WO1998057293A1

WO1998057293A1 - Method for archiving and utilising documents

Info

Publication number: WO1998057293A1
Application number: PCT/EP1997/003040
Authority: WO
Inventors: Manfred Hueber
Original assignee: Manfred Hueber
Priority date: 1997-06-11
Filing date: 1997-06-11
Publication date: 1998-12-17
Also published as: EP0988616A1; AU3175497A

Abstract

The invention relates to a method for archiving and utilising documents. According to the invention, a document is obtained as early as possible. A document image representing said document is then stored in an archive memory. At this point, the document image is filed and cannot be modified. A data record which can be modified is allocated to the document image in the archive memory. During a processing operation concerning the document, the document image is retrieved, and a processing remark denoting the processing operation taking place is added to the modifiable data record. Each time the document image is retrieved, a screen representation of at least part of the document image and a representation of the processing status of the document are produced, based on the modifiable data record.

Description

Process for archiving and utilizing documents

description

The present invention relates to cross-domain use of databases and in particular to a method for archiving and utilizing documents.

Incoming or self-generated documents and information containing them are an important resource for the operational and strategic control of a company. The same includes data for processes in companies that are relevant to finance, profit or quantity. Consequently, the earliest possible information technology availability of document information is extremely important for a company.

Incoming receipts are receipts made of paper, such as B. incoming invoices, bank receipts, freight documents, etc., or receipts that are transmitted by means of external data processing systems in the form of computer files. Self-generated receipts are receipts that are obtained from your own business processes. Own operational processes are, for example, invoicing, payment transactions, production or inventory management processes, or also own documents made of paper, such as. B. travel expense reports and the like.

With the organizational means currently in use, such prompt availability of document data is not always ensured, for example for reasons relating to standard, work process, organizational structure or software, in particular for paper documents. Data acquisition and data storage processes of different user groups run consecutively in time or in parallel. The user groups often collect document data multiple times for the different applications with a corresponding error rate. A following document processing method, as can be found in many, if not essentially all, of today's companies, is briefly explained below in order to illustrate the existing shortcomings and problems which underlie the object and solution which are achieved by the present invention .

Consider the typical case where a company is sent an invoice for goods received. The invoice, which in this case is a paper document, is sent to the company's post office, where it is stamped with an incoming stamp and a consecutive document number. Subsequently, the invoice with an incoming stamp and document number is typically forwarded to invoice control, where it is supplemented by the goods receipt documents that have been checked beforehand and recorded in terms of quantity as part of a merchandise management program, and provided with a final control note. The recorded and checked invoice is now forwarded to the finance department for the payment reservation. This leaves the recorded, checked and intended invoice for the accounting department, which makes an account and booking note. The recorded, checked, earmarked and posted invoice is now sent back to the finance department, which initiates the payment when it is due and notes it on the invoice. The invoice with all processing notes can now be archived. The archiving must be audit-proof, that is to say unchangeable, if it is to comply with the storage and tax law.

In the simplest case, this will be done by storing it in a special file storage system. However, this approach is not practical for companies that have to process and store a large number of receipts, which is why the receipts are microfilled and provided with a special identifier to make them easier to find. Recently, however, there has been a tendency to replace microfilming with computer-aided electronic archiving, which is cheaper on the one hand and more practical in retrieving and retrieving the documents on the other. The document provided with the various processing notes is recorded by means of a scanning device, which is usually referred to as a scanner. The capture creates an image file that is stored in a file system and usually in a database. It is important that the generated file is made unchangeable, ie revision-proof, so that the document information, ie the document image reproduced on the screen, is recognized as a replacement for the physical document according to commercial and tax regulations. An image file created in this way is recognized by law as a replacement for the original document and allows the original document to be destroyed.

In contrast to previous filing methods using microfilming or simple filing, electronic document archiving dramatically reduces the space required for archiving, which lowers archiving costs, in particular due to the ever cheaper computer storage capacities.

A major disadvantage of the described method is that the document can only be accessed easily and quickly when it is stored at the end of its processing. Finding the individual document while it is being processed in the various departments is very time-consuming and therefore expensive. It is possible that in addition to each document, a record is kept of where it is located in a company. This bookkeeping is even essential, as it can happen that a customer inquires during document processing and wants to find out about a certain detail. The person who receives the request must be able to find the command again, which, however, can be cumbersome and expensive for the reasons described becomes. Furthermore, it is difficult and cumbersome to obtain an overview of, for example, invoices that have not yet been paid or credits that have not yet been paid if there are many and different documents in different processing stages or processing departments.

