No More Papercuts!A Common-Sense Guide To Implementing Your Paperless Office Strategy

Table of ContentsIntroduction

Chapter 1. Document Management Software Overview

Chapter 2. Document Capture

Chapter 3. Document Retrieval

Chapter 4. Workflow

Chapter 5. Deploying a Document Management System

At Cabinet Document Management Solutions, we talk every day to people who have reached the realization that it is time to “go paperless.” It could be that a lost document has cost their company money. File cabinets might be taking over office space. Maybe clients are left on hold while customer service staff searches for a document, or employees in branch offices are wasting money and time mailing documents. Whatever the reason – and there are many more – business owners and managers are trying to get rid of operational bottlenecks caused by outdated methods of storing and retrieving documents. Of course, it’s not quite as simple as “scan, rinse, repeat.” A paperless office initiative without a well thought-out, sustainable strategy is doomed to failure.

That’s where this guide comes in. We want to give you ideas to help plan and execute this transition in a way that matches your company’s requirements, resources and culture. More than that, though, we want to help you realize an efficient, centralized solution that:

• Fundamentally improves your organization’s efficiency and performance

• Streamlines workflows and integrates with key third-party systems

• Offers best-in-class security, tracking and audit support

• Allows “any time, anywhere” access to mission-critical information

• Makes it easy to share documents with internal and external stakeholders

Why is this so important?Every business relies on documents and document-based processes to operate. Orders are received from customers. Products and services are delivered. Invoices are sent. Reports are created and used to measure performance. Employees are hired and managed. Suppliers send invoices. Agreements are created and signed. And the list goes on.

Plan ahead: A paperless office initiative without a well thought-out, sustainable strategy is doomed to failure.

As you think about the documents you use to run your business, it’s impossible not to think about the process each one goes through in order to make things happen. Documents are created, routed, checked, approved, sometimes edited and filed at the end of the process. Most companies have proven processes in place. With a proper paperless document management software system, you can keep those same processes, but move them out of the in-basket and onto your computer. By processing documents electronically, using a document management system to automatically manage, track and report on these processes, you have the ability to streamline operations and take better care of your customers. (It’s also important to note that space used to store paper documents can be reclaimed for more fruitful purposes.)

Aren’t there a ton of products that do that?Many say they can. Some “desktop” document management software suites are very good at organizing your files on one PC, but do not allow for scaling across multiple users and locations. This guide is geared toward enterprise-class solutions for companies with multiple users who need concurrent access to documents, often across multiple locations.

Because your business is unique, there is no cookie-cutter approach that we can give you to solve all of your document process challenges. Rather, our goal here is to help you better understand what can be done with a document management software system and point you in the right direction toward a successful implementation.

“Desktop” document management software (like the magic, late night TV scanners) is often fine for one or two users. But most businesses – even small and mid-sized ones – are best served by a true enterprise-class solution.

Up Next: Chapter 1: Document Management Software

Document Management SoftwareThis chapter covers the basic questions that business owners or managers should ask themselves when looking for a document management software system. There is often no true “right” or “wrong” answer, but it is important that potential buyers thoroughly evaluate each question in order to find the right solution for their unique needs.

“How will I get things into the system?”In the industry, this is called “document input.” And there are two aspects of it to consider. First is the input of existing files – paper and electronic – into the document management system (also known as a “backfile conversion”). Second is ongoing input of documents (“day-forward”) as they are received from outside sources and created internally.

There are multiple ways to get documents into a document management system. The most visible is scanning – it is, after all, the literal representation of “going paperless.” Also important, however, is the importation of digital documents that are never printed. This can be accomplished via drag-and-drop, “print-to” functionality or direct saving. Some document management software suites even provide for the creation of electronic documents directly within the system, so input is not necessary.

“How will I find documents in the system?”Document retrieval might be the most important part of a document management solution. It’s the most frequently used feature, and virtually everyone who has access to the system will take advantage of it at some point. Over time, the retrieval process is where most companies more than recoup their investment in document management software, as efficient retrieval methods serve to eliminate many costly manual processes.

There are three ways document management software can help you search for and retrieve a document. Structural searching allows users to browse a structure that mirrors legacy file cabinet and folder structures. Metadata or keyword searching involves looking for a specific piece of appended information, such as a document title, creation date or creator. Text search allows users to look for strings of text within documents themselves. Most systems provide one or two of these approaches. A few provide the flexibility of all three.

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“Do I want a structured or unstructured system?”Document management software systems typically fall into one of two broad categories: structured and unstructured.

