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

Practical Document Management

Jeff Potts

Practice Director, ECM

05/08/08 © Optaros 2007. All rights reserved. 2

Agenda

Document Management & Open Source

The Practical Approach to Document Management

Case Studies

Lessons Learned

Next Steps


Which version of the “atrium chest drainage procedure” was effective on 9/10/2007?

Where is the infusion pump policy?

Who updated the resuscitation protocol last and what did they change?

There are two documents explaining the protocol for epidural analgesia—which one is right?

Who approved the document entitled, “Guidelines for the Nursing care of the Patient with an ICD”?

The crash cart equipment checklist has been updated, who needs to be notified?

Are questions like these easy to answer?


Are they important questions?

Joint Commission surveys/survey prep

Quality & Safety Committees

Risk Management

Training teams

Legal department


Document Management &Open Source


Why are those questions so tough?

Because the answers are tied up in rich content and the interactions between people and those files

Traditional document storage approaches aren't rich enough to solve this problem

• Can't “tag” the files—Limited to file name, date, folder structure• Can't easily search across all sources• Duplication runs rampant; Content is constantly being reinvented• Security and auditability are dubious, at best

Plus...


...Files are often scattered across file shares, email, and individual workstations


Enterprise Content Management (ECM) Tries to Solve this Problem

Digital Asset Management

Document Management

Records Management Web Content ManagementContent

Repository


Document Management – Typical features

Create and Store Integration with standard authoring tools like MS Office

Import doc through upload, WebDAV, CIFS

Meta data

Organize Version control

Lifecycle Management

Workflow

Document references and smart folders

Collaborate Role- and Access based security

Notification

Search & Access Attribute based and full-text

Browse Folder/Tree Navigation

Bookmarks and Links

Transform Output channel or device specific formats like PDF or HTML


Benefits of using a document repository

Easier to control access to documents• Fine-grained security• Users, groups, roles

Makes it possible to track activity• Track reads, updates, deletes through audit trail

Improves the ability of staff to find critical information quickly

• Full-text & keyword search

Enables richer description of your documents• Tagging• Metadata


Benefits of using a document repository (Cont'd)

Keeps track of revision history• Store multiple versions of the same document• “Rollback” to prior versions, if necessary

Prevents “stepped-on toes”• Check-in/Check-out locks documents to prevent

simultaneous updates

Can be used to automate review and approval• Knows who needs to review changes• Handles automatic notification• Alerts when something is “stuck” in a queue


Innovation waves - ECM and related Technologies

ArchivingDocumentManagement

KnowledgeMgmt Portal

SmartEnterpriseSuites

Workflow / BPM

Open StandardsOpen Source

Inn

ovati

on

1990 2010

Industry consolidation


The Document Management LandscapeACOM Solutions - EZeDocs Esker - Esker DeliveryWare Omnivore - OmnivoreActive Innovations - infoRouter Exact Software - Macola Open Text - Livelink Enterprise SuiteactivePDF - activePDF Server Exegenix - Exegenix Conversion Solutions Optical Image Technology - DocFinityAdemero - WSEdit FileHold - Synergy Optio Software - Optio Print ManagerAltimate Systems - OpenEDMS Filenet Ovitas - Content Lifecycle SolutionAmplefile - Document Client FileOn - Enterprise eLibrary Pencilneck Software - Pencilcase CMSAnuva - Anuva Formdocs - Formdocs Plus Technologies - OM Plus

Asset Management Technologies - AMTdirect FormScape Software - Covus Policy Technologies - Policy & Procedure ManagerAstoria Software - Astoria GeoPlusUSA - VisionDOC PrinterOn - PrinterOn EnvoyAuersoft - VisualVault gillc - Columbo Project Zone - Project CompleteAutomated Workflow - Insure.Sphere GIM Electronics - eDrawer QA Software - TeamBinderBf.Collaboration - bf.documents Global Document Solutions - Gdox Quask - FormArtistBlue Angel Technologies - MetaStar Grapevine Software - On Demand Real Asset Management - Document4000Bottomline Technologies - Create!form Heartbeat Software - Heartbeat Presenter Redwood Software - REPORT2WEBBridgeline Software - docWIZARD IBM On Demand (???) Relativity - Relativity Knowledge Management ToolCaptaris - Alchemy IC Soft - icTracker Relyco - PlanetPressCCH - ProSystem fx Document IdeaSolutions - Find Desktop Professional Ripra - Digital CatalogCEO Image Systems - Executive Assistant IForceOnline - iForce Roger Software Development - RSD FoldersCerenade - Visual eForms iKAN Software - PaperTrax SalesBoom - On Demand CRMCHL Software - DocMoto Image Mentor - AX Migration Master ShareMethods - ShareMethods

