infrastructure Support Services Status: In-Process Priority: High EA Compliance: High Estimated Implementation Duration: 1 year Estimated Operational Duration: 5 years Planned Start Date: FY13 Justification or Business Case: The State’s backbone infrastructure is aging and is in need of triage maintenance to ensure the current environment does not collapse Budgetary Estimate: Pending Review
• Personnel Services (Hours) – .5 full-time D/M/E: 2000 hours;

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going

and on-going O&M annually: FTE Pending Review
• Equipment/Hardware ($) – • Leases ($) – Software – 1 time: Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of: Provided for by OIMT

Funding Source: General Funds Summary Basis of: Provided by OIMT

183 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

B.2.3 BUSINESS SEGMENTS (A.3)
B.2.3.1 HEALTH IT BUSINESS SEGMENT (A.3.1)
HIT Governance: Statewide HHIE Coordination for MPI and MPD
On-going oversight and facilitation of initiatives for Master Patient Index (MPI) and Master Provider Directory (MPD); attend meetings, provide guidance, and support as needed. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: N/A Planned Start Date: 7/1/2012 Justification or Business Case: HIT Governance; The OIMT needs to ensure consistent application of MPI and MPD across State agencies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE for 2 months

HIT Governance: Formal MPD Agreements and Policies
Develop State government policies and develop MOUs that can be used internally and standard agreements that can be used externally for providers, hospitals, labs, etc.; requires AG input. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: Pending Review months. Estimated Operational Duration: Pending Review months. Planned Start Date: 7/1/2012 Justification or Business Case: HIT Governance; To ensure orderly implementation of MPD, policies will need to be developed and MOUs that can be used to ensure consistency across state agencies. .Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE for 1 year; 1,000 hours of government labor.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

HIT Governance: Formal MPI Agreements and Policies
Develop State government policies and develop MOUs that can be used internally and standard agreements that can be used externally for providers, hospitals, labs, etc.; requires AG input. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: N/A. Planned Start Date: 7/1/2012 Justification or Business Case: HIT Governance; To ensure orderly implementation of MPI, policies will need to be developed and MOUs that can be used to ensure consistency across state agencies.
State of Hawaii Business and IT/IRM Transformation Plan

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE for 2 months.

Enterprise Architecture | Appendix B | 184

HIT Governance: Establish Health Transformation Office
Migrate the Hawai`i Health Transformation Initiative to a formal office; Seek legislative guidance and provide input for written legislation. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 24 months. Estimated Operational Duration: 8 years. Planned Start Date: 7/1/2012 Justification or Business Case: To establish a single office to oversee the Health Transformation across the State. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 500 hours of OIMT staff for 1 year HIT Governance: Establish Governance for Data and Services Standardization and Sharing. Provide governance and technical guidance for sharing health related data and services across agencies to minimize duplication and enhance citizen services. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 3 years. Estimated Operational Duration: N/A. Planned Start Date: 7/1/2012 Justification or Business Case: To establish governance to guide state agencies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 1 FTE for 2 years to establish office, and 4 FTE for 8 years to staff office.

HIT Governance: Establish Contract Access to Consultants
Establish contract with consultants for health transformation and plan development for Health; assist agencies in health related functions to seek federal grants. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: N/A. Planned Start Date: 7/1/2012 Justification or Business Case: HIT Governance: To establish a contract to provide access to Health IT consultants for a period of one year.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE for 2.5 years of contract labor

185 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

HIT Governance: Formalize Health IT Working Group
Establish Health IT Working group with appropriate representation from state agencies and partner organizations (HHIE, HHIC, etc.). Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 3 months Estimated Operational Duration: N/A. Planned Start Date: 7/1/2012 Justification or Business Case: To formalize and increase the membership of the body to include key participants in Health IT in order to provide critical guidance coordinated across agencies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 4 hrs/month * 14 participants for 10 years 672 hours/year = 6720 hours of government labor

Enable Meaningful Use: Establish EHR Adoption Grant Program
Develop grant program to incentivize EHR adoption for a predetermined number of providers (approximately 8001000) not served by the Hawai`i Pacific Regional Extension Center (REC) (e.g. HHIE); program to exist for two years – each provider gets one year of help. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 10 years Estimated Operational Duration: N/A. Planned Start Date: 7/1/2012 Justification or Business Case: To expand EHR adoption and enable meaningful use across the State. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 160 hours of government labor

HIT Governance: Health IT Working Group
Provide funding for agencies to facilitate regular consistent participation. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 10 years Estimated Operational Duration: N/A. Planned Start Date: 7/1/2012 Justification or Business Case: To provide (account for) funding for agencies to facilitate regular consistent participation.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – 1 time: Pending Review for SaaS

solution and on-going annually: Pending Review
• Other ($) – Pending Review for 500 providers over

2 year period Funding Source: General Funds Summary Basis of Estimate:

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 186

FTE for 2 years plus
Pending Review for SaaS solution plus Pending Review / provider to implement plus Pending Review for SaaS = Pending Review = Pending Review for 500 providers Total = Pending Review

Enable Meaningful Use: Grantee Evaluation
Evaluate progress and overall grant performance for meeting provider sign-on goals; OIMT Project Management Office. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 7.25 years Estimated Operational Duration: N/A. Planned Start Date: 9/1/2013 Justification or Business Case: To expand EHR adoption and enable meaningful use across the State. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Enable Meaningful Use: Award Grant to Administrator
Provide source selection and award. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 2 months Estimated Operational Duration: N/A. Planned Start Date: 7/1/2013 Justification or Business Case: To expand EHR adoption and enable meaningful use across the State. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and

Funding Source: General Funds Summary Basis of Estimate: 1 FTE for 8 years Establish MPI/MPD Agreements with HHIE Establish formal agreements between HHIE and state agencies especially DOH and DHS. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 12 months Estimated Operational Duration: N/A. Planned Start Date: 7/1/2012 Justification or Business Case: Health IT Projects Data Sharing; To ensure consistent access to the exchanges across the State agencies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 320 hours of government labor

Review hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

187 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Funding Source: General Funds Summary Basis of Estimate: 200 hours

MPI/MPD Interface Setup (State w/ HHIE); MPI/MPD Testing; and MPI/MPD Deployment
Setup MPI/MPD interfaces between state agencies and HHIE; implementation and integration plus MPI/MPD Testing and Deployment. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 30 months Estimated Operational Duration: N/A Planned Start Date: 7/1/2012 Justification or Business Case: Health IT Projects Data Sharing; To ensure consistent access to the exchanges across the State agencies. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 30 months Estimated Operational Duration: 8 years Planned Start Date: 9/1/2013 Justification or Business Case: Health IT Projects Data Sharing; To ensure consistent access to the state’s clinical database. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE for PM, ½ FTE for DBA over 2.5 years. Plus ½ FTE O&M for 8 years

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and

on-going annually: Pending Review
• Other ($) – Spread over this and the 2 subtasks for 2 years.

Plus 5% of 5 positions O&M for 8 years = Pending Review Funding Source: General Funds Summary Basis of Estimate:

FTE PM | FTE for Technical from OIMT over 2 years spread over this and these 2 tasks using blended rate:
1. MPI/MPD Testing - System testing to ensure integration is complete. 2. MPI/MPD Deployment - MPI/MPD Deployment; setup new software train staff and go live to complete transition. ½ FTE PM, 2 FTE for DOH, 2 FTE for DHS, 1 FTE for PSD, ½ FTE for EUTF and ½ FTE for DCCA

State’s Clinical Data Repository
Build/integrate data sets based on inter-agency agreements through ODBC or similar connections; dependent upon cloud services and data integration tool (assume enterprise availability). Program: N/A Initiative Type: LOB Solutions Business Service: N/A
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix B | 188

State’s Claims Data Repository
Build/integrate data sets based on inter-agency agreements through ODBC or similar connections; dependent upon cloud services and data integration tool (assume enterprise availability). Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 24 months Estimated Operational Duration: 7 years Planned Start Date: 7/1/2015 Justification or Business Case: Health IT Projects Data Sharing; To ensure consistent access to the state’s claims database. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE (same person as Data Sharing task earlier) over 2 years.

External Clinical Data Repository Interface
Build interface to access external clinical data with organizations with established agreements to support Public Health. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 4 years Estimated Operational Duration: Pending Review Planned Start Date: 9/1/2014 Justification or Business Case: Health IT Projects Data Sharing; To ensure consistent access to/from the state’s repositories. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE for PM over 2 years. Plus ½ FTE for DBA, ½ FTE O&M over 7 years

Establish Clinical & Claims Data agreements w/ External Entities
Establish formal agreements with external health organizations (e.g. providers, hospitals, labs, pharmacies, etc.). Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 24 months Estimated Operational Duration: Pending Review Planned Start Date: 9/1/2013 Justification or Business Case: Health IT Projects Data Sharing; To ensure consistent access to/from the state’s repositories.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE System Integrator (over 4 years – shared w/ next task) contract labor.

External Claims Data Repository Interface
Build interface to access external claims data with organizations with established agreements to support Public Health. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 4 years Estimated Operational Duration: Pending Review Planned Start Date: 9/1/2015

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Justification or Business Case: Health IT Projects Data Sharing; To ensure consistent access to/from the state’s repositories. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

• Leases ($) – Software – Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 3 FTEs programmers over 5 years; 1 FTE to cover coordination time with state agencies plus PM time 15% FTE.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

Health IT Department Specific Projects (these are included with the owning LOB)
• DOH: EMR Upgrade (BHMIS/AVATAR/ECURA) - Upgrade

Funding Source: General Funds Summary Basis of Estimate: ½ FTE System Integrator (over 4 years – shared w/ next task) contract labor.

electronic medical records system to EMR certified version Pending Review over 3 years + O&M for 7 years Pending Review
• DOH: EMR Upgrade (CAMHIS) - Upgrade electronic medical

my.Hawai`i.gov (CRM) Systems Integration & Data Visualization (i.e. DOH, DHS, HIX, DCCA)
Create portlets and other widgets as needed to aggregate data and facilitate data visualization (dashboards including quality and performance measures) for: a) Hospital Health Quality Data: Data Integration w/ Hospital Compare - provides access to the federal hospital quality data under “Hospital Compare” program; create a portlet so the state has access to up to date information. b) Doctor Compare – portlet to Doctor Compare when ready c) DOH, DHS, HIX, DCCA – widgets as needed to support citizen access to health care data d) Public Health Information: Geospatial (data acquisition, aggregation, visualization) e) Public Health Information: Syndromic (data acquisition, aggregation, visualization) Note: Dependent upon GIS, data integration tool (assume enterprise availability). Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 4 years Estimated Operational Duration: Pending Review Planned Start Date: 9/1/2015 Justification or Business Case: Health IT Projects: Portal (my.Hawai`i.gov) Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E:

records system to EMR certified version Pending Review over 3 years + O&M for 7 years Pending Review
• DOH: HHIE Interface (ECURA) - Develop interface to the

HHIE for the Adult Mental Health Information System (BHMIS AVATAR/ECURA) Pending Review over 2 years Pending Review
• DOH: HHIE Interface (CAMHIS) - Develop interface to the

HHIE for the Child Adolescent Mental Health Information System (CAMHIS) eVista Pending Review over 2 years Pending Review
• DOH: EMR Convergence - Converge disparate HHIE interfaces

into one HHIE interface for DOH Pending Review over 2 years Pending Review • DOH: Syndromic Surveillance - Information Exchange for Meaningful Use Pending Review
• DOH: Electronic Lab Reporting - Information Exchange for

Meaningful Use

Pending Review

• DOH: Immunization Information Exchange for Meaningful Use

Pending Review
• PSD: EMR Implementation - In Progress: eClinicalWorks EMR

implementation for Inmate Health Records D/M/E: Pending Review O&M: Pending Review /year for 10 years Pending Review
• PSD: HHIE Interface - Develop interface to the HHIE for the

Child Adolescent Mental Health Information System (CAMHIS) eVista Pending Review over 2 years Pending Review

• DHS: Replace HPMMIS - Replace the current MedQuest

Pending Review hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review

(Medicaid/eligibility) system (currently service purchased from State of Arizona) with new system owned by the State of Hawai`i; cost includes projected 90% federal grant match. Pending Review over 3 years Pending Review

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 190

• DHS: HHIE Interface - Provide interface to HHIE for the

Health IT Department Specific Projects: OIMT
Implement converged EMR solution in Cloud service Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 10 years Estimated Operational Duration: 10 years Planned Start Date: 7/1/2012 Justification or Business Case: Health IT Department Specific Projects: Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Medicaid/eligibility system. Pending Review over 2 years Pending Review
• DHS: MedQuest HIX Interface - Interface eligibility to the HIX

Connector to review provider data. Pending Review over 2 years Pending Review
• DCCA: HIDS HIX Interface - Provide interface from Hawai`i

Insurance Division System to HIX Connector to make available current insurance provider information such as: issuance of licenses; collection of taxes, fees, and fines; review of rate and policy filings; investigation of complaints and disciplinary actions. Pending Review over 2 years Pending Review
• DCCA: PVL HIE Interface - HIE to ensure current information

of provider licensing through the Professional & Vocational Licensing system. Pending Review over 2 years Pending Review
• EUTF: Replace EUTF System - Replace current benefits

hours; and on-going O&M annually: Pending Review hours system with one that provides automatic interfaces to the ERP system, Vital Records, Case Management, and other state systems as required. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 4 years Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Health IT Department Specific Projects: Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review • Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and on-going

annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Pending Review over 10 years + O&M Pending Review over 10 years

Enable Analytics Projects: Analytics Product Trade Study
Analytics Product Trade Study - Assumes using the Klas data service as basis and 3 – 5 software packages analyzed Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 3 months Estimated Operational Duration: Pending Review Planned Start Date: 7/1/2012 Justification or Business Case: Enable Analytics.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 3 FTEs programmers over 5 years; 1 FTE to cover coordination time with state agencies plus PM time 15% FTE.

191 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Enable Analytics Projects: Establish Analytics Agreements (SLA)
Work with agencies to coordinate and establish Service Level Agreements (SLAs). Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 3 years Planned Start Date: 7/1/2013 Justification or Business Case: Enable Analytics. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Pending Review for Klas service plus 1 FTE 3 months Pending Review

Enable Analytics Projects: Analytics Service Pilot
Pilot the analytics software. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: 1 years Estimated Operational Duration: N/A Planned Start Date: 7/1/2013 Justification or Business Case: Enable Analytics. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software –Other ($) – Pending Review • Other - Pending Review

Funding Source: General Funds Summary Basis of Estimate: ½ FTE for 3 years

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review one time • Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Pending Review for software lease plus ½ FTE 1 year

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 192

Enable Analytics Projects: Analytics Service
Provide statisticians (epidemiologists, etc.) and software leasing (the tool selected from trade study) for needed number of users of the Analytics Service. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 3 years Planned Start Date: 7/1/2013 Justification or Business Case: Enable Analytics. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review • Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 1 FTE for 9 years of government labor

Support Services: Facilitate Statewide Data and Services Modeling
Dependent on Health IT working group direction; provide information models (detailed data definitions and ensure common minimum data sets) and data flow across agencies. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 2.5 years Planned Start Date: 1/1/2013 Justification or Business Case: Health IT Support Services. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review /year on

going annual O&M
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 2 FTEs + SW leasing cost Pending Review /year for 9 years Support Services: Professional and Team Development and Collaboration Hire and develop workforce and establish contracts with consultants for health transformation and plan development for Health; assist agencies in health related functions to seek federal grants. Support Services: Health Transformation Office. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 9 years Planned Start Date: 7/1/2014 Justification or Business Case: Health IT Support Services.

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review • Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 1 FTE 2.5 years of contract labor

193 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

Support Services: Establish HIT Cloud Service
Set up Cloud service and SLAs. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 2.5 years Planned Start Date: 1/1/2013 Justification or Business Case: Health IT Support Services. Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

B.2.3.2 ERP BUSINESS SEGMENT (A.3.2)
ERP Phase 0 Planning
ERP Phase 0 Planning includes establishing the proper governance structure, creating a project management organization structure, finalizing the business case, initiating business process re-engineering, creating purchasing contracts and requests for proposals, evaluating vendors, selecting an ERP vendor, selecting contractors for Independent Verification and Validation, a System Integrator, and launching pilots. Program: ERP Phase I State-Wide ERP Planning and Procurements Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 12 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP will functionality replaces multiple systems and embedded applications in each State Agency. An estimated 100 embedded applications will be replaced. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 90,000 hours

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review • Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 1 FTE for 2 years of government labor

(over 12 months); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

Support Services: Provide HIT Cloud Services
Provide Software and services to the HIT cloud clients. Program: N/A Initiative Type: LOB Solutions Business Service: N/A Status: In Progress Priority: High EA Compliance: High Estimated Implementation Duration: N/A Estimated Operational Duration: 8 years Planned Start Date: 1/1/2014 Justification or Business Case: Health IT Support Services.

and on-going annually: Pending Review
• Other ($) – Pending Review

ERP Phase I HR Implementation
ERP Phase I implementation is a strategic initiative to deploy an enterprise HR management capability State Wide. The HRM module functionality is expected to cover all relevant HR services specified. Program: ERP Phase I State-Wide HRD Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP HRD functionality replaces multiple embedded HR applications in each State Agency. An estimated 100 embedded HR applications will be replaced.

Budgetary Estimate:
• Personnel Services (Hours) – 1 time D/M/E: Pending Review

hours; and on-going O&M annually: Pending Review hours
• Equipment/Hardware ($) – Pending Review • Leases ($) – Software – Pending Review • Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: 3 Positions at half effort for 8 years of government O&M + Cloud Service Cost
State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 194

Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000 hours

• Leases ($) – Software – one time: Included in Planning Phase

and on-going annually: Included in Planning Phase
• Other ($) – Pending Review

per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Included in

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from DHRD and industry. Significant Time and Attendance module approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders(15)

Planning Phase
• Leases ($) – Software – one time: Included in Planning Phase

and on-going annually: Included in planning Phase
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from DHRD and industry. Significant HR module approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (15).

ERP Phase I Payroll
ERP Phase I implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Payroll capability. The Payroll function will integrate with the Time and Attendance function, the HR function, the Finance function, and the Budgeting function. A modern payroll ERP module is necessary to replace an existing legacy system and to integrate with other ERP functions. Program: ERP Phase I State-Wide Time and Attendance Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Time and Attendance functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality.

ERP Phase I Time and Attendance Implementation
ERP Phase I implementation is a strategic initiative to deploy a State-Wide Time and Attendance capability. The Time and Attendance functionality is expected to cover all Time and attendance applications embedded in each organization within each State agency. An estimated 200 embedded Time and Attendance applications that require individual organizations to keep track of their time manually and perform manual data entry will be replaced by a single Time and Attendance application enabling online entry of time by each employee and review and approval by supervision. Program: ERP Phase I State-Wide Time and Attendance Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Time and Attendance functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: • Leases ($) – Software – one time: Included in Planning Phase

and on-going annually
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Payroll module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholder (15).
Enterprise Architecture | Appendix B

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Included in

Planning Phase

195 | State of Hawaii Business and IT/IRM Transformation Plan

ERP Phase II Finance
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Financial Management capability. The Financial function will integrate with the Time and Attendance, HR, Budgeting, Payroll, Grants Management, and the new Tax modernization initiative. A modern Financial ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Financial Management Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Financial Management functionality replaces multiple embedded applications in each State Agency. An estimated 200 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

ERP Phase II Asset Management and Inventory Control
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a new Asset Management and Inventory Control capability. This function will integrate with the Financial and Budgeting Functions. A modern Asset Management and Inventory Control ERP module is necessary to replace existing legacy systems and to integrate with other ERP functions. Program: ERP Phase II State-Wide Asset management and Inventory Control Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new ERP Asset Management and Inventory Control replaces multiple embedded applications in each State Agency. An estimated 100 embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Financial Management module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Asset Management and Inventory Control module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 196

ERP Phase II Grants Management
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a new centralized Grants Management capability. This function will integrate with the Financial, Budgeting Functions and Project Management.. A modern Grant Management Control ERP is necessary to provide a central capability to support the complete life cycle of Grant Management to include project management, financial information integration, standards, Grant information center, and tools to create and respond to Grant requests. This module will also replace existing embedded systems in every State Agency working with State and Federal grants. Program: ERP Phase II State-Wide Grants Management Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2013 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new Grant Management ERP replaces multiple embedded applications in each State Agency. An estimated 200 individual embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

ERP Phase II Acquisition/Procurement
ERP Phase II implementation is a strategic initiative to deploy a State-Wide functionality to provide a centralized Acquisition/ Procurement capability. This function will integrate with the Financial, Budgeting, HR, Asset Management and Inventory Control, and Grants Management ERP functions. A modern Acquisition/Procurement capability is necessary to provide a central function to support the complete life cycle of acquisition and procurement functions. This module will also replace existing embedded systems in every State Agency that engage in procurement and acquisition activities. Program: ERP Phase II State-Wide Acquisition/Procurement Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2014 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new Acquisition/Procurement ERP replaces embedded applications in each State Agency. An estimated 200 individual embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: • Leases ($) – Software – one time: Pending Review

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: • Leases ($) – Software – one time: Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

and on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Asset Management and Inventory Control module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Asset Management and Inventory Control module is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

197 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B

ERP Phase III Budget Preparation
ERP Phase III implementation is a strategic initiative to deploy a State-Wide functionality to provide a centralized Budget Preparation capability. This function will integrate with the Financial, HR, Asset Management and Inventory Control, and Grants Management ERP functions. A modern Budget Preparation capability is necessary to provide a central function to support the complete life cycle of acquisition and procurement functions. This module will also replace existing embedded systems in every State Agency that engage in budget preparation activities. Program: ERP Phase II State-Wide Budget Preparation Initiative Type: Enterprise Solution Status: New Priority: High EA Compliance: High Estimated Implementation Duration: 30-36 months. Estimated Operational Duration: 10 years. Planned Start Date: 7/1/2015 Justification or Business Case: Strategic improvement to mission support LOBs to benefit streamlined efficiency of all core missions. This deployment achieves full compliance with future state EA. The new Acquisition/Procurement ERP replaces embedded applications in each State Agency. An estimated 200 individual embedded applications will be replaced by this new functionality. Budgetary Estimate:
• Personnel Services (Hours) – one time D/M/E: 30,000

hours per year (over 3 years); and on-going O&M annually: 10,000 hours
• Equipment/Hardware ($) – one time D/M/E: Pending Review • Leases ($) – Software – one time: Pending Review and

on-going annually: Pending Review
• Other ($) – Pending Review

Funding Source: General Funds Summary Basis of Estimate: Software cost estimate from industry. A significant Budget Preparation module with subject databases, portal access, and standard reporting for each agency and internal stakeholder is approximately Pending Review. Personnel involvement includes: PM oversight; 3 Functional Specialists; 1 Functional Consultant; 1 Lead Developer; 1 Technical Consultant; 1 General Technologist (Data Base and Systems Administration) and State of Hawai`i Stakeholders (10).

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix B | 198

ENTERPRISE ARCHITECTURE (EA) – A BLUEPRINT FOR CHANGE APPENDIX D–ATTACHED AGENCIES
Table of Contents | 1

TABLE OF CONTENTS
D. ENTERPRISE ARCHITECTURE ATTACHED AGENCIES, BOARDS, AND COMMISSIONS...........................................................6 D.1 ATTACHED AGENCY AREAS ..................................................................................................................................................6 D.1.1 ACCOUNTING AND GENERAL SERVICES AND ASSOCIATED ATTACHED AGENCIES ..................................6 D.1.1.1 HAWAII STATE FOUNDATION ON CULTURE AND THE ARTS...........................................................................6 D.1.1.2 HAWAII CAMPAIGN SPENDING COMMISSION .................................................................................................7 D.1.1.3 OFFICE OF ELECTIONS .............................................................................................................................................12 D.1.1.4 ENHANCED 911 BOARD...........................................................................................................................................15 D.1.1.5 STATE BUILDING CODE COUNCIL .........................................................................................................................16 D.1.1.6 ACCESS HAWAII COMMITTEE ..............................................................................................................................18 D.1.1.7 STADIUM AUTHORITY .............................................................................................................................................20 D.1.2 BUDGET AND FINANCE.....................................................................................................................................................22 D.1.2.1 EMPLOYEE RETIREMENT SYSTEM (ERS) ...........................................................................................................22 D.1.2.1 HAWAII EMPLOYER-UNION HEALTH BENEFITS TRUST FUND (EUTF)........................................................26 D.1.3 DEPARTMENT OF BUSINESS, ECONOMIC DEVELOPMENT AND TOURISM (DBEDT) ......................................30 D.1.3.1 HAWAII TOURISM AUTHORITY .............................................................................................................................30 D.1.3.2 COMMUNITY DEVELOPMENT AUTHORITY .......................................................................................................32 D.1.3.3 LAND USE COMMISSION .......................................................................................................................................35 D.1.3.4 THE NATIONAL DEFENSE CENTER OF EXCELLENCE FOR RESEARCH IN OCEAN SCIENCES (CEROS) ............................................................................................................................................37 D.1.4 DEPARTMENT OF DEFENSE .............................................................................................................................................39 D.1.4.1 OFFICE OF VETERAN SERVICES.............................................................................................................................39 D.1.5 DEPARTMENT OF HEALTH ................................................................................................................................................41 D.1.5.1 STATE HEALTH PLANNING AND DEVELOPMENT AGENCY ...........................................................................41 D.1.5.2 STATE COUNCIL ON DEVELOPMENTAL DISABILITIES ....................................................................................43 D.1.5.3 HAWAI`I HEALTH SYSTEM CORPORATION (HHSC) .........................................................................................45 D.1.5.4 EXECUTIVE OFFICE ON AGING...............................................................................................................................48

Table of Contents | 2

D.1.6 DEPARTMENT OF HUMAN SERVICES ...........................................................................................................................51 D.1.6.1 OFFICE OF YOUTH SERVICES .................................................................................................................................51 D.1.6.2 HAWAII PUBLIC HOUSING AUTHORITY..............................................................................................................55 D.1.7 DEPARTMENT OF LABOR AND INDUSTRIAL RELATIONS ........................................................................................61 D.1.7.1 DEPARTMENT OF INDUSTRIAL RELATIONS APPEALS BOARD ....................................................................61 D.1.7.2 HAWAI`I CIVIL RIGHTS COMMISSION ................................................................................................................64 D.1.7.3 OFFICE OF LANGUAGE ACCESS ............................................................................................................................66 D.1.8 DEPARTMENT OF PUBLIC SAFETY.................................................................................................................................70 D.1.8.1 CRIME VICTIM COMPENSATION COMMISSION ..............................................................................................70 D.1.8.2 HAWAI`I PATROLLING AUTHORITY ......................................................................................................................72 D.1.9 DEPARTMENT OF TRANSPORTATION ...........................................................................................................................74 D.1.9.1 OAHU METROPOLITAN PLANNING AUTHORITY ..............................................................................................74

LIST OF TABLES
Table 1: Hawaii State Foundation on Culture and the Arts .....................................................................................................................6 Table 2: Hawaii Campaign Spending Commission ...................................................................................................................................8 Table 3: Office of Elections...........................................................................................................................................................................12 Table 4: Enhanced 9-1-1 Board ...................................................................................................................................................................15 Table 5: State Building Code Council.........................................................................................................................................................17 Table 6: Access Hawai`i Committee ..........................................................................................................................................................18 Table 7: Stadium Authority ...........................................................................................................................................................................20 Table 8: Employee Retirement System (ERS) ...........................................................................................................................................22 Table 9: Employer-Union Health Benefits Trust Fund (EUTF)................................................................................................................26 Table 10: Hawai`i Tourism Authority ..........................................................................................................................................................30 Table 11: Community Development Authority ..........................................................................................................................................33 Table 12: Land Use Commission .................................................................................................................................................................35 Table 13: National Defense Center of Excellence for Research in Ocean Sciences (CEROS) .....................................................38 Table 14: Office of Veteran Services..........................................................................................................................................................40
3 | Table of Contents

Table 15: State Health Planning and Development Agency .................................................................................................................42 Table 16: State Council of Developmental Disabilities...........................................................................................................................43 Table 17: Hawai`i Health System Corporation (HHSC)...........................................................................................................................45 Table 18: Executive Office of Aging............................................................................................................................................................48 Table 19: Office of Youth Services ..............................................................................................................................................................51 Table 20: Hawai`i Public Housing Authority .............................................................................................................................................55 Table 21: Department of Industrial Relations Appeals Board ..............................................................................................................62 Table 22: Hawai`i Civil Rights Commission ...............................................................................................................................................64 Table 23: Office of Languate Access .........................................................................................................................................................66 Table 24: Crime Victim Compentation Commission ................................................................................................................................70 Table 25: Hawai`i Patrolling Authority .......................................................................................................................................................72 Table 26: Oahu Metropolitan Planning Organization..............................................................................................................................74

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D. ENTERPRISE ARCHITECTURE ATTACHED AGENCIES, BOARDS, AND COMMISSIONS
5 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix D

D. ENTERPRISE ARCHITECTURE TTACHED AGENCIES, BOARDS, AND COMMISSIONS
This section provides additional detail regarding Attached Agencies and Boards and Commissions. On June 21, 2012 a call went out to 116 Attached Agencies to ensure appropriate representation in Hawaii’s Strategic Plan and the Enterprise Architecture. Information regarding the 162 Boards and Commissions was captured during meetings with the Departments. However this appendix will serve as a place holder for additional input from Attached Agencies and Boards and Commission as part of the life cycle management for the Enterprise Architecture. Each attached agency is aligned with a State Agency for a minimum of administrative support. In some cases the attached agency is an integral part of the State Agency’s budget and planning process such as the Employee Retirement System (ERS) and the Employer-Union Health Benefits Trust Fund (EUTF) alignment with Budget and Finance (B&F). In some cases, an attached agency’s parent agency provides mostly administrative support and the attached agency is functionally aligned and plans with a different agency. For example the Department of Youth Services attached agency is aligned and receives administrative support from the Department of Human Services (DHS) but is functionally aligned with the State’s Line of Business “Justice” as part of the Attorney General’s purview. The Department of Youth Services Attached Table 1: Hawaii State Foundation on Culture and the Arts Agency participates in planning with the Justice Line of Business with regard to upgrades and use of the Juvenille Justice Information System (JJIS).

D.1

ATTACHED AGENCY AREAS

D.1.1 ACCOUNTING AND GENERAL SERVICES AND ASSOCIATED ATTACHED AGENCIES
The Accounting and General Services State Agency has fifteen attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits.

D.1.1.1 HAWAII STATE FOUNDATION ON CULTURE AND THE ARTS
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Hawaii State Fooundation on Culture and the Arts.

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Hawaii State foundation of the Culture and the Arts (SFCA)

Department of Accounting & General Services (DAGS)

To promote, perpetuate, preserve, and encourage culture and the arts, history and the humanities as central to the quality of life of the people of Hawai‘ì.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

• To develop and provide resources, leadership, advocacy and awareness in support of culture and the arts in Hawai‘i. • To increase access to culture and the arts, especially to Neighbor Island and underserved communities. • To focus on encouraging and enhancing Native Hawaiian culture and arts, artists and practitioners • To increase opportunities for arts education and experiences, especially for pre-K-12 grade level students • To develop the Hawai‘i State Art Museum as “the people’s museum” and fulfill its potential in furtherance of HSFCA’s mission and priorities

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), and periodicity of measurement, units, baselines, and actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

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• Develops and administers arts education programs and activities • Develops and administers folk and traditional arts programs and activities. • Develops and administers programs and activities in community arts. • Provides grants in arts and culture statewide. • Administers and develops works of art efforts in the community statewide. • Develops legislation and events and programming to grow and promote the arts and cultural appreciation statewide.

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

The SFCA has proprietary software designed for grants administration and public art programs. It is an access-based program called Pearl. This database is used to interface with a database used for federal reporting at the national level. We conduct grants administration using an online application and reporting process called Culture Grants Online or our name, Ko‘o Hana No‘eau. This platform is provided by the Western States Arts Federation, a regional service agency. We also subscribe to a visual arts platform for juried exhibition calls, which is maintained by the same agency. The SFCA website has been extensively redesigned. A comparatively elaborate site was infiltrated by hackers in 2011, causing downtime for 3 months. A simplified website was reopened in the fall of that year and is still undergoing building and redesign. Substantial help was provided by DAGS Systems and Procedures. We have two servers that maintain a large inventory of visual images and are in the process of digitizing the collection for public access.

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

Due to a severe cutback in funding at both the State and Federal level since FY 2010, we have not been able to purchase much new equipment and have been exercising a “bare bones” philosophy; replacement rather than initiating might summarize our situation. However, we have made most of our equipment accessible to staff regardless of funding source in order to keep our programs and services effective and presentable. Technology does appear in
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7 | State of Hawaii Business and IT/IRM Transformation Plan

our strategic plan as important to our services to and programs in the community. We have a committee that reviews IT matters, including equipment, training, and planning for the future and apprises the executive director on the organization’s technical needs. In view of an impending plans to reorganize and engage in visioning for the future, the SFCA will have greater need for IT services and technology. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. We maintain data on grants and cultural resources, artists, and our Art in Public Places Collection, composed of more than 6,000 works of art. We are digitizing images of the collection and plan to make the collection accessible online in the next year.

Plans for future projects and upgrades for our technology are a high priority and will be discussed as part of a new strategic plan to be developed in FY2013 for an effective date July 1, 2014. We have a mandate to work with the Information Practice regarding technology used and system upgrades.

D.1.1.2 HAWAII CAMPAIGN SPENDING COMMISSION
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Hawaii Campaign Spending Commission. Table 2: Hawaii Campaign Spending Commission

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Hawaii Campaign Spending Commission

Department of Accounting & General Services (DAGS)

The Hawaii Campaign Spending Commission is dedicated to the integrity and transparency of the campaign finance process by enforcing campaign finance laws of disclosure that require the reporting of contributions and expenditures as well as administering the public financing program.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

• Goal #1: To simplify and clarify campaign spending laws in order to improve implementation and compliance. Objective: a) Recodification of campaign finance laws. • Goal #2: To increase public education, awareness, and access. Objectives: a) Develop a simple, multi-year education plan to create broad-based public knowledge of campaign finance; b) Hold public seminars; c) Improve web-based information; d) Develop capacity for regular public information releases during electoral season on contributions and expenditures; e) Establish procedures between campaign finance, elections, and ethics offices to coordinate efforts; & f) Establish procedures between campaign spending office and the procurement office to coordinate efforts. • Goal #3 : Increase the technological capacity to improve access, reduce paperwork, and increase compliance. Objectives: a) Develop front-end system so all committees can file reports online, access information online, and receive assistance online; b) Develop user diagnostics to serve as an early warning system for committees on potential violations; c) Increase the Commission’s analyses capabilities; & d) Keep the system current and updated. • Goal #4: Upgrade the training for and ability of the committees to comply with campaign spending laws. Objectives: a) Develop a comprehensive curriculum with training modules on most asked, most problematic, and new campaign finance provisions; b) Establish a goal for minimum competency of committees through testing and/or training; c) Create new methods for training and disseminating information, including virtual training; & d) Hold public discussions to highlight important issues. • Goal #5: Encourage compliance.

Objectives:

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a) Develop system for automatic online, email, and postal notifications; b) Develop escalating penalties for repeat and gross violations; c) Simply and expedite disposition of offenses; & d) Automate tracking and follow up communications. • Goal #6: Increase and stabilize the Commission’s institutional capacity to carry out its mission. Objectives: a) Develop proposals to stabilize funding including a general appropriation to the trust fund at 4 to 6 year intervals; b) Articulate the philosophy of fines as fines rather than as a dependable or primary funding source for Commission operations; c) Plan for potential staff transitions; d) Continue Commissioner development; e) Document procedures; f) Evaluate space needs for possible staff expansion due to potential for increased statutory responsibilities; & g) Develop contingency plans for public funding scenarios. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. 1. Work product aligned with strategic plan; 2. Obtain 85% compliance with committees and corporations filing financial disclosure reports in a timely manner; 3. To review all statutorily required reports filed by committees & corporations; 4. To provide education, training, and assistance to committees, corporations, & general public including Hawaii residents regarding the requirements of campaign finance laws and rules; 5. Number of enforcement actions taken to achieve compliance with campaign finance laws; 6. To increase transparency of campaign finance information & encourage public interest in campaign finance information; 7. To administer the public financing programs by providing funding to qualified candidates; & 8. To propose legislation to clarify & strengthen the transparency objectives of the Commission. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. 1. Oversee, administer, and regulate campaign finance laws & rules; 2. Review and audit all statutorily required reports filed by approximately 600 committees or corporations; 3. Monitor all reports filed & inform committees or corporations of defective or deficient reports; 4. Conduct investigations of alleged violations of campaign finance laws; 5. File complaints for violations of campaign finance laws;

State of Hawaii Business and IT/IRM Transformation Plan

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6. File &/or defend court litigation; 7. Negotiate &/or prepare settlement agreements for campaign spending violations; 8. Conduct administrative hearings including contested case hearings; 9. Issue advisory opinions; 10. Prepare and propose legislation to clarify campaign finance law; 11. Provide education, training, & assistance to all committees or corporations (i.e., presentations, guidebooks, manuals, newsletters, phone calls, etc.); 12. Conduct outreach efforts to communicate with stakeholders and interested parties regarding campaign finance information (i.e., website, Facebook, twitter, automated email program, newsletter); 13. Administer and monitor two (2) public financing programs for qualified candidates (i.e., partial public funding & Hawaii County Council Comprehensive Public Funding); 14. Administrate and monitor website, three (3) web-based electronic filing systems (i.e., candidate committee, noncandidate committee, & corporations), & social media applications as well as program, install, maintain, troubleshoot, & provide technical support for the Commission’s IT system; 15. Adopt rules; 16. Respond to OIP (open records) requests; 17. Prepare matters including public meeting agendas/materials for Commissioners; 18. Employ or contract with persons necessary to conduct Commission operations/business (including hiring staff); and 19. General business (i.e., attend to fiscal matters, prepare budget & annual reports, strategic planning, procurement matters, inventory, purchase office supplies/equipment, media relations, etc.) Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. The Commission operates an in-house server (Dell PowerEdge T110 II) for file sharing, backup services, and centralized virus protection for network clients. We currently have one (1) in-house server with seven (7) clients connected to that server (5 staff and 2 public computers). The Commission uses social media sites Facebook and Twitter for disseminating campaign spending information to the public. The Commission also uses bitly (bitly.com) for URL shortening, miMedia (mimedia.com) for cloud storage services to distribute meeting materials to Commission members, SurveyMonkey (surveymonkey.com) for the Commission’s on-line survey, and Google Docs (docs.google.com) for on-line forms used to obtain RSVPs from training class attendees. All of these services with the exception of SurveyMonkey are free of charge. SurveyMonkey charges a nominal fee for the use of its service. With the help of OIMT and ICSD, the Commission plans to use Socrata (data.hawaii.gov) for its online searchable database of candidate and noncandidate committee campaign spending data. ICSD is assisting the Commission with creating a flat file from the backend database that captures the candidate and noncandidate committee filings containing campaign contributions and expenditures. From there, we plan to work with OIMT and others to create an API to automatically pull that flat file up to data.hawaii.gov for public viewing. The ultimate goal after this is done is to “dress the data up” by using the Socrata features to create visualizations of the data. The data is only as good as the “story” which will be told by the visualizations.

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

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The Commission developed an App using conduit.com which is a free service and plans to incorporate the online searchable database before launching it for public use. The Commission also setup an account with remind101.com which is a free service that allows the Commission to send free text message report reminders to our filers. The service was developed for text communication between teachers and students so the Commission needs to fine tune this feature to make it more applicable to what the Commission does. The Commission would also like to automate some of its standardized tweets on Twitter to eliminate the human intervention aspect and build efficiencies with the use of that social medium. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. ICSD developed three (3) electronic filing systems for the Commission in the last five years (i.e., Candidate Filing System, Noncandidate Committee Filing System, & Corporate Reporting System). These three systems are our frontend systems that are used to capture data from our filers which populates our DB2 backend database that resides on one (1) of our two (2) IBM Virtual Blade Servers situated in the basement of the Kalanimoku Building. Only the Commission uses the data but the data is very popular with the various media outlets in the State and the general public. We are also aware that Jared Kuroiwa (brchawaii.com) and Ed Bender (followthemoney.org) are scraping data from our online campaign spending reports and using the data for their own online searchable databases at the websites cited. The Commission’s immediate project is the Socrata project as described above. Also, our staff and public computers are over five to seven years old but are working fine but slow. There will come a time in the future when the Commission will have to invest in the purchase of new computers. Until then, we will continue to use what we have. The other project of the Commission will be to redevelop our office website. The current website design using the Plone open-source format is about three years old and it can be redesigned to be more user-friendly to our website visitors. The Commission is currently using Plone version 3.2.2. The website redesign will be done in-house and there will be no cost associated with that effort.

Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

D.1.1.3 OFFICE OF ELECTIONS
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for Office of Elections. Table 3: Office of Elections

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish.

Office of Elections

Department of Accounting and General Services

To provide secure, accessible, and convenient election services to all citizens statewide.

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Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

To maximize voter participation in the electoral process by developing policies and procedures that encourages registration and turnout.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

A. Customer Satisfaction Measure B. The number of complaints and challenges we receive, on or following, each election. This data is important to determine how effectively voters have been informed of their rights and responsibilities and how effectively we have served their communities. C. Program Standard Measure D. The number of people who continue to register to vote and cast their vote on election day. E. Cost Effectiveness Measure No effective measurement of benefit is available except for feedback from voters and expenditures not exceeding budget amount.

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

1. Direct and coordinate the statewide election systems and assists the counties with county elections: • Provide election services statewide. • Prepare, procure and control inventory of election ballots for state and concurrently conducted county elections statewide. • Provide secure, accessible and convenient voting services to all eligible voters statewide. • Process, tabulate and distribute election results statewide. • Provide computer support services (hardware and software applications) for elections (state and county). • Provide logistical and warehousing support for elections (state and county). 2. Provide voter registration services to qualified citizens. • Maximize voter registration statewide. • Equalize voter registration between districts statewide. 3. Responsible for public education with respect to voter registration and information. • Maintain data relating to registered voters, elections, apportionment and districting. • Provide necessary technical services and support to the Reapportionment Commission. • Provide staff support to the Elections Commission.

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• Provide staff support to the Board of Registration. • Conduct elections in compliance with all federal and state laws.

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

• Phoenix Election Information Management System • AskEd Election Day Control Center Application • Geographic Information System Applications • Polling Place Locator • Legislative Reapportionment Plan • Statewide Election Maps • Geographic Information System Server • SQL Server • Election Day Results server • Election Day Recruitment server • State of Hawaii Web server • SFTP service for voter registration information and candidate information • WebEx Remote Desktop service

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

Would like to replace large format plotters

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

• Voter Registration Data Shared with counties • US Census data – Office of State Planning • Legislative Boundaries - Shape files - Office of State Planning • Election Day Worker Recruitment Information • Candidate Filing information

Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

Statewide Voter Registration System Conversion

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D.1.1.4 ENHANCED 911 BOARD
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for Enhanced 9-1-1 Board.

Table 4: Enhanced 9-1-1 Board

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

Table 4: Enhanced 9-1-1 Board

Department of Accounting & General Services (DAGS)

The mission of the State of Hawaii Enhanced 9-1-1 Board to provide oversight of the established special fund outside the state treasury and to ensure that 9-1-1 surcharge revenue is administered and disbursed to the Public Safety Answering Points in accordance with State statutes in order to sustain enhanced 9-1-1 service for the public’s benefit today and funding future enhanced 9-1-1 technologies.

The State of Hawaii vision is to provide enhanced 9-1-1 access for the public from any device, anywhere, at all times when help is needed.

Prepare for next generation and future technologies Enhanced 9-1-1 capabilities in the IP world.

Metrics Name # of Wireless/VoIP/ Wireline 9-1-1 calls to all county PSAPs Percent of E9-1-1 Funds Disbursed for New Technology for PSAPs

Data Source County PSAP databases

Periodicty of Measurement Monthly

Actuals of FY 2012 TBD after accounting close of FY2012

Targets for FY 2013 TBD after close of FY2012

E9-1-1 Committee and Board Meetings and financial reports E9-1-1 Financial Reports

Monthly

TBD after accounting close of FY2012

TBD after close of FY2012

# of E9-1-1 educational outreach programs during the fiscal year

Monthly

None

1 (one)

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Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

The Enhanced 9-1-1 Board is the overall policy board administering the Enhanced 9-1-1 fund. There are three committees supporting the board: Communications; Technical; and Finance. Each committee is comprised of individuals from both industry and government 9-1-1 community. The committees review and consider legislative actions, acquisition technology requests ensuring consistency within the law and funding determination on acquisitions. The committee recommendations undergo final approval and action by the Board. The technology the board utilizes is the web site that is hosted by a contractor with links to DAGS. This is a subcontractor through the State of Hawaii contract for Executive Director services with TKC Consulting Group. The web site is: www.hawaiienhanced911.hawaii.gov.

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

Upgrades are necessary to support Enhanced 9-1-1 for next generation IP networks. Currently the 9-1-1 network is being provided by Hawaiian Telcom. The network infrastructure is an analog network built many years ago for a wired environment. The world is mobile today and IP. The board will be addressing this issue in order to ensure that access to 9-1-1 is available for the public with future 9-1-1 technologies. Financial reports are monthly as prepared for the board. The fund is audited annually in accordance with GAAP. These financial reports are posted on the web site for access by the public. Additionally, reports are generated and posted on the web site for each county Public Safety Answering Point (PSAP). Each county uses the PSAP information as a management tool.

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D.1.1.5 STATE BUILDING CODE COUNCIL
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the State Building Code Council.

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Table 5: State Building Code Council

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

State Building Code Council (the Council)

Department of Accounting & General Services (DAGS)

Adopt state building codes based on nationally recognized model building codes which the counties are required to adopt within two years of state adoption. The objective to provide the citizens with current and uniform building codes in all counties.

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Adopt model building codes within 18 months of publication.

Review, amend, and adopt model building codes.

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Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

The Council has a website maintained by the Systems and Procedures of Office of the Department of Accounting and General Services

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D.1.1.6 ACCESS HAWAII COMMITTEE
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Access Hawaii Committee.

Table 6: Access Hawai`i Committee

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To

Access Hawai`i Committee

Department of Accounting & General Services (DAGS)

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Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

As defined in Act 172, SLH 2007, the Committee provides oversight of the portal manager, the entity engaged to manage and operate the internet portal on behalf of the State.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

• Duties of the committee include: • Review of the annual strategic plan and periodic reports on potential new applications and services submitted by the portal manager; • Review and approval of all charges to portal users; • Review and approval of service level agreements negotiated by government agencies with the portal manager; • Review of the annual financial reports and audit of the portal manager; • Review of annual customer satisfaction surveys conducted by the portal manager; and • Review of performance measures of the portal submitted as part of the service management plan for portal-wide indicators and application specific indicators.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

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See Strategic Goals and Objectives

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Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

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Meeting minutes located at: http://ahc.ehawaii.gov/openedit/meetings.html

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D.1.1.7 STADIUM AUTHORITY
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Stadium Authority.

Table 7: Stadium Authority

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Stadium Authority

Department of Accounting & General Services (DAGS)

Aloha Stadium is the State of Hawaii’s largest outdoor arena. Our mission is to meet the challenge of providing a first class arena where the dreams of our young people can be realized through participation in sporting and other special events, where the spirit of achievement can be nourished by the thrill of healthy competition, where families can gather to share their cultural diversity with pride and a feeling of Aloha”

To evolve into an unrestricted multi-functional facility that can be fully utilized by a wide range of people and groups to address their needs while realizing sufficient revenues to sustain and continue to improve the operation and maintenance of the facility.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

GOALS: 1. To maximize revenue generating opportunities to address costs associated with the operation, maintenance, and continuous improvements to the facility 2. To maximize green initiatives. OBJECTIVES: 1. Develop and successfully market creative ways to fully utilize all parts of the stadium for events. 2. Work with existing clients to reduce client costs and increase the guest’s experience.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

Stadium management utilizes internal management/financial revenue, cost analysis, and utilization reports to evaluate performance, revenue and utilization maximization, and solvency.

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

The Program hosts more than 300 annual events including 150 swap meets, 10 major spectator events, various high school and grade school events, fairs and carnivals, concerts and shows, while hosting over 2 million visitors each year. Prior to and during events, the Program provides licensees and spectators with full function ticketing services, telecommunications hookups, field preparation, parking and traffic control, event crowd control, security services, emergency medical services, and custodial and porter services.

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

• Box Office:
– Paciolan computerized ticketing system, – TicketMaster computerized ticketing system, – Access management – scanning system with server.

• iphone app to highlight both the Stadium’s events, specials, live information on traffic, stadium status, as well as Swap Meet - vendor locations, specials, etc. • Other currently used programs include Internet-driven programs such as Facebook, Twitter, Linkedin, Pinterest, and Google maps. • Aloha Stadium website for event information, downloadable forms such as event application, employment applications.

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

• Fully integrated employment process from application, to hiring, to scheduling of hours, to payment for services/hours worked. Including time keeping system integrated with the State’s payroll system. • Wireless connection for public access. • Door card keys to access doors and gates in lieu of a key system. • Electronic message boards to stadium perimeter and parking entrances. • Distributed Antenna System (DAS) to capitalize on potential revenue opportunities. • Gravitation to a predominately paperless system of operations.

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• Expanding the use of the Aloha Stadium website to embrace the latest technology in the market that would increase exposure and increase revenues. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. Many different financial reports are compiled and prepared on a regular basis for financial requirements, management analysis, legislative requests, and the Executive Branch, and Stadium Board needs.

Many different financial reports are compiled and prepared on a regular basis to address many different needs. Reports are prepared to meet financial requirements, to inform and update management, to address legislative requests, and to track trends. A comprehensive data collection and reporting system that would capture cost, revenues, and other data and prepare reports to meet user/program needs is a project that would be strongly considered by management. A comprehensive system would have significant and widespread positive impact on the operations and allow the Stadium’s operation to capitalize on the latest technology to make its operation a much smoother one. (Cost is unknown/no definitive timeline has been established/funding source unknown at this time. Further guidance is needed from ICSD to understand the resources in the industry that are available to address this project) A project to upgrade the existing internet wiring throughout the stadium is another endeavor that has been postponed due to funding requirements. (No CIP funding/no timeline)

D.1.2

BUDGET AND FINANCE

The Budget and Finance State Agency has eleven (11) attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits.

D.1.2.1 EMPLOYEE RETIREMENT SYSTEM (ERS)
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Employee Retirement System (ERS).

Table 8: Employee Retirement System (ERS)

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish.

Employees’ Retirement System

Department of Budget and Finance

Working together to provide a responsive, competent, and cost effective retirement program that elicits pride, confidence & trust.

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Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Be the best organization in meeting the retirement needs of our members.

1. Improve the ERS funded ratio with the long-term goal of achieving a 100% funded ratio. 2. Provide excellent service to members, retirees, beneficiaries, and employers. 3. Streamline operational procedures and improve efficiencies. 4. Earn superior investment performance using appropriate risk controls to achieve the approved investment return rate assumption. 5. Identify, develop and evaluate timely and useful member, retiree, beneficiary, employer, and other stakeholder communications programs. 6. Provide a nurturing and rewarding work environment for our team members.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

• Customer service focuses on meeting the following standards: • Process payments: • Initial pension – within 1 month of retirement date. • Finals – within 6 months of retirement date. • Refunds – within 3 weeks of application date. • Disability – within 1 month following board approval. • Death – within 1 month following receipt of all documents. • Reissued checks – within 1 week of receipt of authorizing document. • Vendor – within 1 week of receipt of approved invoice. • Counseling: • Estimates – within 1 month of request. • Phone calls – next business day. • Retirement – within 1 week of request for appointment. • Correspondence: • Written – next business day for acknowledgement; within 2 weeks for response. • Email – next business day for acknowledgement; within 2 weeks for response. • Forms or packet request – mail out by next business day. • Income verification – within 2 business days. • Income tax withholding – within 2 pay periods. • Purchase of service (determine cost) – within 2 weeks of receipt of request. • File/folder request: • Estimate – within 2 business days.

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• Filing session – within 2 business days. • Lawsuit – next business day. • Other: • Enrollment – within 1 month of 1st salary and hire form. • Copying – next business day. • Typing – next business day. • Imaging – within 1 week after receipt of document. • Contracts – within 1 month of award. • Help desk – next business day. • Reissue 1099R – next business day. • Office mail – next business day. • Other inter-branch request – within 2 business days. • Other decisions – within 2 business days. • Accounting: • Receipts – record within next business day. • Investments – record within 1 month. • Bank reconciliation – by next month. • Participant accounts (contributions) – by next month. • Participant accounts (interest) – by next month. • Participant accounts (reconciliation) – within 2 months after month end.

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

The Employees’ Retirement System (ERS) of the State of Hawaii was established in 1926 to provide retirement allowances and other benefits to State and county government employees. The Board of Trustees is the governing body of the ERS, with certain areas of administrative control vested in the State Department of Budget and Finance. The ERS administers benefits for service retirement, disability, and survivor benefits for employees of the State of Hawaii, the City and County of Honolulu, County of Hawaii, County of Maui and County of Kauai which includes teachers, professors, police officers, firefighters, judiciary employees, judges, and elected officials. The ERS collects retirement contributions from members; provides pre-retirement counseling services; conducts disability hearings and appeals; reviews claims for retirement, disability, and death benefits and certifies these benefits for payments; processes monthly pension checks to retirees and beneficiaries; accounts for and safeguards assets in the ERS investment portfolio; and invests funds to help finance this program. The ERS administers benefits for service retirement, disability, and survivor benefits for employees of the State of Hawaii, the City and County of Honolulu, County of Hawaii, County of Maui and County of Kauai which includes teachers, professors, police officers, firefighters, judiciary employees, judges, and elected officials. The ERS collects retirement contributions from members; provides pre-retirement counseling services; conducts disability hearings and appeals; reviews claims for retirement, disability, and death benefits and certifies these benefits for payments; processes monthly pension checks to retirees and beneficiaries;

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accounts for and safeguards assets in the ERS investment portfolio; and invests funds to help finance this program. The ERS is a qualified defined benefit public pension plan covered under Section 401(a) of the Internal Revenue Code. The Hawaii Revised Statutes Chapter 88 and Hawaii Administrative Rules Title 6, Chapters 20 – 29 contain the language governing the pension trust. The ERS covers all eligible full-time and part-time State and county employees in the State of Hawaii. Funding for benefit payments comes from employer and member contributions, and investments. The ERS membership is comprised of the following: ERS Membership as of June 30, 2011: • Total Members: 111,648 • Active Members: 65,310 • Retirees and Beneficiaries: 39,689 • Inactive Members: 6,649

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

ERS currently uses Vitech System Inc.’s V3 Pension System version 8.7 which includes document imaging and workflow. Our Accounting System is Oracle Financials version 11.5 and ERS plans to upgrade to version 12.1 within the next year. Our servers are running Microsoft Windows server 2010; and our desktops are currently running on Microsoft Windows 7 from Windows XP. The ERS maintains its own data center and handles all aspects of Information Technology support.

ERS Information Systems Branch will looking to do the following upgrades: 1. Oracle Financials Upgrade from version 11.5.10 to version 12.1.3 2. Oracle Financial Database from 9I to 11G. 3. V3 upgrade from version 8.7 to version 10 4. Upgrade to a standard reporting tool used for both V3 & Oracle Financials. 5. Upgrade our existing Altiris Helpdesk, Asset Management, patch management and mass deployment system to a supported comparable & more user friendly system. 6. Upgrade our existing imaging & workflow system to be more user friendly. 7. ERS desires to implement a data warehouse for storing data to be used for online selfservice and for exchanging data between other agencies.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

• Payroll & Personnel information collected from various employers such as other departments, City & Counties and other agencies used to determine a member’s eligibility and benefits. • Death Date collected from newspapers and other service providers used to cease payment to a member or to initiate benefit payments to designate beneficiary • Actuarial reporting • Abandoned property

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• DAGS W-2 • ACH/bank reconciliation • Union Deductions from various Unions • Investment Data Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. Act 153, effective June 30, 2012, requires the last employer to pay the additional costs resulting from sudden increases in non-base pay during a retiree’s final years of employment. For retirees after June 30, 2012, the ERS will assess the employers, on a fiscal year basis, additional contributions based on the actuarial present value of the “excess maximum retirement allowance” payable over the former employee’s actuarial life expectancy. The ERS expects that the implementation of this law will require significant modifications to its pension management information computer system. Changes will have to be made to the benefit computation module in order to determine and compute the ratio of “non-base” to “base pay” of the retiree’s average final compensation and the member’s last 10 years of “non-base” to “base pay.” For those retirees meeting the criteria, the computation of the “excess maximum retirement allowance” must be determined and the appropriate actuarial assessment applied. In addition, the ERS must assess the employers (plus interest) on a fiscal year basis and must account for these additional employer contributions. The ERS’ computer system may cost between “Pending Review” to “Pending Review” for the implementation of Act 153. In addition to the above, the ERS is reviewing the feasibility of implementing the Adobe LiveCycle Enterprise Suite, an application which would encourage member and employer self-service by the interactive utilization of PDF forms. In addition, the ERS would have ability to integrate this application with ERS workflow, imaging and electronic input of data in our system.

D.1.2.1 HAWAII EMPLOYER-UNION HEALTH BENEFITS TRUST FUND (EUTF)
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Employer-Union Health Benefits Trust Fund (EUTF).

Table 9: Employer-Union Health Benefits Trust Fund (EUTF)

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish.

Hawaii Employer Union Health Benefits Trust Fund (EUTF)

Budget & Finance

To provide health and other benefit plans to the public employees of Hawaii at a cost that is affordable to both employers and employees.

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Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

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• To provide quality service levels to our customers
– Process routine enrollment forms correctly and efficiently – Respond to inquiries in a timely manner – Process refunds and clear shortage accounts efficiently and timely – Educate employees and retirees regarding their health benefits by conducting informal

sessions - Provide stable system support • To comply with Federal and State legal requirements
– Process COBRA forms timely – Ensure that all retirees and spouses enrolled in the EUTF retiree plans enroll in Medicare

Part B within the Medicare special enrollment window
– No more than three minor incidents and no major HIPAA violations per year

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

• 95% of documents images by the first working day after receipt • Average of 14 days to process enrollment transactions (EC1 & EC2) • Process 100% of all enrollment forms within one month • Less than 5% abandoned calls • 95% voice messages responded to within one working day • Refunds process within 60 days • Clear shortages conditions within 60 days • Hardware/software downtime: no more than 2% per year (98% up time) • Response time to resolve down time: average of no more than 12 hours per incident • No HIPAA violations in Security of electronic health data • Send COBRA election forms within 14 days after receipt of notice (required by law) • Send COBRA general notices within 90 days after enrollment in EUTF plan (required by law)

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

• Administer medical, Rx, dental, vision and life employee benefit plans for all public employees in Hawaii • Develop health plans and administrative rules that meet the needs of employers and employees and that are in full compliance with federal and state law. • Provide enrollment and premium collection and transmission and customer service support for all plans and maintain the system that does the processing

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• Maintain the financial records of the EUTF. IT • Maintain the Vitech V3 Benefits Administration System and coordinate programming by Vitech to keep the program in compliance with State and Federal law. Provide day to day system maintenance to keep enrollment and premium data flowing, to respond to periodic data requests and to update system in accordance with premium contribution (employer/ employee) changes. Financial • Collect premium from all employers and some individuals and pay premium to carriers • Maintain the financial records of the EUTF and provide an annual audited financial report • Work with DAGS and banks and investment advisers to handle banking transactions, invest the OPEB funds and pay the bills of the EUTF. • Calculate employee contributions and transmit data to DAGS via payroll file. • Pursue individuals for unpaid premium • Answer employee questions regarding payroll deductions, rates and premiums. • Coordinate the biannual actuarial evaluation of the Other Post Employment Benefit (OPEB) liability for retiree health benefits. Customer Service & Enrollment • Receive enrollment data from employers (paper forms), input into system and transmit enrollment files weekly to carriers. • Provide customer service call center for 100,000 employees and retirees for calls concerning enrollment and plans i.e. enrollment changes, carrier changes, changing from active to retired, rate questions, questions re plan design etc. • Provide in person consulting services for walk in questions – usually retirees or pre-retiree consulting. • Provide benefits presentations for new hire and pre retirement seminars and open enrollment meetings for active employees in the Spring and retirees in the Fall along with periodic meetings for union groups. • Develop communication material for employees and retirees such as the annual enrollment guide, the website and periodic email distributed through the department personnel officers. Vendor and Plan Management • Monitor changes in employee benefit plans and benefit law and work with carriers to keep plans compliant, update communication materials and Administrative rules accordingly. • Develop RFPs periodically to purchase insurance and insurance services; evaluate proposals and award contracts working within state procurement code. • Implement carrier changes when necessary • Work with carriers to set annual rates and to resolve benefit/claim issues. • Develop and review contracts with carriers. • Develop legislative proposals to respond to benefit plan needs or respond to questions from the legislature regarding benefits issues.
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Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

• Benefits Administration System – Line of Business (processing eligibility for health plans and life insurance; collection of premiums from Employers and Employees, payment to Carriers/Administrators) • Automated Call Distribution System (ACD) – call routing, voice messaging system and call monitoring/reporting • EUTF web site – Informational purposes • Hosted FTP Services – State’s contractor

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

• Secured Network and Network Bandwidth Capacity; Data at rest encryption/security • Shared Services such as but not limited to the following: 1. Enterprise-wide secure e-mail/secure FTP solution 2. Secure Web conferencing solution - On-line meeting and voice conferencing solution 3. Procurement to achieve economy of scale (software) e.g. licensing for most commonly used software across State departments/agencies 4. Procurement to achieve economy of scale (hardware) e. g. Desktop/Laptop/ Mobile devices, Option to lease, trade-in periods to address obsolescence, inventory management 5. Virtual server/storage - Allocated storage on State-hosted servers 6.Windows support - administration of upgrades, updates, security patches 7. Anti-Virus and Anti-Malware support 8. Plan and Incident Response to Network Intrusion or Virus incidents 9. IT audits and IT Risk Assessment/IT Risk Analysis/IT Risk Management 10. Disaster Recovery and Business Continuity Plan and Solutions • Additionally we would like the capability to send bulk emails to specific groups i.e. actives, retirees, Medicare eligible etc. EUTF information is very time sensitive and we have no direct communication capabilities with members. When issues arise we are inundated with calls on the same topic and must handle each one individually.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

• Type of data – demographics, eligibility, premium contributions, reimbursements, financial, banking • Data used by – Employee-beneficiaries, Board of Trustees, Employers, Carriers/ Administrators, Financial institution, Consultants • Note: Individually identifiable data is considered protected health information (PHI) per HIPAA and must be protected accordingly.

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Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

• Implementing first major upgrade of the V3 system. • IT Risk Analysis and Risk Assessment • Benefits Administration System – Employer Self-Service and Employee Self-Service (on-line processing of demographic and enrollment into health plans and life insurance) This will provide online access to employers for new hire data input to get employees into the system faster. Also, online access to employees to allow new hires to select their coverages online thereby reducing input errors and paper backlogs. Existing employees will be able to input change requests due to changes in family circumstances or during open enrollment. Both were part of the original purchase price of the system in 2009, however, due to plan changes over the years some redesign programming will be required at additional cost. • Automated Call Distribution System (ACD) – call routing, voice messaging system and call monitoring/reporting

D.1.3 DEPARTMENT OF BUSINESS, ECONOMIC DEVELOPMENT AND TOURISM (DBEDT)
The Department of Business, Economic Development and Tourism (DEBDT) State Agency has eleven (11) attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits.

D.1.3.1 HAWAII TOURISM AUTHORITY
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Hawaii Tourism Authority.

Table 10: Hawai`i Tourism Authority

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish.

Hawai`i Tourism Authority

Department of Business, Economic Development and Tourism (DBEDT)

The Hawaii Tourism Authority was created in 1998 to ensure a successful visitor industry and tourism economy. As the state’s tourism authority, its mission is to strategically manage tourism to optimize benefits for Hawaii, integrating the interests of visitors, the community and visitor industry. Through the implementation of the Hawaii tourism strategic plan and HTA plan, the authority works to direct Hawaii tourism in a sustainable manner consistent with the state’s economic goals, cultural values, preservation of natural resources, community desires, and visitor industry needs. See HTA 2011 Annual Report to the Hawai’i State Legislature http://www.hawaiitourismauthority.org/

Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

The HTA vision includes optimizing benefits for Hawai’i that integrate the interests of visitors, the community and the visitor industry. See HTA 2011 Annual Report to the Hawai’i State Legislature http://www.hawaiitourismauthority.org/

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Strategic Goals and Objectives include the following: • Honor Hawai’i’s people and heritage • Value and perpetuate Hawai’i’s natural and cultural resources • Engender mutual respect among all stakeholders • Support a vital and sustainable economy • Provide a unique, memorable and enriching visitor experience See HTA 2011 Annual Report to the Hawai’i State Legislature http://www.hawaiitourismauthority.org/

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

HHTA performance metrics are as follows: 2013 • Visitors – 7.89 Million • Per Person Per Day (PPPD) Expenditures -Pending Review • Economic Impact from Direct Visitor Spending - Pending Review • 2014 • Visitors – 8.2 Million • Per person Per Day (PPPD) Expenditures - Pending Review • Economic Impact from Direct Visitor Spending - Pending Review See the HTA Strategic Plan: 2013-2014

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

The following are business functions and services that supports goals and objectives of HTA: • Maintain and improve transportation access, infrastructure and services to facilitate travel to, from and within Hawai’i • Honor and perpetuate the Hawaiian culture and community • Respect, enhance and perpetuate Hawai’i’s natural resources to ensure a high level of satisfaction for residents and visitors • Provide a safe Hawai’i visitor experience • Provide a diverse and quality experience that supports events that celebrate Hawai’i’s unique culture and community for visitors and residents • Ensure a sufficient and highly qualified workforce that is provided with meaningful careers and advancement opportunities • Develop marketing programs that contribute to sustainable economic growth See HTA 2011 Annual Report to the Hawai’i State Legislature http://www.hawaiitourismauthority.org/

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Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

The current technology state utilizes WEB sites for communications and marketing. Budgeting and life cycle tracking primarily includes spreadsheets. Examples of WEB sites: • Main HTA WEB site: http://www.hawaiitourismauthority.org • Consumer WEB site for visitors to Hawai’i: http://www.gohawaii.com/ • HTA/DBEDT Data Warehouse and Data Visualization Project: http://www.hawaiieconomicdata.com/HTA/DBEDT • MAS Accounting Software – Server Based

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

The technology futures state is to ensure proper representation of the HTA via robust WEB site delivery. In addition, migration from a spreadsheet based environment to enhanced financial, budgeting, and contract management software is desirable. An online data warehouse portal will be implemented for enhanced research capabilities. Additional future technology efforts may also include direct hosting and managing of HTA’s consumer website (gohawaii.com) HTA is the primary data collector for the State of Hawai’i visitor data. This service is accomplished through survey research at the airport and aboard domestic flights. HTA also conducts a post-trip mail survey and a b2b survey with hotels and other lodging projects. Data is published monthly and in annual reports. Reports are posted on the HTA website. HTA also gathers market intelligence and contracts for online additional research. The results are used for internal planning purposes and are not distributed due the competitive nature of the marketing data. The following projects are being pursued: • Updating HTA/DBEDT online data warehouse/portal to include a full range of tourism data and new features. This project is funded by HTA and the contractor is Prognoz from Washington D.C. • A contract management, budgeting and financial reporting system will be procured and implemented. IntraPriseTechKnowlogies LLC will serve as the consultant to HTA for procurement and implementation. This project is also funded by HTA and will replace spreadsheets currently used for budgeting, and contract management tasks.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

D.1.3.2 COMMUNITY DEVELOPMENT AUTHORITY
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Community Development Authority.

