Moving Schools from the World of Paper to Electronic Efficiency:

Ten Ways Document Management Helps Administrators Do More with Less

By Laurel Sanders, Optical Image Technology, Inc.

View printable PDF (opens in new window)

Primary and secondary schools create and distribute an incredible amount of paper every day. Papers created in the classroom typically last for a short time before newer materials are created. In contrast, the administrative papers and files that follow students, teachers, and administrators behind the scenes often have to be retained, organized, and accessible long after they leave the school system. Whether information is needed for internal administration or personnel issues, student inquiries, or audits, easy and secure file access can present challenges.

From student enrollment, performance records, disciplinary reviews, and transfer documents through alumni donor histories, a heavy paper trail follows each student’s moves. On the administrative side, contracts, records of continuing education requirements, payroll and payables, retirement-related requests from former employees, and board meeting minutes lay an equally thick path of paper that must be organized and accessible. Rules governing document retention result in on- and off-site storage challenges, with filing cabinets and boxes full of materials whose contents can be tough to find when they are needed quickly.

Despite mounting regulations that affect school record retention and access, administrators today are allotted fewer staff resources to manage the plethora of paper. This article introduces solutions for these and other challenges faced by schools as they struggle to gain control over their information and increase efficiency with limited funds and resources. It provides administrators with tips for how they can accomplish more with fewer people, and comply more easily with stringent regulations and audits. It also provides practical advice to consider when implementing EDM in a school setting.

1. Migrating from paper to digital storage: instant access to information when you need it

A document management system helps schools to centralize their critical information. Letters, transfer forms, contracts, emails, voice messages, board minutes, faxes, and more can all be stored centrally in a single, digital information repository, providing a global overview of all of a school’s or district’s business information to those who are allowed to access its pieces, parts, or its entirety. From complete files to specific lines of data or images that are needed by staff, electronic storage lets you categorize files so that you can locate data when you need it. A Web-based system allows authorized persons to access the information they need from remote offices, from their desktops at home, or wherever it is needed.

2. Standardizing information: getting everything you need the first time

In a paper-based system, information consistency is difficult to achieve. Even when policies and communications dictate what must be collected and how much detail should be provided, execution is left to the individual. Although a check-and-balance system may be in place to guard against omissions and lack of detail, some files will purposefully or inadvertently lack some of the detail that is needed. Returning to the original source for added information is time consuming, and therefore costly.

A good document management system has the flexibility to be set up to apply and enforce the information policies and business rules established by your school. It also lets authorized persons monitor who has entered, accessed, updated, or processed files in the event of a performance review or audit. Users can be prompted or alerted when entry fields or specific formats (such as mm/ dd/yyyy) are required. If other data has to be entered or added prior to a file being complete, the software can be instructed not to save the file until the desired information has been collected. Furthermore, if you make standard forms available on your school’s portal or website, you can eliminate paper at the source.

Schools that engage in digital processing of files (routing tasks and files to the correct parties automatically for processing) can ensure consistency by pre-establishing a hierarchy and order of tasks that must be addressed, files that require signatures, etc., before a specific process is complete. This standardizes all procedures, and ensures fair and equal treatment to all parties, as each person has to follow the same procedure for each type of request. Again, compliance with FERPA and other regulations becomes easier. The digital system leaves a clear and detailed audit trail that leaves no questions unanswered.

3. Reclaiming productive space: digital storage maximizes prime real estate

In a paper-based system, records retention regulations necessitate that file space must continually expand in order to accommodate the growing number of students, alumni, and retirees. This wastes valuable real estate. In addition, physical storage means that members of staff have to go to a central space in order to access information. Alternatively, they may need to issue a request to their records manager to retrieve and view specific files. Off-site storage of less frequently-needed records makes staff access difficult. Misfiled papers, or papers that have been pulled by someone else, can result in re-created files and/or frustrating waiting times.

In contrast, a digital system allows people to find what they need quickly, while dramatically reducing paper, printing, and shipping costs. At the same time, it facilitates records retention through effective automation. Floor space previously allocated for files can be used for cubicles, additional office space, a classroom, equipment storage, or whatever the school needs most.

4. Accessing board insights and decisions: removing the guesswork

School board and staff meetings often result in decisions that affect the future of a school’s operations. Current members of the board and staff, as well as future members, may need to review meeting minutes in order to verify that a planned action is in accordance with a decision, or to gain insight into the historical development of a specific issue. Electronic management mechanizes and eases the search, allowing authorized persons to request files about a specific topic, materials that mention a specific person or position, or any other data that has been indexed at the time it entered the system digitally. The software system then delivers the correct files to the desktop of the person requesting them. When the request is for a file that contains some confidential data, the person asking for information is able to view only the data to which he has been granted access.

