CENDI/96-3
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Information International Associates, Inc.
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)
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:
u Agencies are generally in a state
of transition with regard to the incorporation of scanner and
OCR technologies. Many agencies have recently implemented or
are in the process of ramping up their systems to full production.
u Agencies who have fully implemented
production systems are more likely to have made changes to the
position descriptions.
u Scanning and OCR technologies
are used both at the initial data capture stage for incoming material
and at the end of the system to convert legacy collections to
electronic form or to provide output for document distribution.
u The incumbent staff most effected
by the new technologies are the staff who previously performed
data capture and micrographics/reprographics functions.
u The incumbents may be in several
different grade series/titles. The most common involve the data
entry clerks, library technicians, the micrographics specialists,
and the offset printers.
u The agency that reviewed its position
descriptions was able to justify changes in title, grade and series
for the people using the new technologies based on the increased
decision making and the increased sophistication of the decisions
that need to be made.
u The changes in decisions include
what resolution to use in scanning, what if any image enhancement
software to use, and in some cases a decision as to whether or
not the document can be scanned at all.
u Transitioning incumbents is important
to successful implementation of electronic document management.
Budget constraints as well as employment policies and, in some
cases, hiring freezes dictated that existing staff be used.
u Position descriptions that do
incorporate the new technologies identify them as tools to perform
the job.
u New PDs are assigned to series
depending upon on the environment in which the scanning/OCR is
performed. If the environment has historically been library oriented,
the PDs are in the librarian or library technician series (1410
or 1411). If the environment has been that of database creation,
the PD is on the clerical series 1000. Generally, the series has
not been changed but, based on the increased decision-making required
with advanced scanning/OCR technologies, the agencies are implementing
upgrades to the GS-5/6 range. If the Library of Congress is any
indication, the addition of more complex multimedia documents
may increase the range beyond the 5/6 range, even for beginning
technicians.
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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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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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CENDI SCANNER POSITION SURVEY RESULTS
December 6, 1996
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DOE | Printing Spec.; Offset Press Oper.; Offset Photographer; Technical Information Clerk | 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 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 | 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
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DOE | None; runs automatically | |||||
DTIC | Data Verification Assistant | Yes Previous: Data Transcriber | GS-303-06 | |||
NLM | None | |||||
NTIS | Only beginning to discuss |
OTHER GOVERNMENT AGENCIES - SCANNER POSITION SURVEY RESULTS
December 6, 1996
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Congressional Research Service | Document Technician | Yes; upgraded based on increased decision making | GS-1411-5/6 | |||
National Agricultural Library |
Library Technician (Data Tran- scription) | Title, grade/series have not changed. Position description has changed. | GS-1411-7 | |||
Library of Congress | Digital Conversion Specialist | New position | GS-1001-7/9/11/12/13 | Covers full range from novice to supervisor |
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