A Practical Guide to Capturing, Organizing, and Securing Your Documents


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Presented by Jeff Potts at Documentation and Training Life Sciences, June 23-26, 2008 in Indianapolis.

Every organization struggles with how to store, tag, and search for their documents. In a hospital corporation, the need is particularly critical. Hospital staff need to be able to quickly find the latest policies and procedures. Auditors need to be able to track who made what changes and when. Lawyers want to know which protocols were in place on a particular date. In this session you’ll learn a practical approach to putting a document management system in place that can help address these needs and reduce your exposure to legal, regulatory, and even human health risks.

Based on lessons learned during a real-world project, the session shows that getting your documents under control doesn’t have to be a multi-year, multi-million dollar effort. The slide deck outlines how a hospital corporation in New England used a “start small and grow” approach to piloting and rolling out a document management solution across the corporation.

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A Practical Guide to Capturing, Organizing, and Securing Your Documents

  1. 1. Practical Document Management Jeff Potts Practice Director, ECM
  2. 2. Agenda <ul><li>Document Management & Open Source </li></ul><ul><li>The Practical Approach to Document Management </li></ul><ul><li>Case Studies </li></ul><ul><li>Lessons Learned </li></ul><ul><li>Next Steps </li></ul>
  3. 3. <ul><li>Which version of the “atrium chest drainage procedure” was effective on 9/10/2007? </li></ul><ul><li>Where is the infusion pump policy? </li></ul><ul><li>Who updated the resuscitation protocol last and what did they change? </li></ul><ul><li>There are two documents explaining the protocol for epidural analgesia—which one is right? </li></ul><ul><li>Who approved the document entitled, “Guidelines for the Nursing care of the Patient with an ICD”? </li></ul><ul><li>The crash cart equipment checklist has been updated, who needs to be notified? </li></ul>Are questions like these easy to answer?
  4. 4. Are they important questions? <ul><li>Joint Commission surveys/survey prep </li></ul><ul><li>Quality & Safety Committees </li></ul><ul><li>Risk Management </li></ul><ul><li>Training teams </li></ul><ul><li>Legal department </li></ul>
  5. 5. Document Management & Open Source
  6. 6. Why are those questions so tough? <ul><li>Because the answers are tied up in rich content and the interactions between people and those files </li></ul><ul><li>Traditional document storage approaches aren't rich enough to solve this problem </li></ul><ul><ul><li>Can't “tag” the files—Limited to file name, date, folder structure </li></ul></ul><ul><ul><li>Can't easily search across all sources </li></ul></ul><ul><ul><li>Duplication runs rampant; Content is constantly being reinvented </li></ul></ul><ul><ul><li>Security and auditability are dubious, at best </li></ul></ul><ul><li>Plus... </li></ul>
  7. 7. ...Files are often scattered across file shares, email, and individual workstations
  8. 8. Enterprise Content Management (ECM)‏ Tries to Solve this Problem Digital Asset Management Document Management Records Management Web Content Management Content Repository
  9. 9. Document Management – Typical features Create and Store <ul><li>Integration with standard authoring tools like MS Office </li></ul><ul><li>Import doc through upload, WebDAV, CIFS </li></ul><ul><li>Meta data </li></ul>Organize <ul><li>Version control </li></ul><ul><li>Lifecycle Management </li></ul><ul><li>Workflow </li></ul><ul><li>Document references and smart folders </li></ul>Collaborate <ul><li>Role- and Access based security </li></ul><ul><li>Notification </li></ul>Search & Access <ul><li>Attribute based and full-text </li></ul><ul><li>Browse Folder/Tree Navigation </li></ul><ul><li>Bookmarks and Links </li></ul>Transform <ul><li>Output channel or device specific formats like PDF or HTML </li></ul>
