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Document Imaging Panelist : Kim Calvery, Asst. Director – Business Affairs Office of Post Award Administration, Oregon State University Panelist : Michiko.

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Presentation on theme: "Document Imaging Panelist : Kim Calvery, Asst. Director – Business Affairs Office of Post Award Administration, Oregon State University Panelist : Michiko."— Presentation transcript:

1 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

2 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?

3 What problem are you trying to solve by scanning? –Document retention –Storage space –Document distribution

4 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?

5 Who will do the scanning? –Staff –Student –Contractor Frequency Dependability

6 What resources do you have to throw at the problem? –Personnel –Finances

7 How will you evaluate the results? –Reduced storage needs –Fewer phone calls seeking document delivery

8 Office of Research Services and Administration University of Oregon

9 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.

10 Office of Research Services and Administration The Mandate Kent Hardin Associate Director, Award Management

11 Office of Research Services and Administration The Resources David Dose David Dose Programmer Analyst Steve Shapiro Steve Shapiro Computer Services Manager David Dose David Dose Programmer Analyst Web, File & Database Servers

12 Office of Research Services and Administration The Volume Several Dozen Awards per Week

13 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.

14 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

15 Office of Research Services and Administration Software

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

17 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)

18 Document Management (with low or no budget!) Mich Pane Associate Director Office of Sponsored Research Stanford University

19 Electronic Storage Before: Storage of documents on local drives xxx

20 Electronic Storage After: Storage of documents on shared drive

21 Electronic Storage Contracts & Grants Subawards Howe Navy budget Agreement FINAL Proposals Nelson NIH Specific Aims.pdf Altman UC Berkeley A Agreement doc

22 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

23 Award Distribution - Recipients Within Office of Sponsored Research – Accounting – Accounts Receivable Departments – Principal Investigators – Administrators Other campus offices – Property – Procurement

24 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

25 Award Distribution - Process Scan the documents to.pdf Save file on server Distribute via attachment to all parties – Create address book nicknames for each department

26 Award Distribution - Benefits No photocopying Doesn’t get lost Quicker distribution Remote access to documents Electronic copy for e-filing

27 What tools to you need? Scanner Server Adobe Acrobat

28 Document Management (with a budget) Samantha J. Westcott Grant Manager, Division of Biology California Institute of Technology

29 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

30 Current State Gift/Endowment Team implemented Xerox DocuShare in 2005 Sponsored Research scans and s award documents. Electronic documents stored on shared server –G/E team: DocuShare copy is official record –OSR: Hard copy is official record

31 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

32 More Current Issues Documents must be re- ed any time somebody needs a copy Hard copies still printed and stored all across campus Immense toll on 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)

33 June 2007: Implementation Sponsored Research/Project Accounting to go live with DocuShare Documents no longer ed to campus users Campus users will access documentation through web interface –One access for OSR, Project Accounting, G/E Team documents for all customers

34 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

35 Current Campus View

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39 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

40 June 2007 Campus View

41 Soon-to-Be Campus View

42 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

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46 Thank you.

47 Document Management (with a budget) Kim Calvery Assistant Director, Business Affairs Office of Post Award Administration Oregon State University

48 Oregon State University Overview Participating Central Offices – Business Affairs – Graduate School – Registrar – Admissions – Financial Aid – Human Resources

49 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

50 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

51 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

52 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

53 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

54 Effort Report (PAR) Folders Document Types Folders Folder Name Search Criteria Retention Purging Requirements Document Description Employee PAR FY; PAR QTR; PAR ORG; ID; Name 8 Years Purge at end of retention period

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60 Electronic Grant Folder Search 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

61 Electronic Grant Folder Search 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

62 Form:

63 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

64 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

65 Grant Folder Document Types DocType NameDM Project Document Types A/R - Cash ReceiptsAccounts Receivable Cash Receipts A/R – InvoicesAccounts Receivable Invoices A/R – LedgerBilling Sheet Award – AmendedAdmended Award Award – OPASOPAS Forms Award – OriginalOriginal Award Award Info/BudgetAward InformationSheet/budget CloseoutCloseout Documents Corresp – AuthorizationsAuthorizations Corresp – ExternalExternal Correspondence Corresp – InternalInternal Correspondence

66 Grant Folder Document Types DocType NameDM Project Document Types Expend – DocumentsExpenditure Documentation Expend – High RiskExpenditure Documentation – High Risk Monitoring Plan Fellow - Appt FormFellowships - Appointment Forms Fellow – AuthorizationsFellowships - Authorizations Fellow – ChecklistFellowships - Checklist Fellow – CorrespondenceFellowships - CorrespondenceMiscellaneous Prop – AmendedAdmended Proposal Prop – OriginalOriginal Proposal Report - Cost ShareCost Share Report

67 Grant Folder Document Types DocType NameDM Project Document Types Report – FinancialFinancial Report Report – TechnicalTechnical Report Sub – AmendmentSubcontract - Amendment Sub – CloseoutSubcontract - Closeout Documentation Sub – CorrespondenceSubcontract - Correspondence Sub - Cost ShareSubcontract - Cost Share Reports Sub – InvoiceSubcontract - Invoices Sub - Original ContractSubcontract - Original Contract Sub - Other ReportsSubcontract - Other Reports

68 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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