CENDI/96-3
CENDI ANALYSIS OF
SCANNING/OPTICAL
CHARACTER RECOGNITION
POSITION DESCRIPTIONS
Submitted by
Position Description Task Group
CENDI Information Exchange
Working Group
Prepared by
Gail Hodge, CENDI Secretariat
Information International Associates, Inc.
Oak Ridge, Tennessee
January 1997
POSITION DESCRIPTION TASK
GROUP PARTICIPANTS
Barbara Bauldock, Chair (DOE/OSTI)*
Charlene Luther (DOE/OSTI)*
Ken Hohenbrink (DOE/OSTI)
Doreen Owens (DOE/OSTI)
Helen Viel (DTIC)*
Lou Knecht (NLM)*
Nadgy Roey (NLM)
Larry Placanica (NTIS)*
Sue Feindt (NTIS)
Kris Vajs (NTIS)
Gail Hodge (CENDI Secretariat)
Other Government Agency
Contacts
Shirley Edwards (NAL)
Carl Fleishaur (LoC)
* Indicates person established
as a point of contact by the agency.
CENDI is an interagency cooperative
organization composed of the scientific and technical information
(STI) managers from the Departments of Commerce, Energy, Defense,
Health and Human Services, Interior, and the National Aeronautics
and Space Administration (NASA).
CENDI's mission is to help improve the
productivity of Federal science- and technology-based programs
through the development and management of effective scientific
and technical information support systems. In fulfilling its
mission, CENDI member agencies play an important role in helping
to strengthen U.S. competitiveness and address science- and
technology-based national priorities.
1.0 INTRODUCTION
2.1 CENDI
Agencies
2.1.1 Department of Energy/Office of Scientific and Technical Information
2.1.2 Defense Technical Information Center
2.1.3 National Library of Medicine
2.1.4 National
Technical Information Service
2.2 Non-CENDI
Government Agencies
2.2.1 National Agricultural Library
2.2.2 Library of Congress
2.2.3 Congressional
Record
2.3 Private
Sector Organizations
3.0 ANALYSIS
4.0 RECOMMENDATIONS: SUGGESTED SCANNING/OCR POSITION DESCRIPTION LANGUAGE
5.0 CONCLUSION
APPENDICES
Appendix I CENDI Survey of Position Descriptions/Grade Levels/Pay Series for Scanner Operators and
OCR Technicians
Appendix II Position Description Comparison Chart
At the request of the CENDI Principals (May 29, 1996), the
CENDI Information Exchange Working Group organized a task group
to discuss the issues related to the position descriptions for
scanner and optical character recognition (OCR) operators. The
purpose was to discuss changes brought about by the
implementation of electronic document management system (EDMS)
technologies, to review the status and appropriateness of current
position descriptions, and to make appropriate recommendations.
The task group developed a survey form to collect relevant
information from CENDI agencies, including position titles, grade
and series information, and comments concerning changes based on
the introduction of EDMS technologies. (The survey questions used
to collect information are provided in Appendix I.) In addition,
position descriptions were collected from the National
Agricultural Library (NAL), the Library of Congress, and the
Congressional Record, government agencies known to be heavily
involved in text scanning. The survey information and non-CENDI
position descriptions provided background material for the task
group meeting held at the Department of Energy on October 1,
1996, with Barbara Bauldock, the Information Exchange Working
Group Chair, moderating. Representatives from the National
Library of Medicine, the Defense Technical Information Center,
and the National Technical Information Service were present. In
addition to Ms. Bauldock, technical representatives from the
Department of Energy, Office of Scientific and Technical
Information, Oak Ridge, TN, participated by videoteleconference.
A list of agency representatives is provided in the front of this
document.
The initial findings of the task group were presented at the
CENDI Principals Meeting of October 16, 1996.
Modifications to the analysis were requested by the Principals,
and are included in this report.
