Document Imaging Panelist : Kim Calvery, Asst. Director – Business Affairs Office of Post Award...
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Transcript of Document Imaging Panelist : Kim Calvery, Asst. Director – Business Affairs Office of Post Award...
Document Imaging
Panelist : Kim Calvery, Asst. Director – Business Affairs Office of Post Award Administration, Oregon State University
Panelist : Michiko Pane, Assoc. Director – Office of Sponsored Research, Stanford University
Panelist : Samantha J. Westcott, Grant Manager – Division of Biology, California Institute of Technology
Panelist : Steve Shapiro, Technical Group Manager – Office of Research Services and Administration, University of Oregon
Introduction & Overview
• What problem are you trying to solve by scanning?
• How big is the problem? How big will the solution be?
• Who will do the scanning?
• What resources do you have to throw at the problem?
• How will you evaluate the results?
What problem are you trying to solve by scanning?
– Document retention– Storage space– Document distribution
How big is the problem?
– Hundreds– Thousands– Tens of thousands – Timeliness
Number of documents per day/week/month
How soon after arrival do the documents have to be available?
How will you evaluate the results?
– Reduced storage needs– Fewer phone calls
seeking document delivery
Office of Research Services and Administration
Office of Research Services and Administration
University of Oregon
Office of Research Services and Administration
the Problem• ORSA (Office of Research Services and Administration) receives award documents and award terms and conditions on paper via snail mail.
• We are charged with disseminating this information to the departmental grant administrators and PI’s
• These documents are constantly updated and amended
• Previous solution: copy and mail documents to DGA’s and PI’s. They were losing and or misplacing them on a regular basis. Put master copy in Award file, which was then filed. If somebody had the file, other people spent hours looking for it.
Office of Research Services and Administration
The Mandate
Kent Hardin
Associate Director, Award Management
Office of Research Services and Administration
The Resources
David Dose Programmer Analyst
Steve Shapiro Computer Services Manager
David Dose Programmer Analyst
Web, File & Database Servers
Office of Research Services and Administration
Our Current Solution
• Scan and convert the documents to PDF and upload them into our proposal clearance system, which is currently morphing into an award management system.
• Benefits: – one stop location to look for award documentation– available 23:58 minutes daily– Previous versions are still available, with
amendments/updates shown– Scanned documents are backed up.
Office of Research Services and Administration
Scanning Station
We evaluated low price $1,000-$1,500 scanners with sheet feeders, duplexing, and automatic PDF conversion
We used an old workstation, purchased two small lcd monitors and hooked everything up to our network
Office of Research Services and Administration
ResultsKent HardinKent Hardin
a happy Award Management Associate Director
(the system has not been in use long enough to get feedback from our Departmental Grant Administrators)
Document Management(with low or no budget!)
Mich PaneAssociate DirectorOffice of Sponsored ResearchStanford University
Electronic Storage
Contracts & Grants
Subawards
32123 Howe Navy
budget
Agreement FINAL 10.6.06
Proposals
35353 Nelson NIH
Specific Aims.pdf
26543 Altman UC Berkeley
26543-A Agreement 9.18.06.doc
Electronic Storage – Benefits
Routine back up of shared drive Allows for sharing of files between team
members Is a resource for contract drafting or
negotiations Reduces the amount of time looking for a file All documents related to one award in one
place
Award Distribution - Recipients
Within Office of Sponsored Research– Accounting– Accounts Receivable
Departments– Principal Investigators– Administrators
Other campus offices– Property– Procurement
Award Distribution - Numbers
School of Engineering and Independent Labs only
January 2007– 136 awards and amendments– 24 subawards and amendments
February 2007– 76 awards and amendments– 15 subawards and amendments
March 2007– 95 awards and amendments– 34 subawards and amendments
Award Distribution - Process
Scan the documents to .pdf Save file on server Distribute via email attachment to all
parties– Create address book nicknames for each
department
Award Distribution - Benefits
No photocopying Doesn’t get lost Quicker distribution Remote access to documents Electronic copy for e-filing
Document Management(with a budget)
Samantha J. WestcottGrant Manager, Division of BiologyCalifornia Institute of [email protected]
Caltech Overview
• Three central administration offices for financial management
– General Budget– Gifts and Endowments– Sponsored Research
• Academic divisions manage complete PI portfolio, regardless of funding source
Current State
• Gift/Endowment Team implemented Xerox DocuShare in 2005
• Sponsored Research scans and emails award documents.