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Table 11: Community Development Authority

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish.

Hawai`i Community Development Authority

DBEDT

The Hawaii State Legislature has designated three Community Development Districts, at Kaka’ako, Kalaeloa and He’eia. The HCDA’s mission in Kaka’ako and Kalaeloa is to ensure that these development districts are invigorated and established as dynamic urban neighborhoods, where people can live, work, play and learn. The HCDA’s mission in the He’eia Community Development District is to restore a neglected wetland and reproduce the fertile and productive agriculture that had historically defined the area. The HCDA’s overall mission is to create Community.

Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

In order to effectively build the communities that the HCDA is charged with, it will be critical that the agency engages with landowners, tenants, stakeholders, community groups and the community at large. Effective community outreach will require that all media and venues are included in the HCDA’s information and education programs. The HCDA’s outreach programs should include: an efficient and informative website; social media program; video and print communications; and public information strategies. This vision can only be realized if the HCDA possess comprehensive digital, video, print and personal communications capacity. To revitalize urban areas in the State which are in need of timely redevelopment through the creation of mixed use districts for residential, commercial and light industrial development that help to address the economic and social needs of the people of the State of Hawaii by encouraging the desired private investment through: 1. The planning and implementation of infrastructure improvements; 2. The development of public facilities; and 3. The establishment of planning guidelines and parameters that encourage mixed use development.

Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

Measure New Priv Dev In Kakaako Com Dev Dist ($M) New Bldg Floorspace In Kakaako (1000 Sf) # of New Housing Units in Kakaako # Of New Actively-Used Parcels In Kakaeloa CDD # Of New Actively-Used Parcels In Kakaeloa CDD # Of New Priv Dev In Kalaeloa # of Residents in Kakaaka # of Employees in Kakaako # of Business in Kakaako

FY11 Pending Review 61.5 34 0 55 46 35 10 2

FY12 Pending Review 571.2 489 0 55 77.75 535 120 6

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Measure # of Landusers in Kakaeloa # of Residents in Kalaeloa & surrounding areas Development permits issued in Kakaako # infrastructure improv projs begun in Kakaako New public improvements in kakaako ($M) # Parcels in Kalaeloa covered by Econ Dev Plan New planning in Kalaeloa (M) # Parcles, infrastructure sys conveyed in Kalaeloa # Projs facilitaed & completed in kalaeloa Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

FY11 15 5100 154 0 Pending Review 83 0 83 5

FY12 15 5200 160 0 Pending Review 83 0 89 5

For legislatively designated Community Development Districts, HCDA is mandated to develop community development plans which include, but are not limited to, community development guidance policies, district-wide infrastructure improvement programs and community development rules. HCDA must implement a Community Development District Plan after the Governor approves it and funding is provided by the Legislature. Major activities during the plan implementation stage include: (a) planning and regulatory functions in the administration of the plan and rules; (b) infrastructure systems improvements under the district-wide improvement program; (c) development and maintenance of public facilities (parks, parking garages, etc.); and (d) development and maintenance of State lands. Servers: 2 HP Proliant ML110 G7s, run MS Window Server 2008R2 Websites: hcdaweb.org Public consultation web-portal: hcda-public-consultation.org hosted by outside consultant Symantec anti-virus software to protect virus attacks; ARC GIS. FAMIS, run by DAGS as default accounting system

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

A different email system other than Lotus Notes that is faster, more user friendly, more intuitive, programmable by laymen with limited training, with interfacing capability; Combination of hardware, software and technology that increases the internet speed by factor of 10 or even bigger (Broad band); Centralized WAN/LAN at department / DAGS with timely assistance so attached agency like us, so we do not need to manage a separate LAN on our own.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

At its ASO section: • Collects information for procurement purposes, including vendor information, vendor list and price list provided by DAGS SPO, vendor quotes on Internal Requisition (IR), contact information of sister agency/division within and without DBEBT for operations purposes; • Creates documents required for or facilitating procurement process, including IR, PO, contracts, Summary Warranty Voucher (SWV), Treasury Deposit Receipt (TDR), Journal

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Voucher (JV), electronic form of processed transaction via Datamart about 6,000 lines on annual basis; • Uses various forms required for procurement, including SPO forms, T205; • Used by others: internal processing documents, for example, IR is within the agency only. Information collected or generated in the procurement process may be required by general public as they are public records. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. One One IT related project in its planning stage is to find and procure content management software license that provides user interfaces to access, share and process information stored in a centralized place. This process will involve digitizing all documents moving forward, and retroactively digitizing existing documents with different size/media which is a challenge for budgeting concerns. Developing a robust GIS for the community development districts.

D.1.3.3 LAND USE COMMISSION
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Land Use Commission. Table 12: Land Use Commission

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Land Use Commission

DBEDT

Chapter 205 HRS (land Use Law) establishes a framework of land use management whereby all State lands are classified into four districts: Urban, Rural Agricultural or Conservation. The legislature created and empowered the Land Use Commission to administer this statewide zoning law. The Commission is responsible for preserving and protecting Hawaii’s lands and encouraging those uses to which the lands are best suited.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

The Commissions primary role is to ensure that areas of State concern are addressed and considered in land use decision making. The Commission establishes the district boundaries for the entire State. The Commission acts on petitions for boundary changes submitted by private landowners, developers and State and county agencies. The Commission also acts on requests for special use permits within the Agricultural and Rural Districts.

Measures of Effectiveness: • Number of Boundary Amendment petitions and special permit applications reviewed within administrative rules time guidelines • Number of accepted Boundary Amendment petitions and special permit applications processed within administrative rules time guidelines • Number of acres reviewed for reclassification • Number of acres reviewed for special permit • Number of individuals, businesses or organizations assisted by providing land use reference resource data • Number of contested program decisions processed • Number of motions processed • Number of draft EIS responses issued Target groups: 1. Number of applicants for land use review (includes applicants for Boundary Amendments, special permits, and Boundary interpretations) 2. Individuals or businesses/organizations interested or involved with land use research

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

The LUC is a quasi-judicial entity processing petitions for: 1. District Boundary Amendments – This is a request by a private landowner or government agency to change the classification of land from its current designation to another of the 4 classifications. 2. Special Use Permits – On land greater the 15 acres the Commission may grant a petitioner the right to undertake an activity not specifically allowed in the agricultural district upon a proper showing and under certain conditions. 3. Important Agricultural Land Designation – A landowner may request that its land be designated “important agricultural lands” if it meets the criteria set forth in Chapter 205. 4. Boundary Determinations – Landowners may request clarification of the location of District boundaries to determine classification of specific sites.

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Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

GIS system – ArcView linked to ICSD GIS system Website – Contains LUC recent document filings. DBEDT server

The LUC should upgrade its systems to provide for electronic filing of pleadings and to place complete past and present case files on the web via a dedicated server. Public access, especially for neighbor Islands is insufficient, limited , slow and archaic.

The Public, Parties to Petitions and other state agencies RELY on LUC data and information in the following areas: • Land Use classification data • Boundary data • GIS mapping systems containing the data • Information and pleadings regarding District Boundary Amendment, Special use permit and Important Agricultural Land Designations.

Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

Currently we are attempting to develop a system to allow Commissioners to access documents via Kindle. The project is being funded out of our existing budget .

D.1.3.4 THE NATIONAL DEFENSE CENTER OF EXCELLENCE FOR RESEARCH IN OCEAN SCIENCES (CEROS)
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Land Use Commission.

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Table 13: National Defense Center of Excellence for Research in Ocean Sciences (CEROS)

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

The National Defense Center of Excellence for Research in Ocean Sciences (CEROS)

DBEDT/NELHA

CEROS’ mission is to support the Department of Defense technology requirements; encourage leading edge R&D in ocean sciences and technology in Hawaii; foster use of ocean R&D facilities in Hawaii; provide an interface between specialized small businesses with expertise in ocean related R&D and DoD users of advanced technology; and develop avenues to ocean science expertise and facilities at the University of Hawaii (UH).

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Goal: Diversify funding resources to maintain future program operations for benefit of Hawaii’s ocean technology sector Objectives: Leverage DARPA statutory authority for funding CEROS; Attract other DoD and other federal and state agency funding opportunities based on related program objectives; Team with similar organizations operating in Hawaii and elsewhere in the nation.

From NELHA Performance Measures and Program Revenue (Report P62), CEROS Metrics: Value of CEROS Funding Value of projects funded by CEROS # of CEROS outreach/interface events # of CEROS outreach/interface participants # of Hawaii organizations in ocean technology # of organizations commercializing ocean technology SFY12: NA SFY12: Pending Review* SFY12: 3 SFY12: 400 SFY12: 600 SFY12: 380 SFY13: NA SFY13: NA SFY13: NA SFY13: NA 600 80

FY12 and FY13: CEROS has received no new federal appropriations due to the ongoing congressional moratorium on earmarks since SFY11. As such, program operations in SFY12 were limited, and program operations in SFY13 will likely cease for the current program. Nonetheless, CEROS has maintained is program operations for projects funded in earlier years*, and conducted limited outreach activities. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. CEROS solicits and supports innovative technologies for national maritime military applications and sustained technology-based economic development in Hawai’i through annual competitive Solicitations. Since 1993, CEROS has funded 270 technical projects for over “Pending Review.”

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Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

CEROS utilized a secure server for abstract and proposal submissions. CEROS has a public website for information use, www.ceros.org.

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CEROS has a public website, www.ceros.org. Information about the CEROS program is listed. For example, background information/history, program funding, partners and projects, forms and resources, contact information.

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D.1.4 DEPARTMENT OF DEFENSE
The Department of Defense State Agency has one attached agency. The following table table summarize the input from the Office of Veteran Services.

D.1.4.1 OFFICE OF VETERAN SERVICES
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Office of Veteran Services.

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Table 14: Office of Veteran Services

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

State Office of Veterans Services (OVS) Veterans Advisory Board

Department of Defense

To serve as the single office within the State Government responsible for the welfare of the Veterans of the State of Hawaii, their dependents and/or survivors; act as liaison between the Governor and Veterans groups and organizations; and to server as intermediary between the Department of Veterans Affairs and Veterans. OVS also manages the Hawaii State Veterans Cemetery in Kaneohe and works in a partnership with the respective Counties for seven other State Veterans Cemeteries on the neighbor islands. OVS is the State’s primary advocate for veterans applying for and receiving benefits and services. The OVS may take action on behalf of veterans, their families and survivors to secure appropriate rights, benefits and services. This process includes the reception, investigation and resolution of disputes and complaints.

The Office of Veterans Services (OVS) objectives are to assist veterans in obtaining State and federal entitlements, to supply the latest information on veterans’ issues and to provide advice and support to veterans making the transition back into civilian life. Coordinate Capital Improvement Projects (CIP) and operating and maintenance projects for our eight cemeteries. Ensure pre-application data, the appropriate contracts for acquisition of land, design, planning, and construction are accomplished according to governing State and Federal statutes and within specified timelines.

We calculate the number of veterans that the office staff comes in to contact with. Assess the number and type of burials in our State Veterans Cemeteries. Review timeliness of the distribution of grave markers and burial vaults. Numbers are verified monthly, quarterly, and annually to meet Veterans Affairs timelines and suspenses.

• Services Offered by the Office • Advocacy for Veterans concerns • Establishing and maintaining Veterans’ records file • Short-term counseling • Information and referral • Claims, forms and appeal assistance • Notary Public • Legal name changes • Outreach • VA benefits assistance

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Advocacy is our primary service area for the Office. OVS may take action on behalf of Veterans, their families, and survivors to secure appropriate rights, benefits and services. This includes receiving, investigating and resolving disputes or complaints. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. The Veterans Advisory Board and the Office of Veterans Services uses the VA & the National Guard video conferencing facilities, hardware and software. We use the Hawaii.gov website standard applications. OVS is creating an interactive website with Network of Care.

We would like to find an easier way to video conference with in our neighbor island offices. In the future, OVS would like to have a central server to store DD-214’s and client case files. To become a paperless office.

Most of the data collected for trend analyses are external or manually acquired through our counselor corps case files and weekly activity reports. Our data is collected mainly for the Department of Defense as archival data and used for the justification for more funding, resources, and manpower. We acquire other data affecting Veterans and their families in the State through the Veterans Affairs State Summary Web pages.

As mentioned earlier, we are launching the Network of Care Website in Jul/Aug 2012. This interactive service will be tailored for our Veterans and their families and will be the genesis for our electronic forms initiative. Our future site picture is to go paperless when submitting claims or appeals through the adjudicating system with the Department of Veterans Affairs. Approximately 10 States have already gone paperless and have now forced the VA to accommodate their giant leap forward. For Hawaii, equipment readers that can take digital signatures and other hardware or peripherals along with the proprietary software (estimated at “Pending Review” total for hardware, software, training) is the road we would like to journey down. With the Network of Care website launch, we’re hoping within six months-one year to start working the e-forms and paperless initiative. Other than the Network of Care website, which is previously funded for installation and sustainment for three years, the e-form and paperless initiative is not yet funded.

D.1.5 DEPARTMENT OF HEALTH
The Department of Health (DOH) State Agency has six (6) attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits

D.1.5.1 STATE HEALTH PLANNING AND DEVELOPMENT AGENCY
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the State Planning and Development Agency.

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Table 15: State Health Planning and Development Agency

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

State Health Planning and Development Agency

Department of Health

The State Health Planning and Development Agency (SHPDA) promotes accessibility to quality health care services at reasonable cost.

To be a valuable, effective and thriving entity that promotes accessibility for all of the people of the State to quality health care services at reasonable costs by serving as a: • Resource for the health care industry, policy makers, and the community. • Catalyst for inclusive statewide planning for the development of health services and facilities. • Champion of those who strive to improve health care outcomes for Hawaii’s citizens.

Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

Maintain relevant partnerships with Hawaii’s health care industry and communities by using statewide planning efforts to ensure that accessible health care facilities and services are developed and sustained for all residents, in particular all underserved groups.

Percentage of Certificate of Need (CON) applications that document substantial relationship to one or more chapters of the Hawaii State Health Services and Facilities Plan (HSFP).

SHPDA administers the state’s CON program. Health care service providers apply for CONs prior to constructing, acquiring and or supplying health care services and facilities. Using a set list of criteria, two councils of governor appointed members review standard applications. This three step public review process provides Sub Area Council (SAC) county level and Statewide Health Coordinating Council (SHCC) member input. The SHCC appoints qualified Review Panel members who also use the list of criteria to evaluate applications. The SHCC members establish a Plan Development Committee that drafts the statewide HPFP every decade. Staff assists the continually revolving six SACs to conduct local health needs assessments. SHPDA staff collects and publish facility utilization data.

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Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

SHPDA has its own website. SHPDA.org. The DOH server is used and they provide the public information access. Bryce Fujii from Public Information Access Section (PIAS), DAGS/ICSD/ TSSB assists SHPDA with web streaming once a month.

SHPDA desires to offer the state health care providers with a portal that allows them to submit their annual utilization data and get a receipt. Create a system that accepts credit card payment for fees.

The utilization report is published on the SHPDA website. E-calendar interfaces with SHPDA publically noticed meetings. DBEDT uses utilization data.

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D.1.5.2 STATE COUNCIL ON DEVELOPMENTAL DISABILITIES
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the State Council of Developmental Disabilities. Table 16: State Council of Developmental Disabilities

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To

State Health Planning and Development Agency

Department of Health

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Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

The State Health Planning and Development Agency (SHPDA) promotes accessibility to quality health care services at reasonable cost.

To be a valuable, effective and thriving entity that promotes accessibility for all of the people of the State to quality health care services at reasonable costs by serving as a: • Resource for the health care industry, policy makers, and the community. • Catalyst for inclusive statewide planning for the development of health services and facilities. • Champion of those who strive to improve health care outcomes for Hawaii’s citizens.

Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Maintain relevant partnerships with Hawaii’s health care industry and communities by using statewide planning efforts to ensure that accessible health care facilities and services are developed and sustained for all residents, in particular all underserved groups.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

Percentage of Certificate of Need (CON) applications that document substantial relationship to one or more chapters of the Hawaii State Health Services and Facilities Plan (HSFP).

SHPDA administers the state’s CON program. Health care service providers apply for CONs prior to constructing, acquiring and or supplying health care services and facilities. Using a set list of criteria, two councils of governor appointed members review standard applications. This three step public review process provides Sub Area Council (SAC) county level and Statewide Health Coordinating Council (SHCC) member input. The SHCC appoints qualified Review Panel members who also use the list of criteria to evaluate applications. The SHCC members establish a Plan Development Committee that drafts the statewide HPFP every decade. Staff assists the continually revolving six SACs to conduct local health needs assessments. SHPDA staff collects and publish facility utilization data.

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Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

SHPDA has its own website. SHPDA.org. The DOH server is used and they provide the public information access. Bryce Fujii from Public Information Access Section (PIAS), DAGS/ICSD/ TSSB assists SHPDA with web streaming once a month.

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

SHPDA desires to offer the state health care providers with a portal that allows them to submit their annual utilization data and get a receipt. Create a system that accepts credit card payment for fees.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

The utilization report is published on the SHPDA website. E-calendar interfaces with SHPDA publically noticed meetings. DBEDT uses utilization data.

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D.1.5.3 HAWAI`I HEALTH SYSTEM CORPORATION (HHSC)
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Hawaii Health System Corporation (HHSC).

Table 17: Hawai`i Health System Corporation (HHSC)

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To

Hawaii Health Systems Corporation (HHSC)

Department of Health

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Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

HHSC will provide accessible, high quality, cost-effective services which address the healthcare needs of Hawaii’s unique island communities.

To be recognized as a progressive model for an accessible, integrated, patient centered and fiscally responsible healthcare system focused on assuring high quality care to improve the health of our communities.

Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

GOALS: 1. Modernize the HHSC network of facilities by securing capital financing for facility infrastructure improvements 2. Provide medical specialty services 3. Coordinate and integrate specialty services across the HHSC system 4. Enhance emergency services system wide 5. Develop/Enhance Continuum of Care 6. Increase primary care physician base 7. Execute system wide performance improvement initiatives (e.g. Electronic Medical Record system) 8. Pursue innovative strategies in acute care and long term care services 9. Implement a high performance quality culture throughout the HHSC System 10. Improve the financial reporting and revenue cycle infrastructure 11. Improve productivity management 12. Establish financial/operational performance metrics and benchmarks based on industry best practices 13. Maximize funding opportunities and develop sustainable funding mechanisms 14. Implement an energy savings program utilizing “green” strategies 15. Expand staff training, education and development processes 16. Improve employee satisfaction levels 17. Develop and implement an employee wellness program 18. Develop a robust recruitment, hiring and retention plan 19. Develop HHSC leadership for today and for the future 20. Strengthen the stewardship responsibilities of all boards and executive management teams.

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Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

Financial Metrics: See attached financial dashboard Clinical Metrics: See attached clinical dashboards (Acute, CAH and Long Term Care)

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

HHSC provides primary, secondary and tertiary medical care through a network of health care facilities and clinics located on the islands of Kauai, Oahu, Maui, Lanai and Hawaii. HHSC facilities span the continuum of care spectrum (assisted living, long term care and acute care).

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

All of HHSC’s facilities currently use the McKesson Series application for health information system (HIS) functions, with the exception of the facilities in the East Hawaii Region, which also use the Meditech Electronic Medical Record (EMR) application and Kahuku Medical Center which uses RPMS as its interim EMR solution. Other ancillary systems of note include the MIDAS system used for case management and quality reporting, the ADL system for long term care patients, the Fuji radiology information/picture archiving and communications system, the CareFusion system for medication and supply dispensing, the OneStaff staff/ nurse scheduling system, the ORSOS system in the operating rooms, the Lawson human resources system, the EBiz interfacing application, and the Kronos time and attendance system, which is currently used only in the East Hawaii Region. HHSC has a corporate website and each of HHSC’s facilities/regions has its own website with links. Servers are located in each of HHSC’s regions with the corporate data center located at the Leahi Hospital on Oahu. Wide area connections include the i-Net, T-1 lines, and MPLS.

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

HHSC is in the process of implementing a new EMR/HIS system from Siemens Corp. The new system will be implemented in 10 of HHSC’s 13 hospitals, the exception being the hospitals in the East Hawaii Region which will continue on the Meditech EMR system. The new system will address the majority of administrative, clinical, and financial functions and will help move the participating hospitals towards more standardized processes across the enterprise, where it makes sense. HHSC’s technical infrastructure is also going through an upgrade to support the new EMR/HIS system. The corporate data center at Leahi Hospital will continue as the primary point of consolidation for data communications with the data center at Maui Memorial Medical Center as a backup site. HHSC has also initiated a project to upgrade its corporate website and to move towards more standardization of the “look and feel” of its various websites. HHSC collects and uses information on the patients it treats. Some of this information is shared with others as required to support business processes (e.g., claims information to insurers/payers), for regulatory purposes and reporting (e.g., with the Centers for Medicare and Medicaid Services (CMS)), and to support aggregate reporting (e.g., Hawaii Health Information Corp. (HHIC), Premier). Much of this data currently originates in the McKesson Series system.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

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Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

• EMR: As previously mentioned, HHSC is currently in the process of implementing a new EMR/HIS system from Siemens Corp. The contract with Siemens was executed in July 2011 and the initial design, build, and implementation phase of the project is projected to run through October 2013. The applications being implemented include: Soarian Clinicals (SC), SC-Emergency Department, SC-Long Term Care, SC-Computerized Physician Order Entry, Critical Care, Pharmacy, Medication Administration, Soarian Financials (SF), SF-Physician Revenue Management, SF-Graphical Bed Board, Soarian Scheduling, Electronic Document Management (EDM) Patient Financial Services, Health Information Management (HIM) OMR, HIM-Completion Management, EDM/HIM-Auto Document Routing, Syngo Radiology, Soarian Quality Measures, Decision Support Solution, Surgical information System (SIS), MS4-General Ledger, MS4-Fixed Assets, MS4-Accounts Payable, and MS4-Materials Management. • Infrastructure Upgrade: To properly support the new EMR/HIS system, HHSC has initiated a number of infrastructure upgrades. This work has started and is scheduled to continue through September 2013. These include the deployment of the following enterprise-wide systems: Storage area network (SAN) and network attached storage (NAS) system; Disk-todisk backup system; Backup data center for disaster recovery and continuous replication for mission critical systems; Single sign on system; Virtual desktop infrastructure (VDI) and thin client deployment; 1 Gbps 802.11 a/g/n wireless environment; Wide area network (WAN) optimization technology; Laptop encryption; and Microsoft System Center Suite deployment. • Website Upgrade: Also, as previously mentioned, HHSC has a project underway to upgrade its Internet websites. This will also include an expansion of HHSC’s intranet capabilities. This project is starting in July 2012 and the website upgrades are scheduled for completion by January 2013 with the expanded intranet capabilities scheduled for completion by June 2013. • Time and Attendance: HHSC is also initiating a project to address its time and attendance needs across the enterprise. This effort is to start with a request for information (RFI) process which is scheduled to be released by September 2012.

D.1.5.4 EXECUTIVE OFFICE ON AGING
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Executive Office on Aging.

Table 18: Executive Office of Aging

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To

Executive Office on Aging

Department of Health

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Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

The mission of the Executive Office on Aging is to promote and assure opportunities for Hawaii’s older adults to achieve dignified, self-sufficient and satisfactory lives. The office pursues its mission by advocating, developing, and coordinating federal, state, and local resources for adults 60 years and older, and also their caregivers.

The central vision of EOA’s Aging and Disability Resource Center is for the Area Agencies on Aging sites to become a single point of entry for individuals to access supports and services. The Aging and Disability Resource Center will be the gateway for older adults to access Kupuna Care and Older American Act services, as well as private pay options for all populations. The Area Agencies on Aging will also provide information, referrals, and linkages for persons with disabilities that include physical disabilities, developmental disabilities or mental illness, andchildren with long-term support needs. The Aging and Disability Resource Center will also screen and link individuals to the state Medicaid agency, MedQuest, if the individual requesting assistance is likely to be eligible for Medicaid 1. Empower older adults to stay healthy, active and socially engaged, using prevention and disease self-management strategies. 2. Enable older adults to remain in their own homes with a high quality of life for as long as possible through the provision of home and community-based services, including supports for family caregivers. 3. Develop Hawaii’s Aging and Disability Resource Center to its fully functioning capacity to serve as a highly visible and trusted place where all persons regardless of age, income and disability can find information on the full range of long-term support options. 4. Manage funds and other resources efficiently and effectively, using person-centered planning to target public funds to assist persons at risk of Institutionalization and impoverishment. 5. Ensure the rights of older people and prevent their abuse, neglect and exploitation. 6. Ensure Hawaii’s elders will be included in emergency and disaster planning at the state and local levels.

Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

There are performance measures in our State Plan on Aging 2011-2015 located within the Hawaii State Plan on Aging (see attached).

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

The Executive Office on Aging (EOA) is the designated lead agency in the coordination of a statewide system of aging and caregiver support services in the State of Hawaii, as authorized by federal and state laws. The federal Older Americans Act establishes an Aging Network and provides federal funding for elderly support services, nutrition services, preventive health services, elder rights protection, and family caregiver support services. Chapter 349 of the Hawaii Revised Statutes establishes the Executive Office on Aging as the focal point for all matters relating to older adults’ needs and the coordination and development of caregiver support services within the State of Hawaii.

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Programs & Services: • Healthy Aging Partnership: A statewide public-private partnership committed to improving the health and well-being of residents. The partnership offers evidence-based health promotion and disease prevention programs: the EnhancedFitness (EF) Program on Kauai and the Ke Ola Pono Disease Self-Management Programs-Chronic Disease Self-Management (CDSMP), Arthritis Self-Management (ASMP) and Diabetes Self-Management (DSMP). Ke Ola Pono classes are open to adults 18 and older. • Senior Medicare Patrol Hawaii (SMP Hawaii) :A volunteer-based program to ensure Medicare is not billed for health care services, medical supplies, and equipment not received. • Sage PLUS Program: A volunteer-based program that provides free health insurance information, education, counseling, and a referral service for people with Medicare. Volunteers are trained and certified to assist members and their families with questions about Medicare benefits, Medicare Advantage Program, Long-Term Care financing, and Medicare Part D - the prescription drug benefit. • The Long-Term Care Ombudsman Program (LTCOP): A volunteer-based program that provides information, outreach, and advocacy for residents of long-term care facilities. • In-Home and Community-Based Services: Services are available to assist some older adults in remaining independent and active. Types of services that may be provided, based on need/ targetting: adult day care, assisted transportation, attendant care, case management, chore services, congregate meals, home delivered meals, homemaker/housekeeper, information and assistance, legal assistance, nutrition education, personal care, and transportation. • Family Caregiver Support Program: Support services are available to family caregivers such as: information, assistance, individual counseling, support groups and training, respite, and supplemental services.

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

EOA has a website, www.hawaiiadrc.org , hosted and maintained by AssistGuide Information Services. EOA’s statewide database which contains program data is accessed via a web portal; the database is hosted and the data collection software is licensed to EOA by Harmony Information Systems.

EOA is in the process of moving from 4 separate client and resource databases managed by each county’s office on aging, to a single statewide database managed by EOA in collaboration with each county, through phased consolidation occurring from April 2012 through July 2015. (current funding for first phase development, HTH 904, “Pending Review”; for subsequent phases, fund source and amount not known but estimated at “Pending Review”

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

Program data consisting of demographics, assessments, and service utilization are collected at the client level (see attached 5 Year Plan showing detailed data fields collected). Data are reported to the State Legislature, funding sources, and to answer ad hoc inquiries.

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Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

EOA is implementing the statewide Aging and Disability Resource Center, in accordance with a Five-year Plan (see attached). This change involves several steps: 1. Upgrade the current social assistance management system that supports client services and reporting, to Harmony for Aging 3.0 by our long-time vendor Harmony Information Systems Inc. (in progress – current funding in HTH904, annual license renewals “Pending Review”) 2. Move from 4 separate client and resource databases managed by each county’s office on aging, to a single statewide database managed by EOA in collaboration with each county, through phased consolidation occurring from April 2012 through July 2015. (current funding for first phase development, HTH 904, “Pending Review”; for subsequent phases, fund source and amount not known but estimate “Pending Review”) 3. Develop custom, automated comprehensive client intake and assessment tools with algorithms to trigger Clinical Action Plans, for use statewide; this is included in the current funding source and amount in step 2 above for the first phase. Implementation started April 2012 and development/refinement is ongoing through at least July 2012. 4. Add a web-based referral tool to the website hawaiiadrc.org and refine the website look and feel. This project is expected in approximately 2nd quarter SFY2012, to cost “Pending Review” or more in development costs, additional to “Pending Review” annual website hosting, licensing and other fees. HTH904.

D.1.6 DEPARTMENT OF HUMAN SERVICES
The Department of Human Services (DHS) State Agency has four (4) attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits.

D.1.6.1 OFFICE OF YOUTH SERVICES
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Office of Youth Services.

Table 19: Office of Youth Services

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Office of Youth Services (OYS)

Per Hawaii Revised Statute §352D-4: OYS is “established within the department of human services for administrative purposes only” To provide leadership in developing a comprehensive continuum of services to reduce juvenile delinquency and enhance public safety.

A comprehensive juvenile justice system with the primary focus on maximizing opportunities for youth to become productive and responsible citizens.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Strengthen the role of the Office of Youth Services within the State’s juvenile justice system through planning, collaboration, coordination, training and technical assistance consistent with the provisions of Hawaii Revised Statute 352D. A New Day in Hawaii Reference: Employ a firm and consistent approach to criminal justice. Renew our investment in people and programs to end cycles of violence, and nurture and sustain physical and social health. Measureable Outcomes: • Establish regional directors (HRS 352D-10). • Establish regional advisory boards (HRS 352D-9). • Establish youth service centers that are responsive to the needs of the communities. (HRS 352D-7). Reduce the reliance on incarceration as a solution to juvenile delinquency. A New Day in Hawaii Reference: Protect the human and civil rights of all. Measureable Outcomes: • Reduce admissions to HYCF by 5% from the previous fiscal year. • Increase by 5% the availability of graduated sanctions, utilizing the least restrictive option. • Partner with the Judiciary in the Juvenile Detention Alternatives Initiative. Ensure fair and equal treatment for all youth, regardless of race/ethnicity and reduce disproportionate minority contact at the decision making points in the juvenile justice system. A New Day in Hawaii Reference: Support Native Hawaiian self-determination. Measureable Outcomes: • Reduce the number of Hawaiian/Part-Hawaiian, Filipino, and Samoan youth having contact with the juvenile justice system from the previous fiscal year. • Increase collaboration and coordination with appropriate cultural-based organizations to reduce the number of over represented youth in the juvenile justice system. Promote mentoring and family strengthening in local communities incorporating an ohana multi-generational framework. A New Day in Hawaii Reference: The ultimate way to reduce crime is to increase the number of strong, nurturing families. Measureable Outcome: • Increase the number of mentoring and family strengthening services under OYS contract by 5%. • Increase the number of partnerships with community agencies via formal and/or informal agreements for related services by 10%. Expand and strengthen the continuum of services for at-risk youth in every judicial circuit by supporting community-based services tailored to identified needs.

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A New Day in Hawaii Reference: The ultimate way to reduce crime is to increase the number of strong, nurturing families. Ensure communities are listened to and involved in the care of their own members. Measureable Outcomes: • Increase the number of services under OYS contract that are responsive to the needs of communities. • Increase the number of contracts that provide opportunities to foster community attachment and bonding. Continue to improve operations and programming at the Hawaii Youth Correctional Facility. A New Day in Hawaii Reference: Protect the human and civil rights of all. Measureable Outcomes • Increase the number of youth who are early discharged or paroled by 5% from the previous fiscal year. • Ensure that a minimum of 75% of the incarcerated youth who are eligible to graduate or achieve their GED while incarcerated do so. • Increase by 5% the number of ohana related services for youth and their families. • Decrease the number of youth recommitted to HYCF for a felony within 1 year of release by 5% from the previous fiscal year. • Decrease the number of violent incidents at the facility resulting in the need for outside medical attention by 5% from the previous fiscal year. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. OYS utilizes several performance metrics : Juvenile Justice Information System (JJIS), operated by the Office of Attorney General, provides a mechanism whereby appropriate, relevant, accurate, complete, and timely juvenile justice information is captured, maintained, and accessed by OYS and other juvenile justice agencies throughout the State of Hawaii. Information from the JJIS is utilized for reports required by the Office of Juvenile Justice Delinquency Prevention (OJJDP). OJJDP – requires all recipients of OJJDP funding to collect and report data that measure the results of funded activities to ensure compliance with the Government Performance and Results Act of 1993. OJJDP uses the system to aggregate performance data across grantees and grant programs. Performance Measures via Outcome Framework method – OYS’ contracted community providers report data regarding various program services 4) Variance Report - issued annually by Budget & Finance regarding expenditures and positions, measures of effectiveness, program target group and program activity. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. OYS provides program planning, policy formation, resource development, technical assistance, and training to facilitate and coordinate a comprehensive continuum of care for at-risk youth, with an emphasis on youth involved with the juvenile justice system. OYS participates on numerous advisory committees, commissions, and initiatives to improve services for youth statewide. OYS oversees the administration of the Office of Juvenile Justice and Delinquency Prevention Act that aims to improve the effectiveness of the juvenile justice system.

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The Juvenile Justice State Advisory Council is coordinated by OYS to provide policy and funding recommendations. OYS operates the Hawaii Youth Correctional Facility (HYCF) to provide safe and secure confinement and services for juvenile offenders who have been committed to the custody of OYS by the Judiciary and pose a threat to the community. The HYCF provides a variety of counseling, treatment, and educational services within the facility and aftercare to aid in the redirection and rehabilitation of each juvenile. OYS provides community-based services through purchase of service contracts that target and address risk factors that impact at-risk youth who are experiencing problems in functioning. Services are intended to divert youth to alternative services and/or prevent further penetration into the juvenile justice system. Contracted service delivery includes positive youth development, outreach and advocacy, truancy prevention, intensive monitoring, day treatment, residential, and aftercare. Provide oversight and monitoring of 4 residential group homes for at-risk youth. There are 2 homes on Hawaii Island (8 beds boys; 8 beds girls), 1 home on Maui (8 beds boys) and 1 home on Oahu (12 beds boys). The homes are for court-involved youth on probation and they serve as an alternative to placement at the correctional facility. The average length of stay is 6 months. Partner with the Department of Health/Child and Adolescent Mental Health Division for mental health services for youth at the Hawaii Youth Correctional Facility and for committed youth on parole. Partner with the Department of Education for educational services for youth at the Hawaii Youth Correctional Facility, and to address issues related to the education of at-risk youth in the community. Partner with the Judiciary, the Prosecutor’s Office, the Attorney General’s Office, and the Public Defender’s Office to address issues related to juvenile justice. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Beyond standard laptops, network connections and productivity software, we have a standalone server that is interconnected with the Department of Human Services. Specifics about the server will have to come from the IT folks at DHS. The most common websites utilized are government based websites – Federal, State and County. Additionally, a variety of websites operated by service providers, non-profits, and other agencies that work with at-risk youth are utilized. Of course, the standard websites, e.g. Google, Hawaiian Airlines, on-line dictionaries and other reference type sites are accessed. A specific listing of each website can be provided upon request. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. • Change to a user-friendly email system that is standard across all state agencies/employees. • Improve the Juvenile Justice Information System. • All necessary forms used in conducting daily state business should be on-line. • Create a paperless business environment. • Automate all the manual processes. Currently, the following documents are done by hand and/or on a typewriter: • Time and attendance

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• Leave requests • Travel requests • Purchase orders • Hazard pay requests Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. OYS utilizes data to report on performance metrics (stated above). Sources of data come from JJIS, reports from community providers, request for information sessions, ongoing needs assessments, and formal and informal community meetings. Additionally, we track the data of the youth committed to the Hawaii Youth Correctional Facility (e.g. sex, age, commitment types, judicial circuit, home zip code, ethnicity, etc.). This information is provided to the legislature as requested and to the courts. OYS continually supports enhancements to the JJIS, including staff training, and addressing data deficiencies that impact reporting requirements to OJJDP. No current projects are being funded, however, it is probable that new projects will be undertaken in the future.

Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

D.1.6.2 HAWAII PUBLIC HOUSING AUTHORITY
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Hawaii Public Housing Authority. Table 20: Hawai`i Public Housing Authority

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Hawai`i Public Housing Authority

Department of Human Services

To promote adequate and affordable housing, economic opportunity and a suitable living environment free from discrimination.

The agency is currently in the preliminary stages of developing a vision statement.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

From the agency’s HUD Approved PHA 5 Year and Annual Plan for Fiscal Years 2009-2014: PHA Goal: Expand the supply of assisted housing • Objectives:
– Apply for additional rental vouchers if available. – Reduce public housing vacancies: Not to exceed 5% vacancy rate. – Leverage private or other public funds to create additional housing opportunities:

Assess the feasibility of mixed-use private redevelopment.
– Shelter Plus – 100 units (20 unit per year)

PHA Goal: Improve the quality of assisted housing • Objectives:
– Improve public housing management: (PHAS score) – PHAS Physical Condition (REAC) - Passing score of 75 out of 100 points. – PHAS Financial Condition- Increase rent collection rate to 95%. – PHAS Management Operations -Vacant Unit Turnaround Time: Less than or equal to

20 days; Work Orders: Complete or abate 100% of emergency work orders within 24 hours and complete non-emergency work orders within an average of 25 days; Annual Inspections: Inspected 100% of its units and systems using the Uniform Physical Condition Standard (UPCS).
– PHAS Resident Survey – refer to “Increase Customer Satisfaction” below. – Evaluate and upgrade PHA computer software to increase the efficiency of programs

agency-wide.
– Improve tenant rent collection system through timely evictions for non-payment of rents. – Improve voucher management: (SEMAP score) Strive for High-Performer: 90% – Maintain lease-up to 95% of budget utilization. – Partner with the City and County of Honolulu, Section 8 Housing Choice Voucher Program

to develop a rent reasonableness process to improve operational effectiveness.
– Develop and maintain an effective reporting system to improve operational efficiency. – Continue to develop relationships with more partners in the recruitment and retention

of landlords.
– Increase customer satisfaction: Resident Services and Satisfaction Survey - Achieve

at least a score of 80% in all categories (maintenance and repair, communication, safety, services and neighborhood appearance). Concentrate on efforts to improve specific management functions: • Develop strategies and training for PH managers and staff to improve rating on the Resident Service and Satisfaction Survey. • Develop a plan to have Tenant Monitors available when managers are not available. Renovate or modernize public housing units. Demolish or dispose of obsolete public housing and provide replacement housing.

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Provide replacement vouchers. Leverage Capital Funds to accelerate modernization projects. Study the feasibility of utilizing public/private partnerships for the redevelopment of public housing. PHA Goal: Increase assisted housing choices • Objectives:
– Conduct outreach efforts to potential voucher landlords. – Provide Section 8 voucher mobility counseling. – Increase voucher payment standards. – Implement voucher homeownership program. – Implement public housing or other homeownership programs. – Utilize Geographical Wait Lists. – Pursue designated housing for elderly-only project(s).

PHA Goal: Provide an improved living environment • Objectives:
– Implement measures to de-concentrate poverty by bringing higher income public housing

households into lower income developments.
– Implement measures to promote income mixing in public housing by assuring access for

lower income families into higher income developments.
– Implement public housing security improvements. – Designate developments or buildings for particular resident groups (elderly, persons

with disabilities). PHA Goal: Promote self-sufficiency and asset development of assisted households • Objectives:
– Increase the number and percentage of employed persons in assisted families by annually

assisting public housing residents to attain their goals for economic self-sufficiency.
– Attract supportive services to improve assistance recipients’ employability. – Attract supportive services to increase independence for the elderly or families with

disabilities by annually providing or attracting supportive services at 5 public housing sites that service elderly or disabled populations.
– Provide measures and opportunities to increase the income of residents to complement

de-concentration and income targeting.
– Encourage and support resident participation in an existing Individual Development

Account (IDA). PHA Goal: Ensure equal opportunity and affirmatively further fair housing • Objectives:
– Undertake affirmative measures to ensure access to assisted housing regardless of race,

color, religion, national origin, sex, familial status, and disability.
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– Undertake affirmative measures to provide a suitable living environment for families living

in assisted housing, regardless of race, color, religion, national origin, sex, familial status, and disability.
– Undertake affirmative measures to ensure accessible housing to persons with all varieties

of disabilities regardless of unit size required.
– Continue on-going efforts to educate and provide information to the general population

and to landlords.
– Conduct on-going training to educate staff. – Continue to implement the Section 504 and ADA transition plans. – Implement the Limited English Proficiency (LEP) plan for applicants and residents of public

housing and Section 8 programs.
– Provide training to non-English speaking and/or Limited English Proficiency speaking

groups with an interpreter available on federal and state fair housing laws.
– Build community ties with private and non-profit organizations to affirmatively further

fair housing.
– Update the Fair Housing Analysis of Impediments in 2009.

PHA Goal: Improve the housing delivery system through cost-effective management of federal and State government programs and resources: Implement project based accounting and management for federal public housing. Evaluate and upgrade PHA computer software to improve financial accounting and reporting. Improve tenant rent collection system through updating policies and procedures, timely evictions for non-payment of rents, and timely write offs. PHA Goal: Evaluate the current administration of HPHA’s Section 8 Housing Choice Voucher Program. PHA Goal: Due to the recent change in funding levels for the Section 8 HCV Program by HUD, HPHA will be exploring various options to maximize the number of voucher participants within the current HUD funding level, including: Adjusting the subsidies given to the current voucher holders to increase the number of active vouchers; Maintaining current subsidy amounts and not open the wait list until HUD funding is increased. PHA Goal: Comply with the Violence Against Women Act to support and assist victims of domestic violence, dating violence, sexual assault, or stalking. To protect certain victims as well as members of the victims’ immediate families – from losing their HUD-assisted housing as a consequence of the abuse of which they were the victim.

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Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

HUD Rating Factors that are assessed annually: • Physical Inspections • Financial Assessment • Management Operations Certification • Public Housing Assessment System (PHAS) See: http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housing/ reac/products Monthly, the Board is provided staff reports including the following: • Occupancy: Units Occupied v. Total Available Units with a goal of 97% occupancy system-wide • Rent Collection: Amount Charged v. Amount Collected with a goal of 100% collection • Total number of families moved by Asset Management Project • Collection on Delinquent Vacated and Non-Vacated Accounts • Emphasis on tracking number of vacant units from month to month to increase occupancy rate • Status on the obligation/encumbrance and expenditure of Federal Capital Fund Program (CFP) funds and State CIP funds by location and dollar amount • Income statement comparing revenue by source to expense, budget v. actual • April 2012: Revenue Budget v. Actual - Pending Review • April 2012: Expense Budget v. Actual Pending Review • Listed by program (Fed. Public Housing, State Public Housing, Section 8, VASH) • Status on major contracts and procurements, including deadlines and $ amounts • Status of Eviction Hearing Office caseload by number of referral, reason for referral, and disposition of the case by year and by year to date • Status of personnel actions, by position

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

The HPHA is the sole public housing agency for the State of Hawaii, providing, safe, decent, sanitary, and temporary housing to low income families. The agency administers over 6,000 State and Federal (HUD subsidized) public housing units on five islands, over 1,800 rental assistance vouchers on the Island of Oahu, and 270 Veterans Affairs Supportive Housing (VASH) vouchers. Federal public housing is a U.S. Department of Housing and Urban Development (HUD) program established to provide decent, safe rental housing for eligible low-income families, the elderly, and persons with disabilities. There are approximately 1.2 million households living in public housing units nationwide, managed by some 3,300 Housing Authorities. The HPHA administers over 5,300 Federal public housing units Statewide. The agency also administers an unsubsidized State public housing inventory consisting of 864 units Statewide. The Housing Choice Voucher (HCV) Program, commonly known as Section 8, is a HUD program established to provide rental subsidies for standard-quality units that are chosen by the tenant in the private market with assistance given through tenant-based vouchers. The

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State of Hawai‘i provides limited funding for a similar Rent Supplement program that is administered in the same fashion as the Federal HCV Program. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Servers: • Windows NT 4 • Windows Server 2003 • Windows Server 2008 • Citrix Winframe • Citrix Metaframe • Windows SQL 2005 • HP P4000 SAN Websites: • www.hpha.hawaii.gov (external) • HPHA-REPORTS (internal) • HPHA-CRYSTAL (internal) • HPHA-WIKI (internal) • HUD Secured Systems and related sites (PIC, EIV, LOCCS, FDS, VMS, RAMPS, EPIC) Applications: • Emphasys Public Housing Agency Software (Elite and FLEX) – includes integrated modules for LIPH, Section 8, Wait List, Work Orders, Materials Inventory, General Ledger, Accounts Payable, Bank Book, Fixed Assets • AutoCAD (2007 to 2012) • Crystal Reports • VPN • Host on Demand (HOD) • FAMIS, HAWI, DMV, CJIS • GIS Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Proposed Upgrades: • Virtualization (servers) • Document Management System • Off Site Emergency Disaster Recovery (cold/hot) • Cyber Security (network monitoring, intrusion prevention and intrusion detection system) • Cloud Storage (secure)

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Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

Collection: • Low Income Public Housing tenant data stored in Emphasys. • Section 8 tenant data stored in Emphasys. • Capital Fund financial and program information. Usage: • HUD’s Public and Indian Housing Information Center (PIC) system must be kept up to date with HPHA’s current tenant and unit information. Data is exported from Emphasys, and then uploaded into PIC. • HPHA provides program statistics on HUD’s Voucher Management System. • HUD’s EPIC system requires reporting on capital improvement projects. • Selected demographic data may sometimes be requested by various agencies. Data is usually provided without tenant identifiers.

Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

• Emphasys Elite Upgrade (4/09 – 3/13, Pending Review - Federal LIPH, S8, Capital funds + RS, SLR, SE) • Section 8 – upgraded • Core Financials - upgraded • Low Income Public Housing (tenant processing, work orders) – 11/1/12 • Materials Inventory – 10/1/12 • Executive Portal – 2/28/13 • Web App (lobby only) – 3/31/13 • Budgeting Software – 3/31/13 • Network Infrastructure Upgrades (8/12 – 12/12, “Pending Review” install, plus “Pending Review” monthly - Pending) • School Street data center connection – 9/30/12 • AMP office data connections – 12/31/12 • School Street campus cabling – 9/30/12

D.1.7 DEPARTMENT OF LABOR AND INDUSTRIAL RELATIONS
The Department of Labor and Industrial Relations (DLIR) State Agency has eight (8) attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits.

D.1.7.1 DEPARTMENT OF INDUSTRIAL RELATIONS APPEALS BOARD
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Office of Labor and Industrial Relations Appeals Board.

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Table 21: Department of Industrial Relations Appeals Board

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Labor and Industrial Relations Appeals Board (LIRAB)

Department of Labor and Industrial Relations

To provide prompt, fair, and inexpensive review of appeals of decisions rendered by the Director of Labor and Industrial Relations relating to Hawaii workers’ compensation law and boiler and elevator safety law.

A quasi-judicial agency that reviews cases in a timely, fair, and impartial manner that promotes public trust and confidence.

Strategic Goal #1: Process and resolve cases effectively and efficiently • Objectives:
– Update or amend statutes and administrative rules to streamline, standardize, clarify, or

simplify procedures and the administrative process.
– Maintain effective and consistent case management practices to manage workflow,

balance caseload, and enhance productivity;
– Maintain efficient calendaring and scheduling practices to reduce the time for a case to

be set for conference or scheduled for hearing
– Actively promote and facilitate settlement or other alternative dispute resolution – Maintain optimal staffing to provide the legal, operational, and administrative support

Strategic Goal #2: Improve access to or quality of services • Objectives:
– Improve and update website to provide meaningful, understandable and user-friendly

forms and information.
– Regularly evaluate, update, or acquire technology and related resources to support

program goals. For example:
– Develop and implement an electronic filing and processing system that

integrates or coordinates with the electronic filing and information technology systems within the department and the judiciary.
– Develop and implement an electronic web-accessible calendar to enable

litigants to access status of claims and dates of hearings and conferences.
– Develop and implement an integrated telephonic notification and

informational system.

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Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

Conduct initial, status, and settlement conferences: these conferences are conducted by a LIRAB member or staff attorney to establish deadlines, identify issues on appeal, assess the status of a case, and to settle or resolve the case without the need for trial. Review motions and/or conduct hearings on motions: LIRAB reviews hearing and non-hearing motions with accompanying memoranda in support or opposition thereto and render decisions on the motions. Some motions are hearing motions, which are heard by LIRAB. After a review of the motions and/or a hearing on the motions, written orders are issued either granting or denying the motions. Conduct trials: LIRAB or its appointed hearings officer conducts trials in cases that do not settle. During trial, LIRAB or its hearings officer may hear testimony from witnesses and arguments from parties. The trial is digitally recorded. Issue written orders and decisions: For cases heard by LIRAB, a written decision and order is issued by LIRAB. For cases heard by a hearings officer, the hearings officer issues a proposed decision and order for which the LIRAB issues an order affirming, modifying, or reversing the proposed decision and order. LIRAB’s final decisions and orders are appealable to the Intermediate Court of Appeals. Review, approve, and process settlement agreements: Settlement agreements are processed and routed for appropriate signatures by the Director and attorney general, and then reviewed and approved by LIRAB or returned to the parties without approval. Review and approve attorneys fee requests: Attorneys submit fee request to LIRAB for work performed at the LIRAB level. LIRAB reviews the fee requests and approve the appropriate amount of fees. Process and prepare records on appeal for electronic filing to the appellate court: LIRAB’s chief clerk prepares the record on appeal for cases that are appealed to the appellate court. Preparation includes scanning the entire case file and accompanying records, preparing an index of the scanned documents, and electronically filing the record with the court.

Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

Server: IBM Dual Quad Core Xeon E5410 Processor with External Tape Backup. This server is shared with another DLIR attached agency (Hawaii Labor Relations Board). It is housed on the 3rd floor of Keelikolani Bldg and managed by EDPSO staff. Website: LIRAB has a page that is part of the department’s website. Other than MS office applications, lotus notes, and Adobe Acrobat Pro, LIRAB does not use any special applications.

1. Electronic filing and delivery/processing system: LIRAB adjudicates appeals from decisions of the Director of DLIR. LIRAB’s decisions are appealable to the Intermediate Court of Appeals. LIRAB plans to develop and implement a secured electronic filing and delivery/processing system that coordinates or integrates with information technology systems within the department (e.g., the Disability Compensation Division) and the court’s JIMS or JEFS electronic filing system. Security is of utmost concern because LIRAB deals with private and sensitive information. 2. Update or modernize our server to meet our growing need for archiving and/or electronic storage of data, such as audio recordings and scanned decisions and orders. 3. Procure voice recognition software that automatically prepares written transcription of our digitally recorded hearings. 4. Develop and implement an integrated telephonic notification and informational system.

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5. Wireless internet connection for Keelikolani Building. 6. Consider a virtual private network for the department. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. The Board maintains its final decision and orders in hard copy and electronic formats. Decision and orders that are not in electronic format are being scanned and stored on the server. The Board sends PDFs of its final decision and orders to the Hawaii State Bar Association, and various other online computer assisted legal research services such as LexisNexis and the Appeals Board Index.

No currently pending projects. IT goals and upgrades are dependent on funding, IT support (e.g. personnel, consultants, etc.) and other resources.

D.1.7.2 HAWAI`I CIVIL RIGHTS COMMISSION
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Office of Labor and Industrial Relations Appeals Board. Table 22: Hawai`i Civil Rights Commission

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Hawai‘i Civil Rights Commission

Department of Labor and Industrial Relations

The mission of the Hawai‘i Civil Rights Commission is to eliminate discrimination by protecting civil rights and promoting diversity through enforcement of anti-discrimination laws and education.

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

Fair enforcement of state laws prohibiting discrimination in employment, housing, public accommodations, and state-funded services. Development of expertise and capacity to effectively and efficiently investigate, conciliate, litigate, and administratively adjudicate complaints of discrimination.

Measure of Effectivness % Employ Discrim Investig completed w/in 1 yr % Fair Housing Discrim Investig completed w/in 150 days % Public Accom discrim Investig completed w/in 1 yr % State Svc Discrim Investig Completed w/in 1 yr Program Target Group No. Employ Discrim complaints filed annually No. Fair Housing Discrim complaints filed annually No. Public Accom Discrim complaints filed annually No. State Svc Discrim complaints filed annually Program Activities # Investig/closing Employ Discrim cases 368-3, hrs # Investig/closing Fair Housing Discrim cases 368-3, hrs # Investig/closing Accomm Discrim cases 368-3, hrs # Investig/closing State Svc Discrim cases 368-3, hrs

Planned 75 75 75 75 Planned 300 50 30 5 Planned 300 50 30 5

FY2012 Actual 68 37 46 --FY2012 Actual 329 44 37 5 FY2012 Actual 280 34 31 0

FY2013 Estimated 60 60 60 75 FY2013 Estimated 300 50 30 5 FY2013 Estimated 280 35 30 5

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

The HCRC investigates, conciliates, litigates, and adjudicates complaints of discrimination in employment, public accommodations, housing, and state-funded services.

The HCRC Enforcement Database is designed to capture information on complaint investigations, maintain records, and produce reports. The HCRC also uses web-based U.S. EEOC IMS and U.S. HUD TEAPOTS databases.

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Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

The HCRC desires to upgrade technology with an electronic filing and document storage initiative designed to reduce cost and improve efficiency and service by developing an enforcement database with a web-based application that collects, processes, files, stores, tracks, and creates reports from information captured on complaint investigations.

The HCRC conducts investigations of complaints of discrimination in employment, housing, public accommodations, and state-funded services. The information gathered in the course of investigations is statutorily confidential, pursuant to HRS § 368-4. Data from dual-filed complaint investigations is shared with the U.S. EEOC and U.S. HUD pursuant to workshare/cooperative agreements. The HCRC is currently in the process of upgrading its legacy Access/SQL database from the current Access 97 version so that it can be migrated to a new server without loss of functionality. This upgrade (< “Pending Review”) is funded with FY 2012 GF as part of a larger LBR IT upgrade. The migration and installation (est. “Pending Review”) will have to be paid out of FY 2013 funds.

D.1.7.3 OFFICE OF LANGUAGE ACCESS
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Office of Language Access.

Table 23: Office of Languate Access

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable.

Office of Language Access – State of Hawaii

Department of Labor and Industrial Relations

To promote equal access to and full participation in government services, programs, and activities for persons with limited English proficiency through oversight, coordination and assistance to state and state-funded agencies.

Language Access for All

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Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Goal (1): To promote public awareness and ensure that the Limited English Proficient (LEP) population is informed of and educated about their rights. • Objectives/Strategies to achieve Goal (1):
– Establish and nurture working relationships with partners to develop awareness about

language access.
– Establish and hold a Language Access Month celebration in September of each year. – Conduct outreach to LEP communities. – Develop multilingual materials and website. – Undertake mass media campaigns.

Goal (2): To ensure that all state and covered entities are in compliance with language access requirements. • Objectives/Strategies to achieve Goal (2):
– Develop guidelines and provide training and technical assistance to state and

covered entities.
– Establish a data collection and reporting system for state agencies. – Conduct a monitoring process and implement a compliance rating system for state agencies.

Goal (3): To assist in the development of an adequate pool of trained and competent language service providers. • Objectives/Strategies to achieve Goal (3):
– Conduct a language access needs, resource, and cost analysis in the State of Hawaii. – Develop a directory of language service providers in the State of Hawaii. – Facilitate training programs for language service providers. – Develop statewide standards for interpretation and translation.

Goal (4): To develop OLA staff expertise and resources. • Objectives/Strategies to achieve Goal (4):
– Acquire additional funding and staffing for the office. – Provide staff training and development. – Develop a resource library. – Interface and network with language access practitioners nationwide.

Goal (5): To ensure the timely resolution of complaints about language access. • Objectives/Strategies to achieve Goal (5):
– Develop tools, processes and procedures for handling complaints. – Provide education and training to agencies on the complaints process. – Conduct outreach to LEP communities on the complaints process. – Develop responsive methods of resolving conflicts.

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Goal (6): To provide statewide leadership in the area of language access. • Objectives/Strategies to achieve Goal (6):
– Provide models and educate agencies about best practices. – Serve as a clearinghouse for information and resources on language access. – Cultivate, maintain, and strengthen alliances, partnerships and collaborations. – Propose and support needed legislation. – Provide leadership in technological solutions to language access problems.

Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

Number/percentage of state and state-funded agencies in compliance with Hawaii’s Language Access Law. Data source: Reports from agencies on a semi-annual basis. Number of Instances when technical assistance is provided/number of agencies served. Data source: Running internal tally. Number of educational and outreach activities held/ number of people served, trained, or educated/ number of printed materials distributed. For example: sponsoring and conducting trainings; researching and responding to inquiries; distributing newsletters and other educational printed and electronic materials; etc. Data source: Running internal tally. Number of language access complaints resolved. Data source: Running internal tally. Number of agencies monitored. Data source: Running internal tally.

Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description.

• Establish statewide goals and objectives relating to improving access by LEP individuals to the programs, services, and activities of state and state-funded agencies. • Provides central coordination to state and state-funded agencies in the development and implementation of their language access plans. • Provides oversight and monitors compliance by state and state-funded agencies with Hawaii’s language access law. • Provides technical assistance and training to state and state-funded agencies in the establishment and implementation of their language access plans. • Resolves complaints through informal methods. • Conducts research concerning the language access needs of LEP populations and evaluates the availability, adequacy, and accessibility of language access services in the State of Hawaii. • Works with public and private agencies, including community organizations, to address resource needs, come up with innovative methods, and improve the effectiveness of language access services. • Monitors, analyzes, and reports on legislation pertaining to language access and the LEP population of Hawaii. • Adopts rules and guidelines pursuant to Chapter 91 HRS.

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• Reports and makes recommendations to the Governor and the Legislature regarding steps taken and to be taken to improve and increase meaningful access to language access services by the LEP population. • Encourages and fosters local action on behalf of the LEP population. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. Audio-Visual system (Adobe connect.) Server Website: http://hawaii.gov/labor/ola

Provide a multi-lingual website Use most current operating systems (currently on Windows 2003 – sometimes have difficulty reading more documents generated by more current applications, i.e. – this very document.) Provide document translation technology. Provide electronic interpreter/translator locator.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

1. We receive a semi-annual LEP service utilization report from state agencies, on a spreadsheet we prepared and distributed, with information that includes:
• Number of encounters/times language services provided; • The languages involved. • The type of language service provided – e.g.: oral or written, etc. • Expenditures by agency to provide the service.

2. We review LEP demographic and socio-economic data from DBEDT and the US Census. 3. We periodically conduct surveys of agencies, i.e. – we recently distributed a vital documents translation survey seeking information on number of documents translated, and into which languages. Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. Most immediately, we would like to provide a multi-lingual website to the public. We do not know how long and how much this project would cost. It has not been funded.

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D.1.8 DEPARTMENT OF PUBLIC SAFETY
The Department of Public Safety (PSD) State Agency has three (3) attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits.

D.1.8.1 CRIME VICTIM COMPENSATION COMMISSION
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Crime victim Compensation Commission. Table 24: Crime Victim Compentation Commission

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals. Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13.

Crime Victim Compensation Commission

Department of Public Safety

The mission of the Crime Victim Compensation Commission is to mitigate the financial impact suffered by victims of violent crime by paying unreimbursed expenses for crime-related loses experienced by victims who suffer physical or emotional injury, or death, as the result of a violent crime.

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The Commission’s goals are as follows: To provide each claimant with compassionate and timely compensation to pay unreimbursed expenses for crime-related loses. To ensure that offenders are held accountable for the restitution that is ordered and to ensure that victims receive timely payment of the restitution paid by the offender.

The Commission’s performance metrics are as follows: • Average length of time from date application received to date of decision mailed in weeks; data is measured on an annual basis; estimated measure for FY2012 is 20 weeks and target for FY2013 is 16 weeks. • Average length of time from award to purchase order preparation in weeks; data is measured on an annual basis; estimated measure for FY2012 is 3 weeks and target for FY2013 is 2 weeks. • Percent of claimants who receive compensation; total awarded claims ÷ total claims received; data is measured on an annual basis; estimated measure for FY2012 is 73% and target for FY2013 is 75% • Average compensation award made; total compensation amount awarded ÷ total number of cases processed for payment; data is measured on an annual basis; estimated measure for FY2012 is “Pending Review” and target for FY2013 is “Pending Review”

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Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can.

The Commission currently performs two functions. First, the Commission handles crime victim compensation claims by disbursing funds to pay un-reimbursed expenses for crime-related losses experienced by victims who suffer physical or emotional injury, or death, as the result of a violent crime. Second, the Commission collections restitution from inmates and parolees and disburses the funds collected to the victim(s) as identified in the appropriate court order.

• The Commission has a basic informational website hosted on the Department of Public Safety’s website. • The Commission does occasional web-based skip-tracing through Experian and Accurint. • The Commission does not maintain any servers in-house. The databases and files utilized are maintained on servers by PSD’s MIS office. • The Commission utilizes two proprietary Access databases to handle our two primary functions (“CVCC Case Management” for victim compensation and “CVCC Restitution Manager” for restitution collection). The databases were developed by independent contractors almost 10 years ago. • For the restitution division, the Commission also utilizes two other proprietary computer “programs” which are Access-based, and which are available on the network to other users within the Department of Public Safety, as authorized. The two programs, “POHU IN” and “CVCC Restitution Receipts”, are connected to the CVCC Restitution Manager program, and allows users to track restitution balances and to submit restitution payments to the Commission. These programs were also developed by an independent contractor approximately 5 years ago. • The Commission’s restitution staff also have limited read-only access to other agencies’ databases through the network, including ITA, HPA and OffenderTrak. • The Commission’s administrative assistant also utilizes a computer program called “DataMart” to interface with the department’s fiscal system, and an online service called “CentreSuite” to manage our P-Card services through First Hawaiian Bank. • All Commission staff have access to LotusNotes for email, to the department’s intranet, and to internal share folders. • The Commission also uses other technologies in-house including a postage meter and a networked copy/print/fax/scan machine.

Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

In the future, the Commission would like to provide expanded web-based services to both victims and defendants involved in restitution cases. There are no concrete plans or budget to initiate these changes, but the Commission hopes to some day make restitution balances available online to the relevant parties (i.e., the offender and those to whom restitution has been ordered by the court), and perhaps make it possible for offenders to make restitution payments online as well. Additionally, the Commission may want to add the ability to accept credit card payments toward restitution. Currently, only money orders and cashiers checks are accepted.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

The Commission’s restitution division collects information about court-ordered restitution and crime victim compensation fee orders for inmates and parolees throughout the state of Hawaii. Restitution accounts are established for each criminal case with a separate restitution order, and these accounts are used to store case information such as effective dates and involved parties, and to store payment information generated as money is accepted by the agency, and as payments are subsequently disbursed to victims. The Access database CVCC Restitution Manager stores all of this data.

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The Commission’s victim compensation division uses the CVCC Case Management database to store information about victim compensation claims such as demographics, administrative decision information, and monetary transaction information Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from. The Commission’s current information management structure requires that we utilize several disjointed databases and programs to process restitution collection. This has resulted in many hours of wasted time and duplicative work. We are currently in the process of writing an RFP for a new database system to replace CVCC Restitution Manager that will be more efficient and robust, and which will be integrated with databases utilized by partner agencies to process restitution collection. This new database will integrate CVCC Restitution Manager and CVCC Case Management into one system that allows for synchronized restitution reimbursement processing, while maintaining full functionality for the two discreet function areas of the Commission. This new database will likely do away with POHU IN and CVCC Restitution Receipts.

D.1.8.2 HAWAI`I PATROLLING AUTHORITY
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Hawaii Patrolling Authority.

Table 25: Hawai`i Patrolling Authority

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Hawai`i Paroling Authority

Attached to the Director of the Department of Public Safety

Serves as the central paroling authority for the State of Hawaii and responsible for the administration of and discharge of all parole and community supervision programs and services for the State.

Currently in development due to changes in Statute that take affect on July 1, 2012.

Determine and establish appropriate minimum terms of imprisonment against judiciary imposed maximum sentences; Determine whether any eligible individual is in-fact ready for release on parole and the element of risk to the community is minimal; and, Determine whether to revoke or suspend parole and recommit parole violators to prison

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Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have.

Performance measures and metrics are outlined in HPA’s annual

Provide supervision, counseling, guidance, and identified services to the parole population in an effort to assist with their successful transition and reintegration back into society.

All technology used is standard that would be generally be found in any similar type State agency.

The HPA currently has two separate projects on-going to enhance our use of technology. The first is the upgrade to our database to facilitate more in-depth management reports and substantial increase the amount of data electronically captured and stored on the offender population. The second project is updating our video conferencing capabilities that will allow the HPA to conference with offenders housed on the mainland and simultaneously with various County Prosecutor Offices around the State that are geographically separated by hundreds of miles of ocean. The HPA will also be undertaking a “parolee mapping” project with the Department of the Attorney general via a federal grant that will facilitate the gathering of information related to the parole population, migration patterns, residence and employment history information, etc. This will help with long-term planning for resources needed in the community for this population as well as gather a host of information data sets that can be utilized throughout the criminal justice system. At present, the HPA shares it’s database with the Department of Public Safety. Although, the Department has limited access to HPA’s data.

Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

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Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

The HPA is currently working on implementing major changes that are the result of a Justice Reinvestment Initiative (ACT 139) that takes effect on July 1, 2012. The initiative makes substantial changes to State Law as is relates to offenders parole at the end of their minimum sentence, first time parole violators, and increase the number of parole board members from 3 to 5. ACT 139 also provides for 3 additional parole officers and 1 administrative support staff member.

D.1.9 DEPARTMENT OF TRANSPORTATION
The Department of Transportation (DOT) State Agency has four (4) attached agencies. The following tables are representative of feedback that was captured electronically and via personal visits.

D.1.9.1 OAHU METROPOLITAN PLANNING AUTHORITY
The table below summarizes the mission, vision, goals and objectives, business functions or services, technology current state, technology future state, information (data) and projects for the Ohau Metroplitan Planning Authority. Table 26: Oahu Metropolitan Planning Organization

Name of Attached Agency, Board, or Commission Department or other Organization Attached or Reporting To Mission Statement A brief statement that describes the mission of your agency, board, or commission. Generally one sentence that describes what it is your organization is intended to accomplish. Vision Statement If you have a vision statement, a brief description of what you want your organization to become, if applicable. Strategic Goals and Objectives The strategic goals of your agency, board, or commission, as well as any accompanying objectives. Goals are high-level outcomes you wish to achieve, objectives are more detailed, more specific, or limited in time and/or scope. Objectives support goals.

Oahu Metropolitan Planning Organization

Department of Transportation

To serve the public by providing high-quality regional planning services to an ever-changing island community.

