An Enterprise Approach to Document Management at Penn State

In educational institutions, the cumulative impact of paper transactions can be overwhelming. Record retention demands are such that unless departments (and organizations) have a strategic plan for document management, they will outgrow their physical space. Storage issues aside, colleges and universities also strive to find affordable ways to address disaster recovery concerns and compliance issues that relate to privacy and document retention.

An electronic document management system (EDMS) helps colleges and universities address these concerns. It also offers the potential to automate processes and improve student services by providing instant access to student documents. Administrators at The Pennsylvania State University (Penn State) recognized that in terms of efficiency, an EDMS provides superior capabilities when compared to paper processes. Witnessing the dramatic successes that departments experienced after adopting electronic document management, Penn State administrators prioritized the implementation of an EDMS throughout the entire enterprise, including remote campuses.

Early EDMS use at Penn State

In the late 1990s, different departments at Penn State started using Optical Image Technology (OIT), Inc.’s DocFinity® suite for their EDMS needs, which at that time mostly involved the scanning and storage of documents. Initially, Penn State purchased a test license from OIT in 1997, and progressed to a DocFinity Enterprise license in 1998. At this point, EDMS implementations were decentralized—each department was responsible for its own additional support, funding, maintenance, security, and infrastructure.

Every time a department implemented document management, it had to start from scratch in terms of forming a knowledge base, configuring the architecture, providing manpower, and training end users. Funding, resources, and security were constant challenges. At the time, the Office of the Physical Plant, Human Resources, Undergraduate Admissions, and the Office of Student Aid all had developed installations on their own.

As multiple departments improved their efficiency by transitioning from paper to electronic processes, the demand for electronic document management (EDM) products and services grew. Upper management at Penn State soon realized that document management was a university-wide need that had to be given a high priority.

After conducting a thorough review and analysis, Penn State’s Department of Administrative Information Services (AIS) decided upon a solution that involved augmenting the enterprise document management software site license with centralized infrastructure and staffing. The goal was for any department in need of the service to be able to take advantage of free centralized services without exhausting their budgets or having to dedicate staffing personnel for the project.

A centralized approach to EDMS

Penn State initiated extensive planning with respect to infrastructure, networking, and consulting services prior to implementation. The planning process, from funding to implementation, took approximately three years. Funding had to be secured and allocated for a centralized service beyond the enterprise license. This would cover infrastructure costs and the salary to hire a full-time, in-house document management consultant. The consultant would be responsible for installing the software, training users in scanning and indexing, and providing setup, maintenance, upgrades, and support. Individual departments would be responsible for supplementary costs such as workstations, scanners, and employees for the client side input.

The progression to a centralized service involved approval, funding and implementation of hardware infrastructure, software configuration, hiring support staff, and testing a pilot installation. To accomplish the last task, Penn State asked one of the decentralized departments that already had an established document management installation to serve as a test site for its prototype. The prototype proved to be successful; as a result, AIS announced in September 2006 a Centralized service. Demand has been growing steadily. As of June 2007, the system already had 18 departments in production, 13 in test, and 10 departments on the waiting list for service.

Each area now has a choice regarding how to use the service and how to spend its own funding toward the project. PSU departments and campuses can install, integrate, and configure the system to suit specified needs. Central funding dollars benefit the entire campus, ensuring that all departments have access to EDM regardless of their resources. Shelley Butler, the Document Imaging Consultant with AIS, oversees implementation and evaluates the unique needs of the different departments.

Implementation phases

With each installation, there are three phases: Test, Acceptance, and Production. The three phases involve a separation in both process and physical infrastructure. Butler explains, “During the Test phase, departments are set up in a test environment, which includes a Web and Database server. This serves as a safe environment for testing and troubleshooting. For most departments, this is usually a discovery and learning phase, where users receive extensive training.” Butler meets with representatives from individual departments to assess their needs. Some departments primarily need scanning and indexing capabilities; others might have a need for bar coding, workflow, or a print/fax server through AIS. Butler provides services to any of the twenty campuses within the Penn State system and their respective departments, as well as Penn State’s Hershey Medical Center and the Dickinson School of Law.