The object of the present invention is to present document-related processing information flexibly and efficiently as early as possible or to keep it available.

This object is achieved by a method for archiving and utilizing documents according to claim 1.

The present invention is based on the knowledge that, in contrast to known methods in which document archiving takes place predominantly at the end of document processing, the archiving should preferably be carried out immediately after receipt of the document in order to achieve the earliest possible and comprehensive utilization of the document information. According to the present invention, a receipt that has been received, for example, by post, is captured and preferably scanned immediately after opening the envelope in which it is located. The computer file received, which represents an image of the document, is then immediately stored in an archive memory in which the document image is unchangeable and thus stored in an audit-proof manner. Furthermore, a changeable data record, which can be designed as a text file or a document version, is assigned to the immutable document image. In the case of processing relating to the document, a processor accesses the original document image stored in the archive memory and inserts a processing note identifying the processing in the changeable data record assigned to the document image. Each time the document screen is called up, not only at least part of the document screen itself, but also the processing status relating to the document is displayed. displayed on a screen, for example due to the changeable data record. If the same document is called up again by another department, the same knowledge about previous processing due to the changeable data record is given. It should be pointed out that all users involved always access the same original archive document, which cannot be changed, but whose additionally assigned data record will contain information representing the processing status and optionally further status information.

In contrast to known methods, in which archiving takes place at the end of processing, the new method delivers by capturing a document at the earliest possible time, for example after opening an envelope, and by archiving a document image to which a changeable data record is directly and uniquely assigned , and by displaying at least a part of the original archive image of the document together with information contained in the changeable data record that relates to document processing, the decisive advantages mentioned below.

When a time-optimized and revision-proof document stored in the archive store is called up by a special user, the current processing status of a document can be read by each user. Document losses, double entry of documents, double payments and the like are thereby excluded. Furthermore, it is no longer necessary to handle, stamp or pass on the receipts in paper form.

Preferred embodiments of the present invention are described below with reference to the accompanying drawings.

A basic flow diagram of the method according to the invention is shown in the single FIG. In the single figure, a block 10 denotes the start of the method according to the invention. In a block 12 following block 10, a document, for example in paper form, is recorded. The detection is preferably carried out by means of a scanner which generates an image representation of the document in the form of an image file. However, the scanning of a document is not essential, since such an image representation in the form of an image file can also be generated, for example, by documents in a specific data format. This can e.g. B. happen by software-transmitted print files from other computer programs (for example, print files of bank statements or outgoing invoices from billing programs), which are electronically transferred to scanned blank forms and saved as an image file. It is also possible to read in and save data records from other user programs in the form of complete image files.

For the purposes of this application, the expression “image” therefore means that the image of a document to be recorded does not necessarily have to be present directly as an image, as is the case with a paper document, but that the image can also be present as a file, the visible one Image of such a file is the image that is created when such a file is printed out. However, it is not necessary to print out such a file first and then scan it in. The image file can be captured directly as a file in block 12 of the method according to the invention.

As already mentioned, the entry of a document preferably takes place at the earliest possible time. The earliest possible time is usually the time at which the paper receipt is removed from an envelope. The removal of the document from the envelope could therefore take place in block 10, which is marked with the beginning. However, it is obvious to those skilled in the art that it may be desirable to include a receipt as soon as the document is removed from an envelope. How to give a consecutive document number, which are then recorded together with the document when the document is scanned. With this option, the opening of the envelope and the affixing of the entry note and the consecutive document number would be carried out in block 10. When using powerful scanners, however, the scanner usually assigns the receipt and the consecutive document number automatically during the scanning process in block 12. With such a document entry, both the entry note and the consecutive document number are available on the one hand as a printout on the document and on the other hand as data records, which are later automatically transferred to blocks 16 and subsequent for further processing as field information (processing note).

It is also obvious to those skilled in the art that further processing operations can also be carried out manually before the document is entered. With each processing operation that is carried out manually and that is not accomplished by the method according to the invention, however, the efficiency of the method according to the invention drops and the susceptibility to errors increases, for example due to a loss of documents.

However, if the receipt is recorded in block 12 immediately upon receipt and stored in an archive memory in block 14, it is possible to destroy the receipt immediately after it has been recorded. There is then only storage of the document image in an unchangeable and thus revision-proof archive store, which can be provided with a wide variety of access authorizations, which implements a further advantage of the method according to the invention, namely that a document is only accessible to persons who have a special authorization to do so have.