The following observations were made:
Conclusion and Recommendations
In order to support the development of appropriate PDs, the
task group presents language that can be incorporated into new or
existing PDs. This language emphasizes the use of microcomputers
and, for advanced positions, an understanding of scanner and OCR
technologies. It also emphasizes the need to identify the
potential quality of the systems output and how to adjust the
equipment to correct it, or when to reject material as being
unscannable.
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1.0 INTRODUCTION
At the request of the CENDI Principals, the Information
Exchange Working Group organized a Technology Task Group on
position descriptions for personnel involved in optical scanning
and optical character recognition (OCR). This project was an
outgrowth of the Information Exchange Working Group's review of
optical scanner and OCR technologies among the CENDI agencies.
The purpose was to discuss changes brought about by the
implementation of electronic document management technologies,
the status and appropriateness of current position descriptions,
and to make appropriate recommendations.
Prior to a formal meeting, the Senior Analyst developed a
draft survey form to collect relevant information regarding
current and previous position titles. Grade/series information
was also collected. This survey form was reviewed and modified by
the task group via e-mail. The survey forms were distributed to
the representatives and the information returned to the Senior
Analyst. The Senior Analyst compiled a comparison chart and brief
textual analysis for presentation at the task group meeting.
The task group meeting was held on October 1, 1996 at the
Department of Energy moderated by Barbara Bauldock, Information
Exchange Working Group Chair. Representatives from DTIC, DOE,
NLM, and NTIS were present. The DOE OSTI staff based in Oak
Ridge, TN, participated by videoteleconference. The participants
and their respective agencies are listed as front matter to this
document. At this meeting, the task group members reviewed the
data collected via the survey form, provided additional
information, and made initial observations and recommendations.
The initial deliverable from this meeting was a presentation
to the CENDI Principals on October 16, 1996. (A copy of
the overheads is available from the CENDI Secretariat upon
request.) Following the presentation, the Principals clarified
some of the opinions expressed by their representatives and asked
for modification to the final report. The Principals agreed with
the recommendation that language which could be incorporated into
new or existing PDs be developed by the Task Group.
This report reviews the information presented by each agency and the information collected from three other government agencies with digital library projects underway,the Library of Congress, the National Agriculture Library, and the Congressional Record. An attempt was made to include private sector organizations in this analysis, but no relevant position descriptions were provided. The information collected is analyzed for common problems and trends. General observations also are drawn. Suggested language is presented to use by the agencies when developing a position description for a scanner or OCR operator.
2.0 POSITION DESCRIPTIONS
2.1 CENDI Agencies
2.1.1 Department of Energy
There are several positions at DOE involved in the mass scanning and automatic OCR performed on incoming material. The current position titles include Printing Specialist, Offset Press Operator, Offset Photographer, and Technical Information Clerk. The position descriptions have not been changed, because the percentage of the work related to the electronic document management system performed by any one of these staff members is less than 20%. The appropriateness of the current description to the work being performed will only become a concern if the volume of work increases. When the work can no longer be performed optimally as add-on duties to the current positions, OSTI will revisit the arrangement.
2.1.2 Defense Technical Information
Center
DTIC recently changed its position titles and descriptions
related to the introduction of its EDMS equipment and workflow.
The position previously related to micrographics (Xerographic
Specialist) has been retitled Electronic Document Technician.
This position performs all the functions required to create
electronic images and archival quality silver halide master
microfiche, to quality inspect those electronic images and
microfiche, and to prepare diazo microfiche for delivery through
DTIC's Automatic Document Delivery (ADD) subscription service.
The incumbent serves as a systems administrator and
trouble-shooter for the Branch by providing expertise in
identifying, trouble-shooting and resolving a variety of system
software and hardware operating problems. The grade and series
was upgraded to a GS-303-6 based on the additional decisions
required with the new equipment.
