Establishing and Governing an

Enterprise Document Management System

Keith Fournier, PMP, CMS, GISPLucas County Information Services

Auditor’s Real Estate Information System

PRESENTED BY:

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)

• www.co.lucas.oh.us/lcis

Agenda

• 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

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!

“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

Project Planning Payback

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

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…

IT Concerns

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

Research

• Gartner Group• ERP Consultants• Selection Criteria

• Solution Delivery Vision • Open System

• SQL Database

• No Encrypted Images• Redaction • Existing System Integration

• ERP• GIS

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

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

TCO

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

Document Imaging Governance

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

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

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

Infrastructure Architecture

• Network• Configuration

• VLAN, DHCP, DMZ, Firewall, WAN

• Physical Plant (Fiber)• Standard Network Equipment

• Operations• Data Centers• SAN• NAS• User File Storage

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)

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)

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

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

Current Projects

• Sanitary Engineer

• County Engineer

• Health Department

• Children Services

• Auditor’s Real Estate

• Clerk of Courts

• Auditor’s Office

• Commissioners’ Office

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 • email, images, PC files, printouts, audio, video, forms, etc. • Key in implementing & maintaining content and compliance

strategies as they evolve

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

Statistics From Taxonomy Study

• Initially users defined 2400+ “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

Why a Document Taxonomy?

1. Rush to implement creates single purpose silos

2. Incomplete document information at captureReduce Life Cycle Cost of Document

3. Not organized by retention rulesDocuments cannot be easily removed

4. Non-standard formats for dates, addresses, namesCan’t synchronized across all systems (eNumeration Database)

To Prevent the Four Biggest Mistakes in Enterprise Document Management

Synchronize Datasets

• Synchronize with eNumeration Dataset• People

• Name• Family Relationships• Vital Statistics

• Places • Address

• Programs• Social Services• Courts

• Could potentially come from GIS datasets

Synchronize Dataset

eNumerationDatabase

Auditor

E911

GISUtilities

Courts

JFS

Engineer

EntersED

AddressChange

NotifiesOwner

Commits Change and Updates Indexes

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

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

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

Enterprise ECM Cost Comparison

Software $670,000Hardware $250,000

Cluster, SAN, Scanners

Services $390,000Design, Install, Train

Total $1,310,000

$3,420,000$ 910,000

$1,140,000

$5,470,000

Cost Savings – Purchase 500 Concurrent Users

10 Agency SystemsCentralized

Total Cost of Ownership Analysis

Support Staff $250,000Help Desk, OS, BackupECM Administration

Scanning Labor $400,00040% Duplication of DocumentsEnumeration DatabaseSource Capture

Software Maintenance $110,550Hardware Maintenance $12,500Retention-Destruction Mgt $100,000Privacy-HIPPA Mgt. $100,000

Total $973,050

$850,000

$900,000

$564,300$ 45,500$400,000$300,000

$3,059,800

What if 46 Agencies Did Their Own Systems?

Life Cycle Cost Savings Reoccurring Annual Costs

10 Agency SystemsCentralized

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

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”

Questions

Keith FournierMA, MBA, PMP, CMS, GISP

Lucas County Information ServicesAuditor’s Real Estate Information System

kfourn@co.lucas.oh.us

Establishing and Governing an Enterprise Document

Management System