  10. 10. Benefits of using a document repository <ul><li>Easier to control access to documents </li></ul><ul><ul><li>Fine-grained security </li></ul></ul><ul><ul><li>Users, groups, roles </li></ul></ul><ul><li>Makes it possible to track activity </li></ul><ul><ul><li>Track reads, updates, deletes through audit trail </li></ul></ul><ul><li>Improves the ability of staff to find critical information quickly </li></ul><ul><ul><li>Full-text & keyword search </li></ul></ul><ul><li>Enables richer description of your documents </li></ul><ul><ul><li>Tagging </li></ul></ul><ul><ul><li>Metadata </li></ul></ul>
  11. 11. Benefits of using a document repository (Cont'd)‏ <ul><li>Keeps track of revision history </li></ul><ul><ul><li>Store multiple versions of the same document </li></ul></ul><ul><ul><li>“ Rollback” to prior versions, if necessary </li></ul></ul><ul><li>Prevents “stepped-on toes” </li></ul><ul><ul><li>Check-in/Check-out locks documents to prevent simultaneous updates </li></ul></ul><ul><li>Can be used to automate review and approval </li></ul><ul><ul><li>Knows who needs to review changes </li></ul></ul><ul><ul><li>Handles automatic notification </li></ul></ul><ul><ul><li>Alerts when something is “stuck” in a queue </li></ul></ul>
  12. 12. Innovation waves - ECM and related Technologies Archiving Document Management Knowledge Mgmt Portal Smart Enterprise Suites Workflow / BPM Open Standards Open Source Innovation 1990 2010 Industry consolidation
  13. 13. The Document Management Landscape ACOM Solutions - EZeDocs Esker - Esker DeliveryWare Omnivore - Omnivore Active Innovations - infoRouter Exact Software - Macola Open Text - Livelink Enterprise Suite activePDF - activePDF Server Exegenix - Exegenix Conversion Solutions Optical Image Technology - DocFinity Ademero - WSEdit FileHold - Synergy Optio Software - Optio Print Manager Altimate Systems - OpenEDMS Filenet Ovitas - Content Lifecycle Solution Amplefile - Document Client FileOn - Enterprise eLibrary Pencilneck Software - Pencilcase CMS Anuva - Anuva Formdocs - Formdocs Plus Technologies - OM Plus Asset Management Technologies - AMTdirect FormScape Software - Covus Policy Technologies - Policy & Procedure Manager Astoria Software - Astoria GeoPlusUSA - VisionDOC PrinterOn - PrinterOn Envoy Auersoft - VisualVault gillc - Columbo Project Zone - Project Complete Automated Workflow - Insure.Sphere GIM Electronics - eDrawer QA Software - TeamBinder Bf.Collaboration - bf.documents Global Document Solutions - Gdox Quask - FormArtist Blue Angel Technologies - MetaStar Grapevine Software - On Demand Real Asset Management - Document4000 Bottomline Technologies - Create!form Heartbeat Software - Heartbeat Presenter Redwood Software - REPORT2WEB Bridgeline Software - docWIZARD IBM On Demand (???)‏ Relativity - Relativity Knowledge Management Tool Captaris - Alchemy IC Soft - icTracker Relyco - PlanetPress CCH - ProSystem fx Document IdeaSolutions - Find Desktop Professional Ripra - Digital Catalog CEO Image Systems - Executive Assistant IForceOnline - iForce Roger Software Development - RSD Folders Cerenade - Visual eForms iKAN Software - PaperTrax SalesBoom - On Demand CRM CHL Software - DocMoto Image Mentor - AX Migration Master ShareMethods - ShareMethods Cincom Systems - intelligent Document Solutions iMarkup Solutions - iMarkup Server SofTech - ProductCenter Citadon - Citadon CW InQuest Collaboration and Document Management Softlinx - Replix EDM ClearVision Technologies - ClearVision DMS