Mastering Document Management Workflow: A Comprehensive Guide

The average enterprise deals with various types of documents daily, many of which move between different departments, or even different organizations. For efficient document management, a business must define a document management workflow. Like any other workflow, a document workflow streamlines the flow of information, removes obstacles, and prevents issues.

This article is a detailed guide on document management workflows. We’ll focus on the benefits, explain how these workflows can be implemented, and explore use cases in different industries.

Understanding Document Management Workflow

A document management workflow defines the flow of documents within an organization, from creation to disposal. It governs how a document will be created, managed, accessed, categorized, stored, edited, shared, archived, and deleted. It provides guidelines for each stage of the document, covering its entire lifecycle.

A typical document management workflow includes guidelines on the following:

• Document creation: Creating documents using specific tools and methods
• Document storage: Storing documents in a secure and accessible manner
• Document retrieval: Retrieving and accessing documents from their storage
• Document sharing: Sharing documents within and outside the organization
• Document archiving and disposal: Storing/archiving documents for long-term storage or disposing of them

Throughout the document workflow, an organization may use multiple tools to automate the individual tasks within the workflow. MST’s solutions improves efficiency at different stages of the workflow. For instance, the Batch Converter can convert documents into specific file types at the creation and archival stages. Similarly, the eViewer enables secure retrieval, creation and modification, and sharing of documents with authorized personnel.

Benefits of a Robust Document Management Workflow

Document management workflows bring order, clarity, transparency, and accountability into operations involving documents. Here are the main benefits of developing a document workflow:

• Improved efficiency and productivity: The average worker spends hours each day looking for information, including documents. That’s productivity loss, which can be prevented with effective document management and workflow automation. With a properly defined flow of documentation, workers would know where to obtain a file from or where to place it after creating it.
• Enhanced collaboration and communication: Modern enterprises rely on clear communication and collaboration between teams and departments. Documents play a crucial role in collaboration. Document management workflows make it easier for employees to share information and collaborate on documents, reducing potential communication bottlenecks.
• Better compliance and security: Document management workflow also dictates information access, ensuring that documents are handled according to regulations and are secure. If any documents contain personally identifiable information, they may be required to comply with data privacy and protection regulations. Proper document management ensures that no unauthorized personnel can access documents throughout the workflow.
• Reduced operational costs: Thanks to document management workflow automation, companies can minimize costs related to document handling. For starters, paper-based documents within the workflow can be digitized. Similarly, they can reduce the human resources required to manage files.
• Improved data integrity and accuracy: A well-defined document management workflow also ensures that documents are accurate and reliable. Thanks to secure access and monitoring, documents can’t be tampered with. Similarly, document management workflows may involve version control, which can help restore a document back to its original form.

Key Elements of an Effective Document Management Workflow

A well-structured document management workflow is essential for efficient operations and compliance. It ensures that documents are easily accessible, organized, and secure. Here are some key elements that make up a document management workflow:

• Centralized document repository: A centralized repository serves as a single, accessible location for all documents within an organization. This eliminates the need to search multiple systems, saving time and reducing the risk of document loss. This repository may be on-premise, cloud-based, or hybrid. Businesses with various locations can benefit from a cloud-based repository that can be accessed from anywhere.
• Automated workflow processes: Automation streamlines document management processes, reducing manual tasks and errors. Organizations can increase efficiency and productivity by automating routing, approvals, and notifications. This typically involves a workflow management tool and other communication or collaboration tools.
• Role-based access control: Role-based access control, or RBAC, ensures that only authorized personnel can access and modify documents. This helps protect sensitive information and maintain data integrity. In other words, the document management workflow is based on roles. Users only have access to the information they need to perform their jobs.
• Version control and tracking: Version control and tracking are essential for managing document changes and maintaining a historical record. It helps identify and resolve conflicts and track document evolution over time. Multiple users can work on the same document simultaneously, and any changes can be tracked and audited. Similarly, accidental overwriting can be prevented.
• Integration with other business systems: Integrating document management with other business systems, such as CRM, like Salesforce, or ERP, can streamline workflows, improve data accuracy, and achieve business goals faster. This allows for seamless information transfer between systems, eliminating manual data entry and reducing errors. More importantly, information can be synchronized across systems.

