K-Series Guide: Guide to digitising your document and business processing. February 2014 LATEST EDITION

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1 K-Series Guide: Guide to digitising your document and business processing February 2014 LATEST EDITION

2 Kefron are the Document Kefron & simplifies the document and Information information management world for our customers. Management People. We work to understand our customers business so that We we provide can take simplified the pain document out of paper, enabling customers and information management to focus on what matters solutions to them. designed to take the pain out of your paper processing. p2

3 Contents 01 Benefits, costs and risks of digitisation Planning for digitisation Staff programs appropriately Manage change Determine policies, procedures, standardisation and documentation Consider the legal requirements Set benchmarks and quality assurance measures Establish technical specifications Determine metadata requirements Obtain equipment and software Manage digital images as records Manage original paper records Monitor and review Kefron s digital document management systems St James s Hospital case study About Kefron The Document Lifecycle - 14

4 01 Benefits, costs and risks of digitisation Kefron provides market leading Document Management solutions that integrate seamlessly with your existing systems. Business process digitisation programs involve the ongoing routine digitisation of records for daily business use. Examples of business process digitisation include digitising mail, invoices, applications, submissions etc. as they are received by the organisation. Business process digitisation programs may be established for a variety of reasons. For example: Programs may be established to improve business process efficiencies, reduce aged debt, improve client service, integrate records with digital systems, facilitate accessibility and knowledge sharing, reduce costs, promote staff flexibility or enable better business continuity. However, all programs aim to promote the conduct of digital business and involve the storage and ongoing management of digital documents and images. Business process digitisation programs need to be carefully planned and managed in order to realise the benefits, control costs and protect the integrity of the official records so that they can provide authentic, complete and accessible evidence of the business conducted. This summary briefly explains the major issues to consider when embarking on a business process digitisation program. It provides links to relevant sections of the guidelines where more detailed information can be found. 03

5 02 Planning for digitisation 03 Staff programs appropriately 04 Manage change If you do decide to digitise, it is important to consider what records need to be digitised and the extent of digitisation required. You may choose to start with a pilot. You also need to consider how records will need to be accessed and whether you will need to create one or more derivatives of that information. This executive summary and other sections of the guidelines can help you to understand the major components of a digitisation program and the decisions that need to be made. Once the business case has been approved, further, detailed program planning should occur. In particular, business process definition and reengineering will need to be planned carefully. One of the key questions when planning your digitisation project is how will the information be used and accessed once scanned, who needs access and what controls are required? It is critical to know what types of content is stored, the format it is in and where it resides in your business. Things to consider and ask as you develop your strategy include: How much content do you have? The types of content you have and the relative value of that content? What content needs to be scanned, archived, retained or deleted? Who owns the content in order to determine proper security, roles and permissions? You will need to consider who is going to be part of the implementation team for the program. It will need a program manager to drive it and allocate resources. Team members should be selected for their skills or interest in digitisation and for their complementary skills such as technological, people management and/or project management skills. Roles and responsibilities for staff should be defined and documented (e.g. in position descriptions and digitisation procedures) and communicated to staff. Staff should receive training commensurate with their roles and responsibilities and be supported to carry these out. In addition to the staff involved in the team you will need to consider the impact the digitisation program will have on other staff and possibly clients as well. Digitisation may bring about business process change and at the very least will mean that staff members need to use the digital images and start conducting more business digitally. Staff affected will need to be involved in the process and provided with training. Through digitisation, businesses can achieve significant con-current benefits and real business process value associated with these benefits. 04

