Attachment_(7)_Quality_Assurance_Review_Procedures.doc

Quality Assurance Review Procedures Manual

Table of Contents

11.0 The Request Tracker System

12.0 Opening the Workflow Module

33.0 Modifying Information in RT System

33.1.

To add a new case name

43.2.

To delete a Case Name

63.3.

To Add a Vendor Name

63.4.

To Delete a Vendor

73.5.

To Add a New User

84.0 Assigning Rights to Users

85.0 To Add a User to the Admins, TicketWorkers or TicketAssigners Groups

86.0 To Remove a User from the Admins, TicketWorkers or TicketAssigners Groups

97.0 Searching for Tickets in the Workflow Module

97.1.

Managerial Searching

107.2.

Administrative Searching

128.0 Resetting User Passwords

139.0 Creating a DIMES Image Workflow Ticket

1410.0 Workflow Ticket Options

1410.1.

Assigning a Status Type

1410.2.

Owner Window

1410.3.

Workflow Email Options

1410.4.

Subject Field

1510.5.

Batch ID

1510.6.

Case Name

1510.7.

Case Manager

1510.8.

Vendor

1610.9.

Notification Date

1610.10.

Add File

1610.11.

Comment Window

1711.0 Viewing the Imaging Ticket

1812.0 Conducting a Digital Image Review using DIMES

1812.1.

QA Analyzer

2112.2.

Sampling the Imaging CD

2213.0 Image QA Review Options

2213.1.

Resolution (DPI)

2213.2.

Export File (EX)

2413.3.

Image Number Endorsement (IN)

2513.4.

Phrase Label Endorsement (PL)

2613.5.

Phrase Label Log (PLL)

2713.6.

Image Quality (IQ)

2813.7.

Image Placement (IP)

2914.0 Other Image Disk Transmittal Form Errors

2914.1.

Index Label Log (IL)

2914.2.

Transmittal Form Error (TF)

3014.3.

Disk Label (DL)

3014.4.

Digital Camera Flash Memory

3014.5.

Condition (C)

3015.0 Passing or Failing an Image

3116.0 Reporting the Image Review Results

3217.0 Performing an Image QC Review

3318.0 Inserting an Image Batch into the Pipeline

3419.0 Submitting Image QA Results to the Pipeline

3420.0 Conducting an Image Review with 10,000 or More Images

3420.1.

3720.2.

Sampling the Imaging CD

4021.0 Creating a DIMES Coding Workflow Ticket

4122.0 Workflow Coding Ticket Options

4122.1.

4122.2.

4122.3.

4122.4.

4222.5.

4222.6.

4222.7.

4222.8.

4222.9.

4222.10.

4222.11.

4323.0 Viewing the Coding Ticket

4424.0 Conducting a Coding Review using DIMES

4424.1.

4524.2.

Sampling the Data

4625.0 Creating a Blowback Request

4726.0 Conducting Coding Review After Blowbacks Have Been Received

4827.0 Key and Other Coding Fields

4928.0 Selecting Key and Other Coding Fields

5029.0 Verifying Correctness of Coding QA Numbers

5130.0 Performing a Coding Review

5131.0 Assessing Coding Errors

5232.0 Reporting the Coding Results

5333.0 Performing a QC of a Coding Review

5434.0 Assessing/Reassessing Coding Errors

5535.0 QC’ing a Coding Review

5636.0 Submitting Coding QA Results to the Pipeline

5737.0 Creating a DIMES DBA Workflow Ticket

5838.0 Workflow DBA Ticket Options

5838.1.

5838.2.

5838.3.

5838.4.

5938.5.

5938.6.

5938.7.

5938.8.

5938.9.

5938.10.

6038.11.

6039.0 Viewing the DBA Ticket

6140.0 Conducting a DBA Review using DIMES

6140.1.

6240.2.

Sampling the Data

6240.3.

