HR e-Records Project

The Case for Change…

• Need to review every employee file (content & organization)

• Need for easy, quick, and appropriate access• Need to maintain file integrity/security (audit)• Need to manipulate file information• Need for space

Key Findings of Paper Elimination

• Paper processes hinder productivity and increase cost.

• Paper negatively impacts security and trust• Digital is key to attracting new talent and going

green. • Digitalization allows you to save money and be

more efficient• Digitalization is easier to file documents, manage

documents, and simplifies work.

The Cost of Handling Paper• According to Gartner Research, documents:– Cost about $20 each to file – Are copied, either physically or electronically, on average

10 times at a cost of about $18 each time– Cost about $120 each to retrieve if misfiled

• Additionally, it costs about $250 to reproduce a paper document (text, graphics, photos, layout). – The average typing speed of the business user is < 50

words per minute)• In the end, 7.5% of all paper documents get

lost altogether. • Re-creation costs: inestimable.

Positives/Negatives of Paper

Positives of PaperNecessary for my job

Allows me to be a thorough editor

Allows me to locate files

Allows me to be more productive

Negatives of paperRisk of loosing paper filesLimited space to keep paperHarmful to the environmentCost of using paper is highCreates more work for meHard to locate paper files

Source: Adobe Survey

“Miss Farber, would you please tell me what this piece of paper is doing on my desk?”

The Setup…

• Use Banner Xtender/BDMS for data integrity and integration

• Quickly learn about Xtender process• Establish data categories & levels

(application/group/document)• Sort files• Scan documents• Index scanned images

Data Categories and Levels

Group Document List Access

All HR Staff HRPA; HRSP; HRLR; HRPY; HREM; HRTD; HRMI

Benefits HRPA; HRSP; HRLR; HRPY; HREM; HRTD; HRMI; HRBE; HRCM

Employee Relations

HRPA; HRSP; HRLR; HRPY; HREM; HRTD; HRMI; HRPM; HRCO

Employment HRPA; HRSP; HRLR; HRPY; HREM; HRTD; HRMI; HRRF; HRCB; HREQ

HRBE-BenefitsHRCB-Criminal Background ChecksHRCM-Confidential MedicalHRCO-Confidential Medical OtherHREM-EmploymentHREQ - Equity DocumentsHRLR-Leave RecordsHRMI-HR MiscellaneousHRPA-Personnel ActionsHRPM-Performance ManagementHRPY-PayrollHRRF-ReferencesHRRR-Requests for Personnel RecordsHRSP-Separation/TerminationHRTD-Training and Development

HR Groups for B-H-EMPLDocument Menu

Document Detail…HRBE-Benefits403(b)457(B)Benefit Deduction FormsDepartment of TreasuryNC-401KNon-Medical Leave of Absence DocumentsRetirement formsShut Down DeductionsVerification of State Employment

HRCB-Criminal Background ChecksBackground Check AutoCBC Documents

HRCM-Confidential MedicalApplications for Disability BenefitsBenefit Enrollment Forms (Life, Medical, Vision, NC Flex, etc.)Change in Benefits Forms (any benefits)Employee Request for Maternity LeaveFamily and Medical Leave InformationI-94Leave Donations ReceivedMedical CertificationP-46-A (FMLA Form)P-48 (Leave Donations Received)Physician NotesRetirement Form (if retiring due to disability)Termination Form

HRCO-Confidential Medical OtherConfidential CDL Drug Screening DocumentsDisability Reasonable Accommodation DocumentsEAP ReferralsFit for Duty Documentation

HREQ - Equity DocumentsP-16 (EEOC Applicant Referral Report)

Document Detail…HREM-EmploymentAcceptance LetterAcceptance of Offer LetterAdditional Duties Confirmation LetterAdministrative Stipend LettersApplication/Resume/CV (ECU and/or State Applications)Casual Employment FormChecklist for Extension of Employment OfferConfidentiality StatementConflict of InterestContracts (DE, Fixed Term, Summer, Supplemental, Tenure Track, Temporary)Conversion Letter (Faculty)Criminal Justice Education & Training FormsDual EmploymentEEO Applicant Referral ReportExternal Activities for PayFaculty AppointmentImplementation of Employee Option to Retain Current EPA/SPA Status

HREM-Employment (con't)Offer Letter/ContractP-19P-20P-27 (Prior State Service)PA-135A (PD-135A ??)Secondary EmploymentStipendTelework Applications/AgreementsTemporary Employment Form

Total State ServiceCertification of Credentials and/or Qualifications

I-94 (Arrival/Departure Record from the Dept of Homeland SecurityLetters re: Stipends & Supplement Payments

NEO Paperwork (not Profile)(indicate each form)

Nepotism Documents

Occasional and Sporadic

Document DetailHRLR-Leave RecordsAnnual Leave RecordsShared Leave DonatedTime SheetsVacation Bonus Leave

HRMI-HR Miscellaneous

Employment /HR Files from Other State Agencies (note: ensure that any confidential medical information is included in HRCM)