• Electronic documents stored on shared server– G/E team: DocuShare copy is official record– OSR: Hard copy is official record
Current Issues
• Different systems for different financial areas for the same customers
• G/E Team implementation not rolled out to campus
• OSR and Project Accounting do not have access to each other’s electronic copies
More Current Issues
• Documents must be re-emailed any time somebody needs a copy
• Hard copies still printed and stored all across campus
• Immense toll on email servers– 6MB file mailed to 8 interested parties means
56MB of storage required on various servers (including that of the person that sent the file)
June 2007: Implementation
• Sponsored Research/Project Accounting to go live with DocuShare
• Documents no longer emailed to campus users
• Campus users will access documentation through web interface– One access for OSR, Project Accounting, G/E
Team documents for all customers
Lessons Learned
• Keep the end-user in mind– OSR implementation required complete
reorganization of overall G/E Team implementation
• Current navigation:– Funding Source to Organization to Award
Number
• Future navigation:– PI to Award Number
Problems with Current Design
• Requires too much navigation and no simple browsing to get to a document
• No break-down by PI means that the list of awards to scroll through can be HUGE
• User must know the source of funding, the exact organization that owns it, and the award number.– Not identified easily by the PI– Sometimes source is not known by user
Successful Solution
• Starts with the PI and directly goes to each of their accounts, regardless of source of funding
• Only folders that a user has access to will be viewable, thus reducing the number of folders in a list
Document Management(with a budget)
Kim CalveryAssistant Director, Business Affairs Office of Post Award AdministrationOregon State [email protected]
Oregon State University Overview
Participating Central Offices– Business Affairs– Graduate School– Registrar– Admissions– Financial Aid– Human Resources
Oregon State University Overview
Contracted with Nolij Implemented Projects in Phases Phase 1 Started April 2006 Phase 2 Started August 2006
– Business Affairs projects
Phase 3 Scheduled to Start July 2007– Business Affairs projects
Business Affairs – OPAA ProjectsPhase 2
Effort Reports– Electronic File Cabinet– Integrated with Banner FIS Software
Effort reports created from Banner Employee folders are created automatically
– Search Capability– Retention and Purge Routines
Business Affairs – OPAA ProjectsPhase 3
Electronic Grant Folder– Folder Sorted by Document Types– Ability to Write Notes, Flag Pages, etc.– Multiple Users can View File Simultaneously– Searchable Fields– Banner FIS Information Available– Retention and Purge Routines
Before Nolij Imaging Software
Effort Reports Distributed by Campus Mail Effort Reports Logged Manually Effort Reports Filed for 8 Year Retention Approximately .2 fte to Manage Filing Behind over one Year Documents Difficult to Locate
Before Nolij Imaging Software
Maintaining 3,000 Paper Grant Folders Out of Storage Space Files are always Missing from Cabinet Multiple Users Need Files No Back-up Copies in Case of Disaster Making Multiple Copies for Department
Users is Expensive Purging is Labor Intensive
Effort Report (PAR) Folders
Document Types Folders Folder Name Search Criteria
Retention Purging
Requirements
Document Description Employee Employee PAR FY; PAR QTR;
PAR ORG; ID; Name 8 Years Purge at end of
retention period
PAR Forms - DRAFT
OP
AA
Sta
ffO
PA
A S
taff
Dep
artm
ent S
taff
Dep
artm
ent S
taff
Ban
ner
Pro
cess
esB
anne
r P
roce
sses
Process runs Creates PDFs of the
log files and individual forms
Process runs Creates PDFs of the
log files and individual forms
New Table (Table1) is updated to store
log informationPidm, fy, qtr, orgn
New Table (Table1) is updated to store
log informationPidm, fy, qtr, orgn
PDFs of Logs and Individual Employee
Forms
PDFs of Logs and Individual Employee
Forms
PDFs are emailed to department
contacts
PDFs are emailed to department
contacts
PDFs are signed by employees and
returned
PDFs are signed by employees and
returned
Signed PAR forms are received
Signed PAR forms are received
Signed PAR forms are scanned and placed in temp
batch by ORGN
Signed PAR forms are scanned and placed in temp
batch by ORGN
All images are renamed with
correct doc type and temp batch is
locked in place
All images are renamed with
correct doc type and temp batch is
locked in place
Query is done on FY/QTR/ORGN
Based on Table 1 All employee files
are returned
Query is done on FY/QTR/ORGN
Based on Table 1 All employee files
are returned
Image in temp batch is opened, employee
determined, and image is dragged and dropped into
the correct folder.
Image in temp batch is opened, employee
determined, and image is dragged and dropped into
the correct folder.
New Process written to compare Table1 data to images in the
system by FY/QTR/ORGN sorted alpha by Employee Name.
Are there other reporting tools needed?