BPA DBA Automation

6341.0 Key and Other DBA Fields

6442.0 Selecting Key and Other DBA Fields

6443.0 Verifying Correctness of DBA QA Numbers

6644.0 Performing a DBA QA Review

6645.0 Assessing Database Errors

6846.0 Reporting the DBA Results

6947.0 Performing a QC Review of a DBA Review

6948.0 Assessing/Reassessing DBA Errors

7049.0 QC’ing a DBA Review

7150.0 Submitting DBA QA Results to the Pipeline

7251.0 Creating a DIMES EQA Workflow Ticket

7352.0 Workflow Options

7352.1.

7352.2.

7352.3.

7352.4.

7452.5.

7452.6.

7452.7.

7452.8.

7452.9.

7452.10.

7552.11.

7653.0 Conducting a EQA Review using DIMES

7653.1.

7654.0 Loading Original Media (Source 1)

7755.0 Loading the Database (Source 2)

7755.1.

BPA EQA Automation

7856.0 Exception Reports

7957.0 Loading the Exception Report

7958.0 Reporting the EQA Results

8159.0 Performing a QC of an EQA Review

8160.0 Submitting EQA Results to the Pipeline

8261.0 Performing an EQA PST Review

8261.1.

8262.0 Loading PST Original Media (Source 1)

8363.0 Loading the PST Database (Source 2)

8464.0 PST Exception Reports

8565.0 Loading the PST Exception Report

8566.0 Reporting the EQA PST Results

8767.0 Performing a QC of an EQA PST Review

8768.0 Submitting EQA PST Results to the Pipeline

8869.0 Conducting a EQA Third Party Load Review using DIMES

8869.1.

8870.0 Loading Third Party Original Media (Source 1)

8971.0 Loading a Third Party Database (Source 2)

8972.0 Performing a QC of an EQA Review

9173.0 Submitting EQA Results to the Pipeline

9274.0 Administrative Reports

9274.1.

Weekly Report

9474.2.

Monthly Report

9674.3.

Pipeline Report

1.0 The Request Tracker System

The Request Tracker system (RT) is a powerful interface that assigns QA reviews to staff, tracks status of reviews and stores information in appropriate databases. The RT system is also known as the Workflow module.

2.0 Opening the Workflow Module

1. The Workflow Module can be accessed from within the QA Analyzer by choosing the Workflow Module icon ( ) or by choosing the View Ticket option in the menu bar. It can also be accessed outside the QA Analyzer program.

2. To open the Workflow Module from the Internet Explorer, type the following into the address window: http://192.168.7.8. The URL can only be accessed internally and not from outside the office.

3. In the Workflow login screen, type your username and password

4. Upon successful login, you will enter the Workflow module home screen.

Note:

Home screens for QA Reviewers without administrative rights will only show reviews that are on their specific queues. Those with administrative rights (QA Project Manager, QA Task Leader and Senior QA Reviewers), will be able to see all reviews entered into the system.

3.0 Modifying Information in RT System

Configuration information (i.e., Case Names, Case Manager Names, User Names and Passwords) can easily be modified in the RT system.

3.1. To add a new case name

1. In the Workflow module, click on the Configuration link

2. Click on the Custom Fields link and then the Case Name link

3. To maintain the list in alphabetical order, locate the position in the list where the new case should appear and note the Sort order number. For example, there is a new case named Alix Partners. Alphabetically, it would fall between AGIP Gas – Dallas and American Grocers.

4. Go to the bottom of the screen to the Add Value section to add Alix Partners. The Sort Order number should be the number where the new case should appear in the list. For our example, the sort order will be 6.

5. In the Name field, type Alix Partners.

6. In the Description field, type the Case Number. For Case Numbers, refer to the Billing Codes document.

7. Click Save Changes

8. Alix Partners will now appear in the Case Name list.

3.2. To delete a Case Name

3. Click in the box to the left of the entry that should be deleted.

4. Click Save Changes.

3.3. To Add a Vendor Name

1. To maintain the list in alphabetical order, locate the position in the list where the new vendor should appear and note the Sort order number.

