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Realizing the Full Potential of a Document Imaging System Presented by Douglas A. Levy University of Michigan Copyright Douglas A. Levy, 2004. This work.

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Presentation on theme: "Realizing the Full Potential of a Document Imaging System Presented by Douglas A. Levy University of Michigan Copyright Douglas A. Levy, 2004. This work."— Presentation transcript:

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2 Realizing the Full Potential of a Document Imaging System Presented by Douglas A. Levy University of Michigan Copyright Douglas A. Levy, This work is the intellectual property of the author. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced materials and notice is given that the copying is by permission of the author. To disseminate otherwise or to republish requires written permission from the author.

3 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Agenda  UM Office of Financial Aid Document Imaging Project  Expanded Use of ImageNow at the University of Michigan  Technology Lessons Learned  Questions, Wrap Up

4 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Introduction to the University of Michigan u Type of Institution –27,000 undergrad & 10,100 graduate students –19 academic units, 568 degree programs –1 main campus, 2 branch campuses –Centralized administrative functions (Admissions, Financial Aid, Registrar, Student Accounting, etc.) providing support for highly decentralized and autonomous academic units

5 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The University of Michigan Office of Financial Aid Document Imaging Project

6 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Life Pre-PeopleSoft circa 1997 B.C. (before conversion)

7 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u UM-OFA General Information –53 permanent staff plus work-study students –Walk-in and phone-in services provided at two campuses, self-service via the Web –$350 million in federal, state, institutional and private aid funds administered –Programs administered: v Federal, state, institutional and private loans v Federal, state and institutional need-based grants v On-campus and off-campus work-study v Private and academic unit scholarships

8 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u UM-OFA General Information (cont.) –33,995 students apply for aid each year –Document requirements include: v Student tax returns v Parent tax returns v Institutional application, verification, follow-up and re-evaluation forms v Plus, alternative and university loan applications v Student employment forms v Promissory notes v Award notices v Miscellaneous forms/correspondence sent and received

9 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u Challenges, Issues & Problems –Document Posting and Filing –File Sign-out, Retrieval and Usage –Efficient Utilization of Space –Archiving Documents –Phone/Walk-In and other Ad Hoc Requests

10 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u Project Goal To gain efficiencies of operation in the handling of student files and other documents to better serve students, departments, and external agencies, and to better position the office for future business process reengineering efforts.

11 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u Critical Success Factors –Easy to use and easy to administer –Can be implemented in a short time frame –Little or no custom programming or other specialized skills required –Consistent with way office does business; does not “require” changes to office procedures –Easily adaptable to changes in existing systems and processes and easily supports addition of new ones –Adheres to all security and regulatory guidelines

12 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u Critical Success factors (cont.) –Is cost-effective, both for initial start-up as well as for ongoing costs –Consistent with OFA and UM information technology –Is flexible (imaging is different than working w/paper) –Handles current peak volumes and is scalable –Interacts with financial aid system for indexing and retrieval; single point of data entry –Supports performing all file review functions online –Supports workflow

13 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u Implementation Timeline / Milestones –Delivery of ImageNow system and hardware: 8/26/97 –Backfile conversion of current aid year folders: 9/8/ /12/97 –Began using system for ad hoc inquiry: 10/20/97 –Began using system for posting new year documents: 2/5/98 –Began using system for new year file review: 3/2/98 –OFA becomes completely ‘paperless’: 2/1/99 –Additional financial aid processes rolled out: 2/99 – present –The ‘One-Minute Purge’ – 6/02

14 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u Observation When we first announced the intention to move to imaging, several staff were rather vocal in their opposition, suggesting, among other things, that they couldn’t possibly do such things as verification from images, that everything would take longer, and that we were setting ourselves up for failure. Without exception, even those who were “kicking and screaming” the loudest in opposition at the beginning, would be “kicking and screaming” a whole lot louder now if imaging were to be taken away from them.

15 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The UM-OFA Document Imaging Project u Results Imaging is fully integrated into all student-related document management processes in the Office of Financial Aid. The critical success factors identified at the beginning of the project have all been satisfied and the project goal was clearly achieved.

16 Imaged Student Documents 2. Data entry staff access each scanned student document image, post the document as received on the financial aid system tracking module and index the document to the imaging system 1.b. Student Documents faxed are received by Fax Server (no paper). 1.a. Student Documents received on paper are scanned. 3. Student documents are accessed directly from the imaging system for ad hoc inquiries. Students Ready for Verifi- cation 4. Documents for students ready for verification are auto- routed to a work queue. 5. Counselors access the imaged documents for students ready for verification, along with the corresponding screens from the financial aid system. 6. Student documents are stored on the imaging system for as long as they are needed to meet regulatory and other requirements Example of Imaging in a Financial Aid Office

17 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at the University of Michigan

18 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Life Since PeopleSoft circa 1998 A.D. (after deliverance)

19 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at UM u The Goal –To provide Schools and Colleges and Central Offices with a document imaging solution that: v Effectively supports the student-related administrative processes being implemented in the PeopleSoft project v Effectively supports other student-related processes both within and across departments u The Foundation –ImageNow selected over 10 other vendors in bid process for Academic Affairs site license (April, 1998) –Dual-processor server and 6,000,000 document capacity optical jukebox purchased (May, 1998)

