1430314106RFP on Upgrade of T24 Core Banking, Implementation of EDMS &DWS for CBK 4520142015.PDF
Implementation of an enterprise level EDMS solution
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Transcript of Implementation of an enterprise level EDMS solution
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Implementation of an enterprise level EDMS solution for HR documents
Presented by José L. Valdivieso
Director of Software Development
South Carolina Department of Transportation
Monday, September 8, 2014
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SCDOT and EDMS
• EDMS runs on MS SharePoint technology.
• SharePoint technology has been in use at SCDOT since 2003 supporting various document management processes and other processes.
• IT Services staff supports all aspects of SharePoint; software, system components, O/S, etc.
• HR EDMS project began May 2012.
• SCDOT IT Services has established itself in the forefront in the use of SharePoint technology, e-authorization/signature, and EDMS design.
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• SCDOT Software Support Group has advised, consulted with, or shared findings with the following organizations:
• South Carolina Department of Social Services
• South Carolina Department of Education
• Governor’s Office HR Department
• SC Legislative Offices
• South Carolina Parks, Recreation, & Tourism
• Berkeley County (SC) Water and Sewer
• Arizona Department of Transportation
• Georgia Department of Transportation
• Sound Transit, Seattle, Washington
• City of Wilmington, DE
• In June of this year, presented our use of ARX CoSign e-signature technology within our EDMS solutions.
• Co-author of a case study in the use of e-signature technology within an enterprise EDMS process. (http://www.arx.com/learn/case-studies/government-cs/south-carolina-department-of-transportation)
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Target Audience
• Primarily, other government entities.
– Of any size or purpose.
– Who operate under the same constraints we all know of.
– Who want to improve the process of document management.
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Electronic Document Management System
• EDMS - the basics.
– Conversion of existing paper documents to electronic files.
– Reduction of physical space required for storage of physical documents.
– Eliminate use of paper forms when coupled with e-forms.
– But, there’s more…
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Electronic Document Management System
• EDMS – the true potential – Purpose is far deeper than simply converting existing
paper forms into digital files.
– With proper meta-data fields defined for a digital file the information on the document itself becomes usable data which can be processed not unlike data in a traditional DB.
– Retrieval time is reduced.
– Portability is increased.
– Ability to quantify and qualify document data exists.
– With focused analysis, document data which was once disparate information, can be properly interrelated and made purposeful.
– Automatic workflow, escalation, and e-authorization are now possible for processes the forms support.
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HR document management prior to EDMS
• Each employee had, at a minimum, a personnel document folder and a benefits document folder in a filing cabinet.
• Folders were the final destination for all paper documents associated with any aspect, activity, or action related to the employee.
• Folder size directly proportional to number of years employee worked at SCDOT.
• All documents in paper format. Electronic forms exist at SCDOT, but only for entry of information and printing.
• No document accountability.
• One room dedicated to employee file folder storage.
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Figure 1. Representation of file storage room. Circa 2011.
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Why digitize?
• Eliminate physical document storage and all the associated inherent liabilities.
• Establish the concept of EDMS at SCDOT.
• Begin to realize the immediate benefits of having decades worth of documents in digital format. – Ease of access for both current and former employees.
– Increased security and document protection.
– Document accountability.
– Organization of document information is immediate.
– Potential for document information analysis increased.
• Project has established the structural foundation for a true e-forms method at SCDOT.
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The solution to SCDOT’s EDMS needs
• The nature of HR information precludes the use of external sources for file preparation.
• A complete “in-house” project; technical, procedural, document preparation, and process development. All within the confines of SCDOT.
• Use of existing technology and technical expertise. – Microsoft shop; use SharePoint.
– SharePoint is ideally suited for rapid application development (RAD) methods. • Integrated with Active Directory (AD) for access control & security.
• Libraries, lists, workflows, and granular security is basic to SP.
• If done right, an easy to use interface can be quickly established.
• Many third party add-ons available to increase SP capabilities.
• Very good auditing capabilities.
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How to prepare
• Sell it to the HR Director (or equivalent department head). – Explain the concept; what exactly is EDMS.
– Shows the benefits of digitization.
– Describe all the roles the project will require.
– Give a realistic project timeline; it will require focused attention.
– Define the staffing requirements; it is a labour intensive project.
– Any and everything else relevant to the situation.
• Meet with your Legal Department. – Ensure an understanding of the project purpose.
– Gain approval for conversion of physical documents to digital files; ensure they understand that the physical documents will not be retained after conversion. Obtain file retention information.
– If incorporating e-signature/e-authorization in the project, explain the concept. Get approval and assurances from the Legal staff.