---

Goal 1: Be The Best Goal 2: Help Our Partners Be Their Best Goal 3: Remain Flexible Goal 4: Build Consensus Goal 5: Maintain Credibility

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Goal 6: Use All Resources Efficiently Goal 7: Approach Each Project As A Team Goal 8: Develop Exceptional Staff Performance Metrics Please indicate the performance metrics you use to manage your agency, board, or commission. Provide the metrics’ name, formula (if calculated), data source(s), periodicity of measurement, units, baselines, actuals for FY12, and targets for FY13. Business Functions or Services The actual things that your organization does – what functions does it perform, and what services does it provide. For each function or service, please provide a brief (1-2 sentence) description. The Long-Range Oahu Regional Transportation Plan (ORTP) is a comprehensive document that identifies issues and opportunities for improving all modes of transportation on Oahu. It has a 25-year planning horizon, and any project that is included in the ORTP is eligible for Federal transportation funding assistance. Conversely, a project that is not included in the ORTP is not eligible for Federal transportation funding assistance. The Transportation Improvement Program (TIP) is a short-range (4 year) project programming document that establishes when projects identified in the ORTP will be built or implemented. It also identifies project funding sources and the agency responsible for building or implementing the project or program. The Overall Work Program (OWP) is an annual two-year rolling document that identifies 1.) work elements that are necessary to support a continuous, comprehensive, coordinated transportation planning program and, 2.) transportation planning projects to support an efficient multi-modal transportation network. Studies and plans vary somewhat year-to-year, but, in general, identify transportation issues, a variety of opportunities for improvement, public input on the various potential improvements, analysis of relevant data, and a final recommendation for action. The Regional Travel Demand Forecasting Model (TDFM) is a sophisticated computer model that is used to forecast future travel demand or conditions assuming certain changes in landuse or the transportation network. Technology – Current State Please describe any technology in use by your agency, board, or commission beyond standard laptops, network connections, and productivity software. List any servers, websites, or applications that you use, even if they are paid for by someone else. Provide as much detail as you can. Technology – Future State If you plan on or desire to upgrade your technology in the future, please describe what you would like to have. OahuMPO website at www.oahumpo.org, developed and hosted by ehawaii.gov One Dell Small Business Server networking seven machines. All workstations use Windows 7 and Microsoft Office applications. Two workstations use TransCAD software for operation of the TDFM. Two workstations use ArcView GIS software for mapping and spatial analysis. ---

The TIP requires the maintenance of a database that includes the details of each project. Currently, OahuMPO, HDOT, and the City & County of Honolulu Department of Transportation Services must maintain their own individual database of projects. We would like to explore the possibility of creating a database that is shared between all agencies such that any project information that is changed by one agency would be viewable by all other agencies. A database shared in this way would efficiently disseminate the latest project information and help keep all agencies coordinated in the project development and implementation process.

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Information If you collect, create, or use information or data, please describe the type of information, and the source and/or using system. Also indicate if anyone else uses your data.

We survey households on travel behavior via a trip diary. We ask survey participants to keep track of where, when, and how they travel for a 24 hour period. The resulting data is used to calibrate the TDFM. We use transit use and route information from Oahu Transit Services in the TDFM. We use any traffic count data from the City & County of Honolulu and from HDOT in the TDFM. We use U.S. Census data for current population, employment, and households in the TDFM. We use the Census data to analyze Title VI and Environmental Justice impacts of transportation projects as well. We use population and employment forecasts from the Department of Business, Economic Development, & Tourism to forecast future conditions for the TDFM. The City & County of Honolulu Department of Planning and Permitting allocates the island-wide Census data to smaller analysis zones, which we also use. We use bridge and pavement condition data from the City & County of Honolulu and from HDOT to inform our transportation planning process. We use State-developed GIS layers regarding the location of environmentally and culturally sensitive areas and historic areas to analyze potential impacts of transportation projects.

Projects If you currently have, or are planning to have, any projects underway to modernize, update, upgrade, or transform your business processes or technology, please describe these projects below. For example, if you have an IT system you plan to replace, please briefly describe the new system, when the project will start and finish, and how much it will cost. Indicate whether the project is currently funded or unfunded, and the program code(s) that the funding comes from or will come from.

We are beginning a project updating our website. It is anticipated that the project will begin at the end of August and be completed by September 2013. The funding for this project (“Pending Review”) will come from FHWA PL34 funds.

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ENTERPRISE ARCHITECTURE (EA) – BLUEPRINT FOR CHANGE APPENDIX E – TECHNOLOGY TRENDS
Table of Contents | 1

TABLE OF CONTENTS
E. TECHNOLOGY TRENDS..............................................................................................................................................................................4 E.1.0 Introduction...................................................................................................................................................................................5 E. 1.1 Internet of Things ........................................................................................................................................................................8 E.1.2 Cloud Computing..........................................................................................................................................................................9 E.1.2.1 Definitions and Benefits .....................................................................................................................................................9 E.1.2.2 Current Status .....................................................................................................................................................................10 E.1.2.3 Composite Clouds...............................................................................................................................................................10 E.1.3 Mobile ..........................................................................................................................................................................................11 E.1.3.1 Rapid Growth in Mobile Continues.................................................................................................................................11 E.1.3.2 Mobile-Centric Applications and Interfaces................................................................................................................11 E.1.3.3 U.S. Government Embraces Mobile ...............................................................................................................................12 Discussion ...................................................................................................................................................................................12 Key Strategies ............................................................................................................................................................................12 E.1.4 Consumerization ........................................................................................................................................................................13 E.1.4.1 Implications for Large-Scale Computing ......................................................................................................................13 E.1.4.2 Implications for Central IT ................................................................................................................................................14 E.1.5 Big Data .......................................................................................................................................................................................14 E.1.5.1 Companies are Capturing and Digitizing More Information .....................................................................................14 E.1.5.2 The Three V’s of Big Data .................................................................................................................................................14 E.1.5.3 Some Big Data Tools and Products................................................................................................................................15 E.1.6 Analytics...............................................................................................................................................................................17 E.1.6.1 What Does the Term “Analytics” Mean? ................................................................................................................17 E.1.6.2 Key Trends in Analytics ...............................................................................................................................................18 Big Data becomes a central focus in key analytics domains ..................................................................................18 Self-service and mobile BI become increasingly popular ........................................................................................18 Analytics becomes a normal business activity, not a one-off special function ...................................................18 The cloud becomes increasingly important .................................................................................................................18 Social networking will play a larger role into corporate decision making ............................................................18 E.1.6.3 The Emerging Role of the Data Scientist .................................................................................................................18 E.1.7 Social Technologies...........................................................................................................................................................19 E.1.7.1 The Rise of Enterprise 2.0............................................................................................................................................19 E.1.7.2 Numerous Options are Available ..............................................................................................................................20

Table of Contents | 2

LIST OF FIGURES Figure 1: Strategic Technologies and Trends Roadmap..........................................................................................................................5 Figure 2: Technologies and trends are interrelated and interdependent............................................................................................5 Figure 3: The Internet of Things (From Intel, Inc.) .....................................................................................................................................7 Figure 4: The Composite Cloud ...................................................................................................................................................................10 Figure 5:The three V’s of Big Data ..............................................................................................................................................................15 Figure 6: Big Data Landscape .....................................................................................................................................................................15

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E. TECHNOLOGY TRENDS
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E. TECHNOLOGY TRENDS
The following information was compiled by as an independent validation of the Top Priority Areas identified by the CIO and State of Hawai`i Working Groups.

are opening the door to a new set of rules for operations, performance and competition. This is an opportunity for IT to truly help elevate business performance, and the IT Strategic Plan and Enterprise Architecture for the State of Hawaii are designed with that central goal in mind. The strategic technologies discussed in this section are shown in the Figure 1.

EVERYTHING IS INTERCONNECTED
Even though the strategic technologies and trends shown in Figure 1 are discussed individually in this document, it is important to note that all are interrelated and often interdependent. For example, cloud computing and mobile technologies increasingly go hand in hand. Similarly, the Internet of Things, mobile, consumerization Big, Data, and analytics are often tightly interdependent concepts. As time goes on, more and more organizations will tend to view all of these developments as being highly interdependent, as shown in Figure 2. Given these interdependencies, the most effective way to leverage these strategic technologies and trends for improved business performance is through the holistic perspective offered by a well-managed enterprise architecture process.

E.1.0 INTRODUCTION
This appendix highlights certain critical technology trends that will be of strategic importance for the State of Hawaii during the 2012 – 2015 period. Factors that denote high strategic significance include the potential for significant positive or negative impact on the business of the State, the possible need for major investments in these technologies, and the high potential for adverse consequences if the State is late to adopt. A strategic technology can be an existing technology – like cloud computing – that continues to evolve and become suitable for a wider range of uses. Or it might be an emerging technology that offers an opportunity for strategic business advantage for early adopters or the potential for significant market disruption in the next five years. This is an uncommon time in the evolution of the IT industry. Rarely do we see so many powerful forces in play at one time. These major trends are evolving rapidly, converging with one another, and already impacting business operations in major ways. Whether or not organizations have previously thought of their businesses as being inherently digital entities, the convergence of these forces makes that fact clear. The IT industry now offers an exciting new set of tools, and these

Figure 2: Technologies and trends are interrelated and interdependent

Figure 1: Strategic Technologies and Trends Roadmap

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E. 1.1 INTERNET OF THINGS

Across all industries around the world, more and more devices and processes are becoming embedded with sensors, giving them the ability to communicate. The resulting information networks are creating create new business models, improving business processes, and reducing costs and risks. Traditionally, information has moved within organizations along familiar routes. Proprietary, structured information has been typically stored in databases and data warehouses. This information was then analyzed in reports – often with a backward-looking focus – and then rises up the management chain. Information also originates externally—gathered from public sources, harvested from the Internet, or purchased from information suppliers. But the predictable pathways of information are changing. With embedded sensors of all kinds, the physical world itself is becoming a type of information system in what is often called the “Internet of Things.” These sensors and actuators are embedded in physical objects—from roadways to buildings to trucks to pacemakers— and linked through wired and wireless networks, often using the same Internet Protocol (IP) that connects the Internet. These networks generate huge volumes of data that flow to computers for analysis (refer to Big Data below). When objects can both sense the environment and communicate, they become tools for understanding complexity and responding to it swiftly. What’s revolutionary about all this is that these physical information systems are now beginning to be deployed to work largely without human intervention.

As shown in Figure 3, a few years ago the traditional flows of information began to change, almost imperceptibly at first, but then in a surge of change. Myriad devices were soon connected to the Internet, and people were creating content in multiple forms, for consumption by a wide variety of users, on an increasing array of devices. That proliferation is still happening, with important implications for all organizations in all industries. The Internet of Things infographic shown in Figure 3 was developed by Chris Humphrey of Intel. It provides a snapshot of how the number of connected devices has exploded since the birth of the Internet and the PC, as well as a glimpse forward to 2020. For the original infographic discussion refer to: http://newsroom. intel.com/docs/DOC-2297 As this chart illustrates, the Internet may be huge, but it’s going to get a lot bigger. For example, there will be 31 billion devices and 4 billion people will be connected to the internet by 2020.

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Figure 3: The Internet of Things (From Intel, Inc.) 7 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix E

E. 1.1 INTERNET OF THINGS
Across all industries around the world, more and more devices and processes are becoming embedded with sensors, giving them the ability to communicate. The resulting information networks are creating create new business models, improving business processes, and reducing costs and risks. Traditionally, information has moved within organizations along familiar routes. Proprietary, structured information has been typically stored in databases and data warehouses. This information was then analyzed in reports – often with a backward-looking focus – and then rises up the management chain. Information also originates externally—gathered from public sources, harvested from the Internet, or purchased from information suppliers. But the predictable pathways of information are changing. With embedded sensors of all kinds, the physical world itself is becoming a type of information system in what is often called the “Internet of Things.” These sensors and actuators are embedded in physical objects—from roadways to buildings to trucks to pacemakers— and linked through wired and wireless networks, often using the same Internet Protocol (IP) that connects the Internet. These networks generate huge volumes of data that flow to computers for analysis (refer to Big Data below). When objects can both sense the environment and communicate, they become tools for understanding complexity and responding to it swiftly. What’s revolutionary about all this is that these physical information systems are now beginning to be deployed to work largely without human intervention. As shown in Figure 3, a few years ago the traditional flows of information began to change, almost imperceptibly at first, but then in a surge of change. Myriad devices were soon connected to the Internet, and people were creating content in multiple forms, for consumption by a wide variety of users, on an increasing array of devices. That proliferation is still happening, with important implications for all organizations in all industries. The Internet of Things infographic shown in Figure 3 was

developed by Chris Humphrey of Intel. It provides a snapshot of how the number of connected devices has exploded since the birth of the Internet and the PC, as well as a glimpse forward to 2020. For the original infographic discussion refer to: http://newsroom. intel.com/docs/DOC-2297 As this chart illustrates, the Internet may be huge, but it’s going to get a lot bigger. For example, there will be 31 billion devices and 4 billion people will be connected to the internet by 2020. Here are a few other important facts and figures from the chart:
• During 2008, the number of things connected to the Internet

exceeded the number of people on Earth. By 2020, there will be 50 billion things connected to the Internet. And these things are not just smartphones and tablets. For example, a Dutch startup called Sparked is using wireless sensors on cattle. When a cow is sick or pregnant, the sensor sends a message to the farmer. With these devices, each cow transmits 200 megabytes of data every year.
• By the end of 2011, 20 typical households will generate more

Internet traffic than the entire Internet as it existed in 2008.
• With the new IPv6 protocol, we now have 340,282,366,920,

38,463,463,374,607,431,768,211,456 possible Internet addresses, or 100 for every atom on the face of the Earth. The “Internet of Things” is obviously closely related to Big Data (with embedded sensors being a major contributor to Big Data), as well as new-era analytics, through which all of this information is put to effective, forward-looking business use. All of these developments have important implications for information technology is organized and managed across the State of Hawaii.

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E.1.2 CLOUD COMPUTING
Cloud computing has been a major technology trend for the past three or four years now. But the cloud model continues to evolve rapidly and will have an even more sweeping impact for most companies across most industries over the next three years. All IT vendors and service providers understand this importance and have cloud computing offerings and services as a core central element of their own strategic roadmaps. This means that as we move through 2012 and beyond, we will see the full range of large enterprise IT providers fully engaged in delivering a range of offerings to build cloud environments and deliver cloud services

E.1.2.1 DEFINITIONS AND BENEFITS
What is the cloud and what are its benefits? There are countless views on these questions, so it is best to turn to the most widely accepted source of official guidance, at least in the government environment, the National Institute of Standards (NIST). Here is a summary of the NIST position on cloud computing: http://www.nist.gov/itl/cloud/index.cfm Cloud computing is a model for enabling convenient, ondemand network access to a shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider interaction. This cloud model promotes availability and is composed of five essential characteristics (On-demand self-service, Broad network access, Resource pooling, Rapid elasticity, Measured Service); three service models (Cloud Software as a Service (SaaS), Cloud Platform as a Service (PaaS), Cloud Infrastructure as a Service (IaaS)); and, four deployment models (Private cloud, Community cloud, Public cloud, Hybrid cloud). Key enabling technologies include: (1) fast wide-area networks, (2) powerful, inexpensive server computers, and (3) high-performance virtualization for commodity hardware. The Cloud Computing model offers the promise of massive cost savings combined with increased IT agility. It is considered critical that government and industry begin adoption of this technology in response to difficult economic constraints. However, cloud computing technology challenges many traditional approaches to data center and enterprise application design and management. Cloud computing is currently being

used; however, security, interoperability, and portability are cited as major barriers to broader adoption. Wikipedia offers a good summary of cloud computing benefits and key characteristics: http://en.wikipedia.org/wiki/Cloud_computing • Agility improves with users’ ability to re-provision technological infrastructure resources. • Application programming interface (API) accessibility to software enables machines to interact with cloud software in the same way the user interface facilitates interaction between humans and computers. • Cost is claimed to be reduced and in a public cloud delivery model capital expenditure is converted to operational expenditure. This is purported to lower barriers to entry, as infrastructure is typically provided by a third-party and does not need to be purchased for one-time or infrequent intensive computing tasks. Pricing on a utility computing basis is fine-grained with usage-based options and fewer IT skills are required for implementation (in-house). • Device and location independence enable users to access systems using a web browser regardless of their location or what device they are using (e.g., PC, mobile phone). As infrastructure is off-site (typically provided by a third party) and accessed via the Internet, users can connect from anywhere. • Virtualization technology allows servers and storage devices to be shared and utilization be increased. Applications can be easily migrated from one physical server to another.

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• Scalability and Elasticity via dynamic (“on-demand” provisioning of resources on a fine-grained, self-service basis near real-time, without users having to engineer for peak loads. • Security could improve due to centralization of data, increased security-focused resources, etc., but concerns can persist about loss of control over certain sensitive data, and the lack| of security for stored kernels. Security is often as good as or better than other traditional systems, in part because providers are able to devote resources to solving security issues that many customers cannot afford. However, the complexity of security is greatly increased when data is distributed over a wider area or greater number of devices and in multi-tenant systems that are being shared by unrelated users. In addition, user access to security audit logs may be difficult or impossible. Private cloud installations are in part motivated by users’ desire to retain control over the infrastructure and avoid losing control of information security. • Maintenance of cloud computing applications is easier, because they do not need to be installed on each user’s computer and can be accessed from different places.

Organizations that choose to stay with the private cloud model for a while will be challenged to bring operations and development groups closer together. They will have to come up with ways to reconcile certain aspects of ITIL – which entails rigorous processes – to synch with key attributes of the private cloud model – which often entails agility and speed on the applications side. Many organizations will migrate toward “DevOps” concepts (designed to better link development and operations) in order to approach the speed and efficiencies of public cloud service providers. As noted above, the concept of cloud computing has been around for quite a while. (It was referred to as “utility computing” in its early phases of evolution.) But it was not until about 2007 that the concept began to jell as a clear and promising IT solution model for the mass of organizations. It then took another year or so for the idea to be taken seriously by many companies. As a result of its short history, many of cloud concepts and terms continue to evolve. For example, today we have such terms as public cloud, private cloud, hybrid cloud, community cloud, personal cloud, infrastructure a service, platform as a service, software as a service, data as a service, and so on. New names and variations among these names will appear as time goes on. These are too many names for what is basically a single underlying concept (utility computing), so we will eventually see convergence and simplification.

E.1.2.2 CURRENT STATUS
Cloud momentum is strong and building. Most enterprises have already moved from trying to understand what cloud computing means to making decisions on selected workloads to implement on various cloud options. Many companies began their cloud experimentation with the safer, but more limited, “private cloud” option. However, movement toward the public cloud option is accelerating rapidly. “Hybrid cloud” computing, which integrates aspects of external public cloud services and internal private cloud services, as well as the capabilities to secure, manage and govern the entire cloud spectrum, has been a major focus for 2012 and will remain a central focus the next three years.

E.1.2.3 COMPOSITE CLOUDS
Most organizations will require a blend of the currently defined cloud options, customized for their particular business needs. In this forecast, we call these optimized combinations of cloud options “composite clouds” (Figure 4). Skilled “cloud brokers,” either internal experts or external providers, will offer cloud brokerage services to help companies define a composite cloud architecture that is optimal for their specific needs.

Figure 4: The Composite Cloud State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix E | 10

“Composite” clouds represent an advanced form of cloud services that are only now in the early stages of adoption. They are analogous to the hybrid model but more encompassing in terms of the use of all available options to meet defined business objectives. The large business and technology consulting company Deloitte calls these optimized cloud combinations “Hyper Hybrid” clouds. But by whatever name, the approach will rapidly become the norm for cloud services architecture as all types of organizations will be trending toward composite clouds. The State of Hawaii is also moving toward an optimized composite cloud approach.

business lives. Mobile applications not only empower individuals but have important cascade effects, stimulating growth, entrepreneurship, and productivity throughout the economy as a whole. Gartner says at least 50% of enterprise email users will rely primarily on a browser, tablet, or mobile client instead of a desktop client by 2016. Mobile application development projects targeting smartphones and tablets will outnumber native PC projects by a ratio of 4-to-1 by 2015. Gartner also states: “Smartphones and tablets represent more than 90 percent of the new net growth in device adoption for the coming four years, and increasing application platform capability across all classes of mobile phones is spurring a new frontier of innovation, particularly where mobile capabilities can be integrated with location, presence and social information to enhance the usefulness.”

E.1.3 MOBILE
In recent years, the combination of smart mobile devices and mobile applications connected to high-speed networks and the cloud has fundamentally changed the IT industry, as well as most businesses. The mobile revolution has also led to the consumerization of IT and remains a key strategic opportunity for all organizations, including the State of Hawaii.

E.1.3.2 MOBILE-CENTRIC APPLICATIONS AND INTERFACES
The user interface model that has been the norm for more than 20 years is changing. Interfaces with typical windows, icons, menus, and pointers will be replaced by mobile-centric interfaces emphasizing touch, gesture, search, voice and video. Applications will shift toward more focused and simple models that can be assembled into more complex solutions, which are still simple and intuitive for the end user. These changes will drive the need for new user interface design skills. Developers must be able to build application user interfaces that span a variety of device types, potentially from many vendors. This requires an understanding of fragmented building blocks and an adaptable programming structure that assembles them into optimized content for each device. Mobile consumer application platform tools and mobile enterprise platform tools are emerging to make it easier to develop in this cross-platform environment. HTML5 is one long term model that addresses some of these cross-platform issues. Gartner says that by 2015, mobile Web technologies will have advanced sufficiently, so that half the applications that would be written as native apps in 2011 will instead be delivered as Web apps.
Enterprise Architecture | Appendix E

E.1.3.1

RAPID GROWTH IN MOBILE CONTINUES

Mobile communications is “moving to a new level” according to a new World Bank report released in July 2012. http://www. rappler.com/world/8786-it-s-a-mobile-world The report says more than three-fourths of the world’s population now has access to a mobile phone and a fastexpanding range of uses for the technology. There are currently over 6 billion mobile subscriptions globally, up from just below 1 billion in 2000. “Mobile telephony has been one of the most quickly adopted technologies of all time,” the report said. “Even more astounding, mobile networks have roughly doubled in size every two years since 2002. This “mobile revolution” is transforming the way people live, helping to create new businesses, and changing the way we communicate. This includes mobile apps, a companion area of growth for mobile devices. Over 30 billion mobile applications were downloaded in the past year, extending the capabilities of phones and making them integral parts of our personal and

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E.1.3.3

U.S. GOVERNMENT EMBRACES MOBILE

DISCUSSION
As noted above, advances in smartphones and other mobile devices, notably tablet computers, are transforming them from items of convenience to the primary means of digital interaction. Mobility will not just connect more of the economy to the Web, but also offer advantages previously impossible in business. By putting mobility at the heart of their product and their organizational processes, government entities and companies will better engage customers, constituents, and employees. The power and adaptability of smartphones and tablets have convinced hundreds of millions of users—not just young people— to abandon laptops or leapfrog past them altogether. Mobile life opens up myriad possibilities for companies, in both commerce and the workplace. By enabling connections anytime, and making productive use of the dead time that comes even in busy lives, these devices enable far more frequent and multidimensional interaction than was practical before.

In May of 2012, the U.S. Federal government released “The Digital Government Strategy.” This 12-month action plan for the deployment of new technology is designed to enable the delivery of digital information and services anytime, anywhere, on any device, safely and securely-throughout the Federal workforce and to the American public. The report states that: http://www.cio.gov/pages.cfm/page/Creating-a-FuturereadyDigital-Government-Today The use of laptops, smart phones, and tablets in government agencies continues to rapidly grow. Mobile computing enables the implementation of effective telework across the Federal government to ensure the continuity of operations as well as reduce management costs and the Federal government’s footprint, which ultimately leads to higher-performing and more efficient organizations. Workplace as a Service (WPaaS) will provide a virtual desktop interface that looks and feels like a traditional desktop while leveraging the power, security, and data provided by the department’s two Enterprise Data Centers. This virtual desktop enables DHS personnel to perform their mission wherever there is access to the Internet or the DHS internal network, including through the use of handheld devices like smart phones and tablets. WPaaS delivers multiple benefits by replacing traditional desktops and laptops with virtual computing that provides asneeded operating systems and applications at monthly, pay-peruse service with scalability-all supported by a robust security model. WPaaS promises to reduce operating costs, increase operational flexibility, and simplify administrative management, while efficiently using resources by eliminating surpluses of outdated and underutilized equipment. The essential elements of interoperability and openness, reduced and transparent operational costs, strategic planning from the outset and effective portfolio and program governance ultimately enable the government to move to and effectively capitalize on new technologies in the 21st century. The Digital Government Strategy provides a solid execution plan to leverage the power of today’s technologies and provide more open, efficient, and effective services for the American public.

KEY STRATEGIES
Against this backdrop, it is clear that organizations in all industries, including state government, must become mobilefriendly. Some organizations still see mobility as presenting excessive risk and limit employees’ use of smartphones. That can discourage the very kinds of people organizations most need today. Instead of reacting with excessive control and risk avoidance, organizations are shifting to a mindset that draws on the energies of employees, especially younger ones. The goal is to develop policies that respect essential security needs while fostering versatile communication and collaboration. Future advances will make what is already an engaging and accessible environment only more so. Organizations cannot afford to miss out of these opportunities to improve business performance. Mobile functionality will extend beyond what we can now imagine. New operating systems offer richer and more user-friendly interfaces. New chips and receivers achieve wider coverage and much faster connection, as well as longer battery life. Mobile devices can now be always available, connect instantly, and offer rich, natural interaction. Combine pervasive access with data processing in the cloud – overcoming the once formidable processing advantage of personal computers – and mobility becomes the platform of choice. The mobile revolution is a major factor in the information technology strategy and architecture for the State of Hawaii.

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E.1.4 CONSUMERIZATION
Consumerization is a term used to describe the growing tendency for new information technology to emerge first in the consumer market and then spread into business and government organizations. The emergence of consumer markets as the primary driver of information technology innovation is seen as a major IT industry shift because large business and government organizations dominated the early decades of computer usage and development. That is no longer the case. Consumers today have more choice, more options, and more flexibility in the technology that they use every day—from powerful mobile devices and computers to the social networks that they use to connect with each other. As that technology spills over into their professional lives, the line between personal and professional use is blurring. People want to use the same technology at work as they use at home. Although consumer technology offers some great potential benefits for the business, it also represents added risk in terms of security, privacy, and compliance. For IT, it’s about striking a balance between user expectations and enterprise requirements. Consumerization is forcing businesses, especially large enterprises, to rethink the way they procure and manage IT equipment and services. Historically, central IT organizations controlled the great majority of IT usage within their firms, choosing, or at least approving, the systems and services that employees used. Consumerization enables alternative approaches. Today, employees and departments are becoming increasingly self-sufficient in meeting their IT needs. Products have become easier to use. As a result, there is increasing interest in “Bring Your Own Device” or BYOD strategies, where individual employees can choose and often own the computers and/or smart phones they use at work. The Apple iPhone and iPad have been particularly important in this regard. Both products were designed for
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individual consumers, but their appeal in the workplace has been significant and growing. Equally importantly, large enterprises have become increasingly dependent upon such “consumerized” services as search, mapping, and social media. The capabilities of firms such as Google, Facebook, and Twitter are now essential components of many firm’s marketing strategies. One of the more serious implications of consumerization is that security controls have been slower to be adopted in the consumer space. As a result there is an increased risk to the information assets accessed through these less trustworthy consumerized devices.

E.1.4.1 IMPLICATIONS FOR LARGE-SCALE COMPUTING
In addition to the mass market changes above, consumer markets are now changing large scale computing as well. The giant data centers that have been and are being built by firms such as Google, Apple, Amazon and others are far larger and generally much more efficient than the data centers used by most large enterprises. Supporting these consumer-driven volumes requires new levels of efficiency and scale, and this is transforming many traditional data center approaches and practices. Among the major changes are reliance on low cost, commodity servers, softwaredefined data centers, and largely unmanned data center operations. The associated software innovations are equally important in areas such as algorithms, artificial intelligence, and Big Data. In this sense, consumerization seems likely to transform much of the overall computing stack, from individual devices to many of the most demanding large-scale challenges.

Enterprise Architecture | Appendix E

E.1.4.2 IMPLICATIONS FOR CENTRAL IT
As users take more control of the devices they will use, business managers will be exercising more control of the IT budgets. This will change many long-standing practices built around the premise that central IT would manage and control these budgets. The IT organization of the future must be adept at coordinating those who have the budget, those who deliver the services, those who secure the data, and those consumers who demand to use their own technologies in ways that optimize their own performance and contribution to the goals of the business.

E.1.5.1 COMPANIES ARE CAPTURING AND DIGITIZING MORE INFORMATION
According to IDC, the world produced one zettabyte (1,000,000,000,000 gigabytes) of data in 2010. Fueling this data explosion are over six billion mobile phones, 30 billion pieces of content shared on Facebook per month, 20 billion Internet searches per month, and millions of networked sensors connected to mobile phones, energy meters, automobiles, shipping containers, retail packaging and more (see Internet of Things above). But that is just the beginning. IDC says that by 2020, the amount of data will have grown 44-fold, to 35 trillion gigabytes. Fueling the growth will be the evolution of all major forms of media – voice, TV, radio, print – from analog to digital.

E.1.5 BIG DATA
Flowing in part from the Internet of Things and the Mobile Revolution discussed above is “Big Data,” perhaps the most discussed major trend in 2012, and likely to remain so over the next couple of years. O’Reilly Radar says Big Data is data that exceeds the processing capacity of conventional database systems. The data is too big, moves too fast, or doesn’t fit the strictures of typical database architectures. To gain value from this data, organizations must choose alternative ways to process it. The effective use of Big Data has become viable as costeffective approaches have emerged to tame the volume, velocity and variability of massive data. Within these data lie valuable patterns and information, previously hidden because of the amount of work required to extract them. To leading corporations, such as Walmart or Google, this power has been in reach for some time, but at a fantastic cost. Today’s commodity hardware, cloud architectures, and open source software bring Big Data processing into the reach of the less well-resourced. Big Data processing is eminently feasible for even the small garage startups, who can cheaply rent server time in the cloud.

E.1.5.2 THE THREE V’S OF BIG DATA
Big Data is best thought of as a platform – an evolving collection of tools, skills, technologies, and methods – for transforming all of this data into actionable items for business decision making. As noted above, Big Data is no longer a specialized issue reserved for cutting-edge technology companies. It is evolving into a viable, cost-effective way to store and analyze large volumes of data in a multitude of forms and formats across many industries. Big Data does not just include big volumes of data (terabytes and petabytes), but also the need for faster access to that data, as well as the need for integrating structured data with unstructured content. One popular way to describe Big Data is through the “Three V Methodology.” This is a comprehensive strategy for addressing

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all aspects of Big Data, and balancing the technical aspects of all three dimensions such that the target data architecture satisfies an organization’s needs on all three dimensions: Volume, Variety, and Velocity. The journal Data Science Central offers a chart by Diya Soubra that shows how these three factors define Big Data (Figure 5).

Figure 5:The three V’s of Big Data

E.1.5.3 SOME BIG DATA TOOLS AND PRODUCTS
Big Data technologies like Apache Hadoop provide a framework for largescale, distributed data storage and processing across clusters of hundreds or even thousands of networked computers. The overall goal is to provide a scalable solution for vast quantities of data (terabytes/petabytes/exabytes) while maintaining reasonable processing times. These systems are incredibly effective for storing and analyzing large volumes of structured as well as unstructured or semi-structured data such as text, web or application logs, email, web pages, documents, and images. Forbes Magazine has put together a nice chart presenting a snapshot view – it is changing fast – of the Big Data Landscape, as shown in Figure 6. http://www.forbes.com/sites/ davefeinleib/2012/06/19/the-big-datalandscape/
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Figure 6: Big Data Landscape

The barriers to entry for Big Data analytics are rapidly shrinking. Big Data cloud services like Amazon Elastic MapReduce and Microsoft’s Hadoop distribution for Windows Azure allow companies to develop Big Data projects without upfront infrastructure costs and allow them to respond quickly to scaleout requirements. Commercial vendor support from companies like Cloudera can speed development and deliver more value from Big Data projects. Bundled server options such as Oracle’s Big Data Appliance offer fast setup and scale-out solutions. Finally, modular data center designs are emerging as a way to efficiently manage hardware and scale-out rapidly and cost-effectively. Harlan Smith, Manager, Hitachi Consulting, says in an article in the Wall Street Journal the companies likely to get the most out of Big Data analytics include: http://allthingsd.com/20120110/big-data-analytics-trends-towatch-for-in-2012/
• Supply chain, logistics, and manufacturing — With RFID

uses. New regulations also require detailed financial records to be maintained for longer periods.
• Energy and utilities — Smart instrumentation such as

“smart grids” and electronic sensors attached to machinery, oil pipelines and equipment generate streams of incoming data that must be stored and analyzed quickly to uncover and fix potential problems before they result in costly or even disastrous failures.
• Media and telecommunications — Streaming media,

smartphones, tablets, browsing behavior and text messages are captured at ever-increasing rates all over the world, representing a potential treasure trove of knowledge about user behavior and tastes.
• Health care and life sciences — Electronic medical records

sensors, handheld scanners, and on-board GPS vehicle and shipment tracking, logistics and manufacturing operations produce vast quantities of information offering significant insight into route optimization, cost savings and operational efficiency
• Online services and web analytics — Internet companies

systems are some of the most data-intensive systems in the world and making sense of all this data to provide patient treatment options and analyze data for clinical studies can have a dramatic effect for both individual patients and public health management and policy.
• Retail and consumer products — Retailers can analyze vast

quantities of sales transaction data to unearth patterns in user behavior and monitor brand awareness and sentiment with social networking data. Big Data adoption will continue to be driven by the need to remain competitive is a world driven by the Internet of Things and the Mobile Revolution. To accomplish this, companies will need to intelligently incorporate Big Data into their existing information management systems and take advantage of the developing ecosystem of integration and analysis tools. As we move into the age of Big Data, companies that are able to put this technology to work for them are likely to find significant revenue generating and cost savings opportunities that will differentiate them from their competitors and drive success well into the next decade.

invented Big Data specifically to handle processing information at Internet scale. Implementation of these analytical platforms is now viable for smaller online services companies to provide an edge over competitors for advertising, customer intelligence, capacity planning and more. Companies who don’t offer online services but do have an ecommerce or other online presence will benefit greatly from understanding customer behavior and buying patterns via clickstream, cohort analysis and other advanced analytics.
• Financial services — Financial markets generate immense

quantities of stock market and banking transaction data that can help companies maximize trading opportunities or identify potentially fraudulent charges, among various other

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E.1.6 ANALYTICS
Across all industries around the world, organizations increasingly understand the need to get full business value from the massive amounts of information their organizations are rapidly accumulating (see Big Data above). New technologies are collecting more data of different kinds than ever before, and organizations must leverage new technologies to obtain business value from this data. The ability to analyze data to find out what happened in the past and why it happened are no longer adequate. With today’s face pace of change, leaders and front-line, customer-facing employees need to know what is happening now, what is likely to happen next and, what actions they should take for optimal results. That is where a new era of analytics comes into play.

• Consumer behavior • Intelligence • Retail sales • Financial services • Risk and credit • Marketing • Behavioral sciences • Fraud prevention • Telecommunications • Transportation

E.1.6.1 WHAT DOES THE TERM “ANALYTICS” MEAN?
“Analytics” is a term that means different things to different people. Basically, it involves the discovery and effective (that is, timely and clear) communication of meaningful patterns in data. Analytics often entails the simultaneous application of statistics, computer software, and various other context-specific methods and technologies to glean insights from data. Data visualization methods are often used to communicate these insights. Analytics are usually based on modeling requiring extensive computation (see Big Data above) and thus the algorithms and software used for analytics tend to bridge the disciplines of computer science, statistics, and mathematics. Here are a few of the many domains where analytics is exerting an increasingly important role:
• Healthcare • Supply chain

Here are few of categories of activity that can be defined as falling under the broad umbrella of analytics:
• Statistics – Apply statistical data analysis to drive

fact-based decisions.
• Text Analytics – Optimize the value buried in unstructured

data assets.
• Predictive Analytics and Data Mining – Build descriptive

and predictive models and deploy results throughout the enterprise.
• Data Visualization – Enhance analytic effectiveness with

dynamic data visualization.
• Forecasting – Analyze and predict future outcomes based on

historical patterns.
• Model Management and Monitoring – Streamline the process

of creating, managing and deploying analytical models.

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• Operations Research – Leverage optimization, project

scheduling and simulation techniques to identify the actions that will produce the best results.
• Quality Improvement – Identify, monitor and measure quality

processes over time.

E.1.6.2 KEY TRENDS IN ANALYTICS
Accenture recently made some projections as to the key trends taking place in the area of analytics. Paraphrasing and condensing their projections, they are:

understand, and act upon analytical information in the context of their own routine business processes. As end users become more familiar with analytics and embed it in their normal activities, they will become more expert in the discipline and move beyond foundational analytic tools to more advanced capabilities. This process of maturation in analytics will be driven be the growing amount of data to be managed and increasing demand for more accurate and actionable insights.

The cloud becomes increasingly important
As noted above in the section on cloud computing, the cloud can offer major economic advantages for enterprise processes that require computing and data storage resources, which analytics often does. Therefore, as organizations deal with severe budget pressures, as well as analytics skill shortages, they will continue to focus on cloud-based solutions as part of their overall analytics strategy. However, broader adoption of the cloud in support of analytics will have to take into account business requirements for key data security, management, and architecture considerations.

Big Data becomes a central focus in key analytics domains
Whether organizations desire this development or not, they will soon be confronted with Big Data challenges. They will either have to learn how to manage and use this proliferation of data or risk being inundated by it. Most will develop (or acquire) the skills and methods needed to manage Big Data, and they will apply appropriate analytics methods to use it effectively. Methods for storing and processing Big Data, such as Hadoop and MapReduce, have grown rapidly in popularity and use. This is happening because many organizations have already begun to experiment with Big Data technologies as a complementary form to traditional data warehousing architectures. Going forward from 2012 through 2015, many of those organizations will move out of the experimental phase and launch production deployments. However, the scarcity of skills in Big Data technologies will continue to present challenges.

Social networking will play a larger role into corporate decision making
Social technologies and methods will be used to help perform analytics, collaborate on decisions, and communicate results. As analytics and social collaboration capabilities begin to coalesce (Figure 2), companies will be forced to look at enterprise collaboration in a way that is tied to key business processes and goals. This includes data analysis and decision–making, both within the enterprise and across the extended enterprise.

Self-service and mobile BI become increasingly popular
The rise in the consumerization of IT (see above) together with the increasing demand for real-time location and context-based business information will place a premium on the simplicity, flexibility, and the reach of self-service and mobile analytics options. The move toward end user self-sufficiency will impact the way BI and analytics insights are developed, consumed, and delivered. New form factors will bring improvements to the user experience, including mobile BI, integrated analytical search, inmemory analytics, interactive visualization, and data discovery. These trends will present yet another set of challenges to central IT, which will be responsible for managing new and more diverse communities of empowered users, but without excessively limiting the new-found freedom and flexibility of empowered users.

E.1.6.3 THE EMERGING ROLE OF THE DATA SCIENTIST
The tsunami of data mentioned above in such sections as The Internet of Things and Big Data is creating the need for a new role in enterprise IT. This role requires a unique blend of business, technical, and communications skills. The term “data scientist” has been given as the job title for an employee or business intelligence consultant who excels at analyzing data, particularly large amounts of data, to help a business gain a competitive edge. This position is gaining acceptance with large enterprises interested in deriving meaning from Big Data, the voluminous amount of structured, unstructured and semi-structured data that a large enterprise produces. A data scientist possesses a combination of analytic, machine learning, data mining and statistical skills as well as experience with algorithms and coding. Perhaps the most important skill a data scientist possesses, however, is the ability to explain the significance of data in a way that can be easily understood by others. This in turn requires the ability to understand the

Analytics becomes a normal business activity, not a one-off special function
In the past, analytics activities were typically performed in the background by groups with highly specialized skills (but sometimes lacking in business knowledge). Today’s organizations are applying analytics techniques across all parts of the enterprise, often directly by business process owners and experts, to support critical decisions in real time. This trend reflects a deeper move toward institutionalizing key aspects of the analytics process. This enables more end users to access,
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business needs of the customer for whom data science services are being provided. A data scientist helps companies make sense of the massive streams of digital information they collect every day, everything from internally generated sales reports to customer tweets. As the CEO of EMC Corporation said, “data scientist doesn’t only look at one data set and then stop digging. They need to find nuggets of truth in data and then explain it to the business leaders.” Data scientists have been a fixture at online companies like Google and Amazon for years. But increasingly organizations across all industries, government and private, are hiring computer science and business technology experts who can analyze all their data and provide intelligence that leads to better business decisions or new products. Data science has become such a hot field that EMC convened the first-ever data scientist summit in Las Vegas in May of 2012 and 300 people attended. In August of 2011, AOL Jobs called data scientist the “Hottest Job You Haven’t Heard Of.” To land one of these positions, AOL suggests that professionals should earn a general business degree, such as a Bachelor of Business, and focus on bolstering their technical background. Today, many schools offer technology certificates in subjects like data mining and data analysis, which can help people gain the high–tech skills they need if they already have a bachelor’s degree in a business–related discipline.

The basic rationale for such organizations is that in situations of rapid change, such as we face today, only those that are flexible, adaptive, and productive will excel. To possess this capability, organizations need to discover how to tap people’s commitment and capacity to learn at all levels. While people as individuals have the capacity to learn, the structures in which they have to function are often not conducive to reflection and engagement. Furthermore, people may lack the tools and guiding ideas to make sense of the situations they face. Organizations that are continually expanding their capacity to create their future require a fundamental shift of mind among their members. And they require a modern collaboration infrastructure. A Senge noted in his research, when you ask people about what it is like being part of a great team, what is most striking is the meaningfulness of the experience. People talk about being part of something larger than themselves, of being connected, of being generative. It becomes clear that for many of us, our experiences as part of truly great teams stand out as singular periods of life lived to the fullest. Some of us spend the rest of our working lives looking for ways to recapture that spirit. Modern social technologies and related methods make these kinds of experiences much more likely. In recent years, social technologies and methods have provided the means to achieve the kind of vision Senge had in mind when he defined the learning organization. The State of Hawaii will leverage these technologies and methods to help ensure that the State becomes an exemplar among all states in our ability to learn, collaborate, communicate, and operate in an agile and highly responsive manner to better meet the needs of our citizens.

E.1.7 SOCIAL TECHNOLOGIES
An organization’s ability to learn, and translate that learning into action rapidly, is the ultimate competitive advantage.
– Jack Welch

E.1.7.1 THE RISE OF ENTERPRISE 2.0
Even though the use of social networking technologies and methods within the enterprise, often referred to as to as “Enterprise 2.0,” is not new, these technologies will continue to exert a major influence in enterprise IT over the next three years and will play a key role in the State of Hawaii’s IT Strategic Plan. This is important because Enterprise 2.0 represents a fundamental change in how organizations operate, and companies will continue to develop competitive advantage and deliver improved services through the use of these technologies.

In his classic 1990 work “The Learning Organization,” MIT’s Peter Senge defined learning organizations as: Organizations where people continually expand their capacity to create the results they truly desire, where new and expansive patterns of thinking are nurtured, where collective aspiration is set free, and where people are continually learning to see the whole together.

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E.1.7.2 NUMEROUS OPTIONS ARE AVAILABLE
One of the most popular forms of Enterprise 2.0 is the business wiki. The wiki is a tried-and-true collaborative system that is good for small tasks, like keeping up with a staff directory or a dictionary of industry jargon, as well as large tasks, like charting the development process of large products or holding online meetings. This is one the easiest ways to begin implementing Enterprise 2.0 into the workplace. Blogs can also enhance communication and collaboration within an organization. For example, a human resources blog can be used to post corporate memos, and frequently asked questions can be quickly asked and answered in blog comments. Blogs can also be used to keep employees informed of major events concerning the organization or happening within an agency or department. In essence, blogs can provide that top-to-bottom communication that management needs to provide while doing so in an environment where employees can easily ask for clarification or make suggestions. For larger companies, social networking can also provide an excellent way to find specialized skills and knowledge in a timely way. Through “profiles,” for example, a person can detail the projects they have worked on and the various skills and knowledge they have. These profiles can then be used by others to search and find the perfect person for helping out with a particular task. For example, if a state agency head is having a meeting with an international company and would like to have an employee on hand that speaks a specific language, a quick search of the state’s social network can create a list of candidates. Large IT vendors, like SAP and Cisco Systems, now say the market is ripening up for a more mature and robust version of social networking. Vendors are starting to think about how to integrate with existing business systems, with supply chain management representing one area of huge, untapped potential.

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ENTERPRISE ARCHITECTURE (EA) – A BLUEPRINT FOR CHANGE APPENDIX F – RADIO PLAN
Table of Contents | 1

TABLE OF CONTENTS
F. STATEWIDE RADIO SYSTEM, INFRASTRUCTURE, AND SERVICES PLAN..................................................................................6 SECTION 1: INTRODUCTION .........................................................................................................................................................................8 1.0 Purpose .................................................................................................................................................................................................9 2.0 Scope.....................................................................................................................................................................................................9 3.0 Document Overview...........................................................................................................................................................................9 4.0 Mission..................................................................................................................................................................................................9 5.0 Vision .....................................................................................................................................................................................................9 6.0 Goals ......................................................................................................................................................................................................9 7.0 Objectives ...........................................................................................................................................................................................11 SECTION 2: ALIGNMENT WITH GOVERNMENT REGULATIONS AND REQUIREMENTS .............................................................12 SECTION 3: PROVEN BEST PRACTICES ...................................................................................................................................................14 1.0 Work from the Bottom Up ...............................................................................................................................................................15 2.0 Actively Engage Stakeholders .......................................................................................................................................................15 3.0 Leverage Associations/Stakeholder Group Representatives ................................................................................................15 4.0 Promote Shared Decision-making Within Each Governance Component ..........................................................................15 5.0 Promote Transparency ....................................................................................................................................................................15 6.0 Establish and Articulate a Shared Understanding of Goals....................................................................................................15 7.0 Develop Bylaws and/or a Charter .................................................................................................................................................15 8.0 Secure Sufficient Funding ..............................................................................................................................................................15 9.0 Schedule SIEC Meetings on a Regular Basis ............................................................................................................................15 10.0 Establish Voting Procedures.........................................................................................................................................................15 11.0 Maintain a Manageable Voting Membership ...........................................................................................................................15 12.0 Stipulate SIEC Chair Selection Procedures ..............................................................................................................................13 13.0 Ensure Representation for all First Responders.......................................................................................................................13 14.0 Establish Regional Interoperability Committees (RICs) ..........................................................................................................13 15.0 Form Working Groups ....................................................................................................................................................................13 16.0 Determine Management Focus ...................................................................................................................................................13 17.0 Work Closely with the Statewide Interoperability Coordinator (SWIC) ..............................................................................13 18.0 Recognize and Deal with Technological Limitations ...............................................................................................................13

Table of Contents | 2

SECTION 4: GOVERNANCE ..........................................................................................................................................................................17 1.0 Issue and Scope Assessment........................................................................................................................................................19 2.0 CIO Oversight & Coordination ........................................................................................................................................................19 3.0 Development of A Notional RACI Matrix .....................................................................................................................................20 4.0 Public Safety Connectivity & Requirements ...............................................................................................................................20 5.0 Hawai‘i BTOP Application and LTE Waiver.................................................................................................................................22 6.0 Nationwide Public Safety Broadband Network – The Future ................................................................................................22 SECTION 5: EXISTING STATE COUNCILS, COMMITTEES AND WORKING GROUPS ....................................................................25 1.0 Āuenue Executive Council ..............................................................................................................................................................26 2.0 State of Hawai‘i Radio User’s Group (SHRUG) ...........................................................................................................................26 3.0 700 MHz Regional Planning Committee .......................................................................................................................................26 4.0 800 MHz Regional Planning Committee .......................................................................................................................................27 5.0 Hawai‘i Wireless Interoperability Network (HWIN) .................................................................................................................27 6.0 Statewide Communications Interoperability Plan (SCIP) ........................................................................................................28 SECTION 6: MAJOR SCHEDULED EVENTS (MILESTONES AND REOCCURRING) .........................................................................31 1.0 Radio Program Milestones (Non-Staffing)..................................................................................................................................32 2.0 Radio Program Milestones - Near Term Capital Projects .......................................................................................................32 3.0 Radio Program Milestones (Staffing) ...........................................................................................................................................33 SECTION 7: COSTS ........................................................................................................................................................................................34 1.0 Identified Program costs including those that have been requested by the OIMT ...........................................................35 2.0 Critical Success Factors .................................................................................................................................................................36 3.0 Assumptions ......................................................................................................................................................................................36 4.0 Technical Constraints ......................................................................................................................................................................36 SECTION 8: MINIMUM RECOMMENDATIONS ......................................................................................................................................37 SECTION 9: RISKS..........................................................................................................................................................................................39 SECTION 10: RESOURCE REQUIREMENTS ..............................................................................................................................................41 1.0 FY14 Team Structure (notional)......................................................................................................................................................42 2.0 FY14(+1) Team Structure (notional) ...............................................................................................................................................42 SECTION 11: ROLES AND RESPONSIBILITIES........................................................................................................................................43 1.0 Program Staffing Plan......................................................................................................................................................................46 2.0 Contract Services Requirements ..................................................................................................................................................47 SECTION 12: DELIVERABLES ......................................................................................................................................................................48 1.0 Program Deliverables ......................................................................................................................................................................49

3 | Table of Contents

SECTION 13: PROGRAM CONTROLS.........................................................................................................................................................51 1.0 Federal Reporting .............................................................................................................................................................................52 2.0 State Radio program Annual Report (Annual)............................................................................................................................52 3.0 Annually/Perform Radio Technical Evaluations.........................................................................................................................52 4.0 Document Labeling and Confidentiality .......................................................................................................................................52 APPENDIX A: REFERENCES & ASSOCIATED DOCUMENTS ...............................................................................................................53 APPENDIX B: GLOSSARY OF ACRONYMS ..............................................................................................................................................53 LIST OF FIGURES Figure 1: SAFECOM Interoperability Continuum .....................................................................................................................................13 Figure 2: Coordinated Communications Interoperability Governance...............................................................................................18 Figure 3: Oversight .........................................................................................................................................................................................19 Figure 4: Public Safety Connectivity Types ..............................................................................................................................................20 Figure 5: Notional Program Illustration .....................................................................................................................................................21 Figure 6: Waiver Entities ...............................................................................................................................................................................22 Figure 7: Relationships of State Public Safety Radio Groups...............................................................................................................26 Figure 8: Radio Program Team Organization FY 14 .................................................................................................................................42 Figure 9: Radio Program Team Organization FY 15/16 ...........................................................................................................................42

Table of Contents | 4

LIST OF TABLES Table 1: Governance Impacts......................................................................................................................................................................19 Table 2: Notional RACI ..................................................................................................................................................................................20 Table 3: Milestones (Non-Staffing) ............................................................................................................................................................32 Table 4: Milestones (Staffing)......................................................................................................................................................................33 Table 5: Annual FY 14 Operating Costs ......................................................................................................................................................35 Table 6: Annual FY 15+ Operating Costs....................................................................................................................................................36 Table 7: Risks...................................................................................................................................................................................................40 Table 8: Roles and Responsibilities ............................................................................................................................................................44 Table 9: Program Staffing Plan by OIMT Entity .......................................................................................................................................46 Table 10 Minimum Program Staffing Plan ................................................................................................................................................47 Table 11: Contractor Requirements............................................................................................................................................................47

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F. STATEWIDE RADIO SYSTEM, INFRASTRUCTURE, AND SERVICES PLAN
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F | 6

F. STATEWIDE RADIO SYSTEM, INFRASTRUCTURE, AND SERVICES PLAN
EXECUTIVE SUMMARY
A review of the State’s Radio Program by the Office of Information and Management Technology (OIMT) concluded that there is insufficient funding and staff support to meet today’s Radio requirements. Radio programs now include land mobile radio (dispatch) radio systems that support first responders and regular government operations, radio infrastructure such as radio sites and towers, and high capacity microwave and fiber backhaul systems. Future efforts must support the roll out of public safety LTE and other wireless technologies that will make government agencies able to operate and interoperate in a responsive and efficient manner. Most agencies do not have dedicated Radio staff, and there are inconsistent standards and non-interoperable systems used across the state. The OIMT maintains the information technology (IT) and communications infrastructure for a large portion of the state agencies under the Officer of the Governor of the State of Hawai‘i. In addition to guidance and directives regarding radio and microwave systems, infrastructure, and services the Radio Chief, under the Chief Information Officer (CIO), also provides guidance, oversight and assistance regarding Radio operations for the State. The Radio Chief is responsible for formulating overarching State Radio policy and overseeing agency/office implementation and achieving the State’s strategic goals in support of the OIMT vision for enterprise Radio performance. Value to both the customer and the public is promoted through the use of State approved standards and industry best practices. With a compliment of 3 Radio Specialists identified to be hired FY2014, the OIMT Radio Communications Office will accomplish the following in FY 2015:
• Review existing Agency/Office licenses and notices • Updating of the Telecommunications Request (TR) process

for radio and microwave procurement
• Providing guidance to all public safety radio users in Hawai’i

through the Statewide Interoperability Coordinator (SWIC) With the hiring of one additional Radio Specialist per year until the OIMT reaches the recommended four specialists, and one Radio Officer, the Departmental Radio Office will be able to accomplish the following in addition to the above:
• Conduct Radio Technical Evaluation and Compliance

Reviews including licensing for the State as well as other Agencies and Offices
• Develop Role Based Radio Training and exercises to

reinforce that training
• Develop and Conduct Radio Workshops and Radio

Awareness Campaigns
• Vigilantly keeping current with new Radio legislation and

guidance, and promptly disseminating it and incorporating it into agency practices
• Increasing and stronger liaisons with external agencies,

commissions and working groups regarding Government wide Radio policies, initiatives, and matters
• Adoption of a very pro-active stance regarding Radio

guidance and implementation throughout the State to promote best practices and minimize risk while coordinating with other key programs • Availability for providing ongoing Radio subject matter expertise for the highest offices within the State, as well as increased ongoing support for Agencies including their Radio Officers.

concerning radio systems and use for accuracy and validity and correct where needed and provide guidance to Agencies/Offices
• Provide oversight and reviews of radio plans, ensuring

Agency Radio Officers and/or users utilize the approved enterprise architecture and to build out common plans for future enhancement of the system based on demonstrated business needs
• Updating of the radio procedure, standards, architecture,

and documentation, and the writing of new procedures and templates where needed

7 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F

SECTION 1: INTRODUCTION
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F | 8

1.0

PURPOSE

The operation of the wireless programs of the State of Hawaii is based on the following core assumptions and realities:
• The State has to “be there” before, during, and after

This document will provide a framework illustrating how the State will build on successful systems and programs and continue the work necessary to build an effective, efficient, and responsive program to support the public safety wireless communications systems and services required. This document will also define the steps and governance needed to build and guide a consistent and comprehensive statewide program.

emergencies and disasters when all else has failed.
• Interoperability requires pre-existing operability. • State agency radio operations shall move to the Statewide

Shared Blended (SSB) LMR system. – The State’s voice land mobile radio system is the most fundamental and important wireless service. – State agencies shall be limited to either Project 25 Phase 1 digital or narrowband analog FM. – The SSB provides a stable, reliable, and standards based foundation for day-to-day and emergency interoperability.
• The State will operate independent systems on Oahu

2.0

SCOPE

This document will define scope and structure for all Executive Branch agencies, including the Department of Education, using State funded radio systems such as, but not limited to, the shared State/USCG Āuenue and the Statewide Shared Blended (SSB) land mobile radio system. This document will not cover any elements of the deployment of Broadband LTE for Public Safety, as the requirements for this federal program will not be known until the FirstNet board issues their operational requirements and funding models. However, the document will acknowledge LTE impacts to its need of radio infrastructure. Radio activities can be placed in two categories: 1. The back office work to plan, acquire property and permits, build, license, operate, maintain, refresh, manage, and secure the State’s radio systems and their supporting infrastructure; and 2. The public face of the operation that includes user interface activities from outreach to services, allocating radio resources, establishing standards, providing subject matter expert help in radio issues, representing the State in groups that deal with frequency allocation and interoperability, coordinating MOUs relating to radio communications, and establishing and enforcing policies.

and work to collaborate with the rural counties to share infrastructure and systems.
• Promotion of the partnerships unique to the most isolated

archipelago in the world is vital.
• The State’s independent, hardened microwave back haul and

its supporting radio facility infrastructure will continue to be the key element underpinning the State’s wireless programs.

5.0

VISION

3.0

DOCUMENT OVERVIEW

This document describes the structure and method of the establishment of an Executive Branch Radio office and program structure. This document is a living document that will be kept current throughout the course of the program. The intended audience for this document is all executive Branch Agencies and all users of State funded radio systems such as, but not limited to, the shared State/USCG ‘Anuenue and the Statewide Shared Blended (SSB) land mobile radio system.

The OIMT must proactively develop and implement the best practices required to meet agency mission requirements. The OIMT will interpret and implement the rules and recommendations of the Federal Communications Commission (FCC), National Telecommunications, and Information Administration (NTIA), National Public Safety Telecommunications Council (NPSTC), Department of Homeland Security Office of Emergency Communications (DHS OEC). The OIMT will also review and incorporate the best ideas available from other standards, guidelines, and best practices used to comply with numerous laws and reporting requirements concerning radio and our licensed spectrum. The radio program will build out the SSB as the State radio/ microwave network that will meet all agencies needs while greatly increasing interoperable communications. The governance structures in place will be re-chartered and realigned to ensure their openness, transparency, and effectiveness. Each group will have a strong governance framework and charter that clearly defines role, members, scope, meeting requirements, and deliverables.

4.0

MISSION

The OIMT Radio Program mission is to ensure the effective use of radio systems funding, unify and simplify equipment purchases, and use and protect licensed spectrum, to oversee Radio compliance by the Executive Branch, and to fulfill all State and Federal legal requirements associated with Radio matters.

6.0

GOALS

The OIMT Radio Program’s goal is to achieve excellence in the establishment and operation of radio and microwave systems and facilities ensuring compliance and interoperability to be able to provide the communications facilities and services necessary

9 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F

to meet the State’s fiducial responsibilities to its citizens and employees. Risks to be minimized involve general compliance issues with wide-ranging and very serious ramifications: we must work to ensure that first responders and government employees responsible for essential operations have the communications tools necessary to carry out their missions, to ensure interoperability among and between our agencies and partners, to earn and keep the public trust; to keep the public informed, aware, and secure in times of trouble; and to guarantee compliance with State and Federal requirements, to prevent funding issues, additional scrutiny, and loss of State or public confidence. As the public’s agent, the State has a fiduciary responsibility to “be there” before, during, and after emergencies and disasters when all else has failed (the “last man standing” requirement). This most solemn obligation to provide for the common welfare can only be met when the government can communicate with its first responders, essential employees, and partners. We will not survive a Katrina-like response to a disaster or emergency without significant consequences. We simply cannot afford a piecemeal approach to a statewide problem and maintain business as usual. Regardless of the lure and opportunities of modern and complex technologies, the State’s voice communications network, i.e. land mobile radio (LMR) system, used to support public safety and essential government operations is the most fundamental and important wireless service. Emerging technologies such as Broadband LTE have promise for the distant future. However, LTE is far from ready for production use today or in the near future and, even if successful, may never fully supplant an uncomplicated, robust, and reliable LMR system for public safety. The State needs to support the infrastructure build up and build out required to handle the Broadband LTE and in so doing will help LTE become something we can depend upon to be operational and available in dire times when it will be needed the most. Support of communications interoperability can only occur after the State has properly taken care of the needs of its own agencies and employees, that is, operability comes before interoperability. The State cannot and should not solely rely on others to fill in the communications services gaps. Although partnerships and collaboration are important (see below), the State must have the power and ability to begin and energetically maintain a critical mass of infrastructure, systems, and services both for its own needs and to actually be able to provide resources to its partners in an equitable manner. The Final Report of the Select Bipartisan Committee to Investigate the Preparation for and Response to Hurricane Katrina noted “Massive inoperability — failed, destroyed, or incompatible communications systems … was the biggest communications problem in the response to Katrina … The loss of power and the failure of multiple levels of government to take the initiative to adequately prepare for its effect on communications hindered the response effort by compromising situational awareness and command and control operations…”

The State cannot wait the several days it would take for the deployment of the federal communications emergency communications superstructure. The State must be prepared to step in and provide a basic level of communications and interoperability for both State users and when county systems are overwhelmed or fail. The use of ACU-1000-like fieldmanaged cross connect systems will be deemphasized and system-to-system interconnections, from wire-line to Project 25 (P25) ISSI interconnections, will be promoted. In the field interoperability will focus on the use of standardized frequencies and procedures as developed by the State of Hawai‘i SCIP and on the deployment on on-scene low-power repeater packages such as the Transportable Repeater for Interoperable Communications (TRIC) package. The State must not neglect the care and feeding of the TRIC packages and the components of State agency radio caches and must actively coordinate, test, practice using, and refresh these types of initiatives. State LMR systems are standards based on P25 Phase 1. State LMR operations will stay P25 Phase 1 for as long as possible. Although systems will be designed to be forward looking, e.g. P25 Phase 2 compatible, the core infrastructure will be optimized for the better voice quality available on P25 Phase 1. In addition, P25 Phase 1 is required for talk-around (subscriber to subscriber) operation when infrastructure fails or users are out of range of the system. The only permitted modes of operation for all State agencies, including the Department of Education, shall be limited to either Project 25 Phase 1 digital or narrowband-compliant analog FM. To ensure unity and interoperability, State agencies, including the Department of Education, are prohibited from using any other modulation or signaling schemes, such as, but not limited to: TETRA, ETSI dPMR, the NXDN common air interface, Icom Digital Advanced System, Kenwood Nexedge, and/or Motorola Mototrbo. We note that the University of Hawaii has pursued a non-P25 approach to their digital LMR systems at several major campuses. The Statewide Shared Blended (SSB) provides a stable, reliable, and standards based foundation for day-to-day and emergency interoperability. State agencies currently operating independent LMR systems and stations in the UHF, 700, and 800 bands will move to and augment the SSB LMR system. Operators of VHF systems will be encouraged to move to the 700/800-based SSB where possible. However some activities, such as wilderness fire-fighting, will require some agencies to remain primarily on VHF frequencies. State agency purchases of subscriber radios, portables and mobiles, shall include the purchase to two sets of programming software and cables. One set shall be provided to the ICSD. Procuring programming capability will permit agencies to reprogram radios without waiting for or paying vendors. Because of the criticality of the island of O‘ahu to the economic engine of the State (major port, airport, medical, industry, military, and tourist facilities), the State will endeavor to operate its LMR system independently of the County of Honolulu. Although the State will build and operate independent wireless infrastructure on the neighbor islands to cover ports, airports, and major population centers, the State will, where possible, work to collaborate with the counties to share infrastructure and systems.
Enterprise Architecture | Appendix F | 10

State of Hawaii Business and IT/IRM Transformation Plan

The State shall develop a shared 7x24 dispatch center staffed with employees accredited by the Commission on Accreditation for Law Enforcement Agencies (CALEA) Public Safety Communications Accreditation Program . The State dispatch center should be created and operated in consort with the State’s law enforcement community to ensure that it has the culture and objectives necessary to support both day-to-day and emergency operations. The State will encourage by whatever legal, political, and financial means necessary the radio infrastructure and services partnerships unique to the most isolated archipelago in the world. Hawai‘i’s agencies cannot get rapid mutual aid from neighboring states. Transfer of assets and personnel from island to island in times of need are often limited to what an airplane can carry. Therefore the State will actively seek and promote non-traditional partnerships with the counties, federal government agencies, the U.S. military, and NGOs that have a role to play in disaster response. The shared ICSD / USCG Āuenue statewide digital microwave system and the SSB LMR system shared between the State and the County of Maui are prime examples of mutually beneficial partnerships. However, to avoid violating lease covenants and environmental constraints placed on use permits, the State will seek to minimize any partnerships with for profit entities at radio high sites and/ or that involve the use of State radio systems for transport of any for-profit traffic. A notable exemption to this policy is the microwave site sharing agreement between the State and Hawaiian Electric Industries, an agreement that required the approval of the Public Utilities Commission. The design, operation, maintenance, and acquisition of independent, hardened microwave back haul and its supporting radio facility infrastructure will continue to be the key element that ensures the survivability and viability of the State’s wireless programs. Survivable and hardened State backbone and critical spur facility infrastructure and radio links will be designed to survive a Saffir–Simpson Hurricane Scale Category 4 storm, be Seismic Zone 4 compliant regardless of county of location, and be able to operate for seven days (one week) without commercial power. Geographic, cultural, environmental, view plane, and land use constraints have often caused radio facilities to group together in close proximity at the limited locations available. The detrimental result has been path congestion such that microwave frequency resources, i.e. channels suitable for systems to use for long over water paths between islands, are almost completely committed on critical paths statewide. The State needs to expand its microwave radio interconnections wherever it can and aggressively maintain and protect its existing frequency and system resources. To ensure consistent standards of design, operation, maintenance, viability, and survivability control of high-capacity microwave radio links should be centralized, that is, independent agency back haul links should be brought into the common State system. High capacity microwave radio links should be designed for 99.9995% path reliability, i.e. no more than 158 seconds of outage per year. Emergency generators should be diesel fueled because in an emergency it is easier to deliver diesel than propane and new fuel polishing technologies can be used to
11 | State of Hawaii Business and IT/IRM Transformation Plan

eliminate previous issues with stagnant fuel. The State’s large scale emergency power systems, data center and radio site air conditioning systems, fire protection systems, and facility monitoring and alarm systems should be centrally managed based on standards and process to ensure survivability, operability, and reliability. Similarly, physical security, camera monitors, and facility alarms should be professionally monitored.

7.0

OBJECTIVES

The FTE and resources outlined in the program will be utilized to provide coordination, oversight, and comprehensive Radio program direction for all Radio matters across the State. This will support OIMT mission goals by focused use of funding, increased accountability, reduction of complexity and duplication, and enhancing functional integration and interoperability as well as the establishment of a statewide enterprise architecture. This single focus point will also permit increased alignment between State radio resources with OIMT enterprise initiatives. Support will be provided to agencies to aid in successfully complying with the various DHS-OEC reviews. The program will conduct improved oversight of the new procedures and training, which will decrease State risk and provide standardization and better interoperability. It will also provide support to all agencies on the system to comply with licensing and interoperability requirements. The inability of public safety officials to readily communicate with one another too often results in unnecessary loss of lives and property as seen in our nation’s recent experience with hurricanes Katrina and Rita and their aftermath. Collaboration and coordination between agencies and disciplines is important for government to deliver needed and life-saving services to the public and voice and data communication is integral to these cooperative efforts. The September 11, 2001 terrorist attacks on America and the delayed response in the Gulf graphically illustrate the need for interoperable radio communications between first responders, law enforcement, and emergency management officials from every level of government. Besides emergency first responders and law enforcement, there are a number of other state, local and federal agencies that also need to be able to communicate with one another — transportation, public health, utilities, and public works to just name a few. However, across the country these entities are still plagued by communications interoperability problems. The inability to communicate is a problem that is technical (due to limited and fragmented radio spectrum and proprietary technology), political (due to agencies and jurisdictions and different levels of government competing for scarce dollars, inhibiting the partnership and leadership required to develop interoperability), and cultural (agencies natural reluctance to give up management and control of their communications systems) and must be addressed on all these levels. A well defined interoperability governance model has been proven to provide the structure needed to bring the players together and promote an environment that helps bridge the gaps created by these obstacles.