New Process written to compare Table1 data to images in the
system by FY/QTR/ORGN sorted alpha by Employee Name.
Are there other reporting tools needed?
Nolij Doc Types e.g.
PARFYQTRPAR0601PAR0602PAR0603
Nolij Doc Types e.g.
PARFYQTRPAR0601PAR0602PAR0603
ID Name
PAR FY: 06 PAR QTR: 01 PAR ORGN: 0012546
PAR0601 Temp Batch
930896584 Abner, Frank930551965 Fitzgerald, Bobby 915352541 Schmoe, Joe930125487 Sprite, Wood985745859 Tyler, Beth
Employee Files are based on Table1 query results
PAR0601PAR0601PAR0601PAR0601
PAR Form July 1, 2006 – September 30, 2006
930551965 Fitzgerald Bobby
Blah blah blah
Blah blah blah
Blah blah blah Blah blah blah Blah blah blah Blah blah blah Blah blah blah
Folder Display Folder Contents Display
Search Bar
Batches
ALL OPAA RolesOPAA Unit
Proposed Draft Nolij Screen08/10/06
Scanned Document is Displayed
Start Date
End Date
Term Date
Grant Information
Title
F&A Basis Rate
CS Method
Fund Information
Orgn
Fund
Repeating rows as needed
Cost Share Information
Index
Look for another grant that matches the first 5 characters and ends with S. It will always be a a fund type 11. List here the funds and indexes associated with that grant.
Notes
Grant ID Fund
Sponsor ID
Agency Name
PI ID
Subcontract #
Sub: Vendor Name – Last
Grant Status
PI Last Name
PI First Name
Query Results Folder Objects
OPAA: Grant Folder
Subcontract Status
Electronic Grant FolderSearch Criteria
Search Bar Label Grant Fund Sponsor ID
Agency Name
Search Return Grant, all Funds, all
Subcontracts Grant, specified Fund, all
Subs on that Fund all Grants (with all Funds and
subcontracts) related to that agency
Electronic Grant FolderSearch Criteria
Search Bar Label PI ID & Name PI Last Name PI First Name Subcontract # Sub-Vendor Name Subcontract Status Grant Status
Search Return All Fund folders (with its
Grant folder) for any fund with that PI
Grant, specified Fund, specified Sub
Form Display Information About Grant
Form Fields Grant Information
Fund Information
Cost Share Index Notes
Form Labels Title, Start Date, End
Date, Term Date Organization, F&A
Basis, F&A Rate, Cost Share Method
OPAA Work Flow Trays
New Awards Pending Awards New Awards, Future
Dated Amendments No Cost Extension Holding Accountant 1 Accountant 2
Accountant 3 Accountant 4 Accountant 5 Accountant 6 Fellowship Distribution Subcontract Writer Subcontract Accountant Completed
Grant Folder Document Types
DocType Name DM Project Document TypesA/R - Cash Receipts Accounts Receivable Cash
ReceiptsA/R – Invoices Accounts Receivable InvoicesA/R – Ledger Billing SheetAward – Amended Admended AwardAward – OPAS OPAS FormsAward – Original Original AwardAward Info/Budget Award InformationSheet/budgetCloseout Closeout DocumentsCorresp – Authorizations AuthorizationsCorresp – External External CorrespondenceCorresp – Internal Internal Correspondence
Grant Folder Document Types
DocType Name DM Project Document TypesExpend – Documents Expenditure DocumentationExpend – High Risk Expenditure Documentation – High
Risk Monitoring PlanFellow - Appt Form Fellowships - Appointment FormsFellow – Authorizations Fellowships - AuthorizationsFellow – Checklist Fellowships - ChecklistFellow – Correspondence Fellowships - CorrespondenceMiscellaneous MiscellaneousProp – Amended Admended ProposalProp – Original Original ProposalReport - Cost Share Cost Share Report
Grant Folder Document Types
DocType Name DM Project Document TypesReport – Financial Financial ReportReport – Technical Technical ReportSub – Amendment Subcontract - AmendmentSub – Closeout Subcontract - Closeout
DocumentationSub – Correspondence Subcontract - CorrespondenceSub - Cost Share Subcontract - Cost Share ReportsSub – Invoice Subcontract - InvoicesSub - Original Contract Subcontract - Original ContractSub - Other Reports Subcontract - Other Reports
Results
Electronic File Cabinet for Effort Reports is a Success! Campus Departments Receive Effort Reports Electronically
– They Like It! Automatically Track when Reports are Received
– Easy to send Reminders Electronic Filing is Current Saved .2 fte in OPAA
– Time is Spent More Productively Success of Project Encouraged VP to Purchase Campus Site
License