In a block 16, the scanned document image is essentially automatically recognized by text using OCR (Optical Character Recognition) creates a text file or, if data records are imported from other IT systems, an existing text file is automatically read in and permanently assigned to the archived document image. Individual text elements of an archived document image are stored in individual data fields defined in terms of content, which in turn are combined into data field groups. The data obtained in this way are referred to below as document data. Data fields defined individually in terms of content are not only available for document data, but also for the processing and completion data explained elsewhere.

The field contents generated in a block 16 are then set in a block 18 in an equally structured and changeable text file and displayed as an image document. The data record thus created, consisting of an image and text file, is then stored in a buffer.

The field contents depicted in a block 18 are automatically and continuously stored in the workflow data memory for document and processing data in block 30, where appropriate after processing data from blocks 24 and 28 have been added, and are graphically represented there.

At the same time, the text and image files from block 18 in block 20 are assigned to the originally archived document image as a changeable data record. This changeable data record can also contain any other document files. The changeable data record is uniquely assigned to the document image in the archive store, for example by a document number or by a registration date or the like.

A decision block 22 determines whether more processing steps have to be carried out on a document than are documented in the changeable data record in block 20. The decision is made by an automatic Query of the field contents already stored in block 20 and the data stocks stored in block 24 triggered. If, for example, the name of the supplier is identified in field 20, for which block 24 the account assignment information stored there, the system automatically jumps back to block 20 and this account assignment information (e.g. vendor number, if necessary in connection with a cost element) is available and content-related there Defined data field of a field group saved. The process is repeated until all possible automatic processing of a document has been completed. The field data obtained in this way are referred to below as processing data. Depending on the user-defined data organization in blocks 20 and 24, a variety of other automatisms can be created.

In a decision block 26 it is determined whether further processing steps have to be carried out on a document than have been documented in the changeable data record in block 20. The decision is made by the processor who, in a step 28, calls up the original document image depicted in the archive memory together with the associated changeable data record, which usually consists of a text and image file. Typically, the processor of a work area will call up and process the document. If the processor determines, for example, that the field data available up to that point in block 20 contain errors, or that field data are missing or incomplete, the system jumps back to block 20 after the missing data in block 28 has been added or the incorrect data in block 28 have been corrected. The process is repeated until all necessary processing of a document has been completed. The data obtained in this way are referred to below as processing data.

In a step 32, the original document image mapped in the archive store, together with the assigned in The changeable data record, which usually consists of a text and image file, can be called up. Typically, the processor of a work area will call up and process the document. For each of the designated work areas, groups of document fields are provided that allow documentation of all necessary processing information (e.g. inbox, incoming goods inspection, invoice control, account assignment, payment, goods issue, invoicing, warehousing, etc.). Each of the aforementioned field groups also contains a data field which documents the final processing of the process documented in the field group. This data field automatically recognizes whether all other data fields in a group are filled and signals the final processing. This field group is saved as a processing note and the data processing thereby triggered is carried out by a command from the processor. The data generated in this way is referred to below as completion data. Such processing notes are now transmitted in the changeable data record, which is clearly assigned to the original document image, as a text and image file and stored there. Each time an original document image is called up, an image file representing the respective processing status is opened and displayed. As soon as the processor forwards the information of a final processing of a field group to the system, the processing status shown with the original image file is supplemented by the added processing note. The field contents of a respective field group are always shown as a processing note. It is therefore advantageous to display the individual field contents as a processing note, since the processing information of the other documents involved can also be seen on the basis of each document called up. For example, not only the payment-relevant information, but e.g. For example, account assignment, invoice verification or invoicing information for the paid receipts can also be read. Through a branches of the field information can also be called up further details up to the correspondence of the employees involved.

The processing status display can be an image and text display of standard information that the changeable data record already receives when the document is recorded. As already explained elsewhere, this standard information is grouped together for field groups for individual processing sections. The processing status shown with the original image file therefore also includes notes regarding previous processing, which are only supplemented by the documentation of the subsequent work steps. If no processing has been carried out, this can also be seen from the processing status display.

In a preferred exemplary embodiment of the invention, the changeable data record will be a document version which can consist of a copy of the original document image itself and the processing notes shown thereon in the form of fields and field groups. The changeable data record now contains not only processing notes but also a copy of the document image stored in the archive memory. As has already been mentioned several times, processing notes z. B. Incoming mail, incoming goods, outgoing goods, invoice control notes, payment notes, account assignment notes, manufacturing notes, development notes and the like. When a picture document stored in the archive program is called up by a special application that can not necessarily trigger a person but also another computer program, the current processing status of a document can be read by each user. Document losses, double entries, double payments and the like are thereby excluded.

The field contents shown in a block 32 become automatic, if necessary after completion of completion data and stored continuously in the workflow data memory for completion data in block 30 and represented graphically there.

