Transcript Document

• Need to review every employee file (content &
organization)
• Need for easy, quick, and appropriate access
• Need to maintain file integrity/security (audit)
• Need to manipulate file information
• Need for space
Key Findings of Paper Elimination
• Paper processes hinder productivity and increase
cost.
• Paper negatively impacts security and trust
• Digital is key to attracting new talent and going
green.
• Digitalization allows you to save money and be
more efficient
• Digitalization is easier to file documents, manage
documents, and simplifies work.
The Cost of Handling Paper
• According to Gartner Research, documents:
– Cost about $20 each to file
– Are copied, either physically or electronically, on average
10 times at a cost of about $18 each time
– Cost about $120 each to retrieve if misfiled
• Additionally, it costs about $250 to reproduce a paper
document (text, graphics, photos, layout).
– The average typing speed of the business user is < 50
words per minute)
• In the end, 7.5% of all paper documents get
lost altogether.
• Re-creation costs: inestimable.
Positives/Negatives of Paper
Positives of Paper
Negatives of paper
Necessary for my job
Risk of loosing paper files
Allows me to be a thorough editor
Limited space to keep paper
Allows me to locate files
Harmful to the environment
Cost of using paper is high
Allows me to be more productive
Creates more work for me
Hard to locate paper files
Source: Adobe Survey
“Miss Farber, would you please tell me what this piece of paper is doing on
my desk?”
• Use Banner Xtender/BDMS for data integrity
and integration
• Quickly learn about Xtender process
• Establish data categories & levels
(application/group/document)
• Sort files
• Scan documents
• Index scanned images
Data Categories and Levels
HR Groups for B-H-EMPL
Group
Document List Access
All HR Staff
HRPA; HRSP; HRLR; HRPY;
HREM; HRTD; HRMI
Benefits
HRPA; HRSP; HRLR; HRPY;
HREM; HRTD; HRMI; HRBE;
HRCM
Employee
Relations
HRPA; HRSP; HRLR; HRPY;
HREM; HRTD; HRMI; HRPM;
HRCO
Employmen
t
HRPA; HRSP; HRLR; HRPY;
HREM; HRTD; HRMI; HRRF;
HRCB; HREQ
Document Menu
HRBE-Benefits
HRCB-Criminal Background Checks
HRCM-Confidential Medical
HRCO-Confidential Medical Other
HREM-Employment
HREQ - Equity Documents
HRLR-Leave Records
HRMI-HR Miscellaneous
HRPA-Personnel Actions
HRPM-Performance Management
HRPY-Payroll
HRRF-References
HRRR-Requests for Personnel Records
HRSP-Separation/Termination
HRTD-Training and Development
Document Detail…
HRBE-Benefits
403(b)
457(B)
Benefit Deduction Forms
Department of Treasury
NC-401K
Non-Medical Leave of Absence Documents
Retirement forms
Shut Down Deductions
Verification of State Employment
HRCB-Criminal Background Checks
Background Check Auto
CBC Documents
HRCO-Confidential Medical Other
Confidential CDL Drug Screening Documents
Disability Reasonable Accommodation
Documents
EAP Referrals
Fit for Duty Documentation
HRCM-Confidential Medical
Applications for Disability Benefits
Benefit Enrollment Forms (Life, Medical, Vision,
NC Flex, etc.)
Change in Benefits Forms (any benefits)
Employee Request for Maternity Leave
Family and Medical Leave Information
I-94
Leave Donations Received
Medical Certification
P-46-A (FMLA Form)
P-48 (Leave Donations Received)
Physician Notes
Retirement Form (if retiring due to disability)
Termination Form
HREQ - Equity Documents
P-16 (EEOC Applicant Referral Report)
Document Detail…
HREM-Employment
Acceptance Letter
Acceptance of Offer Letter
Additional Duties Confirmation Letter
Administrative Stipend Letters
Application/Resume/CV (ECU and/or State
Applications)
Casual Employment Form
Checklist for Extension of Employment
Offer
Confidentiality Statement
Conflict of Interest
Contracts (DE, Fixed Term, Summer,
Supplemental, Tenure Track, Temporary)
Conversion Letter (Faculty)
Criminal Justice Education & Training Forms
Dual Employment
EEO Applicant Referral Report
External Activities for Pay
Faculty Appointment
Implementation of Employee Option to
Retain Current EPA/SPA Status
HREM-Employment (con't)
Offer Letter/Contract
P-19
P-20
P-27 (Prior State Service)
PA-135A (PD-135A ??)
