Transcript EHRI presentation to DOL

EHRI Goals and Objectives
• Eliminate the need for a paper Official Personnel Folder
(OPF).
• Streamline and improve Government-wide workforce
reporting and data analysis.
• Provide the capability for comprehensive knowledge
management and workforce analysis, forecasting, and
reporting (to further strategic management of human capital)
across the Executive Branch.
• Enable expanded electronic exchange of standardized HR
data within and across agencies.
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EHRI Government-wide Benefits
• Eliminate the need for paper records
• Enable electronic transfer of HR data among Federal
agencies
• Timely access to HR data on active and separated Federal
employees
• Currency and availability of Federal HR data
• Projected $72 million annual savings Government-wide by
eliminating the paper folder alone.
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Agency Benefits
• Allows for consolidation of disperse paper OPFs from field
offices into a single electronic system.
• Frees HR resources from pulling OPFs to focus on more
strategic value added services.
• Virtually eliminates costs of filing, copying, faxing, and
mailing personnel file documents.
• Provides a safeguard against fire and other damage to
paper folders (COOP)
• Estimated savings of over $42 per employee folder.
• Access to workforce analysis and forecasting tools.
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Agency eOPF Status
Production
Conversion
Deployment
Assessment
Pre
Assessment
HUD
SAHRC - NFC
DoD
USITC
VA
BOP US
Courts
VA
Post
Assessment
DOE
NASA
Treasury
GSA
DOC – Phase
II
DOT
USAID
EPA
DoJ Anti-Trust
NARA
CPSC
DHS – Phase II
DOL
OPM
USDA – FS
FAAW
HHS
DHS – Phase I
PBGC
DOC – O/S
DOC - NOAA
USDA – ARS
LOC
DODEA
ED
ED-FSA
USDA –Remainder
USDA – OCFO
USDA-FS
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Change Management
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•
•
•
Why Change Management
Responsible Parties
Change Management for eOPF
Goals, Objectives and Measures of
Success
• eOPF Change Management Toolkit
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Change Management for eOPF
•
•
•
•
A plan for implementing the human side of change
Development of vision for the agency HR future
A schedule of messages occurring in sequence
A schedule of events with identified milestones that
correspond with key technology process changes:
•
•
•
•
Campaign starts
HR Specialist meetings
Town Hall meetings
Access to “How do I do this?” and “What does this mean
to me?”
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Goals, Objectives and Measures of Success
Goals and Objectives
• Provide information and training to agency leadership, eOPF
sponsors and HR personnel
• Use resources most effectively to reach the broadest audience
in the most effective manner
• Obtain buy-in
• Clarify misconceptions
• Identify and remove user roadblocks
• Direct to additional resources to toolkit
Measures of Success
•
•
•
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Vocal/visible buy in from labor unions
