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Improving HR Document Availability and Process Workflows with Electronic Imaging
- 1. Improving HR Document Availability and Process Workflows with Electronic Imaging John Walls Verbella CMG © 2007 Wellesley Information Services. All rights reserved.
- 2. Why Are We Here? • Managing employees documents can be a very time- consuming and costly process Today’s session will look at electronic document imaging within SAP HR How it improves the business processes How it increases the availability and accuracy of documents across HR, benefits, payroll, and self- service applications 2
- 3. What We’ll Cover … • Advantages to document imaging • Common terms and background • Architecture • Understanding the archiving scenario • Advanced options using OCR • HR document imaging project • Wrap-up 3
- 4. Advantages to a Paperless Office • Simultaneous, multiple-user access to documents • Lower costs Virtually no floor storage costs No personnel costs involved in filing and retrieving documents • Electronic documents can be cross-referenced when they’re filed Not limited to two dimensional filing • Disaster recovery Documents are automatically backed up (best practice — different locations) • Electronic documents can be used in SAP workflows • Electronic documents are easier to produce for audits They automatically adhere to system-configured retention policies 4
- 5. Existing Storage Space Can Be Reclaimed with a Jukebox 128-238 slots Jukeboxes are common 9.1GB WORM Platters – roughly 171,750 images per WORM using 50KB per image for a single page image WORM = Write Once – Read Many 5
- 6. What We’ll Cover … • Advantages to document imaging • Common terms and background • Architecture • Understanding the archiving scenario • Advanced options using OCR • HR document imaging project • Wrap-up 6
- 7. Terms – Document Types • Content repository Meaning Logical Archive – a way to logically manage content, usually by retention period or by storage media • Document types Backbone of ArchiveLink customizing Are 10 characters in length Have several functions Used to describe the actual image Can base security on document type Act as pointers to different logical archives Work items are routed to the appropriate processor via document types in the early archiving scenario In some cases it specifies the SAP T-code to launch 7
- 8. Employee Master and Administration • Employee master record Documents can be retrieved from within the employee master using transaction PA20/PA30 Documents can also be assigned via bar codes within the employee master transaction PA20/PA30 • Administration of stored documents — transaction OAAD Management level transaction code Documents can be deleted, reassigned, and assigned subsequently Allows users to search an archived document via the object’s key fields, logical archive, document type, and date range 8
- 9. Displaying a Document Image 9
- 10. Displaying a Document Image (cont.) 10
- 11. Displaying a Document Image (cont.) 11
- 12. Using Internet Explorer • Options can be controlled from within transaction code OAG1 12
- 13. You Can Also Display Multiple Images 13
- 15. Displaying Specific Facsimiles (cont.) • Only the document types assigned to the infotype are displayed 15
- 16. What We’ll Cover … • Advantages to document imaging • Common terms and background • Architecture • Understanding the archiving scenario • Advanced options using OCR • HR document imaging project • Wrap-up 16
- 17. SAP Content Server – Typical Configuration SAP R/3 SAP Content Server File system or database HTTP SAP Cache (No optical media support) HTTP Server HTTP HTTP No scanner interface for SAP Content Server Third-party document capture vendors, such as Retrieval of documents through the Kofax, would be necessary SAPGUI using the ECL Viewer 17
- 18. SAP Content Server — What Is It? • Software for storing structured data – Archive Development Kit (ADK) files – and unstructured documents in repositories • Product of the lifecycle and system management capabilities of SAP NetWeaver 2004s • Administration from within SAP, using the following transaction codes: CSADMIN and OACO • Communication through the ArchiveLink HTTP protocol • Multi-Operating System (OS) support, including: Windows Various Unix systems (new as of SAP Content Server 6.30) • Does not support optical media, no direct scanning interface 18
- 19. Create the Content Repository 19
- 20. Testing Connectivity 20
- 21. Sending the Certificate (Optional) 21
- 23. Content Server Administration Overview 23
