Managing an Electronic Personnel Records System

Project: Managing an Electronic Personnel Records System

Client: Department of Defense

Project Statement:
This electronic personnel record system is an image-based system for the management of permanent military personnel records and provides on-line user access to the database. It provides for input, storage, retirement, modification and retrieval of personnel records via electronic images. These images are captured from paper and microfiche personnel records.

This Functional Assessment Analysis (FAA) project was initiated to provide a baseline from which to plan a reengineering of the records system. The original charter was to thoroughly document the system, which required analysis of its operations as well as the usage of the system and its data. The FAA team was tasked with documenting the flow of information and paper into the records system and the production operations of the scanning process. An "AS-IS" simulation model and report was to be provided at the conclusion of the project. Any metrics gathered or generated would be included, but the main thrust was the documentation of processes itself.

CACI Services Involvement:
The CACI FAA team consisted of a technical lead, two simulation analysts and a customer liaison.

SIMPROCESS software was used to build the "AS-IS" simulation model.

Deliverables:
CACI provided the client with a SIMPROCESS "AS-IS" simulation model, briefing slides, and a final report documenting findings from the model and personal research.

Results:
The FAA provided the client with some short-term recommendations to help with immediate problems, and long-term recommendations with an eye towards a future system reengineering. The recommendations focused on four aspects of the electronic records system:

• Data Quality
• Image Quality and Operating System Limitations
• Training of Users
• Other Improvement Ideas

The system users that were interviewed often questioned the completeness of the data. Specific comments with regard to the records system included documents being illegible, missing, mis-indexed, or filed in the wrong record. A couple of users stated that 100% of the records were in error. This appears to be an exaggeration, but the reality is that some data is missing. This could result from production errors before the documents are uploaded to the server, or possibly because the information was never sent in from the fleet (or individual). Whatever the reason, it is important to provide personnel with as complete a record as possible.

It was recommended that a Data Quality Assessment be undertaken to gain a general understanding of how many records contain some type of error. This will help the client determine the true stature of this problem.

Many interviewees made comments with regard to the quality of the images retrieved from the system. There are many reasons for poor images. Some of the original documents sent in for scanning are of poor quality. Some images were created from older microfiche. These images are the best available and there is nothing that can be done to alleviate the problem.

Electronic version of documents cannot be directly uploaded to the server because they need to contain authentic signatures. This results in the image being printed out and Faxed to the client before it is scanned into the electronic record. This process lessens the image quality and increases the time it takes for it to be included in the digital record. A system that would allow electronic files to be directly uploaded to the server (using electronic signatures) would allow individuals to update their records themselves and maintain the quality of the images. In addition, the DoD should be able to access individual records online. This would help sailors determine the missing documents (if any) in their record and reduce the amount of paperwork production receives.

This current system is not compliant with the latest Microsoft operating systems (WINDOWS NT 4, ME, and 2000), so its usage is often relegated to the older equipment. Thus the users of electronic records system often mentioned the speed of retrieval as a criticism of the system. It was recommended that the client investigate the options for integrating Windows NT and WINDOWS 2000 compliant drivers in the system as a temporary fix, versus delaying until the reengineered system is completed.

The speed of image retrieval is further complicated by the amount of duplicate images that appear in many of the personnel records. DoD members are aware that their digital records are often incomplete so they submit the same paperwork every time they are eligible for a promotion. This leads to an increased workload for production and more images in the record. The current system cannot recognize when a duplicate is entered into the record, so the analyst has to spend extra time sorting through many of the same images.

Users would benefit from a text-based portion of the system. This would allow improved search functions to pull up a specific group of records, or to search within an individual record. It would also reduce the amount of time it took to research records, especially when looking for very specific information. To this end, it was recommended that within a record, all similar reports be grouped together. Better organization within the actual file would allow the user to locate the information in a timelier manner.

Better training of the system operators would alleviate many of the concerns the FAA team heard over and over again. Some of these issues included:

• Waiting for many records to be retrieved, versus running a batch request the prior evening
• Printing and not knowing which printer was used
• Many users printing from the TEMPFILE as a work-around to a perceived printing problem with the current system
• Settings for screen resolution
• Perception that portions of the records were located in different locations
• Perception that on-going promotional selection boards inhibit the system performance

It was also suggested that an on-going series of e-mail announcements with user tips or a Frequently Asked Question (FAQ) section for the records system be provided as a low cost method of getting accurate information to the users or potential users.

The "AS-IS" simulation model uncovered several problems with the current process flow, which should be addressed during the future redesign. Many of the users wish more functions of the system could be automated. For example, confirmation letters sent to DoD personnel could be an automated task. In addition, there were some duplicate parts of the process that can be consolidated to make the system more efficient.

The "AS-IS" simulation model allowed the FAA team to visualize many of the complaints and problems users are currently having with the system and provide possible solutions for the future design.