Implementation of a Document Management System

Special Specifications Book

June 2014
Summary
Implementation of a document management solution

I. Presentationtin general....................................................................................................................4
Introduceton
Context
II. Descriptionton overall project.........................................................................................................5
1. Objectfs.....................................................................................................................................5
2. Approach....................................................................................................................................5
3. Fund documentary
4. Utusers.................................................................................................................................6
5. Benefits atendus.....................................................................................................................6
III. SPECIFICATIONS FUNCTIONAL...............................................................................................7
System the geston electronic document management......................................................................7
1.1. Main functiontpersonalities..........................................................................................7
1.1.1 Acquireton documents.............................................................................................7
1.1.2 Indexon
1.1.3 Research.......................................................................................................................8
1.1.4 Consultationton...................................................................................................................9
1.1.5 Diffusion
1.1.6 Storage and archiving...............................................................9
1.2. Geston the document.......................................................................................................10
1.2.1 Document lifecycle..........................................................................................10
1.2.2 Type of documents.....................................................................................................10
2. System the geston the mail................................................................................................11
2.1. Functionstpersonalitiestfurnishes................................................................................................11

System the geston the process (Workflow)......................................................11

3.1. Main functiontpersonalities................................................................................................11
3.2. Work collaboratetf............................................................................................................12
3.3. Createton forms....................................................................................................12

IV. SPECIFICATIONS TECHNIQUES

Application environmenttf actual.....................................................................................................13

Technological choices of the SAPST....................................................................................................13

Technical requirements.......................................................................................................................13
Access Web

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2. Capacity and performance......................................................................................................14

3. Availability and withtnight
4. Security Access to the system and data........................................................................14
5. Interfacing with Actand Directory.........................................................................................15
6. Supervision and yeson incidents.....................................................................................15
7. Ascent in charge
8. Traceability
9. Backup...........................................................................................................................15
10. Archiving and restorationton

11. Offline mode.............................................................................................................16

V. SERVICES EXPECTED...........................................................................................................16
5.1. Interface...................................................................................................................................17
5.2. Bases data.....................................................................................................................17
5.3. Maquetand functiontonnelle
5.5. Maintenance update
Support
5.7. Formtand transfer of skills...................................................................................19
5.8. Driving of change.........................................................................................................19
5.9. Assistance and advice on technical choices...............................19

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I. General presentation

Introduction

As part of the modernization and rationalization of its processes, and to respond to

operational requirements related to the management and preservation of its documentary collection,
SAPST has decided to launch the project for the acquisition and integration of a management solution.
document electronic and documentary workflow.

The GED system should facilitate the search for information by reducing the circulation of
paper documents, to master archiving and to gain productivity by optimizing the
process and reduce execution times.

Context

One of the daily observations is that every person involved in the management process
The documentary addresses issues related to:

The burden in the management and tracking of documents for acquisition, referencing,
updating, distributing, and archiving the documentation
The loss of traceability during the circulation of documents among collaborators
The securing and protecting of documents (duplicates, loss, unintentional elimination)
The difficulty of locating and accessing documents and information.

To address these difficulties and meet the increasing demands in terms of quality and
fluidity of information, the implementation of a document management and workflow tool
constitutes an indispensable solution.

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II. Overall project description

1. Objectives

The objectives of the realization and implementation of an electronic management solution

documents and documentary workflow management fit into a vision of
dematerialization, modernization and automation of the documentary system and
informational.

Through the acquisition of this solution, SAPST aims to meet its needs in terms of
document management and processes and to achieve the following operational objectives:

Dematerialize paper documents and documentary processing circuits (sharing,

diffusion, approval circuit...) ;
Integrate all electronic documents onto the same platform;
Index and reference documents uniquely;
Establish a centralized, shared, secure, and easily accessible documentary reference system.
accessible to employees;
Grant employees electronic access to existing documents, eliminating the
waiting times for the search and consultation of documents;
Facilitate direct access to information and documents in the context of authorizations.
defines;
Allow the system to interface with other applications;
Reduce the costs of archiving, searching, and distributing documents;
Allow for better visibility, understanding, and improvement of processes;
Modernize work methods and, consequently, increase productivity and
effectiveness.