2. Go to the bottom of the screen to the Add Value section. The Sort Order number should be the number where the new vendor should appear in the list.

3. In the Name field, type the vendor name.

4. Leave the Description and Category fields blank.

5. Click Save Changes

3.4. To Delete a Vendor

3. Click in the box to the left of the entry that should be deleted.

4. Click Save Changes.

3.5. To Add a New User

1. In the Workflow module, click on the Configuration link

2. Click on the Users link and then the Create link

3. Under the Identity section, fill in the following fields:

a. The username will be the user’s first initial.last name

b. Enter the user’s email address

c. Enter the user’s real name

4. Under the Access Control section:

a. Leave the checkmark in the Let this user Access RT box

b. Select the checkbox next to Let this user be granted rights box

5. The Location and Phone Number sections are not required and do not have to be completed

6. Click Save Changes

4.0 Assigning Rights to Users

There are three groups: Admins, TicketWorkers and TicketAssigners.

Users in the Admins group have complete access. That is, they can create, delegate, delete, modify and view user information.

1. In the Workflow module, click on the Configuration link

2. Click on the Groups link and then the Members link

5.0 To Add a User to the Admins, TicketWorkers or TicketAssigners Groups

1. Click on the user’s name in the Users window

2. Click on the Modify Members

6.0 To Remove a User from the Admins, TicketWorkers or

TicketAssigners Groups

1. In the Workflow module, click on the Configuration link

2. Click on the Groups link and then the Members link

3. Click in the checkbox of the users’ name to be deleted.

4. Click Modify Members

7.0 Searching for Tickets in the Workflow Module

There are several ways to search the system for batches. Two methods will be explained – managerial and administrative searching.

Managerial searching is used by the QA Manager and QA Task Leader to determine what batches are assigned, the statuses (i.e., new, open, resolved, stalled, rejected, Ready for QC, etc.), Notification dates, etc.

Administrative searches can be done to determine what a reviewer worked on on a given day. This search allows a user to recreate a work day.

7.1. Managerial Searching

1. Click on Tickets

2. To search for batches assigned or owned by a particular person:

a. Click on the dropdown to the right of the Owner option

b. Select a name

c. Click on the Add these Items button. The search syntax will appear under the Current search window. In the Current Search window, the syntax can be edited as well.

d. To run the search, click on the Add these Items and Search.

3. To search for a ticket by date:

a. In the Created dropdown menu, choose one of the following options:

i. Started

ii. Resolved

iii. Last Contacted

iv. Last Updated

v. Starts

vi. Due

vii. Updated

4. Select one of the three operators:

a. Before

b. On

c. After

5. Enter the date in YYYY-MM-DD format or select the calendar button

6. Click on the Add these Items button. The search syntax will appear under the Current search window. In the Current Search window, the syntax can be edited as well.

7. To run the search, click on the Add these Items and Search.

7.2. Administrative Searching

To search for tickets or batches worked on a particular day, perform the following steps:

1. Click on Tickets

a. In the Created dropdown menu, choose the Created option

b. To search for a ticket by date:

c. Click on the Add these Items button. The search syntax will appear under the Current search window. In the Current Search window, the syntax can be edited as well.

2. To run the search, click on the Add these Items and Search.

8.0 Resetting User Passwords

1. Click on Configuration…Users

2. Type in a new password under Access Control

3. Click on Save Changes

9.0 Creating a DIMES Image Workflow Ticket

1. Click on the New ticket in button and select from the dropdown box, ImageQA.

2. In the New ticket in dropdown window, the review type will change back to default. To ensure the correct QA Review type has been selected, the Workflow system identifies the type in the queue.

