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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 ([email protected])
Jeff Cadman ([email protected])