FEBRUARY 2003

Electronic Forms, Systems & Document

Management Considerations and Choices

by Carl W. Brannon, CFC, CFSP

Vice President, Essociates Group, Inc.

Introduction

For most businesses, keeping accurate and germane records is very high on the priorities list. Having good tools with which to capture important information and being able to file, transmit and recover that information is critical.

This document addresses the business and technical issues associated with the implementation of electronic forms. It defines the terms “forms,” “document,” “document management,” “workflow,” and “process;” offers lists of pertinent considerations, benefits and challenges, as well as a variety of implementation issues to be considered by entities anticipating the conversion from traditional paper forms to electronic forms.

Definitions

Form:

• The basic business tool (whether printed or electronic) for collecting and transmitting information,

• The catalyst for getting things done, and

• The record of what was done.

Copyright 1986 – Business Forms Management Association, Inc.

Document:

A document is the combination of variable data and the presentation template image, merged for viewing and/or printing.

Document Management:

Procedures and techniques for assuring that pertinent documents are available on a timely basis and can be used to accept, transmit, report, archive and recover the appropriate information needed by the user or application.

Process Workflow:

The sequential and/or parallel steps (automated or manual) necessary to complete a business transaction. Steps include identifying and capturing the right information in the right sequence by the right entity, then using that information as a catalyst for actions which follow a logical sequence according to established rules.

Output Workflow:

A streamlined sequence of processes which, when performed according to a set of clearly specified (and usually standardized) business rules, produces the best possible outcome. This step includes identifying, accessing, and organizing the variable data, selecting the appropriate format, merging data with appropriate template, then routing it to one or more output devices.

The Fundamental Need for Forms

Information has been described as the life-blood of business. Indeed, most businesses would find operational functions like sales, production, accounting, distribution and customer service virtually impossible without an established information-handling process. Forms are the natural, living tools for keeping records.

If one considers the information resources of a company to be its life blood, then the forms system which documents, delivers, archives and references that information can be thought of as an arrangement of arteries along which the life blood travels. Communication of various types add to our living creature analogy. They are the nerve connections that keep the business alive and well. Finally, the form users serve as the brain that keeps everything in perspective and functioning appropriately.

An experienced, knowledgeable partner can play a vital role in helping you to realize the full potential of your forms. All the appropriate techniques must be employed to assure that system forms maximize the value of the information that is captured, transmitted, viewed, printed, archived and recovered.

Conversion Considerations from paper to electronic forms 

• Economy (pay once for development of electronic form; no repeat orders)

• Electronic form production costs (one-time only design and implementation)

• Warehousing and distribution not required for electronic forms

• No stock outs

• Obsolescence eliminated (no wasted stock)

• Timing (Beware: conversion does not usually occur overnight)

• Pilot program recommended

• Appropriate test before full implementation

• Parallel implementations

• Validation follow-up and find tuning of system as appropriate

• Forms users (assured accessibility to all who need the electronic forms)

• Comfort levels (user buy-in to the concept)

• Learning curves (absorption levels vary)

• Profiles (who can use what, when, how)

• Functionality (how easy is use?)

• Automated entries / database connectivity (sophistication level)

• Electronic signatures (what formats?)

• Automatic, accurate filing based upon standardized rules

• Distribution (paper vs. electronic “copies”)

• Flexible, variable print output paths (printer / fax / e-mail / file)

• Transmission security (is there a need for encryption?)

• Print-on-demand feature (procedures required)

• Electronic filing  / archiving simplifies process

Benefits vs. Challenges of converting paper to electronic forms

Benefits

• Access may be limited via password

• Assures use of most recent revision level

• “Print” version need not necessarily be the same as the “screen” view

• Customized “views” of data may be based upon need-to-know rules

• Templates may be developed for repetitive form transactions

• Form usage can be tracked (how many used how often and by whom)

• Workflow component can help to automate routine processes

• Selected data entries may be automated (e.g., date, time, user)

• Drop-down lists simplify choices

• Database reference(s) speeds form completion and improves accuracy

• Automatic calculations eliminate errors and speed the processing

• Logic branches make forms dynamic (next field differs based on rules)

• “Required” data fields significantly reduce incomplete information (e.g., SSN, employee ID number, account number)

• Locked fields prevent data tampering (e.g., Purchase Orders, employee performance appraisals, travel expense reports, accounting records)

• Masks ensure format control for critical entries (dates, numbers, etc.)