A structured document management solution allows users to configure filing structures similar to existing or desired paper filing structures. In the paper world, file rooms contain file cabinets. A company could have five four-drawer file cabinets for clients, a cabinet for vendors, a personnel cabinet, etc. Within those cabinets are folders and within those folders, documents. A structured system would allow you to set up similar digital cabinets. To find a document in the future, users navigate to the cabinet and folder they want, and can see a structured list of documents in that folder.

Unstructured document management solutions store all documents in a single stockpile. When you file a document you add keywords or tags to the document. To retrieve that document in the future, you enter those keywords as a query and are presented with all matches to that query.

Most structured document management systems also provide the ability to do keyword searches (and thus provide the most flexibility in retrieval methods, in addition to shallow learning curves). Unstructured solutions, by contrast, do not – by definition – allow for logical structural searches.

“How do I want to access the software?”There are numerous ways to access document management software solutions. Some offer one access method; others provide for flexibility on a client-by-client (or user-by-user) basis.

A desktop client interface works like a traditional program or app; a standalone piece of software connects to the server on which documents are stored. Remote access can be accomplished through the use of a virtual private network, or VPN.

A web-based interface is accessed via a web browser, like Chrome, Firefox or Internet Explorer. These typically function on tablets and netbooks, as well as traditional PCs and laptops.

Structured document management systems, which store documents in a logical fashion, are almost always preferable to unstructured systems, which rely entirely on keyword and tag searching.

New to the world of document management are standalone mobile applications, built exclusively for a specific mobile operating system (e.g., iOS and Android). These take advantage of specific capabilities to provide tailored experiences for users of mobile devices – typically tablets, as the smaller screens of smartphones make it difficult to effectively parse longer documents.

“Where do I want to store my documents?”The maturation of cloud computing has presented business owners and managers with a viable choice as to where to physically store their digital information.

An installed document management system (also called “on-premise” or “premise-based”) runs on a local server maintained by a company’s own IT staff. It is most commonly accessed through a desktop client, though web-based interfaces and mobile applications can also be set up. It is installed software; thus, it is incumbent on the business itself to maintain the server and the solution, and perform necessary backups.

Cloud-based document management solutions (also called “hosted” solutions) run the document management application as SaaS (“software as a service”), and store documents on a remote server. These are most commonly accessed on a VPN-enabled desktop client, or through web- or mobile-based interfaces. Server and software maintenance tasks are performed by the document management vendor, and backups are typically included in the cost of ownership. However, the buyer must take care to ensure the security of their data; leading vendors utilize truly secure, private cloud environments spread over multiple data centers. A public cloud environment, like those offered by Amazon, is not suitable for enterprise-class document management.

“How can I ensure my information is safe?”It’s hard to believe, but not all document management systems offer built-in security functionality. At a minimum, the solution should provide unique user names and passwords for each user, easing document tracking and process audits. Better yet are systems that offer granular security – the ability to set user-by-user permissions for which documents they can access, and what they can do with them – view only, edit, create, delete, etc.

Another key element of security is retention; different types of documents may have differing policies for retention. A document management software system should allow users to create, apply and configure retention policies based on unique business rules. In many industries, this capability is an important part of meeting regulatory requirements.

“How can I tell what happened – and when?”Many document management systems include built-in audit and reporting tools, allowing managers to easily identify both individual user activity and analyze workflow processes at an aggregate level. In addition, easy access to document chain of custody and current location provides a high level of confidence when it comes to external audits. This is particularly true in highly regulated industries, like financial services.

“What workflow functionality do I need?”All businesses operate through the use of document workflow processes – the movement of documents between various people and departments within the organization. These processes (reviewing contracts, processing invoices for payment, entering billing data and order information, etc.) are the lifeblood of companies large and small.

Some document management systems include built-in workflow capabilities. Others provide workflow as an optional add-on. And some do not provide any workflow options. In those systems that provide workflow, processes can be initiated manually or based on predefined business rules. Features to look for include alerts, escalation automation, in-depth reporting capabilities and management tools to monitor and control processes.

“Will it work with my other critical business systems?”While a document management system is important, it is rarely (if ever) the only software solution used by a company. It is essential that businesses deploying multiple software tools identify a document management solution that includes robust integration capabilities, either out of the box or via an API.

Built-in audit and reporting tools allow managers to both identify individual user activity and analyze workflow processes at an aggregate level.

Out-of-the-box utilities allow for “plug and play” integration with other software – no programmer required. These tools essentially allow users to work in multiple platforms concurrently, vastly reducing redundant data entry and easing version control and storage issues. Examples of key platforms served by out-of-the-box integration include the QuickBooks accounting suite and popular customer relationship management applications, like Salesforce.

An API, by contrast, is an incredibly useful tool in the hands of a skilled programmer who understands the ins and outs of both relevant programs.