Enterprise Architecture | Appendix F

SECTION 2: ALIGNMENT WITH GOVERNMENT REGULATIONS AND REQUIREMENTS
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F | 12

Solutions to communications interoperability often focus solely on equipment or technology, excluding the other factors that are also critical to success. The Nation is now pursing a multi-faceted approach to emergency communications. SAFECOM, a DHS program focused on communications interoperability, identified five interrelated elements that are essential to a foundation for seamless interoperability:
• Governance • Standard Operating Procedures (SOPs) • Technology • Training and Exercises • Usage

to achieve the best possible interoperability and compatibility. Furthermore, the Continuum should not only be read horizontally, but vertically as well. The implementation of initiatives requires attention in each of the lanes. For example, procurement initiatives should not solely focus on the technology lane, but should encompass every lane. Governance is needed to decide on the equipment requirements, SOPs that explain the equipment’s operational use need to be developed, training must occur on the new equipment, and usage must be ensured by all relative agencies on a daily basis. Achieving interoperability across the five lanes requires all agencies to participate in Public Safety Statewide Communications Interoperability Plan (SCIP) initiatives. Therefore, every SCIP initiative should leverage the stakeholders that are coordinated by the statewide governance system.

To help visualize the evolving interrelationship of these components, SAFECOM developed the Interoperability Continuum , shown in the figure below. As this graphic suggests, proficiency in all five of these elements is needed

Figure 1: SAFECOM Interoperability Continuum

SAFECOM suggests that states consider the following seven components of statewide governance systems in order to maximize statewide buy-in and consensus for interoperability decisions. The names of the fundamental components listed below are generic terms:
• Stakeholder Resource Pool

• Intrastate Regional Interoperability Committees (RICs)

This has been established through HWIN with four Regional Planning Zones: Hawai‘i, Kaua‘i, O‘ahu and Maui.
• State Agency Interoperability Committee

The State does have this in place across the various existing groups, but membership in the groups should be reviewed ensuring that there is appropriate representation
• Statewide Interoperability Coordinator’s Office (SWIC)

This was established as the SHRUG, which has not met in many months and needs to be re-formed with new governance and mission and lead by the SWIC.
• Initiative Working Groups (IWGs)

This function is informally occurring in the SCIP meetings.
• Federal Partnerships

The State does have a SWIC, which is currently in the SCD and is being moved into the Office of Information Management and Technology, which aligns closely with the recommendations of SAFECOMM .
• Statewide Interoperability Governing Body (SIGB)

This function is occurring at both the HWIN, and the Āuenue Executive Council levels. Hawai‘i does already have some of these similarly tasked entities and calls those entities by another name. Further alignment should take place ensuring that our existing groups are scoped with all the tasks as outlined in SAFECOM.
Enterprise Architecture | Appendix F

The States does have a form of this in the existing HWIN, but the existing scope is different and should be better aligned.
13 | State of Hawaii Business and IT/IRM Transformation Plan

SECTION 3: PROVEN BEST PRACTICES
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F | 14

The following compendium of recommendations and best practices was compiled from FCC guidance, the SAFECOM Governance Guide ( US Department of Homeland Security, December 2008), and best practices from other States, and is provided to promote the rapid start-up and successful operation of an effective Hawai‘i SIEC.

many stakeholders, it is essential to maintain commitment to the goals as time progresses.

7.0

DEVELOP BYLAWS AND/OR A CHARTER

1.0

WORK FROM THE BOTTOM UP

A successful governance program relies heavily on State and local emergency response practitioners for input and guidance as it works to define and implement interoperability solutions.

These are typically the first documents developed by a SIEC. It is recommended that Hawai‘i review bylaws and charters developed and implemented by other States and utilize them as a model in developing their bylaws and charters. Additionally, the SAFECOM publication “Creating a Charter for a MultiAgency Communications Interoperability Committee” provides direction and a template for the creation of a charter.

2.0

ACTIVELY ENGAGE STAKEHOLDERS

8.0

SECURE SUFFICIENT FUNDING

The governance system should represent the full range of emergency response interests that are affected by the interoperability challenge. This helps ensure that solutions address community needs and incorporate diverse perspectives.

3.0 LEVERAGE ASSOCIATIONS/STAKEHOLDER GROUP REPRESENTATIVES
Because associations can help amass broad practitioner input and build support for the decisions made by the governing body, it is important to ensure that they are well incorporated into the governance system.

Federal grant funding, usually from the Department of Homeland Security, is a major source of support for most SIECs. Funding is critical to the day-to-day operations of the SIEC to include: hiring sufficient staff/support personnel to manage and operate the SIEC; publishing and disseminating educational and meeting information; and paying for the travel expenses of voting members to attend SIEC meetings. In addition, a formalized funding plan must be developed to secure the long-range funding needed to sustain the SIEC and related interoperability efforts.

9.0

SCHEDULE SIEC MEETINGS ON A REGULAR BASIS

4.0 PROMOTE SHARED DECISION-MAKING WITHIN EACH GOVERNANCE COMPONENT
It is important to maintain accountability while supporting shared decision-making. Strong leadership and clearly defined roles and responsibilities are essential to achieving an effective balance.

A SIEC meeting calendar should be developed at the start of each year. At a minimum the SIEC should meet once a quarter. An agenda and read-ahead materials should be provided to attendees prior to each meeting and the meeting outcomes documented and posted on the State interoperability website.

10.0 ESTABLISH VOTING PROCEDURES
Clear voting procedures are necessary for conflict resolution. Procedures should specify issues requiring voting versus nonvoting participation, specific levels of agreement required (for example, simple majority vs. consensus) and procedures for breaking tie votes. In addition, procedures for e-voting should be established.

5.0

PROMOTE TRANSPARENCY

The membership, operations, and actions of the governing body must be clearly articulated and understood, not only within the entity itself, but also among the public.

11.0 MAINTAIN A MANAGEABLE VOTING MEMBERSHIP
Leverage national best practices and the State’s individual requirements to determine the appropriate stakeholder representation and voting membership for the SIEC. SIECs should keep their voting membership manageable to operate more effectively. SIECs typically designate 20 voting members.

6.0 ESTABLISH AND ARTICULATE A SHARED UNDERSTANDING OF GOALS
A shared vision is the foundation of an effective undertaking, while common goals provide momentum to move forward. Both are essential to any long-term group effort. In the case of interoperability-related governance, the diversity of the disciplines and jurisdictions involved makes agreeing on these common goals even more critical; as this issue encompasses so
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Enterprise Architecture | Appendix F

12.0 STIPULATE SIEC CHAIR SELECTION PROCEDURES
The selection of the SIEC Chair and (potentially) the Vice Chair positions is sometimes established in the Executive Order or legislation; but if not, these procedures should be stipulated in the Bylaws or Charter. Some states determine these positions through an election by the SIEC membership, usually with some level of state executive approval. The SIEC should also address succession planning and membership rotation.

15.0 FORM WORKING GROUPS
SIECs typically establish standing working groups (e.g., operations, technical and financial/ management) to manage ongoing activities of the SIECs between meetings or appoint ad-hoc or initiative working groups to address particular issues or problems of limited scope and/or timeframe.

16.0 DETERMINE MANAGEMENT FOCUS
SIECs are responsible for conducting outreach, overseeing SCIP implementation, reviewing grant applications, and measuring the State’s interoperability efforts. SIECs oversee interoperability initiatives throughout the state to ensure a coordinated and consistent statewide approach and to promote the interoperability needs of the State’s public safety agencies and first responders. During the initial standup and first year(s) of operation, it is important for SIECs to focus on spectrum management and the Interoperability Channels. Then once those issues have been addressed and the SIEC is well established, the focus should be more on education, operational and training responsibilities.

13.0 ENSURE REPRESENTATION FOR ALL FIRST RESPONDERS
While it is critical that SIECs are representative of public safety agencies at the local/county/regional/ tribal/state levels as well as leadership of first responder and public safety support organizations throughout the state. It is equally critical that the representatives nominated by first responder and support organizations (e.g., fire or police chief associations) represent all of the constituents of those organizations rather than just the organization itself, so as not to disenfranchise those who may not be members of the particular organization. In addition, the SIEC must ensure that personnel selected to represent various jurisdictions, disciplines, associations, or other entities have been authorized and empowered to do so in writing by the administrative body of the entity they represent.

17.0 WORK CLOSELY WITH THE STATEWIDE INTEROPERABILITY COORDINATOR (SWIC)
Along with practitioners, the SWICs and their staffs serve as key players and the focal point of the state’s interoperability efforts. The SWIC also plays an important role within most SIECs, serving as chair in some states, and in many states having management oversight for the day-to- day activities of the SIEC and its subcommittees and working groups.

14.0 ESTABLISH REGIONAL INTEROPERABILITY COMMITTEES (RICS)
In many states RICs serve as the primary mechanism for practitioners to communicate their needs, requirements and input to the State SIEC. SIEC officials should leverage appropriate governing bodies and county executives to reach out to regional and local policymakers to determine their interest in establishing a RIC, and, as appropriate, the SIEC should leverage existing State Homeland Security Regions or State Mutual Aid boundaries to determine its regional boundaries. Currently, each Hawai‘i County acts as a RIC.

18.0 RECOGNIZE AND DEAL WITH TECHNOLOGICAL LIMITATIONS
SIECs must continually deal with technology limitations in the course of their activities, to include interoperability challenges between neighboring agencies, across and between regions, and across multiple levels of government. Even those states with a single statewide system continue to experience challenges when communicating with the Federal government and neighboring states. In order to mitigate these issues, SIECs are continually tasked with formulating and implementing solutions to maintain needed communications, to include the use of gateways and shared channels.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 16

SECTION 4: GOVERNANCE
17 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

Although incompatible and aging communications equipment and the availability of radio spectrum are key reasons why public safety agencies can’t easily talk to each other, these technical elements cannot be adequately dealt with until the larger issues of limited funding, lack of planning, and the lack of coordination and cooperation are addressed. Interoperability requires more than equipment — open systems standards, critical incident management, training, and operational policies and procedures that govern interoperable communication systems need to be firmly in place as well. The principles of shared decision-making, accountability, business applications, and infrastructure must be part of the architecture. Interoperability must also be addressed as part of a coordinated, multi-jurisdictional response plan that involves law enforcement, firefighters, emergency medical services (EMS), emergency management, public utilities, transportation, and public health.

The state should begin by ensuring formalized interoperability oversight duties to coordinate efforts and provide reports and recommendations to the CIO, governor, and legislature. The governor should sanction the oversight body, by executive order or under statute ensuring it has proper authority. A charter for this function must be clearly outlined as to why the state is doing this, as well as chains of command for both approval and oversight of statewide standards. For a coordinated statewide governance system to succeed, each of the seven aforementioned components must exist, collaborate, and respect each other. Statewide interoperability cannot occur within a vacuum of any one component, nor can a component claim success without other components. The illustration below demonstrates the OEC-recommended methodology for statewide governance as suggested by the DHS.

Figure 2: Coordinated Communications Interoperability Governance

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 18

Again, it is important to note that this is a coordinated governance effort and not a hierarchal one. The SWIC provides support and coordination out to each entity and in return those bodies provide the SWIC with guidance and recommendations on policies, procedures, grant investments, and future strategy. Each of the components shares resources, with some members serving on more than one component. Composed of a crosssection of stakeholders representing all of these components, the Initiative Working Groups (IWGs) are the short and longterm committees whose members collaborate and move statewide initiatives forward. The SWIC, with assistance from the SIGB, assesses the best and brightest from each Table 1: Governance Impacts

governance entity, as well as from the stakeholder resource pool, and develops limited-term, matrix-based teams to implement a particular initiative on behalf of the statewide communications interoperability effort.

1.0

ISSUE AND SCOPE ASSESSMENT

Given previous governance structures, differences in program funding streams, and the lack of continuous statewide needs and solutions assessment, we are left with numerous fragmented systems, poor alignment, and a governance structure which is in need of repair as illustrated in the stoplight

Issue Category Funding

Issue Scope Statewide Alignment

Assessment Red

Figure 3: Notional View

Impact

Unable to do critically needed projects, have/have-nots Many fragmented and non-compatible solutions, have/have-nots Many state funded systems overlapping the same geographic areas No complete Statewide aligned plan or well known milestones Projects and solutions not tightly aligned across the state Some LMR interoperability via SSB and manually deployed TRIC packages SOH priority items have very slow movement (controlled “outside State”)

Governance

Statewide Statewide Statewide Statewide Alignment First Responder Interoperability Carrier obligated connectivity

Red Red Red Red Yellow Yellow

Aligned Solutions Planning Projects Governance Governance

2.0

CIO OVERSIGHT & COORDINATION

By placing the State Radio Program under additional CIO Oversight & Coordination, and restructuring existing governance to closer align with statewide business needs aligned with a Business Sponsor, a structured program with consensus-defined milestones can be implemented. Subject matter experts in existing OIMT Radio Working Group as well as the State of Hawai’i Radio Users Group can conduct project review (perhaps merging these two groups into one). Additional oversight can then proceed to HWIN when required. It is critical that a statewide assessment of in-place solutions and future business requirements be preformed. With the evolution of LMR to RoIP to VoLTE , tight integration with Statewide IT Programs for backhaul and leveraging of systems between these programs can result in less complex solutions across the state while providing Clearer definitions of People, Policy, Process, and Technology. By bringing in more specialists in the execution of projects, it can result in faster completion, and less burden on staff which has previously been tasked with executing elements of a project outside of their main scope of experience
Figure 3: Oversight 19 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

3.0

DEVELOPMENT OF A NOTIONAL RACI MATRIX

RACI is an acronym derived from the four key typically used responsibilities: Responsible, Accountable, Consulted, and Informed. It describes and defines the participation by various roles in completing tasks or deliverables for a project or business process and is especially useful in clarifying roles and responsibilities in cross-functional/departmental projects and processes. By developing a RACI table and clearly illustrating responsibilities for public safety communications in Hawai‘i, we can further strengthen alignment and ensure priorities and interoperability for communication. The development should be handled as a task of the SCIP with further alignment and approval by HWIN. Below is a notional RACI illustrating potential roles:

Table 2: Notional RACI

Business Executive Sponsor Program Oversight Alignment Fiscal & Grants Program & Project Communication Program Management Engineering

C C I I I I I

R7 I R I A I I

R8 R R RA RA A A

I C C C C A C

C I I R I I I

A A A RA RA R I

C A C RA C C C

I C I C I I I

I A A C C R CR

4.0

PUBLIC SAFETY CONNECTIVITY & REQUIREMENTS

There are three basic types of communications available to Public Safety:

Figure 4: Public Safety Connectivity Types

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 20

Program Engr
I I C C C C R

Congressman

Program PM

Governor

DCCA

HWIN

SCD

BBT

CIO

UH

• Public & Government Wired: For stationary users – this is

• Public Safety Wireless: For mobile users –for public safety

similar to your home telephone. Communications can be made fairly reliable and robust for public safety users by placing wires (or fibers) underground where they cannot be disturbed by hurricane force winds. Availability depends on wired connectivity to your service provider and who you wish to communicate to, and that their equipment is operational. Wired communications can be gatewayed into wireless communications. Wired communications can have high fidelity and fast data connection speeds.
• Public & Government Wireless: For mobile users – this is

similar to your cell phone. Third party companies provide connectivity, and many tower sites only have a limited amount of battery back up power. Communications may not be easily prioritized for public safety officials that require the ability to use the system. Secure communication requires specialized proprietary UE.

Land Mobile Radio (LMR) is most commonly used where communications can be direct one-to-one, many-to-many, or one-to-many using special purpose built equipment. Due to the requirement of robustness during times of crisis, sites housing the equipment are hardened to survive hurricane strength winds and also are built with redundancy throughout to survive component failure. Sites also have battery and generator backup and many times voice and data are backhauled via microwave, lessening the failure of a cabled system and reliance on a third party provider. Systems are usually operated by government or sometimes rely on contracted staff performing work to government standards. Communications can be prioritized ensuring that public safety officials can easily communicate. The program goals can simply be illustrated by breaking down user needs into three groups:

Figure 5: Notional Program Illustration
• Standards and Requirements: Most well accepted standards

for public safety communications are set at the Federal level (e.g. P25) and programs that utilize federal funds or grants are obligated to follow the established standards as a requirement of accepting funding. All potential users set the requirements based on their business or mission needs.
• Solutions in wired or wireless: Based on user requirements

be restricted to be used only by a very tightly defined community of government public safety practitioners and not be made available to the public or industry.
• The user groups that are to be served: Public Safety

given the limitations illustrated in Figure 4. Wireless LTE Broadband via FirstNet should not be confused with LTE that is currently available to the public. It will utilize common bandwidth across the nation and follow rigid and fully interoperable standards that will fully meet public safety needs. Specialized equipment will be required as well as nationally established identity for each user allowing them access to only the data and systems that they have been authorized for. Based on current federal definition, it will

Communications currently has primary focus on First Responders and then on government service providers. Industry and the public may be invited to use the systems in times of crisis when they are directly assisting public safety. The needs of these four groups are vastly different. Public Safety requires a reliable, robust, and secure system as part of their mission in the protection of life safety, whereas government and most industry users (with the exception of some industrial or energy industries) do not have needs that require a system be built to public safety standards, and in many cases will utilize consumer grade devices and transport.

21 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F

5.0

HAWAI‘I BTOP APPLICATION AND LTE WAIVER

The State of Hawaii in partnership with the Counties in 2010 applied for a federal BTOP grant to build out a Broadband For Public Safety network in the state. We were not awarded any grant funding, but we were one of the twenty-one entities that received a waiver of use from the FCC via the Public Safety Spectrum Trust (PSST) for LTE in the 700Mhz band solely for public safety use. These initial waivers allowing entities to build demonstration networks are envisioned to be converted in the future into a nationwide LTE Broadband system with the primary focus of serving public safety. With that waiver, we partnered with the US Department of Agriculture in building an LTE demonstration network in the Hilo area which allowed us to gain experience in the operation of the new technology as well as to test applications on the network that would benefit public safety response in the State. This partnership was the only Federal/State /County demonstration network in the Nation, setting the standard that all of government can successfully partner in delivering services to our public safety professionals via a single unified system.

Figure 6: Waiver Entities

6.0 NATIONWIDE PUBLIC SAFETY BROADBAND NETWORK – THE FUTURE
The Nationwide Public Safety Broadband Network better known as FirstNet was created and funded by the Middle Class Tax Relief and Job Creation Act of 2012 making good on an overdue promise to our nation’s first responders. In addition to reliability, security, coverage, and public safety priority access envisioned for FirstNet, the future for bringing specialized Public Safety Applications (Apps) similar to those currently available on smart phones and devices such as iPhones, iPads, and Android Devices securely to first responders in the field is exciting and almost unlimited. For example:
State of Hawaii Business and IT/IRM Transformation Plan

Next Generation 9-1-1 information (text messages, photos & video) sent in by citizens using smart phone devices will be able to be forwarded to public safety field personnel; Law Enforcement Apps that will access FBI CJIS Services like NCIC, Criminal History Information, and Nlets Services like access to DMV records, Driver’s License and Corrections Photos and easy access to records management systems (RMS); Fire Service Apps that will access records of building plans, hydrant locations, hazardous material records; and Emergency Medical Apps such as transmission of vital signs to hospitals, access to medical histories. The act does numerous things as excerpted from the NTIA presentation “Title VI – Public Safety Communications And Electromagnetic Spectrum Auctions” March 15, 2012. Depending

Enterprise Architecture | Appendix F | 22

on the actual timing and outcomes of the items below will shape the program and determine when due diligence and involvement by the State will take place.
• Implements key Administration priorities – Public Law No. 112

• FirstNet must consult with regional, State, tribal, and

local jurisdictions regarding the distribution and expenditures of any amounts required to carry out its responsibilities (§6206), including: – Construction or access to the core network and any radio access network build out; – Placement of towers; – Coverage areas of the network, whether at the regional, State, tribal, or local levels; – Adequacy of hardening, security, reliability, and resiliency requirements; – Assignment of priority to local users; – Assignment of priority and selection of entities seeking access to or use of the nationwide interoperable PSBN; and – Training needs of local users
• FirstNet consultation must occur through the designated single

96 (enacted February 22, 2012)
• Gives NTIA power to establish the First Responder Network

Authority (FirstNet)
• Outlines that FirstNet is to establish a nationwide public

safety broadband network (PSBN) based on a single, national network architecture
• Reallocates 700 MHz D Block spectrum to public safety • Allows the Federal Communications Commission (FCC) to

grant a single license to FirstNet for the use of both the 700 MHz D block and existing public safety broadband spectrum
• Is deficit-neutral – Funded through proceeds of spectrum

auctions through FY 2022 – Network is self-sustained over long-term through fees
• Established a Technical advisory board for first

officer or governmental body designated by each State
• NTIA shall establish a State and local implementation grant

responder interoperability
• Act establishes an Interoperability Board within the FCC • FCC Chairman to appoint 14 voting members not later than

program to States - §6202 – Program shall assist State, regional, tribal, and local jurisdictions to identify and plan the most effective way to utilize and integrate the infrastructure, equipment, and other architecture associated with the nationwide PSBN – Not later than 6 months, and in consultation with FirstNet, NTIA must establish grant program requirements, including:
• Defining eligible costs • Determining scope of eligible activities • Prioritizing grants for activities that ensure coverage in rural as

30 days after enactment
• NTIA Assistant Secretary appoints 1 non-voting member • Not later than 90 days after enactment, the Interoperability

Board, in consultation with NTIA, NIST, and OEC, shall: – Develop minimum technical requirements to ensure a nationwide level of network interoperability – Submit to the FCC for review the recommended minimum technical requirements
• Not later than 30 days after the date on which the

well as urban areas – Each State shall certify a single officer or governmental body to serve as coordinator of implementation of grant funds Also serves as point for FirstNet consultation under §6206
• State Network Process:

Interoperability Board submits recommendations to FCC, the FCC shall approve the recommendations with any revisions it deems necessary and transmit them to FirstNet
• Act establishes FirstNet as an independent authority

within NTIA
• Headed by a 15-Member Board • Holds a single public safety 700 MHz wireless

– FirstNet must complete the RFP process for the construction, operations, maintenance, and improvements of the nationwide PSBN – Upon completion of the RFP process, FirstNet will notify the Governor of each State (or his/her designee) of: – Completion of the RFP process; – Details of the proposed plan for build out of the nationwide, interoperable broadband network in the State; and – Funding levels for the State as determined by NTI

broadband license
• Takes all actions necessary to ensure the design, construction,

deployment, and operations of the nationwide PSBN, in consultation with Federal, State, tribal, and local public safety entities, Director of NIST, the FCC, and public safety advisory committee
• Ensures deployment phases with substantial rural

coverage milestones
23 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

• No later than 90 days after being notified by FirstNet, each

Governor must choose whether his/her State will: – Participate in the deployment of the nationwide PSBN as proposed by FirstNet; or – Conduct its own deployment of a radio access network in the State
• If State decides to opt-out, the Governor must notify FirstNet,

NTIA, and the FCC (§6302): – The State then has 180 days to develop and complete RFPs for the construction, maintenance, and operations of the radio access network (RAN) within the State – The State shall submit an alternate plan for the construction, maintenance, and operations of the RAN within the State to the FCC and the plan must demonstrate: – That the State will be in compliance with the minimum technical interoperability requirements – Interoperability with the nationwide public safety broadband network
• FCC shall review and either approve or disapprove the plan.

There is anticipated to be a grant mechanism to “assist state and local governments in planning for a single, nationwide interoperable public safety broadband network” . At this time it is unknown what the amount of funding might be or exactly what scope and flexibility we will have during this process. It is important to realize based upon the above restrictions and limitations that the FirstNet LTE Broadband for Public Safety project is very different from other Broadband efforts within the state in that it is purpose built to public safety standards and the primary users are public safety practitioners. Due to the focused purpose of the system, there will be significant restrictions on authorized users, type of traffic, user authentication, privacy and audit, and the survivability of the network.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 24

SECTION 5: EXISTING STATE COUNCILS, COMMITTEES AND WORKING GROUPS
25 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

Figure 7: Waiver Entities

1.0

NUENUE EXECUTIVE COUNCIL

Membership: Sunshine meeting with elected voting membership Occurrence: Previously quarterly – inactive for some time Description: In 1998, the Federal Communications Commission (FCC) established a structure to allow Regional Planning Committees (RPCs) optimal flexibility to meet state and local needs, encourage innovative use of the spectrum, and accommodate new and unanticipated developments in technology and equipment. There are fifty-five RPCs, and each committee is required to submit its plan for the General Use spectrum. The FCC’s role in relation to the RPCs is limited to (1) defining the regional boundaries; (2) requiring fair and open procedures, i.e., requiring notice, opportunity for comment, and reasonable consideration; (3) specifying the elements that all regional plans must include; and (4) reviewing and accepting proposed plans (or amendments to approved plans) or rejecting them with an explanation. The FCC expects RPCs to ensure that they are representative of all public safety entities in their regions by providing reasonable notice of all meetings and deliberations. Further, regional plans must include an explanation of how all eligible entities within the region were given such notice. For the initial meeting, called by the convener to form the RPC and hold elections, the FCC requires at least sixty days’ notice. In developing their regional plans, RPCs must ensure that their proposed plans comply with the rules and policies governing the 700 MHz public safety regional planning process. The FCC also encourages the RPCs to consider using the guidelines developed by the Public Safety National Coordination Committee (NCC). RPCs may approach the assignment of the spectrum differently, by, for example, making specific assignments to eligible public safety entities, or by establishing an allotment pool based on political boundaries, such as counties.

Legal Authority: MOU with US Coast Guard (USCG) established the council Chairs: State CIO and USCG Membership: Restricted to OIMT and USCG staff Occurrence: Quarterly Description: Reviews and approves ‘Anuenue proposed projects and operational needs for the State / USCG partnership.

2.0 STATE OF HAWAI‘I RADIO USER’S GROUP (SHRUG)
Legal Authority: Comptroller Memorandum Chair: SWIC or OIMT Telecommunications Planner Membership: One State Agency radio coordinator from each agency Occurrence: Monthly – (This group has been inactive for some time and needs to be reestablished) Description: Used to coordinate and prioritize state radio user’s needs & projects since they are not represented as voting members of HWIN & SCIP.

3.0

700 MHZ REGIONAL PLANNING COMMITTEE

Legal Authority: FCC – Federal Sunshine meeting rules Chair: Bob Hlivak, Chairperson, Clay Chan, Vice-Chairperson

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 26

4.0

800 MHZ REGIONAL PLANNING COMMITTEE

Legal Authority: FCC - Federal Sunshine meeting rules Chair: Alvin Sunahara, Chairperson Walter H. Pacheco, Vice Chairperson Membership: Sunshine meeting with elected voting membership Occurrence: Previously quarterly – inactive for some time Description: In 1998, the Federal Communications Commission (FCC) established a structure to allow Regional Planning Committees (RPCs) optimal flexibility to meet state and local needs, encourage innovative use of the spectrum, and accommodate new and unanticipated developments in technology and equipment. There are fifty-five RPCs, and each committee is required to submit its plan for the General Use spectrum. The FCC’s role in relation to the RPCs is limited to:
• Defining the regional boundaries • Requiring fair and open procedures, i.e., requiring notice,

Membership: The HWIN Executive Committee is open to Federal, State and County agencies. The Executive Committee consists of eleven primary members. Associate members will include those personnel needed to facilitate HWIN Executive Committee proceedings and actions. HWIN Executive Committee members shall be designated from the following agencies:
• Federal Department of Defense – U.S. Pacific Command • Federal Law Enforcement – Federal Bureau of Investigation • Federal Homeland Security – Fourteenth U.S.

Coast Guard District
• State Department of Defense – The Adjutant General/Director

of Civil Defense
• State Chief Information Officer • State Comptroller (Non Voting) • Kaua‘i County – Mayor’s Representative • Honolulu City & County – Mayor’s Representative • Maui County – Mayor’s Representative • Hawai‘i County – Mayor’s Representative • County Police Departments – Rotated Annually

opportunity for comment, and reasonable consideration
• Specifying the elements that all regional plans must include • Reviewing and accepting proposed plans (or amendments to

approved plans) or rejecting them with an explanation. The FCC expects RPCs to ensure that they are representative of all public safety entities in their regions by providing reasonable notice of all meetings and deliberations. Further, regional plans must include an explanation of how all eligible entities within the region were given such notice. For the initial meeting, called by the convener to form the RPC and hold elections, the FCC requires at least sixty days’ notice. In developing their regional plans, RPCs must ensure that their proposed plans comply with the rules and policies governing the 800 MHz public safety regional planning process. The FCC also encourages the RPCs to consider using the guidelines developed by the Public Safety National Coordination Committee (NCC). RPCs may approach the assignment of the spectrum differently, by, for example, making specific assignments to eligible public safety entities, or by establishing an allotment pool based on political boundaries, such as counties.

Subcommittees will consist of members appointed by the Executive Committee to carry out specific tasks and actions as defined by the HWIN Executive Committee. These include the Operations, Technical, and Funding and Grants subcommittees. Members shall be obligated and bound to agreements which are a result of working groups or other sources which have been coordinated through all appropriate technical, legal, legislative, financial and executive levels as required and signed by those in appropriate authority. Occurrence: Quarterly Description: The Hawai‘i Wireless Interoperability Network Executive Committee, hereafter referred to as the “HWIN Executive Committee,” was formed on December 3, 2004. The purpose of the HWIN Executive Committee is to bring representatives of various State, County, and Federal agencies together to identify communications interoperability and connectivity problems. The Committee will establish policies and provide administrative oversight in the development of an interoperable wireless communications environment in the State of Hawai‘i. This group also functions as the Statewide Interoperability Executive Council (SIEC) as defined in this document. This task should be assigned to a dedicated working group in the future The HWIN Executive Committee will cooperatively formulate policy and provide administrative oversight in the development of a statewide plan. The plan will develop standards based wireless interoperable communications infrastructure within
Enterprise Architecture | Appendix F

5.0 HAWAI‘I WIRELESS INTEROPERABILITY NETWORK (HWIN)
Legal Authority: MOA between members Chair: The State Adjutant General/Director of Civil Defense and the State Chief Information Officer shall serve as the Committee Co-Chairs.

27 | State of Hawaii Business and IT/IRM Transformation Plan

the State of Hawai‘i. The HWIN plan shall address homeland security, public safety and emergency operations needs. A secondary role would be to improve mission support capability for day-to-day operations.

system statewide by 2015.
• Migrating the existing State of Hawai‘i’s disparate

radio systems onto one statewide Public Safety 700 MHz radio system.
• Coordinating and establishing Regional Tactical Interoperable

6.0 STATEWIDE COMMUNICATIONS INTEROPERABILITY PLAN (SCIP)
Legal Authority: N/A Chair: Statewide Interoperability Coordinator (SWIC) Membership: Each County
• OIMT, ICSD, and SCD for the State • US DoD • USCG • NGO representatives

Communications Plans (TICP) for Hawai‘i, Maui, Kaua’i, and O‘ahu by June 30, 2008. The initial regional TICP meetings are scheduled and will be conducted between November 27 and December 6, 2007.
• Validating the Regional TICPs through a Homeland Security

Exercise Evaluation Program (HSEEP) designed limited scale exercise with a full range of participants and interoperable communications systems exercised by December 31, 2008. Goals of each of the Regional Planning Groups are:
• Identify each agency and point of contact information for

federal, state, local and non-governmental agency operating within each RPZ.
• Identify each agency’s existing communications capabilities. • Identify communications and interoperable

Occurrence: Monthly with quarterly face-to-face meetings Description: The State of Hawai‘i is advocating and implementing interoperable communications solutions that will allow emergency response personnel to communicate with whom they need on demand, in real time, and as authorized. This approach allows public safety response agency the flexibility to select equipment that best fits their operational requirements and still use the current local, state, federal agency, and non-government organization’s communication systems without prematurely changing out functional operating communication systems. Some of the interoperable communications solutions established in the SCIP are:
• Establishing the governance structure to oversee interoperable

communications requirements.
• Provide input in the stakeholder’s strategic planning session. • Implement, execute and sustain the SCIP initiatives.

The defined Federal Jurisdictions are: • The federal jurisdiction represented in the SCIP is classified as the Federal Department of Defense (DOD) or the Federal Department of Homeland Security (Federal Non-Department of Defense) agency.
• For the purpose of the SCIP, Federal non-Department of

communications for Hawai‘i’s public safety agency.
• Establishing a strategic technology reserve for strategic

Defense agencies have been represented under the Federal Department of Homeland Security (DHS). DHS is currently | represented, in the SCIP by USCG.
• The Federal Department of Justice (DOJ) also has several

and tactical communications during catastrophic events that compromises communication infrastructure.
• Adopting P-25 technology standards for Hawai‘i’s public

safety agency.
• Establishing NIMS training requirements for public safety

agencies with offices in O‘ahu, including the Federal Bureau of Investigations (FBI) and the Drug Enforcement Administration (DEA), Federal Department of Interior’s (DOI), and the National Park Service which administers the National Parks in the State of Hawai‘i. For SCIP representation, coordination is currently done through the DHS USCG representative. The SCIP committee defined authorized non-governmental agency as critical infrastructure agency and critical assets, to include the following sectors: Electricity, Telecommunications, Public Safety Broadcasters, Airlines, Hotels Association, Refineries, Hospitals, Cargo and Passenger companies, UtilitiesWater purveyors, gas and fuel, and the American Red Cross and other public safety-oriented charities.

agency and developing training and skill prerequisites for Communication Unit Leaders (COML).
• Establishing and implementing national and regional shared

channel plans in the UHF, VHF, 700 MHz, and 800 MHz spectrums statewide.
• Expanding and completing the Public Safety 700 MHz radio

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 28

Examples of NGOs operating in the State of Hawai‘i are:
• American Medical Response (EMS provider) • American Red Cross • Healthcare Association of Hawai‘i (liaison for hospitals) • Air Medical Ambulance, and Hawai‘i Air Ambulance

Objectives:
• Develop agreements to implement interoperable communications. • Establish regional stakeholder communications requirements

for voice and data capabilities.
• Establish a pre-positioned strategic technology reserve to

(air medical transport)
• Hawaiian Electric, HELCO Electric, Maui Electric, and Kaua‘i

provide interoperable communications for an all-hazards event that compromises communications infrastructures.
• Establish SOPs and implement systems to utilize existing

Island Utility Cooperative (electrical utilities)
• Matson, Young Brothers, and Horizon Lines

national and regional interoperable communications standards.
• Evaluate the effectiveness of interoperable communications

(maritime cargo companies)
• Chevron, and Tesoro (refineries) • The Gas Company (natural and synthetic gas provider) • Hawaiian Telecom, and Oceanic (telecommunications) • Private radio stations (public safety broadcasters) • Healthcare Association of Hawai‘i (HAH)

statewide through training and exercises.
• Establish investment and funding processes to execute

interoperable communications initiatives. SCIP Strategic Initiatives: The five SCIP strategic initiatives established to achieve its interoperable communications vision are:
• Exercise the existing statutory authority of the State CIO and

SCIP Mission: To provide effective and efficient voice and data interoperable communications for the State of Hawai‘i public safety responder agencies during emergencies ranging from day-to-day incidents to statewide catastrophic emergency involving different disciplines and jurisdictions. This can be accomplished:
• By facilitating county, state, federal and authorized

the Director of Civil Defense to oversee the composition, role and authority of the HWIN to coordinate current and future interoperable communications needs statewide. This initiative was formalized in Section 4.1, Governance and resolves an identified gap.
• Establish and fund the full-time position of a dedicated

Interoperable Communications Coordinator (ICC).
• Establish distinct statewide standards for interoperable|

non-governmental agency cooperation and input
• By developing regional and statewide

communication voice and interoperable data communication technologies and a Statewide Technology Reserve (STR). a. The HWIN Executive Committee approved the following P-25 technology standards for Hawai‘i: b. All purchases of Land Mobile Radio systems and subscriber voice communications systems and equipment intended for use by public safety or first responders within the State of Hawai‘i after December 31, 2008 shall be governed by the following requirements: i. Communications systems and equipment purchased shall be compliant with the P-25 Phase 1 suite of standards. All subscriber equipment shall at a minimum include a P-25 Phase 1 enhanced full rate vocoder and be fully functional using 12.5 kHz channelization.

infrastructure architectures
• By developing statewide communication procedures

and standards
• By facilitating joint training and exercises with county, state,

federal and authorized non-governmental agency SCIP Goals/Objectives: The SCIP committee established the following goal and objectives for achieving interoperable communications: Goal: Establish and maintain effective interoperable public safety voice and data communications statewide.

29 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F

ii. Purchasers shall require the original equipment| manufacturer to provide documented evidence that the equipment has been tested, and passed all of the applicable, published and normative P-25 Phase 1 compliance assessment test procedures for performance, conformance and interoperability prior to entering into a contract. iii. Any subscriber radios purchased for use in either the 700 MHz or the 800 MHz NPSPAC bands shall be capable of operating in both bands. iv. Variances to the above requirements will be addressed to the HWIN Executive Committee. c. Hawai‘i’s STR was established and communications equipment will be purchased from the PSIC grant funds. d. Hawai‘i’s NIMS training requirements were established in Section 2.1.9, and each Regional TICP will identify additional Communication Unit Leaders (COML) skills and training prerequisites; and will establish an inventory of qualified COMLs in each RPZ. The deadline to complete

the Regional TICP was June 30, 2008. e. Hawai‘i’s VoIP and RoIP standards for interoperable communications will be established in 2008. f. UHF, VHF, and 700 MHz national and regional shared channel plans will be established for Region 11 in 2008. g. Region 11 800 MHz shared channel plan will be implemented by the appropriate agencies in 2008. 2. Establish statewide requirements for communications (voice and data). This initiative addresses channel capability requirements, repeater sites radio building space requirements, completing the State’s Public Safety 700 MHz radio system and completing the build-out of the digital ‘Anuenue microwave backbone. 3. Establish Regional TIC Plans for each of the four statewideregions. Regional TIC Plans will be established by June 30, 2008, and a regional exercise will be conducted by December 31, 2008, to validate each Regional TIC Plan.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 30

SECTION 6: MAJOR SCHEDULED EVENTS (MILESTONES AND REOCCURRING)
31 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

1.0

RADIO PROGRAM MILESTONES (NON-STAFFING)
Non-Staffing Milestones Person or Team responsible Telecommunications Planner Planned Completion Date Recurring

Table 3 Milestones (Non-Staffing)

Figure 3: Notional View

Filing of all licensing documentation Operational Contracts renewals & Solicitations Organizational Meetings

ICSD SWIC / USCG /SCD

Recurring As noted above

2.0

RADIO PROGRAM MILESTONES – NEAR TERM CAPITAL PROJECTS
Milestones Funding FY 2014
Figure 3: Notional View

Estimated Cost $K Pending Review

HAWAIIAN microwave backbone - south replacement and new links Statewide Shared Blended O‘ahu Simulcast and Expansion Statewide Shared Blended Maui Trunking Contribute to Hawaii County LMR Build Hawai‘i Island CIP - planning, permitting, and design – Humu‘ula, Kulani Cone, and Holualoa Hawai‘i Island CIP - construction – Humu‘ula tower, Kulani Cone tower, and Holualoa facility and tower TOTAL

2014-2015 2015 2014-2015 2014

Pending Review Pending Review Pending Review Pending Review

2014-2015

Pending Review

Pending Review

Notes: List of CIP projects above assumes that current radio CIP projects on Oahu and Kauai are fully funded to complete construction. If not additional funds will be required. The cost of contribution to the Hawai‘i County build is currently unknown as they are currently in the design/procurement process for their system.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 32

3.0

RADIO PROGRAM MILESTONES (STAFFING)

Table 4 Milestones (Staffing)

Staffing Milestones Meet with Human Resources Write PDs Classify PD Advertise Vacancies (Open continuously) Pull 1st Set of Applicants (SR 22 & 26) Set up interviews Finalize Interviews; Give Cert & Recommendations to CIO for Approval Pull 2nd Set of Applicants Approval from CIO Provide Cert to OIMT HR for Processing Set Up Interviews for 2nd Set of Applicants Make 1st Offer TBD Pull 3rd Set of Applicants) (If needed to fill 2 Vacancies) Hire 1st Applicant (On-board) Make 2nd Offer Set Up Interviews for 3rd Set of Applicants Finalize Interviews (3rd Group); Give Cert & Recommendations to CIO for Approval Hire 2nd Applicant (On-board) Using hiring sequence/procedures/milestones above, additional hiring in FY 15 to cover shortfalls in hiring in FY 14 up to 2 Positions Using hiring sequence/procedures/ milestones above, additional hiring in FY 15 = 1 Additional Positions

Person or Team Responsible Radio Office, Information Management Chief, OIMT Business Manager Radio Officer OIMT HR OIMT HR, OIMT Business Manager OIMT HR CIO Business Manager, Radio Officer Radio Officer OIMT HR Information Management Division Chief, Dept CIO, CIO OIMT Business Manager OIMT Business Manager, Radio Officer OIMT HR Radio Officer OIMT HR OIMT HR OIMT HR OIMT Business Manager, Radio Officer Radio Officer OIMT HR OIMT Business Manager, Radio Officer, CIO, Information Management Div. Chief, OIMT HR OI OIMT Business Manager, Radio Officer, CIO, Information Management Div. Chief, OIMT HR

Figure 3: Notional View

Planned Completion Date TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD

TBD

33 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F

SECTION 7: COSTS
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F | 34

1.0

IDENTIFIED PROGRAM COSTS INCLUDING THOSE THAT HAVE BEEN REQUESTED BY THE OIMT
Description Estimated Annual Budget (Starting in FY14) (in Thousands $) Pending Review Pending Review Basis of Estimates
Figure 3: Notional View (Formulation Method & Source)

Table 5 Annual FY 14 Operating Costs

Personnel costs: Ongoing FTE expenses for 3 Radio Specialists Travel: -Outer Island radio sites -Industry training -Industry conferences Other Services: - Training Equipment: Scanners, Printers, Laptops, Docking Stations, Monitors, Etc. Communications: Smartphone, teleconference lines; etc. Supplies/Printing/Minor Misc Contracts: Total

Estimate of salaries

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review

Based on existing travel requirements for staff

Based on estimated first year costs

Based on estimates provided by previous procurement and contracts.

Based on estimates from OIMT, current supply expenditures

FY15 has additional increase of one FTE SR26, bringing the total of new Radio staff to four FTE SR26. These annual costs will be used as the basis for Total Cost of Ownership.

35 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F

Table 6 Annual FY 15+ Operating Costs

Description Personnel costs: Ongoing FTE expenses for 3 Radio Specialists Travel: -Outer Island radio sites -Industry training -Industry conferences Other Services: - Training Equipment: Scanners, Printers, Laptops, Docking Stations, Monitors, Etc. Communications: Smartphone, teleconference lines; etc. Supplies/Printing/Minor Misc Contracts:

Estimated Annual Budget (Starting in FY14) (in Thousands $) Pending Review Pending Review

Basis of Estimates
Figure 3: Notional View (Formulation Method & Source)

Estimate of salaries

Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Pending Review Based on estimates from OIMT, current supply expenditures Based on estimated first year costs Based on existing travel requirements for staff

Total

Pending Review

2.0

CRITICAL SUCCESS FACTORS

3.0

ASSUMPTIONS

Critical Success Factors (CSFs) increase the probability of success when management focuses attention in these areas. This program’s CSFs are:
• Timely commitment of funds and processing of

required acquisitions
• Availability of appropriately skilled staff and contractors

to complete program tasks and deliverables
• Participation and commitment of program team to complete

Success is predicated on hiring requested staff, contractor support; fulfilling financial resources; e.g. procuring tools; implementing policies, authorities and processes as requested. Contractor support will be required for operational needs across the islands for the duration of the program as this was found to be the most economically and technically feasible given the geographic diversity of the system and staffing limitations. It is unknown what additional resources will be needed when FirstNet is established and a build out in Hawai‘i starts.

their tasks and deliverables on schedule
• Given the isolation of Hawai‘i and the scarcity of local SMEs

4.0

TECHNICAL CONSTRAINTS

with deep knowledge and understanding of public safety communications, it is critical that staff associated with this program be given every opportunity to attend training, educational conferences, and meetings on the mainland.

The Radio Program will need new and more sophisticated tools to more effectively track, monitor and analyze the outputs and performance of the program. It will be necessary to have these to better determine and analyze quantitative and qualitative measures for the effectiveness and overall performance of Radio compliance and quality at the Department. To have this evaluative capability, there will need to be new metrics, analytics, and measures for Radio compliance. The data will provide value in measuring levels of compliance, quality assurance across the Department, areas needing correction and enforcement, and provide for improved program management.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 36

SECTION 8: MINIMUM RECOMMENDATIONS
37 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

Governance
Multi-jurisdictional and multi-disciplinary committees are not formally established in each RPZ
• Recommendation: Formally establish RPZ with By-Laws and

Training and Exercises
A three-year communications training and exercise program not established
• Recommendation: Require each RPZ to draft a 3-year

conduct regular stakeholder meetings. Include County, State, Federal and NGO in the RPZ committee. – Standard Operating Procedures – Area wide, RPZ, and agency procedures for interoperability communications not established
• Recommendation: Update EOPs. Communications Annex

communications T & E plan for their RPZ and merge into a statewide plan. – Communications training should be linked with ICS 300 and ICS 400 training – Exercise EOPs Communications Annex on a regular basis – End users need to be aware of channel and talk groups available to them and how to use effectively to coordinate during an emergency.

does not reference TIC Plans, Hawai‘i Shared Channel Plan, Interim Communications Plan if communications infrastructure damage or destroyed, STR, etc, Warning Systems, Public Safety Answering Point System

Usage
Process for assessing interoperability during real world emergencies not established
• Recommendation: RPZ committees should review

Technology
There are currently numerous solutions implemented: Voice-P-25, legacy, wideband / narrowband , Command and Control-E-Team, Web-EOC, USCG, DOJ-LEO, Facebook, Twitter, Data infrastructure
• Recommendation: Program shared channels into subscriber

significant incidents occurring in their RPZ. Use NECP Goal #2 performance rating sheet to assess interoperability during planned events and real work incidents.

radios when agencies are able to. Select one primary Command and Control tool for all State and County agencies to use.

MOAs & MOUs
There is not a central location where all MOAs and MOUs are stored and there is some inconstancy in language.
• Recommendation: Update all MOAs and MOUs systemwide

ensuring where there are future deliverables or payments due that they are clearly defined. Publish a summary document containing all terms and conditions that can be reviewed by all government users.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 38

SECTION 9: RISKS
39 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

This section summarizes major program risks discovered at the start of the program. This program’s risks will be monitored and reported as part of the Radio Program Risk Register.
Table 7 Risks

ID 1

Description Personnel overcommitted due to other tasks, existing duties, illness, vacations, etc. may delay program Contracting / permitting delays for procurements may delay program or increase costs

Probability 1 = low 5 = high 5

Probability Mitigation Plan Figure high 1 = low 5 = 3: Notional View 5 Ensure Agency/Office Radio Officers have backups Extend Program schedule, as necessary; keep CIO & OIMT Business Manager informed of anticipated cost issues Additional staff and funding may be required to meet the needs of FirstNet and to support State use.

2

4

4

3

Effort required by the implementation of FirstNet

5

5

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 40

SECTION 10: RESOURCE REQUIREMENTS
41 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

The State currently relies very heavily on contractor support for its critical first responder communications systems, and the existing staffing level for radio technical staff is insufficient to keep up with all the daily operational needs. This puts us in a very dangerous place where in a time of disaster or crisis or even a simple operational fix, resources required for restoration of service may not be available to perform work for the State. This document proposes the bare minimum number of staff required to provide support for the electronics and programming and some basic physical plant restoration. The Chief Radio officer as noted here may be the Branch or Section Chief. It is assumed that other departments do have a named Radio Officer in place and if not, one will be established.

1.0

FY14 TEAM STRUCTURE (NOTIONAL)

Figure 8: Radio Program Team Organization FY 14

2.0

FY14(+1) TEAM STRUCTURE (NOTIONAL)

Figure 9: Radio Program Team Organization FY 15/16

42 | Resource Requirements State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 42

SECTION 11:

ROLES AND RESPONSIBILITIES
Enterprise Architecture | Appendix F

43 | State of Hawaii Business and IT/IRM Transformation Plan

SECTION 11: ROLES AND RESPONSIBILITIES
Table 8: Roles and Responsibilities

ROLE Sponsor(s): Senior Agency Official for Radio/ Chief Information Office, Agency/ Office Heads and Budget Officers
• Commit to the scope of this Plan

REPOSNSIBILITIES 3: Notional View Figure

• Authorize program funding/resources required to successfully meet objectives of this Plan, including full

compliance with State Radio laws and policies
• Be accountable for the success/failure of Agency/office compliance • Participate in Identity Theft Task Force meetings, as appropriate • Ensure acquisitions comply with State Radio requirements • Facilitate resolution of OIMT and OIMT Radio Office PII breaches and other issues outside of the program • Actively participate in progress reviews to ensure critical program information is communicated to

Agency/office organizations
• Facilitate resolution of program issues in Agency/office organizations

OIMT Radio Officer– Program Manager/Team Leader

• Manage the day-to-day work of the program • Provide program oversight and monitoring of Agency Radio programs for compliance • Define and manage program risks • Lead, coordinate and facilitate Program team’s planning and execution of tasks and deliverables • Accountable for the success/failure of program/team tasks and deliverables • Ensure appropriately skilled program participants are available when needed • Prepare and present program reports to appropriate levels of management • Facilitate resolution of issues and elevated risks • Manage acquisitions • Negotiate all MOUs and MOAs

OIMT Radio Specialists

• Provide leadership, expert technical assistance and training for Agency/office Subject Matter Experts

(SMEs) and Radio Officers
• Attend all scheduled meetings • Assist OIMT Radio Officer in providing program oversight/monitoring of Agency/office Radio

programs for compliance
• Actively participate in progress reviews to ensure critical program information is communicated to all

Agency/office organizations
• Facilitate resolution of program issues and elevated risks in Agency/office organizations • Be accountable for the success/failure of OIMT program tasks and deliverables • Ensure appropriately skilled program participants are available when needed • Complete assigned tasks and deliverables based on agreed schedule. • Act as the lead in radio systems procurements and solicitations State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F | 44

SECTION 11: ROLES AND RESPONSIBILITIES
Table 8: Roles and Responsibilities

ROLE OIMT Radio Specialists

REPOSNSIBILITIES 3: Notional View Figure
• Ensure contracts are in place for required maintenance of systems and facilities • Provide status updates including issues & risks • Communicate openly and assertively • Respect opinions of others • Agree to work toward consensus • Operate, administer, maintain, and serve users of the Statewide Shared Blended (SSB) Radio System • Plan, acquire funding, and build radio equipment and facility infrastructure to provide additional capacity and

coverage for the SSB as required
• Work with agencies to develop and deploy standard radio “personalities” for SSB subscriber radios,

balancing user needs and preferences with available channel resources and best practices
• Solicit and coordinate system-to-system connections between the SSB and partner land

mobile radio systems
• Implement, administer, and test SSB interconnections with other land mobile radio systems and work to

harmonize available talk group and interconnection resources with agency needs and SCIP plans Agency/Office Radio Officers – Team Leaders
• Participate in Agency/office process to ensure compliance with applicable Radio requirements. • Anticipate/prepare to mitigate Radio risks within the Agency/office • Present program results to senior Agency/office management and others • Be accountable for the success/failure of Agency/office compliance • Attend all scheduled meetings • Prepare and present Agency/office reports to appropriate levels of management • Designate/train back-up personnel • Ensure appropriately skilled program participants are available when needed • Develop/issue Agency/office-specific procedures for compliance, as appropriate • Investigate/report on licensing issues within the Agency/office • Provide technical assistance/training to Agency/office personnel • Ensure all employees are aware of statutory/regulatory/policy responsibilities • Complete assigned tasks and deliverables based on agreed schedule • Act as Subject Matter Expert for appropriate organizational function • Be prepared to take some responsibility to educate others • Communicate openly and assertively • Respect opinions of others

• Agree to work toward consensus
45 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

SECTION 11: ROLES AND RESPONSIBILITIES
Table 8: Roles and Responsibilities

ROLE OIMT Clerical, Finance, & Procurement Staff
• Oversee contracts • Manage task order solicitation • Administer contracts • Administer competitive procurements

REPOSNSIBILITIES 3: Notional View Figure

• Facilitate OIMT Radio Program Procurement staff processing of Acquisitions • Coordinate travel and process travel documents and expense reports

Internal Stakeholders: Program Team Agency/Office Radio Officers Agency/Office CIOs Sponsors All Other OIMT Employees External Stakeholders: Legislature

• Understand legal, regulatory and policy requirements for public safety communications • Ensure compliance with Radio laws, regulations, and policies • Provide feedback regarding OIMT implementation of Radio laws, regulations and policies via audits,

reports, Legislature inquiries, correspondence, appeals/litigation, etc.

1.0

PROGRAM STAFFING PLAN

OIMT is investing 9 Full Time Equivalents (FTEs) of effort by FY 14 via employees to complete this program’s tasks and deliverables. Contractor support is not included in these tables as they are responsible for the required amout of staffing to properly meet contract requirements. The breakdown by organization is:

Table 9: Program Staffing Plan by OIMT Entity

OIMT ENTITY Radio Officer Clerical Support Contracts & Acquisitions Radio Engineer Telecomm Planner SWIC Radio Specialist (3x FY13) Radio Specialist (1x FY14) Program Total

FTES 1 0.5 0.5 1 1 1 3 1 9

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 46

This table shows an estimated percentage of scheduled work hours need for the program to be successful. Table 10 Minimum Program Staffing Plan

Resource Name or Role if Not Staffed
Radio Officer Agency Bus Mgr Agency Radio Staff Clerical Support Contracts & Acquisitions Public Works Staff Radio Engineer SWIC Telecommunications Specialist Radio Specialist (FY13) Radio Specialist (FY13) Radio Specialist (FY13) Radio Specialist (FY14)

MINIMUM Needed for this program (%)
100 0.125 ea 0.2 ea 50 50 TBD 100 100 100 100 100 100 100

Entity
OIMT Radio Officer Each agency using system Each agency using system OIMT OIMT DAGS Public works (depends on active CIP construction projects) OIMT OIMT OIMT OIMT OIMT OIMT OIMT

2.0

CONTRACT SERVICES REQUIREMENTS

Skills and experience in the table below is not stated as the various unique requirements of the different sites are defined in the contracts. As State staff becomes trained and skilled at some of these roles, contractor support may be able to be reduced. Given that there is equipment on all islands, the complete elimination of contractor support is not feasible without significant staffing and funding increases. It is felt that utilization of contractor resources given the current resource limitations of the State is our most efficient option. Table 11 Contractor Requirements

Role
Grounds Maintenance Generator and fuel support Fire System Maintenance Tower and Antenna Maintenance Radio systems installation and maintenance Build out of new tower sites

Skills
Per Contract Per Contract Per Contract Per Contract Per Contract Per Contract

Experience
Per Contract Per Contract Per Contract Per Contract Per Contract Per Contract

Duration
Duration of program Duration of program Duration of program Duration of program Duration of program Duration of program

47 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F

SECTION 12:

DELIVERABLES
Enterprise Architecture | Appendix F | 48

State of Hawaii Business and IT/IRM Transformation Plan

1.0

PROGRAM DELIVERABLES

• Work with State agencies, other governments, and public

• Work with DAGS Public Works to plan, acquire property and

permits, and build or repair radio facility buildings, radio rooms, towers, and antenna support structures.
• Perform frequency coordination, licensing, FAA approval

utilities to develop, refresh, support, and enforce agreements relating to the sharing and mutual aid support of frequencies, systems, services, and infrastructure as permitted by the HRS.
• Establish, verify, and regularly report on technical and

performance standards for State radio systems and services.
• Assist the Department of Land and Natural Resources (DLNR)

applications, interference and coverage studies, radiation safety studies, and related activities necessary to operate radio facilities.
• Author bid specifications for radio maintenance activities

in the review of land management activities relating to the location and permitting of non-State radio systems on or near public lands.
• Aligning Statewide Governance & Implementation to the

including, but not limited to, maintenance of digital microwave radio systems, land mobile radio systems, tower structures (including painting), DC power systems and batteries, radio building grounds, emergency generators (including fueling), air conditioning systems, and security systems. Monitor maintenance contractor activities.
• Manage system and site security issues ranging from

National Emergency Communications Plan.
• Work with State Civil Defense to establish goals and

priorities for addressing deficiencies in the State’s emergency communications structure.
• Monitoring all Agencies’ Radio licensing, procurement,

employee and contractor access lists to key management.
• Work with the Information and Communication Services

and FCC notices for ensuring statutory and State enterprise architecture compliance.
• Assuring proper fulfillment throughout the State of reviews

Division (ICSD) networking staff to operate, administer, manage, provision, refresh, and secure the SONET multiplexer and IF networking components of modern radio systems infrastructure to ensure compliance with both ICSD and any required federal standards.
• Develop and administer land mobile radio talk group and

and reporting requirements under Radio
• Oversight of Radio training programs and other types

of outreach for both Agency Radio Officers and for all Departmental radio personnel.
• Coordination with others in promoting adherence to

frequency allocation and use plans for State government agencies. Work with user agencies to train personnel on proper use of land mobile radio resources.
• Manage, allocate, and record bandwidth, circuits, and

sound Radio practices and procedures, within and beyond the Executive Branch.
• Serve as chief advisor to senior agency personnel on Radio

physical infrastructure used to support agency and partner radio activities.
• Serve as the State’s representative to the ‘Anuenue digital

subject matters.
• Coordinate, develop and promote the adoption of

microwave radio system partnership.

operational standards and best practices for system and facility infrastructure design for use statewide by both State agencies and our county and federal agency partners.

49 | State of Hawaii Business and IT/IRM Transformation Plan

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• Develop and maintain a core competency in radio technical

• Energy management oversight of radio sites and

matters to position the State of Hawaii to anticipate and respond to changes in technologies, legislation, and user needs in wireless communications.
• Work with our county and federal partners to train

data centers to including work to plan, acquire permits, build, operate, maintain and repair emergency power systems, power conditioning systems, and redundant air conditioning systems.
• Work with ICSD management to manage security, surveillance,

and equip a technical team capable of rapid response to radio issues ranging from system outages to tracking and eliminating interference.
• Work with DAGS SPO to develop and promote the use of

and fire protection systems and develop, test, and refresh response and escalation procedures.
• Microwave path surveys, radio site surveys, and topological

standardized Price List and other options to streamline and standardize procurement of radio and wireless services and hardware.
• Work with DAGS Public Works Division to plan, acquire

map studies as required to establish microwave radio paths.
• Site records management; maintenance of comprehensive site

and facilities database.
• Develop, test, and refresh plans for storm survival, disaster

funding for, and execute CIP projects related to radio and wireless infrastructure.
• Consolidate radio and radio infrastructure

recovery, and continuity of radio system operations.

maintenance activities.
• Provide representation, support, and leadership to the various

statewide entities that deal with radio related matters, including, but not limited to the 700 MHz Regional Planning Committee, the 800 MHz Regional Planning Committee, and the State Communications Interoperability Program.
• Consolidate subscriber radio programming services and

provide a one-stop shop for agencies and users to use for radio programming, repair, and purchase of radio related items such as batteries and user accessories.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 50

SECTION 13:

PROGRAM CONTROLS
Enterprise Architecture | Appendix F

51 | State of Hawaii Business and IT/IRM Transformation Plan

1.0

FEDERAL REPORTING

The program is responsible for adhering to all federal reporting requirements for the State. All reports must be submitted to meet or exceed federal reporting regulations. The program will also be responsible for the maintenance and filing of all State frequency licensing with the FCC. Fees associated with Agency specific systems and requirements will continue to be funded by that specific agency, while those that are shared on a statewide basis will be assumed by OIMT.

2.0 STATE RADIO PROGRAM ANNUAL REPORT (ANNUAL)
Agency/Office Radio Officers are responsible for preparing their portion of the annual reports as set forth in the Radio plan. This report reflects level of Agency/office/OIMT compliance with specified requirements.

3.0 ANNUALLY/PERFORM RADIO TECHNICAL EVALUATIONS
The program will be responsible for maintaining a comprehensive plan with a five year outlook for operations and maintenance needs as well as new sites and backhauls and the yearly submission of this plan for consideration and inclusion in the State budget.

4.0

DOCUMENT LABELING AND CONFIDENTIALITY

All program documents will be labeled “Sensitive But Unclassified - For Official Use Only” or “Law Enforcement Sensitive - For Official Use Only” as required in the header and footer. All Certification & Accreditation (C&A) tasks and deliverables required before this program’s Solution can be implemented in Production are part of this program.

52 | Program Controls State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix F | 52

APPENDIX A: REFERENCES & ASSOCIATED DOCUMENTS APPENDIX B: GLOSSARY OF ACRONYMS
53 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix F

APPENDIX A: REFERENCES & ASSOCIATED DOCUMENTS
• State of Hawai‘i Business Transformation Strategy and IT/IRM Strategic Plan, 2012 (known hereafter as the “The Plan”) • Baseline of Information Management and Technology and Comprehensive View of State Services

(known as the “Final Report”) prepared by SAIC
• State of Hawai‘i HWIN Charter • State of Hawai‘i SCIP Charter • Hawai‘i Statewide Interoperability Channel Plan, March 2011 • Homeland Security - Establishing Governance to Achieve Statewide Communications Interoperability,

December 2008
• Hawai‘i Statewide Communications Interoperability Plan, November 2007 • Hawai‘i Statewide Interoperability Channel Plan, March 2011 • National Emergency Communications Plan (NECP), July 2008

APPENDIX B: GLOSSARY OF ACRONYMS
Please consult the Office of Information and Management Technology Nomenclature document.

54 | Appendix Business and IT/IRM Transformation Plan State of HawaiiA: References & Associated Documents | Appendix B: Glossary of Acronyms

Enterprise Architecture | Appendix F | 54

ENTERPRISE ARCHITECTURE (EA) – A BLUEPRINT FOR CHANGE APPENDIX G–RECORDS MANAGEMENT
1 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

1 INTRODUCTION
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 2

1 INTRODUCTION
The State has a need to manage and maintain the official records created in the course of business. In the past, records were kept in paper form, with long-term records sometimes being converted to microfilm or microfiche for long term archiving. More recently, electronic record-keeping has become more common. Records created by government agencies in digital format are now legally accepted as government records. (See, Act 177, SLH 2005). As such, they must be available and usable throughout their required retention periods. Unlike paper records, digital records are dependent on computer hardware and software to be usable. There are no current policies and/or laws that specify digital recordkeeping standards that apply to all Hawaii government agencies. As government records are increasingly generated and stored in computer-based information systems, the state faces the challenge of managing and preserving these digital documents. Improper maintenance of these records could result in the permanent loss of historical, legal, and vital information. The plan to create a digital Records Management (RM) capability to manage government digital records will enable the State to fulfill its RM obligation that includes records created digitally, and to ensure their preservation for future generations. The Records Management Working Group, under the auspices of the CIO Council, has established a plan for developing and providing an enterprise service that will enable the various Departments and Agencies in the State of Hawaii to meet their statutory requirements for maintaining records. The Records Management (RM) Program, under the Archives Division of the Department of Accounting and General Services, in cooperation with the Office of Information Management and Technology, will develop and deploy the necessary policies, processes, and technologies to make this service possible. This document outlines the plan that the Archives Division and OIMT will follow.

1.1. THE INFORMATION MANAGEMENT ECOSYSTEM
Records Management does not exist in a vacuum. Rather, it is part of the larger ecosystem of Digital Asset Services (Figure 1). While the scope of this plan is focused on RM and Digital Archives, it is recognized that the information resource management capabilities that can be used to provide RM services are closely related to the capabilities that enable non-record Document, Content, and Knowledge Management as well. Therefore, as the Digital Archives and RM solutions are developed and deployed to meet immediate State needs, an eye will be kept on future expansion to a broader set of digital assets from both a technology and a policy and procedure viewpoint. A more thorough exploration of these broader capabilities will occur in the coming years to both leverage the Digital Archives and RM solutions already in place, and to enhance their capabilities with new digital asset services.

Figure 1 - Digital Asset Services 3 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

Beyond its place in the Digital Asset Services model, RM can also be interpreted from the perspective of the Content Lifecycle (Figure 2).

Figure 2 - Content Lifecycle 1

The content lifecycle describes the stages that content – of any format – goes through from when it is first generated to final disposition. Create: The create stage of the lifecycle is where content is initially formed. Capture: The capture stage refers primarily to hardcopy content being converted to an electronic format. Captured content may be generated either internally or externally to the agency. Store: Store refers to the management of the content in a repository that provides access to the content. Publish: The publish stage concerns the distribution of content to various stakeholders both within the agency as well as external to it. Once the content is published, it is available to be used by content consumers. Preserve: The final stage of the lifecycle covers what happens with the content once it has served its purpose within the agency. The envisioned RM system will provide automated capabilities along the entire lifecycle of digital content.

This diagram is based on the framework recommended by the Association for Information and Image Management (AIIM) for an Enterprise Content Management lifecycle.
1

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G | 4

2 THE CURRENT STATE OF RECORDS MANAGEMENT
5 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

2 THE CURRENT STATE OF RECORDS MANAGEMENT
As part of the Hawai’i Digital Archives Initiative funded by NHPRC, a survey was conducted in October 2010 to a crossfunctional group of records creators, records managers, and IT professions from all three branches of government, higher education and local government to gain a comprehensive understanding of the state of digital records issues and awareness in the state. The results of the survey are available in the Hawaii Digital Archives Plan (see Appendix A), but the major issues that were consistently repeated in the responses to the survey include:
• The need for more frequent and intensive records • The need for a long term repository that will preserve digital

records throughout the required retention period. This plan will establish both a more robust RM program that will be better able to provide the training necessary to improve the ability of state employees to understand and execute their record-keeping responsibilities, and the information technology infrastructure that will make the maintenance of records more intuitive and convenient to users across the state. In the development of this plan, the RM Working Group conducted an internal SWOT analysis of the current state of RM in Hawaii. This analysis is presented below:

management training that includes digital records management and maintenance;
• The need for guidance from the State Archives on how to

manage digital records (in the form of draft policies, procedures and guidelines which agencies can use to develop their versions); and,

Table 1: Current and Future State Summaries by Architectural Layer

Strengths
• Strong RM knowledge and capability at Archives

Weakness
• Not everyone knows what constitutes a record, and what needs

to be kept
• We don’t have a common definition of records management • Not all agencies submit their records to Archives • Records management schedule is complicated (some are 1 yr,

some are 3 yrs, 4 years, 6, 7, 10, 25, etc) – maybe simplify it

Opportunities
• New digital archives system • Get students to help • Don’t need to start from scratch – some agencies have good processes • Misuse of information

Threats

• Keeping records too long opens state up to lawsuits or

privacy breaches
• Relying on users to provide metadata is hit or miss

we can leverage (AG, Archives)
• Share data, web services

The Plan presented here aims to capitalize on the Strengths and Opportunities identified in the analysis, and to mitigate the Weaknesses and Threats. However, it will take a concerted effort over the next several years to ensure that the possibilities of electronic records management are fully leveraged, and the common pitfalls avoided.
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 6

3 THE VISION FOR RECORDS MANAGEMENT
7 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

3 THE VISION FOR RECORDS MANAGEMENT
The future state of RM in Hawaii will evolve over the next several years in a phased approach, with each phase building upon and extending the capabilities of the previous phases. The phases are as follows:
• Phase One: Digital Archives • Phase Two: Records Management • Phase Three: Document & Content Management • Phase Four: Information Management Environment /

Figure 2 in the previous section. This will simplify the users’ job, as the metadata for the record will be automatically generated by the system at the time of creation, and the RM schedule (both the general Statewide schedule and any additional Departmental or Agency requirements) will be logically applied at the time of records creation, rather than as a separate function after the fact. Records that are scheduled for permanent preservation will be sent to the Archives at time of creation. The RMS will have the capability of designating access control at the word, line, page, or document level. This means that users will have the ability to assign protection levels and access controls that will enable the maximum amount of access while still protecting sensitive information. The RMS will furthermore be capable of identifying and marking vital records, those records which are critical to business continuity planning and disaster recovery. Such vital records will be stored in such a fashion as to enable recovery of them despite any disaster that may impact the normal business operations of the State. Each record maintained by the system will have a designated “master copy”, and any reference to the record will be in the form of a URL link to that master. Any local copies users make of that record will be automatically designated as copies, and will not be subject to the maintenance requirements of the master copy. The RMS will not be a stand-alone system that users will need to run when they want to store a record; rather, it will be an enterprise service that is present in the background at all times, and which will integrate or interface with any system, including word processing, email, and social media systems, that may be used to create records that must be maintained. An enterprise service model will provide better integration of records and content management functionality by defining the appropriate service levels among the end-users, as identified in a services catalogue. Providing RM as an enterprise service will streamline the acquisitions process by reducing the number of procurements from different department areas and containing the number of vendors and different product suites involved with RM deployments. Platform standardization and non-standard product classification will provide effective application portfolio management and assist with the development of standard packages in various tiers for functionality ranging from basic to the more advanced capabilities.