The optical character recognition is performed by a Data Verification Assistant. The position was previously titled Data Transcriber. The change in the title indicates a shift from data capture to data verification. The scanning and OCR is now performing the transcription function, converting the hardcopy to electronic. The emphasis for the operator is on the verification and correction of what the technology outputs. The grade and series have also been upgraded for this position to a GS3036 based on the increased responsibility and decision making regarding the quality of the output.
2.1.3 National Library of Medicine
NLM currently has no positions using these technologies.
However, there is an RFCA being developed that includes these
functions. The representatives were not at liberty to discuss the
specifics of the RFCA. The specifications will be shared with the
team when the procurement is completed.
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2.1.4 National Technical Information
Service
NTIS has not changed its position descriptions for the current
staff performing scanning and image-based output for document
delivery. The position titles remain Bindery Equipment Operator
and Micrographics Clerk. The position grades and series remain
XP-7 and GS-350. The XP is in the equipment operator series,
while the GS is the general clerical series.
However, NTIS has on-site contractors performing contract work
for other government agencies that includes scanning and OCR
activities. These on-site contractors have modified their hiring
practices and have changed the pay scale for these positions.
NTIS recently created a DocuTech operator position description at
a GS-5/6 for this outside contract.
Creating the product from the electronic version is getting so
easy now at NTIS that the skill requirements are greatly reduced.
The Xerox DocuPrint 6135 requires only loading of paper and
taking the books out of the hopper when they are completed. The
DocuPrint also has full binding capabilities. Future plans call
for only one DocuTech (the predecessor to the DocuPrint) to be
maintained. The DocuTech requires more operator intervention.
NTIS employees manning the DocuPrints/DocuTechs are XP-7's,
positions with salary levels which may not be competitive with
other Federal positions or with contract costs for performing
similar work. Replacing incumbents lost through attrition with
GS-5/6 level personnel or contracting out the work may be a
necessary cost containment move for NTIS in the future.
While the technology is getting easier to use, the operators
are making more decisions with the scanner than with the TDC
camera, the technology being replaced. The pre-scan stage, where
potentially difficult pages to scan are identified, requires keen
judgement. The person performing the pre-scan is almost
evaluating the importance of the document content.
NTIS currently is scanning reports only when they are requested for document delivery. A group is meeting at NTIS to discuss the scanning of newly received reports.
2.2 Other Government Agencies
Three non-CENDI government agencies were contacted regarding
their scanner/OCR related position descriptions. Both the
National Agricultural Library and the Library of Congress have
digital library initiatives.
2.2.1 National Agricultural Library
The National Agricultural Library has not changed the title
from Library Technician (Data Transcription), but the position
description has been changed. The modification to the description
includes the requirement to use a microcomputer and understanding
of the scanner and OCR software. The grade/series remains a
GS-1411-7, which is in the library technician series.
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2.2.2 Library of Congress, Digital
Library Project
The Library of Congress has five position descriptions for
Digital Conversion Specialist, located in the Production
Coordinating Group of the National Digital Library program. In
consultation with the Library's custodial divisions, the
Production Coordinating Group oversees the preparation and
digitization of the historical collections. Activities include
coordinating the organization, preservation and description of
original archival materials; arranging for and monitoring the
work of contractors who reproduce the items in digital form; and
overseeing the placement of the delivered materials in a digital
repository.
The GS-7/9/11/12 positions are in the GS 1001 series. In the
developmental capacity of the GS-7, the Digital Conversion
Specialists work in one or more specialized areas including SGML
markup, multimedia elements, material selection and preliminary
historical research, editorial assistance and computer technical
support to the group. In the GS-9/11/12 positions, the Digital
Conversion Specialist works in increasingly responsible
capacities in these same areas.
The Senior Digital Conversion Specialist and Team Leader are
in the GS-1410-13 part of the librarian series. The incumbents in
these positions serve as experts in the specialized areas
described above, with the exception of computer technical
support.