Agency acceptance (use) of toolkit
# of website hits?
Progressive lessening of help desk calls regarding process
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eOPF Support Materials Development Plan
Plan
Draft and Edit
1. Define Goals and Objectives
2. Define measures of success
3. Collect and organize
existing eOPF materials /
assets
4. Define and categorize target
audience(s)
5. Define the actions desired
from each target
6. Develop messages for each
target
7. Define materials for training,
education and outreach
8. Define communications
vehicles & schedule
• Develop standardized
material templates and
design elements
• Develop outlines for
materials
• Assign key elements to
team members for
development
• Write and edit drafts
• Toolkit
• Written Communication
Plan with detailed roll-out
• Outlines, drafts and
edited versions of
materials for approval
• $___k
• $____k
Date
Produce
• Presentation
to key
sponsors for
sign-off
Approval to
Produce
Date
Deploy
• Produce
Implementation
Support Materials
• Produce eOPF PM
Workshop Materials
• Produce eOPF
Guides and Tutorials
• Produce Conference
Support Materials
• Produce media
support collateral
• Support conferences
• Conduct tutorials
• Obtain Feedback and
measure effectiveness
• Adjust materials and
delivery if needed
• All materials identified
in the Plan Phase
• All materials and
deliverables cited in the
Plan
• $____k
• $______k
Date
Date
• Standardized practices, presentations, and approaches for repeatable and predictable training, education and outreach
• Improve messaging and field execution
• Captured in a Web based toolset accessible by our team and target audiences
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eOPF Change Management Toolkit
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eOPF Implementation Process
PreAssessment
Activities
Deliverables
• Assess Business Drivers
• Presentations / Demos
• Services Selection
• Memo of Understanding
• Interagency Agreement
• Statement of Work
Schedule: Complete
Assessment
Activities
Deliverables
• Readiness Assessment
• Perform eOPF Requirements Gathering
• Evaluate Data Capture Approach
• Evaluate Email Interface
• Evaluate Back-file Load Process
• Evaluate Agency Unique Requirements
• Obtain Organizational Information
• Kick-Off Meeting 11/07/2006
• eOPF Assessment Project Plan
• Briefing on eOPF Deployment
Strategy
• eOPF Requirements Analysis
• eOPF Implementation Plan
Schedule: In Process
Application
Deployment
Activities
Deliverables
• Employee Data Initial Load
• Load Existing Electronic 50 Data
• Establish Secure FTP Connection
• Training
• Sample Employee Notification Letters
• Data and Application Hosting
• Weekly Program Status Meetings
• Functional Agency eOPF System
Based on Requirements
Schedule: TBD
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eOPF Implementation Process
Conversion
Activities
Deliverables
• Box & Ship
• Log & Track
• Prep Folder
• Scan Folder
• Index
• QA
• Return Ship
• Electronic Documents Converted
Based on Requirements
• Agency Dashboard
• Conversion Metric Reports
• Weekly Status
Schedule: TBD
Support
Activities
Deliverables
• Help Desk
• Users Group Membership
• Technology Refresh
• Configuration Management
• Security Maintenance
• Application Monitoring
• Incident Reporting
• User Group Meeting Minutes
• Regular Status
• SLA Reporting
Schedule: TBD
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High Level Business Process
Inputs
eOPF
NBC Servers
HR Forms
Legacy
HR Systems
• NFC
• HR Connect
• eZHR
•Others
Outputs
Business Rules for
HR Processes
Personnel
Folder Access
eOPF for HR Staff
eOPF for Employees
(at work or home)
Electronic
Information
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Sampling Definitions
•
The following definitions apply in the Assessment process:
– Document – The record of an event or action that has occurred for an
employee. A document can be either paper-based or electronic. A
document can be single or multi-paged.
– Page – A piece of paper that is either all or part of a paper-based
document. A page can produce one or two electronic images.
– Image – The resulting electronic equivalent of one side of a page. The
number of images will always be higher than the number of pages.
However, due to the removal of blank back-sides and / or instruction
pages, the average ratio of images to pages will be less than two to
one.
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eOPF Installation and Initialization
Installation:
• Environment Setup at NBC
•
•
•
•
Configure Servers and SAN
Build Oracle Schemas
Load e.POWER software suite
Load eOPF software
• Accreditation
Initialization:
• User Account Setup
– Folder Creation Process*
– Notify Employees via Letters* vs. Email (if email addresses provided
for Folder Creation Process)
– Pre-load Employee Data
– Pre-load Email Addresses via Agency Data Feed*
– Verify HR Connect interface for employee data and SF 50 data
•
Go Live Strategy
– Pilot (Limited Rollout)
– Selected HR Personnel
– Administrators
– Full Deployment
– Employee access
* Dependent on agency requirements
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eOPF Customization
Customization:
• Online Messages to Employees
• EHRI OPF Logon Page
• OPF Agency Welcome Page
• Welcome Letter
• Mailed with initial instructions
• Password Letters
• New employees
• Reset requests
• Frequently Asked Questions (FAQs)
• Baseline file provided
• Modifiable for agency specifics
• User Groups and Roles
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Sample Splash Screen
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eOPF Initialization & Customization Options
Access Controls:
• Organization Structure
– POID
– Org Code
– Activity Code
•
Supervisor Flag
User Roles:
• Types
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User (Review their OPF)
Supervisor (Review Subordinates OPFs)
HR Specialist (Create, Review and Modify OPFs)
Investigator (Review specific OPFs for limited time frame)
Administrator (Perform system admin functions, reset passwords)
Update Options
– Changes By HR Specialists - Manual (Assumes Privileges)
– Changes Via Employee Data Feed* - Automated
* Dependent on agency requirements
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Sample Agency Structure
HUD
Personnel Office
(A)
Organization (1)
Personnel Office
(B)
Organization (2)
Organization (1)
Organization (2)
Activity (A)
Activity (A)
Activity (A)
Activity (A)
Activity (B)
Activity (B)
Activity (B)
Activity (B)
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eOPF External Interfaces
Employee
Data
Impor
t&
Scan
eOPF
Forms
• SF 50
• SF 52
• Other
Backfile
Conversio
n
SF-50 Feeds:
• HR Connect Interface
• Pushed to NBC via Connect:Direct
• ICD XML format
Are
additional
interfaces
required?
