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Document Imaging - Office of Gra

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					        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?
Who will do the scanning?

             – Staff
             – Student
             – Contractor

               Frequency
               Dependability
What resources do you have to
      throw at the problem?


               – Personnel
               – Finances
How will you evaluate the results?
 –   Reduced storage needs
 –   Fewer phone calls
     seeking document
     delivery
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
                Steve Shapiro
                Computer Services Manager
                David Dose
                Programmer Analyst




                                            Web, File &
                                            Database Servers

David Dose
Programmer Analyst



     Office of Research Services and
     Administration
           The Volume




     Several Dozen Awards per Week




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
               Software




Office of Research Services and
Administration
         Scanning Personnel
• Students
• Part time employees




       Office of Research Services and
       Administration
                Results
                                  Kent Hardin
                                  a happy Award
                                  Management
                                  Associate Director




                                  (the system has not been
                                  in use long enough to get
                                  feedback from our
                                  Departmental Grant
                                  Administrators)




Office of Research Services and
Administration
Document Management
    (with low or no budget!)




               Mich Pane
               Associate Director
               Office of Sponsored Research
               Stanford University
Electronic Storage

Before:
     Storage of documents on local drives




           x          x          x
Electronic Storage

After:
         Storage of documents on shared drive
Electronic Storage


       Contracts & Grants
             32123 Howe Navy

                   budget

                   Agreement FINAL 10.6.06

       Proposals

            35353 Nelson NIH

                   Specific Aims.pdf

       Subawards

            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
What tools to you need?


      Scanner

      Server

      Adobe Acrobat
          Document Management
                          (with a budget)




Samantha J. Westcott
Grant Manager, Division of Biology
California Institute of Technology
westcott@caltech.edu
          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
Current Campus View
Current Campus View
Current Campus View
Current Campus View
 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
June 2007 Campus View
Soon-to-Be Campus View
         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
Thank you.
       Document Management
          (with a budget)




Kim Calvery
Assistant Director, Business Affairs Office of Post
Award Administration
Oregon State University
Kim.calvery@oregonstate.edu
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 Projects
Phase 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 Projects
Phase 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      Document Description
 Folders            Employee
 Folder Name        Employee
 Search Criteria    PAR FY; PAR QTR;
                      PAR ORG; ID; Name
   Retention        8 Years

   Purging          Purge at end of
    Requirements      retention period
PAR Forms - DRAFT
  Banner Processes




                                                               New Table (Table1)
 Banner Processes




                                                                New Table (Table1)
                                                               is updated to store                                                       New Process written to compare
                                                                 is updated to store                                                       New Process written to compare
                                                                  log information                                                          Table1 data to images in the
                                                                    log information                                                          Table1 data to images in the
                                                                Pidm, fy, qtr, orgn                                                      system by FY/QTR/ORGN sorted
                           Process runs                           Pidm, fy, qtr, orgn                                                     system by FY/QTR/ORGN sorted
                             Process runs                                                                                                   alpha by Employee Name.
                       Creates PDFs of the                                                                                                    alpha by Employee Name.
                         Creates PDFs of the
                      log files and individual
                        log files and individual                PDFs of Logs and                                                          Are there other reporting tools
                                forms                             PDFs of Logs and                                                         Are there other reporting tools
                                  forms                        Individual Employee                                                                   needed?
                                                                 Individual Employee                                                                  needed?
                                                                       Forms
                                                                        Forms




                                                                                                All images are     Query is done on          Image in temp batch is
                                                                          Signed PAR forms        All images are    Query is done on           Image in temp batch is
                     PDFs are emailed                                      Signed PAR forms     renamed with        FY/QTR/ORGN                 opened, employee
                      PDFs are emailed                                                            renamed with       FY/QTR/ORGN                 opened, employee
 OPAA Staff




                                                   Signed PAR forms        are scanned and
 OPAA Staff




                       to department                Signed PAR forms        are scanned and    correct doc type    Based on Table 1         determined, and image is
                         to department                are received          placed in temp      correct doc type    Based on Table 1         determined, and image is
                           contacts                    are received          placed in temp   and temp batch is    All employee files       dragged and dropped into
                            contacts                                       batch by ORGN       and temp batch is    All employee files       dragged and dropped into
                                                                             batch by ORGN     locked in place        are returned              the correct folder.
                                                                                                 locked in place        are returned              the correct folder.
                                                                                                                                                                             Nolij Doc Types
                                                                                                                                                                              Nolij Doc Types
                                                                                                                                                                                    e.g.
                                                                                                                                                                                     e.g.
                                                                                                                                                                              PARFYQTR
                                                                                                                                                                               PARFYQTR
                                                                                                                                                                               PAR0601
                                                                                                                                                                                PAR0601
                                                                                                                                                                               PAR0602
                                                                                                                                                                                PAR0602
                                                                                                                                                                               PAR0603
                                                                                                                                                                                PAR0603
  Department Staff
 Department Staff




