The Case for Moving  Away from Paper Files

The Case for Moving Away from Paper Files - Description

. Presenters:. . Scott Davidson – California Department of Corrections. . Tom Windfield – FNTI. . John Ward – HP Enterprise. 2. Client: . California Department of Corrections and Rehabilitation. ID: 751729 Download Presentation

0K - views

The Case for Moving Away from Paper Files

. Presenters:. . Scott Davidson – California Department of Corrections. . Tom Windfield – FNTI. . John Ward – HP Enterprise. 2. Client: . California Department of Corrections and Rehabilitation.

Similar presentations

Download Presentation

The Case for Moving Away from Paper Files

Download Presentation - The PPT/PDF document "The Case for Moving Away from Paper Fil..." is the property of its rightful owner. Permission is granted to download and print the materials on this web site for personal, non-commercial use only, and to display it on your personal computer provided you do not modify the materials and that you retain all copyright notices contained in the materials. By downloading content from our website, you accept the terms of this agreement.

Presentation on theme: "The Case for Moving Away from Paper Files"— Presentation transcript:


The Case for Moving

Away from Paper Files


Scott Davidson – California Department of Corrections

Tom Windfield – FNTI

John Ward – HP Enterprise




California Department of Corrections and RehabilitationProject: Strategic Offender Management System (SOMS)Systems Integrator: HPEScanning Vendor: FNTI

Case Profile




CDCR was managing a prison population of 162,000 inmates, the largest in the U.S.Numerous lawsuits all requiring evidence based data Court orders to reduce population and Government reorganization increased requirements to share dataIn 2010, data was maintained in 40 different electronic platforms and paper-based archivesSignificant duplication of files for transfer or release



Business Problems

Misplaced/Checked out filesInmate Scheduling not current or AccurateSecurity IssuesHealthcare records difficult to accessRepetitive staff efforts regarding paper filesStaff did not have immediate availability to the information required to safely supervise offendersCritical offender information is not always updated



Business Objectives

Allow CDCR Institution and Parole staff complete access to offender information within a business dayMeet or Exceed reception center processing times Reduce cost of paper, printing, transporting paper, phone calls, file storage.Reduce the amount of time searching for information, traveling to get/review informationMaintain the privacy and security of prison records




Objectives (Continued)Allow CDCR share data more easilyImprove process for monitoring:Offender classificationOffender movementParole eligibility and monitoringGang membership trackingAllow CDCR to analyze and report on statewide operational data and trends Project Results


Offender Management Information System (eOMIS)


- integrates Custody, Case Records, Classification, Scheduling and soon Parole functionality into a single, centralized data repositoryAvailable to CDCR institutions, parole offices, all administration, and some external agencies increasing access of accurate, complete and real-time informationSOMS introduced a single unique lifetime offender ID, which merged multiple CDCR numbers and electronic records from legacy systems such as DDPS and OBISThis enables access to historical information about an offender no matter when or where they enter our system, or how many times they are admitted, paroled, discharged, and returnedWhat is SOMS? 7



Paper Central Files (C-Files) for inmates, parolees, and many discharged offenders have been scanned to digital images

Scanned discharged C-Files followed by female institutions and ended with male institutionsScanned over 250 million documents - completed in 2014Digital C-Files are now available in real-time, on-line statewideNo more physically pulling, transferring or waiting for filesWhat Is SOMS? (Continued)



About ERMS

ERMS has two major components:

Scanning Application Converts paper and microfiche documents into electronic image file (PDFs)Documents are indexed by CDCR #, Section, Document Type, and Document DateScanned (PDF file) and indexed information (metadata) is stored in a databaseViewer Application Provides access to the electronic documents (PDF files)Organized by CDCR # and Sections (tabs)9


About ERMS - Scanning

Documents are added to ERMS in one of three methods:

Backfile, Day-Forward & Electronic forms (E-forms)Eliminates all Paper documentsEventually only documents received from external agencies and documents requiring inmate signatures will be scanned to ERMS10


Day Forward


Adding new documents to original fileIn the beginning, Supervisors performed extensive Quality Assurance (QA) to verify that documents were properly indexed and scannedSupervisor responsible for conducting periodic on-going QA of scanned documentsDocuments are retained for 90 days before destruction11


ERMS Go-Live

ERMS went live at the Female Institutions on 06/2010 and Male institution on 02/2013

Go-live Tasks:Offices began Day Forward scanning of all NEW documents Reception Centers (RCs) stopped creating a paper C-File for New CommitmentsRC’s existing paper C-Files at the time of Go-live stayed in paperInstitutions began sending C-Files for Backfile Scanning12