2.2.3 Congressional Research Service
The Document Technician prepares documents for scanning to the optical disks, scans them, and quality reviews the scanned product before it is written to the disk. This individual also produces paper copies for materials listed on the order sheets for the weekly Selective Dissemination of Information (SDI) service or in the CRS Bibliographic Databases in SCORPIO. Kris Vajs (NTIS) formerly of the CRS, noted that because newer scanners require more than rote operation, the grade levels were changed from a 3/4/5 to a 5/6 following an upgrade of the scanners.
2.3 Private Organizations
The task group attempted to include information from relevant
private sector organizations in this study. The first point of
contact was the National Federation of Abstracting and
Information Services (NFAIS), a major trade organization for
database producers and other information companies. NFAIS last
collected and published information concerning the position
descriptions and pay scales within the database production
industry in 1992. This survey did not include positions for
scanner or OCR operators/technicians. No new information is
available.
General searches on the WWW and specific searches of the
Association for Information and Image Management (AIIM) home page
were also performed. No position survey information was available
free of charge. No information was provided from the Association
for Workprocess Improvement (formerly, the Recognition
Technologies Association), a trade association for data capture
organizations.
Most private sector organizations contacted were hesitant to
share position descriptions and compensation information.
However, Chemical Abstracts Service (CAS) responded with a
position description for a Desktop Graphics Specialist, part of
the desktop publishing for the American Chemical Society (ACS)
journals. The main responsibility is to deal with manuscripts
provided by authors and to scan and enhance the graphics. The
task group considered this position to be too different from the
positions being analyzed within the CENDI agencies, so the CAS
description was not used in the analysis and is not presented in
the comparison chart.
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3.0 ANALYSIS
Scanning and OCR technologies are used both as part of data
capture in the front end of the workflow and at the point of
document distribution. In recently implemented electronic
document management systems, document distribution is performed
by converting an image to another form of output, such as
hardcopy or microfiche. In the case of the front-end data
capture, the staff who currently use this technology were
previously typists, data capture technicians, or proofreaders.
The document distribution use of the technology is generally
performed by someone who previously worked in micrographics or
offset printing.
The technology for data capture is very integrated with the
data capture process. It varies from agency to agency depending
on the workflow and the data to be captured. While scanning and
optical character recognition is likely to remain into the
future, some of this effort (perhaps the majority) will be
superseded by electronic receipt of documents.
The technology for document distribution is less integrated
with the workflow process. It is meant to be performed on an
on-demand basis, taking stored documents in electronic form and
providing output at the request of the customer in a variety of
media and formats. It also may involve the conversion to
electronic form of documents that are in the legacy collection
when they are requested. Electronic to hardcopy conversion will
continue for some time into the future both for domestic and
international recipients.
Upon evaluation of the descriptions that have been modified,
it should be noted that the descriptions incorporate scanner and
OCR technologies simply as additional tools to perform the work,
similar to how the microcomputer was incorporated into the data
capture process several years ago. The major emphasis of the
position description is the work to be performed, not the
technology used to perform it.
It should also be noted that position incumbency has been a
driver during this transition period from hardcopy to electronic.
Current staff, many of whom have been in the positions for many
years, are not necessarily working under the appropriate grades
and series. However, as staff turnover takes place, the need will
arise to provide appropriate position descriptions.
The task group determined that the agencies are generally in a
state of transition with regard to the incorporation of scanner
and OCR technologies. In order to incorporate the new
technologies gradually, agencies retrained existing staff to use
them in revised workflows. The staff generally performed the data
capture functions (most recently via microcomputer or mainframe
terminals) at the beginning of the workflow, or they performed
reprographics functions (blowback to hardcopy, microfiche
production, or photocopying) at the end of the workflow for
document distribution.
The employees in data capture, who may review the OCR output,
were previously cataloging or data capture clerks, or
technicians. Those performing the high speed scanning or
blow-back from the image files were often retrained from among
the offset press operators or reprographic staff.
