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In association with: Presented by:
Drive Paper Out of Your Processes: 4 Tips to Digitize and Automate Document-Intensive Workflows
Presented September 9, 2015
In association with: Presented by:
About AIIM
AIIM is the Global Community of Information Professionals AIIM believes that the information systems we use at work should be simple, secure, and available anywhere, anytime, and on any device. Our mission is to improve organizational performance by empowering a community of leaders committed to information-driven innovation. Learn more at www.aiim.org
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AIIM Presents:
Drive Paper Out of Your Processes: 4 Tips to Digitize and Automate Document-Intensive Workflows
Host: Theresa Resek Director AIIM
Richard Medina Co-Founder & Principal Consultant Doculabs
Pete Stein Vice President Capture and Intelligent Data Novitex
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Introducing our Featured Speaker
Richard Media
Co-Founder & Principal Consultant
Doculabs
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Agenda
1. When to digitize and automate
2. How to leverage the latest advances in “upstream” capture
3. How to leverage the latest advances in “downstream” capture
4. How to plan and manage your capture operation
• When does it make good business sense?
• Whether to do it yourself or outsource
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About Doculabs
Doculabs is a strategy consulting firm; our clients rely on us to help them improve the way they manage information. We provide services such as developing strategic roadmaps and business cases, program management, and content migration assistance. Our consultants are experts in helping clients manage content such as Office documents, web content, email, customer communications, and records to improve operations, lower costs, increase revenue, and reduce risk.
Differentiators • 20+ years of information management experience • Objective recommendations • Provide empirical data from over 1,200 engagements • More than 550 customers in financial services, insurance, energy,
manufacturing, and life sciences
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WHEN TO DIGITIZE AND AUTOMATE
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Detailed Process Flow: Current State Example
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Modeling a Loan Application Process
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Modeling a Loan Application Process
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Modeling a Loan Application Process
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HOW TO LEVERAGE THE LATEST ADVANCES IN “UPSTREAM” AND
“DOWNSTREAM” CAPTURE
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The Mess: Upstream and Downstream Capture
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So What’s the Problem?
1 No consistent, enterprise-standard process for ingesting documents
2 No easy way to upload electronic documents
3 No online-fillable dynamic forms
4 E-signatures aren’t integrated (no click-to-sign for customers)
5 Indexing and vetting are manual
6 High percentage of submissions are out of order – requiring manual exception processing by Operations staff
7 Hard to scale and maintain
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Improving Upstream and Downstream
Document Capture: Input Channels and Formats
Scanners, MFPs
E-signEmail MobileDevice
Paper Fax
Users(branch, field, operations staff) Customers
Exce
ptio
n H
andl
ingException H
andling
Business Processes
Document Repositories
Digital Documents(hard dr ive, shared drive)
Business Applications
DOCUMENT PROCESSING PLATFORM
Image Processing/Enhancement
Other Automated Recognition and Indexing (e.g. OCR, form ID)
Out-of-Order Processing/Exception Handling
Notification/Confirmation
Release
Manual Indexing
Data Validation Quality Assurance
Electronic Forms
Monitoring of Document Processing
Barcode Recognition and Automated Indexing
Document Vetting
Operations Staff
Some exceptions are routed to a business process for resolution.
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Key User Capabilities for Document Input
• Any user (branch staff, field staff, customers) can submit documents in any format (paper or electronic) via multiple mechanisms (e.g., scan, email, fax, digital upload) into the centralized capture platform for consistent processing
• Customers can securely upload electronic documents directly via the online banking web site or a mobile app
• Customers can fill out forms electronically online and sign them using a “click-to-sign” approach
Document Capture: Input Channels and Formats
Scanners, MFPs
E-signEmail MobileDevice
Paper Fax
Users(branch, field, operations staff) Customers
Exce
ptio
n H
andl
ing
Exception Handling
Business Processes
Document Repositories
Digital Documents(hard dr ive, shared drive)
Business Applications
DOCUMENT PROCESSING PLATFORM
Image Processing/Enhancement
Other Automated Recognition and Indexing (e.g. OCR, form ID)
Out-of-Order Processing/Exception Handling
Notification/Confirmation
Release
Manual Indexing
Data Validation Quality Assurance
Electronic Forms
Monitoring of Document Processing
Barcode Recognition and Automated Indexing
Document Vetting
Operations Staff
Some exceptions are routed to a business process for resolution.
