Rising Above the MarkWilliam Penn AIIM Meeting December 5, 2001

William Penn AIIM Meeting December 5th, 2001

Standards and Best Practices in Centralized Document Capture

Central Intake Facility

A Centralized Facility for the electronic capture and routing of all incoming business documents and other media that are critical to the operation of the business.

CentralCentral

Single receiving point for all client / customer correspondence

Receive mail and other incoming items Convert incoming documents into work for

processing Provide a mechanism to route documents to

the appropriate people or processes Provide for the storage and disposition of

paper documents and other items

PAP E

RL

ES S

Electronic Format

IntakeIntake

Capture Mail

Receive mail Open and extract documents Pre-sort Prep / Sort / Batch documents for scanning Index documents / work items Commit documents to imaging / workflow

system

Facility

Secure Facility- Customer documents- Employee documents

Containment of mail and other items Disposition of original documents and other

items

Benefits

Efficiency Security Controls

Benefits

Efficiency- Accessibility - Timely delivery- Consistent processing of incoming work

Security- Document security- Security for checks and other sensitive items- Safety

Controls- Metrics- Audit

Implementing Imaging and Workflow

Off-SiteStorage Co.

Distribute

Document ManagementDepartment

Processing

Mail

Current Manual Process

Distribute

Document ManagementDepartment

Users

Mail

Implementing Imaging

Imaging Center

Off-SiteStorage Co.

Off-SiteStorage Co.

Distribute

Document ManagementDepartment

Imaging Center

Users

Mail

Implementing Workflow

Mail room

Off-SiteStorage Co.

Imaging Center

Users

Mail

Implementing a CIF

Document ManagementDepartment

Mail room

Obstacles

Financial Lack of political will Lack of resources Exception processing Institutional inertia Nature of the documents

Implementing a CIF

Strategies

Project Team

Management Sponsors Department Heads User Community Mail Room Document Management Training Facilities Change Management IT

Mail

What do you get How do you get it When does it come Where does it come from

Documents

Document Control Process Analysis - Examine the current document intake, distribution,

processing, retention and disposition procedures.

Document Analysis - Examine incoming document volumes, categories,

characteristics and associated their processes.

Documents

DeptDocument

NameProcess

Docs / month

Pages / Doc

Sides / page

Image? (Y/N)

SizeQuality G

F PPeak

PeriodPeak

VolumeIncoming/

Outgoing BothCreation

ApplicationRetention

Period

Research

Regulatory / Statutory requirements- Imaged documents- Retention requirements

Contractual requirements- Document retention- Hard copy retention- Special services

Facilitate Efficient Identification and Capture

Forms redesign Mailing addresses BRE envelopes Personal mail Interoffice mail

Other Mail

Non scannable items- Non scannable documents- Checks- Photographs - Electronic media- Packages

Mail Opening and Extraction

Mail opening machines Open manually Envelopes

Document Prep

Unfold Copy if necessary Use of Auto Indexing tools

- Patch Codes- Bar Codes- Forms

Document Sorting

Keep it simple

Handling Non-Scannable Items

Checks Magnetic Media Photographs Packages Large Format

Non Scannable Items

Tape

D ocum ents

D ata C enter

+

Barcode

Sorting B in

M edia G roup

Fullfillm ent

Envelopes

Prin ter

D ocum ents

BarcodeR eader

Sorting B in+

Barcode

Staffing

Mail Room Document Management Business units

Process Modeling

5:30 Start 8 Indexers

0

5

10

15

20

5:30-6:30

6:30-7:30

7:30-8:30

8:30-9:30

9:30-10:30

10:30-11:30

11:30-12:30

12:30-1:30

1:30-2:30

2:30-3:30

3:30-4:30

4:30-5:30

Sts

ff

Prep/Sort/Batch

Scan

Index

Total

6:30 Start 8 Indexers

0

5

10

15

20

25

30

5:30-6:30

6:30-7:30

7:30-8:30

8:30-9:30

9:30-10:30

10:30-11:30

11:30-12:30

12:30-1:30

1:30-2:30

2:30-3:30

3:30-4:30

4:30-5:30

5:30-6:30

Sta

ff

Prep/Sort/Batch

Scan

Index

Total

Process Modeling

Mail Delivery With 8 Indexers

9:0010:0011:0012:0013:0014:0015:0016:0017:0018:0019:0020:00

Mail Run

De

liv

ery

Tim

e

5:30 Start6:30 Start7:30 Start

Training

Train with business units Business units bring expertise to CIF Formal training in business processes Dry runs

Facility

Find the appropriate space for your facility- Secure- Easy access mail delivery- Sufficient space

Facility

Secure- Checks- Sensitive documents- Employee documents- Other items

Capture and

Route

Facility

UsersElectronic documents

CIF Users

Facility

Easy access mail delivery Sufficient Space for

Peak document volumes Growth Carry over functions Document Storage

Facility

Segregation of mail from other processes

Facility

Capture

CIF CIF

Indexing and other carryover functions

Facility

CIF

Presort

Open Prep / Sort

Batch

Scan

Mail Documents

Indexing

Systems

Open systems Scalable Flexible

Contingency Plan

Disaster Recovery- Systems- Users- CIF

Business Continuity- Minimal disruption of business- Sort / Prep / Batch ------> deliver- Recall for scanning?

Other Factors

Communicate- Involve users and customers from the

beginning Seek input from the users to develop new

processes Training

Questions

Contact Information Phone 610 892-8920

Scott Belles IDM Consultant sbelles@scgteam.com

Srini Raghavan IDM Delivery Manager sraghavan@scgteam.com