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eOPF External Interfaces (Con’t)
Employee Data File
• Access to electronic employee data thru HR Connect
• Table Views or Interface Files
• Data files are in ICD defined XML format
• How will it be delivered?
• What is the Update Cycle? (e.g. Daily, Bi-weekly)
• Agency Rules for Updating eOPF (Special Processing Rules)
– Create eOPF and accounts for new employees?
– Notify employees via email?
– Automatically change eOPF user roles and access privileges
Agency SSN List:
• Used to validate SSN’s by the conversion vendor as part of
inventory process
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eOPF Backfile Conversion Review
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•
•
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Common Issues
Agency Packing and Shipping Process
Conversion Contractor Process
Issue Folders
Folder Access During Conversion
Load Process
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Common Issues
Purpose:
• Capture, digitize and index hardcopy OPFs
Common Conversion Issues:
• Document Quality
– Bleed-Through
– Corners of Pages Torn or Missing
– Odd Sizes – brochures, pin-feeds, scraps of paper, etc.
•
Forms
– Unknown Form Types
– Invalid Form Numbers
– Forms Found on Wrong Folder Side
•
Data
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–
–
–
Key Values Missing
Incorrect SSN on Form
NOA Missing, Out of Range, or > 2 Shown of Form
Many Others…
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Backfile Conversion – Physical Process
Agency Packing and Shipping Process:
• Folder Purge*
• Folder Preparation
– Agency reviews content and improves condition of OPFs*
– Send SSN List to conversion vendor
•
•
•
Conversion contractor provides boxes, box labels, bags and ties
Tape is not provided to seal the boxes
Packing and Inventory
– Agency packs boxes
– Agency records SSNs in Web Inventory Tool
– Agency prints 2 copies of manifest for each box – one goes in box, one
is retained by agency
– Agency prints box label
– Agency closes / secures box
•
Shipping
– Agency ships boxes to conversion vendor
* Dependent on agency requirements
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Backfile Conversion – Physical Process
Shipping Process:
• Shipping (when required)
– Agency releases boxes to shipping vendor
– Agency monitors shipper tracking system*
– Need to factor in international shipping requirements if required
•
Boxes and Pallets
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Approximately 15 OPFs can be held in one box (rough estimate)
A single 4’x4’ pallet can hold 36 boxes
Result = 720 OPFs per pallet
Pallets CANNOT be stacked
Pallets per Truck / Trailer
•
•
Amount of pallets / truck varies based on the dimensions of the truck
or trailer
Number of trucks/trailers will be impacted by the total amount of
OPFs and your agency’s shipping schedule
Truck
OPFs
Truck
OPFs
Truck
OPFs
Truck
OPFs
10’
2,700
17’
4,410
26’
8,280
48’
17,280
14’
3,465
24’
6,300
40’
TBD
53’
19,080
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Backfile Conversion – Physical Process
Conversion Contractor Process:
• Shipping Receipt / Reconciliation
– Scan box labels to confirm receipt
– Match SSNs on manifests to contents of boxes
•
Inventory & Segment
– OPFs are opened and sides are “batched”
– SSN data is dual-keyed to produce segment sheets for OPF batches
– Folders are re-boxed
•
Document Preparation and Unitization*
– Paper corrections – unfold corners, handle scraps, etc.