3. If the QA Review queue type is not correct, the Review should be stopped and the QA Task Leader notified.

10.0 Workflow Ticket Options

10.1. Assigning a Status Type

The Workflow ticket status is used to track the stage of the review in the pipeline. By default, the Status type will be New. Assign the status of the ticket by selecting New from the dropdown box.

Note:

There are four other Status types. These types (Open, Stalled, Resolved, Rejected) should be used to change the status of a ticket that has already been created in the Workflow system. See Chart __.

All notifications received MUST go into the Workflow system in order to maintain an accurate pipeline.

10.2. Owner Window

The Owner Window allows a review to be assigned to a specific QA Reviewer. When the QA Task Leader assigns an owner, the review will appear in the QA Reviewer’s work queue. Although Workflow tickets can be created without an owner, as a best practice, an owner should be assigned when the ticket is created.

10.3. Workflow Email Options

Although this feature is not functional, information regarding a Workflow ticket that has been created or changed can be sent to the DOJ Case Manager. Enter the email address of the recipient in the CC and Admin CC fields. For multiple recipients, separate each address with a comma.

10.4. Subject Field

Use the Subject field to record information regarding the batch from the Image QA Notification Form. The information in that field will appear on the QA Reviewer’s work queue. As a best practice, use the batch number in this field. If the Review is a Re-Notification, include that information in the Subject as well (i.e., Second Chance SC106, SC107Rev.

10.5. Batch ID

The Batch ID is a mandatory field and is used to record the image CD’s batch number. Enter in this field the batch number as it appears on the QA Image QA Notification Form. It should also match what was entered in the Subject field (i.e., SC106, SC107Rev). Although the case name and batch may appear in the Subject field, only use the batch ID and any re-notification information.

10.6. Case Name

A Case Name must be selected to create the Workflow ticket. This is a mandatory field and a ticket cannot be created without selecting a Case Name. All active cases are listed in the Case Name dropdown window. If a Case Name is not shown in the dropdown window, please contact your supervisor.

10.7. Case Manager

The Case Manager’s name can be found on the Image QA Notification Form. Select the Case Manager’s name from the dropdown window. This is a mandatory field and a ticket cannot be created without selecting a Case Manager. If a Case Manager is not shown in the dropdown window, please contact your supervisor.

10.8. Vendor

The ALS vendor’s name can be found on the Image QA Notification Form. Select the vendor’s name from the dropdown window. Although this is not a mandatory field, a vendor should always be chosen to maintain the integrity of the Workflow pipeline.

10.9. Notification Date

For Image QA Reviews, the Notification Date is the date the review was received by the QA Contractor. The QA Contractor records the date the Notification was received and records that information on the image QA notification form. The Notification Date can be found in the lower right hand corner of the Image QA Notification Form. Enter that date in MM/DD/YYYY format. The Notification Date is a mandatory field and a Workflow ticket cannot be created without a Notification Date.

10.10. Add File

This Add File field is used to attach electronic files to the Workflow ticket that are relevant to the review. Since Image QA Notifications are not received electronically, attaching files for an image review is not necessary.

10.11. Comment Window

The Comment Window is used to record any pertinent information regarding the Review. This information is available when the ticket is viewed in the Workflow module. The View Ticket option located in the QA Analyzer, allows the reviewer to see anything attached to a Batch ID. (Figure ___).

11.0 Viewing the Imaging Ticket

After the ticket has been created, it can be reviewed at any time by choosing View Ticket.

12.0 Conducting a Digital Image Review using DIMES

12.1. QA Analyzer

1. Open the QA Analyzer program. The program can be found in your startup menu by clicking the Start button or from your desktop.

2. Login into the program using a valid user name and password.

3. Search for the batch in the Work Queue. All batches are in alphabetical order in the Work Queue.

4. Hit the Refresh button in order for the batch to show on the Work Queue.

5. If the batch is not in the queue, please see the QA Task Leader.

NOTE: If the CD contains a Certificate of Authentication or other image files that should not be included in the sample, the file(s) must be excluded before the sample is loaded.