Knowledge Management Each of the four phases is described briefly below. Phase One: Digital Archives will begin immediately in FY13, and will follow the Hawaii Digital Archives Plan already developed by the Archives Division, and included in its entirety in this plan as Appendix A. In brief, the Hawaii Digital Archives Plan itself takes a phased approach to implementation, beginning with a prototype, advancing to a pilot, and finally production. Phase Two: Records Management will also begin in FY13, with a detailed analysis of the requirements for digital records management in the State. Much of the work will build upon the requirements identified for the Digital Archives project, but with the additional complexity of a distributed system that allows for variation in Departmental and Agency needs, while still providing a centralized, enterprise service. The vision for the future of RM in Hawaii is for state records to maintained and managed electronically by an enterprise Records Management System. There will be a centralized metadata repository for state records, so that the information captured and maintained on each record is standardized, and records from any Department or Agency are discoverable and searchable across the State. The actual storage of records may be federated, allowing the owning Department to maintain physical control of the storage medium. However, as the State’s infrastructure is developed and the envisioned Shared Services Centers are deployed, it is anticipated that most local storage will be phased out, and all, or nearly all, data storage in the State will migrate to the State’s private cloud. This will provide the advantage of redundancy and security that is not possible with multiple stand-alone storage solutions. Although centralized storage is the preferred approach, exceptions may be approved on a case-by-case basis to suit local needs. In these cases, the local storage will be made accessible to the enterprise network, and the records stored therein will be discoverable and accessible to those possessing the appropriate authorizations, just as if they were stored in the private cloud. The future Records Management System (RMS) will provide full lifecycle management of State’s records as described in
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Enterprise Architecture | Appendix G | 8

Below are key topics and items to address success for an RM enterprise service approach: 1. Baseline of all high profile RM applications within all State Departments and Agencies. 2. Identify organizations not using common core RM components and develop usage scenarios. 3. Identify RM technology components for common usage scenarios and business requirements. 4. Determine RM package services to meet stakeholder needs. 5. Develop an effective charge-back model to create maximum incentives for adoption of enterprise RM product technology. 6. Identify financial and performance metrics to measure success of the RM enterprise service program. 7. Determine best way to develop and enforce policies, procedures and guidelines. 8. Determine an on-going change management approach. 9. Develop or enhance existing organizational models for RM oversight and governance. 10. Develop a standardized information taxonomy and process to maintain it. The RM PMO at the Archives Division and OIMT will collaborate to address these needs in FY13 in order to position the State for success in the subsequent procurement, configuration, and deployment of an enterprise RM solution. The RM Working Group anticipates that an incremental approach to deployment of the RMS will be most successful. The RM PMO and OIMT will develop a means of evaluating and certifying existing and future systems that will need to integrate or interface with the envisioned RMS. Certification ensures that: paperless records comply with the law; information essential to efficient and economical operations is documented; and, IT systems the State develops and maintains comply with statutory and agency electronic recordkeeping requirements.

Systems will be grouped into one of three categories:
• Applications that fully integrate with RMS • Legacy applications/systems certified by RM PMO as RM

compliant but not integrated with RMS
• Legacy systems that cannot integrate with the RMS

Systems of the first type will be the preferred solution, and will enable the RMS to automatically identify when a records has been created, populate the metadata template, and apply the appropriate records management schedule. These standards will be incorporated into the State of Hawaii Enterprise Architecture and will be mandatory for all future system procurements, much like security requirements.

The second category of systems provide their own valid records management capability, but are not integrated with the proposed RMS. Such systems will be allowed to continue operation through their normal life expectancy without the requirement for modification to integrate with the RMS. As these systems are replaced, their follow-on systems will be fully compliant with RMS requirements. The third type of system will require records to be printed out and maintained in paper format. While it is desirable that these systems be phased out as quickly as possible from a records management perspective, other considerations may require their persistence. In these cases, paper records will be incorporated into the RMS by designing and implementing metadata capture capability. Phase Three: Document & Content Management and Phase Four: Information Management Environment / Knowledge Management will begin when the enterprise Records Management System is in production. These two Phases, which may ultimately be combined, examine the State’s need for management of not just those documents which are

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Enterprise Architecture | Appendix G

designated as official State records, but in fact any type of electronic content – documents, presentations, spreadsheets, multimedia files, and both structured and unstructured data – as well as the context and tacit knowledge of State employees that is not readily captured in document or standard electronic content form. Managing and optimizing the progression from raw data to information (data in context) and from information to knowledge (information ready to be applied to decision-making) and increasing the maturity of the State’s ability to do so are the goals of these phases. These capabilities will likely be addressed not by a single enterprise service, but by a variety of solutions that share a common interface and index. Together we refer to all four phases as “information management”. The Information Management Domain of the Enterprise Architecture describes the desired future state:
• Data Management Services

• Document management repositories • Document metadata maintained over the life of the

document (See Appendix B, Hawai’i DRAFT Recordkeeping Metadata Standard) - Other content (unstructured data)
• Content management services to store and manage other

unstructured data within defined stores, such as Web page or collaboration content to include all media types
• Automated content indexing to facilitate search and retrieval • Records Management

- Record management services to create and extract digital records and link to and partition within underlying data and information (digital content) stores - Records metadata maintained over the life of the record
• Search

- Enterprise and LOB operational databases implemented using relational database management systems technology - Enterprise and LOB analytical databases (data warehouses or data marts) implemented using de-normalized relationaldatabases or On-Line Analytical Processing (OLAP) cube technology - Enterprise and LOB data management services for create, read, update, and delete (CRUD) of enterprise or LOB data entities
• Digital Content Management Solutions

- An enterprise search capability that integrates search across all information management sub-domains discussed here – data, documents, and other digital content
• Business Intelligence and Analytics Solutions

- Utility services to support the creation of analytics solutions to include analysis and statistics, visualization, graphics, dashboards, drill-downs, ad hoc query, and reporting
• Knowledge Management Solutions

- Electronic documents
• Document management services to store and manage

- The utilization of all capabilities above + collaboration services to build knowledge management solutions for specific problem domains within the enterprise or LOBs.

electronic documents including all media types (text, images, video)

Guiding Principles for the Information Management Domain 1. The State will continue to have a need to manage official documents and records within its operations. The future direction is for the official authoritative source of all documents or records to be electronic. An enterprise document management solution will address this need, but associated technology standards and products are specified here. 2. Within the operations tier, relational database management systems will be the standard for storing all State data. 3. Analytics and visualization capabilities will integrate geospatial data. Geotagging of data should be evaluated for use in all State database implementations.

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Enterprise Architecture | Appendix G | 10

4 HAWAII RECORDS MANAGEMENT PROGRAM STRUCTURE 5 PROJECTS
11 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

4 HAWAII RECORDS MANAGEMENT PROGRAM STRUCTURE
In order to achieve the goals of a compliant and integrated records and information management capability for the State, the State Archives – Records Management program (AGS 111) must be enhanced to provide the level of expertise and support required for RM as an enterprise service. OIMT will provide technical assistance, including program and project management support, technical expertise, and technology infrastructure to the Archives Division in order to create an automated RM capability as an enterprise service, with this capability eventually expanding to include non-record document, content, and information in the coming years. The RM Program Management Office will reside within the Archives Division of DAGS and will encompass both the RM and historic RM branches. The PMO will evolve from the existing Digital Archives staff, and be responsible for setting and monitoring State RM policy, providing resource sponsorship and expertise to the RM and other digital asset projects, developing and providing training in RM and ECM for the State, and coordinating with OIMT on operating and maintaining the digital archives, RM, and document, content, and knowledge management system(s), including requirements development, and configuration and change management. The majority of actual RM work will remain with the Department Records Officers (DRO), normally part of the ASO office. The RM PMO will provide training and guidance to DROs in RM, archiving, scheduling, and destruction of expired records.

5 PROJECTS
In FY13, the Hawaii Innovation Program will undertake a series of projects as described below. Some of these projects are intended to stand up various components of the Program, while others are innovation projects that will eventually be transferred out of the Innovation Program and become either stand-alone programs or enterprise services.

5.1.

DIGITAL ARCHIVES

The State Archives is mandated by law to preserve the permanent records of state government; creating a centralized digital archives for the preservation of digital records is a necessary next step. A digital archives will not only ensure the migration of digital records in a cost effective manner but will provide a single access point to all citizens of the state.

Estimated Costs Services Personnel Equipment / Hardware Software TOTAL Anticipated Project Timeline Task Prototype Pilot Production Opeartion & Maintenance FY13

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

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5.2.

RECORDS MANAGEMENT PROGRAM SUPPORT

The RM PMO will require additional resources above and beyond the current staffing levels of the Archives Division. It is estimated that two additional positions will be required to operate and maintain the Digital Archives and RM software. As the capability set grows, as many as two more technical positions will be required. These positions may be located within the RM PMO, or they may be OIMT personnel detailed to support the RM program. In either case, the costs are reflected here. Personnel may be a mix of government and contractor personnel. In the first year (FY13), the Archives Division and OIMT will collaborate to define a Records Management Strategic Plan that incorporates the requirements from across the State enterprise, and will also refine the organizational design of the RM PMO, its relationship to OIMT, and the responsibilities of each going forward.

Estimated Costs Services Personnel Equipment / Hardware Software TOTAL Anticipated Project Timeline Task RM Strategic Planning & Org Design Archives support RM support ECM support KM support FY13

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

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5.3. LEGACY RECORD MIGRATION AND IMAGING
Many of the State‟s vital records, including deeds, maps, and conveyances, exist only in paper form. While it is crucial that these historical records be preserved in their current state, it is also important that the information contained in them be more accessible to the public. Allowing unfettered access to antique documents is not feasible, but one-time archival scanning of these documents may be accomplished without significant risk of damage. OIMT will support the acquisition of a document/ record imaging service during FY13 to scan DHHL and DAGS Public Works Division historical documents. If this pilot effort is successful, the service will be expanded to digitize all of the State’s historical records, simultaneously ensuring the survival of the information contained within them, reducing the exposure of the actual paper documents to excessive handling, and making historical records more available and accessible to the public.

Estimated Costs Services Personnel Equipment / Hardware Software TOTAL Anticipated Project Timeline Task DHHL and PWS Pilot Additional DHHL State Archives Other Departments FY13

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

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5.4. RECORDS MANAGEMENT SYSTEM
Hawaii needs a common information system that will standardize and simplify the records management function across the State. Every Department creates records that must be maintained, each with its own schedule for storage and disposal or archiving. While the individual records, the systems or processes that generate them, and the current policy for maintaining them vary from department to department, a common capability that identifies records, captures them along with the required metadata, and stores them appropriately until their expiration.

Estimated Costs Services Personnel Equipment / Hardware Software TOTAL Anticipated Project Timeline Task Planning and Requirements Prototype Pilot Implementation Operations & Maintenance FY13

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

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5.5.

DOCUMENT & CONTENT MANAGEMENT SYSTEM

The need for digital asset management extends beyond those documents that are identified as official records. The current method of storing digital assets on local or shared hard drives and using files structures, file names, or search engines to locate the appropriate document or asset is untenable. If state employees could find the documents or other digital assets they needed quickly, easily, and without fail, the amount of non-productive work looking for documents, as well as the additional storage capacity required for individuals to maintain local copies of assets they need to use often, would be eliminated. Version control and commonality of data and format would be enhanced via an enterprise content management system. The business case and requirements for this system need much more analysis, but the potential benefits are real and substantial. It is likely that the enterprise content management system would build on or replace the RM and digital archives system, eliminating redundancy and reducing costs.

Estimated Costs Services Personnel Equipment / Hardware Software TOTAL Anticipated Project Timeline Task Planning and Requirements Prototype Pilot Implementation Operations & Maintenance FY13

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

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5.6.

INFORMATION MANAGEMENT ENVIRONMENT / KNOWLEDGE MANAGEMENT SYSTEM

The final phase of the RM plan is an integrated information management environment that encompasses not only traditional digital assets (i.e. documents and media), but all data, both structured and unstructured. The technology in this area is rapidly advancing, and the ability to tag individual data elements in context, capture policies and processes in the digital domain, link digital content, data, and the implicit knowledge of the state’s employees and contractors into a coherent, “smart” enterprise is approaching. This environment will build on the digital content management system(s) and the information architecture developed in the coming years to provide everyone in the State of Hawaii with real-time access to the right information at the right time, in the right format, safely and securely in accordance with their individual level of permission.

Estimated Costs Services Personnel Equipment / Hardware Software TOTAL Anticipated Project Timeline Task Planning and Requirements Prototype Pilot Implementation Operations & Maintenance FY13

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

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6 10-YEAR TIMELINE AND COSTS 7 SUMMARY
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 18

6 10-YEAR TIMELINE AND COSTS
Estimated Costs Digital Archives Records Management Program Support Legacy Record Migration and Imaging Records Management System Document & Content Management System Information Management Environment / Knowledge Management System TOTAL FY13 Pending Review Pending Review FY14-15 Pending Review Pending Review FY16-17 Pending Review Pending Review FY18-19 Pending Review Pending Review FY20+ Pending Review Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

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7 SUMMARY
Records Management is only a part of the digital asset management capabilities required for modern operations. This plan takes an incremental approach, focusing first on the compliance aspects of preserving digital archives, and expanding capabilities as resources and process maturity allows. The ultimate goal is a means of managing digital assets across their lifecycle of Create, Capture, Store, Publish, and Preserve. The projects identified in this plan will be developed in greater detail over the coming years, as the Digital Archives Plan (Appendix A) is executed.

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Enterprise Architecture | Appendix G | 20

ATTACHMENT A HAWAII DIGITAL ARCHIVES PLAN
The Hawai’i Digital Archives Plan analyzes Hawai’i’s ability to collect and preserve digital records and presents a working blueprint to establish a digital archives capable of preserving and providing access to historical digital records of Hawai’i government. This initiative was made possible through a grant from the National Historical Publication and Records Committee (NHPRC). Preserving our Cultural and Intellectual Heritage
1 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

TABLE OF CONTENTS
2 EXECUTIVE SUMMARY...............................................................................................................................................................................4 3 STATE ARCHIVES’ ROLE AND RESPONSIBILITY ..................................................................................................................................4 4 DIGITAL ARCHIVES SURVEY......................................................................................................................................................................6 Survey Background ..................................................................................................................................................................................7 Methodology...............................................................................................................................................................................................7 Analysis of Survey .....................................................................................................................................................................................7 Recommendations Based on the Survey Responses .......................................................................................................................8 5 PHASED IMPLEMENTATION PLAN........................................................................................................................................................10 Purpose......................................................................................................................................................................................................11 Phase One: Prototype .............................................................................................................................................................................11 Phase Two: Pilot Phase ..........................................................................................................................................................................12 Phase Three: Production Phase ..........................................................................................................................................................13 6 DIGITAL ARCHIVES INITIATIVE PARTNERS .........................................................................................................................................15 Contributing Partners .............................................................................................................................................................................16 Technology and Resource Partners ....................................................................................................................................................17 7 FUNCTIONAL REQUIREMENTS ...............................................................................................................................................................19 8 COMPARISON OF DIGITAL ARCHIVING SOFTWARE .........................................................................................................................20 Digital Archives Scoring Matrix ...........................................................................................................................................................21 About the Software Compared.............................................................................................................................................................21

Table Of Contents 2

9 PROPOSED ARCHITECTURE ....................................................................................................................................................................22 Overview....................................................................................................................................................................................................23 Logical Architecture ...............................................................................................................................................................................23 Physical Architecture .............................................................................................................................................................................24 10 LEGISLATIVE REVIEW AND RECOMMENDATIONS .........................................................................................................................27 Establishment of Authority: ...................................................................................................................................................................28 Definition of Record ................................................................................................................................................................................28 Management of Digital Records ..........................................................................................................................................................29 Retention of Records in Digital Format ...............................................................................................................................................29 Preservation Media ................................................................................................................................................................................29 Microfilm and Imaging Systems ..........................................................................................................................................................30 Records Management Guidelines .......................................................................................................................................................30 Public Access to Records .....................................................................................................................................................................31 11 STAFFING RECOMMENDATIONS .........................................................................................................................................................32 Executive Management: ........................................................................................................................................................................33 Technical Staff: ........................................................................................................................................................................................33 Professional staff:....................................................................................................................................................................................32 Recommendations: .................................................................................................................................................................................32 12 REVIEW AND RECOMMENDATIONS OF POTENTIAL FUNDING SOURCES ...............................................................................35 Alternatives Considered:........................................................................................................................................................................36 Recommendations: .................................................................................................................................................................................37 13 RECOMMENDATIONS OF DISASTER RECOVERY.............................................................................................................................38 14 APPENDIX A: DIGITAL ARCHIVES SURVEY .......................................................................................................................................40 15 APPENDIX B: ANALYSIS OF SURVEY RESULTS................................................................................................................................49 16 APPENDIX C: FUNCTIONAL REQUIREMENTS ...................................................................................................................................63 17 APPENDIX D: OVERVIEW OF THE DIGITAL ARCHIVING SOFTWARE OPTIONS COMPARED ................................................74 18 APPENDIX E: RECOMMENDED DISASTER RECOVERY MANUAL ELEMENTS..........................................................................78

3 | Table Of Contents

2 EXECUTIVE SUMMARY 3 STATE ARCHIVES’ ROLE AND RESPONSIBILITY
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 4

2 EXECUTIVE SUMMARY
The Hawai’i State Archives has embarked on a mission to preserve and provide access to historical digital records of Hawai’i’s government. While there is a clear direction on what records need to be preserved, there is no mechanism within the state to assist agencies in addressing the difficulty of the long-term preservation of digital records. The State Archives is mandated by law to preserve the permanent records of state government; creating a centralized digital archives for the preservation of digital records is a necessary next step. A digital archives will not only ensure the migration of digital records in a cost effective manner but will provide a single access point to all citizens of the state. Hawai’i State Archives received a grant from the National Historical Publications and Records Commission (NHPRC) to create a plan for the development of a digital archives. Hawai’i State Archives hired a consultant to assist in developing the plan. For the last two years, Hawai’i State Archives has discussed digital archiving across state government, exploring what it entails, why it is necessary, and how it can be developed and sustained; sent out surveys to departments to get a better picture of the digital archiving needs of Hawai’i’s government; held training sessions and focus group session to engage and educate government workers regarding the issues of records management; engaged in conversations with agencies across state government and the City and County of Honolulu. The major issues that were consistently repeated in the responses to the survey include: the need for more frequent and intensive records management training that includes digital records management and maintenance, the need for guidance from the State Archives on how to manage digital records (in the form of draft policies, procedures and guidelines which agencies can use to develop their versions), and the need for a long term repository that will preserve digital records throughout the required retention period. To fulfill these needs, it is the recommendation of the project consultant that a state digital archives be developed and modeled on international standards for the preservation of digital records. The survey demonstrated a clear need for a solution to the rapidly growing problem concerning the maintenance and preservation of digital records. To assist the digital archives initiative, extensive training and best practice documentation must be developed and distributed statewide in order to educate all state employees on how to fulfill their responsibilities in managing digital public records. To continue with business-as-usual places the State of Hawai’i at a high risk of non-compliance with state and federal records laws, rules and regulations. The foundation of democracy is government accountability to the people; without records there is no accountability; without management, there are no records.

3 STATE ARCHIVES’ ROLE AND RESPONSIBILITY
The responsibilities of state employees with regards to the management of public records are clearly stated in law and policy. All public employees are required by §94-3 HRS to maintain the records created or received in their usual and ordinary course of business for the length of their approved retention schedule. In Comptroller Circular No. 2001-02, it explicitly states that all public officials are responsible for the protection and accessibility of government records under their purview. The Archives has a statutory responsibility, outlined in HRS chapter 94, to play a leading role in the management of all state government records, regardless of format and a requirement to collect and preserve the historically significant records that government creates. §94-1 HRS directs the State Archives to collect all public archives; arrange, classify, and inventory the same; provide for their safekeeping; and compile and furnish information concerning them. Records created by government agencies in digital format are now legally accepted as government records. (See, Act 177, SLH 2005). As such, they must be available and usable throughout their required retention periods. Unlike paper records, digital records are dependent on computer hardware and software to be usable. There are no current policies and/or laws that specify digital recordkeeping standards that apply to all Hawai’i government agencies. The Archives collects, stores, and makes available the permanent records of Hawai’i’s government and oversees the State’s overall records management program. The majority of these records are in paper and microform formats. With the exception of a few CD’s and DVD’s, the Archives is not yet collecting the permanent digital records of state agencies. As government records are increasingly generated and stored in computer-based information systems, the state faces the challenge of managing and preserving these digital documents. The Archives must work with agencies as new systems are developed or existing ones are updated. Improper maintenance of these records could result in the permanent loss of historical, legal, and vital information. The plan to create a digital archives to manage government digital records will enable the Archives to fulfill its functional duty to properly administer a records management program that includes records created digitally, and to ensure their preservation for future generations.

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4 DIGITAL ARCHIVES SURVEY
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 6

4 DIGITAL ARCHIVES SURVEY
SURVEY BACKGROUND
As part of the Hawai’i Digital Archives Initiative funded by NHPRC, it was determined that the previous digital records survey conducted in December 2005 would need to be expanded and revised in order to gain a better understanding of the current state of digital records management in the State of Hawai’i. A second, more expansive survey instrument was designed and distributed electronically to targeted public employees. In an attempt to increase participation, the survey was announced at the Digital Archives Project Kickoff Meeting conducted in September 2010 by the consultant on the project. To gain a comprehensive understanding of the state of digital records issues and awareness in the state, the survey was circulated in October 2010 to a cross-functional group of records creators, records managers, and IT professions from all three branches of government, higher education and local government. Invitation to partake in the survey was distributed via several email lists maintained by ICSD. In the email, participants were presented with several options for completing the survey: online through Survey Monkey, completing a PDF version of the survey and emailing it back to the archives, or printing out the survey and completing it manually. For those who chose not use the online survey instrument, the results were manually entered into the online tool by the archives staff. The survey instrument is included in Appendix A. Of the twentyseven agencies that were identified in the survey, twenty-three are represented in the results, an 89% agency representation rate. In total, seventy-seven individuals started the survey, with sixty-six completing the survey – an 86% completion rate. submit answers that could be perceived in an unfavorable light, without the responses being traced back to any one individual. At the end of the survey, all participants were asked if they would like to participate in focus group discussions by providing their contact information. The survey was limited to a maximum of thirty-eight questions with the intention of increasing rate of completion while minimizing the impact on already busy work schedules. Business logic was built into the form design to designate specific questions as mandatory and others as optional Additional business logic was built into the flow of the survey form to allow participants to by-pass questions that did not apply. For instance, if a participant did not have a digital imaging program (defined as the conversion of paper records into a digital image), they would automatically skip past the remainder of the questions concerning digital imaging and move directly to the next section. The responses to all questions were captured in a spreadsheet for later analysis. Several options for completing the survey were offered to participants: online through SurveyMonkey, completing the survey in Adobe Acrobat and emailing results to the Hawai’i State Archives, or printing the survey and returning the completed survey through regular mail. Eighty-five percent of the respondents chose to participate in the survey online.

ANALYSIS OF SURVEY
The survey collection phase ended on November 13, 2010, at which point the online survey was no longer accessible and no additional responses were added to the spreadsheet. The results were then tabulated and responses analyzed. Of particular interest were the semi-structured questions that allowed the participants to provide feedback on issues or areas of concern. From the individual responses, a larger thematic picture was formed of the current state of digital records management and preservation in the State of Hawai’i. The individual results from each question, grouped by the four thematic areas, and recommendations from the consultant specifically addressing the findings from each question are included as Appendix B. Below are the broad-based recommendations based on the results of the survey. Note: As is to be expected with any survey, the number of total responses decline as the survey progresses due to a number of participants not completing the survey.

METHODOLOGY
Survey questions built upon the previous digital records survey, with the new survey expanding on several areas of interest that were uncovered by the previous survey. Specifically, the survey instrument was expanded in order to gain a better understanding of the use of Records Management Applications (RMAs), the breadth and depth of digital imaging with in the state, and the management of email. The survey instrument was designed with both structured and semi-structured questions. Structured questions required the participant to select fixed responses to questions posed; semi-structured questions posed a question to the participant and provided a fixed length field for the participants to respond. Questions were grouped into four thematic areas: Digital Records, Scanned Records, Electronic Document Management Systems (EDMS), and General Records Issues The survey was created and hosted through SurveyMonkey, an online-survey services provider. This vendor was selected due to the easy to use interface for design and survey completion, as well as the powerful results analysis and reporting tools. During the design, it was decided to allow the participants to complete the survey anonymously. Anonymity allowed participants to
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AGENCIES REPRESENTED IN THE SURVEY
• Accounting and General Services • Agriculture • Attorney General • Budget and Finance • Business, Economic Development and Tourism • City and County of Honolulu • Commerce and Consumer Affairs • Defense • Education • Hawai’i County • Hawaiian Home Lands • Health • Human Resources Development • Human Services • Judiciary • Labor and Industrial Relations • Land and Natural Resources • Legislature • Office of the Governor • Public Safety • Taxation • Transportation • University of Hawai’i

• Due to the wide diversity of media types storing digital

records within the state, the State Archives should draft a list of media types that are recommended for the long-term storage of digital records, as well as a list of media types that should be avoided for all but short-term storage or transport.
• Due to the volatile nature of the hardware, software and

media upon which digital records are stored, efficient, and effective backups are necessary to ensure adequate protection of the records against loss. Therefore, the State Archives should work closely with ICSD to draft guidelines for digital records backup that includes verification and auditing procedures to ensure that the backups are being carried out as planned.
• As email is increasingly being used as a method of choice for

conducting business and must be treated as a record, additional e-records training modules that include a strong emphasis on email should be developed and delivered across the state.
• Lastly, as change is inevitable in the digital world, the

State Archives should obtain copies of existing migration plans, conduct research on what other archives are doing for migration, and then produce guidelines for digital migration that public institutions can incorporate into agency specific policies and procedures.

General Recommendations for Digital Imaging Survey Questions:
Based on the responses received, with regards to Digital Imaging the following general recommendations are made. It is recommended that:
• The State Archives develop a set of standards for the digital

imaging of paper records. This publication should include minimum resolution, acceptable file formats, quality assurance procedures, and auditing protocols. It is also suggested that legislation be drafted to require State Archives approval of digital imaging systems prior to the destruction of paper records.
• A cost-benefit analysis be created based on the imaging

RECOMMENDATIONS BASED ON THE SURVEY RESPONSES
General Recommendations for Digital Records Survey Questions:
Based on the responses received, with regards to Digital Records the following general recommendations are made. It is recommended that:
• The State Archives should obtain copies of existing digital

processes currently in use. The study should focus on the primary areas of benefit listed in the survey: access, storage, and management.
• The State Archives seek out and engage in partnerships

with those agencies imaging documents of historical value in order to ensure the maintenance and preservation of important government records.
• Further research be conducted into the possibility of

records master plans from those agencies where they exist, conduct research on what other archives are doing for migration and produce guidelines for the creation, maintenance and preservation of digital records that can be used by all public institutions to create agency specific master plans.

centralizing the large scale imaging operations in order to reduce overall costs.
• Lastly, a model imaging contract be created to detail the

necessary controls required to ensure the accuracy and integrity of the images, as well as the state’s ownership of the product, both images and indexes.

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Enterprise Architecture | Appendix G | 8

General Recommendations for Electronic Document Management System (EDMS) Survey Questions:
Based on the responses received, with regards to EDMSs the following general recommendations are made. It is recommended that:
• Agencies with EDMSs be made aware of the dangers

of maintaining records in potentially proprietary systems. Guidelines should be developed that recommend data export protocols that will ensure continued access and management of records residing in EDMSs in the event that the system is no longer supported.
• The State Archives be involved in all future EDMS

procurements and implementations to lend subject matter expertise on the issues of the maintenance and preservation of public records of long-term value.
• A ‘recommended practices’ guide be developed for a

minimum core set of metadata that has been determined necessary to ensure the maintenance and preservation of public records of long term value.

General Recommendations for General Records Survey Questions:
Based on the responses received, with regards to General Records the following general recommendations are made. It is recommended that:
• The State Archives continue and expand its current

records management training to include online training for remote locations, electronic records management training that emphasizes email management, and advanced records management training courses.
• Further research be conducted on the recommended

practices and guidelines that have been issued by other public sector digital archives programs and adapt these to State of Hawai’i use. Based on the feedback received in the survey, public employees are in need of guidance on the appropriate methods and practices for managing their digital records according to approved retention schedules.
• Interested stakeholders should continue to be engaged as

the project moves on, through regular updates, focus group meetings, and solicitation of beta testers.
• A State Digital Archives be developed to allow for the

centralized preservation of digital records of enduring fiscal, historical, or legal value. As part of this project, guidelines for the management and maintenance of digital records should be created and incorporated into training modules.

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5 PHASED IMPLEMENTATION PLAN
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 10

5 PHASED IMPLEMENTATION PLAN
Purpose
In order to build a system that works for Hawai’i State Government, it is recommended that the Digital Archives project pursue a phased implementation plan. Based on extensive evaluation of the digital archives software applications currently available, it will be necessary to modify and grow the chosen archiving platform to fit the unique functional requirements determined to be essential for the proper operation of the Hawai’i Digital Archives. The recommended implementation plan is comprised of three phases: a prototype phase to familiarize the digital archives technical staff and prototype partners with the operation and capabilities of the base system; a pilot phase that improves upon the base system by increasing functionality and demonstrating this modified system to a larger group of partners; and a production phase that rolls out the fully featured digital archiving system to Hawai’i state government. A phased implementation plan will allow the staff of the Digital Archives project to:
• develop a strong familiarity with the individual components of

The prototype agency review will consist of conducting a current records inventory for the agency’s paper and digital records. Staff from the State Archives will compare the current inventory to the agency’s current retention schedule, update the retention schedule as needed, and note any digital records of permanent value that would be eligible for preservation in the Digital Archives. Identified records series will be the primary targets for the prototype phase of the project. Once identified, Digital Archives project members will work with the prototype agencies to document the location, record profile, and possible transmission methods for the target records. A Memorandum of Understanding (MOU) will be drafted with each prototype agency detailing the targeted records and expected transmission method. To supplement the targeted records from partner agencies, samples of known archival digital records from other willing agencies will be collected in order to provide as broad a picture as possible of the breadth and depth of records that could potentially be sent to the Digital Archives. Record samples collected from non-partner agencies will be used solely for the purpose of designing a flexible ingestion mechanism that will be capable of processing a wide variety of records from a broad base of agencies. Sample records will not be permanently accessioned into the Digital Archives; rather, the sample records will be used to design and test the Digital Archives functionality and ability to process a wide variety of records from a diverse cross-section of agencies. The code review will begin with a top-down analysis of the source code for the digital archiving software selected to provide the base foundation for the Hawai’i Digital Archives project. This analysis will map the individual code functions and classes to the functional requirements detailed in the Digital Archives Plan, while inspecting any code documentation that exists. Existing code that does not meet the required standard, in either programming methodology or inline code documentation, will be noted. Logged deficiencies will be prioritized and addressed in the Pilot Phase. After the analysis of the code base and identification of prototype agency records have been completed, an action plan for addressing any missing core functional requirements detailed in the Digital Archives Plan will be developed. The missing core functionality will be prioritized and assigned to the technical staff for development and integration of the needed modules. The initial prototype system hardware will be installed, tested, and documented. As modules are developed, the collected record samples will be used to test the prototype Digital Archives system, demonstrate its functionality to partner agencies, and solicit feedback from the partners and State Archives staff. Feedback received will be evaluated for implementation and prioritized based on need and feasibility of the responses.

the digital archive;
• incrementally build the system to meet the needs of state

government agencies and customers;
• provide key milestones to demonstrate needed

functionality and solicit feedback from partner agencies and customers; and,
• use the knowledge and experience gained in previous phases

to increase the robustness, features, and capacity of the Digital Archives system.

Phase One: Prototype
The Prototype Phase will be comprised of five primary streams: hiring of project technical staff, a comprehensive review of the prototype agencies’ record-keeping systems, collection of sample records from partners and other willing agencies, a code review of the chosen digital archives software package, and initial rollout of the prototype system architecture with demonstration of the core functionality. It is recommended that upon approval of the Digital Archives project, job postings for technical project staff be advertised. It is anticipated that there will be minimum of a three-month leadtime between initiation of the hiring process and the effective start date of the selected personnel. It is critical to the project timeline that the project technical staff be available at the start of the project. Delays in hiring will directly affect the proposed timeline on a one for one basis – that is, every one-month delay in hiring the technical staff will result in a one-month slip of the proposed timeline.

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Estimated time frame: 12 Months Staff resources required: Full time: Project Consultant, Project Systems Developer, Project Digital Records Acquisition Developer Part-time: Project Manager (entire phase), Records Analyst (2nd quarter of phase) Conditions for Successful Completion of Phase:
• Hiring of technical staff • Up-to-date records inventories for prototype agencies • Draft MOUs completed with prototype agencies • Broad representation of sample archival digital records from

transferred to the Digital Archives by the pilot agencies in this phase. A three-tier architecture will be deployed to allow for the extensive testing of workflows for transfer, ingestion, and retrieval of records, along with the establishment of the necessary security protocols. While the interns are documenting code and the Project Technical Staff is rolling out, testing and documenting the hardware, staff from the State Archives will be meeting with Pilot Phase partners to perform records inventories of the agencies’ paper and digital records. These inventories will be compared to each agency’s current retention schedule. Updates to the retention schedule will be implemented as needed. Those record series identified as archival will be targeted for transfer to the Digital Archives by drafting MOUs with the pilot agencies, noting the location and anticipated transfer protocols for each series. Once the hardware is implemented, tested, and documented, a review of the current Functional Requirements detailed in the Digital Archives Plan will be conducted by the State Archives staff and partners. Based on feedback received, a priority list for implementing missed or additional ‘Core’ functionality – as well as ‘Necessary’ level functionality – that can be addressed in this phase will be developed; while those ‘Core’ and ‘Necessary’ Functional Requirements that cannot be addressed in this phase will be prioritized for later phases. Developed modules will be extensively tested for robustness, throughput, and efficiency. This phase will conclude with top-down analysis of both hardware and software as deployed. Once the final pilot phase code has been deployed, a comprehensive security audit will be conducted. Any deficiencies will be noted and prioritized for correction in the next phase. Upon completion of the security audit, a TRAC audit will be conducted. Again, any deficiencies will be noted and prioritized for correction in the final phase. The TRAC audit will be used as a litmus test for the trustworthiness of the records contained within the system. Prior to going live, it is strongly recommended that a complete TRAC audit be fully documented and the audit worksheets be completed in order to demonstrate the trustworthiness of the Digital Archives’ systems and methodologies. Estimated time frame: 18 Months Staff resources required: Full time: Project Consultant, Project Systems Developer, Project Digital Records Acquisition Developer Part-time: Project Manager (entire phase), Records Analyst (1st quarter of phase), 2-4 interns (3-6 months each) Conditions for Successful Completion of Phase:
• Entire code base meets specified coding and

state agencies
• Top-down code review of base digital archives software • List code deficiencies • Prioritization of required functionality remaining to

be implemented
• Rollout and documentation of prototype system hardware • Coding and implementation of core functional requirements • Demonstration of core functionality to partner agencies

Phase Two: Pilot Phase
The Pilot Phase will consist of five streams: full documentation of Digital Archives’ code, rollout of pilot hardware, onboarding of pilot partner agencies, implementation of functional requirements listed as ‘necessary’ in Archives Plan, a security analysis of the Digital Archives’ system, and a comparison of the developed system to the Trustworthy Repository: Audit and Checklist (TRAC) created by the Research Library Group (RLG). The Pilot Phase will begin by addressing those code deficiencies in the base digital archives software package identified in the Prototype Phase. Under the direct supervision of the Project Technical Staff, interns from a local university will rewrite and document any code determined to deficient by the coding standards established by the Project Team. Documentation will extended to all third party tools utilized by the system to the extent possible. The interns will be tasked with providing a documentation level sufficient for other programmers who are not familiar with the system or digital archiving to be able to support the program without the aid of the Project Technical Staff. This level of extensive documentation is necessary to provide for the long-term, on-going support of the Digital Archives after the completion of the project. Additional hardware will be deployed and existing hardware will be re-tasked to accommodate the expansion of both the functionality and capacity of the Digital Archives. Storage subsystems will be added to the existing storage pool to accommodate the incoming digital records that will be
State of Hawaii Business and IT/IRM Transformation Plan

documentation standards
• Rollout of three-tier architecture • Drafting MOUs completed for partner agencies

Enterprise Architecture | Appendix G | 12

• Successful ingestion of targeted record series from pilot

partner agencies
• Full implementation of all ‘Core’ functional requirements • Implementation of ‘Necessary’ functional requirements

scheduled for Pilot Phase
• Transfer, ingestion and retrieval functionality stressed tested

and documented
• Top-down comprehensive security audit preformed and

Outstanding issues will be addressed based on the reviews and analyses performed earlier in this phase. Upon successful resolution of outstanding issues, a final code review will be performed to ensure that the entire existing code base strictly adheres to the coding and documentation standards established for the project. The State Archivist will be presented with the results of the stress test, security review, code review, disaster recovery policy test, and partner and customer feedback in order to make the ‘Go-No Go’ call to proceed with the public launch of the Digital Archives. Any concerns raised by the State Archivist will be addressed and re-presented for final approval. Once the ‘Go Live’ order has been issued by the State Archivist, a complete TRAC audit will be conducted with full documentation collected and codified into the audit. Additionally, the code base will also be duplicated and stored in the offsite security location along with the initial ‘Red Box’ disaster recovery manual and associated documentation. It is intended that the system will be documented to a sufficient level of detail such that any Information Technology professional can replicate the system based solely on the documentation contained in the ‘Red Box’ offsite disaster response kit. Using the documentation created, permanent State Archives technical staff will be thoroughly briefed on the inner workings for both the hardware and software. The design methodologies and philosophies used for the project technical staff will be detailed so that the ongoing technical staff will be well versed in the inter-workings of the various components of the system. As part of the handoff, an extended project plan for the ongoing maintenance of the Digital Archives, as well as the continued growth and expansion of the system, will be developed in conjunction with the State Archives staff. This project plan will include recommended feature sets, a roadmap for hardware expansion, a list of the next round of partner agencies to onboard, and upcoming projects or technologies that may impact the Digital Archives. It is intended that by the end of this phase, the permanent State Archives technical staff will have the knowledge and system experience necessary to seamlessly transition into providing full support of the system. Finally, upon approval by the State Archivist, the Digital Archives will be unveiled to the public. Project staff will be on hand to assist the State Archives staff with answering questions, addressing the media, providing demonstrations of system functionality, and helping customers. As part of the rollout, user manuals and ‘quick start guides’ will be developed to assist partner agencies and researchers. This phase will close with a final de-brief of the project and technical staff after the public unveiling. From this point forward, the State Archives technical staff will assume the sole responsibility of maintaining and developing the Digital Archives’ system.

deficiencies documented
• Comparison of system to the TRAC requirements, with

deficiencies noted

Phase Three: Production Phase
The final phase of the project will consist of seven streams: final development of any functionality determined to be necessary prior to launch of the production system, rollout of production hardware, stress test of the production system, address any final functionality or revisions necessary, complete documentation required for TRAC audit, knowledge transfer to State Archives staff and public unveiling of the Digital Archives. Any remaining Functional Requirements that have not been implemented that are been determined to be necessary for the public launch will be implemented by the project technical staff and project interns. Feedback will be solicited from partners and select customers throughout the final development cycle to ensure a product that is intuitive and useful to the targeted users. Remaining functional requirements not implemented will be prioritized for development after the system is in production. Prototype hardware will be re-deployed with additional hardware and storage sub-systems into the final production environment. A second security analysis will be conducted to ensure that the hardware is appropriately protected. The code base will be moved over to the production system and tested for correct operation. System redundancy and failover will be tested and any deficiencies will be immediately addressed. System backup policies will be tested with entire system restores performed. The production system will be fully documented and tested for correct configuration. Finally, the disaster recovery manual detailed in the Digital Archives Plan will be created. The system will be stress tested to determine the upper limits of the systems throughput, in terms of the maximum number of records that can be transmitted, ingested, and retrieved at any given time. Records from the partner agencies, as well as the samples collected from other agencies, will be replicated and used for this test. The impact of large-scale movement of records through the system will be analyzed, with particular attention paid to any affect such movement has on the security of the system. The results will be studied to determine if the current deployment is sufficient to handle the expected volume of records while simultaneously providing the needed level of response to customers. Any shortcomings will be noted, prioritized, and addressed prior to launch.
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Enterprise Architecture | Appendix G

Estimated time frame: 6 Months Staff resources required: Full time: Project Consultant, Project Systems Developer, Project Digital Records Acquisition Developer Part-time: Project Manager (entire phase), 2-4 interns (entire phase), Permanent Technical Staff (Second half of phase) Conditions for Successful Completion of Phase:
• Address all shortcomings identified in security audit • Implementation of all identified ‘Core’ and ‘Necessary’

Functional Requirements
• Implementation of ‘Highly Desirable’ Functional Requirements

planned for roll-out
• Successful configuration of production hardware • Development and documentation of system backup policies • Identification and implementation of offsite backup location • Creation of the disaster recovery ‘red box’ • Transition from temporary to permanent State Archives

technical staff, if budgeted and approved
• Development of extended project plan to address additional

functionality, as well as agency and customer feedback
• Knowledge transfer and handoff of project to State

Archives Staff
• Successful rollout of Digital Archives to the public

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Enterprise Architecture | Appendix G | 14

6 DIGITAL ARCHIVES INITIATIVE PARTNERS 7 FUNCTIONAL REQUIREMENTS
15 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

6 DIGITAL ARCHIVES INITIATIVE PARTNERS
The State Archives has engaged in discussions with various stakeholders from government agencies, higher education, and the public in order to solicit their support and feedback on the digital archives initiative. Because of this outreach, several key partners have stepped forward and expressed a willingness to join the State Archives on the Digital Archives initiative. These partners have been classified into two categories: Contributing Partners and Technology/Resource Partners. Contributors are those agencies that will serve as test-beds for the transfer of records from their agencies to the digital archives and will be actively involved throughout the project design and development. Depending on the sophistication of the agencies systems and the time commitment involved, transmission of target record types either will be automated on a predetermined schedule or manually transferred using removable hard drives and/or DVDs. Technology and Resource Partners will be involved in the exchange of information and expertise by being actively involved in the requirements gathering and system design phase by providing input and feedback on the function and operation of the digital archives.

Governor’s office
The Governor is the Chief Executive of the State of Hawai’i and is responsible for the faithful execution of the laws of the State and for the effective performance of the executive branch of state government. The Governor establishes the broad goals of the State and determines the priorities for achieving the goals. The Governor provides community, executive, and political leadership for the people of the State, plans for the development of the State and its resources, and provides for the general well-being of the people. The Governor directs the development of the executive budget and the generation of recommendations for revenue producing measures and programs that are submitted to the Legislature for each fiscal biennium and administers the execution of the legislatively approved budget. The Governor’s authority includes the powers to call the Legislature into special session, to veto legislation passed by the Legislature, to grant reprieves and pardons, and to arrange interstate compacts. The Governor is also the Commander in Chief of the armed forces of the State. Unless otherwise provided by law or the Constitution, the Governor nominates and, with the advice and consent of the Senate, appoints members of boards and commissions and members of the Cabinet and fills vacancies in the House of Representatives and the Senate. From a list of nominees submitted to the Governor by the Judicial Selection Commission, the Governor fills vacancies in the Supreme, Intermediate Appellate, and Circuit Courts. In addition, the Governor, as required by the State Constitution, Article V, section 5, appoints an Administrative Director, who functions as the Governor’s chief of staff and assists the supervision of the executive departments and major state initiatives. The Office of the Governor is comprised of five functional areas: (1) Executive, (2) Administration and Operations, (3) Communications, (4) Policy, and (5) Collective Bargaining.

CONTRIBUTING PARTNERS
The Legislature
The legislative power of the State, under the State Constitution, Article III, section 1, is vested in a Legislature that consists of two houses, a Senate and a House of Representatives. The Legislature’s power extends to all rightful subjects of legislation not inconsistent with the State Constitution or the Constitution of the United States. Annually, on the third Wednesday in January, the Hawai’i State Legislature convenes in Regular Session to consider all proper subjects for legislation. In addition to its law-making functions, the Legislature performs functions which include fact-finding and similar investigations, receiving and considering requests or petitions from groups and individuals, confirming certain officers appointed by the Governor (a function that is the prerogative of the Senate under Article V, section 6, of the State Constitution), participating in amending the Constitution, and exercising quasi-judicial authority to punish in cases of certain offenses against the Legislature or its members. The Senate consists of twenty-five members elected from twenty-five senatorial districts for staggered four-year terms. The House of Representatives consist of fifty-one members selected from fifty-one representative districts for two-year terms. Each house adopts its own rules, establishes standing committees, maintains its own records, and elects its own officers. The presiding officer of the Senate is the President of the Senate. In the House, the presiding officer is the Speaker of the House of Representatives.

Judiciary
The Judicial branch of the State Government of Hawai’i is separate and distinct from, but coequal with, the Executive and Legislative branches. The State Constitution, Article VI, section 1, provides for the Hawai’i Supreme Court, the Intermediate Court of Appeals, Circuit Courts, District Courts, and such other courts as may be established by the Legislature. The Legislature utilized this constitutional authority to create the Land Court and Tax Appeal Court, established under sections 501-1 and 232-11, Hawai’i Revised Statutes, respectively. The Family Courts, pursuant to section 571-1, Hawai’i Revised Statutes, were subsequently added as divisions of the Circuit and District Courts.

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Enterprise Architecture | Appendix G | 16

Bureau of Conveyances, Department of Land and Natural Resources
The Bureau of Conveyances, as mandated under chapters 501 and 502, Hawai’i Revised Statutes, maintains accurate records of land title registration and other comprehensive records of documents related to land titles. The Bureau also makes copies of recorded land documents available to various agencies and individuals. Certificates of title on registered land issued by the Bureau are guaranteed by the State against the loss, damage, or deprivation of land, estate, or interest in the land, arising through the fault of the assistant registrars in the performance of their duties. Hawai’i is the only state in the union with a single statewide recording office.

TECHNOLOGY AND RESOURCE PARTNERS
Information and Communication Services Division
The Information and Communication Services Division plans, coordinates, and administers the statewide information processing and telecommunications services and programs, and operates an overall program for improving government efficiency and effectiveness through telecommunications and information processing technologies. It provides statewide voice, data, radio, and video communications and networking. The Division operates a central information-processing center, electronic mail, Web page hosting for state departments, Internet support services, and video conferencing system. It is also responsible for developing and maintaining information systems, and evaluates and implements image processing and electronic commerce technologies.

Hawai’i State Public Library
The management of the Public Library System is under the Board of Education, pursuant to section 312-1, Hawai’i Revised Statutes. The State Librarian, under section 312-2.1, Hawai’i Revised Statutes, is appointed by the Board of Education and is responsible for all public and public-and-school libraries in the State. The System operates fifty-one public libraries, including twenty-four on Oahu, thirteen on Hawai’i, six on Maui, six on Kauai, and one each on Molokai and Lanai. Following major reorganization in 1995 and 1996, the System includes the Hawai’i State Library and the Library for the Blind and Physically Handicapped; a Public Libraries Branch, which replaced library district offices in overseeing the forty-nine branch libraries; the Administrative Services Branch, which handles administrative matters and CIP projects; the Human Resources Branch, which provides personnel services; the Electronic Services Support Section, which manages automation services and the System’s network; the Technical Services Support Section, which purchases and catalogs new acquisitions and processes many new titles; the Library Development Services Section, which provides grant writing, program coordination, and promotional support for system libraries; and Logistical Support Services, which provides centralized mail, deliveries, and supplies.

Office of Information Management and Technology
The Office of Information Management and Technology, under the direction of a full-time chief information officer and an Information Technology Steering Committee, is established within the Department of Accounting and General Services to organize, manage, and oversee statewide information technology governance; develop, implement, and manage the state information technology strategic plans; develop and implement statewide technology standards; report annually to the governor and legislature on the status and implementation of the state information technology strategic plans; and perform other necessary or desirable functions to facilitate its mandates, including the supervision and oversight of the Information and Communication Services Division of the Department of Accounting and General Services.

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Enterprise Architecture | Appendix G

University of Hawai’i
The University of Hawai’i is a land, space, and sea grant institution and the only public institution of higher education in the State of Hawai’i. It began in 1907 as a land-grant college of agriculture and mechanic arts called the College of Hawai’i. In 1919, it was established as the University of Hawai’i (Act 203, Session Laws of Hawai’i 1919; sections 26-11 and 304-1, Hawai’i Revised Statutes). The University of Hawai’i comprises one comprehensive university campus, two baccalaureate-granting institutions, and a system of seven community colleges. The fundamental mission of the University is to provide all qualified people in Hawai’i with an equal opportunity for quality college and university education and training; create knowledge and gain insights through research and scholarship; provide public service through the dissemination of current and new ideas and techniques; preserve and contribute to the artistic and cultural heritage of the community; and respond to the changing needs of the people of Hawai’i. The State Constitution, Article X, sections 5 and 6 establish the University of Hawai’i as a body corporate, governed by an appointed Board of Regents and administered by the board-appointed President of the University. The standard of instruction is equal to that given and required in similar universities in the United States and, upon the successful completion of the prescribed courses, the Board confers a corresponding degree upon all students who are entitled thereto.

Office of Hawaiian Affairs
The Office of Hawaiian Affairs (OHA) was established in 1978 by amendment to the State Constitution, Article XII, Section 5, and Chapter 10, Hawai’i Revised Statutes. Under the direction of nine trustees elected statewide, OHA has functioned operationally as both a government agency with a strong degree of autonomy and as a trust. Its purpose is to provide the opportunity for a better life and future for all Hawaiians. The mix of trust funds, earmarked for Hawaiians of at least fifty per cent blood quantum, and general funds provided annually by the Legislature, allows OHA to serve Hawaiians of any blood quantum. In addition to running its own programs, OHA provides major funding to many community-based programs and coordinates joint activities with participating organizations. It advocates for Hawaiians in the State Legislature, state and federal courts, the United States Congress and the local media, as well as by supporting community initiatives and interests.

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Enterprise Architecture | Appendix G | 18

7 FUNCTIONAL REQUIREMENTS
Over the past two years, the staff from the State Archives has held a series of meetings with key stakeholders, focus group sessions, and public presentations with the goal of educating government employees and public citizens on the importance of preserving records of cultural and intellectual value. During each gathering, the State Archives solicited feedback from attendees on the features and functionality that they would like to see in the proposed Digital Archives. Along with these suggestions, the project consultant reviewed several international standards, leveraged the experiences of other public digital archives, and performed extensive scholarly literature reviews to compile a list of functional requirements to guide the development of the Hawaii Digital Archives. With over 120 functional requirements identified, to make the list more manageable, the requirements are grouped thematically as follows:
• Access and Usage Restrictions: The system must control

legal, and fiscal value is periodically re-appraised necessitating the ability to remove records from the system. Each functional requirement has been reviewed by the Digital Archives project staff and prioritized according to need, development effort, overall impact, and customer experience as follows:
• Core Requirement: A requirement that is essential to

the proper collection, processing, maintenance and preservation of trustworthy records based on archives staffing and infrastructure.
• Necessary Requirement: A requirement that, while not

who has access to what aspects of the repository as directed by the system administrator;
• Architecture Design: The design of the system, both

essential, is important to the proper operation of a trustworthy repository. Omission of necessary requirements will result in significant additional work on the part of the staff to demonstrate the integrity of the digital archive.
• Highly Desirable Requirement: A requirement that adds

physical and logical, must support the long-term access to trustworthy digital records through time and space;
• Digital Objects and Rendering: As all digital records are

additional functionality to assist either the archives staff, contributing agency or researcher. Based on the breadth and depth of the functional requirements currently identified, the time and budget required to develop a digital archives from scratch that complies with the list of functional requirements was determined to be unrealistic. As an alternative, the project consultant compared the core functional requirements to several viable digital archiving software packages that are in wide-spread, current use. The project consultant evaluated how closely aligned with the identified needs of Hawaii government agencies and the public each digital archiving software package is based on the number of core functional requirements met, the programming language and design architecture employed, and whether the source code for the application was available to the State for further modification. The results of the scoring rubric used in the analysis are included in the next section, Comparison of Digital Archiving Software. While extensive, the proposed functional requirements (included as Appendix C) are not comprehensive. As the project continues to progress, key stakeholders become more actively involved in the project, further focus groups are convened, and feedback from public consultations are incorporated, the list of functional requirements will be expanded and refined. The proposed phased implementation plan will use the documented functional requirements in order to develop the project development plan, allocate resources based on the priority of the functional requirement, and validate software rollouts against the current functional requirements set.

comprised of one or many digital objects, it is essential that all of the digital objects necessary to render a digital record are maintained and available for the life of the record;
• Ingestion and Normalization: In order to manage the

contents of the repository over the long-term, it is essential that records are complete when transferred and are stored in a standardized way;
• Integrity of the Repository: The maintenance of trustworthy

records requires that the integrity of the records be established at point of transfer and maintained throughout the life of the records;
• Interface Design and Searching: The system must provide a

web interface that allows researchers to search, select and view non-restricted records contained in the repository;
• Management Tools: Tools must be provided to the

repository archivist that will allow for effective management of the repository;
• Metadata Creation and Handling: Long–term preservation of

trustworthy records requires both descriptive and preservation metadata to be indelibly linked to the record;
• System Security: Records accepted into the custody of the

repository must be protected from unauthorized alteration, addition or deletion; and, Purging Records from the System: Rules, regulations, policies, procedures and legislation change over time, technological and human errors occur, and the need to keep records of historical,
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8 COMPARISON OF DIGITAL ARCHIVING SOFTWARE
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 20

8 COMPARISON OF DIGITAL ARCHIVING SOFTWARE
DIGITAL ARCHIVES SCORING MATRIX
Functionality Scoring WaDigitalArchives Alfresco Archivmatica DSpace OCLC Digital Archives No ??? Web No Vendor 9 High5 High

Code is Open Source Code Base Operating System Platform Virtual Machine Capable Onsite or Vendor Hosted Number of Core functional requirements supported Level of Support available2 Install base6

Yes1 .Net Msft No Onsite 25 Low <10

Yes Java Linux No Onsite 9 Poor3 Low

Yes Java Linux Yes Onsite 22 Med4 <20

Yes Java Linux Yes Onsite 19 High >1000

Code is kept as ‘shared source’, limited to a sub-set of participants and not openly available From worst to best Poor, Low, Med, High 3 Open Source Version has poor support, higher level of support available with commercial version. 4 High level of support available at a premium 5 All support is part of contract, free support not available. 6 Listed as number of production installations/customers of product
1 2

About the Software Compared
A synopsis of the five viable digital archives software platforms has been included as Appendix D.

21 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G

9 PROPOSED ARCHITECTURE
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 22

9 PROPOSED ARCHITECTURE
OVERVIEW
The Hawai’i State Archives has begun planning a digital archives for preservation and access of the important digital records of the state. The proposed architecture described within this document is intended to be a representational architecture that will provide sufficient resources to meet the needs of the dual function of both a flexible methodology for taking records from agencies and the ability to provide powerful search tools for researchers. Once a digital archiving system is selected, the proposed architecture will be updated to reflect the changes required by the implementation. Regardless of the system selected, securing and maintaining the trustworthiness of the records accepted into custody of the digital archives will be of primary concern. This is reflected by the selection of three-tier architecture, comprised of a web tier, an application tier, and a data tier. The web tier will provide access to the digital archives to the public through the internet, allowing access twenty-four hours a day, seven days a week, three hundred and sixty five days a year – with the exception of planned maintenance cycles scheduled for low utilization periods. Researchers, historians, students, schoolteachers, genealogists, and anyone interested in learning more about the history and current function of the State of Hawai’i will be able to access these records from home, local library or any internet café. Government agencies will be able to send their archival digital records to the State Archives for permanent preservation and access. Protocols will be in place to ensure that those records which are restricted by law from public disclosure due to the sensitive nature of their contents (for example: personally identifiable information such as social security numbers) will be restricted from public view for as long as required by law. The application tier provides the core of the functionality of the Digital Archives, with a suite of small programs that provide the necessary ingestion, maintenance, retrieval, and migration functions. Incoming records will be processed through a segregated quarantine zone for virus scanning and then verified for accuracy and completeness. Once the ingestion routines begin, data normalization will allow the incoming records to be placed within the database for later searching and retrieval by researchers, while file format conversion will ensure that the records sent today can be viewed by the researchers of tomorrow. The data tier will store the metadata that describes the records and the digital objects that make up the record. Management of the metadata and the digital objects will be handled by a database management system. Requests for content will be passed by the application tier to the database, which will search the repository and return any results back to the application tier. Any changes to the database will be noted in the transaction log to protect against unexpected interruptions in service. The records themselves will reside on Serial-Attached SCSI
23 | State of Hawaii Business and IT/IRM Transformation Plan

(SAS) disk drives contained in an external drive enclosure that provides a high level of data throughput (6 GB/s) and availability with multiple connections, drive redundancy, and dual power supplies. As data storage requirements increase, additional external storage units can be added to the system and populated with hard drives as the need arises. High-end servers, configured with quad-core processors and the ability to add additional memory as needed allows for incremental system growth on a more cost-efficient basis than front-loaded hardware purchases. A tape backup system allows for efficient, automated backups of the database, file storage, logs and full-text searching catalogs, while also providing the ability to export the contents of the digital archives in an xml format following international standards.

LOGICAL ARCHITECTURE
The following diagrams depict the conceptual deployment architecture for the Hawai’i Digital Archives. The architecture deployment phases have been designed to be iterative; each phase builds upon the previous, adding to or redeploying resources from previous phases in order to be as cost effective as possible. With the proposed three-tier architecture, each tier is optimized for its specific function; web tier servers are optimized to handle web traffic, which typically involves a higher level of network traffic and disk access but less CPU cycles, the application tier is optimized for processing capabilities to handle the myriad of tasks required to ingest and retrieve records from the repository, and the database tier is optimized for maintaining the database in optimal condition, while inserting and retrieving the actual data from the storage devices. Each tier is designed to be able to expand on demand as the utilization of the existing servers in that tier becomes a bottleneck to the efficient operation of the environment. The production deployment plan is to provide scalability in addition to a high level of availability through the use of load balancing and server clustering.
Client Tier
Web Interface Web Interface

Web Tier

Web Servers

Network Communication

Security Services

Management Tools

Application Tier

Service Modules

Data Tier

Database Management System

Enterprise Architecture | Appendix G

It is proposed that the system be built in three phases:
• Prototype – Provide sufficient capacity to accept into custody a cross-section of the

depth and breadth of records that will be accessioned into the system by collecting samples from key agencies.
• Pilot – Deploy the minimum server set required for a three tier architecture to allow

for extensive testing of the workflows used in the transfer and ingestion of the records, along with the establishment of the required security protocols.
• Production – Add sufficient resources to provide system redundancy and additional

throughput to satisfy the performance requirements for producer transfer of records as well as researcher use of the system. Physical Architecture Prototype Environment Assumptions
• Will not utilize three-tier architecture. • Will not have system redundancy. • Is designed only for the accumulation and inspection of representative data types for

further development of functional requirements and metadata schema

Servers:

Model DL160

CPU 1

Memory 4GB

Hard (4) 250GB

Function Secure data storage of data samples Virus Scan Incoming Data

Layer N/A

Desktop

1

2 GB

500GB

N/A

Storage:

Models External USB Network Attached Storage D2600 Storage Array

Hard Drives (1) 2TB SATA (1) 2TB SATA (12) 2TB SAS

Function Transportation of data from producer’s environment Transportation of data from producer’s environment Data storage for repository
Enterprise Architecture | Appendix G | 24

State of Hawaii Business and IT/IRM Transformation Plan

PILOT ENVIRONMENT ASSUMPTIONS
• Implements a three-tier architecture. • Does not have system redundancy. • Existing firewall infrastructure is properly secured.

Representative Configuration of Hardware in Prototype Environment Based on HP models

Servers:

Model DL160 DL160 DL160 505B

CPU 1 1 1 1

Memory 4GB 4GB 4GB 2 GB

Hard (4) 250GB (4) 250GB (4) 250GB 500GB

Function Web Server Application Server Database Server Virus Scan Incoming Data Domain Controller

Layer Web Application Data Application

505B

1

2 GB

250GB

N/A

Storage:

Models External USB Network Attached Storage D2600 Storage Array

Hard Drives (1) 2TB SATA (1) 2TB SATA (12) 2TB SAS

Function Transportation of data from producer’s environment Transportation of data from producer’s environment Data storage for repository

25 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G

PRODUCTION ENVIRONMENT ASSUMPTIONS
• Sufficient internet access is available. • Redundant power is onsite. • HTTPS/SSL is enabled • Full security with intrusion preservation is in operation

Servers:

Model DL160 DL160 DL160 DL160 DL160 DL160 ML110

CPU 1 1 2 2 2 2 1

Memory 4GB 4GB 4GB 4GB 8GB 8GB 2 GB

Hard (2) 120GB (2) 120GB (2) 120GB (2) 120GB (2) 120GB (2) 120GB 500GB

Function Web Server Web Server Applications Server Applications Server Database Server Database Server Virus Scan Incoming Data Domain Controller 1 Domain Controller 2

Layer Web Web Application Application Data Data Application

ML110 ML110
Storage:

1 1

2 GB 2 GB

250GB 250GB

Domain Domain

Models External USB Network Attached Storage D2600 Storage Array

Hard Drives (1) 2TB SATA (1) 2TB SATA (12) 2TB SAS

Function Transportation of data from producer’s environment Transportation of data from producer’s environment Data storage for repository

*Note: Proposed architecture is for cost planning purposes only. Final configuration is highly dependent on the chosen digital archiving environment and may vary greatly from what is shown above.
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 26

10 LEGISLATIVE REVIEW AND RECOMMENDATIONS
27 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

10 LEGISLATIVE REVIEW AND RECOMMENDATIONS
For a digital archives to be successful in the state, it must be backed by strong laws and policy that address four core requirements: establishing the State Archives’ authority to create and enforce records management rules, including the final disposition of records; a clear and concise definition of ‘record’ that includes those that are created in, or converted to, a digital format; clearly worded rules and regulations that require state employees to manage digital records; and strong laws governing the public’s right to access government records. As part of the due diligence for the Hawai’i State Digital Archives project, the project consultant reviewed the current Hawai’i Statutes governing the creation, management, and preservation of digital records based on the four categories listed above.

ESTABLISHMENT OF AUTHORITY:
Clearly defined authority for both records management and preservation is essential for a digital archives to be successful. Without this authority, the ability of the State Archives to collect and manage records is compromised. The primary public official responsible for the proper management and preservation of records within the State of Hawai’i is the state Comptroller, head of the Department of Accounting and General Services (DAGS). The State Archives is within DAGS and has been delegated by the Comptroller as the permanent repository for state records of enduring legal, historical or fiscal value The authority of Comptroller to determine the disposition of state government records, other than judiciary or legislative branch, is established in §94-3 HRS, which states: The comptroller shall determine the disposition of the records; stating whether the records should be retained by the office, department, or bureau; be transferred to the public archives, the University of Hawai’i, the Hawaiian Historical Society, or other agency; or be destroyed. The comptroller shall have full power of disposal of all records submitted for this purpose. Section 94-1 HRS authorizes DAGS to “collect all public archives; arrange, classify, and inventory the same; provide for their safekeeping; and compile and furnish information concerning them.” Section 26-6 HRS locates major records responsibility with DAGS by investing in the department the authority to “manage the preservation and disposal of all records of the State” and to “administer the state risk management program.” Section 94-4 HRS states the archivist is “authorized and empowered to certify, as true and correct, copies or reproductions of any of the books, documents, papers, writings, or other records, or excerpts therefrom in their custody.”

DEFINITION OF RECORD
A clear, statewide understanding of what is a record and what is not a record is important in determining what to keep and what to dispose of in accordance with the retention schedules. The Revised Statutes define records in several locations: a record is “information maintained by an agency in written, auditory, visual, electronic, or other physical form” [§ 92F, HRS]; public records are “any writing, memorandum, entry, print, representation, report book or paper, map or plan, or combination thereof, that is in the custody of any department or agency of government” [§ 94-3, HRS]; and personal records are “any item, collection, or grouping of information about an individual that is maintained by an agency. It includes, but is not limited to, the individual’s education, financial, medical, or employment history, or items that contain or make reference to the individual’s name, identifying particular assigned to the individual, such as a finger or voice print or a photograph” [§ 626, HRS]. The definition of ‘record’ must also encompass all formats that a record may be created in – including digital. Act 177, Session Laws of Hawai’i, Regular Session of 2005 (HB 515) expressly allows the use of government records in a digital format. The act also updated Chapters 46, 92 and 94 to broaden the language surrounding records to include digital formats. The acceptance of digital records as having evidentiary value is clearly articulated in §92-30 HRS which states that an “electronic copy of a government record shall be deemed to be an original record for all purposes, including introduction in evidence…” This is reiterated in the Hawai’i Rules of Evidence, Chapter 626, HRS: “A “public record” means any writing, memorandum, entry, print, representation, report, book or paper, map or plan, or combination thereof, that is in the custody of any department or agency of government.” And finally in §489E-2 HRS, Uniform Electronic Transaction Act, “’record’ means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.”