6 05 Determine policies, procedures, standardisation and documentation 06 Consider t h e legal requirements If you are going to introduce business process digitisation it is important to know what standards you need to meet. For example: If you are intending to destroy original paper records after digitisation, that you can meet the Legal and Regulatory requirements related to your industry as well as any Date Compliance regulations and laws as set out by the Freedom of Information Act. (See Kefron s Guide to Document and information Security for Irish Business ). Images will need to be full and accurate representations of the original records. Metadata collected about digital images needs to be able to meet the requirements for record keeping to facilitate storage and efficient retrieval. Conversion processes and the handling of the original records need to be in line with Data Protection legislation. You will need to make some policy decisions about the way your organisation will conduct its digitisation program and how both original paper records and digital images will be treated. These decisions should be documented and communicated to relevant staff. It is recommended that you develop procedures for digitisation. Procedures can have the dual benefit of providing documented proof of your decisions and process (if this is ever questioned, e.g. in court) and providing guidance to staff undertaking digitisation about the way the process needs to be conducted. Procedures should cover the processes for planning and conducting digitisation and for post-digitisation work (e.g. storage of digital images, treatment of original paper records etc.) They should also indicate where records must be created regarding the digitisation process itself. Pre-digitisation planning should also be considered to ensure a 100% audit trail of the process and that a complete chain of custody is established for effective management of the project. Your organisation will need to consider and plan for any legal requirements that it needs to meet as part of digitisation processes. For example: Are there records that must be kept in their original format for legal reasons? Do the records need to be digitised at a particular quality to ensure they will be credible evidence if required in court? For example, should an original document need to be altered for scanning purposes, it may affect the integrity of the document. BIP 0008 Code of Practice for Legal Admissibility and Evidential Weight of Information Stored Electronically. One of the key issues affecting a businesses decision to scan and digitally archive documents is whether the images can be used as evidence later. This code of practice provides guidance to ensure, as far as possible, that electronic documents and scanned images will be accepted as evidence by the courts. The key to this guidance is that the process under which documents are managed is as important as the technology used where a document is reproduced (e.g. printed), it should accurately reproduce the contents of the original.

7 07 Set benchmarks and quality assurance measures Your organisation will need to make planning decisions about your benchmarks for: The quality of digital images - including technical specifications, metadata requirements and requirements for equipment (eg. calibration, output viewing device etc.) as well as rules regarding any image enhancement. It is essential that a Fileplan structure is integrated to ensure the right information is saved in the correct location and authorised access is limited to the relevant staff. How the digital images will be stored and controlled. The management of original paper records. Needs may differ depending on the type of records being digitised and the enhanced business use envisaged for them. Benchmarks should be developed in consultation with stakeholders and form the basis of procedures and training for digitisation staff. As well as benchmarks, you will need to establish how you will measure whether the benchmarks are being met in practice. This involves establishing and documenting quality assurance measures and procedures (along with who is responsible for undertaking them). You will also need to indicate where variations from the standard quality assurance procedures are acceptable. Note: Checking whether benchmarks have been met may involve sampling rather than checking individual images if this is suitable. In addition to the staff involved in the team you will need to consider the impact the digitisation program will have on other staff and possibly clients as well. Digitisation may bring about business process change and at the very least will mean that staff members need to use the digital images and start conducting more business digitally. Staff affected will need to be involved in the process and provided with training. Your organisation will need to consider when and how much to sample to ensure that sufficient quality can be maintained. If you are considering sampling you should undertake a risk analysis as some records may not be of acceptable quality for future business use. You also need to ensure samples are a real reflection of your information and that it is truly indicative of the content and condition of the document. Quality assurance measures and procedures should include the logging and analysis of quality failures and instructions on when re-digitisation is required and how it is conducted. They should also include checks on the management of original paper records before, during and after digitisation to ensure they are handled appropriately and disposed of (where relevant) in authorised and approved ways. The storage, management and back-up of digital images should also be monitored. Quality assurance measures and procedures should be approved by senior management and communicated to relevant staff and stakeholders. Staff involved with quality assurance need to be trained and supported to meet their responsibilities consistently. Benchmarks and quality assurance measures should be tested before a business process digitisation program commences to ensure they can be implemented and produce acceptable results. They should also be reviewed regularly. 06

