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

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

David Dose Programmer Analyst

Steve Shapiro Computer Services Manager

David Dose Programmer Analyst

Web, File & Database Servers

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

ResultsKent HardinKent Hardin

a happy Award Management Associate Director

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

Document Management(with low or no budget!)

Mich PaneAssociate DirectorOffice of Sponsored ResearchStanford University

Electronic Storage

Before:

Storage of documents on local drives

x xx

Electronic Storage

After:

Storage of documents on shared drive

Electronic Storage

Contracts & Grants

Subawards

32123 Howe Navy

budget

Agreement FINAL 10.6.06

Proposals

35353 Nelson NIH

Specific Aims.pdf

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. WestcottGrant Manager, Division of BiologyCalifornia Institute of Technologywestcott@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 CalveryAssistant Director, Business Affairs Office of Post Award AdministrationOregon State UniversityKim.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 ProjectsPhase 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 ProjectsPhase 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 Folders Folder Name Search Criteria

Retention Purging

Requirements

Document Description Employee Employee PAR FY; PAR QTR;

PAR ORG; ID; Name 8 Years Purge at end of

retention period

PAR Forms - DRAFT

OP

AA

Sta

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PA

A S

taff

Dep

artm

ent S

taff

Dep

artm

ent S

taff

Ban

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Pro

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esB

anne

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sses

Process runs Creates PDFs of the

log files and individual forms

Process runs Creates PDFs of the

log files and individual forms

New Table (Table1) is updated to store

log informationPidm, fy, qtr, orgn

New Table (Table1) is updated to store

log informationPidm, fy, qtr, orgn

PDFs of Logs and Individual Employee

Forms

PDFs of Logs and Individual Employee

Forms

PDFs are emailed to department

contacts

PDFs are emailed to department

contacts

PDFs are signed by employees and

returned

PDFs are signed by employees and

returned

Signed PAR forms are received

Signed PAR forms are received

Signed PAR forms are scanned and placed in temp

batch by ORGN

Signed PAR forms are scanned and placed in temp

batch by ORGN

All images are renamed with

correct doc type and temp batch is

locked in place

All images are renamed with

correct doc type and temp batch is

locked in place

Query is done on FY/QTR/ORGN

Based on Table 1 All employee files

are returned

Query is done on FY/QTR/ORGN

Based on Table 1 All employee files

are returned

Image in temp batch is opened, employee

determined, and image is dragged and dropped into

the correct folder.

Image in temp batch is opened, employee

determined, and image is dragged and dropped into

the correct folder.

New Process written to compare Table1 data to images in the

system by FY/QTR/ORGN sorted alpha by Employee Name.

Are there other reporting tools needed?

New Process written to compare Table1 data to images in the

system by FY/QTR/ORGN sorted alpha by Employee Name.

Are there other reporting tools needed?

Nolij Doc Types e.g.

PARFYQTRPAR0601PAR0602PAR0603

Nolij Doc Types e.g.

PARFYQTRPAR0601PAR0602PAR0603

ID Name

PAR FY: 06 PAR QTR: 01 PAR ORGN: 0012546

PAR0601 Temp Batch

930896584 Abner, Frank930551965 Fitzgerald, Bobby 915352541 Schmoe, Joe930125487 Sprite, Wood985745859 Tyler, Beth

Employee Files are based on Table1 query results

PAR0601PAR0601PAR0601PAR0601

PAR Form July 1, 2006 – September 30, 2006

930551965 Fitzgerald Bobby

Blah blah blah

Blah blah blah

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

Folder Display Folder Contents Display

Search Bar

Batches

ALL OPAA RolesOPAA Unit

Proposed Draft Nolij Screen08/10/06

Scanned Document is Displayed

Start Date

End Date

Term Date

Grant Information

Title

F&A Basis Rate

CS Method

Fund Information

Orgn

Fund

Repeating rows as needed

Cost Share Information

Index

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

Grant ID Fund

Sponsor ID

Agency Name

PI ID

Subcontract #

Sub: Vendor Name – Last

Grant Status

PI Last Name

PI First Name

Query Results Folder Objects

OPAA: Grant Folder

Subcontract Status

Electronic Grant FolderSearch Criteria

Search Bar Label Grant Fund Sponsor ID

Agency Name

Search Return Grant, all Funds, all

Subcontracts Grant, specified Fund, all

Subs on that Fund all Grants (with all Funds and

subcontracts) related to that agency

Electronic Grant FolderSearch Criteria

Search Bar Label PI ID & Name PI Last Name PI First Name Subcontract # Sub-Vendor Name Subcontract Status Grant Status

Search Return All Fund folders (with its

Grant folder) for any fund with that PI

Grant, specified Fund, specified Sub

Form:

Form Display Information About Grant

Form Fields Grant Information

Fund Information

Cost Share Index Notes

Form Labels Title, Start Date, End

Date, Term Date Organization, F&A

Basis, F&A Rate, Cost Share Method

OPAA Work Flow Trays

New Awards Pending Awards New Awards, Future

Dated Amendments No Cost Extension Holding Accountant 1 Accountant 2

Accountant 3 Accountant 4 Accountant 5 Accountant 6 Fellowship Distribution Subcontract Writer Subcontract Accountant Completed

Grant Folder Document Types

DocType Name DM Project Document TypesA/R - Cash Receipts Accounts Receivable Cash

ReceiptsA/R – Invoices Accounts Receivable InvoicesA/R – Ledger Billing SheetAward – Amended Admended AwardAward – OPAS OPAS FormsAward – Original Original AwardAward Info/Budget Award InformationSheet/budgetCloseout Closeout DocumentsCorresp – Authorizations AuthorizationsCorresp – External External CorrespondenceCorresp – Internal Internal Correspondence

Grant Folder Document Types

DocType Name DM Project Document TypesExpend – Documents Expenditure DocumentationExpend – High Risk Expenditure Documentation – High

Risk Monitoring PlanFellow - Appt Form Fellowships - Appointment FormsFellow – Authorizations Fellowships - AuthorizationsFellow – Checklist Fellowships - ChecklistFellow – Correspondence Fellowships - CorrespondenceMiscellaneous MiscellaneousProp – Amended Admended ProposalProp – Original Original ProposalReport - Cost Share Cost Share Report

Grant Folder Document Types

DocType Name DM Project Document TypesReport – Financial Financial ReportReport – Technical Technical ReportSub – Amendment Subcontract - AmendmentSub – Closeout Subcontract - Closeout

DocumentationSub – Correspondence Subcontract - CorrespondenceSub - Cost Share Subcontract - Cost Share ReportsSub – Invoice Subcontract - InvoicesSub - Original Contract Subcontract - Original ContractSub - 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