Steps to Implement a Document Management Workflow

Now that you understand what document workflow is and why it’s essential, it’s time to cover how you can implement it across your organization.

Assess Current Document Management Practices

Conduct a thorough assessment of the existing workflows involving documents. For instance, a document imaging workflow may involve scanning physical documents and saving them as digital files. List these various workflows and the stakeholders responsible for them, as this information will essentially define the larger document management workflow.

Set Objectives and Goals

Define what you plan to achieve with the document management system workflow. What pain points are you addressing? What problems are you resolving? How much productivity increase do you expect? The answers to these questions will also help you gauge the impact of your efforts later on.

Choose the Enterprise Content Management (ECM)

While various tools enable document workflows, a Document Management System (DMS), or Enterprise Content Management (ECM), will be your primary tool. ECM and DMS systems are designed to store, organize, manage, and secure electronic documents.

When selecting an ECM or DMS, it’s crucial to consider your business’s specific needs and requirements. Here are the key considerations:

• Scalability: Ensure the ECM or DMS can accommodate your organization’s growth and increasing document volumes.
• Security: Look for robust security features, including encryption, access controls, and disaster recovery plans.
• Integration Capabilities: The ECM or DMS should seamlessly integrate with other business systems, such as CRM, ERP, HR, and other third-party softwares.
• User-Friendliness: A user-friendly interface will enhance adoption and productivity.
• Search and Retrieval: Efficient search capabilities are essential for quickly locating documents.
• Workflow Automation: The ECM or DMS should support automated workflows to streamline processes and reduce manual tasks.
• Compliance: Verify if the ECM or DMS meets industry-specific compliance standards (e.g., HIPAA, GDPR).
• Cost: Consider the initial cost, ongoing maintenance fees, and potential cost savings from increased efficiency.

Some of the most popular ECM or DMSs include Microsoft SharePoint, IBM FileNet, OpenText Documentum, and Hyland Alfresco. There are also proprietary ECM and DMSs designed for specific industries, such as healthcare.

Design the Workflow

Once you’ve selected the right tools, proceed with defining the workflow for the document management system. Map out the various document-centric workflows within the organization, defining roles and responsibilities at each stage. RBAC may be used based on the hierarchy of the role within the organization.

For instance, in a software development company, the software documentation workflow may involve technical writers collaborating with developers and testers, with the final documentation going for review and approval to the project manager. This workflow can be defined and implemented based on the stakeholders involved and the tools used.

Training and Onboarding

Whether you’re using a dedicated workflow management tool or just a DMS, it’s imperative to provide training to your employees. Anyone using document management workflow software should understand its importance and how to leverage it for their specific job.

In addition, conduct knowledge workshops on the best practices for document management and workflow automation. All stakeholders within the organization should understand the importance of document management and how it impacts productivity, security, and efficiency.

Monitoring and Continuous Improvement

Continuously monitor and track the efficiency of your document management workflow. You can review metrics related to the document-specific workflows. For example, you can measure turnaround time for documents requiring review or approval. Another frequently used metric is workflow cycle time, which measures time spent in each workflow stage. These metrics will help you find areas of improvement and optimize the workflow even more.

Best Practices for Document Management Workflow

Here are tried and tested best practices for maximizing the efficiency in workflow for document management systems:

• Standardizing document formats and naming conventions: Designate file formats (for example, PDF, DOC, TIFF, etc.) for specific document types or workflows. Similarly, create an easy-to-use naming convention for documents to be used organization-wide. This can help eliminate compatibility problems using tools and make files easily searchable.
• Ensuring regular backups and disaster recovery plans: Create a backup policy, ideally implemented automatically, which ensures all documents are recoverable in case of a cyber-attack or loss.
• Implementing robust security measures: Document access and usage should comply with internal security and data protection policies and applicable regulations. This can be implemented manually and through tools that automate compliance with various regulations. For instance, MST’s eViewer complies with various data privacy regulations like HIPAA, CCPA, and GDPR.
• Use the latest technologies to optimize workflows: Keep document workflows efficient and up-to-date with new technologies. Whether sorting, accessing, editing, or collaborating on documents, utilize the best tools for document workflow automation. For instance, MST’s eViewer makes it easier for teams to collaborate on a document in real time with annotations and comments. Even if the collaborators are working remotely, they can work on the document simultaneously. Also, all the changes and interactions are recorded for accountability.