Employment Verification FormsOther Miscellaneous documents

HRPA-Personnel ActionsAdministration of Special Entry RatesCareer Banding Adjustment Worksheets & LetterEntry RatesIn-range Salary Request Form (and supporting documentation)Internal Salary Pre-Approval (and supporting documentation)One FormP-18 (Personnel Recommendation Form)P-21 (Personnel Recommendation Form)PD-105PD-118 (Position Action Form)PD-119/121 (State of NC Personnel Action Form)Personnel Action Summary FormPM-725 (Legislative Increase)

HRPM-Performance ManagementDisciplinary Actions/Letters to FileGrievance InformationP-24 (Probation to Permanent)Probationary ExtensionProbationary to Permanent StatusWork Plans can be shredded

Document Detail…HRPY-PayrollChild Support GarnishmentEarnings Detail & QueryGarnishmentsLongevity FormsPaycheck adjustmentPD-71PM HisSalary ReductionW-2

HRRF-ReferencesReference LettersTranscript VerificationP-16

HRRR-Requests for Personnel RecordsRequests for Personnel Record Information

HRSP-Separation/TerminationExit Interview/ChecklistsP-88 (Property Assignment Form)Payment of Annual LeaveProperty Assignment FormProperty Equipment TrackingReduction in Force (RIF) documentsResignation/Termination LetterUnemployment Documents

HRTD-Training and DevelopmentAwardsCertificates of Completion of TrainingDissertion Correspondence

NOTE: Any document that includes multiple names/social security numbers/dates of birth that are not those of the employee should be redacted.

Scanning Process

4 Step Process…

• Document Preparation

• Batch Scanning

• Image Quality Control

• Indexing

Prepare Your Documents Before You Scan

• Remove all paper clips and staples before scanning. • Do not write/stamp or highlight shaded areas or critical information. • Remove duplicate copies and other unnecessary papers. • Handwritten notes must be legible and horizontally aligned. Use Black/Blue ink only. Red ink does not scan.

Do not make comments with the highlighter. • Rubber stamps must be well inked. Use Black or dark Blue only. • Avoid the use of Highlighters. When necessary use only Yellow – Green, Purple and dark Pink are scanned

as Black. • Avoid rich colored documents. Put them in separate batches before scanning. • Avoid spreadsheets with shaded table cells. Spreadsheets with light colors (even gray) do not scan very

well. • Do not use staples to affix small documents to a standard page. Use only scotch tape across the top to

secure small sized attachments. Make sure the attachments do not cover important information - use a blank page if necessary.

• Try to use standard 8.5 X 11 paper. Otherwise, it would be better to create multiple batches based upon paper size.

• The top edge of perforated invoices and other documents should be clean cut not ragged. • Indexing data must be clear and consistently placed. Always place the Banner Document ID in the upper

right hand corner.

HR Employee File Project Statistics

• Project Dates: June 18, 2012–September 30, 2012• Temporary Employees: 12• Work Days: 73• Hours Worked: 6,266 ($12.50/hr = $78,000)• Average Hours/Day: 85.8• Files Processed: 11,572 (avg = 1.85hrs per file)• Half million pages processed

(avg = 6.7 pages/person/hr)

Productivity Measures

27-Aug

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31-Aug1-Se

p2-Se

p3-Se

p4-Sep

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p

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0

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1237

1147

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13121345

1253

1118

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17791749

1520

0 0 0 0

Xtender Scoreboard/Productivity Report

No. Processed

Record Access

• Restricted through application level,group level and document levelsecurity in Banner

• Each user has a defined functional role (group) within an application

• When users are removed from Banner INB, they are also removed from Xtender

Record Access

• Application Level Security– Profiles can be created to grant access to all

applications or specific applications• Document Level Security– Groups can be created to allow access to specified

documents in an application– HR has determined groups for appropriate access

based on Document List

Ongoing File Maintenance

• Each HR unit is responsible for the scanning/indexing/redaction of employee file information within its specific unit.

• Employee Relations maintains responsibility for access and/or copies of employee file

information as described in the Public Records Act.

Navigating the Information Superhighway: Employee Info

Navigating the Information Superhighway: Position & I-9

Process Security

• Oracle Enforced– Passwords – Defined Roles

• Banner Enforced– HR Pay and Position Roles

• Employee Class Code Security and Organization Code Security are enforced through the combination of ID and Position Number.

– Finance FUND/ORG Roles• BDMS Enforced

– User profiles – Group profiles– Document Level Security

System Security

• New e-docs are stored securely on campus and backed up off campus.

• Space saved via reduction of 30+ file cabinets

Space: The Final Frontier…

• New document images are stored securely on campus and backed up off campus. Very little physical space used.

• Physical space saved via removal of 30+ file cabinets will be repurposed for people to provide expanded customer service to the ECU community.

Implementation Tips

• Secure support (fiscal; technical; operational)• Be prepared to make decisions—frequently

and quickly—to sustain progress.• Build partnerships with key depts and

individuals (ITCS; other units who have e-Records experience; etc.).

• Create quality check points and review them frequently.

