Improving Health and Human Services with Enterprise Content Management

Improving Health and Human Services with Enterprise Content Management Microsoft SharePoint 2010 White Paper Inspire more

Table of Contents Executive Summary... 4 A Vision for Connected Health and Human Services... 5 Introduction... 7 Problem Statement... 7 Solution Description... 7 SharePoint Platform... 8 Electronic Case File Solution... 8 Online Manuals Solution... 9 SharePoint Platform... 10 Solution Components... 10 Deployment Model... 10 SharePoint 2010 Shared Service Architecture... 12 Security Configuration... 13 Electronic Case File System... 14 Solution Overview... 14 Content Lifecycle... 14 SharePoint Feature Sets... 15 Document IDs... 16 Managed Metadata Service... 16 In-Place Records Management... 16 Content Organizer Rules... 16 Document Sets... 16 Business Connectivity Services... 17 Remote BLOB Storage... 17 Solution Architecture... 17 Electronic Case File Taxonomy... 18 Component Isolation... 19 Electronic Case File Application... 20 Verification Document Type... 20 Electronic Case File Workflows... 21 Document Scanning and Indexing... 21

Document Search and Case File Attachment... 22 Records Repository Application... 22 Document Libraries... 22 Records Repository Home... 23 Sub-Repositories... 23 Purge Job... 23 Online Manuals... 24 Solution Overview... 24 Manual Users... 24 Online Manuals Team... 24 Online Manuals Extended Team... 25 Solution Architecture... 25 Enterprise Wiki Sites... 26 Online Manuals Taxonomy... 26 Top-Level Site... 27 Online Manuals Home Page... 27 Manuals Change Request... 28 Forms Change Request List... 28 Online Manuals Team Discussion... 28 Workflows... 29 My Online Manuals Portal... 29 Managers Online Manuals Portal... 29 Transmittal Letters... 29 RSS Feeds... 30 Policy Search Center... 30 Manuals Sites... 30 Wiki Page Template... 30 Pages Library... 30 Versions Library... 30 Background Material Drop-Off Library... 31 Background Material Library... 31 Security Architecture... 31 Conclusion... 32

Executive Summary Public health and human services organizations are under tremendous pressure today to deliver services quickly and accurately, using limited or even dwindling resources, to a growing number of people. In order to meet this challenge, more and more governmental organizations are looking to technology solutions to help them streamline processes and consolidate resources. By automating service processes, providing tools that are easy to use, and unifying their technology platform, they hope to improve efficiency and ultimately drive successful health and human services outcomes. This white paper provides reference architecture for a consolidated platform for health and human services applications built on Microsoft SharePoint Server 2010. This platform provides core enterprise content management (ECM) services to facilitate document management, records management, collaboration, and workflow across organizations and processes. This paper also provides blueprints for two applications built on this platform, the Electronic Case File solution and the Online Manuals solution. These solutions are also consistent with the Microsoft U.S. Public Sector Connected HHS Business and Technology Architecture (Connected HHS). By consolidating technology services, automating processes, and making it easier for people and departments to communicate and work together, SharePoint 2010 can help governmental organizations to control costs and increase efficiency, ultimately leading to more successful outcomes for their users.

The Connected Health and Human Services Framework The Connected Health and Human Services (HHS) Framework provides a business and technology architecture and prescriptive guidance for health and human services agencies in their efforts to transform operations. The framework is a mode of phased initiatives and technology investments leading to holistic, integrated service delivery facilitating both near-term cost savings and significant service improvements both to clients and to the community at large. A Vision for Connected Health and Human Services In the past, efforts to integrate services and administration have been stymied by the belief that these efforts required large-scale reorganization of departments and ripping and replacing technology investments, as well as the perception that the benefits of these efforts would not be obtained within the tenure of the public sector executives who authorized the expenditure. Today, however, advancements in information technology permit these organizations to take an individual and family-centric approach to transforming the management and delivery of health and human services which: Uses existing infrastructure. Simplifies existing processes. Preserves the organizational integrity of caregivers and agencies. Enhances service outcomes. Provides a more secure, role-based access to information. Delivers improvements in access and efficiencies. Reduces risk. Provides better analytics. Expedites business and IT strategies for executives to deliver outcomes in their tenures. The Microsoft U.S. Public Sector Connected HHS Business and Technology Architecture, or Connected HHS, is designed to address the challenges that face health and human services agencies, departments, and programs. Connected HHS is a strategy for connecting people and systems, improving collaborating and informed decision making. This enables agencies, departments, and programs to empower caregivers and provide improved services to a broader population while also managing the cost of delivering services. Connected Health and Human Services is informed by existing enterprise architecture concepts and principles documented by the Enterprise Architecture Committee of the National Association of State CIOs (NASCIO) and the Federal Enterprise Architecture (FEA) project sponsored by the Federal Office of Management and Budget (OMB). The Connected HHS Framework, which includes both a business and technology architecture, defines a generic HHS application model and is intended for executives addressing current business challenges, such as planning and resource allocation, revenue maximization, or even legacy system replacement. Two architecture characteristics drive the business architecture: use of common business processes that support requirements of multiple programs; and interconnected business processes based on cross-program and 5