Use Cases Document Management Workflow

The exact document management workflows can vary based on industry. Here are some use cases in industries that heavily rely on documents in their day-to-day operations:

Legal

In law firms, document management workflows streamline case management, track evidence, and ensure compliance with legal regulations. This includes automating tasks like document collection, review, and production and managing client communications and billing.

Insurance

Insurance companies can leverage document workflows to handle claims processing, policy management, and underwriting. They can benefit from automating tasks like document capture, data extraction, and routing. However, their document workflows must comply with data privacy regulations, such as HIPAA.

Finance

Financial institutions can use document management workflows to improve operational efficiency, reduce risk, and enhance compliance. Their document workflows are internal and external. In the latter case, the documents may originate from partners or customers.

Healthcare

Document workflows in healthcare companies can improve patient care, enhance compliance with regulations like HIPAA, and streamline administrative tasks. From collecting patient information forms to bills for services, healthcare facilities can benefit from adequately defined document flows with roles and responsibilities.

Manufacturing

In manufacturing, various workflows may involve documents. For example, equipment maintenance may use checklists. The proper designation of file types, roles, and access authority can streamline any and all document-related workflows. Most importantly, document management workflow can reduce bottlenecks in different operations.

Challenges in Document Management Workflow

Document management can be quite complex, particularly in large enterprises. Here are some of the common challenges you may face:

• Mishandling: Despite having a defined workflow and the right tools, problems can occur due to human errors. For example, an employee may fail to adhere to the workflow guidelines (not using the correct format, naming convention or providing access to unauthorized persons). Automated checks on document format, names, and conditions of use can prevent such errors.
• Versioning issues: Mistakes can occur when dealing with various versions of the same document. Manual management of different document versions is tedious and prone to errors. Use solutions with built-in version control systems that make it easy to access a previous version.
• Adapting to changes: Businesses are quickly evolving and pivoting their strategies to compete and get ahead. That can translate into changes in business operations, which, in turn, may affect document workflows. Monitoring and updating the document management workflow is necessary to ensure it’s aligned with business goals.
• Accountability: Tasks conducted on or with documents should be traceable to users. Without logs about access or modification, there’s no accountability. Utilize tools that make it easier to trace who did what to the document and when.
• Outdated Policies: Document workflows are based on document management policies, which some companies fail to update. Any document-related policy should be revisited annually and revised to accommodate new and developing business needs and tools.

MST’s Role in Document Management Workflow

MST offers tools designed to streamline the different stages in document workflows and enhance efficiency. MST’s eViewer, the leading enterprise document-viewing tool, provides features commonly used in document processing. The Batch Converter, an SDK Kit, simplifies integration with existing systems and enables batch conversion of documents in various formats to PDF or TIFF.

MST’s solutions complement document workflow automation in several ways:

• Document capture: OCR technology can convert physical or image (TIFF) documents into editable, searchable PDF files.
• Standardizing document formats and naming conventions: Single or batch files can be converted to the desired format, ensuring standardization and naming convention consistency with organization and workflow requirements.
• Collaboration: Users can communicate and collaborate on documents directly within the eViewer by adding annotations and comments.
• eSign: Documents can be signed and approved quickly using digital signature capabilities.
• Editing and redaction: Information in documents of various formats can be edited, manipulated, and redacted.
• Forms: Easily extract form data from PDF files and import them into other applications, increasing productivity and reducing data entry errors.
• API integration: MST’s solutions can seamlessly integrate with enterprise content management systems like Alfresco and IBM ECM suites through exposed APIs.

Conclusion

Document management workflow is a superset of all the document-related workflows within the organization. It streamlines the different phases in a document’s lifecycle, defining how, when, and by whom it is to be used.

A traditional workflow management suite, more specifically a document management system, can be used to define this particular workflow and its smaller workflows. These document workflows can benefit significantly from automation, so efficient tools for creating, editing, viewing, and sharing files are highly recommended.

MST’s solutions can assist with several document management workflows, including standardized formats, collaboration, and paper digitization. It can complement your existing systems with APIs and integrate seamlessly.

Contact MST and begin your enterprise’s journey to optimize document workflows!