2. Approach

The approach adopted by the SAPST consists of acquiring an electronic management solution.
documents and documentary workflow compliant with functional and technical specifications
described in the present document and to deploy it.

The framing phase will allow for a focus on document management and workflow.
level of the SAPST, to define current needs and desired expectations from a perspective
functional and technical.

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Documentary fund

The GED solution must integrate files from:

- The existing database

- Paper documents
- Digital files
o Spreadsheets
o Text files
o Audio files
o Video files
o Listngs
o Emails

4. Users

The system must also allow for the management of authorizations and access rights.

The solution must be accessible to all members of the SAPST and adapted to the number
planned for users. Special attention will be paid to ergonomics and simplicity of
chosen product. The different levels of authorization required can also be defined in this
part.

5. Expected benefits

The SAPST aims to implement the document management solution:

. Reduce the storage space of the documents;

. Reduce the time for searching and accessing documents;
. Improve productivity;
. Maximize collaborative work;
. Improve traceability and accessibility to documents;
. Improve the fluidity of traffic and information processing;
. Accelerate and develop the sharing, pooling, and valorization of information;
. Respond to the constraints related to archiving;
. Meet the requirements of quality standards;
. Control the procedures and workflows;
. Maximize the optimization and automation of processes.

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III. FUNCTIONAL SPECIFICATIONS

The detailed functional specifications in this document aim to describe the

integrated global solution to be implemented. Three modules are distinguished:

GED Module (Electronic Document Management)

The competitor must propose a solution covering all the required functionalities for this.
module. Any proposal for additional functionality by the competitor that could help à
better optimizing its documentary processes and dematerializing its documents would be a plus.

Mail management module

The competitor must propose a solution covering all the required functionalities for this.
module. Any proposal for additional functionality by the competitor that may help à
better optimize its documentary processes in terms of incoming/outgoing mail management
would be a plus.

Module Workflow (Electronic Management of Documentary Processes)

The competitor must propose a solution covering all the required functionalities for this
module and functioning completely integrated with the GED module. Any proposal
additional functionality by the competitor that could help better optimize its processes
Documentaries would be a plus.

Electronic Document Management System

1.1. Main features

1.1.1 Acquisition of documents

Digitization of paper documents

The GED system must allow for the acquisition of paper documents through digitization using a
scanner and a standard commercial (software) product.
The digitization mode (RAD, LAD, OCR,...) will be defined during the framing workshops.

Integration of electronic documents

The GED system must ensure the integration of common office documents.
(.doc, .docx, .xls, .ppt, .pdf, etc.) from different software versions, from different systems

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of exploitation and of different workstations in a simple manner (that is to say, in accordance with the
work habits.
It will also allow the conversion of final office documents to PDF format and
storage of the converted format from natf format, the integration of documents generated by others
applications the integration of data that have partially been exported in tabular format as well as
the simple integration (that is to say, in line with work habits) of emails and documents
attached to emails from different email clients (Outlook, ...).
The digitization module must also allow for the management of barcodes.
At the end of the framing phase, the letter will need to specify the areas of centralized capture and
decentralized.
The following features apply to all types of documents (paper format or
electronics).

1.1.2 Indexation

The system must offer manual indexing features for documents through input.
attributes and automatic input for certain fields (date, serial number, ...) with the possibility of input assistance
by predetermined lists (to be defined during the framing workshops), calendars, etc.
The indexing must allow for the "marking" of documents that will need to be deleted during
the archiving of the file.
The future system will also allow for simple management and signaling of the relationship that can
exist between several documents of the same case or between several files constituting a
document (letter and attachments) as well as the use of automatic stamping of documents (validation,
rejection, etc.); the documents will be organized into folders hierarchically in sub-
files (classification plan) in a manner similar to the classification used for paper files.
The visualization of the organization of files structured in a tree format and the assignment of a status
"Archived" to the files must be possible through this system.