cross-department information access. Key elements of the business framework are documented through high-level scenarios that describe future business processes. The technical framework architecture maps Microsoft products and partner solutions to the business framework. Both conceptual and detailed technical models can be implemented in steps based on business value, service priorities, and other factors that are unique to particular agencies. Before an organization embarks on the business and technical framework of Connected HHS, HHS leaders develop a project-specific roadmap to guide the process. The roadmap aligns technology initiatives with business goals and helps to define the approach, timing, and sequencing of the steps required to achieve a shared services environment. Developing a business and technology roadmap will establish a strong foundation for the successful and efficient transition to a modern, connected, and integrated HHS environment. The solution platform discussed in this white paper is an example of a rich set of core infrastructure services aligned to the Connected HHS Framework. These capabilities, implemented in conformance to service-oriented architecture (SOA) best practices, provide a reusable set of technical services that can solve a multitude of business problems. The SharePoint platform solution described in this paper provides the requisite technology services to support an efficient health and human services delivery system encompassing such capabilities as eligibility, screening, enrollment, and intake. The Electronic Case File application described in this document highlights these capabilities as applied to a particular scenario. In addition, certain business administrative services regarding program policies and procedures and compliance guidelines are critical for all health and human services programs. This same SharePoint platform also provides the infrastructure technical services requisite for those needs as illustrated by the Online Manuals application. These two example applications serve as a reference architecture demonstrating how shared business and technology services can be implemented in a way that spans multiple health and human services programs. The reference architecture is described here as implemented in Kentucky s Cabinet for Health and Family Services (CHFS). By conforming to the tenets of service-oriented architecture (SOA), commercial off-the-shelf (COTS) software, and reuse as outlined in the CMS Medicaid Information Technology Architecture (MITA), these business and technical services can be created efficiently and cost effectively using matched funding. For more information, see http://www.cms.gov/medicaidinfotecharch/04_mitaframework.asp. 6

Introduction Government institutions are continually called upon to deliver services to their constituents using limited resources. The Microsoft SharePoint 2010 family of products helps them to achieve this goal by providing them with enterprise content management (ECM) capabilities that are easy to use and that take advantage of existing technology investments. This white paper describes a sample Microsoft SharePoint 2010 platform solution designed for government institutions to use as a model for solutions of their own. This reference architecture consists of three primary components. The first component is the consolidated SharePoint platform, providing fundamental services and capabilities to other solutions. Two additional tenant solutions, Electronic Case File and Online Manuals, illustrate how this platform can be applied to real-world scenarios. This reference architecture is based on a similar solution, the Kentucky Access, Accuracy, and Accountability Project (KAAAP), implemented by Kentucky s Cabinet for Health and Family Services (CHFS) as part of its IT modernization. Problem Statement Public institutions face significant content challenges in doing their work. These organizations may be called upon to handle huge volumes of documents in providing services to the public. People in different locations, departments, and organizations need to work together and communicate efficiently. Employees need access to the most up-todate information on service procedures and policies. And all this must be achieved while maintaining high levels of security, protecting privacy, and complying with legal regulations. By providing tools and solutions for content and records management, communication and collaboration, and business process automation, Microsoft SharePoint 2010 helps governmental organizations to provide these services efficiently and accurately and to maintain appropriate levels of security and transparency while keeping costs under control. Solution Description SharePoint 2010 is designed to deliver enterprise content management capabilities to end users across the organization so that people can find, use, and share information in a way that s familiar and natural. The SharePoint solution consists of three major components: SharePoint platform Electronic Case File solution Online Manuals solution See Figure 1: SharePoint Solution Conceptual Overview for more detail. 7

