IBM Insight, City of Lahti: Reduce Operational Costs and Increase Efficiency by Using Smart Archiving and Analytics

ESN-6504A City of Lahti: Reduce Operational Costs and
Increase Efficiency by Using Smart Archiving and
Analytics
27.10.2014 Ari Juntunen / Elinar Ltd
Special Thanks to Mr. Henri Nyberg / City of Lahti

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Contents:
* City of Lahti and role of Local Government in Finland
* The Problem: Traditional Processes
* Smart Archiving
* Electronic Decision Making
* Citizen Self-Service
* Savings
*IBM Technology in use

City of Lahti
City of Lahti is a city of over 100 000 people and about 6 000
employees.

Local Government role in Finland
-Finland governmental structure is split with some centrally
managed duties:
*Major Highways
*Police, Court system, Prisons, National Defense
-Local Government (Cities & Municipalities) handle everything else
as independent entities
-Central Government collect variable tax (depending on income)
from each citizen
-Local Government collect fixed income tax from all residents
-Local Government in Finland handles many responsibilities that in
some countries are run by County Councils

Local Government responsibilities:
Some major responsibilities are:
-Health Care / Hospitals
-Social Care, including Children Daycare (available for everyone)
-Schools
-Safety and Health issues
-Environmental planning and land use, building permits
-Education excluding higher university level (Master Degree->)
-Many cities also own and run monopoly on energy distribution,
water and waste management

Presentation setting
-In order to keep matters simple, rest of this presentation refers
to City of Lahti Land Use, Environmental Planning & Infrastructure
Management Department (internally called Tech Department)
-Tech Department has about 300 people
-Tech Department handles everything from Building Permits to Road
and Infrastructure Management
-In the past had a team of 15 people dedicated for archiving

The Problem: Traditional, Paper Based Process
-Processes based on paper are highly inefficient. Period.
-These processes require significant amount of time, people and
are prone to errors
-Storing paper is expensive
*Cost of physical archive is high
*Retrieving Records from archive take significant time
and slow down the processes
*Removal and Destruction of records is manual labor
-Creating paper records is very cumbersome
-Maximum speed for decision making process (like building
permit) will be the speed that physical paper can travel trough
the organization->SLOW
-Who is doing and what? People are working on their “own” cases and visibility
within peers is close to zero
-Significant effort is spent on customer service

The Solution: Smart Archiving,
Electronic Decision Making and Self Service
-In order to fully understand the benefits we must first cover
each solution aspect separately
->Smart Archive
->Electronic Decision Making
->Citizen Self Service
-At the end we will summarize the benefits

Contents:
* City of Lahti and role of local government in Finland
* The Problem: Traditional Processes
* Smart Archiving
* Electronic Decision Making
* Citizen Self-Service
* Savings
*IBM Technology in use

Smart Archiving // Mandatory Standards
-Solution is based on Finland National Archives (NARC) standard called
SÄHKE2 which is based on pan European MoReq2 standard
-SÄHKE2 standard defines how material that must be kept permanently is
handled in electronic only format:
-Mandatory Metadata
-File Formats (PDF/A,TIFF)
-Record validity and traceability
-SÄHKE2 defines a minimum set of metadata that must be kept for all
records
-City of Lahti was first city in Finland to get permission to being paperless
electronic archival of permanent records in June 2014 from NARC

Smart Archiving // Filing Plans
-In order to move into fully electronic archiving, City of Lahti had
to implement a filing plan for each business process
->SÄHKE2 requirement, all documents created must
comply with standard filing structure and regulations
->Over 900 filing plans have been created this far
-Filing Plan defines which documents are created at which
business process phase
->Along with default values for most metadata like
confidentiality, retention time…
-Filing Plan creation is a business task not a task for archivist
->Filing Plan represents the business process from records
perspective

Smart Archiving // Obtaining Permission
-Process for obtaining permit for electronic only archiving stared
in November 2011 and ended in February 2013
-Following major steps were needed:
1) Security Auditing
2) Organization Self Assessment & Audit
3) SÄHKE2 functional audit (by external auditor)
4) SÄHKE2 application audit (IBM ECM Archive)
(by external auditor)
5) Permit application from NARC

Traditional Archiving - Expense
Collection Use
Sisältö /
tieto
Content /
Knowledge
- Information Explosion: Dead
Weight
Capability to use content decreases
& Search Engines are not able to
solve the problem.
- Archiving:
“Mandatory Evil”
High volume of
incoming material:
Significant Expense!

