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Converting Archived Files: How we did it and Survived! April 23, 2010 Session ID: 223
Student Records: Documents Processed
Geanine Garcia-Poindexter
Matt Jordan
Director, Student Records
Sr. Manager, Student Records
American Public University System
Brief Intro
Answers to a few W’s and a couple of H’s What documents were imaged? • Admissions/TCE applications • College Transcripts • Civilian and military training documents • Receipts • Forms g How were theyy imaged? • Scanned in large volume by outside vendor (DataBank IMX) • Imported/stored in Hyland-OnBase
Total documents converted: • 1,491,238+
Who was involved? • Student Records • Transfer Student Records and Credit Evaluations • Advising • Graduations, Student Affairs and Alumni When did we start? • May 2006 How long did it take? • Last disk upload January 2009 --18 months
Why do it? BENEFITS Records are information assets and hold value for the institution • Better access to data— effective document management ensures that the information needed is retrievable, authentic, and accurate. • Support business applications using workflow—Reduce paper and associated costs to maximize return on your investment • Increase security (FERPA, SAR-BOX, etc.)— use configuration rules, keywords and transaction logs to track the documents • Scalability within the software without need for additional personnel— do more with less • Increased staff morale— no more trips to find the file means more time to work on the file; some staff are able to work from home
Student Records Digitization Process
Admissions
Back File Conversion
SR DRS
Completed December 2008
Image QA and indexing of scanned document DataBank
Large Volume Scanners (Vendor)
Transfer Credit Evaluation
Virtual Printer
Hyland y (OnBase)
SR Document Review Specialists (DRS)
E-transcripts, Email and Faxes
Scanning SR Document Imaging Specialists (DIS)
Advising
SR DRS
SR Team Lead
•Doc Review/Log In to PAD
•Doc QA
•Escalations
•Indexing virtually printed documents
•Readmission File Review
•Personal updates
•International Documents
•FERPA Related Doc’s
•Admission Status update for nontransfer students Regular Mail, Interoffice Mail
SR FRS
Back Files are QA’d and shredded. Current scanned documents are kept for two months then shredded.
Process Overview
Process over view: The files were… 1. 2.
Pulled, prepped and boxed Scanned a.
Contracted vendor (DataBank) to handle large volume i.
On-site • •
ii.
Off-site • •
b.
Made arrangements for file pick up on Fridays and were delivered by Monday Received disk(s) within a week
Internal Staff (OnBase) • •
3. 4.
The vendor’s scanning team needed room to set up hardware, scan and store scanned documents We would wait an average of two weeks for disk(s) to be delivered so they could be imported and available in the OnBase database
Process was used to scan “wondering” or “surprise” files Immediate access after being scanned by our document specialists
Imported in to database Reviewed and destroyed
Decisions, decisions…
• •
• • • •
Your staff will not have immediate access to the files while they are being prepped and wait for scanning. With this in mind, decide on the following: Which group do you want to tackle first? We started with inactive students (disenrolled, graduated, etc.) How long can the files sit in boxes waiting to be prepped and/or scanned? We recommend that you set short term goals, such as processing all the A’s A s first instead of A-C, A C, to avoid delaying other departments. How do you want to divide the prepping team? How do you want to sort out the documents to match your document types? How will you communicate with other departments to inform them about the process and progress? When do you plan to complete the project?
The Nitty Gritty (A.K.A. Let the Headache Begin)
Use your resources We needed support from different sources. We met with them and clarified their limited responsibilities. • IT: – Responsible for uploading disks – They helped us by ensuring the vendor had the necessary resources for their scanning equipment. – One IT person was all we needed. He only needed to be available for a couple of ( ) was delivered. hours on the dayy the disk(s)
• Other Departments: – Responsible for consolidating files and communicating updates to their teams – We explained the details of the project including the fact that they would not be able to have immediate access to files. – They extended their departmental deadlines, communicated them to students and offered help to prep files during their slow times.
Resources (cont.) Continue… • Prepping Team: – Responsible for prepping the files; finding files for other departments and training – They created the process and the operational manuals – We peaked at 8 temps but found that the fewer people we had on the project the cleaner the outcome. We ended up with a team of 4.
• Student Records (SR) Team and Management were responsible for everything else. – Sr. Manager took care of personnel issues and was back up for Director – Team Manager and team lead took care of policy/procedure – Director took care of technical issues and coordinated communications to VPs and other departments
Process: Prepping the files • File cabinets containing the students files were reviewed to ensure that they were in true alphabetical order. • We would assign 1-2 temps to this job. This was a crucial step in the process: if the cabinets were not in true alpha order everything would slow down or even come to a complete stop. • Each file was cleaned of any staples, paperclips and postit notes as these could damage the scanners. • All documents smaller than the standard 8X10 (dirty targets) were taped to a blue target sheet. • The documents were separated from their folders to make it easier for the vendor to scan.