Figure 1: SharePoint Solution Conceptual Overview SharePoint Platform The SharePoint platform is the basis for the solutions described in this paper. The SharePoint platform provides a highly secure, unified foundation for document creation and management, communication and collaboration services, and workflows that are used by its tenant solutions. The platform is designed with the ability to scale up to meet increasing demand. The consolidated platform also simplifies management of services and solutions contained within the solution. The SharePoint platform can support multiple tenant solutions, two of which are described in this paper. Electronic Case File Solution Managing enrollment and eligibility for public services requires the gathering, management, and retention of huge numbers of documents and records. Managing this volume of paper documents is labor intensive, time consuming, and costly. The same information may be captured and stored in multiple locations, which can lead to confusion, errors, and wasted effort. The Electronic Case File solution provides a central location for storing electronic versions of documents, along with taxonomy and metadata that make it easy to find relevant documents and associate them with case files. This allows documents to be re-used, saving time, effort, and resources involved in storing and managing paper versions. Having a 8

single electronic repository also helps to simplify security and compliance with retention policies. The Electronic Case File solution is a tenant of the SharePoint platform. Online Manuals Solution In order to do their job accurately and efficiently, government staff need access to up-todate information on policies and procedures. Providing this information on a timely basis and in a way that s easy to use can be a serious challenge. Policy manuals require regular updates, which may involve the combined efforts of many stakeholders. Updates need to be published to end users regularly, and policy information must be as easy to find as possible. The Online Manuals solution provides a centralized location for authoring, updating, and publishing policy manuals. End users can search for information and access manuals through the web, helping to ensure that they have current information available when they do their jobs. The Online Manuals solution is a tenant solution of the SharePoint platform. 9

SharePoint Platform The SharePoint platform solution is designed to provide a highly secure and flexible foundation for enterprise content management solutions for governmental organizations. These include the Online Manuals and Electronic Case File solutions described in this paper. Solution Components The SharePoint platform includes core ECM capabilities provided by Microsoft SharePoint Server 2010 and supplemented by services provided by other Microsoft products. The products comprising this architecture include: Microsoft SharePoint Server 2010 Microsoft Exchange Server Microsoft SQL Server 2008 R2 database software Microsoft BizTalk Server 2009 Microsoft SharePoint Server is the key component of the solution, providing storage, workflow, communication and collaboration, and metadata services to support multiple tenant solutions. SharePoint 2010 has been architected to provide content management capabilities for enterprise-class scenarios. Microsoft Exchange Server provides messaging and collaboration capabilities and works seamlessly with the Microsoft Outlook email client. Microsoft Outlook can be used to subscribe to content using RSS feeds. Microsoft SQL Server provides a scalable, high performance relational database platform along with reporting services and analytics. SQL Server stores SharePoint data, including metadata associated with SharePoint taxonomy and workflows. Microsoft BizTalk Server provides orchestration capabilities. With BizTalk Server, even highly complex processes spanning multiple organizations and technology platforms can be incorporated into document management processes. Additional infrastructure components, such as directory and identity services, storage area network (SAN), authentication and authorization, and document scanning may supplement this solution, but are not described in this document. Deployment Model The SharePoint platform is implemented as a standard three-tier deployment of SharePoint 2010. In this architecture, the application, web server, and database are hosted on separate servers. While SharePoint 2010 can be deployed in a one or two-tier deployment, a three-tier implementation is recommended for a solution of this size and complexity. Using a three-tiered deployment improves performance by isolating solution 10

components and enabling them to more efficiently use system resources. This architecture also makes it easier to scale the solution up to meet demand and simplifies management and maintenance of servers. Figure 2: SharePoint Platform Logical Architecture Web Servers The web servers host the user interface for the tenant solutions, including web pages, web services, and web parts. They also support interaction between the web browser client and application services hosted in the application tier of the solution. In addition, the web server hosts the SharePoint Query Service, which is used to search for content. Although the Query Service can be hosted in the application tier as well, hosting it in the web server tier will reduce un-needed network traffic. Application Servers The application servers host the back-end functions of the platform and any tenant solutions. In theory, this could mean any number of applications. The implementation described in this document includes two tenants: the Online Manuals solution and the Electronic Case File solution. The application servers host the Search Services Crawling 11

function as well as any services required by SharePoint, including the User Profile Service, Managed Metadata Service, and SQL Server Reporting Services. SharePoint 2010 includes load balancing capabilities that can be used to improve performance and to provide an additional degree of fault tolerance. It is recommended that each service be run on two separate servers, with communications between them handled by SharePoint load balancing. Database Servers Database services for the solution are provided by Microsoft SQL Server. The role of the database layer is to store and manage the state of SharePoint workflows included in the solution and to store solution data, such as document metadata, workflow status, audit data, farm configuration settings, and user profile data. The solution will also include a number of content storage databases running on SQL Server, as described in the Electronic Case File solution section. SharePoint 2010 Shared Service Architecture SharePoint 2010 includes a new architecture for shared services that increases scalability and performance. In SharePoint 2007, the Shared Service Provider contained shared services for a logical group of web applications and sites. This is replaced by the Shared Service Architecture in SharePoint 2010. This architecture provides greater flexibility in how services are configured and used by applications. In SharePoint 2010, services are organized into Service Proxy Groups which map connections between instances of services and web applications to help optimize performance. For this solution there is one default proxy group containing the initial instances of each service deployed in the solution. See Figure 3: Platform Services Model for this configuration. SharePoint Services deployed in this solution include: Business Connectivity Services, which provide access to line of business data systems. Excel Calculation Service, which allows users to view and interact with Microsoft Excel files through a web browser. InfoPath Services, which enable users to fill out Microsoft InfoPath forms through a web browser. Search Service, which crawls content, produces index partitions, and serves search queries. State Service, which provides temporary storage for session data for SharePoint server components. Usage and Health Data Service, which collects and provides visibility into data related to server farm health. 12