For structured document management systems, it is worth considering whether the solution can automatically build a storage structure based on an existing third-party database.

Up Next: Chapter 2: Document Capture

There are innumerable document management software systems on the market, with each offering a distinct set of features and functionality.1Business owners and managers must take care to select a platform that meets their needs – both currently and into the foreseeable future.2While many features are optional, a few – like basic security features and integration tools – should be considered absolutely non-negotiable.3

3takeawaysfrom Chapter 1

Document CaptureIntroductionAt the core of going paperless is the extraction and digitization of information “locked” in paper files. In the document management industry, this is referred to as “document capture.” The most common capture method involves the use of a scanner and indexing software to:

1. Save a digital copy of the document as high-quality PDF, TIFF or JPG (“imaging”)

2. Append necessary metadata to ease later retrieval

3. Process and file the digital document in the proper document management repository

Document capture can be a largely manual task, or technologies like barcode recognition, database lookup, forms processing and OCR can be used to automate parts of the process.

Mass Scanning/ImagingIn many cases, a true paperless initiative involves the digitization of all (or much) of the paper within a workplace. This can be accomplished through a “backfile conversion” – a large-scale process involving the scanning of large amounts of paper – or piecemeal over time. Either way, the end result is the elimination of paper files, in favor of organized, searchable digital repositories.

Three main types of scanning are often deployed as part of a paperless office program. The first (and most obvious) is single-document scanning. Next is batch scanning, which can be divided into two types: low-volume batch scanning (roughly less than 200 documents or 500 pages daily) and high-volume batch scanning (roughly more than 200 documents or 500 pages daily).

The following few sections focus primarily on high-volume batch scanning – the most common way to execute a large-scale scanning program, and by far the most complex method of document capture. If a system is capable of efficiently imaging many hundreds of documents at a time, it is necessarily capable of handling lower volumes.

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Regardless of the method chosen, the document capture process consists of three steps:

1. Document preparation

2. Scanning

3. Indexing/processing

Document PreparationAny scanning initiative begins with document preparation. Simply put, this involves a complete analysis of the documents and getting them ready to scan. While it can be time consuming and tedious, document preparation is the most critical step in the capture process. Good document preparation sets the stage for trouble-free operation down the line. Poor document processing can cause untold problems.

First, staples, paperclips and sticky notes should be removed, and general cleanup of documents – straightening, ordering, etc., – should be performed. The following questions should then be asked – and answered:

1. What size are the documents? Are they all standard 8.5 x 11? Are some larger or smaller? Are they single- or double-sided?

This will help determine what size document feeder is required for the scanning hardware and if the scanner is simplex or duplex capable (ability to scan the front and back of the page). The scanner chosen should have the capability to scan the largest document to the smallest document without changing the scanning parameters. Specialized scanners should also be considered for unique requirements, such as scanning insurance cards or computer-aided design (CAD) drawings.

2. What are the document characteristics? Are the documents all black and white, or are some in color? Do the documents have highlighting, handwriting, pencil or ink on them?

This will help determine if you need enhanced image processing, either built into the scanner or as a separate software add-on. Without enhanced image processing, colored paper, highlights and other document characteristics will cause poor imaging results, resulting in unusable images (too dark, too light, etc.).

Have you thought about

document sharing?

What about ... totally secure document sharing?Many organizations need to securely share documents with clients and associates. Financial advisors, for instance, need to send information to clients. And insurers must collect paperwork from medical providers.

When sensitive documents are in play, unencrypted email or third-party file sharing services won’t do. And mailing documents is expensive. So when secure sharing is a must, what should you be looking for?

• A secure, two-way portal integrated directly with the document management system

• 128-bit file transfer encryption

• At least 2GB of cloud storage, utilizing 256-bit AES encryption

• Encrypted and salted user passwords

• Automatic email notification and configurable document expiration settings

3. Are the documents all the same type (e.g., invoices, POs, delivery tickets)? Or are they mixed types (e.g., medical records, HR files, client files)?

This will help you determine how to classify the documents for the scanning step. If the documents are the same type, they can most likely be scanned in simply categorized batches. If they are mixed-type documents, they will need to be prepared for folder- and document-level categorization. This is referred to as “document separation.” As the documents are scanned, capture software can determine when a new document category starts (or a new folder of documents is scanned) based on a separator. Typical separators are blank pages, barcode pages or labels, patch codes or fixed page counts.

4. Is there a requirement to search the text of a document once the images are stored? If so, what is the document quality? Is the document laser-, dot matrix, or fax printed?

