Going Paperless: Planning and Implementing a Digital ... · PDF fileGoing Paperless: Planning...

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Going Paperless: Planning and Going Paperless: Planning and Implementing a Digital Implementing a Digital Scanning ProjectScanning Project

Melissa Mencotti and Josh TysiachneyAllegheny College, Meadville, Pennsylvania

APRA International ConferenceSan Diego, California

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Introduction Introduction

Digital Imaging for BeginnersOur goal is to provide an overview of the many issues one should consider when embarking on a document imaging project, from putting together a team, to completing a cost-benefit analysis, to archiving data.

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AgendaAgenda

Document imaging definedBasic componentsPutting together a teamReviewing your current systemDeveloping policies and proceduresSelecting a vendor or software packageDesigning the database

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AgendaAgendaStaffingFile preparation and scanningTrainingChallengesBudgetReportingFuture applicationsResources

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ItIt’’s Just Copying Files, Right?s Just Copying Files, Right?

Mega gift leads to projectDeceptively complicated

Design

$Future

VendorsPolicies

Staffing

TeamReviewChoices

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What is Document Imaging?What is Document Imaging?

It is the process of scanning documents or forms using specialized software and saving the resulting image files on a computer. (Central Michigan University website)

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Document ImagingDocument Imaging

Provides quick accessOnlineMay be edited and printed from screenSaves spaceMay save paperCan be text searchableSoftware is Windows TM based

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Basic ComponentsBasic Components

ScanningIndexing or CodingArchivingRetrieving

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Putting Together a TeamPutting Together a Team

People who are responsible for filesDatabase overseerRepresentative end usersIT folksRepresentatives from other divisions

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Reviewing Your Current SystemReviewing Your Current System

What is the purpose of your files?How are your files utilized? By whom?Where does the information come from?Where does it go?Survey

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Surveying Your ColleaguesSurveying Your Colleagues

1. How often do you utilize our paper files?2. Why do you look at prospect files?

– General briefing– Before trips– Need specific information not on database– Other

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3. If you use the files infrequently, why?4. Would you use them more if it was more

convenient to do so? Why?

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5. When you are reading a constituent’s file you are usually looking for:

– General history with the institution– Specific correspondence or gift agreements– Business information– News clippings– Other

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Surveying Your Colleagues Surveying Your Colleagues

6. When reviewing a file you would prefer to see:

– Material presented chronologically with current information at the front

– Material grouped by subject (correspondence, gift agreements, financial information, etc.)

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7. What information is critical to keep in constituent files?

8. When searching for a file, you would find it easiest to look for it based upon:

– Last name, first name– ID number

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9. How computer literate do you think of yourself?

– Expert– Pretty good– I know enough to get by– Can’t I just use a typewriter?

10. Do you know what a Boolean search is and how to do one?

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11. Would you like to be able to choose from a short number of preset queries or would you prefer to set your own queries?(Note: not a replacement for the organizational database!)

12. Do you have any questions, concerns, or suggestions for implementing our project?

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Return on Investment SurveyReturn on Investment Survey

Intense analysis of files and use– Helps to estimate the scope of the project– Helps with ultimate database design– Helps to justify the cost of the project

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Analysis includes:– Number of existing files and pieces of paper – Number of new documents created/sent to

files per day and length of time to prepare and file them

– Number of documents retrieved daily and the amount of time it takes to retrieve them

– Number of documents distributed daily and the length of time that takes

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– Number of daily refiles and length of time devoted to refiling

– Percentage of misfiles– Actual number of misfiles– Average length of time it takes to find or refile

misfiles– Total space devoted to in-house document

storage and cost per square foot

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– Monthly cost of off-site document storage– Annual cost of file folders, boxes and file

cabinets, and paper– Monthly copies of documents to be filed and

cost per copy (include documents printed from personal computers)

– Average number of courier deliveries per week and cost per delivery

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– Average number of long distance fax transmissions per week, average number of pages, and average cost per page (Ikon Office Solutions)

With these data, one can compare an existing manual system with the proposed document management system and even determine how long the period of time is before the system pays for itself.