The method according to the invention is ended by a block 36. Preferably, in block 36, which indicates the end of the method according to the invention, the changeable data record, which now contains all processing notes analogous to a processed document made of paper, is also stored unchangeably and thus in an audit-proof manner in the archive memory together with the archived document image. However, it is also possible to save the changeable data record separately from the document image, but using a pointer that points to the document image. Other implementations are obvious to those skilled in the art.

At this point it should be noted that a preferred exemplary embodiment of the present invention is shown in a company-oriented context. However, it is completely irrelevant for the method according to the present invention whether it is introduced in an operational context or in another context. The same will prove to be advantageous wherever archiving and utilization of documents of any kind is required.

In the following, special configurations of the method according to the invention are discussed which enable further useful effects which result from the fact that a document is preferably recorded at the earliest possible time and is provided with a changeable data record which is available at the time when information about a document is received be displayed together with at least part of the document image in order to make the information contained in a document usable in an optimal manner.

Known recording systems can be used when recording a document symbolized by block 12 in the single figure. Such known detection systems me can not only capture and index image documents for the most part fully automatically, but also convert them into text files. The conversion into text files can be done for a single document as a whole, but also for individual defined document sections or document windows. In this way, the contents of the individual document windows can be assigned to defined data fields. Such data fields, which are provided fully automatically with field contents from the document windows, are used for further processing and in particular for utilizing the document information. The changeable data record, which is assigned to the document image in block 16, will receive references or even text information of the document itself, such as. B. a file number, a date, invoice totals or the like. As already mentioned, all users involved use the same original archive document in the archive store. Due to the extensive automation of the recording processes and through test and control routines known to those skilled in the art, recording and transmission errors in the transmission of the recorded document and the associated coordination work are almost impossible.

In addition to the field contents generated during document data acquisition, which have just been displayed, new data is created during document data processing, which are assigned to further defined data fields. These further data are the processing notes addressed in blocks 20, 24, 28 and 32. A revision-proof and unchangeably archived document (block 14) is thus assigned several processing notes in any, but reasonable, sequence in the course of its processing process. However, the revision-proof and unchangeably archived document already receives its first processing note during the archiving or entry process itself (block 12, block 14). For example, in the case of an incoming invoice from a post office, the date of archiving, the chronological consecutive document number and the checksum a stack of documents or the abbreviation of a processor noted in the changeable data record created. If a goods receipt or other details of the invoice are checked, as was stated at the beginning, the changeable data record is supplemented by further test notes. The changeable data record of a revision-proof and unchangeable document therefore provides information about the processing status at any desired time. In the case of methods according to the prior art, this was only possible due to considerable additional effort, which is very susceptible to errors, since information relating to the document to be processed by computer was only available at the end of processing thereof, where the processing of the document had already been completed, ie where the document had already been archived was.

A database-like processing, which can be implemented in any way by means of the assigned changeable data record, enables a management, for example, to collect any statistical information about document processing processes in a wide variety of departments, in order to identify and react to certain bottlenecks or bottlenecks in processing.

Furthermore, using modern information processing techniques, it is possible to automatically fill in insufficiently filled out documents using global search criteria that access the changeable data record if there is a certain information redundancy. If, for example, the account number of a regular customer has been forgotten on a receipt or is illegible, it will be possible to use this receipt, which contains the correct and legible account number of the customer, to enter this account number on the incomplete receipt that has just been processed. Furthermore, the changeable data record makes it possible to automate document assignment and other aspects. For example, a customer or supplier name read in the archived document can be recognized and automatically a creditor, customer or account number stored be assigned.

By means of the changeable data record and the document entry already at the beginning of the document processing and by accessing a document, whereby at least part of the document image and a processing status representation relating to the document are generated on the basis of the changeable data record, it is also possible to have a continuous, chronological and ensure complete document entry. This ensures a seamless connection to a sequence of numbers previously stored in the archiving system. Flawless document capture is ensured by various known checksum methods.

As has already been mentioned earlier, the processing notes in the changeable data record are also stored in an unchangeable archive form after the completed document processing. With the order for document storage, those data fields are archived that are affected by the final processing step of a user group. The data fields of the processing steps that have not yet been completed remain changeable until a final processing note is also documented here by the document filing order. If the processing notes are stored in document versions, the entire document history is deleted with the order for document storage, so that only the final documentation status with all the final processing notes remains as a document version in the archive store.