8 08 Establish technical specifications 09 Determine metadata requirements Benchmarking to set image quality includes determining what technical specifications are required and what hardware and software is needed for its business process digitisation program. Your organisation may need to determine the essential characteristics of the records (i.e. the essential information that needs to be reproduced) and combine this with a consideration of what level of quality is fit for purpose. This will enable you to determine the most suitable technical specifications. These guidelines provide general recommendations to guide you. If your organisation s digital images are required in the long term or as State archives, it is strongly recommended that your organisation adopt open formats (i.e. not proprietary) which are likely to survive through a number of migrations. It is preferable that digital images that are required as State archives are not compressed or altered or manipulated in any way. If compression or manipulation is required for business use, derivative images should be created for this purpose. Benchmarking also involves your organisation determining what metadata needs to be collected and how it is to be collected. Metadata must be relevant and accurate and it must also meet the minimum requirements in the Standard on digital record keeping. Your organisation may identify further metadata needed to ensure that images are fit for purpose, e.g. indexing terms. 10 Obtain equipment and software The hardware and software you purchase should be able to meet your technical specifications and metadata requirements as well as other needs like health and safety requirements. Other equipment and resources required should be defined in planning. 07

9 11 Manage digital images as records 12 Manage original paper records In business process digitisation programs the original paper records, once digitised, will eventually be destroyed. The digital images will then become the official records. They will be required as evidence of the business that has occurred and should be used for any further business action. To successfully replace the originals, your organisation needs to ensure that the digital images are managed in a suitable framework so they are authentic, complete and accessible. It is essential that digital images are stored in a system that is secure, permits access to the images and metadata by authorised personnel only, keeps the images in context with related records and associated metadata, is backed up and can safeguard the images integrity and authenticity i.e. a system that can operate as a recordkeeping system (such as an EDRMS or business system with recordkeeping functionality). This is particularly important if the original paper records are to be destroyed and the digital images kept in their place. Your organisation will need to consider projected storage requirements in the planning stages of your program so that the ICT infrastructure and system architecture can support their storage. Digital images also need to be actively managed so that they remain accessible for the entire retention period that the original records were required to be kept for under current retention and disposal authorities. Disposal of digital images needs to be planned, authorised and documented. It should be in accordance with the organisation s Records Management Program. It is important to protect and manage original paper records before, during and after digitisation. Actions taken on them should be documented. If the original paper records are to be destroyed after digitisation, the records must be covered by a current retention and disposal authority (or Normal Administrative Practice) and able to meet the requirements and conditions of, and not be excluded from, the General retention and disposal authority: imaged records. Your organisation will also need to consider when exceptions to their standard disposal practices are required. For example: If the original paper records are subject to legal action or applications under access or privacy legislation it is recommended that you do not destroy them until after the matter has concluded. If you are authorised to destroy the original paper records, you need to decide on a suitable time period for them to be retained after digitisation for quality control purposes. Disposal practices for paper records should be in accordance with Legal and Regulatory constraints. 08

10 Digitising documents such as invoices, HR records, contracts and customer service records can add true value to the content of your businesses information. It enables process efficiencies, reduces costs, improves compliance and enhances customer service. Digitising documents such as invoices, HR records, contracts and customer service records can add true value to the content of your businesses information. It enables process efficiencies, reduces costs, improves compliance and enhances customer service.