User Profile Service, which collects and manages user profile data and makes it available to support workflows, personalization, and other internal systems. Visio Graphics Service, which enables users to view and refresh Microsoft Visio diagrams through a web browser. Web Analytics Service, which collects usage data and provides insight into application utilization through out-of-the-box or custom reports. Figure 3: Platform Services Model Security Configuration Many of the functions carried out by the SharePoint solution and its tenants deal with confidential and secure documents. Consequently, the solution should be configured in accordance with security best practices. Some recommendations to help ensure the security of the solution include: Implementing environmental hardening techniques. For more information, see http://technet.microsoft.com/en-us/library/cc262849.aspx. Appropriately configuring permissions for security accounts. For more information, see http://technet.microsoft.com/en-us/library/cc678863.aspx. Using IPsec for intra-farm communications and SSL for communications between clients and server, and segmenting user traffic from intra-server traffic. Using Transparent Database Encryption on SQL databases. For more information on securing SQL Server, see http://technet.microsoft.com/enus/library/ff607733.aspx. 13

Electronic Case File System Case workers administering public services face significant challenges in managing the volume of records and documents required to establish eligibility for services. Paper-based processes related to case management are labor intensive, and storage requirements can become prohibitive, requiring physical care for potentially millions of documents. Physical records may be duplicated and stored in multiple locations. The purpose of an electronic case file solution is to allow documents to be captured once electronically, centrally stored in accordance with appropriate policies for security and retention, and reused across sites and organizations for greater efficiency. This has the potential to not only improve management and reduce the burden associated with storage, but also make it easier for case workers to do their job and improve the overall delivery of services. In addition to streamlining the process of gathering case file information, once captured, electronic case file documents and information can also be used by other agencies and solutions, providing further opportunities to streamline operations. Solution Overview Case workers are responsible for administering public services. They typically need to gather and use a large number of documents to do their job for example, to establish and verify eligibility for services. The purpose of the Electronic Case File solution is to collect, tag, and store a large volume of documents that are used to establish eligibility for social programs. Content Lifecycle The Electronic Case File solution is designed to allow case workers to quickly scan and store electronic versions of documents used in administering public services, and to make it easier for them to find existing documents related to their case work and associate them with the relevant cases. The typical life cycle of a document in the solution is illustrated in Figure 4: Content Lifecycle. 1. Document Capture: A scan operator (such as a case worker or receptionist) scans the document, verifies that the documents scanned correctly, and uploads any relevant case file data related to that document. The scan operator then sends the documents and information to the inbox of a case worker or document indexer for further processing. The case number is included on a batch cover sheet for the scan job as an additional identifier for the documents. 2. Information Capture: The case worker or document indexer receives the document and provides any additional information related to that document. 14

Once complete, they move the document to the repository for long-term management and retention. Data associating the documents with relevant cases is stored in a database. Once a document is stored, users may find it and associate it with additional cases. This reuse of files reduces the need to scan physical documents and reduces storage requirements for the solution. 3. Closure: Once the case for which the document was collected is closed and the required retention period is expired, the documents and their data are purged from the system. The association database, which stores information relating documents to cases, provides a method to determine if a document is currently associated with any active cases. Figure 4: Content Lifecycle SharePoint Feature Sets Several capabilities in SharePoint 2010 play a key role in enabling this solution. These include: Document IDs Managed Metadata Service In-Place Records Management Content Organizer rules Document sets Business Connectivity Services Remote BLOB storage 15