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Allow as much time for this as possible to increase the accuracy of your data.Keep a chart noting the date, person sending the filing, and number of pages of each document filed.Ask each of your colleagues to keep a log of documents they distribute to others: date, document title, pages, to whom.

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Do not forget to include labor expenses– One can determine daily copying, filing,

retrieving, and distributing costs.We utilized an average hourly wage for the entire division. If one’s administrators do little or none of this work, one might consider using an average support staff rate.

In our case, we determined that our system would pay for itself in fewer than six months.

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Developing Policies and Developing Policies and ProceduresProcedures

Once your system is reviewed and you have a sense of how filing works (or needs to work) it is important that you review or create policies and procedures to guide your filing.

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Developing Policies and Developing Policies and ProceduresProcedures

Every advancement office should have file retention guidelines that include at a minimum information on what is retained, how one handles exceptions, how long materials are kept, and how materials are destroyed.What will your files look like in ten or 20 years?

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Developing Policies and Developing Policies and Procedures Procedures

Understanding the purpose of your files.– Are they repositories for anything that was

ever captured about a constituent?– Do they include staff working notes?– Do you keep documents in your files simply

to verify information in your database?

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These are the documents that we are retaining:– Biographical information including:

Alumni surveysAward nominationsGenealogiesObituariesReunion yearbook questionnairesStudent information cards

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– CorrespondenceAgreementsInter-office email about a constituent (with care!)ProposalsReports of contact filed before we had our current database

– Data entry informationHarris directoriesVerification questionnaires

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Gift Information– Estate documents– Planned gift calculations that become part of

an agreement– Stewardship reports (cross-filed with the

named fund)

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– ResearchBusiness informationNews clippings not available online

– OtherPhotographs

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These are documents that we are discarding:– Biographical information

Admissions application cover sheetsFuneral programs

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– CorrespondenceAttachments to outgoing notes (copies of commencement programs, etc.)Outgoing notesReports of contact found on current database

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– Data entry newsAddress and employment change notificationAlumni information update formsBusiness cardsNews notesOther change notification (except death)

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– Gift informationChecksCopies of stock certificatesOld giving history cardsPlanned gift calculations

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– ResearchEarly profilesFinancial informationP!N Reports

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Document DestructionDocument Destruction

We are reducing the volume in our files by 30 to 50 percent as we clean them outShredding everythingRecommend that one contracts with a document destruction company– Easy to find on the Internet– Our cost is about $100 - $150 a month

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Selecting a Vendor or SoftwareSelecting a Vendor or Software

Generate a list of potential vendors– Internet search– PRSPCT-L– Sample vendors (many more):

IBM Business ServicesIkon Office SolutionsKodak Document ImagingSharp Document Imaging

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– Be sure to consider vendors’ area(s) of expertise (law firms, medical facilities, businesses, educational institutions)

– Reputation – Geographic location

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Request proposalsKey criteria:– Volume capacity– Accuracy– Turnaround times– Technical integration– Cost

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Does one really need to use a vendor?– Does your institution have a dedicated IT

division?– Do your IT folks have the time and ability to

contribute to this project?– Is it worth their time to do so?

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Using a vendor was the right thing for us– Our IT folks are under-staffed and over-

worked– No one had any experience with such a project– Vendor was able to share best practices and to

explain potential problems with some of our ideas

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Ask vendors to apply in writingConduct interviews and/or request demonstrationsCheck referencesScan and index a variety of paper sizes, colors and weight and to scan double-sided documents

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A vendor will recommend a specific soft-ware package – many, many on marketCritical features include:– Optical character recognition (OCR)– Image enhancement– Full text indexing– Bar-coding compatibility– Web access

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Software should allow one to: – edit documents– customize database and index fields– support search queries using Boolean

operators – back up the database easily

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Another available feature in many software packages is the ability to access the database over the Internet.– Positive and negative consequences– We did not choose a package with this feature

but can migrate to a more advanced software later

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When selecting software one should consider:– Compatibility– Stability– Scalability– Customer support– Ease of use

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A note about OCR (Optical Character Recognition)– Critical for full text searching– Must use a higher resolution

Takes up more hard drive spaceSlows down the indexing

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HardwareHardware

The physical infrastructure is relatively simpleThe four key pieces:– Scanner– PC for the scanner– Server for the imaging software– PC workstations for end users

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HardwareHardware

Range and quality of scanners varyPrice can vary depending upon scope of project– Small or short-term project – may wish to

lease a scanner or buy a less expensive one and essentially wear it out

Dedicated PC for scanner (no additional software, Internet access, etc.)

