Implementation of an enterprise level EDMS solution
- 1. 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
- 2. 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.
- 3. • 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)
- 4. 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.
- 5. 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…
- 6. 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.
- 7. 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.
- 8. Figure 1. Representation of file storage room. Circa 2011.
- 9. 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.
- 10. 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.
- 11. 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.
- 12. 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.
- 13. 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
- 14. Figure 2. Canon ImageFormula DR-X10C
- 15. 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)
- 16. Meta-data explained Figure 3. Pre-scanning cover and control sheet.
- 17. Figure 4. Cover and control sheet document types.
- 18. 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.
- 19. Figure 4. Example of average employee folder.
- 20. 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.
- 23. 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.
- 24. 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.