Searching text within a scanned image requires an optical character recognition (OCR) process to be performed on the image. If the document requires OCR, the document quality is very important in obtaining the desired results. OCR is never 100 percent accurate and the quality of the OCR results varies greatly depending on the condition of the original document, scan resolution, the OCR recognition engine used, and the content of the original document. OCR should be used in conjunction with a good document indexing scheme and should never be relied upon as the sole method of locating an electronic image in the document management software.

5. How many documents need scanning? How quickly must the job be done?

Determining the scanning volume will help determine suitable scanning hardware, the amount of staff required to complete preparation, and the project timeframe. Scanners are rated in pages per minute, so a calculation of time can be done based on the scanner’s rating. Time to prepare and index the documents will also need to be added to the scan time to make a final determination of project completion date.

How long will a scanning project take? It varies, based on scanning volume, the amount of staff available, the scanners’ capabilities and the types of documents to be scanned.

ScanningOnce document analysis and preparation is complete, you’re almost ready to actually scan your documents. First, though, you must find the right scanner for your needs.

All document scanners are not created equal. And with so many on the market, finding the right one looks like an intimidating task. Fortunately, truly excellent models – ones ideally suited for integration with a document management system – can be found. All top scanners share several characteristics:

Professional image quality – This is scanning at its most basic. Any scanner for professional use must be able to consistently produce photorealistic digital images of physical documents, suitable for archival purposes. If you can’t read it, you can’t work with it.

Further image enhancement capabilities – These include automatic image resizing and “deskew,” designed to limit pre-scan work and wasted time. Automatic resizing checks the size of each document and ensures consistently sized images from each page. Deskew, meanwhile, automatically straightens the scanned image, ensuring readability and data integrity.

Speed – At a minimum, a professional scanner should be able to capture 10-15 pages per minute. Many go far higher.

Energy efficiency – In many offices, scanners are in use nearly constantly. Look for one that meets ENERGY STAR guidelines.

TWAIN driver – TWAIN drivers ensure maximum compatibility between scanning hardware, document management software and third-party applications. Some scanners don’t have them, and thus aren’t compatible with many systems.

It is also worth considering where scanning will take place. “Centralized” scanning typically involves the use of a single, shared multi-function device (“MFD,” a combination printer/scanner/copier) or networked scanner. Scanned images are sent to email, stored in a folder on the network, or imported directly to the document management system. If you already have a multi-function device or networked scanner, it can probably be used as part of your scanning approach.

A complementary approach is “distributed” scanning. Typically deployed for single-document or low-volume batch jobs, distributed scanning puts smaller scanners on the desks of individual employees, or in areas were many paper documents are generated. Most businesses end up using a mix of enterprise-class devices and desktop scanners.

Once scanners are in place, actual scanning can commence. While critically important, the physical imaging process is actually quite simple – prepared documents (and any necessary separators) are inserted into a scanner, and images of their contents appear on-screen within an imaging software program. At this point, all that’s left is processing.

Document ProcessingOn their own, images of scanned documents are worth little to the enterprise user. They are, after all, only pictures – imagine trying to efficiently find a single image within your iPhone’s Camera Roll. Thus, it is necessary to process the scanned documents – appending keywords and metadata, and ensuring proper filing – to ease future retrieval.

The two primary types of document processing in batch scanning are relevant depending on the documents being processed.

Manual processing is also referred to as “Key from Image.” In this process, data indexes are defined offline, and data elements (document title, keywords, etc.) are keyed in by an operator who looks at the image on screen. This is the slowest and most time-consuming method of batch image processing. In some cases, however, this may be the only feasible method. In this event, following best practices (like limiting the amount of index values to be appended to a document) and employing semi-automation tools like template-based document indexing and list box selection can limit the time spent on manual processing.

Automated processing, by contrast, can greatly increase document throughput. The more that can be automated the better. Features of indexing software that allows for automated processing include zonal OCR, barcode recognition and database lookup tools. By using some or all of these features, the indexing and filing of documents can (in many cases) be fully automated.

Manual processing is slow and time consuming. But semi-automation tools (like template-based document indexing) can speed the process.

A Note on Day-Forward ScanningSometimes, it is not possible to convert an entire paper backfile. In these cases, day-forward scanning is a viable alternative methodology. Day-forward scanning is exactly what it sounds like: Pick a date on which you will stop creating paper files, and utilize only digital documents from that point on.

The first step in a day-forward program – which must occur before the deployment date – is the creation of a filing structure within the document management system. It is often best if this structure mimics existing paper processes. Then, from the deployment date on, all new files should be immediately digitized – in addition to old records pulled from file cabinets during the course of normal business. This gets active files into the digital system quickly, while causing minimal disruption to everyday operations. Over time, all relevant files will eventually be scanned – though this can take months or years. When this is accomplished, you can repurpose your file room for something more productive.