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How to prepare
• Ensure the technical environment is capable of supporting an EDMS. – Storage management needs.
– Server O/S needs.
– SharePoint support capabilities.
– Hardware support (scanners, workstations, etc.).
– Data backup and recovery capabilities.
– Network security.
• Produce a Project Plan document for all members of the project team. – Describe the process for the conversion of a folder filled with paper
documents to an electronic folder (e-folder).
– Illustrate the workflow required to convert a folder filled with paper documents to an e-folder; folder preparation, scanning, digital file processing, initial review, QA review, and final release to the e-folder.
– Define every possible role required by the project.
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How to begin
• A well thought-out preparation phase is essential.
• Obtain a capable document scanner or group of scanners. – SCDOT uses a Canon DR-X10c acquired from Palmetto Microfilm in
Lexington, SC.
• Establish a dedicated and secure room/space for document preparation and processing. – The folder preparation step can be extremely time consuming.
– Meta-data requirements will have a direct impact on folder preparation time.
– Have working areas for each step in the folder conversion process. • Folder preparation
• Folder scanning
• Digital file processing
• Quality Assurance
• Folder disposition
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Figure 2. Canon ImageFormula DR-X10C
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How to begin
• Define document categories – How defined will the folder contents need to be?
– Consider current and future needs.
• Define the meta-data for the digital files – Meta-data provides the “keys” to
• Organizing the digitized documents
• Securing the digitized documents
• Retrieving the digitized documents
• Lifecycle management of the digitized documents
– Quantity of meta-data will have direct impact on the folder preparation time.
• Have project team members sign non-disclosure agreements. (optional, but highly advised)
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Meta-data explained
Figure 3. Pre-scanning cover and control sheet.
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Figure 4. Cover and control sheet document types.
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What SCDOT did
• First group of folders to be converted were two years of former employee folders. – Approximately 1,100 folders. – Required six months to complete. – Ideal way to fine-tune to process.
• Meta-data refinement • Folder preparation refinement • Process improvements
• Upon completion of former employee folders, began processing of active employee folders – Started with the “A” last names. – Continued to improve the process. – Creation of employee e-folders begins. – Decision made by HR to stop creating physical folders for new
hires. – Approximately 3,200 folders have been converted to date.
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Figure 4. Example of average employee folder.
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The on-going process • All employees now have an e-folder regardless of the disposition of
their physical folder. This was accomplished by scanning the 2012-2013 EPMS into the system.
• Conversion of personnel folders continues with the “N” last names being processed currently. Projections are for completion by end of 2015 for personnel, benefits, and WC folders for all employees.
• New hires do not get a physical folder. • Employees are given the opportunity to take possession of their
physical folder six months after it has been scanned. • E-folder Meta-data is modified when certain personnel actions are
applied to the employee (ex. Name change, new work location, etc.)
• All personnel actions are processed at the HQ office then passed to the project team for conversion into e-folder.
• Employees can make an appointment to view their e-folder and/or physical folder contents at a designated location in the HR office.
• Only four filing cabinets remain in the document room.
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Future plans • Upon completion of all personnel, benefits, and Workman’s Compensation
folders, the project team will be disbanded. • HR staff will assume responsibility for processing documents into the
employee e-folders. • An e-forms project is to begin this year which will place SharePoint based
electronic versions of all HR forms on the SCDOT Intranet. • The e-forms will have the following capabilities
– Built-in workflow for moving the document through the review process. – ARX CoSign e-signatures for approval/rejection. – Automatic escalation when required. – Document tracking capabilities. – Automatic placement of document image (.PDF) into proper e-folder when
action form supports is complete. – Distributed input of scanned documents into e-folders. – Will still be able to fill in e-form, print, sign, and hand-carry if necessary or
desired.
• Issue e-signature credentials to all supervisors and managers who have a network account.
• Continue to reduce the use of paper forms.
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Advice
• Ensure all parties involved understand the concept of document digitization, e-folders, e-forms, and, when ready, e-signatures.
• Ensure the technical infrastructure can handle the storage load, scanning needs, has robust security, and is protected by reliable back-up processes.
• Expect processing of physical documents to require a lot of time. • Define the meta-data carefully. It is the key to organization,
retrieval, and on-going management of the documents. • Make sure the Legal Department is involved and approves the
project. They must approve the process. • Contact State Archives concerning document disposal. There is a
form ARM-13 you have to submit if you plan on returning folders to employees or otherwise disposing of them.
• While meta-data is important, don’t over do it. • Remember that the project is just the beginning of implementation
of a true paperless, e-forms process. Plan accordingly.
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Closing
Questions?
Comments?
Discussion?