RECOMMENDATIONS
The Hawai’i Revised Statutes provide sufficient authority to the Comptroller to create and enforce the necessary policies and procedures to collect and manage digital records within a common defined framework. Based on the experience with other state archives digital archive programs, the consultant has strongly recommended that the State of Hawai’i explicitly detail the duties and authority of the State Archivist in a Comptroller’s memorandum or through modification of §94-1 HRS in order to provide the State Archivist with documented authorization to actively collect and preserve records of long-term legal, historical and fiscal value.
State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G | 28

RECOMMENDATIONS
The definition of records within the statutes meets the clear and concise requirement. The wording of “written, auditory, visual, electronic, or other physical form” allows for digital records to be included in the term ‘record’ and is sufficiently open to account for records created in or stored on future technologies. Section 92-30 HRS continues that definition by explicitly stating that digital copies of records are also accepted as records in their own right. It is recommended that the definition of record be identical throughout all the statutes, with sufficiently broad language to inclusive of digital formats.

RECOMMENDATIONS
Section 489E-12 allows agencies to maintain digital versions of records provided that the integrity and accessibility of the record remains intact, but does not provide sufficient clarification on how agencies can satisfy these requirements. Clarification can be provided by DAGS as section 489-12 (G) states that it does not “preclude a governmental agency of this State from specifying additional requirements for the retention of a record subject to the agency’s jurisdiction,” and as already demonstrated, all records within state government are within DAGS jurisdiction. It is therefore recommended that DAGS, under the authority granted to it by §26-6 HRS, §94-1 HRS and §489E-12 (G), produce additional requirements that clearly delineate how agencies can satisfy the dual requirements of maintaining the integrity and accessibility of digital records of long-term value. It is also recommended that one of the requirements set forth should entail State Archives approval of any process that migrates, coverts or reformats records to ensure that the requirements stipulated in §489E-12 are being met. With regards to electronic signatures, it is recommended that the State Archives develop guidelines on appropriate methods and technologies that will allow for the long-term preservation of electronic signatures -- particularly those based on a Public Key Infrastructure (PKI) or Certificate Authority (CA) based technology.

MANAGEMENT OF DIGITAL RECORDS
The ability to maintain and preserve digital records is directly related to how the records are created, stored, and disposed of by the record’s creators and custodians -- necessitating strong rules and regulations governing the management of digital records. Section 94-1 HRS empowers DAGS with ability to adopt, amend, or revise from time to time such rules and regulations as it may consider expedient for the conduct of its business. Section 94-3 HRS establishes the Comptroller’s authority to determine the disposition of public records by stating “whether the records should be retained by the office, department, or bureau; be transferred to the public archives, the University of Hawai’i, the Hawaiian Historical Society, or other agency; or be destroyed.” The combination of the two statutes provides the Comptroller with the authority necessary to meet the required “clearly worded rules and regulations that include the management of electronic records.”

PRESERVATION MEDIA
The statutes concerning digital records make no mention of media formats that can or cannot be used. As a result, a wide variety of formats are being utilized both within and between agencies, as evidenced in the digital records survey recently conducted by the State Archives. Due to the underlying technology and manufacturing techniques, certain media types are better suited to long term preservation and the delay of obsolescence than other formats. Without any guidance, agencies are unknowingly utilizing media formats and technologies that are placing vital digital records at an increased risk of loss, alteration or technological obsolescence, as well as an inability to access records of evidentiary value at a future date.

RECOMMENDATIONS
The statutes provide the necessary strong language required to allow the State Archives to enact requirements for the creation, maintenance, and handling of digital records by the agencies that are essential for digital archives to be successful.

RETENTION OF RECORDS IN DIGITAL FORMAT
Section 489E-12 HRS states that any records retention requirements may be satisfied by maintaining a digital version of the record provided that it accurately reflects the “information set forth in the record after it was first generated in its final form” [§489E-12 (1)] and that it remains accessible for later reference. Section 489E-7 specifically allows for the maintenance of digital records even when a law requires that the record be in writing, and likewise allows for the use of an electronic signature in instances where a signature is required.

RECOMMENDATIONS
It is recommended that the State Archives publish a list of recommended media formats, as well as guidelines for the proper care, storage and refresh frequencies of each media type. It is also recommended that the State Archives draft minimum requirements for the migration and/or refresh of magnetic media, as well as the processes that must be followed to ensure the integrity and accessibility of the records.

29 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G

MICROFILM AND IMAGING SYSTEMS
Digital Imaging systems are heavily utilized in the state to convert paper records to digital formats. While some agencies are utilizing outside vendors for the conversion process, a majority of the state agencies are conducting the imaging in-house. Section 9229 HRS allows for any public officer to reproduce digitally or on microfilm any record in their custody. While this section provides the authority, no standards for the reproduction are provided. There is a check on this authority: section 92-31 HRS requires state agencies to obtain written permission from the comptroller prior to the destruction of such records.

RECORDS MANAGEMENT GUIDELINES
Under the authority vested in the Comptroller by §94-1 HRS, the State Archives publishes a number of guidelines for use by state employees: Records Management Manual, Disposal of Government Records, Vital Records Protection Policy and Guidelines, and Storage of Inactive Paper Records. These guidelines provide a general overview of the records management processes recommended by the Archives for managing both paper and digital records within the state records management framework. These guidelines are articulated as recommendations with no stated requirements for compliance.

RECOMMENDATIONS
As the agencies must exclusively rely on the digital image after the destruction of the paper original, the processes and equipment used to create and maintain these digital records needs to be regulated and operated within an approved framework for all state agencies. It is recommended that the State Archives be given oversight on the purchase of equipment by state agencies for the purpose of converting paper into digital or microform, as well as any new contracts with outside vendors for imaging services. As illustrated in the digital records survey conducted by the State Archives, many agencies engage in digital imaging in order to trim expenses by destroying the original paper records. It is also recommended that clearly articulated imaging guidelines be drafted setting forth the minimum accepted requirements for digital imaging (to include file formats, scanning resolution, color depth, etc.) and necessary system and process documentation that agencies must produce. Additionally, it is recommended that §92-31 HRS be amended to authorize the State Archives to take into its custody a digital copy of any records so created under this section, in addition to the preexisting provision allowing for the transfer of the version proposed to be destroyed. Lastly, it is recommended that as part of the imaging process authorized under §92-29 HRS, agencies be required to delineate the integrity and document the conversion process to the satisfaction of the State Archives prior to destruction of the paper records.

RECOMMENDATIONS
The guidelines have been widely distributed for several years and are easily accessible on the home page of the State Archives website. While these documents provide a good overview of the records management process, they do not provide sufficient information for more advanced records producers or any guidance on the selection or implementation of records systems. As technology changes rapidly, it is important that digital records be created, maintained, and preserved in records systems that are sufficiently open to allow for migration to future generations of software. Without advanced planning and guidelines, the state runs a risk of either permanently losing records of longterm value or incurring significant costs to migrate legacy data into a current, more useable format. If the digital archives is to be successful, efficient and effective, proactive management of digital records at the agency level will be essential. Requiring digital records to be managed following a common policy will allow for a seamless transfer of records from the agency of creation to the Archives. Therefore, it is recommended that guidelines be published providing direction to agencies on how best to manage and maintain digital records in a consistent methodology that is within the framework of the state records management policies. Guidelines should be drafted that address the minimum requirements necessary to protect digital records from loss, alteration, deterioration, and technological obsolescence. The guidelines should include recommendations on file formats, format migration, disaster recovery provisions, document security on protected networks, and media use and refresh. After a set period of time for the agencies to use the guidelines in development or modification of their agency records management policies, it is recommended that the guidelines become mandatory policies that all agencies must follow.

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G | 30

PUBLIC ACCESS TO RECORDS
Chapter 92F Part II Freedom of Information delineates the public’s right to open access of government records: In a democracy, the people are vested with the ultimate decision-making power. Government agencies exist to aid the people in the formation and conduct of public policy. Opening up the government processes to public scrutiny and participation is the only viable and reasonable method of protecting the public’s interest. Therefore the legislature declares that it is the policy of this State that the formation and conduct of public policy--the discussions, deliberations, decisions, and action of government agencies--shall be conducted as openly as possible. [§92F-2] Section 92F-11 states that “All government records are open to public inspection unless access is restricted or closed by law.” This provision “applies prospectively, requiring disclosure of records maintained by state agencies regardless of when the records came into existence.” Each agency is required to issue instruction and guidelines necessary to ensure the public’s access to government records in §92F-18, including compiling a public report “describing the records it routinely uses or maintains” [§92F-18(2b)]. Providing the public access to records is covered in section 26-6 which requires DAGS to “provide a long-term means for public access to public information” [26-6 (10(1))] and to “adopt rules as may be necessary or desirable for…the operation and implementation of a program to provide a means for public access to the State’s…public information.” [§26-6 (10(4D))].

RECOMMENDATIONS
The public access to government records is clearly articulated in the Statutes; meeting the fourth requirement for ‘strong laws governing the public’s right to access government records.’ As can be evidenced in the digital records survey, few agencies have the policies, procedures, and technical infrastructure required to comply with requirements set forth in Chapter 92F. Technology changes every three to five years, necessitating a migration of the records onto newer media and/or software formats. Failure to keep pace with technology will result in the loss, alteration deterioration or technological obsolescence of those very records of government that are ”the only viable and reasonable method of protecting the public’s interest” [§92F-2]. The creation and implementation of a digital archives by DAGS, under which the State Archives falls, is legislatively authorized by §26-6 in order to “provide a means for public access to the State’s…public information.” [§26-6 (10(4D))]. To ensure long term access to digital records of enduring legal, historical and fiscal value, it is strongly recommended that a copy of those digital records with retention periods exceeding ten years, or those that have been determined to be of vital importance to the operation of government, be sent to a centralized digital archives for permanent preservation. By centralizing the records, and placing them in the care of trained, dedicated, professional staff, pro-active management and migration of the digital records can be conducted in a cost effective manner in accordance with international standards. An important secondary benefit of such a consolidation will be the ability to provide a single access point to all citizens of the state, regardless of their location and ability to travel, twenty hours a day, seven days a week.

31 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G

11 STAFFING RECOMMENDATIONS
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 32

11 STAFFING RECOMMENDATIONS
Based on the experiences of other state digital archives, the staffing required for the Hawai’i Digital Archives project to move forward is comprised of three major groups: executive management, technical staff and professional staff.

EXECUTIVE MANAGEMENT:
Success of the Digital Archives project will require strong executive management support and sponsorship. The State Archivist manages the State Archives and is tasked by HRS § 94-1 to “collect all public archives; arrange, classify, and inventory the same; provide for their safekeeping; and compile and furnish information concerning them.” Over the past four years, the State Archivist has spearheaded the support of this project and recognizes that the digital archives is a needed component for the State Archives if it is to fulfill its mandate of preserving the public records of Hawai’i. In addition to the State Archivist, the State Comptroller as head of the Department of Accounting and General Services (DAGS) will play an important role in providing support for the project. As the initiative moves forward, legislative changes to the records laws and funding streams will need the continued backing and leadership of executive management in order to be successful.

PROFESSIONAL STAFF:
Administrative staff will provide the necessary project management, budgeting oversight, and subject matter expertise for the creation, management, and preservation of digital records. While collectively the professional staff at the State Archives possesses a high level of skill in and knowledge of archival and records management administration, the current staff does not have time available in their current workloads or any practical experience with the maintenance or preservation of digital records. To operate a digital archives, the State Archives will need to increase the collective technical skill level of its staff, through training and new hires.

RECOMMENDATIONS:
Cross Functional Project Team
In order to develop a system that meets the needs of all of its stakeholders and mitigate the issues that inevitably arise, it is recommended that a cross-functional team be assembled for the duration of the project. In addition to the executive, technical and administrative staff listed above, it is recommended that representatives from ICSD, Human Resources, and Accounting Services be part of the project team to provide input throughout the process. Likewise, it is recommended that the archives staff members listed above also work on the project team to share their expertise in the development of the policies and procedures that will be used by the digital archives. The cross-functional representation of the project team follows the best practice methodology as defined in the Joint Application Development process and has been used to great success on other government digital preservation projects. In particular, ICSD possess extensive technical skills and knowledge of State and agency specific hardware, software, and network configurations, while HR and Accounting Services bring both an end user perspective to the team and subject matter expertise in staffing and budgeting that will make important contributions to the project.

TECHNICAL STAFF:
The technical staff is responsible for the development and management of the computer based systems that will be central to the digital archives. For this initiative, the technical staff will be responsible for:
• providing technical expertise as functional and business

requirements develop;
• providing system specifications for necessary hardware and

software based on budget and need;
• evaluating technical solutions offered by vendors and used in

other states;
• installing, or overseeing the installation of, the computer

system infrastructure as necessary;
• creating, or modifying, the digital archives software; and • developing transfer mechanisms that allow agencies to send

records to the Digital Archives. The State Archives currently does not have any information technology staff within the unit. Any required information technology related services are provided by the Information and Communication Services Division (ICSD) and the Systems and Procedures Office (SPO) of DAGS. While ICSD, SPO and the State Archives are in the same department and have strong working relationships, full-time technical support of State Archives projects are not in the scope of ICSD’s or SPO’s responsibilities. To adequately support the digital archives project, dedicated technical staff will need to be hired.

Technical Staff
The current staff of the State Archives is highly skilled at archives administration and records management, but collectively possesses a deficit of computer and technology related experience. To successfully operate a Digital Archives, dedicated staff with knowledge and experience in computerbased systems is essential. To address this need, it is recommended that additional staff be hired and specifically assigned to the Digital Archives project. To provide the minimum necessary skill set to operate a digital archives, a minimum of two additional full-time positions is required. The recommended positions are a Digital Records Acquisition
Enterprise Architecture | Appendix G

33 | State of Hawaii Business and IT/IRM Transformation Plan

Specialist, to manage the flow of incoming digital records, and a Systems Developer, to manage the system infrastructure and develop additional software functionality. As the project continues to grow, and more agencies start sending records to the Digital Archives, additional staff resources will need to be added to match the increased workload generated by these agencies. Additional staff increases can be mitigated to some extent through the use of interns and contract staffing. The Project Consultant will have the primary responsibility of oversight on the project to ensure that, first and foremost, the system is designed and implemented in accordance with international standards and current best practices for the long term, trustworthy preservation of digital records, while also serving as the subject matter expert on issues relating to digital preservation systems. Additionally, the Project Consultant will interface with the archives staff, agency project partners, State IT staff and the public to ensure that the functional requirements and satisfaction criteria are documented and achieved. Recommended core skills for the Project Consultant include:
• Project management experience in leading a software

The Systems Developer will be responsible for developing and maintaining the Digital Archives systems, creating the public search interfaces and increasing the system functionality to meet stakeholder needs. Recommended core skills for the application developer include:
• Strong Computer Science background with intermediate level

(3-5 years) java programming
• Experience maintaining MySQL or PostgreSQL databases • Experience creating functional requirements documentation • Experience creating, documenting and executing software

test plans In addition to the two staff positions above, it is strongly recommended that the current project manager continue to oversee the next phase of the project, including the creation of project requirements, timelines, budgets, staff recruitment, etc. To succeed in the position, the project manager must be given the necessary authority to drive the project forward to ensure its successful completion. Building upon a successful project kickoff meeting and subsequent digital records training, there currently exists a large amount of ‘good will’ among legislators, stakeholder groups, agencies and customers that must be built upon to support the submission of any legislative and funding changes. It is recommended that Executive Management work in concert with the project manager to focus on these targeted groups so that allies and interested stakeholders can be located. It is also recommended that the State Archives enter into a partnership with the Computer Science Departments’ of the University of Hawai’i and Hawai’i Pacific University in order to form an internship program. Ideally, such a partnership will allow the best and the brightest students from the University to work on the digital archives project; thereby allowing student workers to increase system functionality while decreasing the workload on the Archives technical staff. By collaborating with the University of Hawai’i, the State Archives will be able to recruit, on a temporary basis, bright, capable technical staff to work on focused projects. The University will be able to place students into high visibility, high impact projects in a real world setting. The students will gain valuable work experience and build their portfolio. Such a partnership would create a win-win situation for all parties involved.

development team
• Experience managing a digital archives • Experience managing projects in a government environment • Demonstrable knowledge of and experience in archival

science and computer science The Digital Records Acquisition Developer will have the primary responsibility of identifying both current and legacy digital records of enduring legal, historical, or fiscal value and arranging the transfer of these records to the Digital Archives. Recommended core skills for Digital Records Acquisition Specialist include:
• Computer Science background with 2-3 years of

Java Programming
• Experience creating and manipulating XML and Metadata • Previous experience with the transfer, identification and

maintenance of digital records
• Strong customer service background

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix G | 34

12 REVIEW AND RECOMMENDATIONS OF POTENTIAL FUNDING SOURCES
35 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

12 REVIEW AND RECOMMENDATIONS OF POTENTIAL FUNDING SOURCES
The State Archives has insufficient funding to staff and operate a digital archives. With an annual operating budget of approximately “Pending Review” for FY2012 and 16 full time staff, the staffing levels and funding are currently inadequate to provide the appropriate level of operation, preservation, and access to the 63,000 cubic feet of paper and analog holdings in the State Archives and Records Center; let alone taking on the task of providing preservation and access to the permanent digital records of the State. The requirement to preserve records of permanent value is clearly stated in §94-1 HRS, but to fulfill this mandate the State Archives will need the budget, technical staff and the computer infrastructure to fulfill this requirement.

ALTERNATIVES CONSIDERED:
Based on the research conducted for this study, five potential streams that have successfully been used by state archives to fund similar initiatives have been identified: fees on recorded documents, agency charge back, Special Fund allocation, increase in General Fund allocation, and grants.
• Dedicated fee on recorded documents – The concept

be seen as a disincentive for agencies to transmit records of permanent value to the State Archives.
• Dedicated special fund – A special fund pursuant to section

behind the fee assessed on recorded documents is that those documents that are publically recorded (such as land, marriage, power of attorney, court, etc.) are done so in order to establish and protect a citizen’s rights. As these records are of permanent value, they are eligible to be preserved within the State Archives. Specific categories of records that are known at the time of creation to be of permanent value should, therefore, fund their own preservation. Typically a fee of between one and five dollars is added to the other fees already collected at the time of the recording, resulting in a marginal increase of approximately 2-8% in the overall cost of publically recording a document. The small increase over the many records that are recorded in a typical year should provide sufficient funding for the digital archives.
• Agency charge back – Mirroring the charge-back schema

36-27 could be created similar to the shared services fund created for the State CIO (see S.B. 2548, S.D. 2, H.D. 1, C.D.1 , http://www.capitol.hawaii.gov/session2010/Bills/SB2548 CD1_.HTM). Such a dedicated fund could be dedicated specifically to the preservation of the records of permanent legal, historical, or fiscal value. The creation of such a fund would reinforce the importance of archival records to the citizens and employees of the state in supporting and advancing their shared understanding of the workings of state government, the reasoning behind the decisions that were made and policies created, and culture of its native and immigrant peoples.
• Increase in State Archives general fund allotment – The

already utilized at the State Records Center for special fund agencies, agencies sending records to the digital archives could be charged a pro-rated share of the overall operations costs based on their agencies proportion of the overall records stored within the archives. The concept behind agency charge back is that the agencies producing records of permanent value have a need to continue to have access to these records over both the near term, as well as infrequent use over the long term. Where agencies do not have the expertise or resources to store their digital records over the long term in a trustworthy state, these records should be placed in the custody of trained professionals. By transmitting the records to the State Archives, agency storage requirements, server utilization, and back-up widows would all decrease – resulting in an overall decrease in the agency’s IT budget. These cost savings could then be shared with the state archives to fund the digital archives initiative. A potential drawback to this funding stream is that a charge back could
State of Hawaii Business and IT/IRM Transformation Plan

State Archives was established in 1905, when its primary responsibility was the preservation of the paper records of state government. Since that time, there have been only incremental increases in the agency’s budget to account for the rising costs of operations, to support the increase in records acquired, and to provide state employees’ and citizens’ access to the records currently held within the State Archives; and several large staffing and budget cuts mirroring those of other state agencies during times of budget shortfalls. The State Archives budget was established at a time when digital records did not exist. As such, the State Archives has never been appropriately funded to acquire the infrastructure and skill set necessary to preserve digital records. In recognition of the massive expansion of the domain of information that the State Archives is now responsible for – if it is to execute its mandate of preserving the records of the State of Hawai’i that are of permanent legal, historical or fiscal value – the Archives general operating budget could be increased proportionately to the increased resources necessary to address this new workload.

Enterprise Architecture | Appendix G | 36

• Federal Grants – Grants rely upon locating and obtaining

external funds, typically with a matching funds requirement. While obtaining grants will cut the State’s financial burden for a digital archives in half, the state will still need to fund the other half (through the possibility of one of the two funding sources above). Additionally, grant funding is always of a short duration, typically two to five years, providing only a short term financial benefit; and typically have a lead time of 6-18 months between application and receipt (if the proposal was in the very small percentage of projects selected by the grant oversight committee) of the project funds. This delay can create a level of disruption in the program if work on the project must be stopped halfway through while waiting for additional grants funds to be received.

Of the five fee structures investigated, it is strongly recommended that the State Archives pursue the strategy of a dedicated fee on recorded documents along with applying for any grants that are made available by OCLC, NHPRC, LOC or any other historic records source. The states of New Jersey and Washington have both successfully used a recording fee to fund their respective initiatives and to create an in-state grant fund to push money back to the local government agencies collecting the fees. Collecting fees in advance on those records most in need of long-term preservation allows for an overall greater level public access to government records by allowing free and open access to everyone. Given Hawai’i’s geography, allowing citizens on neighboring islands open access to all public records without having to travel between islands fulfills the spirit and intent of public disclosure requirements of Chapter 92F HRS.

RECOMMENDATIONS:
Creation of a dedicated funding stream, for the equipment and staffing of the digital repository is strongly recommended. A dedicated funding source will allow the digital archives to recruit the necessary technical staff and purchase the hardware and software needed to manage and preserve digital records of long-term value. Without sufficient resources to preserve the records in their digital format, the state either risks losing access to the records or being forced to print them out onto paper. Current industry estimates that greater than 95% of all records are produced today in a digital format. If all the digital records that are required to be retained for more than ten years are printed onto paper, the increased volume of records needing to be stored at the State Archives will rapidly outpace the amount of storage space available. This situation would create a cascading effect of requiring that additional storage capacity be added to the existing building, or suitable facilities be located and leased at a higher annual cost than operating a digital archives. As it is unrealistic in the current economic environment to expect that the State Archives budget simply be increased by the necessary amount, alternative funding sources have been explored.

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13 RECOMMENDATIONS FOR DISASTER RECOVERY
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 38

13 RECOMMENDATIONS FOR DISASTER RECOVERY
In the event that the digital archives network is severely damaged or destroyed and the technical staff is inaccessible, the disaster recovery documentation outlined within is intended to provide all the necessary resources to rebuild/restore the digital archives to the identical level of functionality and content that existed when the "snapshot in time" for the Red Box was built.

CREATION AND USE
The remainder of this document details the contents of the Red Box, divided into six sections each with a specific focus. It is recommended that each section be stored separately in its own binder so that multiple individuals can concurrently work on system restoration in separate areas. As the Red Box contains the complete network infrastructure diagrams and account credentials, the Red Box MUST be kept in a secure, protected location at all times. The recommended process is to place the contents in an appropriately sized container that is sealed with security tape and signed by the department manager and network administrator. As it is intended that the Red Box will only be used in the event of a large-scale disaster, it is vital that staff outside of the Archives know of its location and be provided access. It is recommended that the State Comptroller and the ICSD Administrator be made aware of the location of the Red Box, along with the State Archivist in the event of a statewide disaster. Due to the sensitive and confidential nature of the materials contained within the Red Box, it is important that its location be restricted to a “need to know” basis only. The recommended elements of the disaster recovery manual are included in Appendix E.

Definition of a Red Box:
Everything intellectual that is needed to rebuild the digital archives to a specific state – with sufficient documentation to purchase replacement physical items and reconstruct the physical system as it originally existed, such as: building, Power, HVAC, and hardware (racks, servers, tape library, switches, PIX, cables, etc.). The Red Box provides all the necessary ‘tools’ for any competent IT professional to rebuild the digital archives by including:
• Instructions • Complete system documentation • Software disks • Disk Images of all servers and • Data backups

The Red Box derived its name from the Red Tape used to seal the box, the red color drawn from the allusion to danger and disaster.

SCOPE
It is intended that the Red Box be an all-encompassing, self-contained ‘digital archives in a box’. As such, it should ONLY contain information on the digital archive system configuration; from the Intrusion Prevention System all the way back to the storage devices. The network infrastructure and hardware leading up to the ‘front door’ of the digital archives is outside the scope of this process. The only resources needed to rebuild and operate the digital archives outside of the Red Box are the 3 Ps: ping, power and POP (network, power and a place to put it)!

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Enterprise Architecture | Appendix G

14 APPENDIX A: DIGITAL ARCHIVES SURVEY
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14 APPENDIX A: DIGITAL ARCHIVES SURVEY
As mentioned previous, a cross-functional group of records users, records creators, and IT professionals from all branches of government, higher education and all the counties were invited to take the survey. The primary method of survey completion was online through Survey Monkey, with paper based options presented as well and the results hand entered into the online survey by the archives staff. The original survey instrument, attached below, is followed by the tabulated results of all the respondents. Based on these results, the project consultant provided general recommendations to address specific issues either raised directly by the survey participants or from the accumulated results for the various questions and sections. [Survey Instrument starts on next page]

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SECTION 1. HAWAI’I STATE DIGITAL ARCHIVES SURVEY
The Hawai’i State Archives greatly appreciates your willingness to participate in this survey. This survey is expected to take 5-15 minutes to complete. Responses will remain anonymous unless you choose to provide your contact information. Your feedback is an important part of creating the look, feel, function, and focus of the Hawai’i State Digital Archives. More information on the Digital Archives Initiative can be found at http://Hawaii.gov/dags/archives. If you have any questions about the project or this survey, please contact Gina Vergara-Bautista at [email protected] or 808.586.0329. NOTE: Items with an * are required!

SECTION 2. DIGITAL RECORDS: MASTER PLAN
*Q1: Has your agency developed a master plan for handling/managing digital records (creation, storage, access, privacy, and imaging) Yes No

SECTION 3. DIGITAL RECORDS: MASTER DIGITAL RECORDS PLAN CONTACT
Q2: Is the master plan for handling/managing digital records available, either internally or on the web? Yes No Q3: Who is the project lead for the master plan? (Name, phone and email please) Name: Email Address: Phone Number:

SECTION 4. DIGITAL RECORDS: MEDIA FORMATS FOR STORAGE
Q4: What medium(s) do you currently store your digital records on? (Check all that apply) CD/DVD Diskette USB Magnetic Tape Zip Drive Network Drive Desktop Hard Drive Removable Hard Drive Other (please specify)

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SECTION 5. DIGITAL RECORDS: AGENCY BACKUPS
*Q5: Are your digital records backed up? Yes No Don’t Know

SECTION 6. DIGITAL RECORDS: AGENCY BACKUP FORMATS
Q6: Who creates the backups? I do The IT staff at my agency does We both do Q7: What media format(s) the backups stored on? (Check all that apply) CD/DVD Diskette USB Magnetic Tape Zip Drive Network Drive Desktop Hard Drive Removable Hard Drive Other (please specify)

SECTION 7. DIGITAL RECORDS: FILE FORMATS PRODUCED IN THE AGENCY
*Q8: What format(s) of digital records do you produce? (Check all that apply) ASCII/TXT/RTF Image (BMP, JPG, PNG, PSD, etc.) HTML PDF MSFT Word (DOC, DOCX) MSFT Excel (XLS, XLSX) Open Office (ODF, ODS, etc.) XML Database Other (please specify)
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SECTION 8. DIGITAL RECORDS: EMAIL MANAGEMENT
*Q9: Do you currently manage your email (such as: separating record from non-record, disposing of emails when retention reached, etc.)? Yes No

SECTION 9. DIGITAL RECORDS: RETENTION SCHEDULE
*Q10: Does your agency have a records management schedule that includes digital records? Yes No

SECTION 10. DIGITAL RECORDS: FILE MIGRATION
*Q11: Does your agency have a plan in place to migrate your digital records as new versions of your current software or file formats become available? Yes No Don’t Know

SECTION 11. DIGITAL RECORDS - MIGRATION PLAN
Q12: Is the migration plan for digital records available, either internally or on the web? Yes No Q13: Who maintains the migration plan? (Name, phone and email please) Name: Email Address: Phone Number:

SECTION 12. SCANNED DOCUMENTS: AGENCY SCANNING
*Q14: Does your agency convert paper documents to electronic images? Yes No Don’t Know

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SECTION 13. SCANNED DOCUMENTS: IN-HOUSE OR VENDOR
Q15: Is the document scanning done in-house or by a vendor? In-house Vendor Both

SECTION 14. SCANNED DOCUMENTS: VOLUME CURRENTLY SCANNED
Q16: What is the approximate volume of records already scanned? Example: 1000 pages, 10 cubic foot boxes, 8 rolls of microfilm

SECTION 15. SCANNED DOCUMENTS: VOLUME WA ITING TO BE SCANNED
Q17: What is the approximate volume of records waiting to be scanned? Example: 1000 pages, 10 cubic foot boxes, 8 rolls of microfilm

SECTION 16. SCANNED RECORDS: DA TE RANGE
Q18: What is the approximate date range of scanned records maintained at your agency? Example: 1992-94, 1996-2010

SECTION 17. SCANNED RECORDS: BUSINESS PURPOSE
Q19: Why did your agency decide to scan/image your records? (Check all that apply) Save Space Faster Retrieval Better Management Multiple Access Security Backup Other (please specify)

SECTION 18. SCANNED RECORDS: ONGOING PROCESS
Q20: Is the imaging: A One-time Process An Ongoing Operation Periodic Other (please specify)
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SECTION 19. SCANNED RECORDS: RECORDS DISPOSITION
Q21: After scanning, what happens to the original paper records? (Check all that apply) Maintained In-house Sent Off-site Microfilmed Destroyed Other (please specify)

SECTION 20. EDMS: AGENCY USAGE
*Q22: Does your agency use an electronic document management system (EDMS)? An EDMS is any system that centralizes and manages electronic documents. Yes No

SECTION 21. EDMS: SYSTEM IDENTIFICATION
Q23: What is the name of your EDMS system?

Q24: Who is the Vendor of the system?

SECTION 22. EDMS: BORN DIGITAL RECORDS
Q25: Does your agency EDMS store born digital records? Born digital records are those digital records that never existed in a paper or analog format. Yes No

SECTION 23. EDMS: FILE TYPES
Q26: What types of digital records are stored in your EDMS system? (Check all that apply) Email Office Documents (word processing, spreadsheets, etc.) Images Database outputs/reports Scanned Images Other (please specify)

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SECTION 24. EDMS: METADATA
Q27: Does your agency collect any additional metadata to help identify and manage the records in the EDMS? Yes No

SECTION 25. EDMS: METADATA TYPES
Q28: What additional metadata is collected? (Check all that apply) Agency Name Title of Record Disposition of Record Destruction Date of Record Access Restrictions Case Number Document Number Other (please specify)

SECTION 26. GENERAL: RECORDS MANAGEMENT TRAINING
Q29: Have you ever attended records management training of any kind? Yes No

SECTION 27. GENERAL: RM TRAINING DA TE
Q30: When did you last attend records management training? Last Six Months Last Year Last 1-3 years More Than Three Years Ago

SECTION 28. GENERAL: DEFINITION OF A RECORD
*Q31: Do you understand the difference between what qualifies as a business record and what does not? Yes No Not Really

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SECTION 29. GENERAL: RECORDS PA IN POINTS
Q32: What problems, if any, are you encountering in the creation, storage, retrieval, privacy, destruction, maintenance, or management of digital records?

SECTION 30. GENERAL: RECORDS GUIDELINES
*Q33: Would guidelines and/or standards for the management of digital records be helpful? Yes No

SECTION 31. GENERAL: TRAINING NEEDS
*Q34: Would you attend training on managing digital records if it was offered? Yes No

SECTION 32. GENERAL: FOCUS GROUP PA RTICIPATION
*Q35: Would you be willing to share your needs and experiences with a focus group developing the Hawai’i State Digital Archives requirements? Yes No

Q36: Please provide your contact information so we may send you details about our focus groups. Name: Agency: Email Address: Phone Number:

SECTION 34. GENERAL: LAST THOUGHTS
Q37: Please share with us any other comments you have regarding records and their management.

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15 APPENDIX B: ANALYSIS OF SURVEY RESULTS
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15 APPENDIX B: ANALYSIS OF SURVEY RESULTS
1. Has your agency developed a master plan for handling/managing digital records (creation, storage, access, privacy, and imaging)? Answer Options Response Percent Yes 14.3% No 85.7% 66 Findings and Recommendations: 86% of participants are without clear agency direction on the appropriate procedures for creating, maintaining and preserving digital records. The lack of a master plan for digital records places agencies at risk due to an ability to produce the digital records required in a public disclosure request pursuant to §92F-12 HRS and of non-compliance with records retention requirements. It is recommended that all agencies be required to have at least a rudimentary plan in place on the expectation of how agency employees with manage their digital records. Response Count 11

2. Is the master plan for handling/managing digital records available, either internally or on the web? Answer Options Response Percent Yes 41.7% No 58.3% Response Count 5 7

Findings and Recommendations: Of those agencies that do have a plan for managing digital records, 58% of those plans are not easily accessible by the employees of that agency. Without easy access to master plans, consistent enforcement of the retention requirements is difficult. It is recommended that agency master plans be published in easily accessible locations, such as the agency intranet site, and periodically sent to all employees as a reminder of such policies.

3. Who is the project lead for the master plan? (Name, phone and email please) Answer Options Name: Email Address: Phone Number: Response Percent 100.0% 66.7% 83.3% Response Count 6 4 5

Findings and Recommendations: Half of the participants who responded that their agency had a master plan provided the contact information for the individual who manages that plan. Further investigation into the extent of the agency master plan for digital records is recommended. It is also recommended that a model master records plan be developed for other agencies use from the existing master plans and archival best practices.

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4. What medium(s) do you currently store your digital records on? (Check all that apply) Answer Options CD/DVD Diskette USB Magnetic Tape Zip Drive Network Drive Desktop Hard Drive Removable Hard Drive Other (please specify) Response Percent 61.0% 13.0% 27.3% 33.8% 14.3% 83.1% 59.7% 31.2% Response Count 47 10 21 26 11 64 46 24 7

Findings and Recommendations: As expected, the agencies employ a wide variety of media for the storage of digital records. Of particular concern is the 61% that use CDs/DVDs to store digital records --research has shown that CDs have a high media failure rate due to a phenomena called CD rot -- and the 14% that use Zip Drives, a technology at risk of becoming technologically obsolete. Of the ‘other’ responses, three were networked file shares, two were microfilm and one was an Oracle database. It is recommended that the State Archives issue advisories on recommended storage media and educate state employees of the dangers of unstable and obsolete media formats.

5. Are your digital records backed up? Answer Options Yes No Don’t Know 19.5% 15 Findings and Recommendations: 77% of digital records are known to be backed up and at least 2.5% are not backed up; meaning that as high as 23% of the records may not have any back up. When combined with the myriad of media types (from question 4) that are storing records, those that are not backed up are at a high risk of loss, alteration, deterioration or technological obsolescence. Response Percent 77.9% 2.6% Response Count 60 2

6. Who creates the backups? Answer Options I do The IT staff at my agency does We both do Response Percent 11.7% 53.3% 38.3% Response Count 7 32 23

Findings and Recommendations: 53% of the backups of digital records are created by the IT staff, with another 38% of the backups being performed in partnership with the records custodians. Further research on those performing backups of digital records is recommended in order to determine if the backups follow a consistent, auditable procedure and whether or not the backups are routinely checked for accuracy and completeness.

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7. What media format(s) the backups stored on? (Check all that apply) Answer Options CD/DVD Diskette USB Magnetic Tape Zip Drive Network Drive Desktop Hard Drive Removable Hard Drive Other (please specify) Response Percent 38.2% 9.1% 14.5% 63.6% 10.9% 54.5% 29.1% 25.5% Response Count 21 5 8 35 6 30 16 14 10

Findings and Recommendations: As the number of media type responses is greater than the total number of participants (145 selections from 55 participants), backups are being performed on an average of approximately three different types of media per participant. As noted in the findings of question four, a noticeable percentage of backups are on to ‘at-risk’ media types. Further research into the decision making process on selecting media types for backups is recommended. Based on the research findings, it is recommended that the State Archives issue advisories on the recommended backup media and educate state employees of the dangers of using unstable and obsolete media formats.

8. What format(s) of digital records do you produce? (Check all that apply) Answer Options ASCII/TXT/RTF Response Percent 29.9% Response Count 23

Image (BMP, JPG, PNG, PSD, etc.) 70.1% HTML PDF 42.9% 85.7%

54 33 66 49 40

MSFT Word (DOC, DOCX) 63.6% MSFT Excel (XLS, XLSX) Open Office (ODF, ODS, etc.) XML Database Other (please specify) 51.9%

5.2% 14.3% 48.1%

4 11 37 9

Findings and Recommendations: A large percentage of records produced are text-based documents (85% of participants produce PDF, 64% word files, 30% text files), while 48% of participants produce digital records in databases, and 70% produce images files. Of particular concern is the 43% of participants producing HTML files, as web records are highly complex in their interrelationships with other web pages and the multiple components necessary to reconstruct the webpage. Two responses to the ‘other’ category also are of note: Geographic Information System (GIS) -- another file format that requires a strong interrelationship between files and components to render accurate information -- and audio and video files. It is recommended that further research be conducted into the types of digital records being produced, and the findings of this research be used to develop a phased-implementation plan for file type functionality in the digital archives.

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9. Do you currently manage your email (such as: separating record from non-record, disposing of emails when retention reached, etc.)? Answer Options Yes No Response Percent 40.3% 59.7% Response Count 31 46

Findings and Recommendations: As email is a form of correspondence, in many instances email is legally recognized as a record of value and must be maintained and preserved according to a retention schedule. With 60% of participants not managing their email, these agencies are at risk of non-compliance with Hawai’i state law and an inability to produce records in a public disclosure request as required by HRS §92F-12. It is recommended that each agency conduct an ‘email awareness’ training session, in conjunction with the State Archives records management branch, to stress the importance of proper email management.

10. Does your agency have a records management schedule that includes digital records? Answer Options Yes No Don’t Know Response Percent 32.9% 38.2% 28.9% Response Count 25 29 22

Findings and Recommendations: A high percentage of participants either do not have (38% ) or don’t know of (29%) a retention schedule for their digital records. Without access to an approved retention schedule that includes digital records, public employees are at risk of either disposing of records too soon (before the approved retention allows for destruction) or of keeping the records longer than necessary (leading to higher storage costs and increased handling). It is recommended that every agency maintain an agency specific retention schedule and have it published in a readily accessible location.

11. Does your agency have a plan in place to migrate your digital records as new versions of your current software or file formats become available? Answer Options Yes No Don’t Know Response Percent 7.9% 52.6% 39.5% Response Count 6 40 30

Findings and Recommendations: Only 8% of participants know of a migration plan for their current digital records. As changes in hardware and software are inevitable and unavoidable in a digital world, without a clear migration strategy for digital records, the other 92% of records are at risk of technological obsolescence. It is recommended that all agencies create and publish a migration plan to avoid the loss of digital records due to technological obsolescence.

12. Is the migration plan for digital records available, either internally or on the web? Answer Options Yes No Response Percent 33.3% 66.7% Response Count 2 4

Findings and Recommendations: Of the six participants who have a migration plan, only one-third have access to the plan. It is recommended that those agencies that have migration plans make them available to employees of the agency and that these plans be verified for accuracy and audited on a periodic basis.

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13. Who maintains the migration plan? (Name, phone and email please) Answer Options Name: Email Address: Phone Number: Response Percent 100.0% 100.0% 100.0% Response Count 4 4 4

Findings and Recommendations: Two-thirds of the participants with a migration plan know who to contact in regards to the migration strategy. It is recommended that these individuals be contacted and copies of their migration plans be obtained by the State Archives for further analysis and possible integration into a model migration plan for use by other agencies.

14. Does your agency convert paper documents to electronic images? Answer Options Yes No Don’t Know Response Percent 72.4% 22.4% 5.3% Response Count 55 17 4

Findings and recommendations: A higher than expected percentage (72%) of agencies are converting paper records into a digital format. It is recommended that further research be conducted into the tools, methods and procedures that the agencies are using in order to determine the accuracy and integrity of the imaging process.

15. Is the document scanning done in-house or by a vendor? Answer Options In-house Vendor Both Response Percent 76.4% 5.5% 18.2% Response Count 42 3 10

Findings and Recommendations: A relatively low percentage (6%) of imaging is being conducted outside of the agency. It is recommended that the State Archives examines the imaging contracts of the agencies utilizing outside vendors to develop a model contract that provides controls to ensure the accuracy and integrity of the images as well as the state’s ownership of the product, both images and indexes.

16. What is the approximate volume of records already scanned? Example: 1000 pages, 10 cubic foot boxes, 8 rolls of microfilm Answer Options Response Count 44 Findings and Recommendations: Volumes produced annually range from hundreds of pages to millions of pages. Five participants are producing more than a million pages per year. It is recommended that further research be conducted into the large scale imaging programs to ensure the accuracy and integrity of the images being created. It is further recommended that all agencies engaged in digital imaging have written procedure manuals and that the process be routinely audited.

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17. What is the approximate volume of records waiting to be scanned? Example: 1000 pages, 10 cubic foot boxes, 8 rolls of microfilm Answer Options Response Count 40 Findings and Recommendations: With the large amount of identified materials waiting to be imaged, it is recommended that the State Archives investigate the possibility of centralizing the imaging operations for the purposes of reduction in per scan cost and/or an increase in accuracy and integrity through economy of scale.

18. What is the approximate date range of scanned records maintained at your agency? Example: 1992-94, 1996-2010 Answer Options Response Count 45 Findings and Recommendations: Many of the digital images being produced by state agencies are from documents dating to the territorial period. Due to the potentially historical nature of the documents being imaged, it is recommended that the State Archives investigate these imaging operations to explore the possibility of a partnership for the maintenance and preservation of the images and/or historical material.

19. Why did your agency decide to scan/image your records? (Check all that apply) Answer Options Save Space Faster Retrieval Better Management Multiple Access Security Backup Other (please specify) Response Percent 80.8% 88.5% 75.0% 78.8% 55.8% Response Count 42 46 39 41 29 13

Findings and Recommendations: As four of the reasons offered for implementing a digital imaging project were selected by participants greater than 75% of the time, it can be surmised that many agencies are expecting a multibenefit return from their imaging investment. Accessibility is one of the major reasons given; in addition to multiple access and faster retrieval, six of the thirteen ‘other’ responses centered on increasing access to the records as well. It is recommended that the State Archives conduct further research into the actual versus perceived benefits from implementing a digital imaging system. In the event the realized benefits can be proven and quantified, this research can then be used by other projects to justify a digital imaging project for their paper records. Further research is also recommended in the area of security backup of paper records through digital imaging to ensure that, in the event the backup is needed, the records are accessible, accurate and have maintained their integrity.

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20. Is the imaging: Answer Options A One-time Process An Ongoing Operation Periodic Other (please specify) Response Percent 3.8% 80.8% 15.4% Response Count 2 42 8 4

Findings and Recommendations: As a vast majority of the digital imaging projects (81%) are ongoing, it is recommended that the State Archives develop a ‘digital imaging guidebook’ that establishes the minimum standards for resolution, file format, auditing protocols and quality control procedures to be used in the imaging of long-term government records. Establishing benchmarks for imaging conducted in the state will allow agencies to create a litmus test for their own projects and help to ensure the accuracy and integrity of the digital images created.

21. After scanning, what happens to the original paper records? (Check all that apply) Answer Options Maintained In-house Sent Off-site Microfilmed Destroyed Other (please specify) Response Percent 85.7% 22.4% 2.0% 40.8% Response Count 42 11 1 20 2

Findings and Recommendations: Eighty-one percent of the participants listed saving space as a reason for digitally imaging paper records; yet 86% still maintain the paper records and 41% destroy the paper records after imaging -- leading to the conclusion that some agencies are doing both. It is recommended that the State Archives explore drafting legislation that requires agencies to adhere to a minimum level of standards when imaging paper records, and only those agencies that can demonstrate the accuracy and integrity of the processes used in their digital imaging process be allowed to destroy the paper records.

EDMS:
22. Does your agency use an electronic document management system (EDMS)? An EDMS is any system that centralizes and manages electronic documents. Answer Options Yes No Response Percent 34.2% 65.8% Response Count 26 50

Findings and Recommendations: Over one-third of participants (34%) use some type of EDMS. As such, these agencies are recommended as potential pilot partnership agencies with the digital archives. Automated EDMS integration will allow for seamless flow of records from creator to preserver.

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23. What is the name of your EDMS system? Answer Options Response Count 23 Findings and Recommendations: Several of the larger EDMS vendors are represented in the list of installed systems (FileNet, Stellant, LaserFiche) as well as some that are unfamiliar to the digital archives team. It is recommended that the State Archives investigate what EDMS systems are in use and whether or not they are DoD 5015.2 compliant. It is further recommended that the State Archives draft legislation that would require Archives input into the procurement or development of EDMS systems storing public records of long term value. Such legislation will ensure appropriate protocols are in place to preserve the authenticity and integrity of the records stored in the EDMS system.

24. Who is the Vendor of the system? Answer Options Response Count 19 Findings and Recommendations: The major EDMS vendors are represented, along with a number of smaller vendors of unknown provenance. It is recommended that further research be conducted to determine which, if any, of the EDMS systems installed in state government are proprietary systems supported by a single entity. These systems should be labeled ‘at-risk’ and additional precautions taken to ensure that the records are not locked into a systems that may be unsupported if a vendor goes out of business.

25. Does your agency EDMS store born digital records? Born digital records are those digital records that never existed in a paper or analog format. Answer Options Yes No Response Percent 52.2% 47.8% Response Count 12 11

Findings and Recommendations: The close to half of the total number of participants (48%) that responded they stored non-digital records in the EDMS is in line with the large number of digital imaging systems in the state. Additionally, with 52% of the records in the EDMSs being born digital, it is recommended that disaster recovery guidelines be developed to ensure that the records in an EDMS are maintained and preserved in an authentic manner to maintain their evidential value.

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26. What types of digital records are stored in your EDMS system? (Check all that apply) Answer Options Email Office Documents (word processing, spreadsheets, etc.) Images Database outputs/reports Scanned Images Other (please specify) Response Percent 24.0% Response Count 6

56.0% 44.0% 40.0% 88.0%

14 11 10 22 3

Findings and Recommendations: It is encouraging that nearly one-quarter (24%) of participants with EDMSs manage their emails through the system. With 88% of the EDMSs managing scanned images, this again speaks to the large number of digital images projects within the state. Further investigation is recommended into the methods and practices of those agencies managing database outputs/reports in their EDMS and whether these outputs adequately capture the records stored in the database system.

27. Does your agency collect any additional metadata to help identify and manage the records in the EDMS? Answer Options Yes No Response Percent 63.6% 36.4% Response Count 14 8

Findings and Recommendations: Over one-third (36%) of agencies add no additional metadata to the records within their EDMS. It is recommended that further research be conducted into how agencies manage and locate records without additional metadata elements. The metadata schemes used in all agencies must ensure that records in the EDMS can be maintained and preserved as long as required by the approved retention schedules.

28. What additional metadata is collected? (Check all that apply) Answer Options Agency Name Title of Record Disposition of Record Response Percent 50.0% 75.0% 33.3% Response Count 6 9 4 0 4 7 8 6

Destruction Date of Record 0.0% Access Restrictions Case Number Document Number Other (please specify) 33.3% 58.3% 66.7%

Findings and Recommendations: Only one-third of participants add the disposition code to the EDMS, and none add the disposition date. Given that, it is recommended that further research be conducted into how the records are disposed of in the EDMSs, or if they are kept in the systems indefinitely.

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General Records:
30. When did you last attend records management training? Answer Options Last Six Months Last Year Last 1-3 years Response Percent 25.0% 8.3% 16.7% Response Count 6 2 4 12

More Than Three Years Ago 50.0%

Findings and Recommendations: Half the participants have not attended any records management training in the past three years, while one-quarter has had training in the past six months -- pointing to the need to continue and expand the current records management training of public employees. It is recommended that the State Archives provide more training and education through online or virtual means in order reach the public employees spread all across the islands.

31. Do you understand the difference between what qualifies as a business record and what does not? Answer Options Yes No Not Really Response Percent 34.2% 11.8% 53.9% Response Count 26 9 41

Findings and Recommendations: Almost two-thirds (65%) of participants are unclear of the legal definition of a business record. Without a firm understanding of what qualifies as a record and what does not, records custodians do not have the necessary core tool set to determine which retention schedule is appropriate for the records in their care. It is recommended that a basic training curriculum be introduced to ALL state employees upon hiring, and refreshed on a periodic basis.

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32. What problems, if any, are you encountering in the creation, storage, retrieval, privacy, destruction, maintenance or management of digital records? Answer Options Response Count 49 Findings and Recommendations: Nearly two-thirds of the participants (64%) responded to this question by sharing problems they are aware of or encountering on a daily basis. An overwhelming theme is the lack of knowledge – specifically, they are concerned about what to do with records currently in their custody and what are they going to do with them in the future to ensure long term maintenance and retrieval. “A majority of our documents are confidential (by law). Storage and future retrieval will be a problem.” “Each employees archives own email without any guidance as how to clean up and keep only business related emails” “Not sure how to retrieve information if digitized” “No Cataloging Standards” “No Guidelines (or no commonly understood guidelines) for what should be stored” “Pushback from IT - using too much storage space on servers” “Because we are not specifically managing them yet, we don’t know what problems we have.” “We are concerned about the long-term and future unintended negative consequences of moving into a digital archive with digital born documents without any paper back-up documents.” “Because the legislature is primarily an information-based entity, from which our primary product is state law, our documents are relied upon by many local and national entities far beyond the initial development of the law.” “We want to ensure that our records accurately reflect the actions and intent of the legislature at the various points in the legislative process.” “Sufficient space and poor cooperation from ICSD” “With changing technology, state department cannot keep up.” “We need a way to backup and archive our electronic records in a secure manner so that we can discard the physical records.” “A central storage device which enables retrieval and backup would is preferred.” “Designation of resources to manage and maintain digital records.” “identification of records, personnel knowledge of recordkeeping and retention of what should or should not be imaged, and written procedures.” “ Searchability of stored records” “Destruction: a high potential for such of documents stored on desk PC and no back-up” “NOT AWARE OF AGENCY POLICY, SOFTWARE, GUIDANCE, OR PLAN.” “Records are scanned without consideration for identification when retrieval is necessary. There are quality control issues. I’m not aware of any departmental procedures.” “We have information on floppy disks, 5 1/4 disks, and zip disks and most current computer do not even have zip drives. I’ve brought in a 5 1/4 drive from home (my husband’s) to try to run disks.” Based on the feedback received, it is recommended that the digital archives project make it a priority to continue to educate public employees of their obligations to manage digital records for the life of the appropriate retention schedule. Additionally, guidelines and recommendations for the care and handling of digital records need to be developed and widely circulated. The development of a digital archives is essential to ensure that those records of enduring legal, fiscal or historical value are kept for as long as they are needed.
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33. Would guidelines and/or standards for the management of digital records be helpful? Answer Options Yes No Response Percent 96.0% 4.0% Response Count 72 3

Findings and Recommendations: It is recommended that the State Archives continues to provide guidance and leadership in the creation, maintenance and preservation of digital records, and to draft model guidelines for the management of digital records.

34. Would you attend training on managing digital records if it was offered? Answer Options Yes No Response Percent 90.7% 9.3% Response Count 68 7

Findings and Recommendations: There is a strong desire (90%) for records management training among the participants. It is recommended that the State Archives continues its records management training and expand the content to include a stronger emphasis on digital records issues.

35. Would you be willing to share your needs and experiences wi th a focus group developing the Hawai’i State Digital Archives requirements? Answer Options Yes No Response Percent 56.0% 44.0% Response Count 42 33

Findings and Recommendations: Over half the participants (56%) are willing to participate in focus group sessions. It is recommended that the State Archives continue to involve interested stakeholders in the development of the digital archives project.

36. Please provide your contact information so we may send you details about our focus groups. Answer Options Name: Agency: Email Address: Phone Number: Response Percent 100.0% 97.4% 97.4% 97.4% Response Count 39 38 38 38

Findings and Recommendations: Of the forty-two participants who expressed interest in the focus groups, thirtyeight provided contact information. It is recommended that this contact information be kept on file to notify interested stakeholders of future developments, as well as to solicit their feedback on requirements and design.

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37. Please share with us any other comments you have regarding records and their management. Answer Options Response Count 24 Findings and Recommendations: Below is a sample of the responses received. As can be seen by the feedback provided, the overall consensus is that the digital archives project is timely and needed to provide direction and solutions to digital records issues they are encountering. It is recommended that the stakeholders continue to be regularly engaged and updated on the progress of the project, and their feedback be solicited and integrated into the functional requirements. “Thank you for providing the archives seminar. It was very enlightening and thought provoking.” “Each ASO should be leading this initiative within the departments, but they are singularly uninterested.” “Possibly IT personnel, decision makers, etc. should be involved in these focus groups.” “Mahalo for including the Hawai’i State Senate. We are hopeful that we can work together on this very important project.” “I work in the State Procurement Office and over the past few years we have moved significantly towards the paperless environment. We are therefore appreciative that the Archives Office is focusing on the management and storage of electronic records.” “Suggest designated repository(ies) of state and state-related records that has knowledge of where these state and state-related records are maintained and are accountable of them.” “I realize this is an important subject but our institution has no awareness of this. I cannot justify spending a lot of time on this when my priorities are dictated elsewhere.” “The Hawai’i Digital Archive technology should also be shared as a sub-system for managing the active records within the Department. As a State, we do not have an enterprise license for Document Management System. This sub-system would help defray cost and bring standards across the State.” “I attended the presentation but am not “the” designated representative of this entire agency. I recognized the need for digital records management policies because I have worked on large cases involving digital records management.” “I’m really glad the State Archives is taking the lead on electronic records.”

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16 APPENDIX C: FUNCTIONAL REQUIREMENTS
63 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G

16 APPENDIX C: FUNCTIONAL REQUIREMENTS
DEFINITIONS
AuERMSspec: Functional Specifications for electronic Records Management Systems Software released by the National Archives of Australia, ISBN 1-92080734-9, February 2006. Core Requirement: A requirement that is essential to the proper collection, processing, maintenance and preservation of trustworthy records based on archives staffing and infrastructure. Digital Component (or component): A digital object that is part of one or more digital documents, and the metadata necessary to order, structure or manifest its content and form, requiring a given preservation action. Digital Object (or object): A discrete aggregation of one or more bit streams and the metadata about the properties of the object. DoD: Department of Defense Electronic Records Management Software Applications Design Criteria Standard 5015.02 Highly Desirable Requirement: A requirement that adds additional functionality to either the archives staff, contributing agency or researcher. Ingestion: The process of transferring records from a producer, using services and functions to prepare the transferred records for storage, verifying the existence and accuracy of the appropriate and accepting custody of the records by insertion into the digital archives. Metadata: Information that characterizes another information resource, especially for purposes of documenting, describing, preserving or managing that resource. Necessary Requirement: A requirement that, while not essential, is important to the proper operation of a trustworthy repository. Omission of necessary requirements will result in significant additional work on the part of the staff to demonstrate the integrity of the digital archive. OAIS: Reference Model for an Open Archival Information System (OAIS) Standard CCSDS 650.0-B-1 Producer: The role played by those persons or client systems that provide the information to be preserved. Record: A collection of digital components (i.e. files) and descriptive information (i.e. metadata) that when combined together provide a complete object that conveys meaning and context to the action for which it was created. Render: To represent a digital object in a human-interpretable way. Repository: The whole of the hardware and software that is designed for permanent preservation of digital records TRAC: Trusted Repositories: Audit and Checklist by OCLC and NARA, February 2007. UPitt: University of Pittsburg project on the preservation of electronic records, known as the Pitt Project, “Functional Requirements for Evidence in Recordkeeping” Use Copy: Versions of digital components that are viewed and/or downloaded by researchers. WADA: Washington State Digital Archives Functional Requirements Web-Friendly: Human readable versions of digital components that are typically smaller in file size and of open file formats created in order to allow for ease of download and access by researchers.

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FUNCTIONAL REQUIREMENTS
A. Access and Usage Restrictions The system must control who has access to what aspects of the repository as directed by the system administrator; therefore, the system will: Ref # Recommendation Function/Feature

A.1 A.2

Core Necessary

Indicate on the record if an access restriction exists Provide sufficient detail on any access restrictions so that restrictions be interpreted by security protocols to limit access to only those individuals authorized protocols to limit access to only those individuals authorized Track for each restriction: reason for restriction, date restriction takes effect, date restriction ends, organization requesting restriction (DoD C4.1.1) Provide a comprehensive audit trail of any changes made to access restrictions Indicate which metadata/indexing fields/attachments are restricted from public view For each indication of field/attachment restriction, provide the governing policy, rule, regulation or law that authorizes the restriction Provide in a prominent way to the researcher a detailed description of any use restrictions that exist on the record

A.3 A.4 A.5 A.6 A.7

Necessary Highly Desirable Necessary Highly Desirable Highly Desirable

B. Architecture Design The design of the system, both physical and logical, must support the long-term access to trustworthy digital records through time and space; therefore, the system will:

Ref #

Recommendation

Function/Feature

B.1 B.2 B.3 B.4 B.5 B.6 B.7 B.8 B.9 B.10 B.11 B.12

Core Core Highly Desirable Highly Desirable Necessary Necessary Highly Desirable Highly Desirable Core Highly Desireable Highly Desireable Necessary

Utilize three-tier architecture Be built predominantly with open-source software Rigorously utilize in-line code documentation Comply with coding and database standards as established by the State of Hawai’i Will be able to scale on demand, for both storage and server utilization Modularize functionality and tools used in order to allow for replacement, addition or subtraction of individual modules or tools as needed without the need to rewrite an entire tier (i.e. microServices) Support server clustering Support 100 concurrent, interactive users, with multiple processes in a networked environment without a slowdown of more than 10% over what is experienced with 10 concurrent users (WADA) Utilize a web interface that allows researchers to search for, select, view and print records Use a webserver that is separate (either physically or virtually) from the database server Have HTTPS, SSL or equivalent support for web applications (WADA) Operate from inside a firewall and support a web server(s) that reside between firewalls (WADA)
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Ref #

Recommendation

Function/Feature

B.13 B.14 B.15 B.16 B.17

Necessary Highly Desirable Highly Desirable Core Highly Desirable

Allow the web interface to comply with branding standards established by the State of Hawai’i Utilize a web browser that is fully functional with no browser ‘plugins’ required (WADA) Maintain a data dictionary for the repository that conforms to the Data Entity Dictionary Abstract Standard ISO 22643:2002 or similar [OAIS 3.2.2.1.2 F-10] Store years in a 4 digit year. Leap year calculations shall be accommodated (DoD C2.1.2) Be designed with redundant components through that system allowing for ‘a-channel’--‘b-channel’ architecture, allowing either channel to be brought off-line for maintenance/upgrades without the need to take down the entire system. Support standard e-Commerce operations (add, view, remove, change quantities) that would allow researchers to purchase (certified) reproductions of records (WADA) Allow for caching of popular searches/results/records to the depth and/or number specified by the repository archivist (WADA) Utilize virtual machines at all three layers of the architecture Provide a dashboard that allows the system administrator to monitor the overall health of the system, as well as the health of individual servers from a single screen

B.18 B.19 B.20 B.21

Highly Desirable Highly Desirable Highly Desirable Highly Desirable

C. Digital Objects and Rendering As all digital records are comprised of one or many digital objects, it is essential that all of the digital objects necessary to render a digital record are maintained and available for the life of the record; therefore, the system will:

Ref #

Recommendation

Function/Feature

C.1 C.2 C.3 C.4 C.5 C.6 C.7 C.8 C.9 C.10

Core Core Necessary Highly Desirable Core Highly Desirable Highly Desirable Core Highly Desirable Highly Desirable

Provide the capability to support multiple versions of a record (DoD C2.2.3.19, WADA) Link each version of a record to its predecessor (WADA) Generate web-friendly versions of digital components for all records in the system where such formats exist Store the attachments of emails as separate records and provide an indelible link between the email and the attachments. Be able to convert file formats ingested into the repository into non-proprietary formats according to a file-type crosswalk maintained within the system. (WADA) Identify the file format and file version of each digital object within the system Provide an indication of the hardware and software dependencies required to render the digital objects Provide sufficient workflows and tools to normalize data into standard formats Have the ability to place watermarks on use copies of all documents, photos, videos, etc. Provide the ability to redact text from records within the repository without altering the original record

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D. Ingestion and Normalization In order to manage the contents of the repository over the long term, it is essential that records are completed when transferred and are stored in a standardized way; therefore, the system will:

Ref #

Recommendation

Function/Feature

D.1 D.2 D.3 D.4 D.5

Core Highly Desirable Core Highly Desirable Highly Desirable

Track an incoming group of records as an accession with a unique identifier that is associated with each individual component of the accession Provide a full report of records transferred, the accession to which they have been assigned, and confirmation of which items have been formally accepted into custody (TRAC B1.7) Accept records in both structured and unstructured formats Compare the hash of the incoming digital components against those already existing in the repository, note any identical objects, notify repository archivist and move potential duplicate records into holding Check the structure of the incoming records for conformity to expected format agreed to with the producer; when discrepancies are detected, log those instances of non-conformance, send detailed report to repository archivist and move offenders to holding area (OAIS 3.2.2.4 F-21) Identify if any components of the record transferred to the archives are encrypted prior to ingestion into the repository, notify originator and repository archivist, and move the affected record into a holding area without ingesting into the system Provide sufficient workflows and tools to normalize textual data into standard structure, formats, and semantics Provide the ability to spider designated web-sites at a given frequency Provide the capability to directly file audit data as a record (DoD C2.2.8.4) Note the language of the record Ensure that digital objects can be ingested in their native format, regardless of format and technical characteristics, in order to be described and stored as records within the system (AuERMSspec A.2.1) For records comprised of more than one component, track all incoming components as a single record and maintain the association between the various components (AuERMSspec A.2.2) Support the bulk ingestion of disparate records from agencies through use of batch files, customize rules, validation and queries (AuERMSspec A.2.16) Support the transfer of records through a secure webpage System supports registration of all incoming records to track existence, provide auditing and evidence of presence after destruction (AuERMSspec A.2.25) System will track authentication means used to authorize the ingestion of records from a trusted source (AuERMSspec C.1.13)

D.6

Highly Desirable

D.7 D.8 D.9 D.10 D.11 D.12 D.13 D.14 D.15 D.16

Necessary Highly Desirable Highly Desirable Highly Desirable Core Core Core Necessary Highly Desirable Necessary

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E. Integrity of the Repository The maintenance of trustworthy records requires that the integrity of the records be established at point of transfer and maintained throughout the life of the records; therefore, the system will:

Ref #

Recommendation

Function/Feature

E.1 E.2 E.3 E.4 E.5 E.6 E.7 E.8 E.9

Necessary Core Core Highly Desirable Highly Desirable Core Highly Desirable Highly Desirable Necessary

Quarantine and then virus scan on a customizable schedule, all digital components transferred to the repository prior to full ingestion Provide a means of verifying the integrity of the transfer by hashing files on the originator’s end prior to transfer, verifying hash on the receiver’s end Enforce data integrity, referential integrity and relational integrity of the database (DoD C2.2.3.23) Report to both originator and receiver the results of the Hash comparison. Any discrepancies will be moved into a holding area. (WADA) Track the version of the ingestion routine used to normalize the records into the repository. Maintain a hash for each digital component ingested into the system Run periodic hash checks to insure the integrity of the system and provide report of the results of the hash check, specifically noting any discrepancies Indicate on each record which version of migration software was used for each version of the record. Provide sufficient auditing to facilitate reconstruction, review, and examination of events surrounding or leading to mishandling of records, possible compromise of sensitive information or denial of service. (DoD C2.2.8.3.2) Trap errors encountered in the operation of the repository and maintain them in an error log Ensure that all digital objects referenced in the records as part of the accession are transferred – including external references within document objects (such as images, fonts, etc.) (TRAC B1.5) Maintain a change log of all software changes to the repository (TRAC A3.6) Accept into the repository the source code of each version of software used to ingest the records into the repository Make a copy of all records transferred to the repository, as transferred by the producer, for storage outside the system as protection against system malfunction, corruption or loss

E.10 E.11 E.12 E.13 E.14

Highly Desirable Necessary Highly Desirable Highly Desirable Highly Desirable

F. Interface Design and Searching The system must provide a web interface that allows researchers to search, select and view non-restricted records contained in the repository; therefore the system will:

Ref #

Recommendation

Function/Feature

F.1 F2. F.3

Highly Desirable Highly Desirable Core

By default, sort returned search results in alphabetical order descending, but allow the researcher to select other metadata fields to be returned with the search results (WADA) Allow the repository archivist to specify which metadata fields will be returned with the various types of canned, simple and advanced searches available to the researchers Adhere to ADA requirements for web accessibility

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Ref #

Recommendation

Function/Feature

F.4 F.5 F.6 F.7 F.8 F.9 F.10 F.11 F.12 F.13 F.14 F.15 F.16 F.17 F.18 F.19 F.20

Highly Desirable Highly Desirable Highly Desirable Highly Desirable Necesarry Core Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Necessary Highly Desirable Highly Desirable Highly Desirable

Provide a thumbnail of the digital components of the record along with all allowable XML data concerning the record when a researcher selects a specific record to view. Maintain a full keyword index of all the metadata fields and text-based components stored in the repository for fast, efficient searching Allow for both simple, broad based searches and focused, advanced searches on parameters established by the repository archivist Allow the repository archivist to create searches with specified values and save those searches for global use (‘canned searches’) Utilize a webpage master template with drop down navigation bars controlled by a style sheet(s) Protect against SQL injection on all search field through validation of user response fields prior to execution of searches Notify the researcher if zero results meet the criteria and provide a means of backtracking to revise the search criteria Provide the ability to use soundex for name searches (WADA) Provide a breadcrumb trail for researchers navigating on the website (WADA) Have all the content, buttons, navigations user selectable for either English or Hawaiian Support ‘live chat’ capabilities with a reference archivist during normal business hours Contain a site map of the webpage to assist in researchers’ navigation of the site Maintain a list of common terms used within the project and classify them by domain field Contain a FAQ and/or a help button to provide direction, instruction, and tutorials on how to use the repository Allow researchers the ability to search for null or undefined fields (DoD C2.2.6.8.6) Allow the researcher to specify partial matches and designation of “wild card” fields or characters. (DoD C2.2.6.8.3) Allow searches using Boolean and relational equators: “and”, “and not”, “or”, “greater than” (>), “less than” (<), “equal to” (=), and “not equal to” (<>), and provide a mechanism to override the default order of preference. (DoD C2.2.6.8.4) Provide a citation block for all records that varies according to the indication and type of use restrictions Support casual browsing for content through the use of finding aids or other narrative high-level descriptions

F.21 F.22

Highly Desirable Highly Desirable

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G. Management Tools Tools must be provided to the repository archivist that will allow for effective management of the repository; therefore, the system will:

Ref #

Recommendation

Function/Feature

G.1 G.2 G.3 G.4 G.5 G.6 G.7 G.8 G.9

Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable

Keep a parent child relationship tree for office -- organization reporting structure/administrative history Audit the usage of individual records, accessions or any other chosen aggregation of records (such as by department, year, record series, etc.) specified by the repository archivist Allow for ad-hoc reporting on any combination of audit logs or database fields specified by repository archivist (WADA) Indicate for each record in the system, what disposition authority applies, the issuing organization, policy number, version, date of issue/effective, etc. (UPitt II.D.3) Have the ability to attach images (or as the case may be copies of digital versions) of signed MOU/Submission agreements at the agency or accession level (OAIS 2.1.4) Maintain copies and versions of any data-crosswalks developed as part of the MOU/Ingestion process within the repository Provide the repository archivist with a dashboard that displays real-time status of the various modules used within the repository Provide a secure login page for producer access that allows records transfers, contact updates, department access to restricted records, etc. Maintain a list of each file type, the version, the modality (text, numeric, image, sound, video), the encoding scheme (ASCII, Unicode, etc.), and compression method within the system and the software required to view it along with an indicator to the location within the repository that a copy of the rendering software is stored Provide an API to agencies to integrate the transfer of records from agency systems to Digital Archives (AuERMSspec A.2.20) Allow records to be assigned to more than one disposition schedule (AuERMSspec A.2.37)

G.10 G.11

Highly Desirable Highly Desirable

H. Metadata Creation and Handling Long-term preservation of trustworthy records requires both descriptive and preservation metadata to be indelibly linked to the record; therefore, the system will:

Ref #

Recommendation

Function/Feature

H.1 H.2 H.3 H.4 H.5

Necessary Highly Desirable Necessary Necessary Core

Have a flexible metadata assignment schema that can be modified by the repository archivist Will track changes made to the metadata schemas in a change log Identify the IP Address and domain from which the record originated with sufficient specificity to identify the organization responsible (UPitt I.A.2) Uniquely identify the transfer of records with date, time and necessary sequence identifiers (UPitt I.A.3) Assign a unique computer-generated record identifier for each record and component of the record (DoD C2.2.3.5)

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Ref #

Recommendation

Function/Feature

H.6 H.7 H.8 H.9

Highly Desirable Highly Desirable Highly Desirable Highly Desirable

Not permit modification of the metadata fields indicated as not editable (DoD 2.2.3.8) Track all the metadata standards and version used within the repository and provide a unique identifier to the specific version of the standard indelibly attached to the record Associate terms used to describe or index the record by the producer with any the normalized fields created in the repository (UPitt I.B.2) Capture, populate, and/or provide the producer with the capability to populate the metadata elements pertinent to the accession before transferring the records; and ensure that fields designated mandatory are in the proper format before transferring the record (DoD C2.2.3.10) Provide metadata for each component of a record in an accession and their relationship to other components, as well as the accession as a whole (Archival Bond) Indicate on the record if any use restrictions exist (UPitt II.A.2) For each email ingested into the system, capture both the intelligent name and actual email address of sender and recipients (DoD C2.2.4.2) Allow for repository archivist defined metadata fields Allow for metadata fields to be predefined as mandatory Notify producer and repository archivist of any records that do not have the required metadata and move records into holding area Allow for inheritance of metadata fields from parent objects (AuERMSspec A.1.63) Allow system admins to override or amend metadata entered by authorized individuals (AuERMSspec A.1.65) Capture transmission metadata information and associate with accession (AuERMSspec A.2.51) Validate metadata associated with record against approved metadata schema (AuERMSspec A.2.57)

H.10 H.11 H.12 H.13 H.14 H.15 H.16 H.17 H.18 H.19

Core Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable Highly Desirable

I. System Security Records accepted into the custody of the repository must be protected from unauthorized alteration, addition or deletion; therefore, the system will:

Ref #

Recommendation

Function/Feature

I.1 I.2 I.3 I.4 I.5 I.6

Core Highly Desirable Highly Desirable Core Highly Desirable Highly Desirable

Allow only authorized individuals to create, edit and delete components and their identifiers (DoD C2.2.1.1) Restrict individuals allowed to designate the metadata fields that are to be constrained to selection lists (DoD C2.2.1.2) Ensure only authorized individuals are allowed to define and attach business rules and/or access logic to any metadata field including user-defined fields (DoD C2.2.1.5) Provide the capability for only authorized individuals to modify the metadata of stored records; and not allow the editing of metadata fields that have been specifically identified as not editable. (DoD C2.2.3.22) In conjunction with its operating environment, shall not allow audit logs to be edited Support pass-through authentication from an archives maintained directory, for access to system resources, including servers, applications, firewalls, databases, storage devices, etc. (WADA)

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Ref #

Recommendation

Function/Feature

I.7 I.8 I.9 I.10 I.11 I.12

Highly Desirable Core Highly Desirable Core Necessary Core

Allow for individual, unique log-ins rather than departmental IDs (WADA) Allow for system log-in with non-display character passwords (WADA) Allow for system security to be assigned at group levels with varying degrees of system access (WADA) Allow for the system administrator to establish security levels Log all security violations and send immediate alerts to key personnel selected by the repository archivist (WADA) Allow for administrator-defined and maintained application security, including security for application modules and transactions, as well as access levels controls on all applications -- such as read-only, enduser, and system administrator. (WADA) Prevent unauthorized access to the repository Support generic anonymous/read-only account for searching repository from a web-interface (WADA) Provide that following any system failure, the backup and recovery procedures will ensure data integrity by providing the capability to compile updates and provide the capability to rebuild from any backup copy through use of the backup copy and all subsequent system audit trails Maintain an audit history transaction table that will track all additions, modifications and deletion to any records and be unalterable, even by an administrator Log all user log-ins and attempted log-ins Create copies of records and their metadata that can be stored off-line and at separate location(s) to safeguard against loss due to system failure, operator error, natural disaster or willful destruction through export of all metadata pertaining to each record, along with a base64 version of all digital components, into an XML file. (WADA, DoD C2.2.9.2) Any changes to security levels (even those done by an administrator), on records, applications or servers, will automatically generate an email notification to personnel selected by the repository archivist Allow researchers to create personalized logins in order to sign up for specialized notifications when particular, identified types of records have new accessions and to save searches or records of interest Use a system generated PKI infrastructure to verify the identity of the computer transferring records to the repository prior to initiating transfer Provide a workflow for authorization of any access restriction changes made to any record Allow system admin to set parameters for account lockout in event of failed login attempts (AuERMSspec A.3.3) Provide centralized management console for access and security controls for users, records and other entities (AuERMSspec A.3.7) Ensure that all security protocols are inherited from parent to child unless overridden by authorized account (AuERMSspec A.3.33) Ensure that security protocols are pulled from the centralized list prior to each event (AuERMSspec A.3.35) Ensure that the more restrictive security requirement is enforced in the event of overlapping security protocols

I.13 I.14 I.15

Core Necessary Core

I.16 I.17 I.18

Necessary Highly Desirable Necessary

I.19 I.20 I.21 I.22 I.23 I.24 I.25 I.26 I.27

Highly Desirable Highly Desirable Necessary Highly Desirable Highly Desirable Highly Desirable Highly Desirable Core Core

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J. Purging Records from the System Rules, regulations, policies, procedures and legislation change, technological and human error occurs, and the need to keep records of historical, legal and fiscal value is periodically re-appraised necessitating the ability to remove records from the system; therefore, the system will:

Ref #

Recommendation

Function/Feature

J.1 J.2 J.3 J.4 J.5 J.6 J.7 J.8 J.9 J.10

Highly Desirable Core Highly Desirable Highly Desirable Core Highly Desirable Core Core Core Highly Desirable

Identify the governing policy, rule, regulation or law that authorized the purging of the record from the system, and the identity of who performed the authorized Identify the governing policy, rule, regulation or law that authorized the purging of the record from the system, and the identity of who performed the authorized Provide the ability to purge records from the system, while maintaining the metadata that was associated with the record to provide evidence of existence (InterPARES record profile concept) Track the reason why the record was removed from the system Allow only authorized individual to purge records from the system In the event of multiple disposition schedules, ensure that the longest retention is satisfied prior to the disposal of the record In the event of multiple disposition schedules, ensure that the longest retention is satisfied prior to the disposal of the record Updates to disposition schedule must be effective immediately and apply retroactively Dispositions must be calculated in real time and may not be artificially advanced (AuERMSspec A.4.31) System must provide a mechanism and support legal holds to suspend disposition on identified records, accessions, disposition schedules or contributors

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17 APPENDIX C: FUNCTIONAL REQUIREMENTS
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 74

17 APPENDIX D: OVERVIEW OF THE DIGITAL ARCHIVING SOFTWARE OPTIONS COMPARED
ABOUT ALFRESCO
http://www.alfresco.com/ Alfresco is an open source Enterprise Content Management (ECM) system that manages all the he content within an enterprise and provides the services and controls that manage this content. At the core of the Alfresco system is a repository supported by a server that persists content, metadata, associations, and full text indexes. Programming interfaces support multiple languages and protocols upon which developers can create custom applications and solutions. Out-of-the-box applications provide standard solutions such as document management, records management, and web content management. As an entirely Java application, the Alfresco system runs on virtually any system that can run Java Enterprise Edition. At the core is the Spring platform, providing the ability to modularize functionality, such as versioning, security, and rules. Alfresco uses scripting to simplify adding new functionality and developing new programming interfaces. This portion of the architecture is known as web scripts and can be used for both data and presentation services. The lightweight architecture is easy to download, install, and deploy.
• Alfresco applications: Alfresco applications are built on the • Guiding design principles: Alfresco’s founding engineers

designed a product to support modern ECM requirements based on principles that are still in use today.
• Architecture: There are many ways to slice and deploy

Alfresco, however most deployments follow a general pattern. Ultimately, Alfresco is used to implement ECM solutions, such as Document Management (DM), Web Content Management (WCM), Records Management (RM), and Digital Asset Management (DAM). Across those solutions may also be elements of collaboration and search.