Up Next: Chapter 3: Document Retrieval

Scanning is only part of the document capture process; to properly digitize large amounts of paper-based information, it is necessary to properly prepare documents, then append necessary information after they are scanned.

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All scanners are not created equal. Choosing the right one is critical to the success of a document capture initiative. (Hint: You want a TWAIN driver.)2When a full, up-front backfile conversion is not possible, day-forward scanning often presents a viable alternative. 3

3takeawaysfrom Chapter 2

Document RetrievalThis chapter examines various ways to search for and retrieve documents within a document management system. Today’s software suites have proven that search and retrieval efficiency can be improved dramatically over manual, paper-based filing systems.

Most document management systems offer one or more of the following document retrieval options:

• Structural search

• Keyword and/or metadata search

• Full text search

This chapter strives to explain each method and presents the advantages and disadvantages of each. We will also explore some of the key considerations for you to be aware of as you think about how a document management system’s search and retrieval functionality would work best for your company.

Let’s Play ‘Find the Folder’Before we get in too deep with the technology side of searching for documents, it is important to consider how businesses perform routine document searches. Most businesses store documents across three or four separate locations:

• Centralized, paper-based file cabinets

• Paper-based file cabinets in individual offices

• Folders on shared server drives

• Local hard drives

In such a legacy filing system, finding an individual document can be difficult. For example, the HR manager (Pat) receives an urgent inquiry from an insurance company requesting a document from a specific employee’s records. Here is the process:

1. Pat goes to the personnel file cabinet.

2. Pat unlocks the cabinet and looks for the employee folder.

3. Assuming the last person to use that folder replaced it in the correct location, Pat pulls that folder.

4. Pat locks the file cabinet.

5. Pat takes the folder to the copy room and faxes the necessary document to the insurance company.

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6. Pat returns to the personnel file cabinet.

7. Pat unlocks the file cabinet and re-files the folder in the correct location.

8. Pat locks the file cabinet.

9. Pat returns to office and resumes work.

Unfortunately, in real life, legacy document retrieval processes rarely go this smoothly. There are countless speed bumps that inevitably appear. And it starts before we even get to Step 1: Pat gets another call or someone walks into Pat’s office and the trip to the file cabinet gets delayed, if not forgotten.

What are some other speed bumps? Here are a few of the classics:

1. Pat can’t find the key.

2. Pat spends time searching for the folder and can’t find it. Someone else has it out or has misfiled it.

3. Pat runs into Sandy, and they have a cup of coffee as they discuss important business matters … or maybe the movie they saw over the weekend.

4. Pat lays the folder down in the copy room and gets distracted. A disgruntled employee takes the folder and discovers private information. Mayhem and legal action ensue.

5. Pat makes it back to the file cabinet unscathed, but accidentally misfiles the employee folder, making it impossible for the next person to find.

6. Pat forgets the original objective of the trip to the file cabinet and decides to go have a smoke.

Is this an exaggeration? Probably not. You’ve most likely seen this happen. As an isolated event, it doesn’t seem like that big of a deal (except the legal part). But it is not an isolated event. This is a process that is repeated by multiple people across your organization every day. Even in the perfect scenario where everything is always filed correctly and in a timely manner, too much valuable time is wasted filing and retrieving documents.

Real life retrieval of physical documents is almost never as simple as “open file cabinet, grab paper, use paper, replace paper, close file cabinet.”

This is the crux of why document management software exists. At the end of the day, a proper document management solution can fix the inefficiency inherent to paper-based filing systems. And the biggest financial impact on businesses that adopt document management software is reduced labor cost. Time spent filing, retrieving and re-creating and processing documents is typically reduced by 50 percent – or more. The biggest time savings of all comes from document retrieval (search) time.

Structural SearchStructural search is the electronic document retrieval method most closely related to the physical cabinet-folder-document approach; it relies on a consistent, hierarchical and controlled structure for storing documents. The best systems are able to emulate the physical filing world to make the transition to document management software more seamless for people who are accustomed to working with file cabinets, folders, index tabs, documents and paper-clipped or stapled documents. (With a good document management solution, Pat could have logged into the personnel cabinet, found the right folder, identified the required document and then emailed or faxed it with the insurance company rep still on the phone.)

It is important that a structural search provides control over access to documents. In the legacy personnel example, only people with the key to the file cabinet have access to employee files. A good document management solution should expand on the “key to the cabinet” security model and allow access control at the folder and document level. This allows people instant access to only those documents they have permission to use.

The structural search is the most efficient of all the search methodologies because users can quickly get to the one specific document that is sought with a minimum of clicks and keystrokes. Other methods provide a narrowing down type approach that requires sorting through a list of “matches” to find the exact document you are looking for. The structural search is most efficient when used within a system that allows users to preview documents (assuming they have proper access rights) without actually opening the document. For example, if there are three invoices that have been scanned and filed and indexed similarly, it saves a lot of time if you can preview the three documents without opening them to help determine which document is the one you are after.

