a quick introduction to e-forms
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A Quick Introduction to E-Forms
Richard Medina, Doculabs
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Definition of E-Forms
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A technology solution for automating the collection,
storage and distribution of information, usually with
the objective of avoiding redundant manual data input
processes.
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Benefits of E-Forms
• Improved Service – Improved data accuracy
– Shorter turn-around window
– Reduced public burden
– Easier to use
– Self-service benefits
• Lower Costs – Retain look and feel of official forms
– Meet regulatory requirements for forms layout
– Eliminate forms printing, distribution, and inventory expenses
– Electronic filing is faster and more accurate
– Automated processing eliminates need for data re-keying/OCR
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Types of E-Forms
• Scanned paper forms
– Central storage of imaged forms; requires manual re-keying of data
• Scanned paper with data extraction
– Automated extraction and processing of data from paper forms fields
– Solution providers include ReadSoft, Kofax, EMC/Captiva, IBM/Datacap, Hyland/AnyDoc
• Web or application-based “online” forms
– Usually a custom-built interface to collect data
– Requires a server application behind the scenes
– Can provide high levels of customization
– Signatures require complicated mechanisms
– Nearly all vendors provide some level of capability
• Offline, “intelligent” and hybrid forms
– Adobe Acrobat PDFs, Microsoft Word
– Can preserve the look and feel of a familiar paper document
– Can provide security, validation, data collection, and hand-written signatures
– Solutions include Adobe LiveCycle, Adobe Acrobat, HP/Autonomy Cardiff, IBM Forms, MS InfoPath Form Services. MS InfoPath Client, PerfectForms, Formatta, and LincDoc
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Evolving Use of “Forms”
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Print, fill by hand,and mail or fax
Fill electronically, validate, print, and mail or fax
Pre-fill, validate, save file locally, digitally sign and submit electronically
Use dynamic pre-fill form or wizard interface, validate, save file locally, sign, submit, and manage process
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Use dynamic pre-fill form or wizard interface, validate, save file locally, sign and submit
Source: Adobe
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Web or Online Forms
Benefits Challenges
• Eliminates redundant data entry
• Easy to design
• Easily accessible
• No special client software
requirements
• Forms cannot be changed by users
• Forms can be signed through PIN,
password, and digital keys
• Secure through HTTPS
• Supports dynamic validation
• Requires a server-side application for the form to work
• Users have no record of completed form
• Does not support physical signatures
• Cannot visually represent a paper form
• Internet connectivity required
• Session-based (no permanence)
• Expensive to implement
• Some platform limitations (e.g., browser display issues)
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Intelligent, Offline, and Hybrid Forms
Benefits Challenges
• Eliminates redundant data entry
• Can exactly match the appearance
of a paper form counterpart
• Supports digital signatures, PINs
and passwords
• User retains copy of form
• Form can be completed offline
• Can participate in automated
workflows
• Can carry on-board data for later
extraction and processing
• Can be managed within ECM
applications
• Typically requires client plug-in or
other download (not just Acrobat!)
• Least familiar to users
• Requires specialized back office
applications and processes
• Compliance guarantees are still
unknown
• Greater infrastructure costs
• Can be difficult to implement
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General Requirements Categories for E-Forms
1. Electronic Form components
– Should store and offer form component reusability
– Should allow flexible metadata assignment capabilities
– Should support electronic signature options, including physical signatures
2. Legality of Electronic Form transactions
– Industry-dependent requirements
– Approved vendor status for partner transactions
3. Usability and Presentation
– Customization and interactivity options should be flexible
– Should provide customizable contextual help on-board
– Should include HTML, PDF, XML interfaces
4. Application
– Workflow capabilities should be robust and work with existing processes and systems
– Forms processing capabilities must include data extraction
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General Requirements Categories for E-Forms
5. Integration
– Compatible with database systems and ECM systems
– Leverage identity management systems
– Coexist with other forms processing systems for similar business processes (e.g., customer self-service)
– Mobile support
6. Technological environment
– XML language should be de facto transport
– Web environment should support standard web and application servers
– Development software for form creation should allow importation of forms as templates
7. Vendor
– Stability (financial performance, market presence)
– Focus on financial services (for RBC)
– Technical service and support
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A Deeper Look at Basic but Key Capabilities
1. Data Input and Capture
2. Data Extraction
3. Workflow
4. Design Templates and Rules
5. Online / Offline Rendering and Synchronization
6. Security and Authentication
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1. Data Input and Capture
• Objective: Make data entry more efficient and accurate
• Key Functions: – Data validation: use of “look-up” tables, character filters, etc. to encourage users
to provide accurate information
– Calculations: based on the input of one or more fields, generate other fields for validation
– Pick-from lists: a variety of different graphical approaches to accelerate user input
– Import: accept “cut and paste” or common delineated strings for input of lengthy tabular data
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2. Data Extraction
• Objective: Allow the recipient to quickly pull variable data from the form for downstream processing
• Key Functions:
– Format support: XML, text strings, etc.
– Error checking: validate the required fields before acceptance
– Batch processing: the ability to extract data from a series of forms automatically
– File and header packaging: retain the extracted data and the original document for archival into a repository
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3. Workflow
• Objective: design, automate and monitor a series of tasks that will be conducted within or upon receipt of a form
• Key Functions: – GUI design environment: draw simple flows “Visio Style”, assigning roles,
decision trees, tasks, etc.
– Processing rules: ability to code or input complex processing logic to be performed within or upon the form
– Activity monitoring: track workflow in progress, report on past activities
– Escalation: based on task incompletion or timing, route the form to another party
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4. Design Templates and Rules
• Objective: Lay out forms, including placement of logos, fonts, etc. and define processing logic required to ensure forms are “complete”
• Key Functions: – WYSIWYG editing: including previewing in HTML, PDF, etc.
– Template library: for reuse of forms or form components previously designed
– Revision control: to ensure the latest form is used
– Database integration: to dynamically call an external data source
– Testing: Provides an environment to test form templates, particularly those with callable sub-forms or embedded conditional components
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5. Online / Offline Rendering and Synchronization
• Objective: Ensure consistency in presentation and use when forms are used online and offline (including mobile use)
• Key Functions: – Format conversion: for various purposes, including HTML, Text, PDF, etc.
– Registration: to enable a form to notify a server of its state (to pass data or authenticate)
– Disable: when a form is discovered to be out of date, or under the control of an inappropriate user, the form is locked
– Reporting: collecting statistics on various forms in use and their status
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6. Security and Authentication
• Objective: Integrate electronic forms into corporate computing infrastructure
• Key Functions:
– Proprietary encryption: to ensure only authorized viewing / printing / forwarding
– LDAP support: directory services connectivity
– Application registration: services for use in web server environments
– Database security: connectivity to data stores
Thank You Richard Medina
312-953-9983 | http://www.richardmedinadoculabs.com/
http://www.linkedin.com/in/richmedinadoculabs
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