1. Click on the Add Exclude button.

2. Click the Browse button

3. Point to the Certificate of Authentication (or any other like-type file).

4. If multiple files should be excluded, repeat step 2.

5. Close the Exclude Images window.

12.2. Sampling the Imaging CD

13.0 Image QA Review Options

13.1. Resolution (DPI)

The first step in a Digital Image QA Review is identifying the image file’s resolution or DPI (dots-per-inch). The DOJ acceptable DPI is 300. Hard copy of the image is produced for any reading above or below 300 dpi for Case Manager review. Any discrepancies are reported as a DPI (DPI) error on the Digital Image QA Review form and printed copies of the images are provided with the review for DOJ Case Manager evaluation.

The DIMES program is designed to detect the image file’s resolution or DPI automatically and the field cannot be accessed by the Reviewers. If the program detects a file’s resolution or DPI is under or over 300, it will note on the Digital Image QA Report that the DPI was not correct. DIMES prints a hard copy of the image and attaches it at the end of the Image QA Review Report.

Note: If the Notification indicates that the resolution or DPI should not be 300, the Image QA Review Report will need to be modified.

13.2. Export File (EX)

The next step to a Digital Image QA Review is assessing the accuracy of the Export File. The Export File is a comma-delimited text file used to retrieve images from the database. If the export file (also known as a pointer table), does not correctly identify the TIFF file name and location (disk volume and container number) for an image, users of the database will not be able to successfully retrieve and view a document’s image. An Export File is generally provided for review when the TIFF file name does not mirror the image number endorsed on the image. The Export File is used to identify and locate the sample image numbers.

When the TIFF file is opened, if the image number endorsed does not correspond with the image number in the export file, an Export File (EX) error is assessed. Printouts of the export file and image are provided as backup to the Imaging QA Review for DOJ Case Manager evaluation.

Any other anomalies identified with the Export File are reported in the Other Comments section of the review form. Other types of anomalies include:

· Gaps in the TIFF file or image numbers;

· Duplicates in the TIFF file or image numbers;

· Overlaps in the TIFF file or image numbers;

· Incorrect path names (i.e., if the CD volume and Container number are included as part of the path name in the Export File).

· Non-sequential TIFF file names (i.e., when all images from a single container are not consecutively listed in the file, but are separated within the Export File).

· Non-consistent image number and TIFF file name formats.

In the DIMES program, the Export Accuracy field is located underneath the image selection toolbar. The QA Reviewer selects the first sample from the sample list and reviews the image. If the image matches or does not match the export file, the QA Reviewer will select Yes or No from the dropdown menu.

The reviewer can also add a note in the comment window to document their findings.

13.3. Image Number Endorsement (IN)

A system of creating a unique, sequential number for each page scanned is required. This unique number, or Image Number, identifies the location of each document in the collection and controls document indexing, storage and retrieval processes through the litigation process. The accuracy with which the numbering and indexing procedures are performed is therefore critical to the subsequent use of the image-based systems and products and as important as the physical quality of the image itself.

The unique Image Number may be physically endorsed on the image or may appear as part of an information channel separate from the page image itself (usually appears at the bottom of the page when printed). In both instances, the Image Number should print whenever a hard copy output is produced. The Image Number must be placed in a position that does not obscure any information on the page.

Any discrepancy with these standards is reported as an Image Number (IN) error on the Digital Image QA Review form and a hard copy output provided with the review for DOJ Case Manager evaluation.

In the DIMES program, the Image Number field is located next to the Export Accuracy field. The QA Reviewer continues to review the image to verify if the image endorsement is correct. If the image endorsement is or is not correct, the QA Reviewer will select Yes, No or N/A from the dropdown menu.

The reviewer can also add a note in the comment window to document their findings.