Secondary Employment
Stipend
Telework Applications/Agreements
Temporary Employment Form
Total State Service
Certification of Credentials and/or Qualifications
I-94 (Arrival/Departure Record from the Dept of
Homeland Security
Letters re: Stipends & Supplement Payments
NEO Paperwork (not Profile)(indicate each form)
Nepotism Documents
Occasional and Sporadic
Document Detail
HRLR-Leave Records
Annual Leave Records
Shared Leave Donated
Time Sheets
Vacation Bonus Leave
HRMI-HR Miscellaneous
Employment /HR Files from Other State
Agencies (note: ensure that any confidential
medical information is included in HRCM)
Employment Verification Forms
Other Miscellaneous documents
HRPM-Performance Management
Disciplinary Actions/Letters to File
Grievance Information
P-24 (Probation to Permanent)
Probationary Extension
Probationary to Permanent Status
Work Plans can be shredded
HRPA-Personnel Actions
Administration of Special Entry Rates
Career Banding Adjustment Worksheets &
Letter
Entry Rates
In-range Salary Request Form (and supporting
documentation)
Internal Salary Pre-Approval (and supporting
documentation)
One Form
P-18 (Personnel Recommendation Form)
P-21 (Personnel Recommendation Form)
PD-105
PD-118 (Position Action Form)
PD-119/121 (State of NC Personnel Action
Form)
Personnel Action Summary Form
PM-725 (Legislative Increase)
Document Detail…
HRPY-Payroll
Child Support Garnishment
Earnings Detail & Query
Garnishments
Longevity Forms
Paycheck adjustment
PD-71
PM His
Salary Reduction
W-2
HRSP-Separation/Termination
Exit Interview/Checklists
P-88 (Property Assignment Form)
Payment of Annual Leave
Property Assignment Form
Property Equipment Tracking
Reduction in Force (RIF) documents
Resignation/Termination Letter
Unemployment Documents
HRRF-References
Reference Letters
Transcript Verification
P-16
HRTD-Training and Development
Awards
Certificates of Completion of Training
Dissertion Correspondence
HRRR-Requests for Personnel Records
Requests for Personnel Record Information
NOTE: Any document that includes multiple names/social security numbers/dates of birth that are not those of
the employee should be redacted.
Scanning Process
4 Step Process…
• Document Preparation
• Batch Scanning
• Image Quality Control
• Indexing
Prepare Your Documents Before You Scan
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Remove all paper clips and staples before scanning.
Do not write/stamp or highlight shaded areas or critical information.
Remove duplicate copies and other unnecessary papers.
Handwritten notes must be legible and horizontally aligned. Use Black/Blue ink only. Red ink does
not scan. Do not make comments with the highlighter.
Rubber stamps must be well inked. Use Black or dark Blue only.
Avoid the use of Highlighters. When necessary use only Yellow – Green, Purple and dark Pink are
scanned as Black.
Avoid rich colored documents. Put them in separate batches before scanning.
Avoid spreadsheets with shaded table cells. Spreadsheets with light colors (even gray) do not scan
very well.
Do not use staples to affix small documents to a standard page. Use only scotch tape across the top
to secure small sized attachments. Make sure the attachments do not cover important information
- use a blank page if necessary.
Try to use standard 8.5 X 11 paper. Otherwise, it would be better to create multiple batches based
upon paper size.
The top edge of perforated invoices and other documents should be clean cut not ragged.
Indexing data must be clear and consistently placed. Always place the Banner Document ID in the
upper right hand corner.