                                    PDFs are signed
                                     PDFs are signed
                                   by employees and
                                    by employees and
                                        returned
                                         returned
                                                                                                                                          ALL OPAA Roles
                                                                                                                                                 OPAA Unit
                                                                                                                                 Proposed Draft Nolij Screen
Search Bar                                                                                                                                         08/10/06


 PAR FY: 06                      PAR QTR: 01                 PAR ORGN: 0012546   PAR Form                               July 1, 2006 – September 30, 2006

                                                                                 930551965    Fitzgerald Bobby
 ID                      Name

                                                                                 Blah blah blah

 Batches                                                                         Blah blah blah

                                                                                 Blah blah blah Blah blah blah
                                                                                 Blah blah blah Blah blah blah Blah blah blah


Folder Display                                 Folder Contents Display

PAR0601 Temp Batch                              PAR0601
                                                PAR0601
930896584    Abner, Frank                       PAR0601
930551965    Fitzgerald, Bobby                  PAR0601
915352541    Schmoe, Joe
930125487    Sprite, Wood
985745859    Tyler, Beth


             Employee Files are
             based on Table1 query
             results
                OPAA: Grant Folder


Grant ID                   Fund


Sponsor ID
                                                                                     Scanned Document is Displayed


Agency Name
                            Subcontract #


                            Sub: Vendor Name – Last
PI ID

                            Subcontract Status
PI Last Name

PI First Name               Grant Status                         Grant Information                            Fund Information

                                                      Title                                               Orgn

        Query Results             Folder Objects      Start Date                                          F&A Basis          Rate

                                                      End Date                                            CS Method

                                                      Term Date


                                                                                     Cost Share Information

                                                                   Index                               Fund

                                                                   Repeating rows as needed


                                                                   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
Electronic Grant Folder
Search Criteria

Search Bar Label    Search Return
 Grant              Grant, all Funds, all
 Fund                Subcontracts
 Sponsor ID         Grant, specified Fund, all
                      Subs on that Fund
                     all Grants (with all Funds and
   Agency Name       subcontracts) related to that
                      agency
Electronic Grant Folder
Search Criteria

Search Bar Label         Search Return
 PI ID & Name            All Fund folders (with its
 PI Last Name             Grant folder) for any fund
                           with that PI
   PI First Name         Grant, specified Fund,
                           specified Sub
   Subcontract #
   Sub-Vendor Name
   Subcontract Status
   Grant Status
Form:
Form Display
Information About Grant

Form Fields            Form Labels
 Grant Information     Title, Start Date, End
                         Date, Term Date
   Fund Information    Organization, F&A
                         Basis, F&A Rate, Cost
                         Share Method
   Cost Share Index
   Notes
OPAA Work Flow Trays

   New Awards              Accountant 3
   Pending Awards          Accountant 4
   New Awards, Future      Accountant 5
    Dated                   Accountant 6
   Amendments              Fellowship
   No Cost Extension       Distribution
   Holding                 Subcontract Writer
   Accountant 1            Subcontract Accountant
   Accountant 2            Completed
Grant Folder Document Types
DocType Name               DM Project Document Types
A/R - Cash Receipts        Accounts Receivable Cash
   Receipts
A/R – Invoices             Accounts Receivable Invoices
A/R – Ledger               Billing Sheet
Award – Amended            Admended Award
Award – OPAS               OPAS Forms
Award – Original           Original Award
Award Info/Budget          Award InformationSheet/budget
Closeout                   Closeout Documents
Corresp – Authorizations   Authorizations
Corresp – External         External Correspondence
Corresp – Internal         Internal Correspondence
Grant Folder Document Types

DocType Name              DM Project Document Types
Expend – Documents        Expenditure Documentation
Expend – High Risk        Expenditure Documentation – High
                           Risk Monitoring Plan
Fellow - Appt Form        Fellowships - Appointment Forms
Fellow – Authorizations   Fellowships - Authorizations
Fellow – Checklist        Fellowships - Checklist
Fellow – Correspondence   Fellowships - Correspondence
Miscellaneous             Miscellaneous
Prop – Amended            Admended Proposal
Prop – Original           Original Proposal
Report - Cost Share       Cost Share Report
Grant Folder Document Types
DocType Name              DM Project Document Types
Report – Financial        Financial Report
Report – Technical        Technical Report
Sub – Amendment           Subcontract - Amendment
Sub – Closeout            Subcontract - Closeout
                          Documentation
Sub – Correspondence      Subcontract - Correspondence
Sub - Cost Share          Subcontract - Cost Share Reports
Sub – Invoice             Subcontract - Invoices
Sub - Original Contract   Subcontract - Original Contract
Sub - 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

				
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