document imaging - university of north...

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UNIVERSITY of NORTH DAKOTA FINANCE & OPERATIONS POLICY LIBRARY

DOCUMENT IMAGING

POLICY STATEMENT

University of North Dakota (UND) imaging systems must be compliant with State Board of Higher Education (SBHE), North Dakota University System (NDUS), and UND policies and procedures, as well as best practices for planning, implementing, and management of electronically stored information.

REASON FOR POLICY

Imaging systems procedures and standards are necessary for all UND departments and offices that create, use and management digital images in an imaging system. Imaging system processes are required in order to ensure validity and integrity of each record during image capture, storage, and reproduction. In addition, this policy complies with NDUS procedure 1901.4.

SCOPE OF POLICY

This policy applies to all members of the University community and should be read by:

President Vice Presidents Deans, Directors & Department Heads Area Managers & Supervisors

Faculty All Employees Students

Others WEB SITE REFERENCES

This policy: http://und.edu/finance-operations/_files/docs/7-1-document-imaging.pdf Policy Office: http://und.edu/finance-operations/policy-who-we-are.cfm Vice President for Finance & Operations: http://und.edu/finance-operations/

Section 7, Information Technology

Policy 7.1, Document Imaging

Responsible Executive: VP Finance & Operations

Responsible Office: Chief Information Officer - Enterprise Services

Issued: November 18, 2011

Latest Review / Revision: November 18, 2011

UND Finance & Operations Policy Library Section 7, Information Technology Document Imaging 7.1

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CONTENTS

Policy Statement 1

Reason for Policy 1

Scope of Policy 1

Web Site References 1

Related Information 3

Contacts 3

Definitions 3

Principles (overview) 4

Procedures 4

Office of CIO 4 Scanning/Indexing/Verifying 4 Security 5 Communication 5 Retention 5 Backup 6 Audit 6 Documentation 6

Responsibilities 6

Appendices (list) 7

Appendix 1 – ImageNow Project Request Form 8 Appendix 1 – ImageNow New User Request Form 9 Appendix 1 – ImageNow SDD 10

Revision Record 7


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RELATED INFORMATION

NDUS Procedure 1901.2 – Computer and Networking Usage

http://www.ndus.edu/makers/procedures/ndus/default.asp?PID=301&SID=62

NDUS Procedure 1912.1 – Information Security Procedures


NDUS Procedure 1901.4 – Imaging Procedures


UND Record Retention Schedule http://www.und.edu/dept/records/forms/UNDRRS.pdf

CONTACTS

General questions about this policy can be answered by your department’s administrative office. Specific questions should be directed to the following:

Subject Contact Telephone Office or Department E-Mail / Web Address

Policy Clarification Enterprise Services 777-5756 [email protected]

Record Retention Records Management

777-6797 http://www.und.edu/dept/records/

DEFINITIONS

Annotation An explanatory comment superimposed on an image without changing the underlying image

Application An imaging solution designed for a specific purpose. An application may be a simple storage solution or may have a highly complex workflow. An application can be specific to a single department or can be used by many departments on campus depending on the purpose of the solution.

Application Liaison The person who is most knowledgeable about functionality of the application. Most likely, this person would have been involved in the development of the application from the beginning to the end. This person is responsible for requesting user access, troubleshooting application specific issues, creating application specific procedures, and keeping all documentation related to the application.

CIO Chief Information Officer

Document Recorded information regardless of physical form or characteristics. Interchangeably used with “record.” A document may include one or more pages and may consist of different information types such as forms, letters, certificates etc.

FERPA Family Educational Rights and Privacy Act

GLBA Gramm-Leach-Bliley Act

HIPAA Health Insurance Portability and Accountability Act

Imaging System An imaging system replaces large paper-intensive operations. In an imaging system, documents can be shared by users who have access privileges to the documents and are on a network. The documents can be routed and be controlled by the workflow.


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Indexing Assignment of a unique pointer to enable quick retrieval of related records.

Naming Convention Naming of applications to deduce useful information about the application. Each application and related objects (user groups, forms, profiles etc.) will be prefixed by a maximum of 4 letter code designated to that department or application.

NDUS North Dakota University System

Power User The user(s) who has the highest level of privileges to the application.

Quality Assurance Ensuring that the scanned document is an exact copy of the original document.

Sampling Selection of a subset of scanned images within an application (batch or all images scanned within a certain period of time) intended to yield some knowledge about the quality of scanning and indexing.

SBHE State Board of Higher Education

Solution Design Document (SDD)

Defines the purpose of the application, documents scanned, indexing schema, workflow, user access, and retention policy.