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Key Benefits
Document Capture: Input Channels and Formats
Scanners, MFPs
E-signEmail MobileDevice
Paper Fax
Users(branch, field, operations staff) Customers
Exce
ptio
n H
andl
ing
Exception Handling
Business Processes
Document Repositories
Digital Documents(hard dr ive, shared drive)
Business Applications
DOCUMENT PROCESSING PLATFORM
Image Processing/Enhancement
Other Automated Recognition and Indexing (e.g. OCR, form ID)
Out-of-Order Processing/Exception Handling
Notification/Confirmation
Release
Manual Indexing
Data Validation Quality Assurance
Electronic Forms
Monitoring of Document Processing
Barcode Recognition and Automated Indexing
Document Vetting
Operations Staff
Some exceptions are routed to a business process for resolution.
1 Support for multiple channels of ingestion (including paper, fax, and digital documents) through a common input mechanism
2 Reduced complexity for users
3 Improved data quality
4 Reduced out-of-order submissions
5 Time savings for Operations in indexing and document vetting
6 Tighter controls and visibility into document processing status, metrics, etc.
7 All documents are processed consistently, improving maintenance ease and scalability
8 Fewer “moving parts” means fewer potential break points
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HOW TO PLAN AND MANAGE YOUR CAPTURE OPERATION
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Benchmarking Best and Worst Practices
• Model and evaluate your opportunities in the ways just described • Then benchmark your ingestion operations according to the following criteria:
Quality Mechanisms
Primary Processes
Supporting Processes
Primary Technology Capabilities
Supporting Technology Capabilities
Operations Business Continuity
Human Resources
Customer Satisfaction
Financial Management
Vendor Management
+
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1. Primary Processes
Criteria 1. Mailroom (Receiving, Prep, Sort,
Certified Mail, Return Mail) 2. Doc Prep 3. Scanning 4. Fax 5. Indexing/Data Entry 6. Quality Assurance 7. Release/Commit
Best in Class 1. Process design is conducted prior to implementation of a new application 2. Product management takes an active role in advising clients on their options
and encouraging document redesign
Typical Challenges 1. Manual paper sorting; not using technology to reduce paper sorting and
complexities 2. Too many unique and complex manual processes
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2. Supporting Processes
Criteria 1. Error and exception handling 2. Records management (paper storage
and retrieval) 3. Work scheduling 4. Customer service
Best in Class 1. Automated routing based on index assignment 2. Real-time reporting and exception monitoring 3. Work load balancing based on volumes, capacity, and SLAs
Typical Challenges 1. Manual work scheduling 2. Poor product management discipline 3. Most supporting processes are manual or supported by a variety of MS Office
tools
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3. Primary Technology Capabilities
Criteria 1. Dedicated capture software 2. Auto-indexing via OCR/forms
recognition 3. Distributed capture and index 4. Acquisition channels (color scanning,
fax, email, EDI) 5. Workflow and automated routing
Best in Class 1. 30% to 60% of document volume is automatically indexed (1+ fields) 2. Distributed capture capabilities are provided to high-volume remote locations 3. Intelligent forms redesign 4. Bar codes, intelligent forms recognition, auto-processing, and workflow
Typical Challenges 1. Poor use of available technology to provide efficiencies 2. Too many scanning processes and ingestion technologies 3. Lack of automated tools for processing, reporting, and maintaining
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4. Supporting Technology Capabilities
Criteria 1. Service-level or application billing 2. On-line reporting 3. Integration (“tight coupling”) with
downstream ECM repository and workflow
Best in Class 1. Capture solution is multi-functional, with ability to front-end multiple systems
with tight integration, full error checking and control, real-time reporting, queue workload management
2. End-user online reporting
Typical Challenges 1. Inconsistent reporting mechanisms 2. Lack of dedicated IT resources within the capture area 3. No on-line reporting or visibility provided to business units
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5. Operations
Criteria 1. SLA conformance (cycle time, quality) 2. Device utilization 3. Employee productivity 4. Shifts/hours of operation 5. Percentage of temporary labor
Best in Class 1. Daily work volumes are monitored through various functions via online
reporting to identify bottlenecks 2. Temporary/contract labor represents 30% or more of workforce 3. Equipment, software, and staff utilization level are reviewed quarterly
Typical Challenges 1. Equipment, space underutilized (in anticipation of volume spikes) 2. High number of “same-day” turnaround requirements result in excess capacity
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6. Quality Mechanisms