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HardwareHardware

When choosing a scanner one should consider:– Speed– Ability to scan a variety of page sizes– Resolution– Duplexing– Sheet feed versus flatbed– Color

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HardwareHardware

Server is specific to scope of the project– Our Return on Investment survey provided us

with the data needed to determine the size– We are estimating a ten percent annual

volume increase (liberal)– Our vendor provided a scanning calculator to

assist with current and future disk storage calculations

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HardwareHardware

Individual workstations– Software may be installed on every

employee’s pc but one does not need to purchase a license for every user

– We are using a 1:3 ratio– Workstations may need to be upgraded for

memory and/or speed

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Designing the DatabaseDesigning the Database

How “granular” do you go?– Documents within the database organized

under broad categories or many subcategories?

Biographical informationCorrespondenceData entry informationGift informationPhotographsResearch

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Our vendor cautioned us not to be too granularAlso the results of our staff survey indicated that staff preferred broad categoriesWould need to touch every single piece of paper to note its document type for later indexing (back filing)

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One back file document type: constituent– Applies to individual, corporate & foundation,

and fund records– All documents within are considered

“subdocuments”

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Indexed with searchable fields– Constituent ID– Spouse ID– First Name– Last Name– Spouse Last

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– Spouse First– Maiden Last– Source (Alumni, Parent, Non-Alumni,

Corporation, Fund)– Class Year– Spouse Class Year

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Forward filing will be more granular– Once back filing is completed, new

subdocuments cannot be added to the original subdocument.

– Every subsequent document will be indexed as a new subdocument under the constituent’s name.

– Readers will need to open one to hundreds of subdocuments to view an entire file

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Forward filing subdocument types:– Gift information – Biographical information– Correspondence – Research– Data entry information – Photographs

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Readers will have the option to open the main subdocument (back file) and then use an arrow to review each subsequent subdocument OR Search for documents depending upon their subdocument type, i.e., can search correspondence alone

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Option to go to back filed subdocuments and make them more granular– Useful for larger files and files of more

prominent constituents

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All documents are text searchableDeveloped preset queries for end-users– Research (allows searching under any index

field as well as full text)– Alumni– Non-Alumni– Corporations & Funds

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Anyone can use any of these queriesMost often will search for documents under last names or ID numbersAccess:– Administrator (add, modify, delete and view)– Staff (add, modify, view)– Viewer (view only) – Majority of users

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Preparing the FilesPreparing the Files

Recommend that you clean them out before scanning – Files need to have all paperclips and staples

removed– Remove duplicates– Remove materials that do not belong per file

retention guidelines

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Consider photocopying:– Odd-sized pages– Fragile documents– Documents on heavier paper stock– Newspaper clippings that have been pasted

onto paper

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In theory, these things will all go through a scanner but they may slow you down.– May have to scan them one page at a time– May need to make adjustments on the screen– We found that clippings pasted on paper are

read by the scanner as a double feed which causes an error message

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Scanning and IndexingScanning and Indexing

Started with back filing and will gradually implement forward filingBar-coded cover sheet for each file– Elfring Fonts, Inc.– Eliminates the need for manual

indexing/coding of back files documents

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Cover sheet fields include:– Constituent ID– Spouse ID– Last name– First name– Spouse last name– Spouse first name

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– Class year– Spouse Class Year

The scanner “understands” that every document that follows the cover sheet belongs to that constituent until the next cover sheet