System Administrator A person or unit responsible for managing and maintaining the imaging system.

Verifying Ensuring that the scanned document is an exact copy of the original document and the indexing of the document is complete and accurate.

Workflow A business process that defines the tasks, procedural steps, and users at each step of the process.

PRINCIPLES

OVERVIEW – University of North Dakota (UND) imaging systems must be compliant with State Board of Higher Education, North Dakota University System, and UND policies and procedures, as well as best practices for planning, implementing, and management of electronically stored information. Imaging systems procedures and standards are necessary for all UND departments and offices that create, use and management digital images in an imaging system. Imaging system processes are required in order to ensure validity and integrity of each record during image capture, storage, and reproduction. In addition, this policy complies with NDUS procedure 1901.4.

PROCEDURES

Office of CIO Each application in the imaging system is required to have application specific imaging procedures developed by the department or application liaison. These procedures must be approved by the UND CIO and on file with the System Administrator. The CIO will develop a checklist to assist application liaisons to track the implementation of the NDUS procedure 1901.4 and UND imaging procedures within each application. The CIO may periodically ask application liaisons to complete the checklist for each application and provide the feedback to the CIO. The feedback will be on file with the System Administrator.

Scanning/Indexing/Verifying Each application in the imaging system must have procedures developed for scanning, quality assurance, indexing, and verifying to ensure that the scanned documents are an exact copy of the original, information within image is readable, and accurately indexed.


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Verification procedures for each application must address the following:

a) Sampling method b) Sampling percentage c) How soon the verification should be done after scanning d) How long the original document will be kept after verification e) Who will be verifying, full-time or part-time employee f) Remedial measures to correct errors

Verification must be done at least quarterly against the original document. Documents verified should ensure that the information within images is readable and the indexing is accurate. Verification must be done by a person other than the person who scanned, quality assured, or indexed the document. Indexing must be specified according to the SDD. Application must adhere to the naming conventions developed by the System Administrator.

Security User IDs and passwords should be assigned to each individual in compliance with NDUS Procedures 1901.2 and 1912.1. There should not be any generic user IDs assigned to be used by multiple personnel. User IDs of terminated employees should be inactivated on the last day of employment. The department should notify the Application Liaison so that he/she can notify the System Administrator to inactivate the user account as soon as the termination papers have been approved. If the job duties of an employee changes related to the level of access to the imaging system, the department should notify the Application Liaison so that he/she can notify the System Administrator immediately. Groups must be created according to job duties. Access privileges must be set at the group level. Each user must be assigned to a group. Privileges must not be given at the user level. Each application should not have more than two power users. Deletion of any document or annotation after indexing must be done only by a power user and must be documented. The staff having access to imaging documents must comply with the University confidentiality standards including signing off on the appropriate documentation (HIPAA, FERPA, GLBA, and privacy laws).

Communication UND Blackboard is the primary tool of communication for all communications related to the imaging system. It is recommended that all users of the imaging system refer to this site for upcoming upgrades, up-to-date information, request forms, and documentation related to the software. Each application must identify a person as the Application Liaison who will be responsible for creating application specific procedures, user training, requesting user access, and relaying all imaging system communications sent by the System Administrator to the application users.

Retention Each application must refer to the UND Records Retention Schedule to determine the correct record series and retention time. The department must provide the Application Liaison the proper record series and retention time for the scanned documents. The Application Liaison must specify the proper record series and retention time in the SDD.


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Deletion of documents according to the UND Records Retention Schedule must be done by a power user and must be documented when retention time has been met.

Backup Backups of the database and the application server must be done nightly, and must be stored off-site. Backup and restore function of the database should be performed quarterly in the test environment. If development is underway in the test environment when it is time for a restore function, the restore function should be done as soon as possible. Backup and restore function must be documented.

Audit Audit trails must be maintained documenting who accessed the data.

Documentation Each application in the imaging system is required to have application specific imaging procedures to assist in training the staff using the application. The procedures must be approved by the UND CIO and on file with the System Administrator. UND departments must keep a log of basic training provided to the users on how to use the software, document quality assurance, and specific features related to their applications. UND departments must routinely check the scanning equipment to ensure that it accurately and reliably reproduces all original documents. Maintenance logs must be kept by the department. All imaging applications created after January 1, 2011, must complete a SDD that specifies documents scanned, indexing schema, user access, workflow, retention date, verification procedures, and retention policy. The documents must be assigned to a record series on the UND Records Retention Schedule. The approved SDD must be on file with the System Administrator. Applications that existed before January 1, 2011, must complete an SDD by June 30, 2011. The approved SDD must be on file with the System Administrator.