5. Viewing Student performance: document management provides information on the whole child

The first and most important directive of a school is to educate a child. This means storing information about the whole child, including academic records, physical and mental health data, disciplinary procedures, and more. Papers lying on desks can result in unwanted access to data, and files that have been pulled temporarily may cause frustration when there is an immediate decision that has to be made. Administrative workers from a district office or other school may have to wait for requested files that are kept at a specific building, causing extra paper copies to be made. Shipping and processing delays might also impede decision-making.

A Web-based document management system ensures that only authorized persons can access information. Sensitive materials (such as psychological evaluations) can be pre-set to allow very limited access and prohibit the forwarding of information to persons unauthorized to view it. Physical location and office hours no longer present a challenge. Regardless of where you are, EDM keeps a thorough record of file access and denials, making it easier to demonstrate compliance.

6. Managing human resources: gaining a holistic view of personnel records

Teachers and administrators have a variety of records that follow them, as well as certifications that have to be maintained. Document management makes it easy to compile all of a person’s information, or to extract lists of specific file types (such as contract renewals) that require action. In addition to tracking requirements and certification paperwork, an EDM system can be pre-set with alerts, indicating that qualifications are about to expire, or that specific coursework is needed to satisfy requirements.

Performance reviews, contract renewals, vacation approvals in accordance with a contract’s conditions, and other time-sensitive and rules-based materials can send automatic alerts when actions need to be taken. They also ensure that the wrong action is not taken (such as granting one more vacation day than a contract actually allows). Stated simply, automating human resources takes away the headaches of managing information so you can focus on managing your most valuable asset: your people.

7. Managing financial records: payroll, payables, and audits

From payroll records to subcontractor payments and incoming invoices, managing financial information can be an arduous task. Bids, receipts, purchase orders, and other materials have to be collected and managed. An EDM system electronically collects and categorizes related documentation, making it available to multiple people simultaneously when needed. Take, for example, logged invoices. A manager may want to pull a list of all payables that are due on a certain date, extract the savings he could receive from net discounts, or the penalties he would incur from late payments. At the same time, the accounting office may need to begin processing the invoices that are due imminently. Concurrently, an auditor may want to match purchase orders to invoices that were set up in the prior month as payables. All of these requirements involve the same invoices.

When paper copies are all that is available, usually someone has to wait (perhaps making multiple trips to search for the appropriate documents). Alternatively, photocopies have to be made and/or copies have to be distributed. With Web-based EDM, the auditor can request electronic images of the receipts and files he needs at the same time that the checks are being processed. While this is happening, the manager can also view the cash flow situation and its various permutations.

8. Distributing work effectively: no more waiting

After an EDM system is in place and current files have been scanned, the second step is to add historical files. Although some administrators may not see the immediate need to include past documents, the endless chase for information is only put to rest when all of your information is searchable electronically.

A document management system that includes (or integrates seamlessly with) digital workflow software lets you streamline your processes for consistency and automate them in accordance with your business rules. For example, assume that a letter of recommendation has been requested for a college application, along with the student’s portfolio. It is accompanied by a letter of recommendation that needs to be signed by a teacher, guidance counselor, and the principal. An EDM system can be pre-set to request the letter of recommendation, and then push it forward for signature with a specified time period for expected response from all three parties. If one of the signatories is delinquent in responding, an alert can be sent as a reminder that the materials have been collected and are waiting for the individual’s signature. Thus, the appropriate person can be signaled that action needs to be taken. Alternatively, an email can be generated to request a pre-designated, alternate signatory.

In a similar fashion, the system can be instructed to wait until all items that were requested have been collected, and then to forward all of the materials automatically to the intended recipient. The ability to see where a process is at any given time means that inquiries can be answered promptly, putting an end to the paper chase.

9. Making decisions based on real-time information: using time wisely

Decisions are made based on information that is on hand at any given time. Too often, that information is incomplete. The latest updates could be sitting in someone’s Inbox, making a different set of “facts” available to different people. Supporting documents may be in the mail on their way to the office, or, in today’s mailroom, waiting to be opened and either photocopied, entered into a database, scanned, or emailed to someone.