- 24. Setting for the Content Repository Name: ContentStorageName Type: Character Default: SDB Values: SDB Mandatory: Yes Description: The ContentStorageName parameter contains the name of the database instance. Name: Storage Type: Character Default: ContentStorage.DLL Values: ContentStorage.DLL Mandatory: Yes Description: The storage parameter contains the name of the storage layer necessary for the access to a repository. No value other than the default value is allowed. 24
- 25. Security and Infotypes • Access to documents is “normally” controlled through SAP user authorization object S_WFAR_OBJ • The following fields and activities are checked: Logical Archive 01 Create Document Type 03 Display SAP Object 06 Delete 70 Administration • However, in HR, this authorization object needs to be called by a user exit • Document type is the most common field to restrict access to • Access to documents is also controlled via infotype – access to the infotype is needed to access the image • Documents can be linked to the employee#, employee#/infotype, and employee#/infotype/sub-type 25
- 26. Sample Document Types 0211 ZHRB_COB B: COBRA Acknow. Types to include: Rights to COBRA notification; Types to include: Loss of coverage letter on spouse/dependent; certified mail receipts; requests for appeal of insurance claim determination (all letters from employees or N/A ZHRB_COR B: Benefits Correspondence carriers regarding claims) All old enrollment forms: ESPP, Insurance, etc; supplement of IGT Insurance Enrollment/Change Form; Mutual of Omaha Enrollment Card; Vision Service Plan 0171 ZHRB_ENR B: Benefits Enrollment Forms Enrollment Form; Beneficiary Designation; Group; etc Types to Include: Death certificates, birth certificates, marriage certificates, Legal N/A ZHRB_LEG B: Legal Certificates guardianship papers, etc. Types to include: Doctor's notes/return to work forms, FMLA or LOA docs; Premium 0000 ZHRB_LOA B: LOA notifications; Authorization for absence; notice of claim payment 0171 ZHRB_MIS B: Benefits Miscellaneous File Types to include: Potential Conflict; Compliance Video; Code of Conduct; Statement of N/A ZHRY_ACO Y: Compliance Acknow. Compliance N/A ZHRY_ADA Y: Drug & Alcohol Acknow. N/A ZHRY_AEE Y: Employee Policy Acknow. N/A ZHRY_AEM Y: Email Policy Acknow. N/A ZHRY_AHS Y: Harassment Acknow. N/A ZHRY_AIS Y: Invention & Secrecy Acknow. Attachments may be included to any such agreements Types to include: At will employment; Employee Handbook; Compressed Work Week; Waiver of Liability; ESS; Functional test tool & monies locker policy; Acknow. Of N/A ZHRY_AMS Y: Miscellaneous Acknow. driving requirement standards N/A ZHRY_ASF Y: Safety Acknow. Types to include: Safety Orientation; Written Retention Exercises Types to include: Special letters of accomodation; kudos; any supporting N/A ZHRY_COR Y: Correspondence documentation (e.g. emails); promotion announcements Types to include: OP Ladder Pay Summary (Ask John Seeley if this is okay to have N/A ZHRY_MIS Y: Miscellaneous File here) Types to include: Offer Letters; Letters of Reference; Reference Check Results; N/A ZHRY_NEW Y: New Hire Paperwork Applications; Resumes; Cover Letters;New Hire Checklists 0000 ZHRY_PAF Y: Personnel Action Form 26
- 27. What We’ll Cover … • Advantages to document imaging • Common terms and background • Architecture • Understanding the archiving scenario • Advanced options using OCR • HR document imaging project • Wrap-up 27
- 28. How Do We Archive Documents? • Two most common ways to get documents to the archive server: Paper documents can be scanned or faxed into the scan client Third-party software is required Electronic documents, such as emails and desktop documents, can be uploaded from the desktop 28
- 29. How Do We Get Documents Archived? • Three common SAP archiving scenarios: Late archiving Early archiving Late archiving using bar codes 29
- 30. Late Archiving Detail • Late archiving – uses indexing fields to link the image to an existing employee#, or employee#/infotype Very basic, and easy to use Very common with e-documents that can be uploaded 30
- 31. Late Archiving – Assign and Store 31
- 32. Late Archiving – Assign and Store (cont.) 32
- 33. Late Archiving – Assign and Store (cont.) 33
- 34. Late Archiving – Assign and Store (cont.) 34
- 35. Late Archiving with Third-Party Solutions 35
- 36. Early Archiving Detail • Early archiving – uses workflow to route images to HR clerks to process Once processed, the image is linked to the newly-created infotype Not very common in HR Allows for reporting on the duration of the processing 36