RESPONSIBILITIES

Enterprise Services Approve and file imaging procedures developed by the department or application liaison.

Keep a record of completed checklists. Keep a record of SDDs for each application and ensure they are current. Coordinate periodic restoration of database with ITSS.

ITSS Do nightly backups of database and server files.

Application Liaison Develop procedures for scanning, quality assurance, indexing, and verifying.

Complete document imaging checklist and submit to CIO when requested. Submit help desk tickets to request new user access and to remove existing

access. Document deletion of documents in an application. Keep SDD current. Keep a log of basic training provided to the users Routinely check the scanning equipment to ensure that it accurate and

reliable.


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APPENDICES

Image Now Project Request Form Request new project or additions to existing projects Download from Blackboard: https://online.und.edu/webapps/portal/frameset.jsp

Image Now New User Request Form Request user access Download from Blackboard: https://online.und.edu/webapps/portal/frameset.jsp

Image Now SDD Complete prior to going live with the application Download from Blackboard: https://online.und.edu/webapps/portal/frameset.jsp

REVISION RECORD

11/18/2011 - Policy Implementation Signed by President Robert O. Kelley

ImageNow Project Request Form Originator Please Complete:

Contact InformationDate Submitted

Contact Person

Contact Department

Contact Phone

Contact Email

Preferred Go Live Date

Project Information

Brief Description of Project

Describe the Users(Who needs access, requesting dept, other

depts.)

Project ImpactDepartments/Divisions Impacted

Number of Individuals Impacted

% Increase in Efficiency/Savings

Comments / Other Special Requests

FOR OFFICE USE ONLYProject Number

Estimated Development Hours

Estimated Start and End Dates

Actual Development Hours

Actual Start and End Dates

Appendix 1

ImageNow New User Request Form Please note that approval from your department head and the application liaison is needed to process the request. A list of liaisons is available in the ImageNow site.

User InformationDate Submitted

Name of User Requesting Access

Department

Contact Phone

Contact Email

Active Directory Userid

EMPLID

Application and Job Duty Application Needing Access to

Description of Job Duty in ImageNow

Department Head Approval

Department Head Approving the Request

Application Liaison ApprovalUser Group to give Access to

(ex: Power User, Scanner, Viewer, User)

Any Other Restrictions or Approval Needed for Specific Drawers?

Application Liaison Approving the Request

FOR OFFICE USE ONLYUserID Provided

Request Completed Date

Appendix 2

ES‐IN‐10‐xxx–SolutionDesignDocument

Solution Design Document Template Last Modified: 03/06/2011

Customer Name:

Application:

Prepared By:

Created Date:

Moved to Production:

Revision History: Revised By Revision Date Comments

Appendix 3



GeneralInformation

Purpose/ScopeThe purpose of the Purpose/Scope section is to document the needs and requirements of the ImageNow solution.

CurrentMethodsandProcessesThis section documents the current methods and processes utilized in the UND environment. This will assist in providing recommendations on ways in which ImageNow can be utilized to streamline current processes and methods. Include flowcharts when possible.



RetentionPolicyProvide information on what the retention policy is and how records will be deleted from the system, based on what data field. Attach retention schedule.

DetailedRequirements

SystemDescriptionThis section documents the finalized solution and the way in which each ImageNow product will be utilized as part of the solution.

ImageNow Server

Used as the base for our ImageNow installation, will handle the storage of our documents as well as the functioning of the system.

ImageNow Client

Allows users to access the ImageNow system and will be the primary tool used to connect and utilize the ImageNow system.

ImageNow Printer Client

ImageNow Printer Client will be used to capture any digital document as a TIFF image.

CaptureNow

CaptureNow will be used for the scanning of documents.



LearnMode

LearnMode will be used to link documents through Peoplesoft and to retrieve documents associated to a record.

Workflow

Workflow will be used for routing documents to department staff and completing our invoicing.

eForms



ApplicationPlans,ProjectMapping,andLinking/ViewingScreens

The Application Plans listed below define how documents will be indexed in ImageNow.

ApplicationPlan1:Application Plan Properties

Type Groups with Manage rights

Method Name of Screen

Index Location Field/Property Acquisition Method Dictionary Field Script Notes

Drawer

Folder

Tab

Field 3

Field 4

Field 5

Document Type

Custom Property

Custom Property

ApplicationPlan1:Screenshots



CaptureProfiles

The Capture Profiles represented in the table below reflect how documents will be added to ImageNow as well as the action taken on the document once it has been scanned.