Electronic capture of incoming mail through immediate scanning (or portal-based online forms) means that information is updated and immediately accessible to all pre-authorized parties the moment that materials are received or files are updated. For example, if an invoice from a subcontractor is subject to a penalty starting tomorrow, but is lacking a receipt in order to be processed on time, a message can be sent automatically to the subcontractor requesting the receipt. The invoice can be flagged as a payment that may be appropriately late, showing that the penalty should be ignored due to insufficient documentation.

The moment the receipt is provided, it can be added to the electronic file, automatically sending an email to the subcontractor that it has been received and payment is imminent. At the same time, it can also add the payment to the workflow queue for immediate processing. Likewise, if a person responsible for handling payments or any other routine process gets bogged down, management can view the work volumes and make adjustments accordingly.

10. Complying with FERPA and HIPAA: no more missing files

The increasing number of regulations—and the severe penalties that can result from noncompliance— are frequently motivators for schools to store documents electronically and automate their records retention schedules. Civil liability, fines, and criminal prosecution can result unless observance of regulations can be demonstrated. FERPA regulations that govern the privacy rights of students and parents, HIPAA laws that regulate access to private health information, and other rules, regulations, and policies can be monitored and audited effortlessly in detail with a document management system. Letters rendering prior written consent for disclosure, records of consent exception, and other critical information can all be stored and associated with pertinent files. Combined with a records management policy that shows your school’s intent to abide, electronic storage arms you with the proof you need to rise above litigation and other challenging circumstances.

Even the best intentions and clearly communicated policies are difficult to maintain or to prove in a paper-based storage system. EDM allows you to establish rules for who can access certain documents or specific information on a page. The system can be updated by the appropriate persons as regulations change or are updated. EDM also allows you to establish conditions for records to be migrated to long-term storage media, or for an alert to be sent and records to be removed in accordance with retention schedules. A clear transaction trail of who requested, accessed, and viewed which information at what time, and under which specific conditions, leaves no question when authorized management, auditors, or even a court subpoena demand proof. The guesswork of records management is removed.

Aligning business and IT goals

After your school or district has decided it is ready to take advantage of electronic storage and/or process automation, the key is to identify the area within the district that has the greatest challenges with its current paper-based system (frequently payroll, student records, or human resources) as well as the school’s long-term needs. The IT person on staff who will be responsible for implementing the system—or the vendor’s services team along with the IT staff person who will maintain it—need to have a solid understanding of the business goals and priorities before project planning begins. The IT implementation should do no more than the project scope defines, as changes may result in a need for greater staffing, infrastructure, training, and other unforeseen costs or roadblocks. The solution should also take full advantage of the best options for the stated project scope, in order to ensure that you receive optimal outcomes rather than minimally satisfactory results. Setting and communicating clear objectives, and establishing project milestones by which progress and eventual success can be measured, are vital.

Implementing a document management system in a school setting

Small school districts, or schools without savvy IT administrators, may see the wisdom of electronic storage and processing, but may be understandably reluctant to plan implementation of a system that is too challenging for them to set up or maintain. Many EDM vendors offer a variety of services in consulting, planning, implementing, and maintaining their solutions. Some offer basic training on site or via the Web to help IT administrators and end users get started, and more advanced training to meet specialized needs. Make sure the vendors you choose offer these services, as well as professional services to integrate your systems as your use of technology grows.

Helping staff and teachers to understand the benefits of electronic storage, access, and process automation can be very challenging. Since buy-in from end users is critical in order for a project to be successful, communication is vital from the beginning. Every type of user, and every individual person who will use the system, needs to believe that technology will make their jobs easier, and that they will be given the proper training to guarantee their own success. Take the time to discover the information challenges each worker faces every day. Where is there inefficiency or frustration? Where can communication between departments be improved? Where are there concerns about data integrity or information security? What redundancies exist? Which routine processes slow employees down and waste valuable time that they would gladly reallocate for something more useful?

By taking the time to understand their business challenges, you will show your earnest intent to make their work lives better, and you will gain the commitment you need to be successful. If you do this well, you may even gain the enthusiasm that will help your IT project on the road to continual quality improvement, which is the next step in any organization’s evolution.

Summary

Putting your school on the path to electronic efficiency can be challenging, but the benefits vastly outweigh the difficulties. By candidly evaluating your needs, listening to staff challenges, clearly defining your business objectives, and demonstrating your commitment to help others succeed, you can go a long way in smoothing the rough waters of change. With a clear vision and project scope, and vendors who are prepared to partner in your success, you can do more with less. EDM frees you and your staff to use more of your time and talents for the betterment of your school and its students.

To receive links to additional reference and educational articles such as this, please visit our subscribe form.