1.1.3 Research

The system must allow for multiple types of search:

. Simple search through keywords
. Multi-criteria search of documents based on different fields
. Full-text document search (simple search screen), with the possibility of
launch this search in one or more folders selected by the user.

The user will also be able to navigate through the folders in a tree structure.
The search functionality may eventually extend to recording and recalling
requests.

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1.1.4 Consultation

This feature will consist of displaying the found files/documents and showing their number.
and information related to their content (to be defined during the framing workshops).
A display of the document in text mode (natf format or PDF) with visualization on the word
search, navigation from one searched word to another is to be expected by the system.
The system must allow sorting of responses (choosing a criterion, relevance, etc.), visualization
the document in its/its filing folder(s), easy access to documents in the same folder,
the annotation with rights management as well as access to a related document and its extraction locally (on
the work station for example).

1.1.5 Diffusion

Ultimately, the document must be distributed within the SAPST to the relevant actors by email or via
the web portal.

1.1.6 Storage and archiving

The document storage or archiving feature will ensure the preservation of

documents for the purpose of meeting legal or operational obligations.

Taking the choice of support into account is essential. It must be adapted to the storage volume,
the frequency of consultation or the importance of the data, and offer guarantees in terms of
security or confidentiality.

The organization of storage and the duration of retention will be defined during the scoping phase.

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1.2. Document Management

1.2.1 Document lifecycle

The document management functionality is the main component of an integrated system of

document management. The following is an overview of the essential elements and capabilities of
management of documents to be provided by the proposed GED system.

In order to develop collaborative work, particularly between the services of the different departments, the
system must provide the ability to manage documents throughout their lifecycle (created,
revised, approved, published, archived, deleted.

The future system will have to standardize the rules for managing documentation.
direction allowing the organization of documents into folders and sub-folders. It will also
it is possible to define specific indexing criteria for example by document type or by
list of keywords for a family of documents. For certain types of documents, it will be
it's necessary to index the very content of the document.

For any type of document, the solution must be able to manage document versions at all times.
over its lifecycle.

The solution must also allow for the management of document lifecycle according to rules.
defined either by document type, by document family, or finally by given index value.

Types of documents

The GED system must be able to mainly manage the following types of documents:

. Physical documents (paper, check, statement, fax, plans...)

. Electronic documents: coming from IT applications and business applications,

emails, office applications, photos, other types of files
electronics...

. Multimedia documents: sound, video.

. Impressions: States, reports, spools.

. Web content: intranet, other websites...

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2. Mail Management System

2.1. Expected features

The solution must enable the following functionalities:

. Digitization, recording and indexing of mail;

. Definition of the processing circuit;
. Internal mail distribution;
. Accused of receiving;
. Production of automatically formatted responses à part of models
configurable (merge and mail merge);
. Monitoring (management of deadlines and alerts, traceability with complete history of correspondence)
. Archiving;
. Multicriteria and full-text search;
. Dashboards

The tool will allow for the realization of various dematerialization functions and flow processing.
incoming/outgoing, processing, optimization and organization of mail.

The evolvability, adaptability, accessibility, and interoperability of the solution are also
important elements to consider when implementing the solution.

3. Process Management System (Workflow)

3.1. Main features

The following is an overview of the workflow elements and capabilities that must be provided.
in the proposed system:

. Integration with the documentation fund

. Graphical outline for modeling and executing processes

. Possibility to integrate the workflow system with other applications without resorting to
developments or other products

. Version management of processes with minimal impact on the existing process

production

. Process monitoring

. Data control and analysis of processes that have already been completed and archived

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. Simulation of new rules on existing data

. Incorporation of meter rule management mechanisms

. Definition of electronic forms
. Reuse of process definitions

. Control between the modeled process and external integrations

. Web interface for all system components

. Integration with other applications through J2EE and XML standards

. Simplicity at the administration level

3.2. Collaborative Work

The system must allow for the establishment of a collaborative working environment, using
notably web technologies, but also features such as:

Annotations on the document;

Management of alerts;

Reassignment of tasks...