11 13 Monitor and review 14 Kefron Digital s document management systems Like all programs it is important to monitor and evaluate business process digitisation and determine how things can be done more efficiently now and in the future. Kefron Digital s Document Management System can be tailored and applied to a wide range of departments and applications within your business: Administration & Customer Service Mail Room Accounts Payable & Receivable Human Resources IT Management Document Management Proof Of Delivery Kefron Digital s Document Management System s workflow feature allows you to create multiple workflows. Editable templates allow you to visualise processes and drag and drop functionality makes it easy to transform paperbased workflows into streamlined digital ones. Task duration can be easily allocated and measured. Contact Kefron Digital to find out more [email protected] p11

12 15 St. James s Hospital Case Study They listen to the challenges we face and adapt to what we require it s not one-size-fits-all with Kefron. Brian Fallon, Patient Records Manager, St James s Hospital End-to-end Electronic Patient Records System Digitising of 40,000-plus Patient Records for Easy Access by Hospital Staff. Holistic records management service brings host of benefits to hospital including instant access to patient records, substantial cost savings and reduced storage needs. Customer background St James s Hospital (SJH) is the largest acute teaching hospital in the Republic of Ireland. Located on a 63-acre site in Dublin, it has over 4000 employees and caters for patient visits every year. Customer situation The patient record is the cornerstone of the healthcare system. It is the document on which service delivery is based. Without it, medical staff wouldn t know what treatment has been given, or to whom. Traditionally, patient records have been kept in paper form but hospitals are gradually moving towards electronic patient records (EPR). The Code of Practice for Healthcare Records Management launched by the HSE in 2007 is a key driver. The code contained new guidelines on records management and obliged hospitals to review their patient record systems in the interests of quality and patient safety. In the wake of this new code, a taskforce was set up within SJH to see how patient records management might be improved. Solution In mid-2010, SJH went out to tender for the provision of patient record scanning and other services associated with EPR. Kefron won the tender to provide a full end-to-end EPR system. The core task would be to scan 40,000-plus patient records and make them available for viewing by hospital staff. Implementation Files were barcoded for tracking purposes and a log produced of these files. After this, they were transferred to Kefron s scanning, storage and shredding facility at Park West. There, files were prepared, indexed, scanned, quality controlled and uploaded to as hosted repository on Kefron s cloud server. Kefron s Electronic Document Management Solution Systems integration presented a challenging aspect. Files are managed and retrieved by Therefore, an Electronic Document Management System already used by the hospital s A&E and HR departments. Access to this system and the information repository behind it was made available to in excess of 300 users within SJH via the cloud install, allowing patient records that had been scanned to be accessed by staff from both desktop and patient bedside. In order to work, though, the EDMS had to be integrated with the hospital s own EPR system, Cerner Millennium. This was achieved through a partnership of both technology and communication between SJH and Kefron, a successful relationship that continues to this day.

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14 16 About Kefron Kefron are The Document and Information Management People. We simplify the document and information management world for our customers, taking the pain out of paper and data processing issues. We have three brands including, Kefron Filestores, Kefron Digital and Kefron Consulting which together can offer a complete document management lifecycle solution. Our business exists to improve how you manage your information, with our expertise supporting both physical document storage and digitisation of your information. We are the only Irish document and information management company that can offer customers hard copy records management services but also digital solutions in the form of cloud based technology for information processing, workflow and storage. Kefron is a people business and we are experts in what we do. We recognise that our core strength is our staff and because of this our industry experts can advise you on getting the 'right' solution that supports both physical records and digital information management. We provide solutions such as: Document Storage Vault Storage Media Storage Cataloguing Scanning solutions Accounts Payable Automation Accounts Receivable Automation Electronic Document Management Solutions Our K-Series Guide As document and information management specialists we are acutely aware of the compliance issues that all Irish businesses must adhere to. The purpose of this guide, tailored specifically for Irish business is to provide an overview of the important factors that businesses must consider before digitising their processes. We hope that you find this guide useful and for further information please contact us directly and our service representatives will be delighted to help. [email protected] 13

15 We Manage the Document Lifecycle. Simple.

16 Kefron Ireland 53 Park West Road, Dublin 12 PHONE: +353 (0) FAX: +353 (0) Kefron UK 187 Bilton Way, Hayes, Middlesex, UB3 3NF United Kingdom PHONE: +44 (0) [email protected]