Prepping the Files (cont.) • Bar-coded target sheets were used to identify the student and separate the various documents • We began with 17 different documents types but ended using only 4 • Vendor provided the mail merge fonts so we could create the target sheets on site. This made the process easy to learn. • We created detailed step-by-step manuals to make sure the process was seamless. • Vendor V d could ld scan about b t 10 boxes b off fil file per day d so we decided d id d to t schedule h d l the vendor visits after we had prepared 50-60 boxes
The documents were separated from their folders to make it easier for the vendor to scan.
Student File Information Target
Document Type Target: College Transcripts
Document Type Target: Test Results
(CLEP, AP, DSST, etc.)
Process: The Assembly Line Approach • After the file cabinet had been alphabetized and the files clean, the team would begin pulling the files for prep. • 2-3 people were in charge of sorting the documents and placing the targets. • 1 temp was in charge of QA’ing the box to ensure the targets were placed properly and the box was in alphabetical order. • The final temp would do one last QA of the entire process. This would ensure that each file was prepped accordingly and the file was ready for scanning. • In the beginning we set a quota of 6 prepped boxes per day. This would increase or decrease depending on the scanning. • The prepped files were placed in alpha order in banker boxes for the scanning team to process and for easy access in case a department needed a file.
Process: Scanning • After the boxes were prepped , the vendor would scan the boxes on site. • Vendor would scan for about 10 hours Monday-Thursday – They cropped, straighten and adjusted exposure for each document – They returned the documents to the original box in the original alpha order
• Vendor took CDs containing TIFF images back to corporate for QA and delivered them ready for upload within two weeks. • The scanned document boxes were stored on site in a room onlyy accessible byy the Student Records Department. • A check out list was created so that we could keep track of any files that were being removed. It is important to know when/where in the process it was removed. Was it before or after they were scanned?
Process: Importing the images • Scanned images and their associated keywords were uploaded into OnBase using the Document Import Processor (DIP) • DataBank created a load file output to meet the OnBase upload specifications for the DIP software so it only took about an hour to upload thousands of documents • During processing, the files were indexed and compressed. Once processed, the batches went an Awaiting Commit queue and were committed. • A verification report was produced for each DIP processing session. It provided detailed information including the number of documents successfully processed, the number of unidentified documents, the total time of processing and any errors or warnings that were encountered.
Process: Reviewing files • Once the imaged documents were available in OnBase, the SR Team spent some time reviewing each file • Everyone within the team was added to the appropriate security group allowing them to re-index documents, delete, and/or re-scan illegible documents • If a document was illegible and the original couldn’t be re-scanned, a q new document would be requested. – Management would contact student to explain the situation and work with him/her to get a new one. – If the document was a transcript or a test score, we would offer a Transcript Release Authorization Form so that we could request and pay for the new document
Final Process: Destroying the files Can you truly throw away your paper files once they are scanned and archived? With the proper document quality assurance review process in place, you can probably go ahead and shred all that paper once it is scanned. We decided to shred and made arrangements for a large-volume pick up from our current shredding vendor. If you decide to hold on to the records, decide where you want to store them (on site or offoff site) and for how long.
VS.
What now? • • • •
Easily retrieve your documents with the click of a button Assign security groups to prevent FERPA violations Know where your student records are and who is doing what with them Run reports to figure out productivity and track quality. Use the information to recognize: – strengths to reward – weaknesses to provide coaching
• Use and continue to develop workflow to increase efficiencies • Encourage other departments to go digital (they will thank you for it) • Amaze an auditor, a student or your supervisor by providing all the information they need fast • Figure out how to find a new use for the time you used to spend tracking paper files.(Oh, wait; your supervisor now knows you made what seemed impossible, possible. As a reward, you will be given more responsibilities.)
How else can we help you?
Our contact information:
Call, email or come visit us (but call ahead:-) Geanine Garcia-Poindexter Director, Student Records (703) 396-6893 (304) 724-0908 (fax) [email protected]
Matt Jordan Senior Manager, Student Records (703) 396-6874 (304) 724-0908 (fax) [email protected]
American Public University System Educating Those Who Serve
Let us know how we did. Please fill out the Session Evaluation Form.