The collaborative work module must be interfaceable with groupware tools such as
outlook...

3.3. Creation of forms

The workflow system must allow the possibility of creating forms that will be completed upon
as the workflow progresses by the different actors.

This involves taking the existing paper forms and creating new ones if they do not exist.
The documents that will be subject to form creation will be specified during the workshops.
framing according to needs.

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IV. TECHNICAL SPECIFICATIONS

Current application environment

The activity of the different entities participating in this project is supported by a number of
Fundamental applications for the accomplishment of the activities of the SAPST.

The diagram representing the current situation of the IT system of the SAPST as well as a description of the
Functions of the different applications will be provided at the start of the framing workshops.

Technological choices of the SAPST

The service provider will be able to provide, during the framing phase, a detailed description of the
tools and the material and software resources at his disposal.

It will be about:

Software Infrastructure
WAN Network Architecture
The Storage Platform

Technical requirements

The GED solution must meet the technical requirements relating to:

1. Web access
2. The capacity and performance
3. Availability and continuity
4. System and data access security
5. The interfacing with Active Directory
6. Supervision and incident management
7. The increase in load
8. Traceability
9. The backup
10. Archiving and restoration
11. Access in offline mode

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Web Access

The solution must provide access to the application through a WEB interface and integrate with
the technical environment of the SAPST.

The web interface of the application must allow easy and user-friendly access to the different
usage and administration features.

2. Capacity and performance

The functions of the future system must be efficient to allow for increased productivity.
desired. The service provider must specify the volumes of documents and user connections
supported and the performances ensured by its solution based on its references.

The bidder must also specify the prerequisites necessary for operation.
optimal of its solution.

Studies conducted in the framing phase will determine the expected performances in
terms of capacity and connections.

3. Availability and continuity

The provider must communicate the duration of accessibility to the application in their offer.
unavailability in case of breakdown.

In case of malfunction, the system put in place must not in any way affect the proper
operation of the systems with which it interacts.

The bidder must also provide a list of known errors related to the solution, with
the resolution methods, as well as the prevention mechanisms to be anticipated.

4. Access security to the system and data

The management of information security must be ensured in a way that maintains a high level
of confidentiality and strict control of access rights.

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Confidentiality, integrity, and traceability measures must be implemented to ensure a

maximum security of processing at the system level.

5. Integration with Active Directory

For the management of authentications and user profiles of the future GED system, the solution must
interface with the Active Directory directory.

6. Supervision and management of incidents

The solution must allow for the detection of anomalies and report them to the administrators.
techniques for example in case of malfunction of the connectors between the GED system and the
other applications.

7. Load increase

The system must be capable of supporting the load increase in terms of volume in
entry and in terms of the number of system users.

The bidder must provide in their offer the evolution of the technical components according to
loading increases.

8. Traceability

The solution must guarantee the traceability of all user and system actions with the
journalism for conservation purposes.

9. Backup

The target system must have regular backup procedures for all data.
and the different components of the system.

The backup of the solution must be part of the SAPST backup policy.

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10. Archiving and restoration

The solution must allow for tracking, in an archive status, all information on the data.
for a given period. It should also allow for the restoration of this data if the
necessity arises.

11. Offline mode

The competitor must specify whether their solution allows working in offline mode by offering the
possibility of making local replicas or a part of the database, then synchronization to the
connection. However, it must also highlight in its offer the impact of the availability
of such functionality on system performance in terms of response time and
impact on the network.

V. EXPECTED SERVICES

The bidder will be responsible for the implementation, integration, and commissioning of the solution.
subject of this specifications document.

The competitor will indicate in their response a detailed schedule allowing for the achievement of this objective.
understands the charges of the SAPST.

The service provider must commit to the outcome while respecting the project's deadlines and budgets.

