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

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.

• 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)

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.

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…

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.

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.

Figure 1. Representation of file storage room. Circa 2011.

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.

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.

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.

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.

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

Figure 2. Canon ImageFormula DR-X10C

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)

Meta-data explained

Figure 3. Pre-scanning cover and control sheet.

Figure 4. Cover and control sheet document types.

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.

Figure 4. Example of average employee folder.

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.

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.

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.

Closing

Questions?

Comments?

Discussion?