Criteria 1. Item-level automated error tracking 2. Statistical manual sampling 3. Feedback reporting (closed-loop) 4. Certifications
Best in Class 1. Real-time, automated tracking of
quality statistics within each function 2. Third-party quality assessments via samples sent to external data entry firms 3. Six Sigma Black Belt quality reviews on a periodic basis
Typical Challenges 1. Limited ability to systematically diagnose problems using automation 2. Feedback from business unit customers is informal 3. Inability to effectively and efficiently scale the manual QA processes
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6. Quality Mechanisms: Military Sampling Table
Military Standard 105E Double Sampling AQL = 1.5% Inspection Level = II
Normal
SAMPLE 1 SAMPLE 2
Batch Size Sample Size Accept Go to 2nd Sampling
Failed - Email team leader
Sample Size Accept Failed
2 - 280 20 0 1 2 or more 20 1 or less 2 or more
281 - 500 32 0 1 - 2 3 or more 32 3 or less 4 or more
501 - 1200 50 1 or less 2 - 3 4 or more 50 4 or less 5 or more
1201 - 3200 80 2 or less 3 - 4 5 or more 80 6 or less 7 or more
3201 - 10,000 125 3 or less 4 - 6 7 or more 125 8 or less 9 or more
10,000 - 35,000 200 5 or less 6 - 8 9 or more 200 12 or less 13 or more
35,001 - 150,000 315 7 or less 8 - 10 11 or more 315 18 or less 19 or more Double Sampling AQL = 1.5% Inspection Level = II Tightened
Batch Size Sample Size Accept Go to 2nd Sampling
Failed - Email team leader
Sample Size Accept Failed
2 - 280 32 0 1 2 or more 32 1 or less 2 or more
281 - 500 32 0 1 2 or more 32 3 or less 4 or more
501 - 1200 50 0 1 - 2 3 or more 50 3 or less 4 or more
1201 - 3200 80 1 or less 2 - 3 4 or more 80 4 or less 5 or more
3201 - 10,000 125 2 or less 3 - 4 5 or more 125 6 or less 7 or more
10,000 - 35,000 200 3 or less 4 - 6 7 or more 200 11 or less 12 or more
35,001 - 150,000 315 6 or less 7 - 9 10 or more 315 15 or less 16 or more
Double Sampling AQL = 1.5% Inspection Level = II Reduced
Batch Size Sample Size Accept Go to 2nd Sampling
Failed - Email team leader
Sample Size Accept Failed
2 - 280 8 0 1 2 or more 8 0 or less 2 or more
281 - 500 13 0 1 - 2 3 or more 13 0 or less 4 or more
501 - 1200 20 0 2 - 3 4 or more 20 1 or less 5 or more
1201 - 3200 32 0 2 - 3 4 or more 32 3 or less 6 or more
3201 - 10,000 50 1 or less 2 - 4 5 or more 50 4 or less 7 or more
10,000 - 35,000 80 2 or less 3 - 6 7 or more 80 6 or less 9 or more
35,001 - 150,000 125 3 or less 4 - 7 8 or more 125 8 or less 12 or more
Normal to Reduce: Must pass quality for 5 consecutive days
Reduce to Normal: If LOB FAILS 1 day sample size will return to normal.
Normal to Tightened: If 2 of 5 consecutive days work for the LOB are rejected, the sample size will be tightened.
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7. Human Resources
Criteria 1. Training 2. Turnover/tenure 3. Variable compensation and incentive
systems 4. Management
Best in Class 1. Train all staff on each function to address
peaks in the flow of work 2. Retain only the staff that finds piece rate incentives attractive 3. Rotate management and supervisory staff across various functions to increase
end-to-end process knowledge
Typical Challenges 1. Inability to introduce incentive systems 2. Diversity of work mix extends training period and limits use of temporary staff
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8. Customer Satisfaction
Criteria 1. Business unit satisfaction (internal
customer) 2. IT satisfaction 3. Compliance/internal audit satisfaction 4. Customer satisfaction survey methods
Best in Class 1. Understand the dynamics between customer
satisfaction and unit costs 2. Actively solicit input via surveys and phone interviews, and statistically monitor
progress
Typical Challenges 1. Lack of regularly scheduled customer surveys 2. Need to increase promotional efforts internally
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9. Financial Management
Criteria 1. Application / service level pricing 2. Reinvestment levels / Profit levels 3. Job costing 4. Variable pricing (based on SLA or
time period)
Best in Class 1. Applications are variably priced based
on supply and demand 2. Costs are tracked by application to monitor contribution margin 3. New investments are focused on software automation rather than equipment
Typical Challenges 1. Too many manual tools and man-hours to create the financial analysis 2. Pricing does not sufficiently vary by service level 3. No significant investment in new technologies to improve process and reduce
overall cost
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10. Vendor Management
Criteria 1. Centralized relationship management 2. Measurement, review and evaluation
processes 3. Contracting process 4. Escalation process and issue resolution
Best in Class 1. All vendors are accountable to SLA
performance, and incentives and penalties are used
2. Contracts are renewable annually to encourage renegotiation and review
Typical Challenges 1. Not fully leveraging the capabilities of the current vendors 2. Internal IT unit is not treated or managed as a vendor formally, with regular
performance reviews, goal setting, etc.
