StatePlus future operating model
StatePlus, formerly known as State Super Financial Services, was established to provide financial advice to public sector employees and their families, and are owned by the public sector. They are a wholly owned subsidiary of SAS Trustee Corporation (STC), the trustee of a number of public sector superannuation schemes. StatePlus has over 60,500 clients and is rated in the top 5% of financial services companies for customer service.
In 18 regional offices around Australia, StatePlus held approximately 58,000 hard-copy files for active clients and approximately 27,000 hard-copy files for active prospect clients (a client where an appointment occurred in the preceding 12 months or a subsequent appointment is scheduled within the following 3 months). A file management solution was required to implement the electronic storage and retrieval of client files for both existing hardcopy active files and future customer interaction. All customer related documentation would be stored electronically, as part of the Future Operating Model (FOM) Project being implemented from February 2015.
Prior to the formal RFP being issued by StatePlus, Grace Information & Records Management (GIRM) were invited to sign a non-disclosure agreement and attend a pre-qualification meeting to discuss the project and GIRM capabilities. An invitation to respond to a formal RFP was then issued. GIRM was shortlisted to participate in the next evaluation stage. A GIRM site visit was carried out by the StatePlus evaluation team, followed by a presentation of the GIRM solution to the evaluation team at their offices. Due diligence was carried out by StatePlus covering GIRM’s financial capacity, organisational structure, governance and insurance, operational matters, risk/legal and compliance. The Information Technology processes and controls were a large focus with an emphasis on disaster recovery and back-up and restore procedures. A high level of consultancy was involved with GIRM playing a significant role in designing the end to end solution from packing and collection to imaging and finally destruction. The StatePlus selection process commenced in September 2014 and the contract was signed in late December 2014.
The objectives of the project were:
- Retrieve all hardcopy client files from 18 regional offices
- Digitise the active client files and active prospect client files
- Destruction of all inactive hardcopy prospect client files and all inactive prospect client files.
The core elements of the project were:
- Locating, sorting, packing and transportation of hardcopy client files from 18 regional offices
- Categorise hard copy files to be scanned based on key identification fields
- Preparation of the files by GIRM staff included removing file covers, removing all paperclips and staples etc. and segregating files into seven sections with a separator between each section, so that when scanned each section would output as its own PDF
- Scan all documents within the hardcopy files as searchable PDF files
- Tax file numbers were removed from all files by GIRM using specialist software which created a script to locate and remove the numbers from the final electronic output
- Upload scanned files to the repository solution
- Secure storage of back scanned hardcopy files for a period of six to nine months, this allowed for a quality assurance (QA) audit of the digital files against the hardcopies to ensure they were a true representation
- Secure destruction of back scanned hardcopy files and data following the retention period
- Secure destruction of inactive prospect client files that were not scanned
- The estimated numbers of hardcopy files were gathered to provide a reference for the work and effort involved.
The project commenced with a staged approach in late December 2014, and a scheduled completion date of the end of April 2015. The tight timeline required 24/7 processing. The project was done in five stages based on a set of locations around Australia. The first phase was the Sydney CBD location serving as a “proof of concept”, for QA purposes and user acceptance testing. This stage included 1,600 hardcopy files, comprising 115,000 pages and 184,000 images. Each stage included file packing; scan and upload; and user acceptance testing. Pages per file were based on sampling (Client Files = 200 and Prospect Files = 50). Image numbers were based on 60% duplex and 40% simplex per file.
The FOM Project was successfully completed on time. Following the success of this project StatePlus transitioned 14,000 hard copy archive cartons from their incumbent provider to Grace. GIRM have now implemented a scan on demand solution for StatePlus – if a file is required from the archive, it is pulled, scanned, and delivered electronically rather than being hard copy delivered. Once converted to digital the hard copy file is destroyed reducing hard copy storage over time, while increasing the amount of digitally available information.
GIRM are in discussion with StatePlus to implement a Digital Mailroom solution in 2016, taking them closer to their ideal of the paperless office. GIRM are now a trusted advisor to StatePlus in their transition to a digital environment.