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Drive Paper Out of Your Processes

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AIIM Webinar presented by Rich Medina, Doculabs; and Pete Stein, Novitex

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Drive Paper Out of Your Processes

  1. 1. In association with: Presented by: Drive Paper Out of Your Processes: 4 Tips to Digitize and Automate Document-Intensive Workflows Presented September 9, 2015
  2. 2. 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
  3. 3. In association with: Presented by: 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
  4. 4. In association with: Presented by: Introducing our Featured Speaker Richard Media Co-Founder & Principal Consultant Doculabs
  5. 5. In association with: Presented by: 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
  6. 6. In association with: Presented by: 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
  7. 7. In association with: Presented by: WHEN TO DIGITIZE AND AUTOMATE
  8. 8. In association with: Presented by: Detailed Process Flow: Current State Example
  9. 9. In association with: Presented by: Modeling a Loan Application Process
  10. 10. In association with: Presented by: Modeling a Loan Application Process
  11. 11. In association with: Presented by: Modeling a Loan Application Process
  12. 12. In association with: Presented by: HOW TO LEVERAGE THE LATEST ADVANCES IN “UPSTREAM” AND “DOWNSTREAM” CAPTURE
  13. 13. In association with: Presented by: The Mess: Upstream and Downstream Capture
  14. 14. In association with: Presented by: 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
  15. 15. In association with: Presented by: Improving Upstream and Downstream Document Capture: Input Channels and Formats Scanners, MFPs E-signEmail Mobile Device Paper Fax Users (branch, field, operations staff) Customers ExceptionHandling ExceptionHandling Business Processes Document Repositories Digital Documents (hard drive, 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.
  16. 16. In association with: Presented by: 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 Mobile Device Paper Fax Users (branch, field, operations staff) Customers ExceptionHandling ExceptionHandling Business Processes Document Repositories Digital Documents (hard drive, 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.
  17. 17. In association with: Presented by: Key Benefits Document Capture: Input Channels and Formats Scanners, MFPs E-signEmail Mobile Device Paper Fax Users (branch, field, operations staff) Customers ExceptionHandling ExceptionHandling Business Processes Document Repositories Digital Documents (hard drive, 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
  18. 18. In association with: Presented by: HOW TO PLAN AND MANAGE YOUR CAPTURE OPERATION
  19. 19. In association with: Presented by: 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 +
  20. 20. In association with: Presented by: 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
  21. 21. In association with: Presented by: 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
  22. 22. In association with: Presented by: 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
  23. 23. In association with: Presented by: 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
  24. 24. In association with: Presented by: 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
  25. 25. In association with: Presented by: 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
  26. 26. In association with: Presented by: 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.
  27. 27. In association with: Presented by: 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
  28. 28. In association with: Presented by: 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
  29. 29. In association with: Presented by: 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
  30. 30. In association with: Presented by: 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.
  31. 31. In association with: Presented by: 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
  32. 32. 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
  33. 33. In association with: Presented by: NEXT STEPS…
  34. 34. In association with: Presented by: Introducing our Sponsor Speaker Pete Stein Vice President Capture and Intelligent Data Novitex
  35. 35. In association with: Presented by: 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.
  36. 36. In association with: Presented by: 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
  37. 37. In association with: Presented by: 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
  38. 38. In association with: Presented by: 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
  39. 39. In association with: Presented by: 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.
  40. 40. In association with: Presented by: To learn more, visit Novitex.com or contact us at marketing@Novitex.com 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!
  41. 41. In association with: Presented by: QUESTIONS?
  42. 42. In association with: Presented by: AIIM Resources Download AIIM Studies www.aiim.org/research
  43. 43. aiim.org/training • Enterprise Content Management Improve customer and staff engagement, ensure compliance, and automate business processes. • Business Process Management Map, design, and automate operational processes for your organization using a combination of strategies, change management, and technologies. • Taxonomy & Metadata Optimize navigation, findability, and information discovery through content classification. • Information Governance Create an information accountability framework that reduces costs, manages risk, and optimizes value. • Managing Records & eDiscovery with SharePoint 2013 Manage records, ensure compliance, and prepare for civil litigation requests. • Electronic Records Management Know what to keep and what to discard as volume, variety, and velocity of digital information intensifies. AIIM Training
  44. 44. In association with: Presented by: Connect with AIIM As the Global Community for Information Professionals, join us here AIIM’s Resource Centers – www.aiim.org/resource-centers AIIM's Blogging Community – http://community.aiim.org LinkedIn Group – www.linkedin.com/groups/AIIM-Global-Community-Information-Professionals-3698 Twitter – www.aiim.org/Connect/Twitter Facebook – www.facebook.com/aiimcommunity Digital Landfill – http://info.aiim.org/digital-landfill
  45. 45. In association with: Presented by: Enterprise Content Management (ECM) Business Process Management (BPM) Capture & Scanning Collaboration Content Analytics Electronic Records Management (ERM) Information Governance Search SharePoint Taxonomy & Metadata Web Content Management Access Industry Tutorials, Research, Webinars, and Expert Advice Blogs – all in one place Visit aiim.org/resource-centers AIIM Resource Centers
  46. 46. In association with: Presented by: Survey and Feedback To take our Survey, click on the link in the Resources tab at the bottom of your screen. Tell us how we did today, and offer suggestions for topics of future events.
  47. 47. In association with: Presented by: Upcoming Webinars September 16th Your Business Documents On Steroids Register Today at www.aiim.org/webinars View our library of Webinars On Demand www.aiim.org/WebinarsOnDemand
  48. 48. In association with: Presented by:
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    Sep. 10, 2015

AIIM Webinar presented by Rich Medina, Doculabs; and Pete Stein, Novitex

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