INTRODUCTION
Government agencies and departments are receiving increasingly large volumes of correspondence in the form of letters, memoranda, administrative forms, e-mail, phone messages, faxes and others. The correspondence may be from members of Congress, the White house, federal, state and local government agencies, private industry and the general public, as well as internally generated communications. The correspondence can be of many types, such as inquiries, invitations, comments, contracts, recommendations, action memoranda and memoranda of conversations and meetings. The receiving organization is responsible for managing the correspondence, i.e., creating files, performing the required management tasks and preparing responses. This invariably requires circulation and coordination among departments and staff for response creation, preparation, approval and delivery.
PROBLEM: OUTDATED, INEFFICIENT CORRESPONDENCE MANAGEMENT SYSTEMS
In the area of correspondence management, organizations are facing the following challenges:

• Multiple Home-Grown Systems
• Not Integrated with True Document Management System
• Old Technology - Paper-Based Systems
• High Maintenance Costs
• Inconsistent Response Processes
• Insufficient Historical Records/Documentation
• Training and Support Problems
• Inadequate Report Capabilities
• Response Backlogs
• Inadequate workflow control

Government Solicitations Reflect the Need for New Systems
Note; the following descriptions do not imply use or endorsement by any government agency. Current government requests for proposals (RFPs) and quotations (RFQs) for correspondence management solutions are specifying a broad range of objectives and capabilities in replacing their legacy systems. The following examples were taken from two recent solicitations.

The contractor shall provide the necessary COTS software, documentation, and related services to implement the replacement Electronic Document Management System (EDMS) for [agency] that will be used by the agency central office and field offices to manage controlled correspondence and documents. The COTS solution shall provide the capabilities and functionality to meet the following general requirements:

• Integration of central office and field office activities to manage and track executive documents and correspondence
• Scalability to support a limited number of users initially, and the potential expansion of system to support the entire agency nationwide
• Availability of the basic functions of a modern electronic correspondence/document management system
• Ability to capture data about the correspondence/document in electronic form (preferably based on an electronic folder, assignment and attachment) and in various formats (i.e., Word, Excel, PowerPoint, TIF, PDF) and allow for easier integration of new file formats
• Electronic storage of original correspondence and all supporting material in a format based on NARA scanned image requirements (TIF)
• Workflow processes based on offices/groups and individuals (i.e., make assignments to offices and/or individuals)
• Availability of automated reports useful to managers monitoring performance metrics and tracking information (ad hoc and standard)
• Technically reliable solution that is consistent with the [agency] network and operating system environment
• User-friendly GUI requiring minimal navigation and offering intuitive user actions
• Field editing capability
• Access restriction options
• Replaces existing systems with a system that uses COTS products wherever appropriate
• Provides new capabilities that are not available in the existing systems, including electronic records management, electronic and digital signatures, and optical character recognition (OCR)
• Blends multiple COTS applications into one Web-based system for records management, document management, imaging, and workflow business functions, including audit trails.
• Complies with Web-based standards, Extensible Markup Language (XML) or Java 2 Platform, Enterprise Edition (J2EE), as described in the E Government Act of 2002
• Provides extensive systems administrative functions
• Provides high system performance and reliability
• Satisfies NARA requirements, and the records management component has been DoD 50152- STD certified by JITC
• Has the flexibility and scalability to serve as an enterprise information technology solution for the [agency]
• Provides extensive Web-based searching and reporting capabilities, including ad hoc capabilities that include Boolean, relational, range, wild card, and null searches

Executive Secretariats are Key Correspondence Managers
The scope and criticality of correspondence management is exemplified by the responsibilities of the government offices of the executive secretariat. A properly established and well-managed Office of the Executive Secretariat is a valuable resource within a department, not just for the Secretary and immediate staff, but also for the whole department. This office ensures that all department officials are included in the correspondence drafting and policymaking process through a managed clearance and control system. Keeping policy officials informed of executive documents enhances the Secretary's ability to review sound and thought-out policy recommendations before making final decisions. Files maintained by the Office of the Executive Secretariat are a valuable historical resource. When properly filed and archived, they will serve as the historical evidence of the department's organization, functions, policies, decisions, procedures and operations.

A well-managed Executive Secretariat Office will:

• Analyze, manage and track the mail to achieve maximum control of executive correspondence, ensuring timely and accurate responses.
• Provide information to Department officials in a timely manner.
• Establish sensible department wide procedures and policies for handling executive records and documents.
• Maintain files that can be retrieved quickly and easily at any time.
• Utilize state of the art technology in the operation and performance of the Executive Secretariat functions.

The Executive Secretariat usually receives, screens, distributes, tracks, and files correspondence to the agency director and deputy director from the public, academia, Congress, the White House, foreign heads of state and their representatives, and other Government agencies. The Executive Secretariat serves as a key information source for the agency and ensures that the director has the benefit of all points of view before signing documents that establish or affect agency policy.

As discussed below, AINS, Inc. has been at the forefront of developing integrated solutions for correspondence and document management for many years. Our currently available, COTS solution, CATXpress, can meet the above requirements.

