Establishing and Governing an Enterprise Document Management System

Transcription

1 Establishing and Governing an Enterprise Document Management System PRESENTED BY: Keith Fournier, PMP, CMS, GISP Lucas County Information Services Auditor s Real Estate Information System

2 Introduction Keith Fournier Chief Information Officer (CIO) Geographic Information Officer (GIO) Director Lucas County Information Systems Lucas County Geographic Information Systems (GIS) Auditor s Real Estate Information System (AREIS)

3 Enterprise System Planning Process Problematic Imaging & Workflow Situation Creating County-wide Governance for Imaging Establishing Enterprise Document Taxonomy enumeration Application Integration Enterprise Vs. Point Solutions GIS Integration Cost Savings Lessons Learned Agenda

4 Enterprise Planning Process Establish a Long Term Vision Vision must be based on at least one Core Belief Achieving the Vision is dependent upon identifying Strategic Goals Short Term Tactical Plans support achieving Strategic Goals Be able to communicate Vision, Strategies and Tactics throughout your organization!

5 Project Planning Payback Every $1 spent to resolve a problem during design, $10 would be spent on the same problem during development, and multiply to $100 or more if the problem had to be solved after the production release." Software Engineering: A Practitioner's Approach, Robert Pressman IBM, 2001

6 LCIS Strategies Adopt pervasive in the market standards for: Enterprise Applications Networks Servers Desktops Extend standards from the Data Center to the Desktop to create seamless systems Lead agencies to adopt same standards through offering business analyst partnerships

7 Initial Imaging Project Contact IS Manager in 2001, CIO in 2002 Nine (9) Different Agencies Selected or Identified Imaging Solution Three (3) in process of purchasing No Strategic Plan Every 1 Dollar of Planning Saves $10 over systems life No Enterprise Integration All Single Point/Agency Solutions Combined Acquisition Cost Astronomical by the way, LCIS has to support it all

8 IT Concerns Network Bandwidth Support Development Database Compatibility Centralized Operations Management Thin Client Architecture Cross Agency Workflow & Document Sharing HIPPA, Security and Privacy

9 Gartner Group ERP Consultants Selection Criteria Solution Delivery Vision Open System SQL Database No Encrypted Images Redaction Existing System Integration ERP GIS Research

10 How it was initially postured? Phase I - Scan and Retrieval System Microfilm Replacement Migration of older document management system to OnBase Phase II - Internal Agency Workflow Forms Processing Backfile New Agencies brought into Phase I Phase III - IntraAgency Workflow Sanitary Engineer, County Engineer and Real Estate Commissioners Agenda and Resolutions Courts (i.e. Domestic Relations) and Social Service Agencies

11 How was is initially postured? Phase IV - G2G Intra Government Workflow (County to City, County to State, County to County, County to Federal) Phase V G2C Public Access Content Security and Privacy

12 Total Cost of Ownership for OMB Implementation Costs Hardware OS/Database Software Resources Internal/External Operational Costs Upgrades/Versions Updates Patches/Fixes/Bundles Resources Internal/External Backup, Help Desk, User Administration 3-4 Year Projections Equipment Life Cycle TCO

13 Document Imaging Governance Develop Governance Mechanism Vision/Strategy Tactical Decision Communication Forum Authority Duties Membership Roles and Responsibilities

14 Centralized Management Licenses Data Storage/Recovery Complete Development, Test, Production Project Change Control Change Control Board (CCB) Approves Business Case for All Changes Versions/Upgrades Patches/Fixes/Bundles Application Enhancement or Development

15 Procurement Performance Based Specifications Emphasis on Certifications & References Document Management Workflow ERP Integration Experience with Certifications Database Networking Clustering & SAN Operating and File Management System Project Management Enterprise Database Certification

16 Infrastructure Architecture Network Configuration VLAN, DHCP, DMZ, Firewall, WAN Physical Plant (Fiber) Standard Network Equipment Operations Data Centers SAN NAS User File Storage

17 Imaging Advisory Group Imaging Advisory Group (IAG) Sub-Committee of Automatic Data Processing Board Chaired by Clerk of Courts County Records Manager Resolution from County Commissioners Recognizing and Vesting Authority in IAG Setting Single ECM Provider as Enterprise Platform Centralized Administration of Licenses LCIS operates all back office functions (operations/backup/recovery)

18 Back Office Standardization Platform WinTel 3-Tier and Clustered Robust Server OS Database (SQL Compliant) Client (Thin Client) Image Format (TIF Group 4) Storage (SAN Full Replication) Backup (Tape and Mirrored Disk Arrays)

19 Data Organization Metadata Data on the Data Common Indexing Document Analysis Indexing Requirements Consistent Document Naming Convention Versioning Rules Document Retention Information Application Integration GIS Integration