Cincom Systems - intelligent Document Solutions iMarkup Solutions - iMarkup Server SofTech - ProductCenterCitadon - Citadon CW InQuest Collaboration and Document Management Softlinx - Replix EDM

ClearVision Technologies - ClearVision DMS Integrated Application Technologies - Integrated DMS Softology - e4DMColumbiaSoft - Document Locator Intelligent Filing - e-Vu Stellent - Stellent Document ManagementCore Imaging - VIP DocManager Interax Group - Paradigm II StreamServe - Enterprise Document Presentment

Currit Software - RepExpress Document Management Interwoven ECM Synergy International Systems - Synergy eFormsCypress - Cypress DocuSuite Investintech.com - Able2Extract The Intersoft Group - SavvyData Reduction Systems - DRS DataView ISIS Papyrus America - Papyrus Document System Touchstone Systems - MetamationDATAssimilate Systems - DATAssimilator JBM Systems - OctoTools Trichys - WorkZoneDBSentry - Samhita LBM Systems - AXIAR Trusted Edge - Secure XchangeDieselpoint - Dieselpoint Search Levi, Ray & Shoup - VPSX Tyler Technologies - EDEN Document ManagementDMAC - Unibase Liquid Machines - Liquid Machines Document Control Verity - TeleForm

Document Control Systems - MASTERControl Logiforms - Logiform VersaIMAGE Software - VersaIMAGEDocumenTree - DocumenTree LSSP - eDrawer Versis - DocSmartDocuSource - Document Management Software MaestroTec - Document Management Service Vicisoft Technologies - ViciDocsDocutron Systems - Docutron DMS Marketplace Software - e-manage Viking Software Solutions - VDE+ImagesDocuXplorer Software - DocuXplorer MasterControl - MasterControl Documents Virtual PDF - Virtual PDFDoxess - Doxess Webflow Merkur Group - DeliveryWare Vivaldi Software - Vivaldi QMS

DynaPortal Software - DynaPortal Document Management NearStar - DataServer Voltage Security - Voltage SecureFileebrary - Isaac New Mexico Software - Digital Filing Cabinet 3 WebAsyst - Document DepoteFinitive Systems - KwikTag NextPage - NextPage 2 WindFire Technology - XtormEFS Technology - LaserNet Nixel Technology - Nixel Docs Workshare - Workshare Professional 4Ektron - Ektron DMS400 NOOMAC - NOOMAC Document File Manager WorldView - Document Management ServiceseMASON - IWorkS Image Workflow System NorthPoint Micro Services - Paper Buster Xpert Technologies - XPERT KnowledgeEMC Documentum OmniRIM Solutions - OmniRIM Xpress Data Systems - EDMXpress

• Hundreds of commercial Document ManagementSystems

• Existing since the late 80's• Archiving was a major focus initially• Records Management, Digital Asset Management,

Web Content Management, etc. was added later• Few large players (EMC Documentum, IBM/Filenet,