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Bar-coding complications– Cover sheets for constituents with no files– Files for constituents with no cover sheet– Women married to non-alumni are filed under

maiden name but cover sheets were pulled by current last name

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Using sheet feeder to scan whole files at once May scan more than one file at a time– Will scan 500 pages at once but OCR process

slows things down– We have found that it is about as quick to scan

one document at a time, always keeping one in the pipeline ready for scanning

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Forward filing– Coincident with back filing? – Each document will need to be indexed

manually at the time of scanning– Can also send documents directly from one’s

pc to an electronic in-box for indexing to constituent file

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Back UpsBack Ups

Software must be backed up regularly to tape– Our database is backed up daily and monthly

Daily – tapes are overwritten every other weekMonthly – tapes are sent to an off-campus vault and are overwritten annually

– Tapes are expensive but nowhere near as expensive as the potential loss of data

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StaffingStaffing

Recommend a dedicated project manager– We created a temporary fulltime position to oversee

the back filingFour months - probably not enough time

– Strong computing skills advisedManager Job Description

Supplemented by student employees– Responsible for file preparation

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TrainingTraining

Vendor trained project administrators– Provided two huge, unwieldy manuals

Project manager is developing a user manual for project administrators

Project manager and administrators train project staff and end users– Project manager will develop user manuals for

them

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TrainingTraining

– It is imperative that the instructions for end users be as simple as possible

– Most end users will be viewers onlyAlso developing a planning and implementation manual for other campus divisions who are considering this project

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WhatWhat’’s the Cost?s the Cost?

This is a fairly expensive undertaking in terms of out-of-pocket costs– Vendor– Software– Hardware– Direct personnel– Document destruction

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Indirect costs– Personnel (planning, developing policies and

procedures)– Food and beverages for meetings– Postage

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Our project’s non-personnel cost so far:– $43,000 vendor– $11,000 server– $1,200 dedicated scanner pc– $100 bar-coding softwareTOTAL $55,300

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Great fundraising opportunity

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ChallengesChallenges

Challenges– Lots of odd-sized paper in the files (time-

consuming)– Old student cards on heavy, colored stock are

not scanning well– Finding a number of paper files for

constituents who do not appear in database

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Challenges Challenges

This whole project has been SLOW!– Took seven months between initial discussion

and signed contract with vendor – Took another month for database design,

installation on computers, and testing– We had to move in the midst of it

Allow far more time than you think necessary!!!

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Future ApplicationsFuture Applications

Magazines, newspapers, yearbooksBranching out to other divisionsProspectingAudio and video archiving

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What About the Paper Files?What About the Paper Files?

Options:– Keep them on campus somewhere– Send them to an off-site storage facility– Destroy them immediately– Other?

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What About the Paper Files?What About the Paper Files?

Options:– Keep them on campus somewhere– Send them to an off-site storage facility– Destroy them immediately– Other?

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What Have We Learned?What Have We Learned?

Allow as much time as possiblePut together a team with broad representationReturn on Investment survey is critical as are file retention policies and procedures

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What Have We Learned?What Have We Learned?

We recommend contracting with a vendor who will assist with software selection and database designBar-coding speeds up the scanning processDocument imaging is expensive but the protection it provides is priceless

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Other ResourcesOther Resources

CASEPRSPCT-LArchivist or librarianOther institutions (web search, “records retention policy” or “policies”)

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“Document Imaging 101: Going Paperless Without Pain” by John Ley, Advancement Services: Research and Technology Support for Fund Raising, John H. Taylor, Editor (CASE Books, 1999).“Investing Wisely for the Future,” by Alan A. Andolsen, The Information Management Journal, September/October 2004.

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“Tech Support: Putting Paper in Its Place”by John Ley. CASE Currents, September 1999.Association of Records Managers and Administrators www.arma.org

http://www.arma.org/

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Contact UsContact Us

Josh Tysiachney, Associate Director of Prospect Development– (814) 332-5911– [email protected]

Melissa Mencotti, Director of Prospect Development– (814) 332-5912– [email protected]

mailto:[email protected]

mailto:[email protected]

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