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11. Business Continuity
Criteria 1. Documented strategy, policies and plans 2. Site redundancy/dedicated backup
location 3. Third-party backup site 4. IT system availability
Best in Class 1. Business continuity exercises are
conducted twice a year 2. Manual, paper-based processing is conducted once a year 3. Critical and non-critical documents are identified and prioritized for business
continuity
Typical Challenges 1. Capture process is not considered a high priority for the overall BC plans 2. System incompatibilities limit the number of BC options available or result in
workarounds and added cost
In association with: Presented by:
Doculabs Consulting Services doculabs.com
Doculabs Maturity Assessment Benchmark your capabilities against your peers
• 20 years of industry data included in the study • Financial Services and Insurance are the primary data points
Doculabs Gap Assessment and Validation
Will your plan work? • Reviewed 100’s of plans similar to what you are working on • Seen the warts and the pitfalls that you are likely to face working on the first
time effort Doculabs Strategy and Roadmap
Build your plan for the future • Understand the key requirements of your organization translated into
document management capabilities • Build a vision that you will sell to the leaders and investors in your program
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NEXT STEPS…
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Introducing our Sponsor Speaker
Pete Stein
Vice President Capture and Intelligent Data
Novitex
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CAPTURE VOLUME BY FORMAT:
• Paper approx. 60%
• Electronic approx. 30%
• Fax approx. 10%.
• Electronic growing faster
GOING DIGITAL VS. PAPER:
• Although there is a shift away from legacy
systems and processes, the lack of management
directives are slowing migration.
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REASONS TO GO DIGITAL:
• Search and share documents
• Faster customer (internal, external) response times
• Record security and regulatory compliance Reduced physical space
• ROI benefits still difficult to achieve in general backfile conversions.
• Focus on high value, high-touch documents
• Acceptance of cloud capture deployment as viable and a secure solution growing
• User rate approx. 12% in 2015; expected to grow to 20% in 2016 and 25% in 2017
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Mobile Capture and Content Access
• High degree of recognition of value
• Still low levels of planning and activity
• Privacy / security concerns are large factors
in slow adoption
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Scan and index models: • On-site
• Off-site / near-site
• Hybrid
Each provide different benefits. • Hybrid is most preferred for a balance of costs and compliance support
• Off-site / near-site for cost containment and security
• On-site for compliance support and convenience
Current growth trend: 1. Hybrid
2. Off-site / near-site
3. On-site
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RESULTS: • Established tight controls for document processing.
• Reduced headcount by 30 percent during the first phase. Plan to continue to optimize labor.
• Improved processing time by 4X.
Leveraging a best-site, hybrid approach
CLIENT: A healthcare provider of Medicare and Medicaid managed care plans for approximatively 4 million members.
CHALLENGE: The client was manually entering information from its members and subscribers’ correspondence around claims and open enrollment. In an attempt to improve turnaround times, the provider hired a vendor to manage the processing of these documents. However, this did not solve the client’s inefficient workflows and also resulted in lost member information.
SOLUTION: We developed a cloud-based, hybrid scanning model that enables us to scale up and down as volumes drive processing. We automated the capture of data as it arrived through physical mail and digital communications from various departments. Previously, our client was collecting documents, printing them and then scanning them. With our process and best-in-class technology, we eliminated this efficient workflow. Once documents were captured, we stored the information in our private, secure cloud, and indexed it at our Windsor, Conn., production center, providing cost-efficient, hybrid approach. The intelligent data was then automatically entered into our client’s content management system, enabling faster, easier decision making. Our end-to-end reporting capabilities provided complete visibility into each document’s workflow, offering our client a “Work in Process” view of their documents throughout processing.
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To learn more, visit Novitex.com or contact us at [email protected]
30 YEARS Of Industry Experience
9,000 On-the-ground Employees
FORTUNE 500 Client Base
1,400 Client Sites
6.6 BILLION Annual Multi-channel Transactions
Thank You!
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QUESTIONS?
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