Name Description Source Type Application Plan Workflow Queue Notes



DrawersDrawer Name Description Verify Signature Interval

DocumentTypesandListsEach document scanned into ImageNow will contain a Document Type value. This allows a user to search for specific documents by the type. Document Type Lists group together Document Types related to a specific business process or department. As a reminder, Document Types can only be 39 characters in length.

Document Type List Name Form Name Custom Properties Notes



CustomPropertiesDefinitionsCustom Properties allow users to enter additional data about a document outside of the standard Index Values. The table below identifies the Custom Properties that will be created as part of the solution design.

General Custom Properties

Name Type List Values (if appl.) Default Value Notes



WorkflowImageNow Workflow is utilized to route a document from a starting point to a finishing point. The section below provides an overview of the finalized Workflow solution.

WorkflowOverviewList out each main workflow process & what’s going on in each



Workflow Diagram

The screenshot below represents the Workflow that has been designed based on recommended best practices for your business process. The following items explain the different icons in the diagram on the next page.

Script on queue Auto‐Sequential – do not prompt user (this is used when there is only

one option and no need to prompt user for proper route)

Action on queue (routing rule or iScript) Sequential – prompt user for next queue to which to route the

document

Alarm/Notification to queue members Parallel Route – route the document to multiple queues at once

Remove items from workflow Conditional Route – routes the document forward based on a routing

rule

Super Queues are composed of subqueues and allow simplification of queue administration when multiple queues are at the same point in a workflow process.

A system queue is used by the ImageNow workflow engine to perform automated tasks such as routing, scripting, or file importing.

A work queue is a general processing queue where user interaction is typically required to keep the business process moving forward. < Image Varies >

An automated system queue is used by the ImageNow workflow engine to perform common tasks such as submit to Content Server or perform Load Balancing to evenly distribute documents. These queues can vary in function.

InserttheDiagramoftheWorkflow



WorkflowQueueNamesandRoutingIdentified below are the names of the Workflow Queues, their purpose in workflow, users with access to the queue, and any additional information.

Queue Name Purpose Users/Groups with Access Additional Information



WorkflowRoutingRulesWorkflow Routing Rules can be used to automatically route documents based on whether or not certain conditions are met.

Rule 1:

Workflow Queue:

# Condition Action

1

2

3

Notes:

WorkflowRoutingAlarmsWorkflow Alarms provide notifications to users and/or groups when certain conditions are met.

Alarm 1: name

Workflow Queue:

# Condition Action



ViewsViews can be set up and created to see Documents, Projects, or Tasks that are selected and displayed according to specified criteria. The tables below identifythe Views required as well as the detail that should be associated with each View.

DocumentViews

View #1: Brief description of View

View Statements

# Constrain By Type Condition Plan User Access

1



CustomDevelopmentAs part of the ImageNow solution, custom development of certain items such as Scripts, Worksheets, DataCapture, etc. can be used to automate and enhance ImageNow functions to achieve specific Customer objectives. The information below provides the specifications for the custom development components along with the associated test cases.

FunctionalRequirements

iScript



TestCasesThe following test cases will be used during User Acceptance Testing to confirm the configuration, performance, and error handling of ImageNow prior to go‐live. The test cases will be developed once the solution is substantially complete.



Users,Groups,andPermissionsUsers in ImageNow are allowed to perform a variety of actions and can be granted access to specific objects within ImageNow. Groups are a collection of Users with similar Permissions. Permissions within ImageNow range from scanning and linking functions to managing processes and design elements.

SecurityGroupsGroup Name Group Description

Power Users

Users

Viewers

Scanners

ImageNow&WebNowUsersIdentified below are the names of the departmental Users, their role within ImageNow, the ImageNow Group that they will belong to, and the type of client that they will be utilizing.

Full Name EMPLID

User ID Email Address Group Name(s) ImageNow/WebNow



Full Name EMPLID

User ID Email Address Group Name(s) ImageNow/WebNow

PermissionsThe following table details basic Permissions associated with ImageNow Users and Groups. Once implemented, attach the Business Insight report that shows the user and group permissions.



SolutionSign‐OffPlease carefully review the completed Solution Design Document and any supporting documentation attached to this document. Your signature below states that you accept this as your final solution design as is required before we can proceed further with your implementation.

Upon receipt of the sign‐off, we will work with you to finalize the schedule for your onsite implementation.

Interested Parties Date of Signoff

Customer Name

UND Enterprise Services