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DSHS Personnel File Imaging

DSHS Personnel File Imaging. Presentation for Human Resources Director’s Meeting. Project Scope. In one year: Image all current employee Personnel Files Approximately 17,000 files From 335 Org Key Locations An average of approximately 320 personnel files a week

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DSHS Personnel File Imaging

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  1. DSHS Personnel File Imaging Presentation for Human Resources Director’s Meeting

  2. Project Scope In one year: • Image all current employee Personnel Files • Approximately 17,000 files • From 335 Org Key Locations • An average of approximately 320 personnel files a week • Implement policy, procedure, and training for continuing to image new Personnel File documents Timeline: • Start date - February 2011 • Completed - March 2012

  3. Why? Benefits of Imaging Personnel Files: • Statewide Access • Consistency • Accountability • Public Records Requests • Discovery Requests • Union Requests for Information • Data Requests

  4. MODIS • Once imaged Personnel Files are accessed through the Management Operation Document Imaging System (MODIS) • MODIS is a web based system used by DSHS for storing and viewing imaged documents • Prior to being used for Personnel Files, DSHS used MODIS for certain client records and payroll records • MODIS interfaces with HRMS • Automatically imports HRMS data (personnel number, org key, etc.)

  5. MODIS - Indexing • MODIS allows us to index documents by Document Type • PA40, PDP, Form numbers, etc. • Indexing makes it easier to locate documents within a file • Indexing allows more detailed queries to be run in MODIS • Annual Review Checklist completed between 1/1/2011 and 12/31/2011 • Letters of Reprimand at Western State Hospital in 2012

  6. Indexing • We determined Personnel Files would be indexed into two separate categories: • Back Files (documents already stored in a hard copy Personnel File) • Back Files are indexed by the traditional six sections of a Personnel File • Due to time and cost restraints, back files were not fully indexed by each individual Document Type • This limits future query abilities to the section of the Personnel File, instead of the more specific Document Type • Prospective Documents (Personnel File documents created after the hard copy Personnel File has been imaged and destroyed) • Prospective Documents are indexed by the individual document

  7. Indexing Back Files • Back Files are indexed into the following categories: • PA40 • Personnel • Misc • Training • Evaluations • App-Appt • Like a traditional hard copy Personnel File, Back Files must be looked at section by section to locate an individual document.

  8. What it looks like in MODIS

  9. Imaging Prospective Documents • After the Back Files are imaged, new documents (aka Prospective Documents) are imaged and indexed by the following process: • HR Personnel Representatives complete a coversheet identifying the employee, personnel number, personnel file section, and document type • The HR Personnel Representative mails the documents with the completed cover sheets to the ISSD Imaging Unit in Olympia • The ISSD Imaging Unit scans and indexes the new documents

  10. Indexing – Prospective Documents • Prospective Documents are indexed by section and document type • This allows documents to be searched for by the broader section and the more narrow document type • Below are images of the guide used to index documents

  11. Indexing – Prospective Documents cont.

  12. Indexing – Prospective Documents cont.

  13. Personnel File in MODIS

  14. Lessons Learned • Determining indexing parameters is one of the most important steps for fully utilizing the benefits of imaging personnel files • Making changes to the way you index documents require going back and changing all previously indexed documents or needing to search for records multiple ways based on the date they were indexed • The most difficult step for HR staff has been completing indexing cover sheets • If cover sheets are not filled out correctly they get kicked back into a corrections box within MODIS requiring staff to fix any errors, such as transposing a personnel number

  15. Cost • Scanning = $0.01 per page • 3,350,613 total pages • Total Cost: $33,506.13 • Prepping the files = $27 an hour • 2703 hours total prepping • Total Cost: $72,981 • Total Cost to Image Back Files= $106,487.13 • Ongoing Cost – Imaging new documents • Indexing = $0.19 per document • Scanning = $0.01 per page

  16. Common Questions • What happens when employees leave DSHS for another state agency? • We export the employee file to a CD and send the CD to the gaining agency. The CD comes with a form that contains: • Instructions for viewing the file • Recommendations for properly storing the CD and file • Request to acknowledge receipt of the CD (and that it is working) by signing an enclosed form and returning to DSHS • Upon receipt of the signed form from the gaining agency DSHS has the Personnel File permanently destroyed from MODIS and has the signed form imaged in its place

  17. Common Questions • What happens when an employee retires or leaves state service? • When an employee retires or leaves state service the Personnel File remains in MODIS. It is less expensive to store a file electronically in MODIS than it is to store in State Archives.

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