13.4. Phrase Label Endorsement (PL)

The Phrase Label of an image identifies the file source and other identifying information for all documents. All images must be endorsed with a phrase label if applicable to the case (verified with Case Manager). The phrase label should be displayed when viewing and printing the image (most often appears at the bottom of the image). The Phrase Label should be free of typographical errors and must be placed so as not to obscure any document information when viewed or printed.

Any discrepancies are reported as a Phrase Label (PL) error on the Digital Image QA Review form and a hard copy of the image is provided with the Review for DOJ Case Manager evaluation.

Not all cases will require the endorsement of phrase labels on the images or phrase labels may have been included as part of the tiff file header, and therefore not viewable as part of the document image. Lack of phrase label endorsements should be confirmed with the ALS vendor.

In DIMES, the Phrase Label field is located next to the Image Endorsement Accuracy field. The QA Reviewer continues to review the image to verify if the phrase label endorsement is correct. If the image endorsement is or is not correct, the QA Reviewer will select Yes or No from the dropdown menu. The reviewer can also add a note in the comment window to document their findings. If the review did not require phrase labels, the Reviewer will select N/A from the dropdown menu.

13.5. Phrase Label Log (PLL)

When Phrase Labels are endorsed on document images, a corresponding Phrase Label Log is created. The Phrase Label Log directly mirrors the phrase labels as endorsed on the images and provides the image number ranges for each phrase label. The Phrase Label Log should be free of typographical error and provide accurate image number ranges for each Phrase Label.

To verify the Phrase Label Log, double click on the .BAX file on the CD or DVD. The file will open in a text viewing program. Confirm that the printed copy of the Phrase Label Log matches the electronic version.

Any discrepancies are reported as a Phrase Label Log (PLL) error on the Digital Image QA Review form and a hard copy of the image and Phrase Label Log page in error is provided with the review for DOJ Case Manager evaluation.

In DIMES, the Phrase Label Log field is located to the right of the Phrase Label Endorsement Accuracy field. The QA Reviewer continues to review the image to verify if the phrase label log is correct. If the phrase label log is or is not correct, the QA Reviewer will select Yes, No or N/A from the dropdown menu. The Reviewer can also add a note in the comment window to document their findings. If the Review did not require a phrase label log, the Reviewer will select N/A from the dropdown menu.

13.6. Image Quality (IQ)

Image Quality is assessed by physically examining the document page and reviewing the image’s legibility - Is the image readable to be admissible in court? Is each line, character, and image clearly legible with the naked eye and on printed copy? Is it too light or too dark? Is any portion of the image faded?

Image Quality may need to be assessed against the quality of the original document. However, as the QA Contractor generally does not have access to original documents, any questionable images should be identified for the DOJ Case Manager to review and evaluate.

Any discrepancies are reported as an Image Quality (IQ) error on the Digital Image QA Review form and a hard copy of the image is provided with the Review for DOJ Case Manager evaluation.

In DIMES, the Image Quality field is located to the right of the Phrase Label Log Accuracy field. The QA Reviewer continues to review the image to verify if the image is of good, fair or poor quality. The Reviewer can also add a note in the comment window to document their findings.

13.7. Image Placement (IP)

Image Placement is a review of the page’s orientation within the image. The following are evaluated when assessing the Image Placement quality:

· Skew - Is the image scanned correctly so that all text is visible, i.e. the document alignment of the page and text is accurate with no truncation? Slight skewing is acceptable as long as no information has been truncated.

· Completeness – Is the image complete with all lines of text and data clearly visible with the naked eye and on printed copy?

Image Placement may need to be assessed against the placement of the original document, however, as the QA Contractor generally does not have access to original documents, any questionable images should be identified for the DOJ Case Manager to review and evaluate.

Any discrepancies are reported as an Image Placement (IP) error on the Digital Image QA Review form and a hard copy of the image is provided with the review for DOJ Case Manager evaluation.