Transitioning incumbents is an important key to successful
implementation of electronic document management. No organization
interviewed with the possible exception of the LoC National
Digital Library project was able to contract or hire new people
to perform these new functions. Budget constraints and in some
cases hiring freezes as well as employment policies required that
existing staff be used. (More detailed discussions about
retraining are included in "Scanning and OCR Technologies
Among the CENDI Agencies," CENDI/96-1.)
A major concern for the agencies is the allocation of portions
of the EDMS workflow to employees at appropriate levels with
appropriate skills, including the retraining of incumbents as
necessary, and developing completely new PDs only when the
reengineering or replacement of a workflow justifies the effort.
DTIC's EDMS has been in place for approximately five years and
the technologies are well integrated into its workflow. The
reengineering and replacement of the workflow matured to the
point where the PDs could be rewritten appropriately. Other
agencies are still in a pilot or transition phase between old and
new workflows.
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4.0 RECOMMENDATIONS
Although the task group debated the usefulness of drafting a
suggested PD for a scanner/OCR equipment operator, our analysis
indicated that developing language which may be inserted into a
variety of position descriptions, already existing or newly
created, would be more appropriate at this time. This
"plug-in" language describes the major duties of the
scanning/OCR function and states the core competencies
(knowledge, skills and abilities) required.
The suggested language, presented in Section 4.1, identifies
two primary requirements for the use of this technology: the
ability to use microcomputer hardware and software and the
ability to make judgements concerning potential problems in
obtaining the best scanned image possible from the page being
reviewed. An element of graphic artistry is required. Several
organizations noted that time must be spent "training the
eye" to identify what will scan well and what will not. The
operator must decide which image density should be used, which
images require enhancement, etc.
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4.1 Suggested Scanning/OCR
Position Description Language
Assures that the document is identified with the correct
document identifier. Checks each page for visual integrity - the
letters are clear, the entire page scanned, no unusual lines
appear, etc. -- and for completeness.
Adjusts scanner operation based on an assessment of document
quality, i.e., legibility, gray scale requirements, paper
quality, document type, and sizes.
Identifies problems with the equipment and reports them to the
proper authority.
Knowledge sufficient to operate optical disk scanning and
printing technology including knowledge of all optical scanners
to be used in order to determine the most appropriate one and
assuring the document is correctly prepared for that scanner.
Knowledge of the scanning principles, techniques, and
equipment to make judgements regarding the optimal scanning
equipment adjustments for various document types; e.g., gray
scale, two-sided, high-density, paper weight, etc.
Knowledge of microcomputers and the software used to perform
the task.
Knowledge of equipment capabilities and the organization's
standards for quality digitization.
A practical knowledge of data verification, review, and
editing techniques.
The range of types of materials complicates the work of the
incumbent. Projects require resourcefulness and ingenuity in
developing, producing and ensuring the high quality of digitized
products.
Ability to pay attention to detail.
Ability to perform repetitive tasks with accuracy.
Ability to identify the resolution and enhancements to be
applied to an item when it is scanned in order to produce the
highest quality image from the equipment available.
The incumbent must be constantly cognizant of the requirement
to balance production and timeliness goals with product quality
imperatives.
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5.0 CONCLUSION
This report is an evaluation midway in the agencies'
transition to an electronic environment. As the percentage of
information acquisitions handled electronically increases,
personnel requirements to support the new workflows should
continue to be examined.
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CENDI SURVEY OF POSITION DESCRIPTIONS/GRADE LEVELS/PAY SERIES
FOR SCANNER OPERATORS AND OCR TECHNICIANS
CENDI Information Exchange Working Group,
Scanner/OCR Technicians Position Description Task Group
Rev 2. September 23, 1996
NOTE: Response is needed by Friday, Sept. 27, 1996.
Do you have a position description(s) specific to scanner
operators?