Document IDs The document ID capability in SharePoint 2010 allows documents to be uniquely identified across sites, repositories, and solutions, creating economies of scale in content management processes. When each document enters the staging library, it is assigned a unique document ID that will be used to identify and link to the document throughout the document lifecycle. This ID will be used to associate that document with any number of cases in the content SQL database. By allowing a single instance of each document to be re-used across multiple cases and members, the solution drastically reduces the storage and maintenance requirements for the Electronic Case File solution. Managed Metadata Service With a vast number of documents to manage, store, and make easily findable for users, it becomes essential to have a strictly controlled method of identifying what type of document each item is. An enterprise application like the Electronic Case File solution needs a taxonomy that can be enforced down to the file level across the enterprise, and that is flexible enough to be adapted to multiple business scenarios. The Managed Metadata Service in SharePoint 2010 provides a central location to store and manage sets of taxonomy terms. These term sets are used to tag documents with metadata that identifies and categorizes them and makes them easier to store and find. In-Place Records Management In-Place Records Management in SharePoint 2010 is used to help ensure that official records are managed according to the correct policies. For administrative and regulatory compliance reasons, it is often necessary to apply strict policies regarding retention, auditing, and access to official records. In-Place Records Management allows documents to be identified as official records according to location or content type and applies appropriate policies to those document, for example, preventing them from being modified or deleted. Content Organizer Rules The Content Organizer feature in SharePoint 2010 provides the ability to automatically route documents to the appropriate location based on defined rules. The Electronic Case File solution uses the Content Organizer to automatically route scanned documents across multiple document libraries to maintain the scalability and performance of the solution. Document Sets Document sets in SharePoint 2010 allow multiple documents related to a single application or process to be organized into a single group, making them easier to manage, find, and use as a unit. Eligibility and verification processes often require complex collections of 16

forms. The Electronic Case File solution can use document sets to attach these related sets of documents together into a single group. Business Connectivity Services Business Connectivity Services in SharePoint 2010 are a set of services and technologies for connecting SharePoint solutions with external data. Governmental organizations use a variety of technologies that may be integrated with Microsoft SharePoint in order to provide better automation of business processes and sharing of information. In the Electronic Case File solution, this technology provides a simplified way to unify the SharePoint solution with external scanning and case management components that may be used by the organization deploying the solution. Remote BLOB Storage The Electronic Case File application requires storage of very large volumes of documents, including document images, which may be large files. In many cases, governmental organizations will use external storage, such as a storage area network (SAN) solution to store these objects. Remote BLOB storage in SharePoint 2010 enables remotely stored objects to be managed by users just as if they were stored in SharePoint itself. This streamlines document management and implementation efforts. Solution Architecture The Electronic Case File solution consists of two main components, the Electronic Case File application and the Records Repository. The Electronic Case File application is used to scan and index documents and send them for storage, as well as to find documents and associate them with active cases. The Records Repository is responsible for routing documents to the correct storage location and storing them according to document retention policies. See Figure 5: Electronic Case File Conceptual Architecture for an overview of the solution. 17

Figure 5: Electronic Case File Conceptual Architecture Electronic Case File Taxonomy Document taxonomy enables large numbers of documents to be organized and categorized in a fashion that makes them easier to use in business processes. The Electronic Case File solution includes a hierarchical list of document types to categorize verification documents. For example, Permanent Records might be a document type, with several subdivisions within it, such as Driver s License, Birth Certificate, Medical Record, and so on. By tagging a document with a piece of metadata that identifies the document type, the Electronic Case File solution makes it easy to categorize and identify later. The exact terms will vary from implementation to implementation. In the KAAAP implementation, the following top-level terms were used: Applications Claims/hearings Deductions Deprivations Income and Resources Permanent Records Technical Documents Other Documents 18

The SharePoint taxonomy created for this solution also provides a framework that can potentially be used by additional solutions that use these types of documents or forms, such as online enrollment and eligibility checking. The taxonomy is created and managed using the SharePoint Managed Metadata Service. Component Isolation The Electronic Case File portion of the solution and the Records Repository are each hosted as its own distinct web application. In addition, each document repository in the Records Repository is created as its own site collection with a distinct database. This architecture provides a number of benefits, including: Security Scalability Performance Faster system recovery Security Once a document has been physically scanned and stored, no one other than designated records administrators should be able to modify records in any way. Placing documents into separate libraries helps to maintain security isolation so that they can be appropriately managed and secured. Scalability Storing content in multiple libraries makes it easier to add capacity to the solution as the amount of content stored grows. Additional libraries and content databases can be added to meet growing need, while keeping the size of each library relatively small. This provides better performance when maintaining the databases, for example during backup and restore, SQL index maintenance, defragmentation, and file positioning. Patches and upgrades to the database platform can be carried out much more quickly under this architecture by upgrading each database individually. Note that adding additional libraries and databases does require making changes to the Records Repository Home Content Organizer routing rules, described later. Performance The Electronic Case File solution isolates documents that are in the process of being scanned, tagged, and organized from processed content located in the storage libraries. This architecture enables for better performance across the solution. For example, at times there may be long running bulk operations that affect very large numbers of documents. These operations include content purges, bulk item moves, bulk record unsealing, and some maintenance tasks which can result in portions of the solution being locked for a period of time. However, while these activities are taking place, scanning, tagging, and storage of documents can continue uninterrupted. Separating documents into multiple 19