In DIMES, the Image Placement field is located to the right of the Image Quality field. The QA Reviewer continues to review the image to verify if the placement of the image is of good, fair or poor quality. The reviewer can also add a note in the comment window to document their findings.

14.0 Other Image Disk Transmittal Form Errors

14.1. Index Label Log (IL)

Each CD has a label that lists what containers are supposed to appear on the given disc. This listing must be checked against the CD and Container listing which appears in the Index Label Log. If any errors are present, make a copy of the Index Log page or pages and highlight the errors as needed. These copies are to be included in the final review package.

14.2. Transmittal Form Error (TF)

Each CD submitted for QA Review will have an Image QA Transmittal Form attached. A review of the form includes verification of the following information:

CD Volume Number(s) are correct, Container Id(s) are listed correctly, Bates Number Range is listed correctly, and

Total Number of Images matches the number of images on CD.

Any discrepancies are reported as a Transmittal Form (TF) error and a copy of the transmittal form is provided as part of the Review for DOJ Case Manager evaluation.

14.3. Disk Label (DL)

A review of the Disk Label includes a verification of the following information:

All containers have been accurately identified on the disk jacket, The project name is identified and accurate, and

The CD volume is identified and accurate.

Any discrepancies are reported as a Disk Label (DL) error and a copy of the disk label is provided as part of the Review for DOJ Case Manager evaluation.

14.4. Digital Camera Flash Memory (DF)

14.5. Condition (C)

Before performing a Digital Camera Flash Memory Review, the general condition of the memory card should be inspected for noticeable physical defects.

Any discrepancies are reported as a Condition (C) error and provided as part of the Review for DOJ Case Manager evaluation.

15.0 Passing or Failing an Image

If an image contained errors, the QA Analyzer will turn the color of the sample in the Sample List to red. Green indicates that the sample met all criteria and passed.

16.0 Reporting the Image Review Results

1. Once the QA Reviewer has submitted all the results, the project should be saved. To save the project, click on the disk icon, press CTRL/S or select File…Save Project. By default, the project will be named IMGQA[Batch Number].txt.

2. Add a dash and the letters “QA” after the batch number (i.e., IMGQAEPG013-QA.txt).

3. Next, click the Create Report button.

4. Fill in the QA Reviewer information.

5. Fill in the Date of Review.

6. Click on the Update Report button.

7. Click on the Report tab and print the report.

8. A summary of the errors identified is provided in the Comments section of the Transmittal Form. This allows for a quick assessment of the CD quality without having to review each individual container’s QA Review form. Type all comments in the window above the Update Report button.

9. Mark the review as Ready for QC and Click Submit.

10. Click on the Clear Sources button or select another batch from the Work Queue.

17.0 Performing an Image QC Review

1. Click File…Open Project and locate the project on the server.

2. Click Open.

3. The first sample will appear in the Image window. Examine the image and review each option choice. If the image is a good image, click on the Submit button.

4. Repeat step 3 until all samples have been reviewed.

5. To change a Pass to a Fail, reverse the option, mark the image as a Fail and click Submit. The color of the sample number should change from green to red.

6. To change a Fail to a Pass, reverse the option, mark the image as a Pass and click Submit. The color of the sample number should change from red to green.

7. Click Create Report.

8. In the Batch Info window, fill in the QC Inspector name.

9. Fill in the Date Returned to DOJ.

10. Click on the Update Report button.

11. Print out the report and examine all of the review forms for accuracy and completeness, ensuring that sufficient sample images have been provided for any reported errors or anomalies.

12. Once all the relevant information has been entered, DIMES generates a transmittal sheet with an Accept/Reject Notification (Figure A). The CD is returned to the DOJ Case Manager along with the corresponding phrase label index log, the LS Contractor's QC Report, the export files (when applicable), a copy of the DOJ transmittal letter or form, and a copy of the Digital Image QA Review forms and Transmittal Form (originals filed in-house). The Digital Image QA Pipeline is automatically updated with the date the CD is returned to DOJ.