The service provider must ensure:

- The provision of a software solution adapted to the needs expressed by the SAPST and
necessary licenses;
- The management of the framing and design of the solution;
- The integration and commissioning of the solution;
- Training and skills transfer;
- Technical and functional assistance;
- Assistance with change management;
- The delivery of the deliverables incumbent on each of the actions undertaken;
- The proposal of a detailed breakdown of the project and the description of each step
while including all the requested services.

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5.1. Interface

The content of the outline must be edited in French.

The service provider must be able to offer a user-friendly, customizable, and simple solution.
utilization. The screens must be clear to allow the user to understand the mode
of the functioning of the application.

For the design of the interface, the service provider must:

Create a navigation menu specific to each user profile

Create and integrate graphical elements

5.2. Databases

The database must be able to store and structure the information.

The GED solution must allow for the classification of data (sorting, search engines ...). The
The content of the database must be managed from a graphical interface.

The GED database must primarily contain data on:

The categories and the content of the documents

The users

During the design of the software package, the bidder must adopt the structure of the database.
existing data and, if necessary, make basic additions or modifications.

The service provider must present a model to the client before proceeding to
the integration. It will also need to support the installation of the base storage support
of data.

5.3. Functional model

Before the design of the GED system, the service provider will be asked to create a mockup.
function to verify:

- The visual and graphic content;

- The relevance of functionalities;
- The functional processes;
- The procedures for entry, document registration, and consultation methods.

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5.5. Maintenance / update

The service provider must provide maintenance services regarding the proper functioning of
the integration of the GED solution and its evolution. The updates should focus on:

- The software and hardware equipment needed for the evolution of the tool
- The addition of components, modules, or extensions allows for improvements to the
functionalities of the software package

A training for the team in charge of the administration and updating of the solution must
also be ensured by the service provider.

The service provider must offer maintenance (telephone support, troubleshooting, online assistance).

evolutionary: improve functionalities, insert new formats ...

ensure the operation of the software package in case of malfunction

As part of the update and maintenance, the service provider must specify the services.
included in the offer and indicate the conditions under which these services will be provided.

5.6. Support

The bidder will ensure:

- The management and coordination of operations;

- The supply and installation of the materials and software needed to set up the
solution ;
- The installation of the software package and configuration of the administration;
- The interfacing of the solution with the other existing applications;
- The test of the established system;
- Technical support for users;
- The provision of a user guide for the update tool;
- Training in the use of the software package.

The provider must define the conditions for support or assistance included in the offer.

In the event that some of these services are not included in the offer, the service provider must specify the
execution conditions as well as their pricing.

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5.7. Training and Transfer of Skills

The competitor will detail in their offer the plan and approach they intend to adopt to carry out and
successfully training and transferring skills to the SAPST teams.

This plan must cover all the needs in terms of required training for the good
use of the GED system.

The plan should take into account the training of the team in charge of the project and ensure
transfer of skills.

The trained individuals will take over for the training of the end users of the solution.

The goal is for the SAPST teams to take ownership of the implemented solution and benefit from it.
fully all the expected features. However, the SAPST may request the Holder
if needed. The latter must specify in their financial offer, the price per day/hour of training
additional.

5.8. Change Management

In its offer, the competitor will propose an approach to assist the SAPST in the areas of
change management (from the framing phase). Indeed, in light of the results of the phase of
framing, the SAPST wishes that the aspects of training, assistance with deployment, and recommendations
in an adequate organization, they are integrated.

The objective is an optimal use of the tool. Lettulaire will have the role and responsibility of
main contributor in the design and implementation of management plans
change by leveraging its feedback and best practices in the matter
implementation of document management solutions.

5.9. Assistance and advice in technical choices

Lettulaire will have to conduct a technical study on the integration of its solution within the information system of the

SAPST, the optimized platform to use, the sizing of GED equipment (scanners,
servers...) and storage devices according to the projected evolution of the volume and the
Proposal for a target organization for better use of the GED system starting
through an impact analysis and then by recommendations to be implemented by the SAPST.

Lettulaire will have to propose a medium-term evolution at the end of the technical and functional analysis.
term taking into account in particular the evolution of the number of users and the number of
documents.

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