need to review every employee file (content & organization) need for easy, quick, and...
TRANSCRIPT
The Case for Change…
• 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
Necessary for my job
Allows me to be a thorough editor
Allows me to locate files
Allows me to be more productive
Negatives of paperRisk of loosing paper files
Limited space to keep paperHarmful to the environmentCost of using paper is highCreates more work for me
Hard to locate paper files
Source: Adobe Survey
The Setup…
• 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
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
Employment HRPA; HRSP; HRLR; HRPY; HREM; HRTD; HRMI; HRRF; HRCB; HREQ
HRBE-BenefitsHRCB-Criminal Background ChecksHRCM-Confidential MedicalHRCO-Confidential Medical OtherHREM-EmploymentHREQ - Equity DocumentsHRLR-Leave RecordsHRMI-HR MiscellaneousHRPA-Personnel ActionsHRPM-Performance ManagementHRPY-PayrollHRRF-ReferencesHRRR-Requests for Personnel RecordsHRSP-Separation/TerminationHRTD-Training and Development
HR Groups for B-H-EMPLDocument Menu
Document Detail…HRBE-Benefits403(b)457(B)Benefit Deduction FormsDepartment of TreasuryNC-401KNon-Medical Leave of Absence DocumentsRetirement formsShut Down DeductionsVerification of State Employment
HRCB-Criminal Background ChecksBackground Check AutoCBC Documents
HRCM-Confidential MedicalApplications for Disability BenefitsBenefit Enrollment Forms (Life, Medical, Vision, NC Flex, etc.)
Change in Benefits Forms (any benefits)Employee Request for Maternity LeaveFamily and Medical Leave InformationI-94Leave Donations ReceivedMedical CertificationP-46-A (FMLA Form)P-48 (Leave Donations Received)Physician NotesRetirement Form (if retiring due to disability)Termination Form
HRCO-Confidential Medical OtherConfidential CDL Drug Screening DocumentsDisability Reasonable Accommodation Documents
EAP ReferralsFit for Duty Documentation
HREQ - Equity DocumentsP-16 (EEOC Applicant Referral Report)
Document Detail…HREM-EmploymentAcceptance LetterAcceptance of Offer LetterAdditional Duties Confirmation LetterAdministrative Stipend LettersApplication/Resume/CV (ECU and/or State Applications)Casual Employment FormChecklist for Extension of Employment OfferConfidentiality StatementConflict of InterestContracts (DE, Fixed Term, Summer, Supplemental, Tenure Track, Temporary)Conversion Letter (Faculty)Criminal Justice Education & Training FormsDual EmploymentEEO Applicant Referral ReportExternal Activities for PayFaculty AppointmentImplementation of Employee Option to Retain Current EPA/SPA Status
HREM-Employment (con't)Offer Letter/ContractP-19P-20P-27 (Prior State Service)PA-135A (PD-135A ??)Secondary EmploymentStipendTelework Applications/AgreementsTemporary Employment Form
Total State ServiceCertification of Credentials and/or Qualifications
I-94 (Arrival/Departure Record from the Dept of Homeland SecurityLetters re: Stipends & Supplement Payments
NEO Paperwork (not Profile)(indicate each form)
Nepotism Documents
Occasional and Sporadic
Document DetailHRLR-Leave RecordsAnnual Leave RecordsShared Leave DonatedTime SheetsVacation 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 FormsOther Miscellaneous documents
HRPA-Personnel ActionsAdministration of Special Entry RatesCareer Banding Adjustment Worksheets & Letter
Entry RatesIn-range Salary Request Form (and supporting documentation)
Internal Salary Pre-Approval (and supporting documentation)
One FormP-18 (Personnel Recommendation Form)P-21 (Personnel Recommendation Form)PD-105PD-118 (Position Action Form)PD-119/121 (State of NC Personnel Action Form)
Personnel Action Summary FormPM-725 (Legislative Increase)
HRPM-Performance ManagementDisciplinary Actions/Letters to FileGrievance InformationP-24 (Probation to Permanent)Probationary ExtensionProbationary to Permanent StatusWork Plans can be shredded
Document Detail…HRPY-PayrollChild Support GarnishmentEarnings Detail & QueryGarnishmentsLongevity FormsPaycheck adjustmentPD-71PM HisSalary ReductionW-2
HRRF-ReferencesReference LettersTranscript VerificationP-16
HRRR-Requests for Personnel RecordsRequests for Personnel Record Information
HRSP-Separation/TerminationExit Interview/ChecklistsP-88 (Property Assignment Form)Payment of Annual LeaveProperty Assignment FormProperty Equipment TrackingReduction in Force (RIF) documentsResignation/Termination LetterUnemployment Documents
HRTD-Training and DevelopmentAwardsCertificates of Completion of TrainingDissertion Correspondence
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
• 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
• 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
27-Aug
28-Aug
29-Aug
30-Aug
31-Aug1-Se
p2-Se
p3-Se
p4-Se
p5-Se
p6-Se
p7-Se
p8-Se
p9-Se
p
10-Sep
11-Sep
12-Sep
13-Sep
14-Sep
15-Sep
16-Sep
17-Sep
18-Sep
19-Sep
20-Sep
21-Sep
22-Sep
23-Sep
24-Sep
25-Sep
26-Sep
27-Sep
28-Sep
29-Sep
30-Sep
0
200
400
600
800
1000
1200
1400
1600
1800
2000
1237
1147
936
1189
1090
1666
1354
1517
1862
0 0
1295
1840
1636
1145
1239
0 0
13121345
1253
1118
1000
0 0
17791749
1520
0 0 0 0
Xtender Scoreboard/Productivity Report
No. Processed
Record Access
• Restricted through application level,group level and document levelsecurity 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.
• 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
System Security
• New e-docs are stored securely on campus and backed up off campus.
• Space saved via reduction of 30+ file cabinets
Space: The Final Frontier…
• New document images are stored securely on campus and backed up off campus. Very little physical space used.
• 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 e-Records experience; etc.).
• Create quality check points and review them frequently.
• 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
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’sDo 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’sHow 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• 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
• 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])