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

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

Published on June 12, 2008

Author: abelsp

Source: slideshare.net

Description

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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Practical Document Management Jeff Potts Practice Director, ECM

Agenda Document Management & Open Source The Practical Approach to Document Management Case Studies Lessons Learned Next Steps

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?

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 they important questions? Joint Commission surveys/survey prep Quality & Safety Committees Risk Management Training teams Legal department

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...

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 Management Content 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

Integration with standard authoring tools like MS Office

Import doc through upload, WebDAV, CIFS

Meta data

Version control

Lifecycle Management

Workflow

Document references and smart folders

Role- and Access based security

Notification

Attribute based and full-text

Browse Folder/Tree Navigation

Bookmarks and Links

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

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

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 Archiving Document Management Knowledge Mgmt Portal Smart Enterprise Suites Workflow / BPM Open Standards Open Source Innovation 1990 2010 Industry consolidation

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 Hundreds of commercial Document Management Systems 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

Hundreds of commercial Document Management Systems

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

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 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 implementations Benefits of using Open Soruce for DMS

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 implementations

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

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

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 to Document 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

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

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

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

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)‏

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 search and retrieval Result: TBD (Recent go-live)‏

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 search and retrieval

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 search and retrieval

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 search and retrieval

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

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

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

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

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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