libraries also allows SharePoint 2010 to perform better, particularly as the number of items in each library becomes very large. System Recovery By isolating the Records Repository from the scanning and tagging portion of the solution, elements can be restored separately. This means that the scan capture and indexing operation can be recovered very quickly in case of downtime. Note, however, that recovering the Records Repository will take a significant amount of time due to the volume of data stored. Electronic Case File Application There are potentially a huge number of documents of a wide variety related to eligibility for public programs. The goal of the Electronic Case File application is to make it as easy as possible to capture and use these documents. The Electronic Case File application handles the scanning, tagging, and indexing of documents before they are handed off for long term storage and management. It also hosts components of the solution that allow case workers to search for and find documents and to associate existing documents with case files. Some technologies associated with this solution, such as document scanning software and case management systems, are out of the scope of this document. Custom code, Business Connectivity Services, and native SharePoint 2010 capabilities can be used to integrate with these systems using industry-standard developer tools and technologies. Microsoft Dynamics CRM business software also provides rich case management and customer relationship management (CRM) capabilities that can be integrated with this solution. The Case Talk 360 solution accelerator from Microsoft helps to provide case coordination across multiple health and human services programs. See http://www.microsoft.com/hhs for more information. Many Microsoft partners also provide solutions, expertise, and resources specifically designed to fulfill this need. For example, Microsoft partner KnowledgeLake provides a scanning and indexing solution which integrates these capabilities directly into Microsoft SharePoint, building on native SharePoint capabilities. Verification Document Type SharePoint content types are a way to characterize a particular type of content stored in SharePoint 2010 and to ensure that the content is identified and managed correctly. A content type has particular metadata fields associated with it. Organizations can create custom content types to meet particular business needs. In the KAAAP implementation, a custom content type, Verification Document, was created for this solution. Auditing was enabled for this document type, to facilitate tracking and 20

compliance. The Verification Document type included the following required metadata fields: Title Scan Date Scan Operator Scan Location Indexer Case Number Additional fields may be added as needed to meet the requirements of an organization or process. Electronic Case File Workflows SharePoint workflow is used to model the business processes that make up the life cycle of a managed document in the Electronic Case File solution. Workflow helps to ensure that each process is carried out accurately and in the correct order. Workflow status, stored in the SQL database, also provides a way to track the status of each document and case as it moves through the life cycle. Workflow can be used to model the following processes: Scanning, indexing, and associating a document with its initial case file Associating documents with additional case files Document Scanning and Indexing Documents will typically be scanned at physical sites by case workers or administrative staff. At the time when a document is scanned, initial case information, such as the case worker s name and the associated case file number, is associated with the electronic version of the document. This case information is stored in the association data SQL database. The document is then automatically routed to the staging library. The staging library is a holding location for pre-indexed documents. When the documents are ready to be indexed, they are moved to the indexing library and a notification is sent to the inbox of an indexer or the appropriate case worker, informing them that the document is ready. Documents are indexed through a web-based user interface using SharePoint forms. The indexer or case worker attaches appropriate metadata to the electronic version of the document, identifying, for example, what type of document it is. Once indexing is completed, the document is routed to the Records Repository application for long-term storage. 21

Document Search and Case File Attachment Verification documents may be used multiple times in relation to different services and by different agencies and case workers. Case workers can use SharePoint Search to find verification documents relevant to cases on which they re working. Through the SharePoint interface, case workers can also associate documents with cases they re working. This updates the information in the association database, enabling the same document to be re-used multiple times, resulting in significant savings in time and storage costs. The association database also provides a way to determine which records are being used by active cases, so that inactive records can be purged after a period of time in compliance with records retention policies. Records Repository Application The Records Repository is implemented as its own web application, containing a number of site collections. This will help to ensure better performance by giving the Records Repository its own application pool. See Figure 6: Records Repository Logical Architecture for more details. Figure 6: Records Repository Logical Architecture Document Libraries Drop-off libraries and Content Organizer rules in SharePoint 2010 provide a streamlined way of routing managed documents. When documents are placed in a staging library, a Content Organizer running in that library automatically routes the documents according to 22