• Be prepared to devote resources both technical and functional to project

• Be prepared to make changes to the way you do business

• The need to print should be reconsidered• Imaging may require you to build new forms or

reports • Consider the impact the changes you make will

have on other offices

What We Learned

What We Learned

• Document Preparation– Get It Right the First Time (Costly to do it over)

• Carefully define expectations • Once implemented, the unanticipated realities

of day-to-day functioning and operational logistics in the workplace take over.

Rethink Your Work Processes

“The significant problems we face cannot be solved with the same level of thinking we were at when we created them.”

Albert Einstein

ECU FAQ’s How long do you maintain the original personnel file once all documents have been imaged?• Check to see what retention standards your institution or state may have. At ECU we moved our

paper files that had retention standards to the archives until the retention guidelines have been met. If there were no retention standards we shredded the originals after we had completed our quality review. The point is that going paperless means NO PAPER. You have to move the paper out or the project will not be effective. Everyone must become dependent on the new paperless process or it will not work effectively. This is a BIG change and people have to get on board with it. The paperless format is not the backup—it is the ONLY file maintained. That takes some people a little time to get used to.

Who has access to the electronic file?• External access is the same after the scanning as it was before. All requests for access go through

HR and the same steps are followed in the paperless record as they were in the paper-based record. Basically, for external access someone in HR will review the documents, determine what can be shared and provide access as needed (this last step often results in the printing of one or more documents if allowed by University policy and state law). Internal access is determined by approved security levels. (It is important to note that any access to any record is automatically noted in the computer system so there are auditable tracking lists of what computer and what account accessed what record at what time).

ECU FAQ’sDo you image documents once the contents of the personnel file are complete, or is it best to scan and index on a piecemeal basis as you receive completed personnel forms?• With the BANNER BDMS system you can scan and index as you wish. The electronic

file is exactly like the paper file—except it can be viewed by multiple people simultaneously, is automatically backed up in multiple locations, etc. We chose to scan and index what was in the file at a point in time and then used supplemental scans to add or update documents as needed. Effective recordkeeping is more dynamic than static. We use the BDMS to be as dynamic as possible. The biggest challenge is to track when a file is “complete”. Each institution has to develop its own logical process for ensuring completeness is achieved.

Do you image all documents in a personnel file or just specific forms ; employment application, job description, W-4, I-9?• We imaged all documents that were determined to be appropriately stored in the

file. BDMS allows for easy deletion of files after the scanning process so having inappropriate documents was not a permanent long-term problem.

ECU FAQ’sHow do you audit imaged documents to ensure they are scanned properly and correctly on an ongoing basis?• Quality control is something that has to be built into the scanning and indexing processes. The original

records must be legible and must remain so when a copy is made of them. The biggest challenge is with colored or shaded paper and pictures. We took extra effort to review the I-9 documents to be sure that they were at least as legible as the original (in some cases the legibility was questionable on the source document). Our core standard is that the electronic record must be at least as legible as the original. A review was built into the process after the scanning/indexing activity to ensure that the standard was consistently achieved.

We have FMLA and Benefits files that are maintained separately from the personnel file that we would also like to scan. Are there any specific challenges/issues with these special records? • We took special steps with the “sensitive” or personal file information. First, we made sure that there was a

special indexed area for these documents and that access to these documents was limited to as few people as necessary. (Basically, only a few Benefits staff and the individual employee have a need to have access to this information). We can monitor who has accessed these records after the fact and can tighten up any gaps. Our goal has been to replicate our “manual” process via the electronic process. For instance, if the manual file was “locked” and/or had limited access, the electronic file is locked down as well. The BDMS allows for extensive attention to this detail. The real challenge is to feel confident enough with the system to shred the original documents. We are keeping our original documents in these “special” categories for 3 months to ensure that nothing goes wrong.

LEGALITY OF SCANNED COPIES• Under the Federal Rules of Evidence a "copy" is the same as an "original." • There is no distinction between originals and copies, unless the original has some unique characteristic

that is relevant to the case, for example, an original might be required if there is some unique characteristic of a signature (say the signature is being questioned and the actual ink used on the original is important).

• There is not a requirement that the original be produced absent such an unusual situation. If questioned, the only foundation needed for admissibility in evidence of the copy is testimony from someone that it is an accurate copy.

• Under federal evidence law, there is no distinction between copies and originals unless special circumstances apply which make the state of the original an issue in the case.

• Another "special circumstance" would be if there is evidence that the offered copy is not a bona fide copy - i.e., it has been altered in some way. The person seeking to use the copy only has to show that it is an accurate copy.

• Federal Rule of Evidence Rule 1003. Admissibility of Duplicates. "A duplicate is admissible to the same extent as an original unless (1) a genuine question is raised as to the authenticity of the original or (2) in the circumstances it would be unfair to admit the duplicate in lieu of the original."

• Rule 1001(4) defines Duplicate. A "duplicate" is a counterpart produced . . . by other equivalent techniques which accurately reproduces the original.

HR e-Records Project Summary

• HR Employee Files (completed)• Temporary Employee Files (completed)• Position Description Files (completed)• I-9 Forms (completed)• Benefits/Leave Files (completed)

The End…

…and a New Beginning…

Questions ???

John Toller (tollerj@ecu.edu)Joshua Ronau (ronauj@ecu.edu)