OpenText, etc.)• Many many midrange and niche players, often country,

language, or solution specific• Continuous consolidation since the late nineties

Only few (~10) Open

Source Document

Management Systems


Open Source for Document Management – Substantial value added

Reduce total cost of ownership (TCO) of DMS

Avoid vendor dependencies

Investment protection dueto Open Standards compliance

Leverage proven Open Source infrastructure layer

Increase flexibility forimplementation/development

• No or low license costs• Low support and

maintenance costs

• Full access to source code• Power of the communities• Adherence to open

standards• Interoperability a given• Strong support for Open

Standards

• Reuse of other proven Open Source components reduces risk and cost

• Openness and component orientation allows for more flexible implementationsB

en

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DM

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0

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3

4

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Application capabilities

(Larg

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en

terp

rise r

ead

iness

Alfresco

sTeam

Contineo

Plone

Nuxeo

KnowledgeTree

Owl

Community

Legend

Open Source Document Management Players


Related Solution Components

Portal• Pulls together disparate data and

applications into a common view

Wikis• Free-form, collaborative authoring

Blogs• One-to-many communication• Non-technical publishing

Forums• Many-to-many discussion threads

Chat• Real-time discussion

Social Networking• Tracks who you know and who knows you


The Practical Approach toDocument Management


Executed poorly, these initiatives can get ugly

Lengthy RFP/purchasing cycles

Never-ending projects

Expensive and complex “suites” of products

Heavy customization required to meet requirements

Difficulty integrating with other systems

Poor end-user adoption


Solution: Start Small and Grow

Avoid big bang approach. Instead, start small, and grow

Be smart about where you start• Containable• Early win• Ongoing champions• Willing to be a pioneer• Nursing or Pharmacy is a likely good first choice

Leverage success to sell vision to senior management

Replicate the pattern to other departments


Once underway...

Ruthlessly control scope• Identify a few critical use cases/scenarios• Triage enhancements into “must”, “should”,

“could”, and “won't”

Stay as out-of-the-box as possible for phase 1

Get something in front of the team early

Initially, it's all about the repository• Limit the number of external components

Communicate early and often


Case Studies(2 healthcare, 2 other)


Case Study: Large New England Hospital

Problem• Needed to get their documents under control

– Too many authors– Too much overlap across documents– Effectivity uncertain– No definitive single source

Approach• Started with a Proof-of-Concept around Policies,

Procedures, and Protocols for the Nursing Team• Moved documents into a repository, applied

metadata, security, versioning, effectivity dates• Built a lightweight, Google-like search page for

search and retrieval

Result: Nursing Team happy...On to Radiology



Case Study: Activision

Problem• Needed to disseminate sales reports to a

geographically dispersed team• Reports were scattered across servers and

workstations

Approach• Moved the reports into a repository, applied

metadata, security• Provided an easy-to-use, portal interface for

search and retrieval• Used this as a Proof-of-Concept for the

foundation of an Enterprise 2.0 Intranet platform

Result: TBD (Recent go-live)




Case Study: McKesson

Problem• Wanted to provide documents to member

pharmacists around drug trend spending, hot deals, toolkits, drug updates

• Needed to be easy to upload and tag documents

Approach• Moved the documents into a repository, applied

metadata, security• Provided an easy-to-use, portal interface for


Result: TBD (Recent go-live)


Screen Shots



Case Study: Endeca

Problem• Wanted to create an online community of

customers, partners, and Endeca employees• Needed to be easy to upload and tag documents• Required integration of Portal, Search,

Document Management, Blog Server• Project had a hard deadline

Approach• Assembled a solution from open source

components• Used workflows to route content for approval• Provided an easy-to-use, portal interface for



Case Study: Endeca (Cont'd)

Results• Huge increase in engaged participation from user community

– More (volume, quality) forum activity– Increase in user registration for the site– Increase in annual conference attendees





Lessons Learned


Lessons Learned

Start small and grow

Leverage enterprise-ready open source software

Involve end-users in all aspects of the project

Provide ample end-user training/ communication• Train-the-trainer sessions• “What's coming” newsletters and emails• Quick reference guides

Don't take on too much scope

Find the right level of customization• Usability


Lessons Learned (Cont'd)

Allocate enough time for content migration

Give yourself an opportunity to incorporate feedback• Plan for multiple phases with short iterations

Use POCs to prove out the technology to yourself, your end-user teams, and your executive sponsors

Leave yourself options (leverage a loosely coupled architecture)

Always take a test drive

Always ask for and check references


Next Steps

Get your feet wet with open source

Find a small project to carve off that meets the criteria discussed earlier

• Containable• Early win• Ongoing champions• Willing to be a pioneer• Nursing or Pharmacy is a likely good first choice

Use the Optaros Enterprise Open Source (EOS) Directory to research open source offerings (http://www.eosdirectory.com/)

Start small and grow; Replicate what works


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

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