Understanding and Making the Most of Document Imaging and Management · 2015-09-16 ·...

Understanding and Making the Most of Document Imaging and Management

July 7, 2014

Tom Green, Ph.D.

Director of Technology Solutions and Managing Consultant

Document Imaging and Management, AACRAO Tech, 7/2014 2

Disclaimer

The technical terms presented in this session are only as accurate and current as the buzzwords of technology seven seconds ago. Any updated terminology from Twitter, Facebook, the Cloud, Instagram, SnapChat, applications developed in the last seven seconds that are now more popular than these or Steve Jobs’ lost manifesto have not been incorporated into today’s presentation.

We regret any irrelevance this may create.


Overview

1. How does basic document imaging work?

2. Options and enhancements to basic imaging

3. What is document/digital content management?

4. Business process and document/digital content management

5. Common pitfalls in imaging/management

6. Discussion and questions

The Basic Concepts and Processes of Document

Imaging


What is document imaging?

1. Conversion of paper media to a digital image that can be used electronically, using a scanning device or photographic equipment.

2. Most commonly, imaging is performed by a specialized document scanner:

– It can and is increasingly performed by students and others using mobile devices with applications capable of transforming the pictures from the camera into PDF files.

3. PDF = Portable Document Format:

– Universal exchange format for any document to be read by another machine/computer.

– A document reader application is used to view the PDF.


Uses of imaging in higher education

1. Admission:

– Inquiry card capture and management.

– Transcripts – the most common usage in higher education.

– Supplementary application materials, including:

• Essays

• Letters

• Photos

2. Financial aid:

– Tax transcripts.

– Identity documents (green card, social security card).

– Supplementary application materials for scholarships.



3. Records:

– Forms (this applies to any area but is most common here) used for processing student status or other changes to records.

– Supplementary transcripts after matriculation for transfer credit.

4. Human Resources:

– I-9 forms and supporting documentation.

– Documentation of incidents, employee meetings, etc.

5. Academic advising:

– Advisor notes.

– Degree checklists and other student-related tools.



6. Procurement:

– Documents that support a bid process or other purchasing processes of the department.

7. What other areas of the University have you seen use document imaging?


Indexing

1. Process of associating images with a record identifier in an information system, such that the image can be located and accessed when working with a student or employee record.

2. Typically, the record is associated with the student ID number in the Student Information System (SIS) and the name:

– SID = 111223344

– Name = Walter Edward Scott

– Index = 11223344WEScott

3. When there is no record in the system, indexing under the name is appropriate and allows the record to be retrieved from the “loose materials” file folder on the server:

– Index = WalterEdwardScott


Overview of the basic process

Document received - paper format Date stamped upon receipt Lookup in SIS and update

checklist



Documents are prepared for

scanning, removing and staples and

checked for wrinkles, creases or

folds that may impair the scanner

Documents routed to imaging or document

control team with SID’s attached,

sometimes on a control sheet or otherwise

written onto the document itself



Documents are loaded into the scanning

machine



Images are indexed and saved to

appropriate server locationQUALITY CONTROL

The batch is reviewed for quality and any

problems are corrected before any further

steps are taken:

Can I read everything on this document?

Are course codes, titles, credits and grades

clear?



Paper documents are shredded to

enhance security of student records

What happens to

the paper??? Documents are kept aside

for some amount of time

until the institution feels

comfortable that the

digital image is accurate

and that the paper

document would not be

needed:

This typically decreases

over time.

Enhancements to the Basic Process


Optical Character Recognition (OCR)

1. Machine-reading process that converts text that are not typed into the computer into computer-readable text.

2. In records, this is most often used to convert the information from an imaged transcript into a template, such as a SPEEDE file, and process the data in the student information system.

3. FUN TRIVIA: Who are the largest OCR users in the United States?


Automated processes

1. Automated indexing:

– Uses OCR to read the document and search the SIS for matches.

– Once found, assigns an index to the image, based upon predetermined indexing formats.

2. SIS import:

– Loads the images to the SIS record of the student, associating it with that record and making it available without manually attaching the record to the file:

• This is a major decision factor in selecting an imaging system to be compatible with your SIS.

• Does your SIS allow images to be embedded with the record, so that a user can click on the hyperlink in the record or will the images have to be displayed in another dialog box?


Creating action folders and annotation

1. Images are placed into folders by logical groups for review or action by faculty or staff in various departments:

– Admission

– Academic advising

– Financial aid

– Graduate programs

– Registrar’s office

– Others

2. Images may be annotated by the user and the comments or markings saved with that document for future reference:

– This is much the same way that you may mark up a form or transcript on paper.


Dual monitors

• This is an absolute “must have” for any office that will work with imaged records.

• Build this cost into your imaging project.

Document or Digital Content Management


What is digital content management (DCM)?

1. DCM goes far beyond imaging to use the electronic media created or imported into your imaging system to re-engineer the business processes associated with records.

2. Utilizes workflow and automation to route digital content (images) through a business process.

3. Many imaging systems are equipped with this technology:

– Many people have found the configuration of workflow in imaging systems to be easier to set up than similar technology that is available in some SIS/ERP systems.

– Of course, this varies, based upon the systems and opinions and experiences of users.