Integrated Application Technologies - Integrated DMS Softology - e4DM ColumbiaSoft - Document Locator Intelligent Filing - e-Vu Stellent - Stellent Document Management Core Imaging - VIP DocManager Interax Group - Paradigm II StreamServe - Enterprise Document Presentment Currit Software - RepExpress Document Management Interwoven ECM Synergy International Systems - Synergy eForms Cypress - Cypress DocuSuite Investintech.com - Able2Extract The Intersoft Group - Savvy Data Reduction Systems - DRS DataView ISIS Papyrus America - Papyrus Document System Touchstone Systems - Metamation DATAssimilate Systems - DATAssimilator JBM Systems - OctoTools Trichys - WorkZone DBSentry - Samhita LBM Systems - AXIAR Trusted Edge - Secure Xchange Dieselpoint - Dieselpoint Search Levi, Ray & Shoup - VPSX Tyler Technologies - EDEN Document Management DMAC - Unibase Liquid Machines - Liquid Machines Document Control Verity - TeleForm Document Control Systems - MASTERControl Logiforms - Logiform VersaIMAGE Software - VersaIMAGE DocumenTree - DocumenTree LSSP - eDrawer Versis - DocSmart DocuSource - Document Management Software MaestroTec - Document Management Service Vicisoft Technologies - ViciDocs Docutron Systems - Docutron DMS Marketplace Software - e-manage Viking Software Solutions - VDE+Images DocuXplorer Software - DocuXplorer MasterControl - MasterControl Documents Virtual PDF - Virtual PDF Doxess - Doxess Webflow Merkur Group - DeliveryWare Vivaldi Software - Vivaldi QMS DynaPortal Software - DynaPortal Document Management NearStar - DataServer Voltage Security - Voltage SecureFile ebrary - Isaac New Mexico Software - Digital Filing Cabinet 3 WebAsyst - Document Depot eFinitive Systems - KwikTag NextPage - NextPage 2 WindFire Technology - Xtorm EFS Technology - LaserNet Nixel Technology - Nixel Docs Workshare - Workshare Professional 4 Ektron - Ektron DMS400 NOOMAC - NOOMAC Document File Manager WorldView - Document Management Services eMASON - IWorkS Image Workflow System NorthPoint Micro Services - Paper Buster Xpert Technologies - XPERT Knowledge EMC Documentum OmniRIM Solutions - OmniRIM Xpress Data Systems - EDMXpress <ul><li>Hundreds of commercial Document Management Systems </li></ul><ul><li>Existing since the late 80's </li></ul><ul><li>Archiving was a major focus initially </li></ul><ul><li>Records Management, Digital Asset Management, Web Content Management, etc. was added later </li></ul><ul><li>Few large players (EMC Documentum, IBM/Filenet, OpenText, etc.)‏ </li></ul><ul><li>Many many midrange and niche players, often country, language, or solution specific </li></ul><ul><li>Continuous consolidation since the late nineties </li></ul>Only few (~10) Open Source Document Management Systems
  14. 14. Open Source for Document Management – Substantial value added Reduce total cost of ownership (TCO) of DMS Avoid vendor dependencies Investment protection due to Open Standards compliance Leverage proven Open Source infrastructure layer Increase flexibility for implementation/development <ul><li>No or low license costs </li></ul><ul><li>Low support and maintenance costs </li></ul><ul><li>Full access to source code </li></ul><ul><li>Power of the communities </li></ul><ul><li>Adherence to open standards </li></ul><ul><li>Interoperability a given </li></ul><ul><li>Strong support for Open Standards </li></ul><ul><li>Reuse of other proven Open Source components reduces risk and cost </li></ul><ul><li>Openness and component orientation allows for more flexible implementations </li></ul>Benefits of using Open Soruce for DMS
  15. 15. Open Source Document Management Players 0 1 2 3 4 5 0 1 2 3 4 5 Application capabilities (Large) enterprise readiness Alfresco sTeam Contineo Plone Nuxeo KnowledgeTree Owl Community Legend