- 37. Standard Early Archiving 1 - Scan Station HR Department Paper scanned or uploaded Processor 2 – Image Assigned User assigns image to an SAP work item Processor External Storage SAP R/3 Processor 5 – Process Work Item Work item executed, 3 – Archive Image 4 – Work Item Created image is viewed, and Image assigned archive ID Work item created and electronically infotype is created and stored on Jukebox routed to appropriate SAP inbox 37
- 38. Early Archiving – Upload 38
- 39. Early Archiving – Upload (cont.) 39
- 40. Early Archiving – Upload (cont.) 40
- 41. Early Archiving is Not Much Different with Third-Party Systems 41
- 42. Early Archiving – Processing 42
- 43. Execute the Work Item 43
- 44. Enter the Personal Number 44
- 45. Click on Change (or New) 45
- 46. Make the Change 46
- 47. Add the Date of Origin 47
- 48. Returned to the Inbox for Further Processing 48
- 49. Late Archiving with Bar Code • Late archiving using bar codes – uses bar codes to link image to employee# or employee#/infotype Very common in HR, most popular by far Used to identify employees’ missing back-up documentation Very effective and easy to use scanning technique 49
- 50. Late Archiving Using Bar Code 50
- 51. Select the Document Type 51
- 52. Confirm 52
- 53. Enter the Bar Code 53
- 54. Bar Code Assigned 54
- 55. Processing Steps with the Content Server and Bar Codes Images SAP Scan Release Validate Content Server Bar code Bar code is read and image are released to SAP 55
- 56. Documents Are Scanned via a Scanning Application – Kofax Ascent Capture 56
- 57. Validate the Bar Code 57
- 58. Understanding the Bar Code Concept SAP Bar code number Bar code is entered and SAP key fields with SAP transaction added to BDS_BAR_IN table SAP Scanning software If a match is found, SAP processes new entries in both tables both entries are Document is looking for matching deleted and an entry in scanned and bar the link table TOA01 code is read bar codes is made Integration Image and bar Doc ID and bar code code are sent to are sent to SAP archive server BDS_BAR_EX table 58
- 59. Bar Code Label Information • Free demo software from Avery • Typical bar code type or font 2/5 interleaved numeric with a check digit (last digit validates all preceding digits) • Box of Avery labels #5267 is about $28 USD One box contains 100 sheets (8,000 labels) About .0035 cents per label, or 10 labels for 3.5 cents • Preprinted bar code labels $4-7 USD per 1,000 59
- 60. What We’ll Cover … • Advantages to document imaging • Common terms and background • Architecture • Understanding the archiving scenario • Advanced options using OCR • HR document imaging project • Wrap-up 60
- 61. Why Optical Character Recognition (OCR)? • Software designed to translate images of handwritten or typewritten text (usually captured by a scanner) into machine-editable text Much faster data entry Reduced labor costs Reduced processing errors Automatic classification of document – forms Overall business process gains 61
- 62. Information Types • Structured Form-based documents – the same information is listed in the same position or layout, in the same format on every document Employee Documents • Semi-structured Documents contain all the same type of information, but in different positions or in a different layout • Unstructured Documents contain various information in various layouts Employee Documents 62
- 63. Rules-Based OCR vs. Template-Based OCR • Rules-based OCR OCRs entire page Search for a key (key words, phrases, or expression) Keys are then used to logically locate content Once configured, it’s likely that the OCR engine will locate index values regardless of the location on the document • Template (form identification) Templates are created for each form in the HR department Forms are identified and data is extracted from predetermined locations 63
- 64. Typical Setup Scan Extract Validate Release Scan Documents Classification of Validate and Export Data and Document Type Correct Data Images to Directory as Text VRS 4.1 Plus for image or XML cleanup and improved Extraction of data Look up data from OCR accuracy fields from each databases and Images can be document other sources released as full-search PDFs or TIFF images 64
- 65. Ways to Apply OCR Solutions in HR • Standard forms for OCR – take standard company forms and extract OCR index values from the image • Standard classification – enter critical indexing information for the batch/employee and use the form classification to identify the documents • Both options Validation possible against database Release index information to SAP and the image to the SAP Content Server 65
- 66. Extracting Index Values-Based Document Type (Forms) Index Values Here Form Identification Here 66
- 67. Scanning – Kofax Ascent Capture 67
