A Quick Introduction to E-Forms

A Quick Introduction to E-Forms

Richard Medina, Doculabs

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© Doculabs , Inc . 2013

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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© Doculabs , Inc . 2013 5

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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© Doculabs , Inc . 2013

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

http://www.richardmedinadoculabs.com/

http://www.linkedin.com/in/richmedinadoculabs

A Quick Introduction to E-Forms

Technology