  16. 16. Related Solution Components <ul><li>Portal </li></ul><ul><ul><li>Pulls together disparate data and applications into a common view </li></ul></ul><ul><li>Wikis </li></ul><ul><ul><li>Free-form, collaborative authoring </li></ul></ul><ul><li>Blogs </li></ul><ul><ul><li>One-to-many communication </li></ul></ul><ul><ul><li>Non-technical publishing </li></ul></ul><ul><li>Forums </li></ul><ul><ul><li>Many-to-many discussion threads </li></ul></ul><ul><li>Chat </li></ul><ul><ul><li>Real-time discussion </li></ul></ul><ul><li>Social Networking </li></ul><ul><ul><li>Tracks who you know and who knows you </li></ul></ul>
  17. 17. The Practical Approach to Document Management
  18. 18. Executed poorly, these initiatives can get ugly <ul><li>Lengthy RFP/purchasing cycles </li></ul><ul><li>Never-ending projects </li></ul><ul><li>Expensive and complex “suites” of products </li></ul><ul><li>Heavy customization required to meet requirements </li></ul><ul><li>Difficulty integrating with other systems </li></ul><ul><li>Poor end-user adoption </li></ul>
  19. 19. Solution: Start Small and Grow <ul><li>Avoid big bang approach. Instead, start small, and grow </li></ul><ul><li>Be smart about where you start </li></ul><ul><ul><li>Containable </li></ul></ul><ul><ul><li>Early win </li></ul></ul><ul><ul><li>Ongoing champions </li></ul></ul><ul><ul><li>Willing to be a pioneer </li></ul></ul><ul><ul><li>Nursing or Pharmacy is a likely good first choice </li></ul></ul><ul><li>Leverage success to sell vision to senior management </li></ul><ul><li>Replicate the pattern to other departments </li></ul>
  20. 20. Once underway... <ul><li>Ruthlessly control scope </li></ul><ul><ul><li>Identify a few critical use cases/scenarios </li></ul></ul><ul><ul><li>Triage enhancements into “must”, “should”, “could”, and “won't” </li></ul></ul><ul><li>Stay as out-of-the-box as possible for phase 1 </li></ul><ul><li>Get something in front of the team early </li></ul><ul><li>Initially, it's all about the repository </li></ul><ul><ul><li>Limit the number of external components </li></ul></ul><ul><li>Communicate early and often </li></ul>
  21. 21. Case Studies (2 healthcare, 2 other)‏
  22. 22. Case Study: Large New England Hospital <ul><li>Problem </li></ul><ul><ul><li>Needed to get their documents under control </li></ul></ul><ul><ul><ul><li>Too many authors </li></ul></ul></ul><ul><ul><ul><li>Too much overlap across documents </li></ul></ul></ul><ul><ul><ul><li>Effectivity uncertain </li></ul></ul></ul><ul><ul><ul><li>No definitive single source </li></ul></ul></ul><ul><li>Approach </li></ul><ul><ul><li>Started with a Proof-of-Concept around Policies, Procedures, and Protocols for the Nursing Team </li></ul></ul><ul><ul><li>Moved documents into a repository, applied metadata, security, versioning, effectivity dates </li></ul></ul><ul><ul><li>Built a lightweight, Google-like search page for search and retrieval </li></ul></ul><ul><li>Result: Nursing Team happy...On to Radiology </li></ul>
  23. 24. Case Study: Activision <ul><li>Problem </li></ul><ul><ul><li>Needed to disseminate sales reports to a geographically dispersed team </li></ul></ul><ul><ul><li>Reports were scattered across servers and workstations </li></ul></ul><ul><li>Approach </li></ul><ul><ul><li>Moved the reports into a repository, applied metadata, security </li></ul></ul><ul><ul><li>Provided an easy-to-use, portal interface for search and retrieval </li></ul></ul><ul><ul><li>Used this as a Proof-of-Concept for the foundation of an Enterprise 2.0 Intranet platform </li></ul></ul><ul><li>Result: TBD (Recent go-live)‏ </li></ul>
