Document Imaging

1. Document Imaging Dee Kirks, Case Western Reserve University Erica Henry, University of CincinnatiMatt Moore, Miami University

3. Case Western Reserve • We are a private institution located in University Circle in Cleveland • We have a population of 10.129 students (4227 Undergraduates and 5902 Graduate) • 33,563 Forms/documents processed in 2010-2011 through Document Imaging (Onbase)

4. How We Use Imaging • Document Imaging is used in the entire Enrollment Management Division (Undergraduate Admissions as well as Financial Aid) • Documents are imported directly into Onbase from interfaces as well as scanned by department • Workflow drives financial aid processes • Historical data archives

5. Pros • Able to monitor work load based on workflow queues • Document history/audit trail • Elimination of paper in the office • Better Customer Service • Counselors can process documents in “bundles” instead of one at a time • Electronic records at your fingertips

6. Cons • Incorrect indexing of documents • Identifier changes • System upgrades • Transition • Interface timing/timers

7. Unanticipated Challenges • Good planning, involvement and documentation helped us avoid some challenges • Identifier changes (manageable but does cause delays)

8. Quality Assurance • Batching process • Second review before commitment • NOS (Not on System) queue to capture new applicants as well as miskeys • Error queues • Reports available on-line

10. Overview of UC • Public 4-year • Founded 1819 • State university since 1979 • Research I • Uptown Campus (8 colleges including Law) • Academic Health Center (4 colleges including Medicine) • 2 branch campuses (2-year programs) • ~32,000 (1994); ~41,500 (2010) • 85% retention (2009) • 28,000 aid recipients • $350 Million • 20 staff in SFAO (+ One Stop + EMTech)

11. Processing Functions • Processing center • Aid processing centralized for all colleges except COM • Only loan processing for College of Medicine (with transition to DL) • Processing staff • Associate Director – Processing, Technology, and Compliance • Assistant Director – Compliance • Program Manager – Processing • 4 Record Management Officers • Program Manager – Direct Lending

12. UC SFAO Volume (2009-2010) • 38,312 federal aid applicants loaded into our system • 34,275 students packaged/sent award notice (federal aid) • 14,184 students requested additional app info • 9,932 students submitted verification documents • 360 students on consortium/study abroad (at least one term) • 1,262 students with at least one academic progress appeal • 969 students submitting special circumstance appeal • 138 students with a dependency appeal

13. Transitioning to Imaging • Why go imaging? • Limited file space for Student Financial Aid & Registrar • Transfer of files from Admissions • Storage costs for archive files • Decision on Product • Months of review • Vendor presentations • Campus technology office secured system • Onbase

14. Use of Imaging • Some offices at UC use it for storage • Others use it to process • Student Financial Aid • Easy decision made to use it for storage • Majority of paper folders/imaging for verification • Verification done day/next day of receipt • Imaging done centrally • Volume provided no standard scan time • Scanning first would ultimately slow current process

15. Pros • Easy access to past files • Remote access available as it is Web-based • Files like Admissions no longer need to be manually moved • Easily available always to college offices • Streamlines access to documents for scholarship process • Elimination of paper files/cabinets freed up space • Archival purge can now be done by date • Tags allow for “need to know” access

16. Cons • Large amount of sorting/matching of cover sheets • System date is date scanned (not received) • Quality assurance can be added burden • Some staff less comfortable with screen reading • On-going shredding fees • No way to track (or find) misfiled papers

17. Quality Assurance • Set your own standard • Admission checks everything post-scan • SFAO checks pre-scan & limited spot check post-scan • Incomplete (missing signature, etc.) • Error in scan found later means document shredded • Volume/full processing determines system date • Getting behind in matching cover sheets • Consortium stored after term over and transcript received

19. MU Imaging Quick Facts • SFA began imaging on 3/13/2008 • As of 12/1/2010, SFA imaged 387,430 documents • As of 12/1/2010, MU imaged 2,738,453 documents • SFA retains indexed batches for 90 days before they are shredded. This policy was created in conjunction with the University Secretary. • SFA images and indexes all incoming documents prior to processing – imaged to assigned requirements. • Archival of aid years prior to the 3/13/2008 implementation – imaged to one requirement per year.

20. Banner Xtender Solutions • Banner Xtender Solutions (BXS) is an imaging and electronic document management system for clients who use Banner products. • BXS allows MU to query for specific documents within a Banner form. • It will limit the scope of the query based on document type and other criteria as desired. • We are able to annotate the images and update Banner on receipt of appropriate documentation.

22. Pros and Cons • Pros • Eliminates the misplaced document • Documents are available in multiple places (regional campuses, various staff people). Documents are also viewable immediately once indexed – Do not need to search for a student’s file - Zero paper files to dig through! • Image clarity of incoming faxed documents • Gained efficiencies by opening up physical space with the elimination of our file room and reduced the need for student file room workers. • Cons • 24 hours from imaged document to verification • Time frame from fax receipt to imaged document

23. Fax Retrieval & Imaging • Faxed documents are immediately held in a secure email account (1 PDF document per page of fax) when received until the next download time. • 8AM, 10AM, 12PM, 2PM & 4PM – the PDF documents are downloaded into a secure network folder automatically. • SFA staff member uploads the PDF pages into Xtender “batches” named to the staff member responsible for “indexing” them.

25. Fax Retrieval & Imaging • Fax Security • Firewall (first layer of protection) • 3 Passwords (fax machine, email account, network) • IT prevention of auto-forwarding, 15 alpha-numeric password • Fax Setup • Worked with IT Services and University’s Security Officer • First office on campus – we were pioneers! • Fax Back Up • Network Down? Print out documents from email account. • Also - backed up on a network folder

26. Quality Assurance • Staff sign off on the “batch slip” with the date the document(s) was indexed. • Because SFA shreds documents every 90 days, a staff member selects a few batches that are ready to be shred to verify those documents were properly indexed to a student's record. • As batches are imaged, staff members count the number of pages that should be scanned to be sure the same number were actually scanned.

27. Helpful Hints • Dual Computer Monitors • Sorting of “batches” • Batch “wrappers” • Naming: Moore_20101201_1_staffname Verification_20101215_5_staffname • Wrap Color: Blue: 09-10 aid year Green: 10-11 aid year Yellow: 11-12 aid year • Add a statement to all email and paper documents asking for students to not submit original documents as they will be destroyed. • Document file types – Upside down documents?

28. Document Imaging Questions?