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January 2006 Document Scanning Considerations Presentation
1. Document Scanning
Considerations
Peter Goodrich
Goodrich Associates
391 Mt. Sequoia Place
Clayton, CA 94517
(925) 673-1475
petergoodrich@sbcglobal.net
2. Facts about Our Business Files
• 90% of your company's memory exists on paper
• 4 trillion documents are stored in manila folders
• Your volume of paper is growing at a rate of 22%
per year
• Over 81 billion documents are copied each month
- that's 19 copies per active document
3. Facts about Our Business Files
• 7% of all needed paper documents are lost and
must be recreated
• 3% of the remaining files are misfiled
• Your organization loses approximately $20 for
each lost or misfiled document
• Skilled professionals spend 10% of their time
reading information
• Skilled professional spend 50% of that time
looking for documents
Source: Coopers & Lybrand
4. Technical Solution:
Digital Document Management System
INPUT/CAPTURE RETRIEVAL
Microfilm
Scanner
LAN Local Printer
Workstation
Document
Scanner
Central System
Computer Server WAN
Relational
Workstation
Database
STORAGE
System Printer Internet Access
System FAX
OUTPUT
RAID, SAN, NAS, CD/DVD,
Optical Disk Jukebox
5. Document Management
Storage and Retrieve
COMPANY
PROCESS
(completed)
Archival
Document
Management
System
6. Document Management
Integrated Workflow
COMPANY
PROCESS
Workflow
Document
Management
Subsystem
7. Installation Configurations
• In-house Stand-alone Document Management System
• In-house LAN Networked Document Management System
• In-house WAN Enterprise-wide Document Management
System
• In-house Internet-based Document Management System
• Hosted Internet-based Document Management System
9. Hard Copy Conversion Strategies
• Complete Backfile
• Partial Backfile
• On-demand (as required)
• Day Forward (no Backfile Conversion)
10. Complete Backfile
• Every File is Scanned
• Media Independent (paper, film, fiche, etc.)
• Application Specific (only certain
applications require this conversion i.e., Life
Insurance File, Litigation-Discovery, Medical
History, etc. )
11. Partial Backfile
• Files or Documents Selection is based on
Specific Criteria (i.e.,Time, Document Type, etc. )
• Media Dependent (film media difficult to partially convert)
• Application Specific (A/P, Mortgage Loan, etc.)
• May Require Long Term Paper File Access
12. On-demand Conversion
• Request Driven
• Media Dependent (roll film difficult/expensive to convert partially)
• Fulfillment Delay must be a consideration
• Requires Long Term Paper File Access
13. Cost Control Points
• Project Planning
• Document Preparation
• Document Scanning
• Index Capture or Data Entry
• Quality Control Verification
• Import into System
14. Document Preparation
Document Preparation is the first Mission Critical Task
Required for a Successful Conversion
• Removal from Folder
• Staple Removal
• Damaged Page Repair
• Photo Copy (as required)
• Page Sorting
• Folder-level Index Insertion
• Document-level Index Insertion
• Quality Control
15. Document Capture
Document Capture Requires Constant Review for
Optimum Quality Assurance
• Scan Documents
• Capture All Document Sides
• Review Quality of Scanned Images
• Rescan (as required)
• Capture Folder-level Index Data
• Capture Document-level Index Data
• Quality Control
16. Index Capture/Creation
Capture Machine Readable Data, Manually Key
Fields and/or Merge Database Records
• Capture Machine Readable Data During Scanning
– Bar Code
– Marked Sense
– OCR/ICR (Zone, Full Text, Restricted Hand Print)
• Key Data Entry of Non-intelligent Data Fields
• Verify Key Fields (Double Data Entry, Database Field Compare)
• Merge Additional Fields from Database
• Quality Control
17. Format Image & Index Data
Images Must Comply with Imaging Systems
Format Specification
• Images Formatted to comply with Document
System’s Image Specification (TIFF, JPEG, PDF, MDI, etc.)
• Index Record Layout Compliant w. System’s Index
Specification
• Data Format Options
• Quality Control
18. Record Image & Index Data
Image and Index Data Must Comply with
Imaging Systems Import Format Specification
• Images (and Index Data) Recorded onto Magnetic or
Optical Media
• Images and Index data transmitted into System
• Images (and Index Data) Recorded onto Backup Media
19. Paper Conversion Workflow
Documents from Prepare Documents Scan Files
Log in QC Prepared
File Area
Boxes Batches
Folder Separator
Sheets
File Data Merge Additional Data Fields Manual Index
Conversion
& QC
Database
CAPTURE RETRIEVAL
Transmit Images & Index
Data into System
STORAGE
OUTPUT
Format Images & Index Data
Backup Disks
Document Management System to comply with System
20. Typical Applications
• Accounts Payable Day Forward
• Loan Files Complete or Partial
• Liability Insurance Claims Complete or Partial
• Human Resources Partial or On-demand
• Retirement Funds Complete or On-demand
• Signature Cards Complete
• Proof of Delivery Day Forward
• Transportation Files Day Forward
• Government Records Complete or On-demand
• Hospital Records Complete or Partial
• Law Enforcement Complete or On-demand
21. What is Electronic Conversion?
RETRIEVAL
INPUT/CAPTURE
STORAGE
OUTPUT
Old Legacy Document New Document Management System
Management System RETRIEVAL
INPUT/CAPTURE
STORAGE
Image, Index & COLD/ERM Data OUTPUT
22. Why Do Companies Change Document
Management Systems?
• Unsupported System Software
• Proprietary Image, Index, OD and COLD Formats
• System Doesn’t Support Changing Business Needs
• System Can’t Handle Increased Volumes
• Company Moving to Client/Server Environment
• Company Moving to Workflow Application
• Upgrade w. Existing Vendor not Viable
• Corporate Restructuring
23. Potential Conversion Issues
• Proprietary Image Format to Decode
• Proprietary Optical Disk Format to Decode
• No Equipment to perform the Conversion
• Limited Staff to Perform the Conversion
• No Expertise to Perform Conversion
• Proprietary COLD/ERM Data Format to Decode
• Conversion Software Not Commercially Available
• Existing System Vendor Unsupportive
24. Conversion Solutions
• IF Standard Formats (Image, Index, optical media
and COLD) …do it yourself
• Ask your New Imaging Systems Vendor to
perform the conversion
• Outsource the conversion to a Service Company
which Specialized in this type of conversion
• Evaluate the need for the data in the New
Imaging System
25. Summary
• Document your existing Business Process
• Define the Expected Benefits
• Involve other who have been through an
implementation before
• Plan and Test the process prior to full
implementation
- Test with other Departments or Service Providers
- Establish Realistic Time Lines
- Create Contingency Plans
• Validate Actual Savings