20 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at UM u Current Uses –Online storage, auto-routing, viewing and decision- making of undergraduate admissions applicant materials by the central admissions office and corresponding Schools/Colleges v Applications are scanned in and auto-indexed using barcode recognition v Applications are immediately auto-routed to appropriate school/college using ImageNow workflow v Central Admissions staff and counterparts in School/College simultaneously review the applications v Applications are retained on imaging system for archival purposes and for ongoing use in Academic Advising

21 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at UM u Current Uses (cont.) –Online storage and on-demand retrieval of historical Registrar’s Office transcripts, utilizing an OCR process to auto-index the images –Admissions application review by the central Graduate School and Academic Units –Ongoing student academic advising in the Colleges of LS&A, Engineering and other Units –Human Resource personnel file storage and retrieval –OSEH document storage and retrieval –Many other miscellaneous uses around campus

22 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at UM u The Prediction - “… and the day before we go live, myself or one of my staff will teach ImageNow all the needed PeopleSoft financial aid panels in a couple of hours. No fuss, no muss, no programming.” July 1999 NASFAA and March 2000 PeopleSoft Conference Sessions u The Reality - On February 15, 2001, the day before we went live, a staff member in OFA image-enabled all the needed PeopleSoft panels in one hour and fifteen minutes. The next day, OFA staff began using ImageNow in conjunction with PeopleSoft, without missing a beat.

23 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at UM u Custom Programming Implementation Cost –Zero u Central IT Staff Implementation Effort –Zero

24 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at UM u Current Stats (and constantly growing.....) –Financial Aid: 900,000 imaged pages for 54,800 students (up to 4 years per student) –Undergraduate admissions: 1,420,000 imaged pages for 68,000 applicants –Registrar transcripts: 566,000 imaged pages for 175,000 students –Academic Advising: 220,000 imaged pages for 26,100 students –Graduate admissions: 275,000 imaged pages for 29,000 applicants –Human Resources: 350,000 imaged pages for 19,000 staff members –Other: 400,000 imaged pages

25 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Expanded Use of ImageNow at UM u Some Planned Uses –Expanded student academic advising campus-wide –Human Resource resume storage/auto-routing –Storage and retrieval/review by staff and faculty committees for a select group of fellowship candidates –Archiving of 40 years of student folders for the School of Public Health –Many other departmental uses being explored –Deployment of ImageNow in the UM Business and Finance Division for Payroll, Purchasing, Alumni/Development and others

26 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Demonstration of UM Use of ImageNow The Tale of Hap. E. Hower

27 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Technology Lessons Learned

28 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #1: Much like beauty, good technology is “in the eye of the beholder.”

29 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #2: Unlike love, even the most effectively- deployed technology does NOT mean “never having to say you’re sorry.” Unless, of course, you are using only Microsoft products, which always work flawlessly…

30 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #3 The Golden Rule: Those who have the gold….. MAKE THE RULES!!!

31 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #4 and #5 If it ain’t broke, it may be the best time to fix it. Don’t do more with less, do something different.

32 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #6 Corollary 1: Technology is a means, not an end Corollary 2: Technology is a tool, not the solution Corollary 3: There may be a lot of similarities between and a salesperson from a technology company.

33 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #7 Unlike the we do know which should come first when performing an evaluation…. It’s definitely your BUSINESS NEEDS, not the technology! and the

34 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #8 If you build it… They MAY come. Corollary: Understand and articulate your goals, desired outcomes, requirements, etc. UP FRONT!

35 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #9 The 80/20 Trap: The final 20 percent of functionality in a technology project can consume 80 percent of the time and 80 percent of the money. Corollary: KISS…..Keep It Simple, Stupid!!!

36 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #10 As in many technology projects, the phrase “instant gratification” is an oxymoron….. Reaping the rewards more likely will involve much hard work and perseverance.

37 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #11 BEWARE!!!

38 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #12 BE PREPARED FOR BOTH! Properly implemented technology savesand Goal: It also ADDS and The whole (benefits) should be greater than the sum of its parts (costs).

39 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #13 Don’t let this happen to you… A woman is standing over the freshly-dug grave of her dearly-departed husband. A man approaches and says, “I know this may be an awkward moment, but do you ever recall him mentioning documentation?”

40 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #14 Strive for a relationship between Information Technology staff and End Users that is less like and is more like

41 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #15 before you Remember the story of the and the Corollary:

42 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference #16 When it comes to technology, our students are starting younger, and are more demanding of it! are more proficient at it, are more comfortable with it,

43 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference What we do is not about the technology It’s still all about serving students! And lastly….

44 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Questions & Wrap-Up

45 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference Contact Information Douglas A. Levy Associate Director Office of Financial Aid University of Michigan 2011 Student Activities Bldg. Ann Arbor, MI Phone: (734) FAX:(734)

46 Realizing the Full Potential of a Document Imaging System 2004 EDUCAUSE Conference The Big Finish Drum Roll, please…...


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