- 68. Classification and Extraction of Index Fields • Documents are being classified as to the type of document • Once classified, the extraction of data begins Extraction 68
- 69. Validation 69
- 70. Automatic Release to SAP – Text and Images • Extracted index fields are released as an .xml or .txt file to a network share • These data files reference the location of the image file Released to SAP 70
- 71. Release • Common release formats Standard text format release script XML format available (typically used for line items) SAP AR4ERP release script • Release scripts for specific Content Management (CM) solutions are also available IXOS (OpenText) OnBase IBM FileNet Documentum • Images are saved as standard .tiff or .pdf format 71
- 72. What We’ll Cover … • Advantages to document imaging • Common terms and background • Architecture • Understanding the archiving scenario • Advanced options using OCR • HR document imaging project • Wrap-up 72
- 73. Kofax VirtualReScan™ (VRS) Scanned in color Image File Size = 213 KB Scanned in 1 bit B/W Image further processed with VRS 73
- 74. Why is the HR Document Imaging Process Unique? • HR projects are usually historical in nature • The value and ROI is found in imaging all existing HR documents Because of this, the backfile conversion becomes a project within a project • Compared with other imaging projects: Daily imaging-driven transactional events are light Most other imaging projects, such as A/P, take a go-forward date No history Other projects tend to have a stronger focus on improving the business process 74
- 75. About the Backfile Process • When will this take place – Phase I, Phase II, or as needed? • Time consuming, some customers have estimated roughly two to three employees per hour – 20 minutes for document prep, 10 minutes actual scanning and quality control, and 10 minutes for indexing • The more document types that you have in the backfile process, the longer the process takes (exponentially) • Some companies choose to load them all as one document type called “Historical documents” • Some “bite the bullet” and outsource to a service bureau to have all the documents scanned 75
- 76. Design – Review Current Employee Folders • Inventory of existing folder (10, 5, or 2 years) • Identify the documents that are to be scanned, documents that you would like to audit • Identify documents that you want to keep secure even within the HR department Executive Medical Records • Identify like documents Could pay increases, title changes, and promotion forms all be wrapped up into one document type called Personnel Action Forms (PAFs)? • Historical documents can be placed into chronological order and scanned in all together — one multi-page .tiff file 76
- 77. Before Deciding on a Future Process … • What scenarios will be used? Bar code has several advantages over late archiving Early archiving will allow reporting on performance, workload, and durations Where are the documents coming from? Can they be faxed? Who is processing these documents? Do the documents start out as MS Word documents that could be uploaded to initiate a early archiving scenario? Are signatures required? Are the documents so critical as to warrant their own document type for audit purposes? 77
- 78. Before Deciding on a Future Process … (cont.) • What scenarios will be used? (cont.) Will scanning be centralized or will it be decentralized? What is the process if a document needs to be rescanned some time after the initial scan? Can your scan operators view all HR documents? Will the scanning workstation have Internet access or email access? What will happen to the documents after they are scanned? 78
- 79. What We’ll Cover … • Advantages to document imaging • Common terms and background • Architecture • Understanding the archiving scenario • Advanced options using OCR • HR document imaging project • Wrap-up 79
- 80. Resources • Kofax Information on VRS, www.kofax.com/vrs • Avery Free demo software for bar code labels, www.avery.com 80
- 81. 7 Key Points to Take Home • Electronic document employee folders make managing employee folders very easy and efficient • Full benefit of imaging document employee folders is not realized unless the existing files are imaged • SAP Content Server is a suitable document management system when combined with a scanning application • VRS should be used to clean up HR documents because of the variety of colored and oddly-sized documents • Electronic employee folders are available for Web applications such as ESS and MSS • Electronic employee folders are automatically backed up • Electronic documents can be audited through automation 81
- 82. Your Turn! Questions? How to contact me: John Walls [email protected] 82