Archiving // What is Not Smart?
-Any sophisticated archiving schema and filing plan will become
complex. How unfortunate.
-End users will feel frustrated with many metadata fields and
many branches in filing plans
-Creating a record will take time and due manual labor typically is
prone to errors:
*Typing errors
*Interpretation errors – Two people might archive a record
differently due different understanding
-Locating a record will be a challenge when number of records
grow. People must know how to find a record

Smart Archiving
Collection Use
Content /
Knowledge
Smart, Automated
Classification
- Archives Important
Content into correct
place Automatically
Analytics
Provides Answers:
-What do we know about this
-What Should I Know about this
-Why this is happening!

Smart Archiving // What will make it Smart - Classification
-Automated document classification
->IBM Content Classification analyzes the document
->Fills in all required and optional metadata
->End user accepts the classification results or makes
changes->Feed back to Classification engine for better
results in future
-Significantly decreases time needed for document/record entry
-Decreases “human factor” on document classification
->Consistent and correct classification results regardless
of person
-City of Lahti Tech Department did run a pilot for 10 people on
classification-> users refused to give up the classification afterwards
-Makes your end users love you 

Smart Archiving // Tech Slide: Classification
-IBM Content Classification uses a concept called decision plans
(DP) to drive the classification process
-DP will use Knowledge Base (KB) to extract category information
-DP can also use pattern matching or call external code to extract
relevant metadata
-KB is a statistical engine resembling a neural network that must
learn to provide correct results
->Learning process is very powerful when assisted by users
->In this case end user can provide feedback to KB by
providing correct values and next time KB will be able
to classify similar document more accurately

Smart Archiving // What will make it Smart – Search & Analytics
-Faceted search based on record metadata AND document
content
->Natural way for business users to locate relevant
information
-Information can be located by virtually any dimension
->Business Process
->People involved
->Team involved
->Location (this is VERY important on local government,
most of the documents relate to a physical location
somehow
-Makes your end users love you 

Smart Archiving // Tech Slide: Search
-Users access search trough IBM Content Navigator (ICN)
-Search functionality provided by IBM Content Analytics (ICA)
-ICA plugin is used at Content Navigator to provide seamless user
experience
-Search solution uses a few custom text annotators:
->Street Annotator provides a dimension of street names
that have been mentioned on the documents
->People Annotator provides facet that has all current and
past employees of City of Lahti that have been
mentioned on the documents
->Several more to extract additional facets
-Annotators have been developed using Eclipse and Java

Electronic Decision Making
-A key concept on realizing savings on internal working processes
-To move away from paper based processes having electronic
archive is not sufficient
->This would only result an old fashioned process that has
still all legacy “bad habits” in place
-Has three key components:
->Filing Plans (remember, they have been modelled based
on business processes)
->Electronic Signature
->Process Workflow

Electronic Decision Making –
Generic Workflow on Local Government in Finland
Case
Startup
Preparation
phase
Decision
making
Preparation
for Archive
Archived
case
Possibility for
Appealing
-Documents &
Records
-Documents &
Records
-Documents &
Records
-Approval
-Electronic
signature(s)
-Documents &
Records
-PDF/A conversion
-Archivist approval

Electronic Decision Making – Key Benefits
-Decision Making process will be much faster
->Near instant document routing for approval and
signatures
-Traceability of the whole process will be easier to achieve
->Who did what and when
->No hassle, everything is recorded 
-Process state will be much easier to figure out
->Information about where we are and what have we been
doing is available always and instant
-Less human resources are needed. Much less

Self Service
-Self Service is the key concept that will yield the big benefits
->Requires Electronic Archiving and Decision Making
-Self Service frees local government form mundane jobs like filing
(or scanning) paper applications and sending information back
and forth
-Manual tasks are effectively outsourced to the citizen/customer
-Consider following process