defined rules. This helps to ensure that documents are routed appropriately without requiring constant human intervention. Documents that have been fully indexed are placed in a central drop-off library. From there, based on their metadata, they are forwarded to one of several storage libraries using SharePoint Content Organizer rules. Each storage library is implemented in its own site collection under the Records Repository having its own content database. This enables each library to have its own database, improving performance and scalability and easing administration of the solution. In each storage library, documents are placed into folders corresponding to the case for which the documents were scanned. Additional storage libraries can be added later to scale the solution up to meet demand. The recommended limit in size for each library is 30 million records. In order to ease administration, it is recommended that each content database be kept under 100 gigabytes (GB) with a 200 GB maximum. Electronic versions of documents may be stored in an internal SAN implementation for optimal performance and storage efficiency. In this case, External BLOB Storage enables SharePoint users to manage these documents just as if they were stored in SharePoint 2010. Records Repository Home The Records Repository Home is based on the SharePoint Team Site template and contains the drop-off library that serves as the entry point for content into the Records Repository. This library contains a Content Organizer that s configured with rules to distribute content across other libraries by directing it to the appropriate drop-off libraries in the sub-repositories. Note that site subscription settings must be set to allow sites to send to connections outside their site subscription for this feature to work properly, and Send To connections must be configured for each sub-repository. Sub-Repositories Sub-repositories of the Records Repository application will be created as individual site collections and built using the out-of-the-box SharePoint Document Center template. Each sub-repository will have its own content database in order to maintain security isolation and scalability of the solution. Each sub-repository has its own drop-off library. The drop-off library will be used to direct documents to the appropriate folder in the Verification Documents library based on the case for which the document was initially scanned. Purge Job Records must periodically be purged from the system. This is done by an automated job that takes as its input a list of files to be purged. Association data is removed for these files and they are moved to the site recycle bin where they will remain for 30 days. 23

Online Manuals Manuals contain policies, procedures, and information that government staff requires in order to do their work correctly. However, keeping these manuals up to date is labor and time intensive. Policy manuals can be very large and require constant updating and revision. Using manuals is also a challenge. When end users can t find the latest versions, or when policies are hard to find, processes are sometimes incorrectly implemented, based on outmoded policies, or without taking all relevant policies into account. Solution Overview The Online Manuals solution is designed to provide governmental organizations with a centralized way to create, publish, and manage policy manuals, including tools for end users to access manuals, search for policies, and stay up to date on changes in manuals. The core capabilities encapsulated by the Online Manuals solution include: A central, web-accessible online repository for policy manuals. The ability to read and search manuals online. Tools for the Online Manuals team to create, update, and review manuals. The Online Manuals solution is a tenant solution of the SharePoint platform. The Online Manuals solution serves three primary user audiences: Manual users Online Manuals team Online Manuals extended team Manual Users The users of the online manuals are members of the broad user community who refer to manuals in the course of their work. They need to be able to easily find and use the most up-to-date versions of manual sections, including the ability to easily find relevant policies and keep up to date regarding policy changes. It is also desirable for users to be able to recommend changes to manuals and provide feedback to the Online Manuals team through a simple web-based function. Online Manuals Team The Online Manuals team is responsible for maintaining manuals. They need to be able to edit and update sections of manuals and participate in business processes that support this task, such as approval and review cycles. They also need to be able to communicate changes in manuals to users clearly. Finally, they need the ability to communicate and collaborate with the extended team in order to create and update manuals and gather feedback from reviewers. Updates to manuals are collected and published through 24

transmittal letters included with each update. The Online Manuals team needs to be able to create these letters collaboratively, and publish them to end users. They also need access to appropriate background materials, such as legislation and memos, used in drafting policies. Online Manuals Extended Team The Online Manuals extended team includes individuals involved in the creation of manuals, and may include subject matter experts, reviewers, and policy makers. They need to be able to view suggested changes to manuals, provide feedback to the Online Manuals team, and collaborate on creation and update of manual pages. They also need access to appropriate background materials, such as legislation and memos, used in drafting policies. Solution Architecture The top-level site in the site collection is created using the SharePoint Team Site template and will host communications and administrative elements for the solution as well as the Online Manuals home page. Each individual manual is set up as its own SharePoint enterprise wiki site. These sites are in turn hosted in a single site collection as shown in Figure 7: Online Manuals Conceptual Architecture. This site collection also hosts the Policy Search Center, an implementation of SharePoint Enterprise Search Center. Placing the solution in its own site collection enables it to better handle a high volume of traffic and prevents performance bottlenecks that may result as many users access the sites. This also makes it easy to scale the solution up over time, adding additional manuals or increasing the number of users without affecting other resources or tenant solutions of the SharePoint platform. 25

