Rising Above the Mark William 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.

Central  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

PAPERLESS Electronic Format Intake

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-Site Storage Co. Distribute Document Management Department Processing Mail Current Manual Process

Distribute Document Management Department Users Mail Implementing Imaging Imaging Center Off-Site Storage Co.

Off-Site Storage Co. Distribute Document Management Department Imaging Center Users Mail Implementing Workflow Mail room

Off-Site Storage Co. Imaging Center Users Mail Implementing a CIF Document Management Department 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 u Management Sponsors u Department Heads u User Community u Mail Room u Document Management u Training u Facilities u Change Management u IT

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

Documents u Document Control Process Analysis -Examine the current document intake, distribution, processing, retention and disposition procedures. u Document Analysis -Examine incoming document volumes, categories, characteristics and associated their processes.

Documents

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

Envelopes

Staffing  Mail Room  Document Management  Business units

Process Modeling

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 Users Electronic 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 Indexing and other carryover functions

Facility CIF Presort Open Prep / Sort Batch Scan MailDocuments 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 InformationPhone Scott Belles IDM Consultant Srini Raghavan IDM Delivery Manager