Butler evaluates departments’ technology needs and works with users to establish ways in which they can streamline their processes. She says, “At this juncture, I configure a preliminary structure for each department’s unique filing system. By talking with end users, looking at labels on filing cabinets and paper folders, and determining which documents are typically retrieved, I can duplicate electronically the business processes of departments that are transitioning to an EDMS.” During the Test phase, paper is scanned and stored electronically, after which all stored items are deleted. Different levels of authorization are configured for different users, and rules are used to ensure security. The structure and setup that are configured during the test phase are retained for later use during Acceptance, to which departments progress after the Test phase.

During the Acceptance phase, departments’ information is set up based on the structure from the Test phase, with any adjustments that are warranted. Butler says, “Users have the ability to scan some documents on the spot as a test, and to determine whether the structure that was developed during the Test phase needs to be adjusted. After they are comfortable with the conversion from paper to electronic processes, and they are confident and comfortable with their new setup, departments move to the Production phase. It is always the client who determines when to migrate to the next phase. It is imperative that users are comfortable with the new system in order for it to be successful.”

Production is the last phase in which the client is completely migrated to a live EDMS. At this point, clients provide document retention schedules to AIS, who has the ability to automate record retention schedules using hierarchical storage management (HSM) software. A Memorandum of Understanding, which outlines the responsibilities of AIS and the end user office, is signed by both parties. The client (department) defines the users and what rights each user should have.

Butler’s experience and knowledge with the DocFinity EDMS enables her to make recommendations and troubleshoot effectively. Her unique perspective allows her to learn from each implementation at Penn State, and to share the acquired knowledge with other departments. Consequently, when one area does something innovative with the software, she is able to share that breakthrough with other departments. Penn State is successful because with DocFinity, the university has made EDM technology and support available and accessible to all campuses and departments regardless of their resources. Butler states, “DocFinity offers the ability to pull from multiple database locations and from the mainframe system, allowing different departments to access both student and financial information. There is great variation in the ways in which different departments are using the system, reflecting the diverse needs of the different departments.”

Improving efficiency and student services

With DocFinity, users have capabilities that were unimaginable using a paper-based system. Departments can retrieve a document from the DocFinity reservoir with a mainframe screen in the background. They have the ability to scan and to access their documents and the information within them using PowerIndexing. Users can even click on a button that allows them to import data directly from the mainframe. Butler adds, “DocFinity gives users the ability to point to (and draw information from) multiple data repositories. This gives them greater flexibility and makes their processes more efficient.”

A look to the future: Simplifying audits and the faculty search process

DocFinity is used for the university’s purchasing card transactions, which involve the scanning and indexing of reconciliations and receipts and are audited regularly. DocFinity has simplified the auditing process of these transactions, since departments can demonstrate that transactions take place on a trusted network. Auditors receive authorization cards, which give them permissions to view (but not alter) transactions and data, thereby maintaining network security and privacy. This simplicity with audits will be available to any department that adopts DocFinity.

At the Penn State Dickinson School of Law, administrators are considering the use of DocFinity for faculty and executive searches. These extremely paper-intensive processes can be automated using a DocFinity implementation that is similar to the solution that is in place within the Human Resources (HR) department. HR uses an on-line job vacancy system, through which applicants can upload resumes and cover letters. This action kicks off an automated process that involves the DocFinity Web services API (which allows behind-the-scenes integration), DocFinity Workflow (which automates processing), and the DocFinity Core (which provides imaging capabilities). Administrators want to use the same technology for VP, Provost, and faculty searches. Automating the faculty search process would make it more efficient, and eliminate the need for extensive paper reproduction.

An EDMS model for other institutions

By making an EDMS available to its entire enterprise, Penn State has shown vision from which other colleges and universities—regardless of their size—can learn. The university has provided leadership, developed a document management infrastructure, and dedicated staff to IT, ensuring success while transitioning from paper processes to electronic. With DocFinity, Penn State has laid a foundation that will perpetuate continued gains for all campuses and their constituents.