20 Archiving Microfilm Long Term and Permanent Storage Can be used to satisfy legal mandates On-Line Storage SAN NAS Full Replication with Physical Separation SnapView and MirrorView Platter Management Standards

21 Current Projects Sanitary Engineer County Engineer Health Department Children Services Auditor s Real Estate Clerk of Courts Auditor s Office Commissioners Office

22 A Document Taxonomy is Taxonomy The classification of organisms in an ordered system that indicates natural relationships. Document Taxonomy The Classification of documents and their content , images, PC files, printouts, audio, video, forms, etc. Key in implementing & maintaining content and compliance strategies as they evolve

23 Enterprise Taxonomy Classification Collaborative Indexing Standardization of Document Naming & Indexing Conventions Common: Name, Address, Date Format Retrieval Rules Security Profiles Document Retention Source Document Attributes Optional Automated Document Classifier Uses Fuzzy Logic to Group Similar Appearing Documents

24 Statistics From Taxonomy Study Initially users defined Raw Keywords reduced to about 240 after duplications identified. 33 Normalized Keywords appear in 92% of the Documents Unique Person Identifier or Geographic Location 40% of Documents known by a different name in other departments Duplicates storage, indexing labor, retention/destruction labor Versioning Problems 50+% of Documents can be electronically captured at source 50+% of Forms can be machine read and indexed

25 Why a Document Taxonomy? To Prevent the Four Biggest Mistakes in Enterprise Document Management 1. Rush to implement creates single purpose silos 2. Incomplete document information at capture Reduce Life Cycle Cost of Document 3. Not organized by retention rules Documents cannot be easily removed 4. Non-standard formats for dates, addresses, names Can t synchronized across all systems (enumeration Database)

26 Synchronize Datasets Synchronize with enumeration Dataset People Name Family Relationships Vital Statistics Places Address Programs Social Services Courts Could potentially come from GIS datasets

27 Synchronize Dataset Auditor JFS Address Change Courts Notifies Owner enumeration Database Enters ED E911 Engineer Commits Change and Updates Indexes Utilities GIS

28 enumeration Dataset Separate database - authoritative source of information Query and Update Data Sources with the latest information Enumerate Client Characteristics Personal info such as DOB, SSN, DL, Status, Address, etc. Relationships to other people and to property Participation in Government Programs Consolidation of existing county information For consistent reference, not for investigation

29 Application Integration Many agency specific systems also provide document management options Generally simple scan, view integrated to line of business application Often proprietary, high life cycle cost Application Enabler - Adds integration from a single enterprise solution Example: Court Systems, New Payroll, Legacy Accounting High Functionality Lower Life Cycle Costs

30 GIS/ECM Integration AREIS Auditor s Real Estate Information System Mature Award Winning GIS System Cadastral Based Mapping Internal Development and Analytical Teams Integration of GIS with ECM Beta Module Internet Web Server CAD Integration AutoCAD for Subdivision Submittal and Update Viewing Application

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32 Enterprise ECM Cost Comparison Cost Savings Purchase 500 Concurrent Users Centralized Software $670,000 Hardware $250,000 Cluster, SAN, Scanners Services $390,000 Design, Install, Train 10 Agency Systems $3,420,000 $ 910,000 $1,140,000 Total $1,310,000 $5,470,000

33 Total Cost of Ownership Analysis Life Cycle Cost Savings Reoccurring Annual Costs Centralized Support Staff $250,000 Help Desk, OS, Backup ECM Administration Scanning Labor $400,000 40% Duplication of Documents Enumeration Database Source Capture Software Maintenance $110,550 Hardware Maintenance $12,500 Retention-Destruction Mgt $100,000 Privacy-HIPPA Mgt. $100,000 Total $973, Agency Systems $850,000 $900,000 $564,300 $ 45,500 $400,000 $300,000 $3,059,800 What if 46 Agencies Did Their Own Systems?

34 Lessons Learned Centralization Pays for Itself - Upfront Reduced cost of procurement (10 RFP s or 1) Reduced complexity of systems and support Reduction in Software & Hardware Planning (Taxonomy) & Integration (Enumeration Dataset, Application Enabler, GIS/ECM) are key to low costs, high functionality

35 Lessons Learned Centralization Pays for Itself Long Run Lower Maintenance Costs, Fewer Support Staff Less Downtime More $ for Better infrastructure Fewer migrations of abandoned imaging systems Reduction in capture costs and storage Reduction in retention-destruction costs Government Doesn t Pay Enough but the experience priceless

36 Questions Establishing and Governing an Enterprise Document Management System Keith Fournier MA, MBA, PMP, CMS, GISP Lucas County Information Services Auditor s Real Estate Information System [email protected]