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

2. Why Are We Here?
• Managing employee 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. Greater Storage Space Can Be Reclaimed with HDWO
Net Apps
Self-healing
Self-configuring
Self-administering
4 drive 64-238 slots
Jukeboxes are common
CAS Storage
Centera EMC
9.1GB WORM Platters – roughly
171,750 images per WORM using 50KB IBM
per image for a single page image DR550
HDWO = Hard Disk Write Once 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
 Determine the infotype and subtype
7

8. Employee Master and Administration
• Employee master record
 Documents can be retrieved from within the employee master
using transaction PA20 or PA30
 Documents can also be assigned via bar codes within the
employee master transaction PA20 or 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
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9. Displaying a Document Image
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10. Displaying a Document Image (cont.)
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11. Displaying a Document Image (cont.)
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12. Using Internet Explorer
• Options can be controlled from within transaction
code OAG1
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13. You Can Also Display Multiple Images
13

14. Displaying Specific Facsimiles
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15. Displaying Specific Facsimiles (cont.)
• Only the document types assigned to the infotype
are displayed
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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
SAP Content Server HTTP SAP Cache
HTTP Server
File system or database
(No optical media support)
HTTP
SAP R/3
HTTP
No scanner interface for
SAP Content Server
Third-party document
capture software such as Retrieval of documents through the
Kofax Ascent Capture SAPGUI using the ECL Viewer
would be necessary.
17

18. Create the Content Repository
Use Transaction
code OAC0 to
create Content
Repositories
18

19. Testing Connectivity
Test connection
will test the HTTP
Communication
with the Content
Server
19

20. Sending the Certificate (Optional)
Certificate is
sent and stored
on the Content
Server from SAP
in order to use
Secure URL
Signatures
20

21. Content Server Administration
The SAP Content
Server is
Administered in
SAP via Tcode
CSADMIN, or
you can click on
the “CS Admin”
21

22. Content Server Administration Overview
Status of each
Repository on the
Content Server
22

23. 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.
23

24. 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/subtype
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25. 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
25

26. How Do We Get Documents Archived?
• Two most common ways to get documents to the
Content Server:
 Paper documents:
 Can be scanned or faxed into the scan client
 The scan client interfaces with SAP and is used to archive
the documents into SAP
 Requires third-party software
 Electronic documents:
 Such as emails and desktop documents
 Can be kept in their native formats and archived from the
desktop without using the scan client
26

27. How Do We Get Documents Archived? (cont.)
• Three common SAP archiving scenarios:
 Old Names (New and Improved Names)
 Late archiving (Assign and Store)
 Early archiving (Storing for subsequent entry)
 Late archiving using bar codes (None)
• Others hardly worth mentioning:
 N/A (Storing for subsequent assignment)
 Simultaneous archiving (Store and enter)
 N/A (Store and assign)
27

28. 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 eDocuments that can be uploaded
 If used with a scanned document, third-party software is
required
• To access any scenario – use Transaction code OAWD
28

29. Late Archiving – Assign and Store
29

30. Late Archiving – Assign and Store (cont.)
30

31. Late Archiving – Assign and Store (cont.)
31

32. Late Archiving – Assign and Store (cont.)
32

33. Late Archiving - Indexing Step using Kofax
33

34. 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
34

35. Standard Early Archiving
35

36. Early Archiving – Upload
36

37. Early Archiving – Upload (cont.)
37

38. Early Archiving – Upload (cont.)
38

39. Early Archiving Is Not Much Different with
Third-Party Systems
39

40. Early Archiving – Processing
40

41. Execute the Work Item
41

42. Enter the Personnel Number
42

43. Click on Change (or New)
43

44. Make the Change
44

45. Add the Date of Origin
45

46. Returned to the Inbox for Further Processing
46

47. 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
 Individual document indexing/categorizing is eliminated
 Requires very little training
 Scanning is much more efficient
 No indexing
 No scanning separator sheets
 Very effective and easy-to-use scanning technique
47

48. Late Archiving Using Bar Code
48

49. Select the Document Type
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50. Confirm
50

51. Enter the Bar Code
51

52. Bar Code Assigned
52

53. Processing Steps with the Content Server and Bar Codes
Images
SAP
Scan Release Content
Validate
Server
Bar code Bar code
is read and image
are released
to SAP
53

54. Documents Are Scanned via a Scanning Application –
Kofax Ascent Capture
54

55. Validate the Bar Code
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56. Late Archiving with Barcode Scenario
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57. 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
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58. 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
58

59. Why Optical Character Recognition (OCR)?
• Software designed to translate images of handwritten or
typewritten text (usually captured by a scanner) into
machine-editable text*
• Voting – This is when two or more OCR recognition
engines are used and their results compared, voting on
the most likely result. It’s designed to eliminate errors
(false positives) and increase accuracy.*
 Much faster data entry
 Reduced labor costs
 Reduced processing errors
 Automatic classification of document – forms
 Overall business process gains
*Océ Document Technologies
59

60. 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
• Semi-structured Documents
 Documents contain all the same type of information, but in
different positions or in a different layout
Employee
Documents
• Unstructured
 Documents contain various information in various layouts
Employee
Documents
60

61. Rules-Based vs. Template-Based OCR
• Rules-based
 Entire document is scanned and processed via Optical
Character Recognition (OCR)
 Specific zones can be used to search for a key (key words,
phrases, or expression) and find the corresponding value
(specific to general)
 Once configured, it’s likely that the OCR engine will locate
index values regardless of the location on the document
• Template-based (logo ID) — learn, memorize, teach
 Templates are created for each form in the HR department
 Forms are identified and data is extracted from
predetermined locations
61

62. 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
62

63. 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
63

64. Extracting Index Values-Based Document Type (Forms)
Index Values Here
Form Identification Here
64

65. Scanning – Kofax Ascent Capture
65

66. Classification and Extraction of Index Fields
• Documents are being classified as to the type of
document
• Once classified, the extraction of data begins
Extraction
66

67. Validation
67

68. 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 68

69. Release – Text or XML and Images
Release scripts for
specific Content
Management (CM)
solutions are also
available
IXOS (Open Text)
OnBase
IBM
FileNet
Documentum
• Extracted index fields are released as an .xml or .txt file to a network
share
69

70. 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
70

71. Kofax VirtualReScan™ (VRS)
Scanned in color
Image File Size = 213 KB
Scanned in 1 bit B/W
Image further
processed with VRS 71

72. 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
72

73. Why Is the HR Document Imaging Process Unique?
• HR projects are usually historical in nature
• The value and ROI are 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
73

74. 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
74

75. 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
.tif file 75

76. 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 an early archiving scenario?
 Are signatures required?
 Are the documents so critical as to warrant their own document
type for audit purposes?
76

77. 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?
77

78. 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
78

79. Resources
• Kofax
 Information on VRS, www.kofax.com/vrs
• Avery
 Free demo software for bar code labels, www.avery.com
79

80. 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
80

81. Your Turn! Questions?
How to contact me:
John Walls
John.Walls@VerbellaCMG.com
81