Document Imaging

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. 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. The Mandate Kent Hardin Associate Director, Award Management

11. The Resources Steve ShapiroComputer Services Manager David DoseProgrammer Analyst Web, File & Database Servers David Dose Programmer Analyst

12. The Volume Several Dozen Awards per Week

13. 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. 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. Software

16. Scanning Personnel • Students • Part time employees

17. 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. x x Electronic Storage Before: Storage of documents on local drives x

20. Electronic Storage After: Storage of documents on shared drive

21. Contracts & Grants 32123 Howe Navy budget Agreement FINAL 10.6.06 Specific Aims.pdf 26543-A Agreement 9.18.06.doc Proposals 35353 Nelson NIH Subawards 26543 Altman UC Berkeley Electronic Storage

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 email 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 westcott@caltech.edu

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 emails 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-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)

33. 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

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

36. Current Campus View

37. Current Campus View

38. Current Campus View

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

46. Thank you.

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

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 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