The best document management systems include both advanced digital search tools and the capability to replicate typical “cabinet-folder-document” storage methods. This is the best of both worlds – a shallow learning curve combined with highly efficient, modern document retrieval tools

The main disadvantage of the structural search is that it can take a little more time to file a document into the correct location. Every document needs to be filed into a specific cabinet and folder. Most systems that offer structural search have tools for filing and creating documents as efficiently as possible to minimize filing time. And keep in mind, scanning a document and picking a cabinet and folder on your desktop display is still far faster than filing paper documents into file cabinets.

Keyword SearchKeyword search can be used in conjunction with structural search or as a standalone search method.

A document management system allows users to index documents with keywords (remember post-scanning processing?). Those keywords can be entered later in a search field, and a list of documents associated with a keyword or set of keywords will be presented. The more keywords associated with a document, the more specific the searches that can be performed. The fewer keywords, the more likely you would receive a longer list of documents returned by the search.

For example, let’s head back to Pat, our busy HR manager, who needs to find a vacation approval form for an employee named Kelly.

So long as the keyword “vacation” was appended to the proper document, Pat should be able to find it (along with other “vacation”-tagged documents) by simply running a keyword search. However, if Pat is using a document management software system that allows for a combination structural and keyword search, she can navigate to Kelly’s folder and do a keyword search for “vacation.” By navigating to the folder first, the keyword search will only be performed within Kelly’s folder. This type of flexibility gives users options on finding the most efficient path to a specific document.

Not all systems provide true structural search capabilities. Look for an interface that is folder-centric in systems that do structural search well.

Have you thought about

iPad use?

What about ... using documents on your iPad?Imagine being able to work on all your mission-critical anywhere your iPad has an internet connection. Some document management solutions make this a reality.

If you’re hoping to use an iPad (or iPads) as part of your paperless office strategy, here’s what to look for: • The option to use either a native iPad app or

a browser-based application

• The ability to find, view, edit and delete documents, as well as marking folders and documents as favorites for easy repeat access

• Access to any document in the repository, in addition to associated metadata

• E-signature capabilities

The biggest advantage of using keywords to search for documents is that it gives the user the most freedom to index and perform searches. The biggest disadvantage of using keywords to search for documents is that it gives the user the most freedom to index and perform searches. An approach to document management software that gives each user too much freedom to index documents can be extremely risky because no two people will ever use the same indexing convention. Document management systems that rely solely on keyword indexing and search (rather than combining them with structural search) are less efficient because every single search performed requires input of keyword search criteria.

Additionally, most keyword searches will return multiple document results, requiring additional filtering by adding even more keywords to the search criteria. Keyword searching also does not guarantee you will find the document you are looking for. If the person that originally filed the document added no keywords, then a keyword search will not find the document. This is why it is vital that the document management software have multiple search capabilities.

Metadata SearchIn addition to keywords, many document management software systems allow for the use of metadata for performing document searches. Examples of metadata include document creation date, document edit data, who created the document, who viewed the document last, etc. The real power of metadata is when it is used in conjunction with keywords. By adding this capability, Pat could go to Kelly’s electronic folder and run a search on keyword “vacation” with a creation date of “March 21, 2014” to find the exact document required.

The advantage to using metadata for document searches is the automatic way metadata is typically applied to documents. Document management software applies metadata like “creation date,” “created by,” “edit date,” etc., without the need for any user intervention. And since metadata is applied systematically, it is consistent and reliable across the system, no matter how many people are indexing and searching. The disadvantage of metadata is that it is limited to only certain types of document information; it is not very useful unless combined with other search methods.

Full Text SearchFull text search involves looking for a document based on a word or phrase that may be contained within. For example, if Pat wants to find all documents in the electronic HR cabinet that contain the phrase “lawsuit,” full text search would be very useful.

First and foremost, full text search requires that documents contain text. This is a straightforward process for Word or Excel documents. Scanned documents, however, need OCR (optical character recognition) applied in order to become full text searchable.

The process of running a full text search is typically rather simple. The user types in the word or phrase, and the system does a search to return a list of “hits.” Most document management solutions that support full text will also let the user run a Boolean search (if-then); wildcard searching using an asterisk; and even “fuzzy” searching, which will find words that match closely – if not exactly – to the text entered by the user.