Another important advantage of the present invention is that the changeable data record, which is uniquely assigned to a document, can also be used to create a link between different documents. For a document, the content of which relates to data from another document, so-called "connections" are established. For these purposes, the referenced document must be be communicated. The text line fields used for the referenced document are transferred to the fields of the same name in the new document. For example, a delivery note or goods issue note is typically related to an invoice. With the method according to the present invention, it is possible to append or link the entire changeable data record of the invoice document to the changeable data record of the goods issue document, and vice versa. This makes it possible to obtain information from one document that relates to the other at a glance with two related documents.

Of course, it is also possible to distribute mutually changeable data records of several documents that relate to one another in such a way that each document from the group of documents that relate to one another has all the corresponding information. The purpose of the measure to duplicate and keep data redundant is that, from the local point of view of a single document, the entire process of processing the associated process can be viewed. As an example, a delivery was imported and archived. Payment is received. The functionality of the payment reference is created on the delivery, while the associated delivery is "printed" on the payment. The goods receipt creates an entry note. With this, the delivery information is imported. The goods receipt note is attached to the delivery text. The incoming payment, d. H. the changeable data record of the incoming payment document is also added to the entry note for the goods, i.e. H. supplemented by at least part of the changeable data record of the receipt.

In summary, it should be noted that all processing notes can be found in changeable data records, which are assigned to document images that were initially stored in an archive memory. The document according to the invention can be used to access these document images and the changeable data records that are assigned to them. can be accessed, whereby at least part of the document image and processing note can be displayed on the basis of the changeable data record. A changeable data record also contains data fields of all the documents involved. A payment transaction is therefore noted both on the bank statement and on the outgoing or incoming invoice. A document called up from the archive program thus shows the absolutely current status of the processing for each viewer. Every extension of the processing status is added to all the documents involved immediately after the work is completed and is visible when the document is called up again. One way to document the processing status is to provide statistical information about processing phases. Another option is to use so-called version numbers. Each file, which consists of the document image file and the changeable data record, is identified by a unique version number. If the changeable data record is changed, the resulting file is given a different version number. Another document is thus created for each processing step (blocks 20, 24, 28, 32). However, in order not to unnecessarily burden the document inventory, the history, ie all image documents preceding the final edited document, can be automatically deleted.

The method according to the invention thus provides, in addition to secure and extremely low error-prone document entry and archiving by using an associated changeable data record, any diversification of the processing status or processing dynamics in a company or other facility, as well as a possibility for scheduling, monitoring and controlling various processing processes.

Claims

claims

Procedure for archiving and utilizing documents with the following steps:

Capturing a document (12);

Storing a document image representing the document in an archive store in which the document image is stored in an unchangeable manner (14);

Assigning a changeable data record to the document image (20);

in the case of processing relating to the document, calling up the document image and introducing a processing note identifying the processing into the changeable data record (32), a screen display of at least a part of the document image and a processing status representation relating to the document being generated on the basis of the changeable data record each time the document image is called up .

The method of claim 1, wherein the changeable record is a text file.

The method of claim 1, wherein the changeable record is a document version that is similar to the document image.

Method according to one of the preceding claims, in which the step of assigning (20) is carried out essentially simultaneously with the step of storing (14), the changeable data record already receiving standard notes before individual document processing, by means of which a document can be clearly identified.

5. The method according to any one of the preceding claims, in which in the step of calling and bringing in several document images can be called, all of which have a certain property.

6. The method according to claim 5, wherein the determined property is a processing status.

7. The method as claimed in one of the preceding claims, in which, based on information or processing notes of two documents contained in the changeable data records, the same can be linked taking into account previously defined criteria.

8. The method according to any one of claims 4 to 7, wherein the standard notes in the changeable data record of a document currently being processed are determined as a function of the standard notes of a previously processed document.

9. The method according to any one of the preceding claims, in which at least part of the changeable data record is stored together with its document image in the unchangeable archive after completion of a corresponding processing.

10. The method according to any one of the preceding claims, in which in the step of capturing individual information contained in the document are extracted and noted for later access in the changeable data record, thereby utilizing information redundancy in one document or several documents of the same category incomplete information can be determined by accessing and processing the changeable data record of the one document or changeable data records of the several documents.

11. The method according to any one of the preceding claims, wherein a document refers to another document, the method further comprising the step of:

Entering (24, 28) the information from one document into the changeable data record of the other document and vice versa, as a result of which all the processing information relevant to a document is present in the changeable data record.

12. The method according to claim 11, wherein if a processing note is entered in the changeable data record of the one document, this processing note is subsequently entered in the changeable data record of the other document, whereby data records of related documents are continuously updated (24, 28, 30 ).

13. The method according to any one of the preceding claims, wherein the step of entering comprises scanning a receipt.