Traditional Process 1:
Customer needs a Building Permit

Issues in the Process
-There are many points in the process where official must interact
with the customer
-Process is highly inefficient
-Involves many paper->digital conversions
-Involves plenty of printing and use of mail
-Customer service over the phone
-This is essentially how things must have been done in the past

Many unnecessary steps

New Digital Process 1:
Everything handled on-line

Information Request on Land Use

Many unnecesary steps

New Digital Process 2:
E-aspa (Special Cases)
On-Line
Instant Access to existing Documents

Citizen Account and Electronic Service
Muncipal Account (www.palvelutarjotin.fi) connects all City of Lahti on-line
services under single logon. Once the citizen had created an account on
municipal account, it will grant instant access to all electronic services provided
by City of Lahti. No additional accounts are needed.

Doris Document Managment System
IBM Document Manager is currently used for Document and Workflow
Managment. Electronic Signatures Capability is also provided by
Document Manager.

GIS and electronic archive
Solution is fully integrated with a GIS system. All documents and records are
instantly accessible trough map. Documents created within GIS system are
automatically filed into archive. No end user interaction needed.

End User Document Access using Search
Locating a document using full text search and a few custom annotators –
example: Street Names allow document finding based on approximate location

Savings
-It is all about decreasing human labor
-Tech department (~300 people) have calculated that they will
save 5 person years on using Electronic Archiving only
->Now remember that archiving is just a small part,
decision making and self service will bring much higher
savings
->It is still 1,67 % reduction on labor costs
-Based on research conducted in Finland a few years back, City of
Lahti estimates that when all departments are using the
solution, they will save:
5 M€ / year

High Level Architecture for Electronic
Self Service and eBusiness(Lahti)
Tieto-
Citizen Account – Single Sign On
Short and long term archiving, permanent archivng
+about 500 000 old scanned documents
IBM Content Manager
Application
Documents & Records
relating to land ownership
IBM Content Analytics
(Search)
TeklaGIS/WebMap
Comments
TEKLA GIS –Solution for mapping documents to ownership
(Filing Plans)
Metadata and
Records
Mgmt
(IBM Records
Manager)
IBM
Content
Navigator
IBM Case
Manager
(New, for
quality
incident
mgmt)
IBM
Content
Classifi-cation
IBM
Document
Manager
Internal Systems

IBM Products in Action
-IBM Content Manager, Enterprise Edition (Repository)
-IBM Content Navigator (Search, Document Access)
-IBM Content Analytics (Search)
-IBM Records Manager (Records Management)
-IBM Document Manager (Decision Making, eSignatures)
-IBM Content Classification (Automated Classification)
-IBM Case Manager (Quality System Management, Quality
Incident Management, Quality Reviews,
HR Onboarding)

Future Steps // Developments // Enhancements
-Move rest of the solution functionality from DM into Navigator
->Fully Web 2.0 enabled solution
->Decommissioning of Document Manager
-IBM Case Manager is likely to move into more significant role
-More LoB solutions implemented on top of Content Navigator
->Customer has significant number of Notes databases
that are to be decommissioned
->Many Notes Databases are easy to archive into
Navigator, specific functionality can be recreated
by a fairly simple Navigator Plugin
-In future IBM Records Manager->IBM Enterprise Records

Elinar Smart Archive – for more information, please visit elinar.com
- Order
- Query
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Scanning
(=photo) Capture
(Datacap)
Easy
Archiving
(ICC)
- eMails,
- Reclamations
- Change Requests
Advanced
Classification
Automated process
Document &
Records
Management
- Work groups
- Contracts
- Documents
- Etc...
Business
Value
Case Management
- Claims Handling
- Customer Service
- Deviation Mgmt
- Change Mgmt
- Contract Management
Repository Analytics

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Thank you!
For more information do not hesitate to contact:
Ari Juntunen
CTO
Elinar Ltd
ari.juntunen@elinar.fi
+358-40-52 44 482

IBM Insight, City of Lahti: Reduce Operational Costs and Increase Efficiency by Using Smart Archiving and Analytics

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