There are, however, several disadvantages to full text search. First, the extra step required to convert scanned images to a text searchable format using OCR takes a little more time and adds to the cost of the system, and the conversion of that text is not 100 percent accurate. The second disadvantage is that full text search, like keywords, should not be relied upon as the sole search method. If Pat runs a full text search on the HR cabinet for “lawsuit,” we would hope there would not be a long list of documents presented. But if Pat runs a full text search for “vacation,” there could be thousands of hits.

However, the power of full text search to locate documents based on their content has many applications. Therefore, when used in conjunction with structural and keyword search methods, full text search is a great additional feature to round out a complete document management software solution.

Up Next: Chapter 4: Workflow

When used in conjunction with structural and keyword search methods, full text search is a great additional feature to round out a complete document management solution.

Document management systems offer a variety of document retrieval methods, including structural searches, keyword search, metadata search and full text search.1No single search method is right for all applications, and multiple types can often be combined with one another.2Careful, detailed indexing of each document is essential to the long-term efficiency and ROI of a document management system.3

3takeawaysfrom Chapter 3

WorkflowEvery business process involves a workflow. Whether the process is limited to a single individual or involves multiple people, a series of steps is completed. That’s a workflow. This chapter reviews workflow specifically relating to document processes in a business environment and improvements that can be made to enhance the efficiency of these processes using a document management system.

Where to BeginTo begin considering the possibilities of automated workflow using document management software, a realization that a problem exists must be present. This usually manifests itself as some point of “pain” in the physical process of dealing with paper. Some examples might be:

1. Loss of documentation

2. Inability to quickly locate information for customer service responses

3. Difficulty meeting compliance requirements for audit or security

4. Increased costs of additional staff to process paper-based workflows

5. Inefficiency in managing the paper-based workflow for tracking and status purposes

6. Slow movement of paper between a remote office and a corporate office

Once the decision has been made to improve workflow, the question becomes “Where do I begin?” The obvious answer is at the beginning. The first thing to do is choose one document process to work with. A common mistake is trying to improve all processes at one time. This seldom works, and usually concludes with a failure to automate any process.

After selecting the process to improve, begin by breaking the document process down into the actual physical steps. Take the business process and physically follow it from beginning to end. Spend time with each person involved along the way and find out what action items occur at each step, what the exceptions for each decision are, and where the document goes once it leaves that step. The end result of this will be a clear understanding of what takes place for the entire process under review.

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As the review is taking place, imagine the process being analyzed residing in an electronic workflow. Think about how the physical process will work electronically, or if it will work electronically. For example, one step of the process may involve securely sending a document to an outside entity, or require extensive outside-the-office work. Make note of any potential pitfalls of applying electronic technology to the workflow process. This list of “requirements” will come in very handy when selecting a vendor/product for implementation.

Setting Up Your WorkflowIn looking at different document management systems, it is important to understand how workflow can be tailored to meet your required processes. Some systems require a programmer to set up workflow rules. These can be very powerful, but can become expensive and cumbersome, unless you are a programmer. A good document management solution should allow business users to set up configurable workflow processes without the need for programming or customization.

An important part of workflow is notification and escalation. People need to be made aware of documents in their workflow inbox. This is notification. And if a document sits idle for a certain period of time, there needs to be a process of escalating the document by sending it to a backup person or group. All of these functions should be easy to set up within the document management system.

Finally, as you use workflow for your documents you need visibility into active processes to be able to measure how processes are flowing so you can make adjustments and eliminate bottlenecks.

Evaluating the ResultsOnce a solution is selected and a document workflow process is automated electronically, it is important to quantify results. An obvious starting point here is the time it takes to completely process documents from start to finish. If you perform a simple time study on a process before and after implementing your electronic document workflow solution, you can compare the average process time from start to finish. If the system you choose provides a management console for monitoring and managing the documents processed by each of your groups and workers, you will also be able to quantify performance of individuals, giving you the ability to adjust workloads and enable people to improve their performance.

How can you tell if an electronic workflow is actually more efficient? It’s easy ... if you remember to establish metrics and quantify your results.

Qualitative results are (obviously) harder to measure, but no less important. One good example is the elimination of the “missing document:” A piece of paper is handed off, then is misfiled or lost. Who will know that the document is missing? Will the person who sent it know to follow up and request the approval? If so, will that person be able to re-create the lost document?

Studies have shown that the average cost to recreate a lost document is $250. And what if this document was a customer order or an important equipment requisition? These “missing document” episodes happen every day in most businesses and they create a tremendous toll, both financially and in damaged customer service and competitiveness.

