Stand and Deliver - Intelligent Scanning Project QLD Shared Services Agency Case Study

Transcription

1 made easy! Stand and Deliver - Intelligent Scanning Project QLD Shared Services Agency Case Study Matthew Lipscombe Senior Consultant, DocBanq RMAA QLD Branch Conference 15 September 2008

2 Agenda About QLD Shared Services Agency Introduction to the Intelligent Scanning Project About Salmat BusinessForce Issues facing Records Managers Process focus drives EDRMS adoption Typical organisational stakeholders and their goals How scanning automation addresses these goals Qualities of compliant scanning The Intelligent Scanning Project solution design Implementation Issues Summary and Conclusion

3 About QLD Shared Services Agency Max Braithwaite Project Director Process Improvement, Shared Services Agency Christine McKeown Project Manager Intelligent Scanning, Shared Services Agency

4 About QLD SSA Goal: provider of efficient, standardised corporate services Department of Public Works entity formed 1 July 2006 An amalgamation of CorporateLink, Corporate Solutions Queensland and PartnerOne Largest shared service provider in Queensland Government About 400 hundred employees Delivers services to over 70,000 public servants

5 SSA Services Corporate services for delivery on a shared basis: finance procurement human resources, including payroll document and records management property and facilities management the corporate systems that support these functions

6 Goals of SSA SSA is committed to providing quality services and finding new ways of doing business which is why our focus is firmly on improving our existing services to meet clients' requirements. With the SSA delivering important back office services, our client agencies can concentrate on their core business providing essential services such as policing, child protection, housing, ambulance services, environmental protection, or delivering critical infrastructure for the state. Shared services is about streamlining work processes, consolidating systems to gain efficiencies and position the government to more effectively respond to changing demands. Most of the benefits will be achieved through shared service providers enabling economies of scale and skill larger groups of staff working together and pooling their resources and expertise, reducing duplication and allowing the consolidation of technology. Common systems and standardised, streamlined processes create efficiencies and a whole-of-government perspective on corporate service delivery. A shared service promotes clever ways of working, and encourages innovation within the workplace.

7 Intelligent Scanning Project Earlier trials with Accounts Payable scanning & intelligent capture realised >50% are achievable with 20% achievable just by removing paper from the process. Tender for technology & solutions in the marketplace which could assist the organisation to realise significant time and cost savings in its functional/processing areas by scanning in the mailroom Pilot for transactional-based processing documents with the ability for ad-hoc records addition as required Tender 2007 in production Dec 2008

8 An End-to-End Solution Pilot to demonstrate cost-savings by BusinessForce Focus on transactional documents for 8 client departments 50,000 documents per month An end-to-end solution incorporating: Physical mail receipt Scanning, data capture and extraction, indexing Workflow processing Records management within an EDRMS But more on this later

9 Salmat BusinessForce Overview Founded 1979 ASX listed - SLM Turnover: >$800M pa 7,000+ employees > 1,000,000 scans/day BusinessForce formed from Salmat & HPA Developer of high performance and cost-effective EDRMS applications for delivery over the web

10 Salmat Worldwide 51 Locations

11 Major Clients by Vertical Markets Banking Finance Insurance Government Health Telco Hospitality Media Utilities Transport Strategic Business

12 The Force in Scanning Automation BusinessForce - unparalleled national capability Currently scanning, indexing and processing over 1,000,000 items per day Every conceivable technical capability barcoding, forms recognition, OCR, handwriting recognition, workflow, metadata extraction, double-key entry, postal re-direct Quality Accredited Solution focussed

13 Issues Facing Records Managers It may take governments and monopolies a little longer to reach this point, but the moment has long past in the commercial sector when a business enterprise of any significant size can be conducted any other way. The question is no longer whether to have electronic records but how to have records in an electronic environment. Chris Hurley, RMAA Listserv, 29 Aug 2008

14 EDRMS the NSW Experience Shelfware - /shelf'weir/ n. Software purchased [ ] in accordance with policy (by a corporation or government agency), but not actually [ ] of any substantive use. Therefore, it often ends up [metaphorically] on some shelf. Physical Records Management Physical Records but limited e- recordkeeping Meaningful e- recordkeeping with paper generally for legacy records The NSW Experience Operational focus drives EDRMS Maturity

15 EDRMS issues with adoption Everyone now knows that implementing EDRMS is not easy Complex requirements, complex data migration Crosses multiple organisational boundaries Often trying to claw-back a records management culture Impacts a high percentage of the entire organisation Multiple stakeholders who, not infrequently, agree to disagree Strong tension between the needs of organisation and needs of individuals both real and perceived Requires a careful blend of strategy, policy, people and tools Often viewed with suspicion by IT departments

16 Stakeholders and their Goals Stakeholders* Executive Mid-level Managers Records Managers Goals Operational productivity, confident organisational posture, compliance Operational effectiveness, visibility, control, accountability, compliance Compliance, classification, retention, disposal you know End Users Net benefit to me, simple, reliable, fast noting that everyone is also an end-user. * internal

17 How organisations rank these goals? If you could blend this cacophony together, the aggregate response often looks like: 1. Operational outcomes 2. Net benefit to me 3. Compliance now a necessary condition We know this is true paper records, though superior in compliance, have been dumped by managers and users in favour of and network drives but this changing

18 Scanning part of the solution Goals Value How Operational Outcomes Net benefit to me Compliance Process improvement and productivity benefit leading to increased ROI. EDRMS is a rich, searchable source of information from Day 1. EDRMS is the one place I have to go to get the complete picture. EDRMS delivers a comprehensive recordholding, meeting standards requirements. Process automation, mailroom scanning, indexing and workflow inserted directly into the EDRMS. Physical File backscanning. Removing paper from the process by scanning automation and inserting directly into the EDRMS. Scanning is rigorous, controlled and traceable all the way to the EDRMS.