Figure 7: Online Manuals Conceptual Architecture Enterprise Wiki Sites The SharePoint enterprise wiki is designed for scenarios where a number of people need the ability to collaborate on, update, and share large volumes of content with multiple audiences in an enterprise setting. This makes an enterprise wiki a logical choice for the Online Manuals solution. A SharePoint enterprise wiki is similar to a SharePoint team site, but adds additional functionality to help facilitate many-to-many collaboration and content publishing. The enterprise wiki includes the ability to make page ratings and content tagging through the Managed Metadata Service. The User Profile Service and Managed Metadata Service are prerequisites for an enterprise wiki. Online Manuals Taxonomy The Managed Metadata Service in SharePoint 2010 contains lists of metadata terms, or term sets that are used to identify objects in SharePoint 2010. In the Online Manuals solution, these terms are used to identify manual sections and to assist in managing workflows related to the solution. The exact taxonomy may vary depending on the specific needs of the organization implementing it. For the Online Manuals solution, as implemented in the KAAAP solution, the following term sets were created: Transmittal Letter Status 26

Wiki Categories Change Request Category Manual Section Change Request Priority Change Request Status Each term set will contain multiple descriptive terms that can be applied to manuals, manual sections, and transmittal letters. Top-Level Site The top-level site collection for the Online Manuals solution uses the SharePoint Team Site template. This site hosts the Online Manuals home page. Users and team members will start from this point when using the Online Manuals solution. Online Manuals Home Page The Online Manuals home page is the default location for all users to start accessing the Online Manuals solution. Some of the capabilities exposed in the home page are related to creating, editing, and providing feedback on manual pages, and are not intended for all users. For this reason, home page sections can be obscured using audience targeting. Audience targeting is a feature in SharePoint 2010 that allows specific lists or information to be made visible only to members of a specific group or organization. On the Online Manuals home page, all users can: Read published transmittal letters. Create and track Manuals Change Requests. Create and track Forms Change Requests. Track policy changes through RSS feeds. Create and manage their alerts. In addition, members of the Online Manuals team can: Draft transmittal letters and manage approval workflows. Share ideas and comments through the team discussion. Visit their My Online Manuals page for a filtered view of tasks and assignments. 27

Figure 8: Online Manuals Logical Architecture Manuals Change Request The Manuals Change Request list is a custom SharePoint list. Users can request changes to a manual by invoking a custom InfoPath form that captures required information, such as the requestor s name, the manual section the request applies to, and details of the requested change. Workflow is used to process and route change requests, updating their status through the approval process. Alerts can be used to inform team members and managers of the current status of their change requests. Forms Change Request List The Forms Change Request list is a custom SharePoint list. Users can request changes to a form by invoking a custom InfoPath form that captures required information, such as the requestor s name, the manual section the request applies to, and details of the requested change. Workflow is used to process and route change requests, updating their status through the approval process. Alerts can be used to inform team members and managers of the current status of their change requests. Online Manuals Team Discussion This discussion board is used by the Online Manuals extended team to discuss the creation and editing of policy manual sections. It is implemented using the out-of-the-box SharePoint Discussion Board template. Permissions on the board should be configured so that users not on the Online Manuals extended team cannot view it. 28

Workflows SharePoint 2010 workflow provides tools to automate and provide visibility into business processes. The Online Manuals solution includes a number of workflows to assist in managing business processes related to manual creation and editing. Users receive alerts regarding workflow processes that require action in the My Online Manuals portal. Workflows for the Online Manuals solution include: Manual change request process Forms change request process Publishing approval Transmittal letter approval process Transmittal letter feedback process Out-of-the-box SharePoint workflows for approval and publishing provide the backbone of these processes, with some customization to fit the particular implementation. My Online Manuals Portal SharePoint 2010 personalization capabilities enable individual users to have personalized access to SharePoint through an individual portal. The My Online Manuals portal uses personalization to give end users alerts and lists related to workflow tasks that they are participating in, such as document approvals and processing change requests. Managers Online Manuals Portal In addition to the personal portal, a manager portal gives managerial staff visibility into workflows that their team is working on, displaying the status of each task and the person it s assigned to. Transmittal Letters Transmittal letters are used to communicate changes in manuals to users. Users need to be able to receive transmittal letters and review them in order to understand how policies related to their work may be changing. The Transmittal Letter feature is built using the out-of-the-box Announcements list and adding a custom Transmittal Letter content type. RSS should be allowed for this list. Users can subscribe to the RSS feed to help them stay informed regarding manual updates. A custom form is used for creating, editing, and reviewing transmittal letters. Two workflows are associated with this list: Transmittal Letter Feedback Workflow: This workflow is used during the collaborative process of drafting a transmittal letter in order to gather editorial comments from the Online Manuals team. Transmittal Letter Approval Workflow: This workflow is used to approve the final draft of a transmittal letter for publication as a major version. 29