ABOUT ARCHIVEMATICA
http://archivematica.org/wiki/index.php?title=Main_Page Archivematica is a comprehensive digital preservation system. Archivematica uses a micro-services design pattern to provide an integrated suite of free and an open-source tool that allows users to process digital objects from ingest to access in compliance with the ISO-OAIS functional model. Users monitor and control the micro-services via a web-based dashboard. Archivematica uses METS, PREMIS, Dublin Core and other best practice metadata standards. Archivematica implements media type preservation plans based on an analysis of the significant characteristics of file formats. Archivematica is free and open source software. The software applications integrated into Archivematica are each released under their own open source license. These are checked for license compatibility before they are integrated into the project. A full list of applications with their respective license is available on the external software tools page. Any new software code created for the Archivematica project is released under a GPL version 2 license. The source code is available at archivematica.googlecode.com. All the system documentation found on this wiki is released under a Creative Commons license. Code contributions, bug reports, wiki documentation updates along with questions and feedback in the chat room and discussion list are strongly encouraged and welcomed. Each Archivematica software release builds on the OAIS use cases and implements a growing set of media type preservation plans. These are based on an analysis of open standards, open source normalization tools, and the significant characteristics of specific media types.

content application server and rely on the server to persist, access, query, and manage content.
• Content applications: Alfresco can be used for building most

ECM applications. Aside from the major applications such as document, image, records, digital asset, and web content management, there are a number of specific applications and use cases that add value to the enterprise.
• Alfresco web tier and Surf: Alfresco provides ECM capabilities

as data services, user interfaces, and user applications. The user interface capabilities are provided by applications and application components using Alfresco’s web tier, Surf, originally developed as a faster way to develop content applications using scripting and REST architecture. Alfresco contributed Surf as a project to the Spring community for use with other Spring web tier components, such as Spring MVC, Spring Webflow, and Grails.
• Alfresco programming models: A number of programming

models are available for building an application using the Alfresco content application server.

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ABOUT DSPACE
http://www.dspace.org/ DSpace is the software of choice for academic, non-profit, and commercial organizations building open digital repositories. It is free, easy to install “out of the box”, and completely customizable to fit the needs of any organization. DSpace preserves and enables easy and open access to all types of digital content including text, images, moving images, mpegs, and data sets. With an ever-growing community of developers, committed to continuously expanding and improving the software, each DSpace installation benefits from the next. DSpace is an out-of-the-box open-source repository software package for creating repositories focused on delivering digital content to end users, and providing a full set of tools for managing and preserving content within the application. DSpace is the most widely used repository software platform, with over 700 installations worldwide representing a growing and active user community. The DSpace application can recognize and manage a large number of file format and mime types. Some of the most common formats currently managed within the DSpace environment are PDF, Word, JPEG, MPEG, TIFF files. It is worth noting that, although out-of-the-box DSpace only auto-recognizes common file formats, files of any format can be managed by DSpace. DSpace also provides a simple file format registry where you can register any unrecognized format, so that it can be identified in the future. DSpace is a set of cooperating Java web applications and utility programs that maintain an asset store and an associated metadata store. The web applications provide interfaces for administration, deposit, ingest, search, and access. The asset store is maintained on a file system, or similar storage system. The metadata, including access and configuration information, is stored in a relational database.

Secure, managed storage The Digital Archive is a specially designed system in a controlled operating environment dedicated to the ongoing managed storage of digital content. OCLC developed specific systems process and procedures for the Digital Archive tuned to the management of data for the long term. Automated monitoring and reports From the time the content arrives, OCLC systems begin inspecting it to ensure that what is sent is what is retrieved in the future. On the day content is ingested to the Digital Archive, OCLC systems perform quality checks and record the results in a “health record” for each file. Automated systems revisit these quality checks periodically generating up to date reports on the health of the collection. OCLC provides monthly updated information for all collections in a personal archive report portal. Simple, straightforward workflows The Digital Archive provides a cost-effective, managed storage environment for digital master files that fits in with the several workflows for acquiring digital content.
• For users of CONTENTdm (either hosted or direct), the

Digital Archive is an optional capability integrated with the various workflows for building collections. Master files are secured for ingest to the Archive using the CONTENTdm Project Client, the Connexion digital import capability and the Web Harvesting service.
• For users of other content management systems, the

Digital Archive provides a low-overhead mechanism for safely storing master files.

ABOUT WASHINGTON STATE DIGITAL ARCHIVES
http://www.digitalarchives.wa.gov/ The Washington State Digital Archives is the nation’s first archives dedicated specifically to the preservation of electronic records from both State and Local agencies that have permanent legal, fiscal or historical value. Located in Cheney, WA on the Eastern Washington University campus, the facility was designed from the ground up to host this technically complex program. The web interface and database storehouse were custom designed specifically for the Digital Archives based on the OAIS model to hold the unique and very important electronic records found throughout the state, and to provide simple, straight forward access to researchers. This research report will describe the OAIS ISO standard and its various components, while interleaving descriptions of how the Digital Archives has taken this model and developed a useable solution using state of the art technology. The OAIS model was written to provide a framework for any archive that has responsibility to preserve information that is

ABOUT OCLC DIGITAL ARCHIVES
http://www.oclc.org/digitalarchive/ The Digital Archive provides a secure storage environment for you to easily manage and monitor the health of your master files and digital originals. It provides a foundation for digital preservation of all your digital collections. It stores master files and digital originals in a secure, managed and separate environment whether digital collections are built using CONTENTdm or another local access repository. The Digital Archive provides tiered pricing to grow as the digital collections grow.

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contained in an electronic form and make it accessible over the long term to a designated community. The model itself does not distinguish between long term records and permanent, archival records; the difference between the two in technology terms in indistinguishable when viewed over a 40 year time frame, considering technology changes dramatically (generationally) every two to four years. So this model sets forth the archival requirements for preservation, common terminology and concepts that both IT and archivists need to share, and establishes the requirements of the system to be flexible and adaptive as technology changes over time. Based on the information contained within the MOU, and a data sample representative of the data to be transmitted, the Digital Archives creates an orchestration that takes the given data, normalizes required fields (such as making the date fields consistent across all data) and adds additional metadata based on the agency of origin and record type. Some of this additional metadata can be assumed based on the point of origin. County Auditors send their entire Recorded Database and no other records, therefore, the records series is known and the contents of the data submission can be inferred. In addition, the security and sFTP information is also associated with the record, a unique accession number is assigned to the transmission, and date and time of receipt is also permanently associated with the record. By applying additional metadata based on point of origin and record type, Content Information is stored in the record common table in the database – the who, what, where, when, etc. Additional tables in the database contain the original metadata sent with the SIP, a table for the images, another table for finding aids and a finally a table for the security information on what record series and fields are confidential. Data Management in the Digital Archives is done within the same SQLServer database that the records themselves are stored in. This was done to keep ALL the information about a record together; when it came in, when it was processed, how it was process, who has accessed the record, how many times it has been ordered, etc. The intention was to create one indelible

record about the record. Contained within the database are tables for security, user accounts, orders, and search tracking. These tables are not part of the original SIP, nor are they part of the AIP as it is stored in the database, rather these tables function as Package Descriptors and Content Information about the record, as well as being able to fulfill event based orders. The security table tracks the access restrictions on any record brought into the system, and can restrict records at the record series, record column or individual record. This granularity was necessary based on the broad base of records to be accessioned into the system: all adoption records are sealed for 75 years, DD214 discharge papers cannot have the images or SSN displayed, and a judge may seal an individual case to protect a person’s rights. In addition to being able to manage access to the data, the database can also permit access to any of the above records assuming they are a registered user from the originating agency. In order to serve its secondary purpose of providing business resumption capabilities to remote agencies, the Digital Archives has to permit unrestricted access to authenticated users from the originating agency, including access to publicly restricted information. Orders within the system are tracked from the point of creation by the consumer all the way through fulfillment by the producer. At any point, a producing agency can create an ad hoc report for all outstanding orders to be fulfilled. As orders are fulfilled, the system generates order fulfillment notices that are sent to the project team, producer and the consumer. Along with order tracking, the Data Management database also tracks how searches are being conducted by the consumer: which search interface they are using, which record series they are searching on, what words they are using and which images are they viewing. The combination of order tracking and search tracking allow the Digital Archives development team to devote resources to improving access to those records that are most used.

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18 APPENDIX E: RECOMMENDED DISASTER RECOVERY MANUAL ELEMENTS
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 78

18 APPENDIX E: RECOMMENDED DISASTER RECOVERY MANUAL ELEMENTS
SECTION 1: EMERGENCY PROCEDURES AND CONTACT INFORMATION
Staff Fire Call List:
• Organization (Org) Chart (Chain of Command) w/ contact

CONFIGURATION OF EQUIPMENT AND NETWORK
• Network IP Address & Server Names • Server Build-Out Worksheets (one per server) • Public DNS Entries - spread sheet (ex: www.digitalarchives.

information for agency execs
• Emergency contact information for staff during off duty hours

or.gov = 65.12.234.99)
• Network Firewall

Procedures and Guides for handling different types of emergencies:
• Natural Disaster

– Show Run Config (configuration settings) – Shun list
• Ethernet Switches

• Power Disruptions

– Show Run Config
• Extreme Weather Conditions

– Excel - showing switch ports in color by vlan memberships
• Building Issues • Fiber Channel Switches - Show Run • Water Leaks • Directory Service Accounts • HV AC monitoring, alerting, servicing, and failures

– System/Service Accounts
• Physical Security (i.e. Doors, Locks, Windows)

– User Accounts
• Security Events • Physical Intrusion • Network Intrusion • Hostile People • Media Events (i.e. Reporters)

– Security Groups & members & purpose of group – Utility e-mail accounts & purpose and where used – Mail Distribution Groups – Group Policies
• Storage Documentation

SECTION 2: DOCUMENTATION DIAGRAMS OF NETWORK
• Network Architecture • Racks Drawing • Physical • Logical • Server Room Layout - Fiber and Power Path • ISP Connection

– Install Notes, Names, Revisions, contact, Host Collection, Storage Serial #, HA Serial #, Host Agent Software, Array Agent Software, LUN Layout, Service Tags. – Storage Processors- configuration
• Hardware Load Balancers - Show Run Config

SECTION 3: BACKUPS
• Clone Images

– Policies (Freq. - Once per quarter & before a major system change or rollout)
• Data Backup Software Information

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Policies (Freq. Daily Incrementals, Weekly Fulls, Retention Schedule, location of tapes)
• RAW Data: 2 tape copies of RAW Data

– Special Drivers (i.e. HBA, SCSI drivers, SAN masking software) – Archives Software – Database – Service Packs – Virus scanning software – All backup software – Any other Application Software used in the system
• Purchase Orders

– Raw data is original copies of data received from agencies. – Off site & on site copy – Fill uncompressed - do not span tapes. – Reasoning: Do not span tapes - due to the Average Mean Time Between Failure factor. For example: If hypothetically the tape has an AMTBF of 500 hours. Some tapes will last longer than that and some will fail before that time - the “weakest” tape would cause the whole series set of 5 spanned tapes to fail. – RAW Data printed copies: Print screens of folder directory showing: – Agency, Record Types, Year, Month, Day of transfer – Purpose: To help quickly identify which tape set has necessary records in the event we need to access the records in the future and do a restore from tape.
• XML Storage: 2 tape copies of XML Deep Storage

– Printed Copies – Electronic Copies
• Licenses

– Printed Copies – Electronic copies of the licenses
• Software Activation Keys

– Printed Copies – Electronic copy - (A LicenseKey.txt file with software activation keys locating in each folder of software)

– Off site & on site copy – XML is an “open standards” (ASCII text file). Put a copy of each RAW metadata record into self describing XML file and include the digital object using the base 64 encoding scheme. – Purpose: To help keep the records in a “long term” “open format” state so that, if needed, the system could be rebuilt using the XML files.
• System Backup

SECTION 5: MANUALS
• Printed copies and electronic versions on backup tape of: • Documentation:

– User Manuals – Installation Guides – Off site & on site copy – Performance and Specification Guides – Full Backups – Security and Best Practices Guides – System Recovery Disk – Disaster Recovery Guide – System State
• Equipment Documentation for: • DataBase Backups

– UPS system – Policies (Freq. of backups, retention schedules) – Backup Generator

SECTION 4: SOFTWARE
• DataBase Backups

– Building Electrical and Data Wiring Diagram & Blue Prints – Ethernet Switches – Fiber Channel Switches – Firewall – Servers – Storage Network

– A Printed copy of a listing of all software used in the system – ‘Archival Quality’ DVD copies of installation software CDs & DVDs for: – Operating Systems

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– Tape Library – VOIP system – Fiber Channel Switches – Security Cameras – Security System – Card Access System

– Ethernet Switches – Fiber Channel Switches – Firewall – Servers – Storage Area Network – Tape Library – VOIP system – Security Cameras – Security System – Card Access System
• Add-on Items: (Manufacture Warranties)

SECTION 6: SERVICE CONTRACTS, MAINTENANCE AGREEMENTS, AND WARRANTY INFORMATION
• Purchase Orders

– Printed Copies – Electronic Copies
• Vendor:

– Hard Drives – RAM – USB Pen Drives – Etc.
• Historical Maintenance Log

– Contract Information – Scope of coverage (i.e. on-site, phone, 4hour, next day, parts only, labor) – Serial numbers – Expiration Dates – Support Phone Numbers – Support Site Login (i.e. URL, login name and password)
• Systems:

– Summary of maintenance performed – Failures – Upgrades – Bios/Firmware upgrades – Unexplained Quirks and Observations

– UPS system – Backup Generator

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ATTACHMENT B STATE OF HAWAII DRAFT RECORDKEEPING METADATA TEMPLATE
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 1

TABLE OF CONTENTS
A. EXECUTIVE SUMMARY .............................................................................................................................................................................5 B. INTRODUCTION ..........................................................................................................................................................................................5 B.1 HAWAI`I CONTEXT FOR RECORDKEEPING METADATA ...........................................................................................................5 B.2 PURPOSE OF STANDARD .................................................................................................................................................................5 B.3 AUDIENCE ............................................................................................................................................................................................5 B.4 APPLICABILITY ...................................................................................................................................................................................5 B.5 GENERAL INTRODUCTION TO STANDARD..................................................................................................................................6 C. ACKNOWLEDGMENTS ..............................................................................................................................................................................6 D. REFERENCES................................................................................................................................................................................................6 D.1 SOURCES FOR RELATED INFORMATION ON RECORDS MANAGEMENT ............................................................................6 D.2 SOURCES FOR INFORMATION ON OTHER METADATA STANDARDS...................................................................................6 E. PUBLIC POLICY: APPLICABLE HAWAI`I LAWS ....................................................................................................................................6 E.1 DISPOSITION OF GOVERNMENT RECORDS ................................................................................................................................6 E.2 ACCESS TO GOVERNMENT RECORDS ..........................................................................................................................................7 E.3 UNIFORM ELECTRONIC TRANSACTIONS ACT............................................................................................................................7 F. DEFINITIONS G. STANDARD REQUIREMENTS G.1 EXPLANATION OF METADATA ELEMENT/SUB-ELEMENT STRUCTURE ..............................................................................8 G.2 ELEMENTS ...........................................................................................................................................................................................8 G.3 SUB-ELEMENTS .................................................................................................................................................................................8 H. SUMMARY LIST OF METADATA ELEMENTS I. DETAILS OF INDIVIDUAL METADATA ELEMENTS 1. AGENT........... .........................................................................................................................................................................................10 1.1 ENTITY NAME..........................................................................................................................................................................10 1.2 PERSONAL NAME ..................................................................................................................................................................11 2. RIGHTS MANAGEMENT....................................................................................................................................................................11 2.1 ACCESS RESTRICTION ..........................................................................................................................................................12 2.2 SUSPENSION ORDERS ..........................................................................................................................................................12 2.3 ENCRYPTION DETAILS ..........................................................................................................................................................12 RIGHTS MANAGEMENT EXAMPLES .......................................................................................................................................13 3. TITLE.............. .........................................................................................................................................................................................13 4. SUBJECT 20 ..........................................................................................................................................................................................13 5. DESCRIPTION.......................................................................................................................................................................................14 DESCRIPTION EXAMPLES ..........................................................................................................................................................14 6. RELATION.............. ................................................................................................................................................................................15 6.1 AGGREGATION LEVEL ............................................................................................................................................................15 6.2 RELATED ITEM ID....................................................................................................................................................................16 6.3 RELATION TYPE .......................................................................................................................................................................17

2 | Table Of Contents

6.4 RELATION DESCRIPTION ......................................................................................................................................................17 RELATION EXAMPLES .................................................................................................................................................................18 7. DATE.................... ...................................................................................................................................................................................18 8. FORMAT.......... .......................................................................................................................................................................................19 8.1 CONTENT MEDIUM ................................................................................................................................................................20 8.2 DATE FORMAT .........................................................................................................................................................................20 8.3 STORAGE MEDIUM ................................................................................................................................................................22 8.4 SOFTWARE AND VERSION...................................................................................................................................................23 8.5 EXTENT ......................................................................................................................................................................................23 FORMAT EXAMPLES ....................................................................................................................................................................23 9. RECORD IDENTIFIERS ........................................................................................................................................................................24 9.1 RECORD NUMBER ..................................................................................................................................................................24 9.2 OTHER DOCUMENT NUMBERS ..........................................................................................................................................25 RECORD IDENTIFIER EXAMPLE ..........................................................................................................................................25 10. MANAGEMENT HISTORY ...............................................................................................................................................................26 10.1 EVENT DATE/TIME ................................................................................................................................................................26 10.2 EVENT TYPE ...........................................................................................................................................................................27 10.3 EVENT DESCRIPTION...........................................................................................................................................................28 MANAGEMENT HISTORY EXAMPLES.....................................................................................................................................29 11. USE HISTORY .....................................................................................................................................................................................30 11.1 USER IDENTIFICATION ........................................................................................................................................................31 11.2 USE DATE/TIME.....................................................................................................................................................................31 11.3 USE TYPE ................................................................................................................................................................................32 11.4 USE DESCRIPTION ..............................................................................................................................................................32 USE HISTORY EXAMPLES...........................................................................................................................................................33 12. LOCATION ...........................................................................................................................................................................................33 LOCATION EXAMPLES .................................................................................................................................................................33 13. DISPOSAL ...........................................................................................................................................................................................34 13.1 RETENTION SCHEDULE .......................................................................................................................................................35 13.2 RETENTION PERIOD .............................................................................................................................................................35 13.3 DISPOSAL ACTION ...............................................................................................................................................................36 13.4 DISPOSAL DUE DATE ...........................................................................................................................................................37 DISPOSAL EXAMPLES .................................................................................................................................................................38 J. APPENDICES ..............................................................................................................................................................................................39 J.1 TABLE OF ELEMENT INTER-RELATIONSHIPS............................................................................................................................39 J.2 ELEMENT MAPPINGS TO DCMES AND MGMG .......................................................................................................................39 J.3 FULL RECORD EXAMPLE .................................................................................................................................................................40 J.4 IMPLEMENTATION MODELS .........................................................................................................................................................42 J.5 REVISIONS TO STANDARD ............................................................................................................................................................42 J.5.1 VERSION HISTORY ..............................................................................................................................................................42

Table Of Contents 3

A . EXECUTIVE SUMMARY
INTRODUCTION
The Hawai`i Recordkeeping Metadata Standard was developed to facilitate records management by Hawai`i government entities at any level of government. It was developed from the (Minnesota Recordkeeping Metadata Standard, IRM Standard 20, Version 1.2) and shares many of its elements with other metadata standards, such as the Dublin Core. This standard takes a pragmatic approach that balances the need to address such issues as access restrictions, data practices, and records retention and disposition, while limiting the number of required fields to allow for easy implementation. In striking this balance, the standard enables the practical implementation of statutory mandates for records management. As well, use of the standard brings many other benefits such as:
• Facilitation of data sharing where authorized, • Enhanced efficiency with respect to location, evaluation,

multiple copies exist, determine whether a record has been modified since its creation, determine who should have access to a record, and carry out the proper disposition of a record (e.g., archive, destroy) at the end of its retention period. Recordkeeping requirements and associated metadata are best designed into a system as part of its core functionality, not as a tacked-on afterthought.

B.2

PURPOSE OF STANDARD

Standardized recordkeeping metadata offers several benefits, including facilitating:
• The practical implementation of statutory records

management mandates;
• Proper access to records with respect to the requirements of

the Uniform Information Practices Act (Chapter 92F, Hawai`i Revised Statutes) and other access restrictions;
• Authorized data sharing within and across agencies; • Preservation of records within their retention period; • Efficient and timely disposition of records past their

and retrieval of records, and
• Guidance for consultants, vendors, and system designers.

The standard is comprised of thirteen optional elements.

retention period;
• Auditing of government activities; • Location and retrieval of records for agency use and

B.1 HAWAI`I CONTEXT FOR RECORDKEEPING METADATA
Records management is a statutory obligation of every government entity in Hawai’i. Government records must be created, preserved, retained, and disposed of as required by law. Records have a distinct legal and administrative status. This may not be true of all information and documents in an information system. Therefore, records must be managed as important resources with special requirements that may be distinct from other information resources. One tool to aid in the proper management of records is metadata. Metadata is often defined as “data about data.” To elaborate, it is descriptive information that facilitates management of, and access to, other information. A traditional example of metadata would be the bibliographic information found in card catalogs. Recordkeeping metadata facilitates such records management actions as discovery, preservation, and disposition. While optimum metadata for any particular record set may vary, such information often includes items like the name of the record creator, date and time of creation, record identifier, key words, location, and disposal information. It can also give reference to applicable policies and laws. Without adequate metadata, a number of records management problems can arise, particularly with respect to electronic records. To list a few examples, it may be difficult to: locate and evaluate records, pinpoint the official record when

public access;
• Evaluation and use of records with respect to legal

admissibility and evidence;
• Cost reduction through elimination of redundancy and

unnecessary storage; and
• Standardized guidance for system developers,

consultants, and vendors.

B.2

AUDIENCE

This standard is intended for information resource management executives and staff, records managers, librarians, and data practices compliance officials.

B.4

APPLICABILITY

This standard is applicable to electronic recordkeeping systems or hybrid records management systems encompassing records in multiple formats such as paper and electronic. It accommodates both public records and records with restricted access. The standard is designed to be used by any Hawai’i government entity at any level of government.

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B.5 GENERAL INTRODUCTION TO STANDARD
The Hawai`i Recordkeeping Metadata Standard is designed to be flexible, meaning that it can be used in a variety of implementation settings, including hybrid systems where records exist in multiple formats (e.g., electronic and paper) and environments where specialized commercial software is employed for records management, document management, and/or content management purposes. It does not prescribe rules for the order in which agencies should apply metadata elements to records either from a system or workflow perspective; these are decisions that should be guided by agencies’ business rules. It is likely that metadata will accumulate over time for any particular record or record series, with many elements being automatically captured or input at the time of creation and others being added over time as appropriate. Many of the elements and sub-elements defined in the standard can be applied to a record more than once to allow for adequate description. Extensibility is another feature of the standard. Several of the metadata elements and sub-elements allow agencies to extend the given value lists to accommodate their own unique business needs and environments. Additionally, agencies may add new elements or sub-elements as needed. If agencies anticipate the routine sharing of metadata with others, they may wish to coordinate such extensions with their partners. Several elements of the Hawai`i Recordkeeping Metadata Standard have counterparts in other metadata standards used by the government entities of other states, particularly the Dublin Core Metadata Element Set (used to describe electronic information resources) and the Minnesota Recordkeeping Metadata Standard. The relationship between these standards is summarized in table form in Section J, Appendix J.2 (Table of Element Mappings to the Dublin Core Metadata Element Set and the Minnesota Recordkeeping Metadata Standard). It should be noted that in many cases, agencies using other metadata standards will have mechanisms already in place for capturing many of the required recordkeeping metadata elements.

Several Hawai`i government entities participated in the development of this standard, which was coordinated by the Hawai`i State Department of Accounting and General Services (DAGS), Archives Division. Participating on the standard development committee were representatives of: the DAGS Archives Division and Information and Communication Services Division (ICSD); the University of Hawai`i at Manoa, and the City and County of Honolulu.

D.1 SOURCES FOR RELATED INFORMATION ON RECORDS MANAGEMENT
Minnesota Recordkeeping Metadata Standard; IRM Standard 20, Version 1.2.

D.2 SOURCES FOR INFORMATION ON OTHER METADATA STANDARDS E.1 DISPOSITION OF GOVERNMENT RECORDS
§94-3, HRS, Disposal of government records generally: This statute authorizes the State Comptroller to determine the disposition of records of State agencies, except the Judiciary and the Legislative branch of government. If requested, the Comptroller shall provide assistance to the Legislative branch in establishing policies relating to the disposal of government records. §602-5.5, HRS, Judiciary records: This statute authorizes the Supreme Court to “determine whether, and the extent to which, the judiciary, will create, accept, retain, or store in electronic form any case, fiscal, and administrative records and convert written case, fiscal, and administrative records to electronic records,” and “determine the care, custody, and disposition of all judiciary case, fiscal, and administrative records.” §46-43, HRS, County records. (a) Notwithstanding the provisions of any other law to the contrary, the county legislative body shall determine whether, and the extent to which, the county shall create, accept, retain, or store in electronic form any records and convert records to electronic form. (b) The director of finance of each county, with the approval of the legislative body and the legal advisor of the county, may authorize the destruction by burning, machine shredding, chemical disintegration, or other acceptable method of disposal of: (1) All warrants of the county that have been paid and that bear any date ten years prior to the date of destruction; and

The State of Hawai`i Recordkeeping Metadata Standard is based upon the State of Minnesota Recordkeeping Metadata Standard: IRM Standard 20, Version 1.2. The Minnesota Recordkeeping Metadata Standard is directly based upon the one developed by the National Archives of Australia (NAA), the Recordkeeping Metadata Standard for Commonwealth Nations, version 1.0, May 1999 (available through http://www.naa.gov.au). The standard development committee is grateful to the NAA for the permission to revise and adopt that publication, and for the valuable advice and comments offered by that organization’s staff.

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(2) All bonds and interest coupons of the county that have been canceled or paid and that bear any date two years prior to the date of destruction. (c) The director of finance, with the approval of the county legislative body and the county’s legal advisor, shall determine the care, custody, and disposition of other county records and may destroy all vouchers, documents, and other records or papers, exclusive of records required either by law or by the legislative body of the county to be permanently retained, that have been on file or retained for a minimum period to be determined by the legislative body of the county by resolution. §92-29, HRS, Reproduction of government records. Any public officer having the care and custody of any record, paper, or document may cause the same to be photographed, microphotographed, reproduced on film, or copied to an electronic format. Any device or electronic storage system used to copy or reproduce the record, paper, or document shall accurately reflect the information in the original thereof in all details. §92-30, HRS, Copy deemed original record. A photograph, microphotograph, reproduction on film, or electronic copy of a government record shall be deemed to be an original record for all purposes, including introduction in evidence in all courts or administrative agencies. A transcript, exemplification, facsimile, or certified copy thereof, for all purposes recited in this section, shall be deemed to be a transcript, exemplification, facsimile, or certified copy of the original record. §92-31, HRS, Disposition of original record. A photograph, microphotograph, reproduction on film, or electronic form of a government record shall be placed in conveniently accessible files and provisions made for preserving, examining, and using the same. Thereafter, a public officer, after having first received the written approval of the comptroller as provided in section 94-3, may cause such record, paper, or document to be destroyed. The comptroller may require, as a prerequisite to the granting of such approval, that a reproduction or print of such photograph, microphotograph, or reproduction on film, or electronic form of the record be delivered into the custody of the public archives for safekeeping. The comptroller may also require the delivery into the custody of another governmental department or agency or a research library of any such record, paper, or document proposed to be destroyed under provisions of this section.

E.3

UNIFORM ELECTRONIC TRANSACTIONS ACT

Chapter 489E, HRS, Uniform Electronic Transaction Act: This chapter, with exceptions, applies to electronic records and electronic signatures relating to a transaction. A transaction is “an action or set of actions occurring between two or more persons relating to the conduct of business, commercial, or governmental affairs.” Agency: Any government entity at any level of government. Authentication: The process of identifying an individual, of verifying that the individual is who he or she claims to be. Encryption: The translation of a record into a secret code. Electronic Record: “A record created, generated, sent, communicated, received or stored by electronic means.” (Uniform Electronics Transaction Act, §489E-2, HRS) Enterprise Technical Architecture: A logically consistent set of principles, practices, standards, and guidelines that are derived from business requirements and that guide the engineering of an organization’s information systems and technical infrastructure Government Record: “Information maintained by an agency in written, auditory, visual, electronic, or other physical form.” (Uniform Information Practices Act, §92F-3, HRS) Information: Data, text, images, sounds, codes, computer programs, software, databases, or the like. Metadata: Data about data. Information that is used to facilitate intellectual control of, and structured access to, other information. Non-Record: Data and information that does not become part of an official transaction, library and museum material made or acquired and kept solely for reference or exhibit purposes, extra copies of documents kept only for convenience of reference and stock of publications and processed documents. Personal Record: “Any item, collection, or grouping of information about an individual that is maintained by any agency. It includes, but is not limited to, the individual’s education, financial, medical, or employment history, or items that contain or make reference to the individual’s name, identifying particular assigned to the individual, such as a finger or voice print or a photograph.” (Uniform Information Practices Act, §92F-3, HRS) Record: All cards, correspondence, discs, maps, memoranda, microfilms, papers, photographs, recordings, reports, tapes, writings and other data, information or documentary material, regardless of physical form or characteristics, storage media or conditions of use, made or received by an officer or agency of the state and an officer or agency of a county, city, town, school district, municipal subdivision or corporation or other public

E.2

ACCESS TO GOVERNMENT RECORDS

Chapter 92F, HRS, Uniform Information Practices Act (Modified): This chapter concerns access to government records, including “personal records” maintained by a government agency. The Office of Information Practices administers this chapter as authorized under §92F-41, HRS, Office of information practices; established and §92F-42, Powers and duties of the office of information practices.

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authority or political entity within the state pursuant to state law or in connection with the transaction of public business by an officer or agency. Record Series: Records arranged according to a filing system or kept together because they relate to a particular subject or function or result from the same activity. Recordkeeping: The act or process of creating, maintaining, and disposing of records. See also “Records Management.” Records Management: The planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance, use, and disposition of records. See also “Recordkeeping.” Records Retention Schedule: A plan for the management of records listing types of records and how long they should be kept, the purpose of which is to provide continuing authority to dispose of or transfer records to the State Archives or equivalent agency. Registration: The record is formally captured by or created in the recordkeeping system. System-Assigned: A process in which the system, following business rules, automatically enters a value for a particular element/sub-element. Transaction: An action or set of actions occurring between two or more persons relating to the conduct of business, commercial, or governmental affairs (Uniform Electronics Transaction Act §489E-2, HRS, Definitions). URI: Uniform Resource Identifier, the generic name for all types of names and addresses that refer to resources on the World Wide Web, including Uniform Resources Locators (URLs) and Uniform Resource Names (URNs). See http://www.w3.org/Addressing

sub-elements is used to denote desirable, but not mandatory states, conditions, or objectives.

G.2

ELEMENTS

Each recordkeeping metadata element is described in Section I using the following structure: Definition: Describes the information that is captured in the element. Purpose: Indicates what will be achieved by using the element. Rationale: Gives reasons for the use of the element. Obligation: Agencies are not required to implement optional elements unless they have business reasons for doing so. Applicability: Indicates the level(s) of aggregation of record description at which the element is applicable. Use Conditions: Denotes any conditions that must be in place prior to using the element, including reliance on defined values for other elements or sub-elements, and any effects that use of the element will have on the values of other elements or sub-elements. Repeatable: Denotes whether or not the element may be used more than once in describing the same record or record series. Sub-elements: Lists any sub-elements that are applicable to the element and indicates each sub-element’s obligations for implementation and any schemes (standards or methods) that may be used to encode that sub-element. In cases where an element has no sub-elements, appropriate schemes are indicated at the element level. Comments: Provides additional information to aid in the understanding of the purpose and use of the element.

G.1 EXPLANATION OF METADATA ELEMENT/SUB-ELEMENT STRUCTURE
The Hawai`i Recordkeeping Metadata Standard consists of thirteen optional elements. In addition, many of these elements contain a number of sub-elements. There are a total of twentyeight sub-elements. Many elements and sub-elements are inter-related, and the assignment of a value to any given one may require the simultaneous assignment of a value to another. Section J, Appendix J.1 (Table of Element Inter-Relationships) offers a high-level summary of these relationships to help guide decisions on which elements to implement. All elements and sub-elements are designated as optional to provide flexibility to use only those that best-suit each agency. The word “should” in technical descriptions of elements and

G.3

SUB-ELEMENTS

Each recordkeeping metadata sub-element is described in Section I using the following structure: Definition: Provides a short description of the information that should be captured in the sub-element. Purpose: Provides short statements of what will be achieved by using the sub-element. Sometimes also includes the rationale for its use. Obligation: All sub-elements are optional (i.e., use can be decided by individual agencies based on their specific business requirements). Use Conditions: Denotes any conditions that must be in place prior to using the sub-element, including reliance on defined values for other elements or sub-elements, and any effects that

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use of the sub-element will have on the values of other elements or sub-elements. Assigned Values: Lists and defines any values which can be used for the sub-element (some assigned values are undefined because they are self-explanatory). In many cases the lists are extensible, and new values may be added by agencies to meet specific business requirements. Not all sub-elements have assigned values. Default Value: Provides a pre-selected value for the subelement. A value will remain as the default unless changed by an individual or the system in response to other requirements. In cases where no default value is listed, agencies may select their own value. Repeatable: Denotes whether or not a particular sub-element may be used more than once in describing the same record at a single point in time. Assigned By: Denotes whether the value of the sub-element is assigned automatically (system-assigned), or whether it is assigned by an individual, either by selecting the value from a pick-list or by entering the value manually. Schemes: Indicates any defined standards or methods that may be used to encode the sub-element.

6. SUBJECT 6.1 Aggregation Level 6.2 Related Item ID 6.3 Relation Type 6.4 Relation Description 7. DATE 8. FORMAT 8.1 Content Medium 8.2 Date Format 8.3 Storage Medium 8.4 Software and Version 8.5 Extent 9. RECORD IDENTIFIER 9.1 Record Number 9.2 Other Document Numbers 10. MANAGEMENT HISTORY

Comments: Provides additional information to aid in the understanding of the purpose and use of the sub-element.

10.1 Event Date/Time 10.2 Event Type 10.3 Event Description

The following lists each element with all of its sub-elements, and displays the obligation for implementing each one. Full descriptions of each element and its corresponding subelements are available in Section I. 1. AGENT 1.1 Entity Name 1.2 Personal Name 2. RIGHTS MANAGEMENT 2.1 Access Restriction 2.2 Suspension Orders 2.3 Encryption Details 3. TITLE 4. SUBJECT 5. DESCRIPTION

10.4 Party Responsible 11. USE HISTORY 11.1 User Identification 11.2 Use Date/Time 11.3 Use Type 11.4 Use Description 12. LOCATION 13. DISPOSAL 13.1 Retention Schedule 13.2 Retention Period 13.3 Disposal Action 13.4 Disposal Due Date

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1.

AGENT
An agency or organizational unit responsible for some action on or usage of a record. An individual who performs some action on a record, or who uses a record in some way. To ensure accountability for recordkeeping decisions and actions. In conjunction with elements 7. DATE, 10. MANAGEMENT HISTORY and, when used, 11. USE HISTORY, to provide context for the creation, management, and use of records. To act as an access point for users. For example, to enable users to search for all recordkeeping actions performed by particular agents on particular records, or to search for all records that have been accessed by a particular agent. In order to meet regulatory and business requirements and community expectations for recordkeeping, agencies must be able to document corporate and personal responsibilities for actions taken on, and usage made of, records from creation through to disposal. Optional, but strongly recommended Applicable at the record and/or record series level. Use each time an action is performed on a record or a use is made of a record. Use in conjunction with elements 7. DATE, 10. MANAGEMENT HISTORY and, when used, 11. USE HISTORY. This element should be linked to elements 6. RELATION and 9. RECORD IDENTIFIER.

Definition

Purpose

Rationale

Obligation Applicability Use Conditions

Repeatable? Sub-Elements

Yes Name 1.1 Entity Name 1.2 Personal Name Obligation Optional Optional Schemes Agency-defined schemes Agency-defined schemes

Comments

1. 1

ENTITY NAME
The name of the agent’s agency. To identify the agent’s agency which owns and keeps the records and/or which is responsible for actions carried out on the records. To provide contextual information about the creation, management, and use of records. To ensure accountability for recordkeeping actions at the entity level. Optional, but strongly recommended --Yes Entered by recorder Agency-defined schemes It is recommended that this sub-element be used to facilitate the linking of agent details to actions on records recorded in element 10. MANAGEMENT HISTORY and, where used, element 11. USE HISTORY.

Definition Purpose

Obligation Use Conditions Repeatable? Assigned By Schemes Comments

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I. 1.2
Definition Purpose

PERSONAL NAME
The name of an individual who performs some action. To identify the person(s) who carry out actions on records. To enable searches on all actions carried out by a particular person. To provide contextual information about the creation, management, and use of records. To ensure accountability for recordkeeping actions at the operational level. Optional ----The name of the person logged into the recordkeeping system and performing the specific action on the record. Yes The name of the person logged into the recordkeeping system and performing the specific action on the record. Agency-defined schemes Agencies will need to allow for anonymous users and users without an assigned or associated government entity.

Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By Schemes Comments

2

RIGHT’S MANAGEMENT
Definition Purpose Rationale Legislation, policies, and caveats that govern or restrict access to or use of records. To facilitate the proper and appropriate management of records. To alert users to restrictions on access and use of records. Access to and use of records must be managed in accordance with state and federal laws, and business and security policies. Optional, but strongly recommended Applicable at the record and/or record series level. The values contained in the sub-elements reflect the status of access and usage rights for the records as of the action date. The values should be able to be changed by an authorized agent (“authorized agent” shall be agency-defined). When values for access and usage rights are changed, the old values should be stored in element 11. MANAGEMENT HISTORY. This element should also be linked to elements 6.1. AGGREGATION LEVEL, 9. RECORD IDENTIFIER and 13. DISPOSAL. Repeatable? Sub-Elements Yes Name 2.1 Access Restriction 2.2 Suspension Orders 2.3 Encryption Details Comments Obligation Optional Optional Optional Schemes Public/Restricted Cite suspension orders Agency-defined schemes

Obligation Applicability Use Conditions

Should a record’s classification change due to change in legislation or other action, a new metadata record is written noting the new classification. The original metadata record will refer to the new one, and the change will be documented in element 10. MANAGEMENT HISTORY.

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2.1

ACCESS RESTRICTION
Defines the nature of access of a record as “Public” and open to the general public, or “Restricted” and restricted to authorized personnel only. To protect privacy and security concerns while maintaining open access to as much information as possible. To protect privacy and security concerns while maintaining open access to as much information as possible. --Public, Restricted Public No System-assigned. Changes to the default value shall be manually selected from a pick-list by an authorized agent such as the Record Content Author or Record Owner. Cite Hawai`i laws that address access to government records (e.g., Hawai’i Revised Statutes, HRS, Chapter 92F). Chapter 92F, HRS, Uniform Information Practices Act (Modified) is the legal authority on access to government records. The Office of Information Practices, under §92F-41 and §92F-42, administers Chapter 92F, HRS.

Definition

Purpose Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By

Schemes Comments

2.2

ENCRYPTION DETAILS
Information, or pointers to information, about how a record has been encrypted. To enable decryption (and hence, access) if the record is stored in the recordkeeping system in an encrypted state. To enable re-encryption if the record is stored in the recordkeeping system in a decrypted state, but needs to be moved to another system or location. Optional ------No Agency Agency-defined schemes This sub-element could be used either to record the encryption details themselves (if the recordkeeping system is considered sufficiently secure), or to record the location of the encryption details that are stored outside the recordkeeping system. Changes in encryption should be recorded with element 10, sub-elements 10.1 – 10.4.

Definition Purpose

Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By Schemes Comments

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RIGHTS MANAGEMENT EXAMPLES
2.1 Access Restrictions Public (§92F-12, HRS, Disclosure required) Restricted (§92F-13, HRS, Government records; exceptions to general rule) 2.2 2.3 Suspension Orders Encryption Details Judge’s order to seal documents. Document management system encryption scheme

3

TITLE
Definition Purpose The words used to name the record To identify the record by its official title. To enable searching on a title or title words. To describe the functions, activities, and/ or subjects documented in the record. For ease and speed of identification, and to facilitate control, a record must have a title that is representative of its contents. Optional, but strongly recommended Applicable at the record and/or record series level. The element should be linked to elements 6.1. AGGREGATION LEVEL and 9. RECORD IDENTIFIER. No ----In the case of records, manually entered by the Record Content Author. In the case of record series, manually entered by an authorized agent such as a Record Registrar or Records Manager. Free text, agency-defined schemes The element 4. SUBJECT may provide access at the individual keyword or descriptor level.

Rationale Obligation Applicability Use Conditions Repeatable? Sub-Elements Default Value Assigned By

Schemes Comments

4

SUBJECT
Definition Purpose The subject matter or topic of a record. To concisely and accurately describe a record’s content. To act as an access point at a finer level of detail than that provided by the elements 3. TITLE or 5. DESCRIPTION. Some users may require searching capability at individual subject term level in addition to the title. Optional, but strongly recommended Applicable at the record and/or record series level. This element shall be linked to elements 6.1 AGGREGATION LEVEL and 9. RECORD IDENTIFIER. Yes (3 to 5 entries) ----Enterprise Architecture | Appendix G

Rationale Obligation Applicability Use Conditions Repeatable? Sub-Elements Default Value

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Assigned By Schemes

Assigned manually by the Record Content Author or system-assigned Scheme Name Free Text Agency-Defined Definition Uncontrolled terms or natural language, such as keywords. ---

Comments

Users should be able to search for records by subject terms. Further subject terms – as many as are required to adequately describe the topic(s) covered by the content of the record – may be assigned.

5

DESCRIPTION
Definition Purpose Rationale An account, in free text prose, of the content and/or purpose of the record. To provide a concise summarization or abstract. To enable searching based on words and phrases describing the record. Allows for more detail than that provided by the use of a title alone. Provides a means of describing high-level aggregations of records. Optional, but strongly recommended to facilitate searching. Applicable at the record and/or record series level. This element should be linked to elements 6.1 AGGREGATION LEVEL and 9. RECORD IDENTIFIER. Yes --None Agent-assigned, usually by the Record Registrar or the Record Content Author. Free text This element may contain an abstract or summary of a textual record or a textual description of a non-textual record (e.g., an image). It may also contain a table of contents.

Obligation Applicability Use Conditions Repeatable Sub-elements Default Value Assigned By Schemes Comments

DESCRIPTION EXAMPLES
5 Description The Hawai`i Department of Commerce and Consumer Affairs, Business Registration Division’s “Partnership Annual Statements,” identify registered Hawai`i business partnerships. Each statement lists the names and addresses of partners. Image of Department of Administration organizational chart. 1. Introduction 2. History and Contemporary Contexts 3. Definitions 4. Theory 5. Measurement 6. Methodology 7. Findings

5 5

Description Description

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6

RELATION
Definition A link between one record and another, or between various aggregations of records. A link between a record and another information resource. To provide contextual information about the record by documenting its place in the recordkeeping system and its relationships with other records and information resources documenting the same function, activity, or transaction. To act as an access point for records and information resources which are related to each other. Documentation of these relationships enables both proper management and informed use of records over time. Optional, but strongly recommended Applicable at the record and/or record series level. Not to be used for relationships other than those between records or between records and other information resources (e.g., not to be used to describe relationships between agents). It is possible for a record to have no relationship with any other record or with any resource. This element may be used in conjunction with element 10. MANAGEMENT HISTORY. Use of this element will be triggered when the Assigned Value “Related” under sub-element 10.2 Event Type is selected. This element should be linked to element 10. RECORD IDENTIFIER. Repeatable? Sub-elements Yes Name 6.1 Aggregation Level 6.2 Related Item ID 6.3 Relation Type 6.4 Relation Description Comments Obligation Optional Optional Optional Optional Schemes Record, Record Series Filenames, URI, agency-defined schemes Agency-defined schemes Free text

Purpose

Rationale Obligation Applicability Use Conditions

The information captured in this element pertains only to the nature of a particular relation between records, or between records and other information resources. Information relating to the agent responsible for implementing the relation, and the date/time the relation was implemented, may be recorded under element 10. MANAGEMENT HISTORY.

6.1

AGGREGATION LEVEL
Defines the level at which a record(s) is/are being described and controlled. To control the management actions that may be taken on a record. To allow searches to be performed on aggregations of records. Optional, but strongly recommended Should be linked to 9. Record Identifier. Value Name Record Definition All cards, correspondence, discs, maps, memoranda, microfilms, papers, photographs, recordings, reports, tapes, writings and other data, information or documentary material, regardless of physical form or characteristics, storage media or conditions of use, made or received by an officer or agency of the state and an officer or agency of a county, city, town, school district, municipal subdivision or corporation or other public authority or

Definition Purpose

Obligation Use Conditions Assigned Values

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Value Name

Definition political entity within the state pursuant to state law or in connection with the transaction of public business by an officer or agency.

Record Series

Records arranged according to a filing system or kept together because they relate to a particular subject or function or result from the same activity.

Default Value Repeatable? Assigned By Schemes Comments

--No Reorder -----

6.2

RELATED ITEM ID
A unique identifier for the related record or information resource. To act as an access point to the related record or information resource. The identifier is an essential element that uniquely identifies the related record or resource. It also provides the “key” or link to all other (currently accessible) information about the related record or resource Optional, but strongly recommended The identifier shall uniquely identify the related record or resource in the current domain (in the case of a related record managed under the Hawai`i Recordkeeping Metadata Standard, agencies should strongly consider using the officer record identifier as assigned under element 9. RECORD IDENTIFIER). If the related record or resource resides in another recordkeeping system, or outside the agency itself, enough identifying information shall be provided to uniquely identify the item in the domain of the record to which it is related. ----Yes Selected from lists of existing records, record series, or related items, and assigned or manually entered by the authorized agent defining the relationship. Filenames, URI, agency-defined schemes

Definition Purpose

Obligation Use Conditions

Assigned Values Default Value Repeatable? Assigned By

Schemes Comments

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6.3

RELATION TYPE
A category of relationship between records, at the same or different levels of aggregation, or between records and other information resources. To document the nature of the relationships between the two or more items. To provide contextual information about records by documenting other items with which they have logical associations or historical relationships. Optional, but strongly recommended A record may have the same relationship with more than one other record or resource. A record may have more than one relationship with another record or resource. Value Name Contains/Contained in Definition Denotes participation in a level of aggregation. Denotes a record or resource which makes up part of a defined whole. For example, records are contained in a record series. It shall not be possible to use this value to relate an item of a particular security classification to a file of a lower security classification. Denotes that the record is the next or previous part of a sequence – e.g., the next or previous part of file 99/131. Denotes that the content of the record replaces/is replaced by (supersedes/is superseded by) the content of another record. This value may be used to indicate versioning. Denotes that the record refers (e.g., through textual references, URIs, or bibliographic information) to other resources or that other resources refer to this record. Denotes another record or resource from which the record is derived.

Definition

Purpose

Obligation Use Conditions

Assigned Values

Next/Previous

Replaces/Replaced by

References/Is Referenced By

Derived From (source) Default Value Repeatable? Assigned By --Yes

System-assigned. Changes to the default value should be selected by an authorized agent from a pick-list of the assigned values. --Other values may be added by agencies to meet their own requirements for defining relationships between records, and records and other information resources. The Dublin Core Metadata Element Set offers several qualifiers for the relation element that may be considered as well.

Schemes Comments

6.4

RELATION DESCRIPTION
Information about the relationship not explicit or obvious in sub-element 6.3 Relation Type. Further explanatory notes or details about the relationship. To provide additional contextual information about the relationship. It might be necessary to explain the reasoning behind why a particular relationship between particular records/resources was defined. Specific details about the actual instance of the relationship (other than date/time and agent information, which may be recorded under element 10. MANAGEMENT HISTORY) might need to be recorded here. Optional ---

Definition

Purpose

Obligation Use Conditions

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Assigned Values Default Value Repeatable? Assigned By Schemes Comments

----Yes Manually entered by the authorized agent defining the relationship Free text It is strongly recommended that this information be structured in some way, rather than being entered as free text. Use of templates will enable the information to be entered in a structured way, as well as allowing certain pieces of information to be automatically generated by the system rather than manually entered by the agent.

RELATION EXAMPLES
6.1 6.2 6.3 6.4 Aggregation Level Related Item ID Relation Type Relation Description Record Series 1998-7346, 1999-9845, 2000-5872 Next/Previous This record series contains annual meeting minutes for the Hawai`i Y2K Task Force.

6.1 6.2 6.3 6.4

Aggregation Level Related Item ID Relation Type Relation Description

Record http://www.capitol.Hawaii.gov/hrscurrent/vol02_ch0046-0115/hrs0094/hrs_0094-0003.htm References Statute reference within record.

7

DATE
Definition The date and time at which a record or a record series is created by an agency or organizational unit in the course of its business. To provide system validation of such acts as creation and transaction. In combination with other metadata elements to provide evidence of the record’s authenticity. To restrict or facilitate access to records based on their date of creation. --Optional, but strongly recommended Applicable at the record and/or record series level. This element will record the date at which the record was created or transcribed. The dates of editing, replacement or alteration of records will be recorded in element 10. MANAGEMENT HISTORY, sub-element 10.1 Event Date/Time. The dates of the use of the record, when recorded, will be recorded in element 11. USE HISTORY, sub-element 11.2 Use Date/Time. This element should be linked to element 1. AGENT, sub-element 1.1 Entity Name to enable the agency, organizational unit, or individual responsible for the actions to be recorded. For a single record, this sub-element shall contain a single date. For aggregations of records, this sub-element should contain a date range. This element should be linked to elements 6.1. AGGREGATION LEVEL and 9. RECORD IDENTIFIER. Repeatable? No

Purpose

Rationale Obligation Applicability Use Conditions

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Sub-Elements Assigned Values Default Value Assigned By Schemes Comments

----The system date/time at the time of creation Assigned By System-assigned or assigned by authorized agent ISO 8601 standard for date/time encoding The act of creation applies not only to a record, but also to records series. In the case of record series, the value for this subelement will be expressed as a date range. In many cases the date and time of creation may be identical to the date and time registration (see element 10. MANAGEMENT HISTORY, sub-element 10.2 Event Type ). The dates included in this element are fundamental to the description of a record. All other dates which pertain to the management, use, and preservation of records are covered under elements 10. MANAGEMENT HISTORY and 11. USE HISTORY.

8

FORMAT
Definition Purpose The logical form (content medium and data format) and physical form (storage medium and extent) of the record. To serve as a management tool for the control, storage, and preservation of records over time. To provide information, or pointers to information, on the technology required for access to the various kinds of electronic records held by an agency. To act as an access point for recordkeeping professionals and other users. It is essential that information about data formats and storage media be kept so that appropriate preservation and storage strategies are put in place for records of long-term value. Optional, but strongly recommended when there are preservation management issues. Generally applicable at the record level only. Could be applicable at the record series level if all records associated with the series are of the same format. This element is intended to provide information on which preservation strategies will be based. Therefore, only minimal details about format and medium need to be kept for records of short-term temporary value. Such records are unlikely to ever require any kind of preservation action. If used, information in this element needs to be updated whenever a record is migrated from one format to another or moved to a new medium. This element should be linked to elements 6.1. AGGREGATION LEVEL and 9. RECORD IDENTIFIER. Repeatable? Sub-elements No Name 8.1 Content Medium Obligation Optional Schemes IMT (Internet Media Types), generic file format listings, agency-defined schemes IMT (Internet Media Types), ISO standards, agency-defined schemes SO standards, agency-defined schemes Software producer/developer Agency-defined schemes

Rationale

Obligation Applicability

Use Conditions

8.2 Data Format

Optional

8.3 Storage Medium 8.4 Software and Version 8.5 Extent Comments

Optional Optional Optional

The sub-elements should always reflect the record’s current status with regard to format and medium.
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8.1

CONTENT MEDIUM
The generic format of the information comprising the record. To provide general information about the format of the content of the record. To enable searching on all records of a particular generic content format. To facilitate preservation and storage management. For preservation management purposes, to provide a general indication of the kind of preservation action the record will require. To enable movement of records from one medium or location to another based on their generic content format so records of like content format can be stored together. Optional, but strongly recommended Shall be used in conjunction with sub-element 8.2 Data Format to determine precise requirements for rendering the record or to determine specific preservation strategies. Value Name Audio Compound Sound only. A resource comprising one or more other resources which are linked together in some way to form a single object (e.g., HTML documents with embedded graphics or video clips, or e-mail messages with word-processed documents attached). The Content Medium and Data Formats of the individual resources comprising the object may be the same or different. If the Data Formats of the resources comprising the object are the same, then the Assigned Value can also include the generic Media Format (e.g., if the object comprises several linked SGML documents, the Assigned Value could be “Compound (Text)”). A graphical representation of an object (including a textual object). A textual document. Moving images or pictures. Definition

Definition Purpose

Obligation Use Conditions

Assigned Values

Image Text Video Default Value Repeatable? Assigned By Schemes Comments Text No

System-assigned or manually entered by an authorized agent IMT (Internet Media Types), generic file format listings, agency-defined schemes Further assigned values for Content Medium may be added over time as formats evolve.

8.2

DATA FORMAT
The logical format of the data that comprises the record. The (often proprietary) file format of the record, usually denoted by the record’s file extension. To provide specific information on which decisions about the storage, preservation, and rendering of records can be made. To enable searching on records of a particular data format for management or resource discovery purposes. To facilitate preservation and storage management. To enable movement of records from one medium or location to another based on their particular data format, so that records of the same data format can be managed together, migrated at the same time, etc. Optional, but strongly recommended This element may be used in conjunction with sub-element 8.5 Extent to provide full information on the format and size of the record.

Definition

Purpose

Obligation Use Conditions

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Assigned Values

Value Name ASCII text (TXT, ASC) Audio Visual Interleave (AVI) Bitmapped Graphics Format (BMP) Braille Graphics Image File Format (GIF) Hypertext Markup Language (HTML) Joint Photographic Experts Group (JPG, JPEG) Moving Picture Experts Group (MPEG) Multipurpose Internet Mail Extensions (MIME) Portable Document Format (PDF) Real Audio (RA) Rich Text Format (RTF) Tagged Image File Format (TIF, TIFF) Windows Media Audio (WMA) Windows Media Video (WMV) Word Not Applicable Plain text (non-proprietary).

Definition

Microsoft proprietary audiovisual file format. A graphics format. A system of writing for the blind that uses characters made up of raised dots. A proprietary graphics format. A format for marking up and linking text.

A graphics format.

A video format.

A compound format which enables the embedding of documents of various data formats into an email message. Adobe proprietary image format, often used for imaging text. An audio format. ASCII text with formatting commands. A graphics format.

An audio format A video format Microsoft proprietary word processing file format. Use for paper, audiotape, videotape.

Default Value Repeatable? Assigned By Schemes Comments

--Yes, in the case of a compound record System-assigned IMT (Internet Media Types), ISO standards, agency-defined schemes This sub-element has many possible values and may be extended as needed by agencies. The above assigned values are only meant to provide representative samples. Agencies may choose to include version information as part of their Assigned Values for this sub-element. Agencies will need to work with vendors to ensure that the values they require, based on the particular data formats with which they work on a day-to-day basis, are included in their recordkeeping systems. This sub-element is not intended to include detailed technical specifications of the data format. Such information is often available elsewhere and, in situations where the information will be needed (e.g., to make a decision about migration strategies), it is suggested that links be provided from the values in this sub-element to relevant technical descriptions. Technical descriptions should include information about the software required to read the data format and the hardware platform required to run the software. Such descriptions should also specify the types of linking or embedding used in particular kinds of compound or multimedia documents, such as e-mail messages with attachments or web pages containing text, video, sound, and links to other pages.

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8.3

STORAGE MEDIUM
The device on which a record is physically stored. To keep track of how and where a record is stored. To provide information about the capacity or physical size limitations of a storage medium. To enable forward planning for preservation actions such as the refreshing of records from one medium to another. To facilitate the development of effective strategies for the continued storage and preservation of records. To enable the informed selection of a storage medium for large or small numbers of records, records with large file sizes, or records which are frequently accessed. Optional, but strongly recommended While a record should only be stored as the “official” record in one place, it may be copied to another medium for preservation purposes. Value Name Audiotape CD-R DAT Diskette DVD Hard disk JAZ drive Magnetic tape Microfilm Paper USB Drive Videotape WORM ZIP drive Magnetic tape for storing sound. Recordable Compact Disc – an optical storage medium which can be written to only once. Digital Audio Tape – a digital magnetic tape medium. A removable magnetic computer disk with limited storage capacity. Digital Versatile Disk – a CD-ROM format intended to have full read/write capabilities. A fixed computer disk. A removable disk drive. A magnetic medium. A film in roll form (16 or 35mm in width) which is used for storing reduced-size images of text and graphics. A magnetic medium. A removable, portable storage device. Magnetic tape for storing moving pictures and sound. Write Once Read Many – an optical disk drive which, once written to, becomes read-only. A removable, portable disk drive. Definition

Definition Purpose

Obligation Use Conditions

Assigned Values

Default Value Repeatable? Assigned By Schemes Comments

--Yes, in the case of a compound record System-assigned. Changes to the default value should be selected by an authorized agent from a pick-list of assigned values. ISO standards, agency-defined schemes Well-managed storage and preservation operations facilitate the efficient location and retrieval of records and ensure continued access to valuable records over time. This sub-element has many possible values; the above assigned ones are only meant to provide representative samples. Further assigned values for Storage Medium may be added to meet agency requirements, both now and over time as new storage media and new storage media formats emerge.