19 But is scanning compliant? Under the existing legal framework in New South Wales: there is no barrier to public sector organisations tendering digital images of records as evidence for legal proceedings, for FOI applications or for other evidentiary purposes under the Evidence Act 1995, an 'original' is not automatically regarded as better evidence than copies, including those made and kept by electronic means the value of a record as evidence will, however, depend on how it has been created and kept, and organisations need to be prepared to show how they have protected images from tampering or loss. Many regulatory authorities now provide excellent practical advice and guidance emphasis is on authenticity, completeness and accessibility.

20 Qualities of Compliant Scanning Process Qualities Meaning Authenticity Completeness Accessibility the product of routine, authorised, auditable copying and registration processes an accurate, legible reproduction of the original, without substantive changes or deletions of content available and readable to all those with a right to access it, for as long as it is required

21 SSA Solution Aspects Direct physical mail receipt Industrial-strength scanning, data capture, indexing and processing Web-based hosted workflow Dataract e5 Web-based hosted EDRMS DocBanq

22 Scanning Complexity Database lookup Forms & metadata extraction Corrected OCR Uncorrected OCR Scanned image only

23 Mail scanning one-pass processing That s not a scanner This is a scanner! 1. Open mail 2. Remove binders 3. Flatten documents 4. Duplex scan 5. MICR & OCR read 6. Incremental sequence numbers 7. Out-sort cheques 8. Remittances/documents 9. Basic forms classification

24 Mail and Scanning Automation Receive Mail Check Shipment Document Preparation Scanning Exception Handling Indexing Import Scan / Image Enhance Disposition Paper Originals Bonded destruction Warehouse Return Shipment Workflow Processing Worklist Actions DocBanq or other EDRMS insertion

25 Mail Clearance Capture Manage Process Process Automation Unique barcode for each client PO boxes are unique and used as an initial client identification Proof of delivery signed audit trail application applied to mail delivery Fax, and data transfers are also unique for each client Secure processing environment cameras, bio entry and staff support Barcode receipt and client application confirmation

26 Mail Clearance Capture Manage Process Process Automation 3 2 Cheques prepared for banking with deposit slip 1 Scanned documents placed in unique barcoded boxes Banking Document images Long and short term storage

27 Mail Clearance Capture Manage Process Process Automation Automated forms recognition based on pixel identification Optional secondary reference point Anchor point used to identify data fields Header Data ABN Total Amount Remittance date Client Reference Line Item Invoice Total Amount Reference Index Field Index Line Index Value Membership No Date 2 8/04/2002 First Name 3 John Surname 4 Smith Address South St. Address 2 6 Matraville Address 3 7 NSW 2036 Claim No Batch # - HPA 9 AHMGCLM Rules can be applied to validate or Identify missing data

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30 Industrial-strength Scanning & EDRMS

31 Backscanning Future Opportunities Scanning of existing hard-copy records should be considered if you need: To make quickly available to many users at the same time To make accessible for users in many locations To include existing records in new automated processes To preserve where hardcopy storage is not suitable Change management strategy for EDRMS implementation: EDRMS is rich & searchable from Day 1 the one place I have to go to get the complete picture

32 Implementation Issues

33 Issue BCS & Folders Business Classification Scheme > QKEY End-user vs. QKEY = User wins! BCS to be hidden in File metadata Folder structure to be driven by: end-user comfort access control

34 BCS drives Folder Hierarchy

35 BCS in File Metadata

36 Workflow Classification vs QKey Had a couple of discussions at RMAA 2008 National Conference re the relationship, if any, discovered while classifying the incoming material and the relationship with the Function:Activity model implied within QKey

37 Issues Dual Screen Anxiety regarding use of two monitors Investigation of ergonomic concerns Development of change management program by Salmat College Workshopped through 50 supervisors Rolled out to 400 users

38 Dual Screens The Movies One Monitor Des Two Monitors Rock

39 What we covered About QLD Shared Services Agency Introduction to the Intelligent Scanning Project About Salmat BusinessForce Issues facing Records Managers Process focus drives EDRMS adoption Typical organisational stakeholders and their goals How scanning automation addresses these goals Qualities of compliant scanning The Intelligent Scanning Project solution design Implementation Issues

40 In conclusion SSA provides services for all but two QLD agencies Tendered for a service that allows inbound mail: to be receipted and scanned processed using web-based workflow uploaded to an online EDRMS, and archived off-site. BusinessForce was selected based on end-to-end solution Initial volumes 50,000 per month and then 20,000 per day