– Documents are de-unitized – staple removal, etc.
– Separator sheets are inserted between documents
* Dependent on agency requirements
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Backfile Conversion – Physical Process
•
Scanning
–
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–
–
–
•
Pages are scanned (duplex) in their entirety at 300 dpi
Review of image quality, check for misfeeds, etc.
Run de-speckle, de-skew processes
Automated detection / removal of blank pages
Folders are moved to document de-prep
Unitization
– Automated process defines document breaks*
•
Coding
– Performed according to Business Rules and Master Forms List
– Record metadata for images: SSN, Form Number, Form Type, NOA
Code (1), NOA Code (2), Effective Date
•
Coding QC
– Perform statistical sampling of representative data
•
Delivery
– Images converted to documents (.PDF) and associated metadata is
attached
– Post documents and metadata to physical transfer media
– Upload data to eOPF Host Server/SAN from transfer media
* Dependent on agency requirements
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Backfile Conversion – Physical Process
•
Document De-Prep
– Standard OPM practice is to leave separator sheets in place and
rubber band the material back into the folder without reattaching the
material to the Accobinder spines
 Option: follow agency rules*
 Removal of batch cover pages
 Removal of separator sheets
 Placement back in Accobinders
– Validate OPFs against box manifests
– Secure boxes for return to agency / storage location (NARA, etc.)*
– Record tracking numbers in the system
•
Document Release
– Folders are returned to agency / storage location (NARA, etc.)*
•
Reporting
– Conversion metrics reports will be available
 Total number of OPFs received, scanned, and delivered
– Priority request and issue folder reports will also be provided
* Dependent on agency requirements
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Backfile Conversion – Physical Process
Issue Folders:
•
Mismatched SSN Documents
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•
Identifier on Folder Does Not Match Top or Bottom Document
–
•
OPFs received with other folders inside, with the same SSN or a different SSN
Empty Folders
–
•
The SSN identifier on the outside of the OPF does not match the first nor last
document within the OPF
Folders Within Folders
–
•
Paperwork from Person X in Person Y’s folder
No independent effort is made to identify mismatched SSNs
OPFs received with nothing inside
Agency Response to Issue Folders
–
Recommend having a designated resource available to address issue folders as
they come up
There is work associated with Issue Folders for the conversion contractor.
Any issue folder encountered during conversion will result in an additional
charge to the agency.
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Backfile Conversion – Physical Process
Folder Access During Conversion:
•
Short Term Image Access
– During conversion, OPF access may be required
– Inventory Tool – Available following segment inventory and scanning
steps.
 Request is sent for access to a specific SSN
 Limit on the number of requests which can be made per day (15)
 No charge to the agency if within the specified per day limits
•
Emergency Folder Return
– Release of OPF to the agency
– Interruption in process
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Backfile Conversion – Physical Process
Host Load Process:
• Data Receipt
– Monitor data deliveries from conversion vendor
•
Data Loads
– Execute eOPF load processes via eOPF Load Utility
– Monitor error logs
– Report conversion/indexing issues to OPM
•
Data Availability
– Employees Have Immediate Access to Documents*
* Dependent on agency requirements
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eOPF Training
Types:
• End User
• HR Specialist
• Administrator
• Train-the-Trainer
Standard Approach
• ‘Train-the-Trainer’ (TTT) for a pre-defined number of HR
Specialists and Administrators
• Offsite at the Integic Learning Center
– Can be done at agency site if desired
•
Number of attendees
– HR Specialist TTT Training is a 3 day course
 (1 Session, 12 Persons Max.)
 Alternative provides 3 one day sessions with 12 persons attending each day
for a total or 36 trainees. No TTT activities.
– Sys. Admin TTT Training is a 1 day course
 (1 Session, 8 Persons Max.)
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