Viewer – The End Result



FNTI - Scanning Backfile


Checked-in files – verified that files matched list in boxPrepared FileRemoved tape, staples, and paper foldsOrientated them in the correct directionInserted Barcoded Section SheetsAdjusted scanners to handle specific documents Scanned DocumentsQA and corrected any issues (3 stages)Verified barcodes identifying CDCR # & sections are properly appliedCompared images against the paper C-file to insure no pages were missedReviewed overall quality of scanTransmitted files to CDCR 14


‘Best Practices’

for a paperless project



What about Scanning Onsite

Paper Scanning Onsite

(Recommended if possible)ProsFile never out of CDCR’s control – Better security!Immediate access of filesEliminates the risk of transporting filesConsRequires dedicated office space Can be more expensive but what is the cost of file loss?Possible longer duration depending on the situation Other tasks can be offsite including microforms scanning16


How to retrieve files - Metadata


efine the specific data fields on how to locate filesHow do you search for records now?Determine if you want to classify documents with the fileKeep at a high level – not too many (SOMS had 16)Use all related database to automateCDCR did not do Optical Character Recognition becauseDocuments were handwritten and others very poorRequired substantially more storage space17


Dealing with Exceptions

Most exceptions are reported to Exception Processing Team (EPT) through the ERMS system

EPT’s responsibilities include (only users allowed to):Move documents that were scanned to wrong location (inmate, section/document type) – Day Forward/BackfileRemove Backfile and Electronic FormsRestore documents that were erroneously deletedPermanent redaction of documentsCopy documents to multiple inmate filesPermanently merge files18


Establishing ERMS


Every ERMS user has a login ID and password to identify their profileSecurity profile specifies the sections and features user can performRole and security profile assignment are very complexAudit log that tracks all ERMS activity (view, print, delete, export etc.)When a document is scanned, it is protected by Abobe’s Rights Management (RM)Every time a document is attempted to be viewed, the RM verifies that the user is authorizedIt is even protected by RM, when saved outside of the ERMS systemMust be connected to CDCR network to view itTo provide documents to non CDCR staff, RM is removed and password encryption is added19


Electronic Documents (E-forms


Beginning with the first Classification Committee after go-live, Committee Actions were posted to the ERMS e-form 262Once a file is electronic, postings done on eform 112 in ERMSAt go-live began creating e-form 3017’s in ERMS for all sectionsInternal/external documents are scanned instead of filedDocuments are printed from ERMS rather than copiedWhen documents (non E-forms) need updating, printing, rescan, and deleted from the original form in ERMS Business Process Changes20


Stopped forwarding documents in mail, instead scan document at current location and notify other institution of document

Sticky notes and hand written notations on documents are replaced with electronic annotations performed in ERMS

Changes to permanent annotation are made prior to scanningExternal review of ERMS documents is completed by:Combing documents into a temporary file Apply any necessary redactionsExporting the fileViewing PDF file in Adobe ReaderBusiness Process Changes21


Physical document can no longer be the “trigger” to notify staff that an action is required or due

Replacement processes (trigger) were

developed anytime paper C-File was used to notify that an action is requiredDocuments are scanned at the time they were normally filed in the paper fileDocuments that were removed or replaced in the paper file are now removed or replaced in ERMS What was priority filing is now priority scanningBusiness Process Changes22


Additional Items to Consider

Underestimated learning curve

Underestimated training Some business processes are slower than expectedNo paper document to trigger business flowAnalyze how documents are used:Updated or notes addedArchival purposes or active documents23


Additional Items to Consider

Retrieving audit information is difficult

Did not clearly define the requirementsCurrently storing too much dataSome information takes a while to accessSome information requires technical staff to retrieveResolution of scan based on type of document (fingerprints, photos, colored documents)Dual Monitors are a strong considerationProject Team – CDCR Subject Experts (users) & technical staff working with HP Business Analysts & technical staff24


Reduced spending


paper, consumables and copyingFile shipping, courier and physical storage spaceSecurity and LossLegacy systems and platforms have been eliminatedEliminated Ongoing Support, maintenance and upgradesSignificantly less Labor costs to…..Manage, Maintain and AccessSummary of Benefits



Summary of Benefits


Access to view electronic documents from any CDCR computer with Intranet accessERMS files may be viewed by multiple users at same time Increased work efficiency by eliminating wait time for access to filesIncreased safety for staff and inmatesNo delay and costs incurred by shipping a fileReduce lost or misplaced C-Files26