• Clearly and accurately report the status of all tracked correspondence.
• Assure all functions necessary to support the required processing is carried forward.
• Protect the integrity of the correspondence data.
• Provide necessary security and archival of resulting documentation.
• Allow changes in the interface and functionality of the system to be accommodated with a minimum of effort.
• Provide reusable architecture that can be scaled for other electronic document management systems (EDMS) requirements, such as providing EDMS capabilities for various sub-organizations, and facilitating the development of a single EDMS enterprise-wide system.
• Allow views of geographically distributed document repositories as a single repository.
• Ensure that all correspondence is handled in accordance with any legal, legislative or congressional guidance regarding correspondence response time and archival.
• Reduce the logistical support required for handling the tracking and routing of documents.
• Require minimal effort (e.g. installing a new plug-in) to perform system update on client machines.
• Minimize potential risk from unproven technologies.
• Require minimal client machine resources.
• Allow easy creation of management reports to facilitate system evaluation and tuning.

The Basic CATXpress Process
Figure 2 shows the basic flow of the automated CATXpress process. The numbers in the figure correspond to the number in parentheses in the text below the figure.

• The process starts with (1) a piece of correspondence coming from outside or inside of the organization. The correspondence may arrive in electronic or paper form. Electronic versions can be incorporated directly. Paper can be scanned to create an electronic text file or image.
• The system is browser-based (2). The CATXpress user creates an electronic "case" folder (3) consisting of complete correspondence meta-data - identification and description data for managing, storing, searching for and retrieving the correspondence. You can create your own custom tabs and data fields, and you can re-name the system data fields.
• The electronic folder does not contain the content of the correspondence. Documents such as the original piece of correspondence, reference documents, draft and final responses and other documents related to processing the correspondence are stored as "attachments" (4) to the folder. This is similar in concept to a paper folder with paper documents inside it. Searches can be performed on the folder data fields and on the text content of the attachments.
• During setup, user roles, responsibilities, administrative and approval authority, security and access levels, and business rules are set up for handling various categories of correspondence (5).
• Standard workflows (6) are also set up, but you can use ad hoc workflows as necessary. The workflows define the tasks to be performed concerning the correspondence, the task sequence, and any required approvals and electronic signatures. Workflows can be sequential, parallel or both. At any time, you can see a graphic display of the workflow, along with the status of your correspondence.
• Depending on the type of correspondence and the tasks to be performed, a workflow is selected (which includes who is to do what and when) and initiated.
• The tasks, reviews, approvals and so forth are performed (7) until the process is completed. Usually, this results in a final document (8) or response to be delivered to the person or entity (9) that originated the correspondence.

CATXpress Flexible, Open Architecture
Figure 3 shows the modular architecture that integrates CATXpress, Documentum and Oracle. Support for MS SQL will be provided in the future.

• Provide a solution that reduces redundant processes and systems
• Simplify the process of tracking and monitoring correspondence
• Improve security and control of input and content
• Reduce complexity and ease of use
• Improve data integrity
• Minimize human error
• Consolidate fragmented processes
• Enhance document storage, search and retrieval
• Enable easy measurement of correspondence response performance
• Simplify training and knowledge transfer
• Reduce reliance on a few critical staff to support the response process
• Support a collaborative process by enabling more widespread sharing of information
• Automatic logging of routing history - who had it when; who did what when
• Automatic e-mail notification when folders are forwarded
• Built on a platform that will capitalize on technological advances
• Freedom to work from any location
• Increasing efficiency and reducing paper

Some Basic FAQ

What is Correspondence?
Although Webster's dictionary defines correspondence as communication in the form of letters, In today's environment, correspondence can be any form of formal information transfer or exchange between two or more individuals or organizations. Formal means that the action is part of a business, government, military or other organizational operation, and which would normally be part of a process requiring subsequent action and maintenance of an audit trail or official system of records.

What is Correspondence Management?
Correspondence management is the process of receiving, recording/logging, appropriately processing and responding to and creating an audit trail of correspondence received. Correspondence management is part of the general process of enterprise information management, which includes document management, records management and workflow management.

What is Document Management?
Document management is the process of classifying, organizing, indexing, storing and retrieving documents. A "document" is taken to mean any piece of information, regardless of its medium and transmission modality, e.g. paper, electronic, audio and video files, and images.

What is Workflow?
Workflow is the automation of all or a part of a business process, in which documents, information or tasks are passed from one participant to another for action, according to a set of procedural rules.

What is Records Management?
Records include all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of the data in them. Record management is the process of identifying, maintaining, storing and disposing of records according to prescribed record-keeping requirements.

Build or Buy?
Some agencies are considering building a system from scratch; others are seeking integrated COTS solutions in the marketplace. In many cases, implementing CATXpress costs less than the annual maintenance of a custom-developed solution.

The answer is here. Our system is ready to go - no development - no delays!

CHECK OUT CATXPRESS TODAY!
If you need a comprehensive solution for your correspondence management, document management, workflow and records management requirements, call us for a free consultation and live, hands-on demonstration of CATXpress. 301-670-2300 or info@ains-inc.com. We guarantee that you will find it worthwhile.