If yes, what is the position title(s)?
(Please provide a copy of the position description(s) to the
address indicated at the end of this survey.)
If yes, what was the position description(s) of the employees
prior to the introduction of this technology?
If there is no position description specific to scanner
operators, what is the position title(s) currently being used for
scanner operators?
(Please provide a copy of that position description(s) to the
address at the end of this questionnaire.)
What is/are the grade level and pay series for the
description(s) provided?
Are you satisfied that the position description(s) your
organization is currently using adequately describes the position
performed by your scanner operators? If not, what are the areas
of concern?
Do you have efforts underway to change the position
descriptions/level/series for the scanner operators? Please
describe.
-----------------------------------------------------------
Do you have a position description(s) specific to OCR
technicians?
If yes, what is the position title(s)?
(Please provide a copy of the position description(s) to the
address indicated at the end of this survey.)
If yes, what was the position description(s) of the employees
prior to the introduction of this technology?
If there is no specific position description for OCR
technicians, what is the position title(s) currently being used?
(Please provide a copy of that position description(s) to the
address at the end of this questionnaire.)
What is/are the grade level and pay series for the
description(s) provided?
Are you satisfied that the position description(s) your
organization is currently using adequately describes the position
performed by your OCR technicians? If not, what are the areas of
concern?
Do you have efforts underway to change the position
description(s)/level/series for the OCR technicians? Please
describe.
Respond before Friday, September 27, 1996 to:
Gail Hodge
Senior Analyst, CENDI Secretariat
e-mail: Gailhodge@aol.com
Fax: 610/789-6769 (please call first)
Phone: 610/789-6769
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Job Description Comparison
Chart
CENDI SCANNER POSITION SURVEY RESULTS
December 6, 1996
Agency |
Position Title |
PD Avail? |
Changed? |
Grade/ Series |
Appropriateness |
Future Plans |
DOE |
Printing Spec.; Offset Press Oper.; Offset Photographer; Technical Information Clerk |
No |
No |
Not Applicable |
Only a concern if the volume of work increases and optimum scanning cannot be performed as it is currently being done. (1) |
Would change only if percentage of work changes. |
DTIC |
Electronic Document Technician |
Yes |
Yes Previous: Xerographic Specialist |
GS-303-06 |
||
NLM |
None |
|||||
NTIS |
Bindery Equipment Operator; Micrographics Specialist; on-site contractors |
Not Applicable; not avail-able for on-site contrac-tors |
No |
XP-7 GS-350 on-site contractors in the 5/6 range |
On-site contractors have hired at a lower grade than incumbents. |
May need to modify routine agency positions to bring them in line with the on-site contractors. |
(1) When the work can no longer be performed optimally as
add-on duties to the current position, OSTI will revisit the
arrangement.
CENDI OCR POSITION SURVEY RESULTS
December 6, 1996
Agency |
Position Title |
PD Avail? |
Changed? |
Grade/ Series |
Appropriateness |
Future Plans |
DOE |
None; runs automatically |
|||||
DTIC |
Data Verification Assistant |
Yes |
Yes Previous: Data Transcriber |
GS-303-06 |
||
NLM |
None |
|||||
NTIS |
Only beginning to discuss |
OTHER GOVERNMENT AGENCIES - SCANNER POSITION SURVEY RESULTS
December 6, 1996
Agency |
Position Title |
PD Avail? |
Changed? |
Grade/Series |
Appropriateness |
Future Plans |
Congressional Research Service |
Document Technician |
Yes |
Yes; upgraded based on increased decision making |
GS-1411-5/6 |
||
National Agricultural Library |
Library Technician (Data Tran- scription) |
Yes |
Title, grade/series have not changed. Position description has changed. |
GS-1411-7 |
||
Library of Congress |
Digital Conversion Specialist |
Yes |
New position |
GS-1001-7/9/11/12/13 |
Covers full range from novice to supervisor |
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