Document Management: What You Don't Know Will Hurt You

Today individuals and companies have access to more information than at any time in history. Managed well, this information can help a business to prosper; however, managed poorly, information can drain a company's productivity, increase its exposure to risk and waste expensive resources.

Getting a handle on the vast and ever-growing world of information is no small task. Managing document repositories, process workflows and controlling retention are just a few of the tasks facing modern companies. Undertaking this complex challenge requires a comprehensive approach for managing your information and the ability to let go of outdated assumptions and procedures.

Let's consider the documents themselves. According to Al Morris, document management consultant, when we talk about “documents” we're including email, internal forms, external forms, letters, contracts, computer reports and other media sources such as voice mail, teleconferences and even video conferencing. Managing how these documents/information are proliferated and utilized presents unique challenges. “One common problem centers on making sure all company employees are using up-to-date processes for a given task,” says Morris. “This is where web-based technology can prove very helpful,” he adds. For example, he recommends companies consider establishing their policy and procedure documentation and related forms and reports in a common company intranet strategy (web site). “That way, employees are always assured of using only the most current (and therefore, accurate) version of a company document. “There's only one copy to worry about with this approach,” he explains. “And when it's expired, it can be replaced, deleted or archived as the policy dictates.

Document management also incorporates “process issues.” According to Morris, a business must not only concern itself with the creation of its documents, but also with how they are used and their demise. “Let's use the example of email,” he explains. “An email is created by an employee who is on a company PC attached to a system server which performs a nightly back-up. The email is sent to a recipient, perhaps on a different system server and at a different company via an email service provider. The second system server and the email service provider also create nightly backups which are held on tape for thirty days. The email recipient receives, reads, forwards a copy to a friend and then saves his email. Is it printed and filed? How many times? Is it copied onto a hard drive? How many times? Now add an attachments to the email in the above scenario” In short, a “private” document may not be as private (or as secure) as you'd like to think. While a document is “out in the world” it can undergo a major metamorphosis: Comments written by an interviewer in the margin of a job applicant's application, copies of contracts, even preprinted slogans on a company letterhead or verbiage on a forms can make statements that protect a company or expand its vulnerability.

Equally important is the matter of document retention. Observes Morris,” The time people and companies are the most interested in document management is when the possibility of litigation exists. Every company should be interested in document management up front.” It's not just a matter of “electronic filing” of forms, “You need to have the information linked to document management systems and your database(s) systems in a meaningful way. You must have a methodology for retrieving this information for reporting as and when needed,” he adds.

All documents have a retention period. “It's necessary to keep documents long enough, but not over what's legally necessary,” advises Morris. That's easier said than done, with regulatory agencies that can demand the retention of documents for up to 40 years. That's where electronic document management systems offer some real pluses. Not only do they eliminate the vast amount of warehouse space that years of physical documents can require, but they also offer some real safeguards for companies. “Once a document is stored in its repository as final, it doesn't change. And with search engines, the problem of misfiled or lost documents can be greatly reduced if not eliminated. “If you're wanting to review a completed and finalized contract from a year ago, you don't have to hope someone kept a hard copy or filed it in the right place. It's there,” explains Morris.

So how does a company address such a far-reaching and complex issue? This is where the “management” aspect comes into play. “A company needs a standard process for forms and document management,” says Morris. “It also needs designated staff to manage the process and its related document repository(s).” He adds that companies often utilize the services of a Registered Health Information Technician, certified by the American Health Information Management Association. This person, professionally credentialed by the state, keeps up with the legal regulations affecting document creation and retention. “By being able to define the legally required retention period for a document, this person will be critical to allowing for the deletion of documents thus managing the repository(s),” says Morris.

Document management is not just a good idea; it's a significant cost saver as well, according to Morris. “It's not uncommon for a company to use 500 of more unique forms with a larger number of documents defining procedures. When you consider the cost of printing, storing, and managing physical documents, it can be extremely significant,” he says. What's more, if the documents represent duplicated effort or outdated information, the drain on staff productivity can also place a major burden and/or risk on a company's resources.

But just as the challenges surrounding document management are complex, so are the solutions. “Determining the best approach to document management must take into account its affect as part of the overall infrastructure of a company,” explains Morris. Even beyond deciding whether a system will employ client server and/or mainframe technology, a comprehensive approach must be incorporated into plans for disaster recovery and protecting the company documents as an infrastructure asset.

All right, document management is a good idea. Businesses have known it for years. And healthcare is beginning to seriously embrace this philosophy. How do you get started? Morris advises companies to start the process with high-access forms and documented procedures in order to realize the greatest impact and return for their efforts. “You have to talk with the people using the forms and processes.” It sounds obvious, but you'd be surprised how many companies forgo this step. “Sit down with that person who uses a form and its related documentation everyday. Let them explain the steps they follow.” Morris stresses it not good enough to verify the information on a form is correct, but that the processes are really working. “You have to ask: ‘What do you do with this data? Why are you doing this step? Where does this information come from? The result of your effort will be you will often find steps that have “always been there” but you don't need in today's environment. You will be surprised with the number of forms and documents that are filled out, only to be filed and later thrown away,” he says.

The importance of document management, according to Morris, is only likely to intensify. “There's an astounding amount of information available to us today and the future will bring even more need to integrate, use and manage this information. Conference calls, video calls, phone messages, all mechanical devices with back-ups will eventually be filed. Whether we're using CDs, memory sticks, chips, or however the technology evolves, companies will have more information to manage.”

The task is formidable, but essential. Concludes Morris: “Document management is a concept that must move forward for companies to survive. Companies cannot continue to use systems that served them in the fifties and sixties. You must begin to utilize today's technology. You cannot keep proliferating paper and survive. You must understand and improve your process flows and adopt sound practices for document management, retention and its related controls. In today's document management environment, if you're standing still you are really moving backwards and you will be left behind.”