• Electronic signatures and data verification techniques are available

• Encryption secures forms for transmission

• LAN / WAN / fax / e-mail / web-enabled forms and flexible consistency

• Form systems using consistent information reduce redundancy

• Hard copy can be produced if / when needed

Challenges

• Learning curve (usually short) required for users and administrators

• User comfort level adjustment (“. . . but we’ve always done it that way!”)

• Out-of-office use requires remote PC, probably with a modem

• No physical paper trail unless forms are sent to a printer

• Paper color distribution guide conventions not available

Implementation Issues

Careful planning of the initial conversion from paper forms to automation with electronic forms includes several critical steps. The same issues apply to the forms used by a system as to the application using those forms.

Timing:

• Many issues effect the time table for the conversion.

• Availability of enabling hardware and software

• Analysis of the need

• Confirmation that no new conflict will be introduced into the system

• Accessibility for all who need it

• Technical support to assure smooth implementation

Maintenance:

Ensuring that the installation remains viable is another area deserving close attention. Once the initial installation has been completed, the tests conducted, the application certified for general use, and the users trained, updates to the application and / or the tools used by the application (forms) become a continuing series of events. Proper attention to the detailed actions required by these functions is essential.

Perhaps the best example of an event requiring special attention is the release and implementation of a new version of the application software. Advanced knowledge of and preparation for the changes needed to the operational procedures caused by an upgrade or major revision to the application will smooth the transition. The ideal complementary product will have taken such changes into account and will automatically (or at least very easily) accommodate them.

Analysis and Design:

A thorough examination of the environment in which the application is to function, the effect of any associated tools, the impact of external influences and the nature of the application itself must be accomplished in advance to ensure smooth installation, implementation and on-going operation. The design of the form solution and its interface to the application must be seamless if delays are to be avoided and errors minimized. Essential, then, is the availability and use of analysis and design expertise.

Testing g Debugging g Certification g Final Implementation:

Pilot programs offer the opportunity to examine a proof-of-concept before committing to full implementation of any system. Pilot programs are effective, however, only when they truly reflect, address and complement the target environment. The same issues and challenges must be addressed, analyzed, evaluated and solved during testing as will be encountered in a full (real world) implementation.

It is not unusual for test results to trigger limited modifications to the tools prior to full implementation. It is important, however, to differentiate between enhancements and major changes. If major changes are required, it may be better to delay implementation in favor of a total reexamination and possible redesign of the processes.

Upon completion of any required (or desired) adjustments, the application must be final tested and certified for operation. Certification means that the application fulfills all the requirements appropriate to the operation and included in the original design specifications and that it actually works properly. Implementation techniques should be tailored to the environment. In some situations, the conversion can be instantaneous; in others, the conversion must be gradual to be effective. Instantaneous implementations have the advantage of speed, of course, but carry a strong potential for confusion and error. On the other hand, gradual implementations are generally more deliberate allowing time for absorption of new routines and assimilation of new habit patterns. The ideal seems to be the gradual implementation, one that keeps moving at a steady pace until it is completed.

Also essential and not to be ignored is the acceptance by users (complementing their personal comfort levels) of the new way of doing business.

No implementation can be completely successful, however, if the primary basic ingredient is overlooked. Before any consideration is given to the design, testing, debugging, certification or implementation of a project, a thorough analysis of the needs must be conducted. Alternative solutions must be carefully examined and the best possible solution selected. Analysis is the beginning of the path to a successful implementation.

Finally, the continuing success of any automation project, including both the application, itself, and the electronic forms that support that project, is the level and quality of technical support (and in some cases customer service support) that is available to the user community.