Forms creation and use

1. Many imaging systems allow for the creation and use of forms.

2. Forms are created within the imaging solution to take data elements from the SIS and populate a custom form or to replicate an existing paper form:

– Course substitution request.

– Grade change petition.

– Scholarship review form.

3. This form may be used to route information through the business process, sending custom information to users who need to be informed of system transactions or to users who need to act upon it.



4. Forms can be modified by the receiver to reflect actions or status changes, based upon the information reviewed by the user:

– Course substitution approval and comments.

– Change of grade.

– Scoring of candidate quality for a scholarship, recommended or approved amount, comments, etc.

5. This new information can be imported into the SIS to update the student record.

6. Updates can be send to the student to track the information through the process:

– “Your request for a course substitution has been received by the dean’s office and is under review.”



7. One example of good use of forms is to take application data and create a form with it in the imaging system.

8. This form reduces the number of screens a reviewer needs to access in the SIS, a common complaint about application data.

9. The form can be reduced to just the data the reviewer need to see in most instances to make an admission decision, in combination with other information, such as transcripts or test scores.

10.The form can contain fields that the reviewer uses to input a calculated GPA, make an admissions decision or add comments for another reviewer if the process requires or allows that.

Business Processes and DCM


“Before” application review process

1. Receive application online

2. Print a copy and create a file folder

3. Print a file label

4. Check missing transcript drawers to see if any documents exist in your office:

– Add to file folder.

5. Place in a bin for students to file in file cabinet if the file is not yet complete.



6. Receive new transcripts.

7. Look up on system to see if an application exists for that student:

– File in loose transcript file drawer if no application is on file.

8. Try to find file folder for student and add the document:

– Chase down admissions counselors to figure out which one took the file without putting the “out card” into the file drawer.

9. Answer calls from students about documents they sent to you:

– Check stack of unfiled transcripts to see if it is there.

– Double-check loose transcript bin to see if the document came in under another name, was missed when the application arrived, etc.

– Tell student to send another copy.



6. Receive missing transcript from registrar’s office:

– Someone sent it there by mistake!

7. Complete the paper file, marking off all the items on the file folder checklist, then place the file into a review bin for counselor action.

8. Answer more calls from the student, checking on the status of her or his application.

9. Try to find the file in the review bin or on counselor’s desks to check the status.

10.Let the student know that the file is in progress and that typical review time is 2-4 weeks.



11.Counselor returns file to processing staff and notes that an essay is required before a decision can be made.

12.Staff update the SIS with the new required information and send a letter to the student to note this:

– Counselor may also call the student to notify her/him of the new requirement, leaving voice mail.

13.File is returned to the incomplete file and the process continues . . . . . .


“After” application review process

1. Receive application online:

– Send automated reply to thank student for application and notify student of next steps.

2. Receive transcripts via electronic files or paper:

– Image new paper transcripts.

– Move electronic transcripts to imaging system as PDF or import data directly to SIS.

3. Review new application report and check unmatched transcript e-folder for any materials already received and indexed under student name:

– Re-index under student ID and name convention to associate them with the student record.



4. Send student automated notice via email and letter that the application is on file and list specific missing materials in the letter:

– In the email, direct the student to the application portal.

5. As new materials are received, send student automated notice that new information is on file and to check the student portal for the most accurate information:

– Send monthly missing information letters.

6. Once the file is complete, route the file to the appropriate review folder:

– Include form with application data and review update fields.

– Automated email to student to notify that the file is under review.



7. Counselor reviews the file between high school visits using tablet or laptop:

– Completes the review form, noting calculated GPA and status as regular admit.

8. File is moved to complete e-folder:

– Processing staff reviews the update, enters the calculated GPA and changes status in SIS;

– OR, automated routine moves the update and calculated GPA to the appropriate fields in SIS.

9. Student receives letter of admission and additional information for yield . . . . . .

Common Pitfalls in Imaging and DCM


The expensive file cabinet

1. This occurs when imaging is completed at any time other than the start of the process.

2. The college/university owns imaging software but has not changed the business process to leverage it.

3. Paper files are kept and used for the business process and records are imaged at the end of the process:

– This sometimes occurs months afterwards, as the goal is to store the record and not to use the image in the process.

4. This creates a very wasteful, expensive digital filing cabinet.


Silos of processing and imaging

1. As digital content management comes of age in higher education, we can break away from each office storing its own records:

– This was done to have access to the records when needed.

2. Capturing the image can be done centrally for a number of various offices:

– This implies that security will be appropriately administered to assure that information is not compromised or shared inappropriately.


Lack of appropriate security for digital records

1. Using the copier to scan documents and then email them to a staff member:

– This opens the image to an unsecured process.

2. Follow appropriate FERPA and HIPAA protections when imaging and routing images using folders:

– Make sure that those who need access have it and those who do not have a demonstrated need are not seeing this information:

• Medical forms or requests for medical withdrawal.

• Financial statements or tax transcripts.

Questions and Discussion


Thank you and please complete your session evaluation forms

Tom Green, Ph.D.

Director of Technology Solutions and Managing Consultant

[email protected]

consulting.aacrao.org

Understanding and Making the Most of Document Imaging and Management · 2015-09-16 ·...

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