HR Employee File Project Statistics
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Project Dates: June 18, 2012–September 30, 2012
Temporary Employees: 12
Work Days: 73
Hours Worked: 6,266 ($12.50/hr = $78,000)
Average Hours/Day: 85.8
Files Processed: 11,572 (avg = 1.85hrs per file)
Half million pages processed
(avg = 6.7 pages/person/hr)
Productivity Measures
Xtender Scoreboard/Productivity Report
2000
1862
1840
1779
1800
1666
1749
1636
1600
1520
1517
1354
1400
1312
1295
1253
1239
1237
1200
1345
1189
1147
1145
1118
1090
1000
1000
936
No. Processed
800
600
400
0
0
0
0
27-Sep
28-Sep
29-Sep
30-Sep
26-Sep
23-Sep
25-Sep
0
24-Sep
0
22-Sep
21-Sep
20-Sep
19-Sep
16-Sep
18-Sep
0
17-Sep
0
15-Sep
14-Sep
13-Sep
12-Sep
9-Sep
11-Sep
0
10-Sep
0
8-Sep
7-Sep
6-Sep
5-Sep
4-Sep
3-Sep
2-Sep
1-Sep
31-Aug
30-Aug
29-Aug
28-Aug
0
27-Aug
200
Record Access
• Restricted through application level,
group level and document level
security in Banner
• Each user has a defined functional role (group)
within an application
• When users are removed from Banner INB,
they are also removed from Xtender
Record Access
• Application Level Security
– Profiles can be created to grant access to all
applications or specific applications
• Document Level Security
– Groups can be created to allow access to specified
documents in an application
– HR has determined groups for appropriate access
based on Document List
Ongoing File Maintenance
• Each HR unit is responsible for the
scanning/indexing/redaction of employee file
information within its specific unit.
• Employee Relations maintains responsibility
for access and/or copies of employee file
information as described in the Public
Records Act.
Navigating the Information
Superhighway: Employee Info
Navigating the Information
Superhighway: Position & I-9
Process Security
System Security
• Oracle Enforced
– Passwords
– Defined Roles
• Banner Enforced
– HR Pay and Position Roles
• Employee Class Code Security and Organization Code
Security are enforced through the combination of ID and
Position Number.
– Finance FUND/ORG Roles
• BDMS Enforced
– User profiles
– Group profiles
– Document Level Security
Space: The Final Frontier…
• New document
e-docs are images
stored securely
are stored
onsecurely
campus on
and backed
campus
andup
backed
off campus.
up off campus. Very little
space
• physical
Space saved
viaused.
reduction of 30+ file cabinets
• Physical space saved via removal of 30+ file
cabinets will be repurposed for people to
provide expanded customer service to the
ECU community.
Implementation Tips
• Secure support (fiscal; technical; operational)
• Be prepared to make decisions—frequently
and quickly—to sustain progress.
• Build partnerships with key depts and
individuals (ITCS; other units who have eRecords experience; etc.).
• Create quality check points and review them
frequently.
What We Learned
• Be prepared to devote resources both
technical and functional to project
• Be prepared to make changes to the way you
do business
• The need to print should be reconsidered
• Imaging may require you to build new forms
or reports
• Consider the impact the changes you make
will have on other offices
What We Learned
• Document Preparation
– Get It Right the First Time (Costly to do it over)
• Carefully define expectations
• Once implemented, the unanticipated realities
of day-to-day functioning and operational
logistics in the workplace take over.
Rethink Your Work Processes
“The significant problems
we face cannot be solved
with the same level of
thinking we were at
when we created them.”
Albert Einstein
ECU FAQ’s
How long do you maintain the original personnel file once all documents have been imaged?
• Check to see what retention standards your institution or state may have. At ECU we moved
our paper files that had retention standards to the archives until the retention guidelines
have been met. If there were no retention standards we shredded the originals after we had
completed our quality review. The point is that going paperless means NO PAPER. You have
to move the paper out or the project will not be effective. Everyone must become
dependent on the new paperless process or it will not work effectively. This is a BIG change
and people have to get on board with it. The paperless format is not the backup—it is the
ONLY file maintained. That takes some people a little time to get used to.
Who has access to the electronic file?