  24. 27. Case Study: McKesson <ul><li>Problem </li></ul><ul><ul><li>Wanted to provide documents to member pharmacists around drug trend spending, hot deals, toolkits, drug updates </li></ul></ul><ul><ul><li>Needed to be easy to upload and tag documents </li></ul></ul><ul><li>Approach </li></ul><ul><ul><li>Moved the documents into a repository, applied metadata, security </li></ul></ul><ul><ul><li>Provided an easy-to-use, portal interface for search and retrieval </li></ul></ul><ul><li>Result: TBD (Recent go-live)‏ </li></ul>
  25. 28. Screen Shots
  26. 30. Case Study: Endeca <ul><li>Problem </li></ul><ul><ul><li>Wanted to create an online community of customers, partners, and Endeca employees </li></ul></ul><ul><ul><li>Needed to be easy to upload and tag documents </li></ul></ul><ul><ul><li>Required integration of Portal, Search, Document Management, Blog Server </li></ul></ul><ul><ul><li>Project had a hard deadline </li></ul></ul><ul><li>Approach </li></ul><ul><ul><li>Assembled a solution from open source components </li></ul></ul><ul><ul><li>Used workflows to route content for approval </li></ul></ul><ul><ul><li>Provided an easy-to-use, portal interface for search and retrieval </li></ul></ul>
  27. 31. Case Study: Endeca (Cont'd)‏ <ul><li>Results </li></ul><ul><ul><li>Huge increase in engaged participation from user community </li></ul></ul><ul><ul><ul><li>More (volume, quality) forum activity </li></ul></ul></ul><ul><ul><ul><li>Increase in user registration for the site </li></ul></ul></ul><ul><ul><ul><li>Increase in annual conference attendees </li></ul></ul></ul>
  28. 35. Lessons Learned
  29. 36. Lessons Learned <ul><li>Start small and grow </li></ul><ul><li>Leverage enterprise-ready open source software </li></ul><ul><li>Involve end-users in all aspects of the project </li></ul><ul><li>Provide ample end-user training/ communication </li></ul><ul><ul><li>Train-the-trainer sessions </li></ul></ul><ul><ul><li>“ What's coming” newsletters and emails </li></ul></ul><ul><ul><li>Quick reference guides </li></ul></ul><ul><li>Don't take on too much scope </li></ul><ul><li>Find the right level of customization </li></ul><ul><ul><li>Usability </li></ul></ul>
  30. 37. Lessons Learned (Cont'd)‏ <ul><li>Allocate enough time for content migration </li></ul><ul><li>Give yourself an opportunity to incorporate feedback </li></ul><ul><ul><li>Plan for multiple phases with short iterations </li></ul></ul><ul><li>Use POCs to prove out the technology to yourself, your end-user teams, and your executive sponsors </li></ul><ul><li>Leave yourself options (leverage a loosely coupled architecture)‏ </li></ul><ul><li>Always take a test drive </li></ul><ul><li>Always ask for and check references </li></ul>
  31. 38. Next Steps <ul><li>Get your feet wet with open source </li></ul><ul><li>Find a small project to carve off that meets the criteria discussed earlier </li></ul><ul><ul><li>Containable </li></ul></ul><ul><ul><li>Early win </li></ul></ul><ul><ul><li>Ongoing champions </li></ul></ul><ul><ul><li>Willing to be a pioneer </li></ul></ul><ul><ul><li>Nursing or Pharmacy is a likely good first choice </li></ul></ul><ul><li>Use the Optaros Enterprise Open Source (EOS) Directory to research open source offerings (http://www.eosdirectory.com/)‏ </li></ul><ul><li>Start small and grow; Replicate what works </li></ul>
  32. 39. We Design, Assemble & Support Next Generation Internet Solutions for the Agile Enterprise What we do : We provide custom solutions for our clients to meet the next generation of customer expectations. How we do it : We design compelling Web 2.0 user experiences, and assemble loosely-coupled software components (services, open source) into supported composite applications. Founded: 2004 Capitalization: $20 million Size: 200+ employees Offices: Boston, Austin, Bucharest, Geneva, London, Munich, San Francisco, Zurich Our Performance: Over 75 unique clients Client References: 100% Projects On-time/On-budget: 98% Revenue: 0 to $21MM in 3 years