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ECM Case Study, Best Practices: Capture, Store and Retrieve Electronic Files

Presented by:

Scott Rempel

Connected Government: Federal Agency Best Practices

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Helping Modernize Government One Stage at a Time

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Program Overviews

Captiva 5.3, 6– Scanning – OCR– Status Reporting– QA

Documentum 6, 6.5– Case creation– Contention insertion– Data tracking– Searching– Modification– Content transfer

We are working with other agencies to help digitize records and correspondence, and allow for tracking and other flows

Goals:Flexible solutionsExtensible solutionsMeet the needs of the customer

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Program Goals

Greater productivity

Transparency to by management and by system administrators

Reduced total cost of ownership

Ability to handle future, unknown demands

Common System of Record

Ability to enforce Record Management rules and guidelines

Ease of use

Integration to the Enterprise Architecture

While each agency has their own missions and goals, common themes span our clients

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Various Program Needs

Flexible scanning

High rate of content updates

Ability to handle many content types and inputs

Ability to transfer data both inside and outside of the agency

High level of tracking

Some want “Keep it in the box”

Some want “Completely different front end”

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Benefits and Successes

Installation / upgrades of latest versions

Ability to “re-arrange” scanning

Low customization / High customization

Flexible design

Extensible

Integrating with other COTS/Legacy

Case Study:Office of Personnel Managemente-Clearance Initiative: Capture, Store and Retrieve

Connected Government: Federal Agency Best Practices

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Overview

Program Overview

Agency Background

System Architecture

Current Initiatives– Doc Prep/Barcoding– Custom Processes– ScaleServer– Custom Reports– Dispatcher/IDR

Future Initiatives– eInput– Input Management Console– InputAccel 6.0

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Program Overview

The e-Clearance Initiative was launched in 2002 to ensure that policies and procedures are in place to improve and streamline the security clearance granting process.

2004 2005 2006 2007 2008 2009+

Imaging POC ScaleServer New Process Reporting DispatchereInputIMC

IA 6.0

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Agency Background

OPM performs over 90 percent of all background investigations– Over 5,000 cases per day, average case size 50 pages each– Case workload projected to double by 2012 (>500M pages/year)

Investigative Process OverviewCopy & Mail

Case Docs

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Core Needs Addressed Through Imaging Project

Facilitate creation of an Electronic Case File– Provide images to OPM’s Investigative Case Management system– Deliver case packages to partner agencies electronically– Consolidate multiple data streams into a single package

Reduce time to adjudicate investigations cases via smart routing– Enable OPM to meet National Intelligence Directive timeliness standards– Reduce case processing time from 300 days (at system startup) to 60 days by

December 2009– Provide access only to required case elements– Enable quick reassignment of responsibility

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System Architecture

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Doc Prep/Barcoding

Need: Reduce data entry and maintain case integrity when working with high volumes:

Subject lookup

Doc type entry

Enforce QA standards

Generate barcode cover sheets

Benefits:Automated index update Automated batch creationAutomated doc splitting

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Customized Scan Processes

Need: Align the tool with the user’s processes to increase throughput:

Setting scanner configuration

Automatically splitting cases and doc types

Reading barcodes for index information

Expediting cases

Automatically routing cases to Index or Rescan

Benefits:Streamlined scan processReduced operator interactionLarger batches

Customizations introduced to improve system usability:

IACopy utility reduces overhead in Administrator by off-loading completed batches

Extractor outputs IAValues to a database for offline reporting purposes

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Custom Management Reports

Need: Transparency for project oversight– Index reports

Completed batches – Monitor daily productivityUncompleted batches – Identify backlogs or system issuesAll – Quickly locate batches by case number or scan time

– Rescan ReportsSummary report allows user to drill down by reason or scan sourceHistorical reports provide summary statistics

Benefits:Read-only alt. to AdministratorNear real-time updatesMaintain historical batch info

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ScaleServer ImplementationNeed: Provide a flexible and robust scanning environment

ScaleServer provides load sharing capability in a high volume environment

– InputAccel Servers manage their own batches– Unattended modules (Image Enhancement, Multi, etc.) process

batches with minimal impact on capture performance– Start/stop modules to manage workload

Planning considerations– Scan is NOT ScaleServer compatible so physical

layout can influence server load balancing– Reference Installation Guide for details on

ClusterBase Values, Feature Codes, and registry settings before proceeding

Benefits:No single point of failureReduced module latencyHigher operator productivity

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Dispatcher/Intelligent Document Recognition (IDR)

Need: Reduce any “manual touch” by the operators

IDR capability has been developed to improve system scalability as the investigative case load increases

– Reduce Doc Prep time– Improve Doc Type identification accuracy– Reduce Rescan volume

OPM Implementation– Recognize first page of each Doc Type– Apply Classification to following pages until next Doc Type is recognized– Do not use Classification Edit

Lessons Learned– Too much variability in Doc Types to use Standard Templates– Identify unique characteristics of each Doc Type and define HPAs– Use Keywords to discriminate between similar forms

Benefits:Reduced manual entryHigher quality

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Upcoming Initiatives

eInput– Distributed capture capability– Complex effort to deploy and train users

Input Management Console– Automate batch monitoring and response– Provides administrator reporting– Audit system events

InputAccel 6.0– All modules ScaleServer aware– Utilize active/active clustering capability– Share scan volumes across servers– Provides standard reporting capability

The program is implementing additional Captiva products to accommodate the ever increasing investigative case load and to have the system interface more globally

Move capture to doc source

Feed IDR processes

Increased system uptime

Improved productivity

Centralized batch processing

Fault tolerant capture solution

Goals / Benefits

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Business Problems– Government mandates, modernization,

greater transparency, new program goals– High volume, need for flexibility, multiple

content types, external data transfer, reduced manual entry, legacy interconnects, and managing expanding records control needs

Our Solution– Scan, Store, Flow, Transfer– Utilized EMC and other products such as

Captiva, Documentum, and custom development

Realized Benefits– Met / exceeded congressional

guidelines– Increased productivity– Reduced loss / errors– Ability to show value of programs

through cost benefit analysis– Reduced process time, higher

transparency, more control, higher levels of automation, higher quality

– Ability to expand systems for future needs

HANDOUT: Design and Implement Technology Solutions that Enable Agencies’ Business Goals

FOR MORE INFORMATION:Scott Rempel (rempel_scott@bah.com)

Jeff Cadman (cadman_jeffrey@bah.com)