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8.4

SOFTWARE AND VERSION
The software package name and version needed to create and access the record. To provide information concerning the software needed to access the record. In the case that several different packages or versions can be used to access a record, all should be listed. Optional, strongly recommended for electronic records Pertains to electronic records ----Yes For electronic records, the value should be system-assigned. The recorder should be able to add additional values as warranted. -----

Definition Purpose

Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By

Schemes Comments

8.5

EXTENT
The physical size of the record. To provide information about the size of the record and the amount of storage space (either physical or electronic) that it requires. To enable the informed selection of a storage medium for large or small numbers of records, records with large file sizes, or records which are frequently accessed. Optional If used, this sub-element should be linked to sub-element 9.2 Data Format and updated as necessary whenever records are converted to new formats. ----Yes, if the record is in the Content Medium “Compound”. For electronic records, the value should be system-assigned. The value for hard copy records (on paper, microfilm, etc.) will need to be manually entered or selected from a pick-list of defined values by an authorized agent. Agency-defined schemes. ---

Definition Purpose

Obligation Use Conditions

Assigned Values Default Value Repeatable? Assigned By

Schemes Comments

FORMAT EXAMPLES
8.1 8.2 8.2 8.3 Content Medium Data Format Data Format Storage Medium Compound HTML JPEG Hard disk

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8.1 8.2 8.3 8.4 8.5

Content Medium Data Format Storage Medium Software and Version Extent

Text Word CD-R Microsoft Word 2000 1.26 Mb

9.

RECORD IDENTIFIERS
Unique code(s) that identify a record. To uniquely distinguish one record or record series from others in the current domain, regardless of the level of aggregation. To act as access points to more information about the record. Identifiers not only uniquely identify the record, but also provide the “keys” to all other (currently accessible) information about the record. Optional, but strongly recommended Applicable at the record and/or record series level. The Record Identifiers field includes both the Record Number assigned to the record or record series as well as any additional Other Document Numbers assigned by state agencies. The Other Document Numbers subfield can be used to connect a new law to the prior bill number or to serve as a finding aid for records that have been handled by more than one state agency. Yes Name 9.1 Record Number 9.2 Other Document Numbers Obligation Optional, but strongly recommended Optional

Definition Purpose

Rationale

Obligation Applicability Use Conditions

Repeatable? Sub-elements

Default Value Assigned By Schemes Comments

--System-assigned or manually assigned by an authorized agent Agency-defined schemes The RECORD NUMBER, element 9.1, designated to a record should not be changed to reflect organizational change or changes in the management of the record. These changes may be reflected through changes in element 9.2 OTHER DOCUMENT NUMBERS. Such changes should also be reflected in element 10. MANAGEMENT HISTORY.

9.1

RECORD NUMBER
A unique code for the record. To uniquely distinguish one record or record series from others in the current domain, regardless of the level of aggregation. To act as an access point to more information about the record. Optional, but strongly recommended The type and form of the record number will be determined by the aggregation level of the record, which is documented under element 6.1 AGGREGATION LEVEL. A record number at a particular aggregation level, such as record or record series, may have to be combined with identifiers at other levels, or identifiers of other entities such as element 1. AGENT to ensure that a record continues to be uniquely identified if moved outside the original agency domain.
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Definition Purpose

Obligation Use Conditions

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Assigned Values Default Value Repeatable? Assigned By Schemes Comments

----Yes System-assigned or manually assigned by an authorized agent Agency-defined schemes This element allows for a layered approach to identifying the record or record series. A record or record series will have an identifier which uniquely identifies it from all other records or record series in the system. A record may “inherit” the record series ID as part of its unique identifier. Different unique identifiers may be assigned to the same record or record series, with each one serving a very different purpose. For example, a record may have a unique control symbol which reflects the sequence in which it was created, but it may also have a barcode number which is used to manage certain actions such as transfers to different storage locations. It is recommended that an authorized agent such as the Records Manager oversee and coordinate the assignment of identifiers to ensure consistency and uniqueness. Agencies that anticipate sharing records with others should consider assigning identifiers that are unique both within the agency and outside of it, most likely through the use of a unique agency prefix code. Agencies interested in such a code should consider coordinating with others using agency prefixes.

9.2

OTHER DOCUMENT NUMBERS
Document numbers other than the RECORD NUMBER that have been assigned to a record by authorized personnel from state agencies. To aid in locating the record in circumstances where other partial information on the record is available. Optional To be used when there are alternative document numbers available. ----Yes Manually assigned by an authorized agent Free text ---

Definition

Purpose Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By Schemes Comments

RECORD IDENTIFIER EXAMPLE
9.1 9.2 Record Number Other Document Numbers 2004-RNS-5988456 DOE-04-9945, SE-04-532

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10.

MANAGEMENT HISTORY
The dates and descriptions of all records management actions performed on a record from its registration into a recordkeeping system until its disposal. To act as a cumulative control record of all movements and management actions which are carried out on a single record or record series over time. Provides a historical log of the records management and control actions performed on a record or record series. To protect and preserve government records from deterioration, mutilation, loss, or destruction.” Optional, but strongly recommended Applicable at the record and/or record series level. Use each time a records management action is performed on a record or record series. This includes the physical relocation of records or the consolidation or reassignment of records or record serials to a different administrative agent. Only recordkeeping, auditing, and information technology staff should have full access to this element. This element should be used in conjunction with element 1. AGENT to document the entity (1.1) and person (1.2) responsible for performing or authorizing the action (see Comments under 10.3 Event Description for information on linking to/capturing agent details). Certain sub-elements should be used in conjunction with elements 2. RIGHTS MANAGEMENT, 6. RELATION, 9. RECORD IDENTIFIER, 12. LOCATION, and 13. DISPOSAL. This element should be linked to elements

Definition

Purpose

Rationale Obligation Applicability Use Conditions

Repeatable? Sub-elements

No Name 10.1 Event Date/Time Obligation Optional Schemes ISO 8601 standard for date/time encoding

10.2 Event Type 10.3 Event Description 10.4 Party Responsible for Change Comments

Optional Optional Optional

Agency-defined schemes Free text, agency-defined schemes Free text

The element 10. MANAGEMENT HISTORY forms a record in its own right and may require permanent retention if it is used officially for destruction reporting and retention scheduling. Records management staff will need to work with information technology staff to ensure that the element 10. MANAGEMENT HISTORY record is properly migrated and converted as appropriate so that continued access is possible.

10.1 EVENT DATE/TIME
Definition Purpose The date and time at which a defined management event occurs. To provide system validation of management actions carried out on records. To restrict or facilitate access to records based on dates pertaining to particular management actions. Optional, but strongly recommended Applicable at the record and/or record series level. The system shall assign the date/time of the event when the corresponding Event Type (sub-element 10.2) is selected by the agent from a pick-list of the assigned values – i.e., the selection of the event by the agent is the trigger for the date/time to be generated by the system.

Obligation Applicability Use Conditions

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Assigned Values Default Value Repeatable? Assigned By Schemes Comments

--Current system date/time Yes System-assigned ISO 8601 standard for date/time encoding ---

10.2 EVENT TYPE
Definition Purpose An event which relates to the management or control of a record. To provide a finite (but extensible) set of defined management events which can be used to describe the management of the record or record series over time. Optional, but strongly recommended The following events are not to be used as Assigned Values in this element: “Record Creation” (covered by element 7. DATE). This list is not intended to be exclusive. Additional values may be added at the discretion of the agency. Assigned Values Value Name Access Reviewed Audited Definition Record examined, both initially and at later times, to identify any not-public material it may contain. Record scrutinized by an authorized internal or external auditor to check agency compliance with various recordkeeping mandates such as legislation and standards. All activities and transactions documented by a particular record series have ceased, and no further records are to be associated with that record series. Record is placed under management of another organization. If transferred to a new storage location, use of this value should result in the sub-elements under element 12. LOCATION being updated. The disposal action for a record is changed. Use of this value should result in element 13. DISPOSAL, sub-element 13.3 Disposal Action being updated. Record disposal actions are suspended indefinitely. Use of this value should result in element 13. DISPOSAL, sub-element 13.4 Disposal Due Date being set to “Null”. Record disposal actions are no longer suspended. Use of this value should result in element 13. DISPOSAL, sub-element 13.4 Disposal Due Date being set to its former value prior to the hold or to another value as set by an authorized agent. Application of the relevant disposal action to a record identified as belonging to a particular record series. The primary identifier of a record is changed and a new one assigned – for example, in order to incorporate an older record into a current recordkeeping system. Use of this value should result in another identifier being assigned to the record under element 9. RECORD IDENTIFIER.

Obligation Use Conditions

Closed

Custody Transferred

Disposal Action Changed Disposal Hold Placed

Disposal Hold Removed

Disposed

Identifier Changed

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Value Name Location Changed

Obligation Record is moved to another location/office (either local or remote). Different from “ Custody Transferred”, in that the agency retains management control of the record. Use of this value should result in the sub-elements under element 12. LOCATION being updated. An access condition is added, removed, or changed. Use of this value should result in element 2. RIGHTS MANAGEMENT, sub-element 2.1 Access Restriction being updated. Record is formally published – for example, on the agency’s website. Record is received from an external source. Only limited parts or sections of the record are released. Record is captured into the recordkeeping system, coming under its management and control. The date and time a record comes under formal records management control can be crucial in proving the authenticity and integrity of that record. Record is related in some way to another record or to an information resource (this event is used in conjunction with element 6. RELATION ). Record is released to an individual or party. Record is released to a limited (agency-defined) audience only. The retention period assigned to the record is changed. Record examined to assess value, and to determine where and for how long it should be kept.

Other Access Condition Changed

Published Received Redacted Registered

Related

Released Released with Limitations Retention Period Changed Scheduled

Default Value Repeatable? Assigned By Schemes

Yes Agent-assigned Agency-defined schemes Each time a particular event occurs, it will change the current values displayed in one or more other sub-elements (the specific details of this are listed as part of the description for each event and cross-referenced to the relevant elements/ sub-elements). Details of the old values and other information shall be entered under sub-element 10.3 Event Description.

Comments

10.3 EVENT DESCRIPTION
Definition The specific details of the event, including information about the original status, the changes made to it, the reasons for the changes, and authorization for the changes. To ensure the visibility and auditability of agency records management decisions and actions. To ensure accountability for agency recordkeeping. Optional, but strongly recommended The old value of the particular record status being changed by the event shall be recorded in this sub-element. -----

Purpose

Obligation Use Conditions Assigned Values Default Value

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Repeatable? Assigned By Schemes Comments

Yes Agent-assigned Free text, agency-defined schemes It is strongly recommended that this information be structured in some way, rather than being entered as free text. Use of templates will enable the information to be entered in a structured way, as well as allowing certain pieces of information to be automatically generated by the system rather than manually entered by the agent – e.g., required information about the agent could be automatically assigned to the template. Information about the agent performing the action shall be associated with the event itself. A decision will need to be made by individual agencies as to whether this association is implemented through links to separately held agent information, or whether agent information is automatically captured through the use of templates and stored as part of the Event Description. This element is meant to be implemented as a history “log.” As such, it will need to incorporate linked information about agents and (depending on the implementation) the records themselves. Which particular information about agents and record IDs/titles, etc. is incorporated into this log is a system design decision that must be made by the agency.

10.4 PARTY RESPONSIBLE
Definition Purpose Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By Schemes Comments Specifies the party or person responsible for any management action regarding the record. To provide a record of the authority for any record management action. Optional, but strongly recommended ------Yes System-assigned -----

MANAGEMENT HISTORY EXAMPLES
10.1 10.2 10.3 10.4 Event Date/Time Event Type Event Description Party Responsible 1999-01-01T11:00-6:00 Disposed Shredded per annual records destruction Robert Schwarzwalder Scheme: ISO 8601

10.1 10.2 10.3 10.4

Event Date/Time Event Type Event Description Party Responsible

2001-09-23T13:23-6:00 Other Access Condition Changed Changed from restricted to public Susan Shaner

Scheme: ISO 8601

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11.

USE HISTORY
The dates and descriptions of both legal and illegal attempts to access and use a record, from the time of its registration into a recordkeeping system until its disposal. To act as a cumulative audit trail of all significant (agency-defined) accesses to and uses made of the record over time. To provide contextual information about the ways in which the record is or was used. To provide a mechanism by which recordkeeping system security can be monitored. All agencies have a responsibility to ensure that their records are adequately protected from unauthorized or illegal access and use. This element provides, in conjunction with other physical, personnel, and system access controls, a means of ensuring ongoing record and recordkeeping system security. Optional, but strongly recommended for restricted information Applicable at the record level only. Use each time the record is used or accessed in a way an agency has defined (and documented) as “significant.” If used, only recordkeeping, systems administration, and auditing staff should have full access to this element. Other staff should be given limited (viewing and searching) access to this element. This element should be used in conjunction with element 1. AGENT to document the agent responsible for making use of the record (see Comments under 11.3 Use Description for information on linking to/capturing agent details). This element may be linked to element 2. RIGHTS MANAGEMENT. This element should be linked to elements 6. AGGREGATION LEVEL and 9. RECORD IDENTIFIER.

Definition

Purpose

Rationale

Obligation Applicability Use Conditions

Repeatable? Sub-elements

No Name 11.1 User Identification Obligation Optional Schemes Free text

11.2 Use Date/Time 11.3 Use Type 11.4 Use Description Comments

Optional Optional Optional

ISO 8601 standard for date/time encoding Agency-defined schemes Free text, agency-defined schemes

This element is meant to be implemented as a history “log.” As such, it will need to incorporate linked information about agents and (depending on the implementation) the records themselves. Which particular information about agents, record IDs/titles, etc. is incorporated into this log is a system design decision that must be made by the agency. As an audit trail, this element forms a record in its own right. The level of auditing and retention periods for the resulting logs are left up to individual agencies. Agencies should make decisions regarding these matters according to their business requirements and based on an assessment of the risks, costs, and benefits involved in keeping or not keeping detailed logs for long periods of time.

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11.1 USER IDENTIFICATION
Definition Purpose Identifies the user of a restricted record. To indicate the user of a restricted document. This information, along with the dates and times at which a record was accessed or used (11.2) may be essential information in a case of illegal access or record tampering. Optional, but strongly recommended This information is required during any access to a restricted record. ----Yes System or operator generated --Steps need to be taken to ensure the accuracy of this field.

Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By Schemes Comments

11.2 USE DATE/TIME
Definition Purpose The date and time at which a defined use of or access to a record occurs. To indicate when records are accessed and used. The dates and times at which a record was accessed or used, along with the identity of the user (11.1) may be essential information in a case of illegal access or record tampering. Optional, but strongly recommended The system shall assign the date/time of the event when the corresponding event described under sub-element 11.3 Use Type takes place – i.e., the event itself is the trigger for the date/time to be generated by the system. --Current system date/time Yes System-assigned ISO 8601 standard for date/time encoding

Obligation Use Conditions

Assigned Values Default Value Repeatable? Assigned By Schemes Comments

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11.3 USE TYPE
Definition Purpose An event which relates to access to or use made of a record. To provide a finite (but extensible) set of defined access and use events which can be used to describe and audit the use of the record over time. Optional, but strongly recommended Additional values for this element may be added at the discretion of the agency. Value Name Accessed Checked Out Unauthorized Access Attempted Definition The record is accessed in some way (e.g., viewed, copied, downloaded, printed). The record is in the possession of an individual. An unsuccessful attempt to move, modify, or delete a record without assigned system authority or other form of authorization.

Obligation Use Conditions Assigned Values

Default Value Repeatable? Assigned By Schemes Comments

--Yes System-assigned Agency-defined schemes The extent to which an agency implements the auditing of these and other events is a risk-based business decision – e.g., an agency may choose to implement limited or no auditing of the action “Accessed” because it is such a frequent event, or because the agency’s records are not classified or sensitive in any way.

11.4 DESCRIPTION
Definition Details of the event, such as information about where the record was downloaded to, the name and location of the document record contents were copied to, and the specific nature of any illegal action or security breach. To enable auditing of accesses to and uses made of agency records. To ensure accountability for agency recordkeeping. Optional ------No Agent-assigned Free text, agency-defined schemes Some events, such as “Accessed”, may not require any extra level of description. Information about the agent making use of the record shall be associated with the use itself. A decision will need to be made by individual agencies as to whether this association is implemented through links to separately held agent information, or whether the agent information is automatically captured into the Use Description.

Purpose Obligation Use Conditions Assigned Values Default Value Repeatable? Assigned By Schemes Comments

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USE HISTORY EXAMPLES
11.1 11.2 11.3 11.1 11.2 11.3 11.4 User Identification Use Date/Time Use Type User Identification Use Date/Time Use Type Use Description Herbert Arai 2000-05-20T13:00-6:00 Accessed 2001-09-23T16:30-6:00 2001-09-23T16:30-6:00 Checked Out To be returned in 2 weeks Scheme: ISO 8601 Scheme: ISO 8601

12

LOCATION
The current (physical or system) location of the record. Details about the location where the record usually resides. To keep track of records for which the agency is responsible. To act as a storage management tool. To enable ease of identification of the record’s current location and quick retrieval when required. Agencies are required to protect and preserve government records from deterioration, mutilation, loss, or destruction. Optional, but strongly recommended Applicable at the record and/or record series level. Use in conjunction with element 10. MANAGEMENT HISTORY, sub-element 10.2, Event Type. The details of the previous location should be captured in the sub-element 10.3 Event Description. This element shall be linked to elements 6.1 AGGREGATION LEVEL and 9. RECORD IDENTIFIER.

Definition Purpose

Rationale Obligation Applicability Use Conditions

Repeatable? Sub-elements Default Value Assigned By

No ----User or System assigned. Details of an external entity, a physical location, or a server/electronic store to which a record is assigned will be either selected from a pick-list of agency-defined values or manually entered by an authorized agent. Agency-defined schemes In the case of hard copy records, current location may be the external entity with which the record currently resides or the internal organizational unit or individual with which or with whom the record currently resides. In the case of electronic records, current location may be a temporary location (e.g., records stored on a medium which requires refreshing being moved from their usual storage location to a preservation action area). An agency may assign further values for use with this sub-element to reflect its specific situation (e.g., other entities to which it regularly moves records, or details of physical and/or electronic storage areas within the agency).

Schemes Comments

LOCATION EXAMPLES
12 Location Hawai`i Dept. of the Attorney General, Family Law Division

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13.

DISPOSAL
Information about policies and conditions which pertain to or control the authorized disposal of records. Information about the current retention schedule and disposal actions to which the record is subject. To advise users of laws, policies, and/or retention schedule that govern the retention or disposal of the record. To alert recordkeeping staff when disposal actions for records are due. Disposal policies enable agencies to meet their recordkeeping requirements with regard to the retention of records of value (and the disposal of records that no longer have value). This element will assist in disposal management, as well as provide disposal process visibility and accountability through documentation. Optional, but strongly recommended (If there is no current retention schedule for the record, default values should be set by the agency.) Applicable at the record and/or record series level. Only recordkeeping and auditing staff should have full access to this element. This element shall be used in conjunction with element 10. MANAGEMENT HISTORY and element 2. RIGHTS MANAGEMENT. Due to the nature of many sentences (e.g., “Destroy 10 years after closed”), sub-elements 13.2 Retention Period and 13.4 Disposal Due Date shall be dynamic fields, linked to the relevant sub-elements under element 10. MANAGEMENT HISTORY. Some event/use dates and types which are recorded under sub-elements 10.1 and 10.2 (Event Date/Time and Event Type) shall cause the information in sub-elements 13.2 Retention Period and/or 13.4 Disposal Due Date to be updated. Such event and use types include: “Closed”, “Disposal Action Changed”, “Disposition Hold Placed”, “Disposal Hold Removed”, “Retention Period Changed”, and “Scheduled”. The need to prevent the scheduled destruction of materials under suspension order requires that sub-elements 13.3 Disposal Action, and 13.4 Disposal Due Date, be linked to sub-element 2.2 Suspension Orders. The date in sub-element 13.4 Disposal Due Date shall be calculated (or recalculated) according to the current sentencing details under sub-element 13.2 Retention Period, and using the date the event was performed or the record used as the starting point for the calculation. This element should be linked to elements 6.1 AGGREGATION LEVEL and 9. RECORD IDENTIFIER.

Definition

Purpose

Rationale

Obligation

Applicability Use Conditions

Sub-Elements

Name 13.1 Retention Schedule

Obligation Optional

Schemes General records retention schedules, agency-specific retention schedules Free text, agency-defined schemes Agency-defined schemes Free text, agency-defined schemes

13.2 Retention Schedule 13.3 Disposal Action 13.4 Disposal Due Date Comments

Optional Optional Optional

All records within a recordkeeping system require the use of this element at some time in their existence. However, it may not be possible to provide the information required by this element at the creation of a record for a variety of reasons, including the unavailability of a relevant retention schedule and an organizational policy which precludes assigning retention period on creation. As this element is considered important, the default values for the sub-elements will need to be used until such time as an agency is able to assign the specific values applicable to its own disposal situation. In cases where there is an automated file plan in place (i.e., through a records management system), sub-element values may be system assigned.

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13.1 RETENTION SCHEDULE
Definition Purpose Legal documentation issued which authorizes the disposal records. To provide a visible link between agency records and the disposal action(s) taken on them. To help ensure that the correct disposal actions are taken on records. Optional, but strongly recommended If there is currently no authorization for the disposal of a record, or if the retention schedule is under development, the default value “Not Scheduled” shall be applied to this sub-element. Records that are not scheduled are not authorized for disposal. If more than one retention requirement applies to a record, the more restrictive one takes precedence. Assigned Values Value Name Not Scheduled Default Value Repeatable? Assigned By Not Scheduled No System-assigned. Otherwise, it should be possible for an authorized agent, such as the agency Records Manager, to select the correct retention schedule from a pick-list of the retention schedules which apply to that agency. General records retention schedules, agency-specific retention schedules The value should include the unique identification number that all general and agency-specific retention schedules carry. Disposal of records can only take place under a retention schedule. For the State Executive and Legislative agencies, the State Comptroller, under §94-3, HRS, is authorized to determine the disposition of records. The State Supreme Court is authorized to determine the disposition of Judiciary records and the County legislative bodies (Councils) are authorized to determine the disposition of County records. Definition There is currently no retention schedule in place which covers this record.

Obligation Use Conditions

Schemes Comments

13.2 RETENTION PERIOD
Definition The retention period assigned to a record (e.g., the length of time of the record needs to be kept). This is based on a determination of the record’s value and the resulting identification of the specific record series to which it belongs. To act as a trigger for the authorized disposal of agency records. To provide a means of determining all records with a particular retention period. To provide a mechanism for assigning retention period on record creation and for automating the records disposal process. Optional, but strongly recommended If there is currently no authorization for the disposal of a record, or if the retention schedule is under development, the default value “Permanent” shall be applied to this sub-element. Records that are not scheduled carry no retention period and so cannot be disposed of, which in essence, means permanent retention until a retention period is assigned. If more than one retention period applies to a record, the more restrictive (e.g., longer) one takes precedence. The value in this sub-element determines the date for disposal action under sub-element 13.3 Disposal Due Date. This subelement reflects the retention period which currently applies to the record. If the retention period is changed, the new retention period will be reflected in this sub-element. The old retention period, and details of reasons for the change, will be recorded under element 10. MANAGEMENT HISTORY, using sub-element 10.2 Event Type, Assigned Value “Retention Period Changed”, and sub-element 10.3 Event Description. Assigned Values Value Name Permanent Definition The record is of enduring value and will be retained, or there is no assigned retention period.

Purpose

Obligation Use Conditions

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Default Value Repeatable? Assigned By

Permanent No System-assigned. Otherwise, it should be possible for an authorized agent, such as the agency Records Manager, to enter the correct retention period. Free text, agency-defined schemes Disposal of records can only take place under a retention schedule.

Schemes Comments

13.3 DISPOSAL ACTION
Definition Purpose The action that is taken on the record once the end of its retention period is reached. To describe the final disposition of records. To act as a tool for disposal management. To enable searches for records with similar disposition. Optional, but strongly recommended If there is currently no authorization for the disposal of a record, or if the retention schedule is under development, the default value “To Be Determined” shall be applied to this sub-element. Records that are not scheduled must be retained. The value of this sub-element is changed when sub-element 10.2 Event Type “Disposal Action Changed” is selected; the reason for the change and the old value shall be recorded under sub-element 10.3 Event Description. Assigned Values Value Name Permanent Destroy The record will be destroyed at the end of the retention period. To Be Determined Definition The record is of enduring value and will be retained. The record will be destroyed at the end of the retention period. The record will be destroyed at the end of the retention period.

Obligation Use Conditions

The record is not covered by a retention schedule and so no disposal action can be assigned nor taken.

Default Value Repeatable? Assigned By

To be determined No System-assigned. Otherwise, it should be possible for an authorized agent, such as the agency Records Manager, to select the correct disposal action from a pick-list or enter another value. Agency-defined schemes Other values may include such disposal actions as “Return to Client”. In some agencies, no disposal action can be taken until notification has been given to the Records Manager or another authorized agent, and the action has been approved. Under §94-3, HRS, “The comptroller shall determine the disposition of the records; stating whether such records shall be retained by the office, department, or bureau; be transferred to the public archives, the University of Hawai`i, the Hawaiian Historical Society, or other agency; or be destroyed.” The Hawaiian Historical Society is a private institution.

Schemes Comments

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13.4 DISPOSAL DUE DATE
Definition The date that a record is due for some kind of disposal action, such as transfer or destruction, as specified under sub-element 13.2 Retention Period. To act as a tool for disposal management. To enable searches on all records due for some form of disposal action by a given date. To act as a trigger for the authorized disposal of records. Optional, but strongly recommended If the record is not currently covered by a retention schedule, or has a retention period of “Permanent”, this sub-element shall contain a null value. This sub-element shall be used in conjunction with sub-element 13.2 Retention Period. This sub-element is a dynamic field, linked to defined Event Types or Use Types under element 10. MANAGEMENT HISTORY. The date value in this sub-element will need to be recalculated each time one of these defined events or uses takes place. For example, in some cases (depending on the retention period) the event “Closed” under sub-element 10.2 Event Type will cause the date value in this sub-element to be calculated from the date of closure (as recorded in sub-element 10.1 Event Date/Time). Each time 10.2 Event Type “Disposition Hold Placed” is selected, the current value of this sub-element is replaced with “Null” either automatically or by agent action. Such records cannot have another disposal due date assigned until the disposition hold is lifted (event “Disposition Hold Removed”). Assigned Values Value Name Null Definition The record is permanent, no value (date) has yet been specified, or a disposition hold has been placed on the record.

Purpose

Obligation Use Conditions

Default Value Repeatable? Assigned By

Null No System-assigned based on the retention period applied under sub-element 13.2 and calculated from the date of a specific (agency-defined) event (e.g., the date the record was created or the record series is closed). ISO 8601 standard for date/time encoding It may be possible to provide a system alarm or reminder which alerts authorized agents to impending disposal actions at some (agency defined) time period before those actions are to take place. Once a disposition hold is removed, the value for this sub-element just prior to the hold should be reinstated or another value chosen by an authorized agent.

Schemes Comments

DISPOSAL EXAMPLES
13.1 13.2 13.3 13.4 Retention Schedule Retention Period Disposal Action Disposal Due Date GRS 6, 2002 Item 6.1 6 years after completion of contract Destroy 2006-01-01 Scheme: ISO 8601

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13.1 13.2 13.3 13.4

Retention Schedule Retention Period Disposal Action Disposal Due Date

GRS 6, 2002 Item 6.1 6 years after completion of contract Destroy 2006-01-01

Not Scheduled Permanent To Be Determined Null

13.3 DISPOSAL ACTION
Element 1. AGENT Element 6. Relation 7. Date 9. Record Identifier 10. Management History 11. Use History 2. RIGHTS MANAGEMENT 6. Relation 9. Record Identifier 10. Management History 3. TITLE 6. Relation 9. Record Identifier 4. SUBJECT 12. Aggregation Level 14. Record Identifier 5. DESCRIPTION 6. Relation 9. Record Identifier 6. RELATION 7. DATE All other Elements 1. Agent 6. Relation 9. Record Identifier 8. FORMAT 6. Relation 9. Record Identifier 9. RECORD IDENTIFIER 10. MANAGEMENT HISTORY All other elements 1. Agent 2. Rights Management 6. Relation 9. Record Identifier 12. Location 13. Disposal
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix G | 37

Relates To

References

11. Use History

4. Subject 9. Function 3. Title 5. Description

10. Management History 10. Management History 11. Use History

7. Date

Element 11. USE HISTORY

Element 1. Agent 6. Relation

Relates To

References 2. Rights Management

9. Record Identifier 12. LOCATION 6. Relation 9. Record Identifier 10. Management History 13. DISPOSAL 6. Relation 9. Record Identifier 10. Management History 8. Format

J.2

ELEMENT MAPPINGS TO DCMES AND MGMG

Table of Element Mappings to the Dublin Core Metadata Element Set (DCMES) and the Minnesota Recordkeeping Metadata Standard (MRMS). Element 1. AGENT 2. RIGHTS MANAGEMENT 3. TITLE 4. SUBJECT 5. DESCRIPTION 6. RELATION 7. DATE 8. FORMAT 9. RECORD IDENTIFIER 10. MANAGEMENT HISTORY 11. USE HISTORY 12. LOCATION 13. DISPOSAL Element Maps to DCMES Creator, Publisher, Contributor Rights Title Subject Description Source, Relation Date Format Record Identifier --------Agent Right Management Title Subject Description Relation, Aggregation Level Date Format Record Identifier Management History Use History Location Disposal Maps to MRMS

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J.3 1.
1.1 1.3

FULL RECORD EXAMPLE AGENT
Entity Name Personal Name Records Manager Same Spade

2.
2.1 2.2 2.3

RECORDS MANAGER
Records Manager Suspension Orders Encryption Details Records Manager Suspension Orders Document management system encryption scheme

3.
3

TITLE
Title Standard Application Form

4.
3

SUBJECT
Subject Ground-water, Run-off

5.
5

DESCRIPTION
Description The Standard Application Form (SAF) is to be utilized in all State of Hawai`i employment applications, including the online job application site.

6.
6.1 6.2 6.3 6.4

RELATION
Aggregation Level Relation Item ID Relation Type Relation Description Record Series 1998-7346, 1999-9845, 2000-5872 Next/Previous Hawai’i State Y2K Task Force Reports

7.
7

DATE
Date 1997-09-01T10:06-6:00 Scheme: ISO 8601

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8.
8.1 8.2 8.3 8.4 8.5

FORMAT
Content Medium Data Format Storage Medium Software and Version Extent Text Word CD-R Microsoft Word 2000 1.26 Mb

9.
9.1 9.3

RECORD IDENTIFIER
Record Number Other Document Numbers 2004-RNS-5988456 DOE-04-9945, SE-04-532

10.
10.1 10.2 10.3 10.4

MANAGEMENT HISTORY MANAGEMENT HISTORY
Event Date/Time Event Date/Time Event Description Party Responsible for Change 1997-09-01T10:07-6:00 Registered Registered into Hawai`i State Archive Verity Late Scheme: ISO 8601

11.
11.1 11.2 11.3 11.4

USE HISTORY
User Identification Use Date/Time Use Type Use Description John Smith 2001-09-23T13:23-6:00 Checked Out To be returned in 3 weeks Scheme: ISO 8601

12.
12

LOCATION
Location Jane Doe, Metro Office, DAGS Office

13.
13.1 13.2 13.3 13.4

DISPOSAL
Retention Schedule Retention Period Disposal Action Disposal Due Date 79-402, item 2 10 years Destroy 2007-09-01

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J.4 J.5

IMPLEMENTATION MODELS REVISIONS TO STANDARD

Please direct all questions, corrections, and suggestions for revisions to: State Archivist Department of Accounting & General Services, Archives Division 808-586-0310

J.5.1 VERSION HISTORY

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ENTERPRISE ARCHITECTURE (EA) – A BLUEPRINT FOR CHANGE APPENDIX H GEOSPATIAL INFORMATION SYSTEMS (GIS)

Table of Contents | 1

TABLE OF CONTENTS
1.0 CONCEPT...............................................................................................................................................................................................3 1.1 The Vision for GIS in Hawaii.......................................................................................................................................................4 1.2 The Mission....................................................................................................................................................................................5 1.3 Hawaii GIS Program Structure ..................................................................................................................................................5 2.0 PROJECTS ............................................................................................................................................................................................7 2.1 State GIS Strategic Plan .............................................................................................................................................................8 2.2 Data Inventory / Geospatial Asset Discovery ........................................................................................................................9 2.3 Conversion to Relational Geodatabase / Cloud Storage and Distribution .....................................................................10 2.4 Creation / Conversion of Metadata ........................................................................................................................................11 2.5 Development of “Geoplatform,” including Development of Data and Map Services.................................................12 2.6 Extension/Completion of Geospatial Platform Implementation........................................................................................13 2.7 Development of State GIS Web Map, Image and Feature Services...............................................................................16 2.8 Formalize Governance and Policies .......................................................................................................................................17 2.9 Enterprise License Agreement(s) for GIS .............................................................................................................................19 2.10 Develop GIS Analyst Series ...................................................................................................................................................20 2.11 Training .......................................................................................................................................................................................21 2.12 Technical Support for Infrastructure, Software, Data......................................................................................................22 2.13 Volunteered Geographic Information (VGI) and Crowd-Sourcing ................................................................................23 2.14 Mobile Applications .................................................................................................................................................................24 2.15 GIS Tools and Services............................................................................................................................................................25 2.16 Data Acquisitions .....................................................................................................................................................................26 2.17 Coastal and Marine Spatial Planning Application ............................................................................................................27 3.0 10-YEAR TIMELINE AND COSTS...................................................................................................................................................28 LIST OF FIGURES Figure 1: GIS Vision for Hawaii......................................................................................................................................................................4 Figure 2: GIS Program Structure ..................................................................................................................................................................5 Figure 3: Notional View.................................................................................................................................................................................12 Figure 4: Conceptual GIS System Architecture ......................................................................................................................................13 Figure 5: Conceptual GIS Data Architecture ...........................................................................................................................................13 Figure 6: Extend the Design to Partners....................................................................................................................................................14

Table of Contents | 2

1.0 CONCEPT
3 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix H

1.0 CONCEPT
The Hawaii State GIS Program, located within the Office of Planning (OP) of the Department of Business, Economic Development and Tourism (DBEDT) is statutorily responsible for leading a coordinated, multi-agency effort to create a digital library of geographic data to improve government efficiency by facilitating data accessibility and eliminating the development of redundant databases (Section 225M-2(b) (4), Hawaii Revised Statutes). The GIS Program is tasked with providing leadership and coordination of GIS data and activities among state agency GIS users. Initially, the State GIS Program was quite successful – cooperation and coordination, especially with ICSD, were instrumental in building the State’s GIS infrastructure and database. Several State GIS strategic planning projects have been undertaken in recent years, notably in 2005 and 2008, resulting in recommendations similar to those contained in this document. However, dwindling resources, particularly in the areas of staffing and funding have impacted the ability to act on those draft plans, both in terms of the ability to provide adequate infrastructure and in terms of OP’s efforts to coordinate and develop a true Enterprise GIS. In addition, the rapid growth of the number of users over the past several years has taxed OP’s ability to communicate with other agencies about their geospatial needs and initiatives. The result has been that multiple versions of data layers are stored at various agencies, some “stove-piping” of both data layers and GIS activities has taken place, and opportunities for collaboration have been missed. Clearly, a new approach must be taken to better coordinate the GIS activities of state agencies in a more collaborative and managed environment.

1.1

THE VISION FOR GIS IN HAWAII

The vision for GIS at the State of Hawaii is to enable easy access to the highest quality authoritative geospatial information at all levels of the State, to extend spatial visualization and analysis capabilities to non-GIS specialists, to enable mobile technology for field personnel, and to foster enhanced collaboration and better decision making (Figure 1). This will be achieved by implementing a comprehensive Geospatial Platform that supports the discovery, consumption, and publishing of relevant geospatial information and tools. The State’s geospatial goals, objectives, applications and products will, to the extent possible, support all geospatial software platforms used by State agencies and conform, whenever possible, to open GIS standards. A move towards a service-oriented architecture (SOA), or more specifically a web-oriented architecture (WOA), will enable information to be published once and used many times. Services and solutions will be built in an enterprise fashion, that is to say, built incrementally with business purposes in mind. As information and tools become available from new services and solutions developed across the State, a common gateway or portal will be used so that information consumers cans easily discover provider content. Implementation of this vision will result in an information sharing and collaboration environment that transforms planning, communication, and decision-making capabilities across the State. In addition to technology implementation, achieving the vision will require the collaborative development of, or changes to GIS governance, policies and standards. This must include a renewed commitment by the State GIS Program to be responsive to user needs.

Figure 1: GIS Vision for Hawaii

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Enterprise Architecture | Appendix H | 4

1.2

THE MISSION

The mission of the Hawaii State GIS Program is to improve the quality and lower the cost of services and information provided by the Hawaii State government through the state’s collective investment and effective application of geospatial data and systems and collaboration with other government and non-governmental organizations on geospatial issues and projects of mutual concern.

GIS PMO and is hosted at ICSD. This database will be hosted and managed by the Office of Information Management and Technology (OIMT), will allow for update by authoritative data providers, and will serve as a common building block upon which to design and deploy GIS applications.

1.3

HAWAII GIS PROGRAM STRUCTURE

As the agency responsible for statewide planning and coordination, the Office of Planning (OP), through its GIS Program Management Office (PMO), will continue to plan, lead, and coordinate the GIS activities and resources within and among state agencies . The GIS PMO will provide support to agencies managing projects requiring geospatial resources, including assisting with planning and needs assessment, developing specifications, acquiring data, system implementation, training, and user support. Additionally, the PMO will continue to assist with data development, mapping and analysis needs as resources permit. The GIS PMO coordinates with external partners – county GIS coordinators, liaisons with federal agencies – as well as with agency GIS User Groups. The relationship of the GIS PMO to OIMT and the governing bodies is depicted in Figure 2. State agencies currently have broad access to a centralized geospatial database that is organized and updated by the

The GIS PMO will also work closely with a GIS Advisory Council -- a multi-sector committee (possibly the CIO’s GIS Working Group and/or the Hawaii Geographic Information Coordinating Council (HIGICC)) that will recommend standards, policies, strategies, legislation, and may help set priorities. It will also be an advocate for the GIS PMO at the executive level, help facilitate interagency cooperation, and may act as a project management oversight committee (PMOC) as well. The GIS Advisory Council will report to the CIO Council. The existing positions within the GIS PMO will remain: GIS Program Manager This position serves as the head of the GIS Program. Duties and responsibilities include administering and coordinating the planning, development, implementation and maintenance of a multi-agency Statewide GIS which includes establishing broad work plans, developing programmatic priorities and budgets, conducting program analysis, making programmatic policy recommendations, providing consultative and advisory services to departments and developing cooperative agreements with other governmental agencies.

Figure 2: GIS Program Structure

1 2

Hawaii Revised Statutes (HRS) chapter 225-M-2(b)(4). Many states use this model of a mandated GIS council working with or in place of a GIS PMO (see Attachment C, “State GIS Councils” and

Attachment D, “Idaho EO - Idaho Geospatial Council”). Hawaii is one of only a few states that does not have a state-sponsored GIS Council. Instead HIGICC, comprising members in the federal, state, county, education, and private sectors, has acted as Hawaii’s council, but without an official or direct role in the statewide GIS PMO. However, HIGICC’s bylaws compare favorably with the IGC’s (Attachments E and F, respectively), and HIGICC role as an official Advisory Council should be evaluated.

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IT Specialist
The primary purpose of this position is to administer the Statewide GIS database, serve as a liaison among user agencies to facilitate communication and coordination, manage OP’s hardware and software resources, assist the GIS program manager with various GIS initiatives and activities, manage the State’s GIS Internet mapping website, produce thematic maps requiring spatial analysis and cartographic design, and perform other related duties as required.

documenting and refining database requirements, database monitoring and performance tuning, documenting and implementing hosting environment policies and security requirements, and testing and troubleshooting databases to ensure continued GIS application operation and the compliance of all database components with data center requirements.

GIS Server Administrator
The GIS Server Administrator will provide ongoing systems administration including installation, maintenance and troubleshooting on daily basis. Provide support to address the availability and reliability issues on systems (Windows/Unix/Mainframe) across multiple locations. Operational responsibilities include remediation of daily incident tickets, system compliance responsibilities, system run enhancement testing and staging, policy/procedure enhancements and adherence, customer contact coordination, and strategy recommendations.

Policy and Planning Analyst
Researches, analyzes, designs and produces the most difficult and complex thematic maps and applications and participates in the design and maintenance of the GIS database; and performs other related duties as required. In addition, a GIS Analyst will be added to the staff to add capacity to the GIS PMO to enable expansion of the current GIS environment (application development, additional map services, virtualization, infrastructure migration, training, etc.), and to take a more active role in and better support statewide geospatial efforts. Future positions that will be required as the program matures include the following:

GIS Application Developer
The GIS Applications Developer will be responsible for the design and development of custom desktop, web and mobile GIS applications for State agencies, particularly applications that impact or benefit multiple agencies and/or the public. The Developer will support and enhance existing web solutions, work to maintain coding standards and quality assurance procedures and stay current on technologies, tools, and trends within the GIS and IT industries. Wherever possible, application development should utilize open GIS standards and industry best practices. This facilitates application scalability; application maintenance and reuse; and information sharing or exchange.

GIS Database Administrator
The GIS Database Administrator (DBA) is responsible for the design, analysis, development, procurement, implementation, modification and support of the database management systems that support the State’s Enterprise GIS applications and data. The DBA is responsible for the security, performance, integrity of the database, to include planning, development and troubleshooting. The DBA provides support for architecting, implementing, operating and maintaining enterprise databases as part of geographic information system solutions. Additional roles include analyzing, planning and executing database patches and upgrades, defining,

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 6

2.0 PROJECTS
7 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix H

2.0 PROJECTS
As described in previous sections, the “to be” GIS deployed in the State of Hawaii will provide easy access to geospatial data, visualization and services to State agencies and the public. This will eventually include development, testing, staging and production environments, replication and synchronization of certain databases to/from neighbor island data centers, and policies and procedures for data update and maintenance. Data and services will be published and discoverable both internally to State government agencies and, where appropriate, externally to partners and the public. Pilot projects undertaken in FY 2013 are intended to begin implementation of the larger system described above, on a smaller scale. Although these projects represent only the first steps towards true enterprise GIS, their implementation will result in dramatic improvements in data accessibility, performance and customer service for State GIS users and

the public alike. Activities include conversion of GIS data into a relational database for better performance, creation of map and data services for easier access, and creation of federally compliant metadata for easier discoverability of data. Each planned acquisition or activity will contribute to the envisioned system, both in the short term and in the long term.

2.1

STATE GIS STRATEGIC PLAN

Creation of the State GIS Section of the OIMT IT and Business Transformation Plan has generated a great deal of interest among State agency users and GIS partners in other sectors. Issues related to user needs, collaboration and data sharing policies, relationships and mechanisms between local, federal and non-profit partners are many and complex, and are beyond the scope of this document. A full State GIS strategic plan to address these and other issues will be developed with consultant/ facilitator assistance and updated biannually.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task Acquire Consulting Services FY13 Q1 FY13 Q2 FY13 Q3 FY13 Q4 FY14 Q1 FY14 Q2 FY14 Q3 FY14 Q4

Develop State GIS Strategic Plan

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2.2 DATA INVENTORY / GEOSPATIAL ASSET DISCOVERY
In order to go forward with such initiatives as creating Enterprise License Agreements for software or creating a GIS Analyst Series, and to ensure that the GIS Program supports the data, software, and applications actually in use by State agencies, a Data Inventory and Geospatial Asset Discovery project will be conducted. This process will help to identify redundant or conflicting data sets and other geospatial assets that exist in State agencies in order to reconcile data inconsistencies, identify authoritative data, and make the best use of existing and future state resources, by, for example, taking advantage of economies of scale realized when all potential buyers of some item work together. Initially, the information will be collected via a survey designed by the GIS Working Group. In the following fiscal year, after some initial clean up of data has taken place, a data discovery tool / crawler will be purchased for a more thorough and systematic inventory.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task Conduct Survey Data Curation Procure Crawler Deploy Crawler FY13 Q1 FY13 Q2 FY13 Q3 FY13 Q4 FY14 Q1 FY14 Q2 FY14 Q3 FY14 Q4

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2.3 CONVERSION TO RELATIONAL GEODATABASE / CLOUD STORAGE AND DISTRIBUTION
Conversion of the data layers in the State GIS database from shapefiles to a relational geodatabase is essential for improved data management and performance. In addition to taking advantage of the latest storage technologies, the use of a geodatabase will allow us to define and enforce data integrity rules for features, such as not allowing gaps between polygons, creating and using attribute domains, etc. Importantly, it will leverage the underlying RDBMS to provide better data security, a key need expressed by users. In the long term, this data format will also allow the use of geodatabase replication to distribute and synchronize data, for example, between State data centers. There is recognition that there is a need to support multiple data formats, in addition to the proprietary geodatabase. The GIS will follow the model used by the City and County of Honolulu – data is stored in an enterprise geodatabase, but is distributed in other formats in use by agencies and partners, including open source formats.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task Plan Conversion Acquire Geodatabase Solution Convert Geodata to Geodatabase Deploy Geodatabase FY13 Q1 FY13 Q2 FY13 Q3 FY13 Q4 FY14 Q1 FY14 Q2 FY14 Q3 FY14 Q4

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2.4

CREATION / CONVERSION OF METADATA

While all datasets in the State GIS database have metadata, most of that metadata is not compliant with federal standards. In addition, much of the geospatial data held by State agency users have no metadata. The benefits of creating and maintaining metadata that complies with established standards are many, including:
• Preserve lineage of data investments • Facilitate data distribution and discovery via geospatial clearinghouses • Assess the utility of geospatial resources for a particular project • Install data accountability • Establish data liability • Provide a common language for data contributors and consumers

Metadata creation and maintenance is often seen as cumbersome by data producers who are short on resources. Thus, the State GIS will take the lead by documenting State GIS data, while developing metadata templates and procedures that will make it easier for other data contributors to follow suit. The Office of Planning has developed a federally compliant metadata template that is currently being tested. The template will be submitted to the GIS working group for review and comment in late summer, followed by submission to the State Attorney General’s office for review and comment. It is anticipated that this project can be accomplished using in-house and volunteer resources, however should it be determined that funding is necessary to assist with development of a State standard metadata template or for the actual conversion of the metadata, the GIS Program will work with the HIGICC to apply for a Cooperative Agreements Program (CAP) grant from the Federal Geographic Data Committee (FGDC). Creation and maintenance of compliant metadata will be an ongoing task.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

FY18-19 Pending Review Pending Review Pending Review Pending Review Pending Review

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task Analyze Metadata Requirements Develop New Metadata Standards Implement New Metadata Standards
Convert Existing Metadata to New Standards

FY13 Q1

FY13 Q2

FY13 Q3

FY13 Q4

FY14 Q1

FY14 Q2

FY14 Q3

FY14 Q4

11 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

2.5 DEVELOPMENT OF “GEOPLATFORM,” INCLUDING DEVELOPMENT OF DATA AND MAP SERVICES
Discovery and access to GIS data by State government agencies are keys to efficient use of State resources, better sharing of geospatial data and elimination of data silos. The geoplatform will include an integrated website, management of data, services, web maps, groups and administrative tools. It will include a portal that will serve as a single point of access to spatial information, regardless of location, format or structure of the source and will have the ability to search and access diverse geospatial resources, and applications (see Figure 3).

Figure 3: Notional View

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task Plan Geoplatform Acquire Geoplatform Design and Build Geoplatform Deploy Geoplatform Maintenance FY13 Q1 FY13 Q2 FY13 Q3 FY13 Q4 FY14 Q1 FY14 Q2 FY14 Q3 FY14 Q4

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 12

2.6

EXTENSION/COMPLETION OF GEOSPATIAL PLATFORM IMPLEMENTATION

The build-out and completion of the State GIS infrastructure, particularly because GIS technology changes and evolves so quickly, will be an incremental process requiring iterative system design phases. Although the specifics are difficult to determine at this time, it is certain that there will be database design improvement and multiple environments (e.g. Development, Testing, Staging and Production – e.g., see Figure B, Conceptual GIS System Architecture). There may be a need to replicate and synchronize versions among State data centers for best performance (see Figure C, Conceptual GIS Data Architecture). Publication to the database by authorized publishers should be a simple process, such as that used by geodata.gov, i.e. an automatic process of data harvesting rather than a manual process.

Figure 4: Conceptual GIS System Architecture

Figure 5: Conceptual GIS Data Architecture 13 | State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix H

Extending the Design to Partners:
Discovery and access to GIS data by citizens, industry and local and federal government agencies are key to both efficient use of State agency resources and to open government initiatives. Thus, in addition to the critical need to improve data sharing, storage, and usage within the Hawaii state government, there is separate but related need for GIS data to be discoverable and downloadable by the general public, government and private companies in Hawaii. To meet this need, the State, in partnership with the Hawaii Geographic Information Coordinating Council (HIGICC), will build and maintain one centralized site for finding geospatial data in Hawaii, a strategy used in most US states. This solution also follows the federal government’s lead in geodata storage, discovery and distribution. In this scenario, data producers/providers such as the Pacific Disaster Center (PDC), the Pacific Islands Ocean Observing System (PacIOOS), the University of Hawaii and others will continue to store and serve their own data and services, but the portal will provide links to those resources (Figure D). This portal will continue to enable and encourage open access to data and metadata while enforcing authoritative data standards and policies. The State will work with its many GIS partners in the region to plan and implement the external portal, including the pursuit of grant opportunities. In addition to system design, issues to be addressed will include funding, governance agreements, inventory of existing portals and metadata requirements and gaps.

Figure 6: Extend the Design to Partners

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 14

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task Evaluate Pilot Geoplatform Design System Acquire Hardware/ Software Services Deploy System Maintain System FY13 FY14 FY15 FY16 FY17 FY18 FY19 FY20+

15 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

2.7

DEVELOPMENT OF STATE GIS WEB MAP, IMAGE AND FEATURE SERVICES

The State GIS Program will provide a variety of base data to State agency and public users alike via both web map and web feature services. It is anticipated that most, if not all GIS data residing on the current GIS file server will be made available using web services, feature services, and “clip and ship” tools. The program will also serve all of the State’s LiDAR and imagery data via the web. In-house staff will develop the standard map and feature services used to make State GIS data available.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Prioritize and group layers for map services Prioritize layers for feature services Prioritize imagery data for image services Prepare data/layers if necessary (e.g. format tables, tile imagery) Develop and test map services Develop and test feature services Develop and test image services Deploy services Maintain services

FY13 Q1

FY13 Q2

FY13 Q3

FY13 Q4

FY14 Q1

FY14 Q2

FY14 Q3

FY14 Q4

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 16

2.8

FORMALIZE GOVERNANCE AND POLICIES

The development of policies, procedures, and standards will facilitate the smooth operation of the enterprise GIS and will facilitate the development, sharing and use of geospatial data. Authoritative developers/sources will need to be identified for particular data sets. The governance structure in the previous sections will need to be formalized in some way, whether it is via Charter, legislation or some other means. The policies, procedures and standards to be developed by the working group include, but are not limited to: 1. Metadata – Metadata is critical to the understanding, correct usage and discoverability of geospatial information. The State GIS Working Group will work together to decide upon a standard metadata format to be used by all participants in the State GIS (most likely it will be either the federal Content Standard for Geospatial Digital Metadata (CSGDM) or some variant of the International Standards Organization (ISO) 19115:2003 Standard for Geographic Information – Metadata (e.g. the North American Profile of ISO 19115:2003). While both of these standards are endorsed by the Federal Geographic Data Committee (FGDC), there are advantages and disadvantages to each standard. , The group should also develop templates,in consultation with the State Attorney General’s office, for use by agencies to make it as simple as possible to create and maintain standardized metadata. There are numerous metadata editing tools and procedures in place at partner installations such as the Pacific Disaster Center that can be reviewed for use by the Hawaii State Enterprise GIS. 2. Data standards – National accuracy standards exist for geospatial data, as do standards for the recommended formats and attributes of some types of geospatial information. These existing standards should be adopted whenever possible, however “good enough” data, or data that satisfies 80% of geospatial data users must be included in the State GIS database. The working group will have to define the consistent meaning of “good enough,” as well as identifying authoritative data sources and data custodians. 3. Standard spatial reference systems – One or more standard spatial reference systems will need to be identified, including horizontal and vertical datums, coordinate systems and projection information. 4. Data sharing and exchange policies – In order to be successful and reduce or even eliminate data stovepipes and redundant data sets, data sharing and exchange policies will need to be developed for State GIS participants and partners. The State Attorney General’s office will be consulted when developing the policies and agreements. The Working Group will make use of existing resources and examples when developing the policies and agreements (e.g., the National States Geographic Information Council (NSGIS) has several examples of successful agreements available on their website).

5. Standard policies and procedures for data inclusion in the State database - The current procedure used to add or update data in the State GIS database is to send the data to an analyst in OP, who then performs minimal QA/QC, creates or updates metadata, and uploads it both to the GIS fileserver and the State GIS website if applicable. Going forward, policies and procedures will be developed to 1) determine the authoritative data provider/custodian for each layer, (2) determine minimum requirements that must be met in order for a data layer to be included in the official State GIS database (e.g., compliant metadata, correct projection, topologically correct, attribute verification conducted), and (3) determine standard mechanisms to be used to add update/register data in the database. 6. Service Request Procedures/Error Reporting - Procedures and mechanisms to document, track and process mapping, analysis and other requests to the PMO will be developed. The Office of Planning has developed a GIS Service Request Form that might be used as a model. In addition, hardware, software, network and data problem/error reporting and tracking procedures will be developed and implemented (in collaboration with other OIMT working groups as appropriate). 7. Data acquisition priorities – A mechanism must be developed to identify data acquisition priorities for datasets that might require legislative funding or data acquisition partnerships. 8. Custom Application Development policies – Both OIMT and the GIS Program should be consulted before departmental custom GIS application development to ensure compatibility with standard platforms and to prevent duplication of effort. It is recommended that application development should utilize open GIS standards and industry best practices. This facilitates application scalability; application maintenance and reuse; and information sharing or exchange. 9. Endorsement of an Address Standard - Various agencies at all levels typically use their own, usually non-standard, way of storing street addresses. This creates problems when trying to geocode data for mapping and analysis. FGDC has created an addressing standard. The State GIS working group will evaluate this standard and others, including recent e-911work by the counties, and determine what actions or recommendations could be taken to help to standardize database address storage in State agencies, and across the State. This exceptionally challenging initiative will require collaboration with state, county and federal entities.

17 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Metadata Data standards Standard spatial reference systems Data sharing and exchange policies Standard procedures for data registration, etc. Service Request procedures Data acquisition priorities Application Development policies/procedures Address standard After FY14

FY13 Q1

FY13 Q2

FY13 Q3

FY13 Q4

FY14 Q1

FY14 Q2

FY14 Q3

FY14 Q4

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 18

2.9

ENTERPRISE LICENSE AGREEMENT(S) FOR GIS

The vast majority of GIS data and applications in Hawaii State government, as well as in county government, academia and the private sector have been built using Esri products. Esri is the world’s GIS software leader and has been the State’s de facto standard for geospatial data creation and analysis for more than 20 years. Execution of an Enterprise License Agreement (ELA) with Esri will deliver numerous benefits: lower unit cost of Esri software, fixed, predictable overall costs during the life of the agreement, more transparency in GIS costs, flexibility to deploy Esri software products when and where needed, streamlined procurement, availability of GIS to agencies that otherwise could not afford GIS and continuous support of the geospatial data and mapping requirements of administration initiatives. Note that an Esri ELA will NOT preclude agencies from using other GIS software solutions. (adapted from http://www.imap.maryland.gov/portal/elaannouncement.asp)

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Gather Agency Requirements Negotiate & Execute Contract Monitor and Renegotiate Contract as Necessary

FY13 Q1

FY13 Q2

FY13 Q3

FY13 Q4

FY14 Q1

FY14 Q2

FY14 Q3

FY14 Q4

19 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

2.10 DEVELOP GIS ANALYST SERIES
In order to address the serious issues with recruitment, development and retention of GIS professionals within the State of Hawaii, the State GIS Program will work with the Department of Human Resource Development and other appropriate state agencies to create a GIS Analyst Series within the civil service system. This is an important step for the institutionalization and promotion of GIS throughout state offices. By recognizing the unique skill set and competencies of GIS professionals, a GIS Analyst Series will enable the State to attract and recruit individuals with those specific skills and training. The Working Group will seek advice and assistance with this project from NASCIO, NSGIC, RCUH, DHRD and the four counties.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Research Other Jurisdictions Develop PDs Submit and Obtain Approval

FY13

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 20

2.11 TRAINING
The deployment of a redesigned State GIS will require training of new and existing users on the use of the new system. A training team composed of a combination of in-house staff and contract staff should be sent to each agency, including neighbor island offices to train and obtain feedback on the system. An initial training initiative should take place during the pilot project rollout in FY 13, and again when the full system is deployed. Rapid advances in technology and geospatial information analysis and delivery will require employees to keep abreast of industry developments and emerging standards, and to upgrade their skills in order to remain current with their job requirements. One of the most consistently expressed needs of GIS users and practitioners in State government through the years has been a need for training. A training plan will be developed that will likely include a combination of self-directed online training, webinars and classroom training. It is anticipated that some of the training will be included in the ELA mentioned above, and that some training will be developed in partnership with the HIGICC.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Develop & Conduct Training for Pilot Project Develop & Conduct Training for Full System Coordinate Training with Partners Conduct and Manage Training Program

FY13

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

21 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

2.12 TECHNICAL SUPPORT FOR INFRASTRUCTURE, SOFTWARE, DATA
In order for the State GIS to be successful, there must be high system availability and knowledgeable, responsive technical support for the related hardware, software and data. Service Level Agreements should be developed and implemented with requirements and expectations clearly documented and the resources required to meet those requirements and expectations made available (e.g., staffing, incident logs, FAQ’s, etc.). The working group will determine which platforms/software/technologies will require technical support, and what type of technical support is required. Procedures, including escalation procedures will be documented, implemented and tracked. It is noted that given the existing uses of GIS technology in the State, technical support need only be provided during business hours at this time.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Requirements Analysis Determine Responsible Parties Identify Required Resources Develop SLAs Implementation

FY13

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 22

2.13 VOLUNTEERED GEOGRAPHIC INFORMATION (VGI) AND CROWD-SOURCING
There has been a great deal of interest in using social media to solicit public input to government functions. For example, the City and County of Honolulu has a mobile app with which a citizen can snap a picture of an object requiring City attention (e.g., a broken street light), geo-enable the picture using their smart phone, and send that geographically referenced photo to the City call center to have a repair work order generated. There are any number of similar applications that the State might implement, such as reporting highway potholes or vandalism. Before undertaking such a project, the State would have to determine what the guaranteed response time would be, how work order routing took place, etc.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Identify Pilot Project(s) Identify corresponding back-office requirements Coordinate with affected agencies Implement Pilot(s) Extend methods/ procedures to other State functions

FY13

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

23 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

2.14 MOBILE APPLICATIONS
Many workers in the field record information on paper and return to the office to enter the data into a computer. Mobile apps will save time and improve accuracy in data collection. Live links or scheduled synchronization mechanisms will be developed to automatically transfer the data collected to a master database. Mobile applications will also be used to deliver information and services to the public, such as the locations of and routes to public buildings or the ability to report environmental violations. Mobile GIS applications should be developed to assist with various state government activities, including those with a geospatial component, such as asset management, environmental sampling or field mapping. According to the IT research and advisory firm, Gartner, “Mobile and wireless technologies must be a core component of every organization’s IT strategy. As these technologies mature, they will bring new consumer and business applications to more places and devices.” (http://www.gartner.com/technology/core/products/research/ topics/mobileWireless.jsp)

Mobile technology in Hawaii state government will require an enterprise approach with local (i.e., agency or program) implementation. The OIMT role will be to establish policies and standards, while the departments are best suited to determine actual application requirements. OIMT will develop standards and best practices, create a price or vendor list for approved field units, and create and maintain a “mobile app store” to be used by State agencies. Application functionality though, will be determined by the individual agencies. For example, field workers in one functional area may need real-time data access, with field data entered on a small device such as a smart phone. Workers in another area may collect large amounts of data on ruggedized devices with large screens and pen or touch capability, to be synched with a master database upon return from the field. The primary role of the GIS Program in mobile application development will be to host and serve base geospatial data, and keep an inventory of geospatially-enabled mobile applications for possible use by other state agencies. Costs shown below are intended to represent investments in mobile technology required as an enterprise, not only for those applications having a geospatial component.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Develop Standards and Best Practicies Create/Update Price/ Vendor list for approved field units Create and maintain mobile app store

FY13

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 24

2.15 GIS TOOLS AND SERVICES
Commonly used GIS applications and functions, such as geocoding, file format conversion (e.g. shape to kml), coordinate/projection conversion, buffering, etc., will be developed and offered as consumable services for all State employees and/or the public.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Identify and Prioritize Tools Acquire or Develop and Implement Tools

FY13

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

25 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

2.16 DATA ACQUISITIONS
As a general rule, data is the most costly component of a GIS, and includes data creation, acquisition, update and maintenance. Some data layers can be automatically created from location information stored in a table (e.g., latitude / longitude, GPS data), while other data can be digitized from scanned or hard-copy maps. Various remote sensing technologies are also used to capture information on the ground for use in a GIS (e.g., satellite and aerial imagery, radar imagery, etc.). Remotely sensed data, often collected at a resolution of 1 meter or less, typically costs in the hundreds of thousands of dollars each time it is collected. The State GIS Program has a long history of coordination and funding participation in joint data development and acquisition projects in Hawaii on behalf of State agencies, including partnerships with USGS (digitization of Hawaii topographic maps), NRCS (acquisition of satellite imagery data), NOAA (development of impervious surface and landcover data), and various State agencies (development and maintenance of neighbor island parcel data). In addition, the program has helped

to fund data “uplift” projects in order to bring licensed data into the public domain. This has often been on an ad hoc basis, and has typically involved a combination of state and federal CZM funds. Cost sharing agreements can save time and money in data collection – for example, the counties and the State might all contribute to a remote sensing collection effort that involves bringing a plane to Hawaii, resulting in less cost than each county arranging and paying for a plane to collect data only for their area of interest. There will be a variety of such opportunities in the coming years, such as an uplift and increased study area of imagery data being acquired by the NGA, update of landcover data, joint LiDAR data acquisitions, licensing of highly accurate and continually updated street data, and licensing of continually updated zip code data to name just a few. In order to keep the information in the State GIS useful and current, investments must be made in data creation, acquisition and update, doing so with cost sharing agreements or data acquisition consortia whenever practicable.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task FY13 FY14 FY15 FY16 FY17 FY18 FY19 FY20+

State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H | 26

2.17 COASTAL AND MARINE SPATIAL PLANNING APPLICATION
Coastal and marine spatial data is frequently required by state decision-makers. However, most decisions regarding uses and activities in marine areas are made on a case by case basis with information provided primarily by applicants to a permitting agency (e.g., conditional use permits, ocean leases, and special management area permits). Unlike with land based development and uses, our coastal and marine areas have not yet had the benefit of comprehensive spatial planning. Coastal and Marine Spatial Planning (CMSP) extends Hawaii’s long held tradition of land use planning and resource management into our coastal and marine areas to better determine how uses in these areas balance economic, cultural, and environmental issues, to ensure that our limited resources are available now and for future generations. The Hawaii Marine Map (HMM) project will develop a webbased decision support tool that can be used by resource

managers, scientists, stakeholders, and the public to conduct spatial planning in Hawaii’s territorial sea (and surrounding waters). The HMM project will collect information on the spatial extent of human uses of the state’s marine resources that provide economic and socio-cultural benefits. In the near term, the resulting data sets will form the basis for informing siting decisions for energy projects in ways that minimize potential impacts to the marine ecosystem and human uses. Longer term, these data will be useful for other marine spatial planning processes and to establish a baseline for subsequent monitoring and evaluation research of management measures. At present, the data sets for relevant ecological, economic, social and cultural considerations are not available from a single source. This makes it difficult for decision-makers and community groups to access, visualize and conduct potential impact and use conflict analyses in a meaningful and expedited way. The HMM project will develop an online system that compiles the relevant data sets and creates tools allowing users to visualize and analyze that data for various sites and uses.

Estimated Costs Services Personnel Equipment / Hardware Software Total

FY13 Pending Review Pending Review Pending Review Pending Review Pending Review

FY14-15 Pending Review Pending Review Pending Review Pending Review Pending Review

FY16-17 Pending Review Pending Review Pending Review Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review Pending Review

Anticipated Project Timeline Task
Develop Requirements Develop RFP Hire Consultant Develop/Acquire necessary data Application Development Testing Deploy Application Maintain Application Enhance Application

FY13

FY14

FY15

FY16

FY17

FY18

FY19

FY20+

27 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H

3.0 10-YEAR TIMELINE AND COSTS
State of Hawaii Business and IT/IRM Transformation Plan Enterprise Architecture | Appendix H | 28

3.0

10-YEAR TIMELINE AND COSTS
Staff Costs Personnel FY13 Pending Review FY14-15 Pending Review FY16-17 Pending Review
Figure 3: Notional View

FY18-19

FY20+ Pending Review

Pending Review

Projects State GIS Strategic Plan Data Inventory / Geospatial Asset Discovery Conversion to Relational Geodatabase / Cloud Storage and Distribution Creation / Conversion of Metadata Development of “Geoplatform,” including Development of Data and Map Services Extension/Completion of Geospatial Platform Implementation Development of State GIS Web Map, Image and Feature Services Formalize Governance and Policies Enterprise License Agreement(s) for GIS Develop GIS Analyst Series Training Technical Support for Infrastructure, Software, Data Volunteered Geographic Information (VGI) and Crowd-sourcing Mobile Applications GIS Tools and Services Data Acquisitions Coastal and Marine Spatial Planning Application Overall Total Overall Total

FY13 Pending Review Pending Review

FY14-15 Pending Review Pending Review

FY16-17 Pending Review Pending Review

Figure 3: Notional View

FY18-19

FY20+ Pending Review Pending Review

Pending Review Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review Pending Review

Pending Review Pending Review

Pending Review Pending Review

Pending Review Pending Review

Pending Review Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

Pending Review

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Pending Review

Pending Review Pending Review Pending Review Pending Review

Pending Review Pending Review Pending Review Pending Review

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FY13 Pending Review

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Figure 3: Notional View

FY18-19

FY20+ Pending Review

Pending Review

29 | State of Hawaii Business and IT/IRM Transformation Plan

Enterprise Architecture | Appendix H