Client Profile
The Texas Commission on Environmental Quality (TCEQ) is the environmental agency for the state. The TCEQ strives to protect the state’s human and natural resources consistent with sustainable economic development. The agency’s goal is to maintain and conserve clean air, clean water, and the safe management of waste.
Challenges
TCEQ was faced with the challenge of finding a comprehensive tool that could efficiently handle the process of converting physical documents into electronic records.
Technical Situation:
- 147 unique sets of records (record series) are managed within the CFR. There are 422 series maintained with different divisions not within the file room. Due to space limitations within the main file room these records must be managed within different divisions within the agency. The TCEQ Central File Room receives an estimated 500,000 documents to be filed annually, requiring the creation of over 50,000 new hardcopy files to store incoming information.
- All agency employees (est. 3,000) within six independent divisions are authorized to submit information to the file room.
- Most record series within the file room are circulated / requested by agency staff, and members of the public. Over 23,000 requests are received by the CFR every year, with 100,000 records circulated. Modify the primary CFR RIM software (InSight) to manage electronic records.
Business Situation
TCEQ had a need to implement a program to oversee the conversion of hardcopy documents to electronic records. All standards were expected to comply with State Statutes 441, Subchapter L, and related Government Codes as published by the Texas State Library and Archives Commission; later it was determined that EPA / Federal requirements must be met to assure the highest quality image is created for long-term preservation and replacement of physical records.
This need included the following:
- Consolidate imaging efforts for all program areas to central on-site group.
- Acquire and maintain the required hardware/software and related infrastructure to perform digital imaging on-site. Utilize already established document coding / submittal procedures to not affect the agencies procedures for document submission to the Central File Room (CFR).
- Develop infrastructure to accept electronic records into the CFR; focusing the imaging requirements on information received in hardcopy format only.
- Implement program within the established contract without acquiring additional funding.
Solution
- PacoTech reviewed the volume of incoming information and identified document scanners needed to meet the agencies imaging requirements; within the proposal PacoTech included the number of scanners required, equipment to image oversize information (maps and plans), and the work area design to optimize the workflow of imaging personnel. PacoTech implemented a stepped approach to scanning, introducing one record series at a time and adding other series as processes and workload allows. With the flexibility of utilizing existing employees and beginning with scanning of records as they are received into the CFR keeping the cost of implementing the program within the agency budget.
- Developed written procedures and onsite training for agency employees. PacoTech leveraged existing hierarchal filing standards to have the least impact on individuals that utilized the file room. Functions not previously available were the primary focus of training; including creating / submitting electronic records, using the RIM software to access electronic records, and understanding the impact and benefits of electronic records management.
- To assure the availability of information PacoTech developed a workflow process that sees that all documents approved for imaging are scanned within 48 hours. Flexibility to prioritize documents within the imaging process assures that disruption to the workflow is minimal when requests must be completed within a shorter time frame.
- To assure quality standards are met the file room set the following expectations:
- All document imaged at 300 DPI
- A page-by-page review is conducted to ensure all hardcopy documents are scanned.
- PacoTech created a custom access database to log all statistical information during document preparation, indexing, imaging, and quality control. This database provides monthly statistical information that is submitted to the agency.
- An automated process to link electronic files submitted by Agency Staff with record inventory managed through the InSight desktop application was established. The process also:
- Creates new inventory items within the application if one doesn’t exist.
- Recognizes incorrectly submitted documents and isolates them for review.
Products and Services Used
- High Production Document Scanners
- Custom Imaging Database – Microsoft Access/Oracle Database
- InSight – Proprietary software
Services Provided by Other Groups or Companies
PacoTech provided all services in developing and implementing solutions.
Achievements
- Implemented a 48-hour turnaround for all documents approved for imaging are scanned.
- Created a customized access database for tracking document preparation, indexing , imaging, and quality control.
Positive Reaction
PacoTech improved document scanning and workflow for agency employees. They implemented training, a flexible process, quality control, and automated file linking through InSight.
Result
Digital imaging has reduced the risk of loss of records, prevents theft and alteration of information, reduces physical storage space, and reduces staff time used to access information. Response time to open records requests has been reduced, as customers can simply access the web to obtain and print copies. Retention and disposition requirements are built into the RIM system, thereby ensuring compliance with retention requirements.