White Paper


An Integrated COTS Solution for
Enterprise Correspondence Management





AINS, Inc.
1355 Piccard Drive
Rockville, MD 20550
Phone: (301) 670-2300
Fax: (301) 670-2841

info@ains-inc.com
CATXpress.com
ains-inc.com





June 2006













An Integrated COTS Solution for Correspondence Management


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PROBLEM: OUTDATED, INEFFICIENT CORRESPONDENCE MANAGEMENT SYSTEMS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.

SOLUTION:


THE PREMIER COTS SOLUTION FOR ENTERPRISE CORRESPONDENCE MANAGEMENT

CATXpress, developed by AINS, Inc. of Rockville, MD USA to help agencies manage correspondence. CATXpress uses electronic folders and the flexible workflows for processing actionable correspondence. CATXpress allows assignment and routing of documents throughout the organization. With CATXpress, all journal entries, original correspondence, drafts, response documents and related history are incorporated into a single folder for easy and efficient retrieval.

 


Figure 1 lists some of the many easy-to-use features and functions of CATXpress required by government and industry.





Additional Key Features

The CATXpress provides a standard, web-based platform that can be adapted to electronic document management platforms from most manufacturers.

Functions and features are designed to support enterprise correspondence processes to:

  • 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 or MS SQL Server.

The architecture provides a broad array of out-of-the box and configurable features, as summarized in Figure 4.

Figure 4. CATXpress Capabilities based on Flexible Open Architecture

CATXpress is a true COTS solution with open architecture, supporting Oracle or SQL Server as the RDMS.

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Secure Web-based workflow tracking and management system with identification and authentication

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Ability to adjust responsibilities and security based on workflows

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Electronic/digital signatures for clearance and for final signature

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Extensive Web-based searching and reporting capabilities, including ad hoc capabilities that include Boolean, relational, range, wild card, and null searches

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Digital imaging and optical character recognition (OCR) of all new paper documents

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Provides the capability to submit documents for clearance; review response documents, and send documents for signature

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Electronically clear and digitally sign documents

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Allows users to track, review, respond and assign correspondence

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System Administrators and Database Administrators add new users and sets user permissions; delete users; set system defaults; maintain selection lists; archive selection values; create /modify workflow rules; and monitor user access, audit trails, system metrics, and system operations

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System provides Web-based system access for all functions other than scanning

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Applications support multiple workflow users

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Supports individual and batch scanning and rescanning, and image enhancements with ScanXpress (optional AINS professional batch scanning system)

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Can be configured to OCR and index new documents images as they are scanned and imported

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 Allows users to easily access, save, and send many file types within the workflow, including: Microsoft Word, Corel/WordPerfect, Excel, PowerPoint, Microsoft Outlook e-mail, Tag Image File Format (TIFF), Portable Document Format (PDF), and Joint Photographic Experts Group (JPEG)

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Ability to customize workflows and staff assignments by organization

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The Web user interface provides 128-bit encryption and be PKI-enabled and the website uses SSL

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Password construction is flexible enough to easily adhere to agency password policy

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Passwords will be encrypted when in storage and in transmission

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The system automatically assigns a unique, user-visible folder control number as soon as a new document is scanned or imported (CATXpress provides the flexibility to configure control numbers out of the box)

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Automatically scans for similar or duplicate requests preventing users from entering duplicate documents

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Has built in error detection capabilities to help users avoid common data entry mistakes.

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Built in capability to tailor data entry and selection lists to accommodate different types of documents

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Comprehensive correspondent database

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Allows different levels and types of approvals

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Different security level supporting viewers or contributors

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Built in Productive and performance Metrics Reporting and Ad-hoc reporting capability with wild card searches and with automatic generation of key reports such as overdue tasks

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Search by folder information including correspondents and dates

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Enable users to easily access cross-referenced documents

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Provide rules-driven workflow specific to each office to handle multiple document folder types

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Automatically calculate and assign work item due dates based on pre-defined rules specific to that type of document.

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Automated collection of routing events for folder history

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E-mail auto-notification on inbox delivery, near or overdue, and unopened folders/tasks

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Allows authorized users to override system-generated due dates and pre-defined workflow.

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Allows authorized users to route document folders ad hoc (outside and in addition to the pre-defined workflow), displaying only the routing options available to that user for that document folder type

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Allows users to access only those document folders, documents, and data to which they have been given access and provide authorized user to change/replace existing assignment

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Allows users to grant proxy rights to another user or group who has equal privileges

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The system is Section 508 Compliant

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THE BOTTOM LINE

The bottom line is as much defined by efficient use of resources as it is by achieving revenue and profitability. That's why it's critical for every person in an organization to focus on their primary functions, not the everyday, manual tasks that take up precious time and rob them of efficiency. These are better handled by automated processes, which play a significant role in defining an agencies ability to be competitive, productive and efficient. CATXpress provides many opportunities for increased efficiency and productivity:

  • 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.






AINS, Inc.
1355 piccard Drive, Suite 300
Rockville, Maryland 20850
Phone : 301-670-2300
Fax : 301-670-2841