Converting Archived Files: How we did it and Survived! April 23, 2010 Session ID: 223
Student Records: Documents Processed
Geanine Garcia-Poindexter
Matt Jordan
Director, Student Records
Sr. Manager, Student Records
American Public University System
Brief Intro
Answers to a few W’s and a couple of H’s What documents were imaged? • Admissions/TCE applications • College Transcripts • Civilian and military training documents • Receipts • Forms g How were theyy imaged? • Scanned in large volume by outside vendor (DataBank IMX) • Imported/stored in Hyland-OnBase
Total documents converted: • 1,491,238+
Who was involved? • Student Records • Transfer Student Records and Credit Evaluations • Advising • Graduations, Student Affairs and Alumni When did we start? • May 2006 How long did it take? • Last disk upload January 2009 --18 months
Why do it? BENEFITS Records are information assets and hold value for the institution • Better access to data— effective document management ensures that the information needed is retrievable, authentic, and accurate. • Support business applications using workflow—Reduce paper and associated costs to maximize return on your investment • Increase security (FERPA, SAR-BOX, etc.)— use configuration rules, keywords and transaction logs to track the documents • Scalability within the software without need for additional personnel— do more with less • Increased staff morale— no more trips to find the file means more time to work on the file; some staff are able to work from home
Student Records Digitization Process
Admissions
Back File Conversion
SR DRS
Completed December 2008
Image QA and indexing of scanned document DataBank
Large Volume Scanners (Vendor)
Transfer Credit Evaluation
Virtual Printer
Hyland y (OnBase)
SR Document Review Specialists (DRS)
E-transcripts, Email and Faxes
Scanning SR Document Imaging Specialists (DIS)
Advising
SR DRS
SR Team Lead
•Doc Review/Log In to PAD
•Doc QA
•Escalations
•Indexing virtually printed documents
•Readmission File Review
•Personal updates
•International Documents
•FERPA Related Doc’s
•Admission Status update for nontransfer students Regular Mail, Interoffice Mail
SR FRS
Back Files are QA’d and shredded. Current scanned documents are kept for two months then shredded.
Process Overview
Process over view: The files were… 1. 2.
Pulled, prepped and boxed Scanned a.
Contracted vendor (DataBank) to handle large volume i.
On-site • •
ii.
Off-site • •
b.
Made arrangements for file pick up on Fridays and were delivered by Monday Received disk(s) within a week
Internal Staff (OnBase) • •
3. 4.
The vendor’s scanning team needed room to set up hardware, scan and store scanned documents We would wait an average of two weeks for disk(s) to be delivered so they could be imported and available in the OnBase database
Process was used to scan “wondering” or “surprise” files Immediate access after being scanned by our document specialists
Imported in to database Reviewed and destroyed
Decisions, decisions…
• •
• • • •
Your staff will not have immediate access to the files while they are being prepped and wait for scanning. With this in mind, decide on the following: Which group do you want to tackle first? We started with inactive students (disenrolled, graduated, etc.) How long can the files sit in boxes waiting to be prepped and/or scanned? We recommend that you set short term goals, such as processing all the A’s A s first instead of A-C, A C, to avoid delaying other departments. How do you want to divide the prepping team? How do you want to sort out the documents to match your document types? How will you communicate with other departments to inform them about the process and progress? When do you plan to complete the project?
The Nitty Gritty (A.K.A. Let the Headache Begin)
Use your resources We needed support from different sources. We met with them and clarified their limited responsibilities. • IT: – Responsible for uploading disks – They helped us by ensuring the vendor had the necessary resources for their scanning equipment. – One IT person was all we needed. He only needed to be available for a couple of ( ) was delivered. hours on the dayy the disk(s)
• Other Departments: – Responsible for consolidating files and communicating updates to their teams – We explained the details of the project including the fact that they would not be able to have immediate access to files. – They extended their departmental deadlines, communicated them to students and offered help to prep files during their slow times.
Resources (cont.) Continue… • Prepping Team: – Responsible for prepping the files; finding files for other departments and training – They created the process and the operational manuals – We peaked at 8 temps but found that the fewer people we had on the project the cleaner the outcome. We ended up with a team of 4.
• Student Records (SR) Team and Management were responsible for everything else. – Sr. Manager took care of personnel issues and was back up for Director – Team Manager and team lead took care of policy/procedure – Director took care of technical issues and coordinated communications to VPs and other departments
Process: Prepping the files • File cabinets containing the students files were reviewed to ensure that they were in true alphabetical order. • We would assign 1-2 temps to this job. This was a crucial step in the process: if the cabinets were not in true alpha order everything would slow down or even come to a complete stop. • Each file was cleaned of any staples, paperclips and postit notes as these could damage the scanners. • All documents smaller than the standard 8X10 (dirty targets) were taped to a blue target sheet. • The documents were separated from their folders to make it easier for the vendor to scan.