Up Next: Chapter 5: Deploying a Document Management System

Every business utilizes document-based workflow processes.1Careful evaluation of unique workflows offers valuable information when it comes to selecting the right document management solution.2Automating a single document-based workflow at a time increases the chance of a successful implementation while minimizing disruption. 3

3takeawaysfrom Chapter 4

Deploying a Document Management System By now, we’ve covered the basics of electronic document management, document capture, document retrieval and automated workflows. If you’re ready to make the jump to document management software – to “go paperless” – there are three steps to making a successful transition:

1. Designate an “internal champion”

2. Start with a plan

3. Pick the right partner (and product)

The Internal ChampionThis is the person – or committee – who is charged by management with making the document management project work. This is not necessarily the person who does all the work, but definitely the person who makes sure things get done.

Usually, people who have a good understanding of the way your business works will do the best job as champion. Sometimes, but not always, it makes sense to have an IT person lead the charge. Most important is that this is the person who will work with various groups within your business to define specific document problems that need to be solved and translate that knowledge into a plan.

This will also be the person to take point on researching document management options in the marketplace and makes recommendations to management on which system is the best fit.

Developing a PlanAs with any major business initiative, it is key that a document management system deployment begin with a cogent, sustainable plan. And who makes that plan? The internal champion, of course!

This first step is defining the problem or problems you want to solve. For example, you may need to streamline invoice approval. Or your main problem may be meeting compliance regulations. Define that problem first and the rest of the plan comes together. Meet with key stakeholders in your company and get their input. This will help you understand how people feel about the impending change and give them a voice in helping the champion with the project.

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Once you have your problem(s) defined, the next step is to put together a timeline. The best approach here is to pick a date in the future, at which time you want to be operating in “paperless” mode with the document management system. From that date, move backward, allowing time for training, configuration, installation, purchase, partner selection and evaluations. Remember, you can change the plan if you need to, but you need a starting point.

The last part of the plan is your specific requirements. Some key points to consider for this:

1. Who are the users?

2. What are the types and volumes of documents created regularly?

3. What are the types and volumes of documents existing today – and which of these do you need to migrate to the document management system?

4. What are the compliance requirements?

5. How will users need to search for documents?

6. Do you want to use distributed or centralized scanning? Both?

7. Do you have document retention policies?

8. What are the key document workflow processes?

9. Do you want a premise-based or cloud-based system?

10. Do you need to securely share documents with external stakeholders?

11. Do users need mobile access to documents? Which devices?

12. Do you need to provide secure access to the document management system for your customers or partners?

13. Do you need the system to integrate with other software you use?

Selecting a Product and PartnerWe can save you a lot of time on this step. Call Cabinet at 1-800-621-6501. We wrote the eBook you’re reading, didn’t we? (OK, fine ... that part’s kidding.)

The best document management vendors offer both premise-based and cloud solutions. This gives organizations the flexibility to pick the option that’s right for them.

All joking aside, there is no perfect document management system that fits every business’s specific requirements. Picking the right partner can be a challenge because of the wide variety of options available. But you can use this wide selection to your advantage. Once you have your basic requirements document in place, your first step is to create a list of document management companies that appear to be able to meet your needs. Contact those companies and arrange to speak with a salesperson. From these discussions, you should be able to narrow down your list to two or three vendors that seem to be the best fit.

Contact each of these companies and request a demonstration of their software. Use this demo process to learn about capabilities you may not have thought of in your planning phase. Add these to your requirements. You may view some of these capabilities as “Must Haves” and some as “Nice to Haves.” Be sure to keep track of both. At this point you have a document with your project requirements. Now you are ready to request specific proposals.

If you can, give your requirements document to the companies you want to provide you with proposals. Be sure to request that the document management companies add important capabilities that they suggest, which may have been left off of your requirements. After all, the document management people should be the experts, so take advantage of their knowledge and experience.

Obviously, the transition to a document management system is going to require an investment. There will be the time invested by your people in getting the system up and running. There is also the cost of necessary hardware and software to meet your requirements. Be prepared to see a range of prices for scanners, software and professional services. Remember, the lowest price may not mean the lowest total cost, and the highest price does not mean it’s the best product.

The return on this investment will be realized in the future in many ways. You may benefit from improved customer service, reclaimed office space, vastly reduced audit times, better cost control or any number of specific areas. As you put together your budget and plan, be sure to keep this vision of improved efficiency at the forefront. Pick a partner who understands your vision and is committed to working with you to make it happen.

Need a hand? Cabinet makes it easy to go paperless!Cabinet SAFE document management software is an enterprise-class suite of tools for document capture, indexing, storage, search and retrieval, as well as workflow management, scheduling and collaboration.

• Available installed on internal servers or in the cloud

• Access documents on your desktop, via a web browser or on your favorite tablet

• Compatible with third-party applications, like QuickBooks

• Configured to meet your organization’s exact needs

• Supported by actual experts – not a call center

Visit cabinetpaperless.com to learn more!