• External access is the same after the scanning as it was before. All requests for access go
through HR and the same steps are followed in the paperless record as they were in the
paper-based record. Basically, for external access someone in HR will review the documents,
determine what can be shared and provide access as needed (this last step often results in
the printing of one or more documents if allowed by University policy and state law).
Internal access is determined by approved security levels. (It is important to note that any
access to any record is automatically noted in the computer system so there are auditable
tracking lists of what computer and what account accessed what record at what time).
ECU FAQ’s
Do you image documents once the contents of the personnel file are complete, or is
it best to scan and index on a piecemeal basis as you receive completed personnel
forms?
• With the BANNER BDMS system you can scan and index as you wish. The
electronic file is exactly like the paper file—except it can be viewed by multiple
people simultaneously, is automatically backed up in multiple locations, etc. We
chose to scan and index what was in the file at a point in time and then used
supplemental scans to add or update documents as needed. Effective
recordkeeping is more dynamic than static. We use the BDMS to be as dynamic as
possible. The biggest challenge is to track when a file is “complete”. Each
institution has to develop its own logical process for ensuring completeness is
achieved.
Do you image all documents in a personnel file or just specific forms ; employment
application, job description, W-4, I-9?
• We imaged all documents that were determined to be appropriately stored in the
file. BDMS allows for easy deletion of files after the scanning process so having
inappropriate documents was not a permanent long-term problem.
ECU FAQ’s
How do you audit imaged documents to ensure they are scanned properly and correctly on an
ongoing basis?
• Quality control is something that has to be built into the scanning and indexing processes. The
original records must be legible and must remain so when a copy is made of them. The biggest
challenge is with colored or shaded paper and pictures. We took extra effort to review the I-9
documents to be sure that they were at least as legible as the original (in some cases the legibility
was questionable on the source document). Our core standard is that the electronic record must
be at least as legible as the original. A review was built into the process after the scanning/indexing
activity to ensure that the standard was consistently achieved.
We have FMLA and Benefits files that are maintained separately from the personnel file that we
would also like to scan. Are there any specific challenges/issues with these special records?
• We took special steps with the “sensitive” or personal file information. First, we made sure that
there was a special indexed area for these documents and that access to these documents was
limited to as few people as necessary. (Basically, only a few Benefits staff and the individual
employee have a need to have access to this information). We can monitor who has accessed
these records after the fact and can tighten up any gaps. Our goal has been to replicate our
“manual” process via the electronic process. For instance, if the manual file was “locked” and/or
had limited access, the electronic file is locked down as well. The BDMS allows for extensive
attention to this detail. The real challenge is to feel confident enough with the system to shred the
original documents. We are keeping our original documents in these “special” categories for 3
months to ensure that nothing goes wrong.
LEGALITY OF SCANNED COPIES
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Under the Federal Rules of Evidence a "copy" is the same as an "original."
There is no distinction between originals and copies, unless the original has some unique
characteristic that is relevant to the case, for example, an original might be required if there is
some unique characteristic of a signature (say the signature is being questioned and the actual ink
used on the original is important).
There is not a requirement that the original be produced absent such an unusual situation. If
questioned, the only foundation needed for admissibility in evidence of the copy is testimony from
someone that it is an accurate copy.
Under federal evidence law, there is no distinction between copies and originals unless special
circumstances apply which make the state of the original an issue in the case.
Another "special circumstance" would be if there is evidence that the offered copy is not a bona
fide copy - i.e., it has been altered in some way. The person seeking to use the copy only has to
show that it is an accurate copy.
Federal Rule of Evidence Rule 1003. Admissibility of Duplicates. "A duplicate is admissible to the
same extent as an original unless (1) a genuine question is raised as to the authenticity of the
original or (2) in the circumstances it would be unfair to admit the duplicate in lieu of the original."
Rule 1001(4) defines Duplicate. A "duplicate" is a counterpart produced . . . by other equivalent
techniques which accurately reproduces the original.
HR e-Records Project Summary
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HR Employee Files (completed)
Temporary Employee Files (completed)
Position Description Files (completed)
I-9 Forms (completed)
Benefits/Leave Files (completed)
Questions ???
John Toller ([email protected])
Joshua Ronau ([email protected])