Prepping the Files (cont.) • Bar-coded target sheets were used to identify the student and separate the various documents • We began with 17 different documents types but ended using only 4 • Vendor provided the mail merge fonts so we could create the target sheets on site. This made the process easy to learn. • We created detailed step-by-step manuals to make sure the process was seamless. • Vendor V d could ld scan about b t 10 boxes b off fil file per day d so we decided d id d to t schedule h d l the vendor visits after we had prepared 50-60 boxes
The documents were separated from their folders to make it easier for the vendor to scan.
Student File Information Target
Document Type Target: College Transcripts
Document Type Target: Test Results
(CLEP, AP, DSST, etc.)
Process: The Assembly Line Approach • After the file cabinet had been alphabetized and the files clean, the team would begin pulling the files for prep. • 2-3 people were in charge of sorting the documents and placing the targets. • 1 temp was in charge of QA’ing the box to ensure the targets were placed properly and the box was in alphabetical order. • The final temp would do one last QA of the entire process. This would ensure that each file was prepped accordingly and the file was ready for scanning. • In the beginning we set a quota of 6 prepped boxes per day. This would increase or decrease depending on the scanning. • The prepped files were placed in alpha order in banker boxes for the scanning team to process and for easy access in case a department needed a file.
Process: Scanning • After the boxes were prepped , the vendor would scan the boxes on site. • Vendor would scan for about 10 hours Monday-Thursday – They cropped, straighten and adjusted exposure for each document – They returned the documents to the original box in the original alpha order
• Vendor took CDs containing TIFF images back to corporate for QA and delivered them ready for upload within two weeks. • The scanned document boxes were stored on site in a room onlyy accessible byy the Student Records Department. • A check out list was created so that we could keep track of any files that were being removed. It is important to know when/where in the process it was removed. Was it before or after they were scanned?
Process: Importing the images • Scanned images and their associated keywords were uploaded into OnBase using the Document Import Processor (DIP) • DataBank created a load file output to meet the OnBase upload specifications for the DIP software so it only took about an hour to upload thousands of documents • During processing, the files were indexed and compressed. Once processed, the batches went an Awaiting Commit queue and were committed. • A verification report was produced for each DIP processing session. It provided detailed information including the number of documents successfully processed, the number of unidentified documents, the total time of processing and any errors or warnings that were encountered.
Process: Reviewing files • Once the imaged documents were available in OnBase, the SR Team spent some time reviewing each file • Everyone within the team was added to the appropriate security group allowing them to re-index documents, delete, and/or re-scan illegible documents • If a document was illegible and the original couldn’t be re-scanned, a q new document would be requested. – Management would contact student to explain the situation and work with him/her to get a new one. – If the document was a transcript or a test score, we would offer a Transcript Release Authorization Form so that we could request and pay for the new document
Final Process: Destroying the files Can you truly throw away your paper files once they are scanned and archived? With the proper document quality assurance review process in place, you can probably go ahead and shred all that paper once it is scanned. We decided to shred and made arrangements for a large-volume pick up from our current shredding vendor. If you decide to hold on to the records, decide where you want to store them (on site or offoff site) and for how long.
VS.
What now? • • • •
Easily retrieve your documents with the click of a button Assign security groups to prevent FERPA violations Know where your student records are and who is doing what with them Run reports to figure out productivity and track quality. Use the information to recognize: – strengths to reward – weaknesses to provide coaching
• Use and continue to develop workflow to increase efficiencies • Encourage other departments to go digital (they will thank you for it) • Amaze an auditor, a student or your supervisor by providing all the information they need fast • Figure out how to find a new use for the time you used to spend tracking paper files.(Oh, wait; your supervisor now knows you made what seemed impossible, possible. As a reward, you will be given more responsibilities.)
How else can we help you?
Our contact information:
Call, email or come visit us (but call ahead:-) Geanine Garcia-Poindexter Director, Student Records (703) 396-6893 (304) 724-0908 (fax) [email protected]
Matt Jordan Senior Manager, Student Records (703) 396-6874 (304) 724-0908 (fax) [email protected]
American Public University System Educating Those Who Serve
Let us know how we did. Please fill out the Session Evaluation Form.