13. Save the project again. Add a dash and the letters “QC” after the batch number (i.e., IMGQAEPG013-QC.txt)

14. Click on the Clear Sources button or select another batch from the Work Queue.

18.0 Inserting an Image Batch into the Pipeline

1. After a review has gone through the QA and QC process and is finished, the batch status should be changed to Resolve Ticket. The Resolve Ticket status flags the review as being completed. The Resolve Ticket status also triggers a routine to insert the batch into the pipeline. It is crucial in order to maintain the pipeline’s integrity that all batches be timely inserted into the pipeline when prompted.

19.0 Submitting Image QA Results to the Pipeline

1. Once a batch is resolved, the QA Analyzer prompts the Reviewer to enter the results into the pipeline.

2. Click Yes to enter into the pipeline.

3. In the pipeline, verify that the information appearing is correct and enter the following field information:

4. Enter the CD Num and the Date Returned to the DOJ.

5. Click the Submit button.

20.0 Conducting an Image Review with 10,000 or More Images

20.1. QA Analyzer

1. Open the QA Analyzer program. The program can be found in your Startup menu by clicking the Start button or from your desktop.

2. Login into the program using a valid user name and password.

3. Search for the batch in the Work Queue. All batches are in alphabetical order in the Work Queue.

4. If the batch is not in the queue, please see the QA Task Leader.

If a CD contains more than 10,000 images, the CD should be broken up into multiple reviews. DIMES will break the CD into batches of 10,000 automatically and take a random sample from each 10,000 batch.

NOTE: If the CD contains a Certificate of Authentication or other image files that should not be included in the sample, the file(s) must be excluded before the sample is loaded.

1. Click on the Add Exclude button.

2. Click the Browse button

3. Point to the Certificate of Authentication.

4. If multiple files should be excluded, repeat step 2.

5. Close the Exclude Images window.

20.2. Sampling the Imaging CD

DIMES automatically detects if a CD contains more than 10,000 images and will split the CD into multiple reviews.

1. When prompted that the CD contains over 10,000 images, select Yes.

2. Next, Load the CD.

3. DIMES will name each batch and save it in a designated place. Hit the Save button after each batch.

4. After each batch has been saved, click on the Open button or File…Open to select the first batch.

5. If the CD contained 12,555 images, choose the batches in proper order (i.e., 1 of 2, 2 of 2, etc.).

6. Conduct the review as normal.

Figure A, Image QA Transmittal Form

When the DOJ Case Manager returns the Transmittal Form with the accept/reject notifications indicated, the accept/reject notification(s) and date are entered into DIMES. Rejected containers are corrected by the LS Contractor, reburned to the CD, and returned for a RE-QC review of the entire CD.

21.0 Creating a DIMES Coding Workflow Ticket

1. Click on the New ticket in button and select from the dropdown box, CodingQA.

2. In the New ticket in dropdown window, the review type will change back to default. To ensure the correct Review type has been selected, the Workflow system identifies the type in the queue.

3. If the QA Review queue type is not correct, the Review should be stopped and the QA Task Leader notified.

22.0 Workflow Coding Ticket Options

22.1. Assigning a Status Type

The Workflow ticket status is used to track the stage of the review in the pipeline. By default, the Status type will be New. Assign the status of the ticket by selecting New from the dropdown box.

Note:

There are four other Status types. These types (Open, Stalled, Resolved, Rejected) should be used to change the status of a ticket that has already been created in the Workflow system. See Chart __.

All notifications received MUST go into the Workflow system in order to maintain an accurate pipeline.

22.2. Owner Window

The Owner Window allows a review to be assigned to a specific QA Reviewer. When the QA Task Leader assigns an owner, the review will appear in the QA Reviewer’s work queue. Although Workflow tickets can be created without an owner, as a best practice, an owner should be assigned when the ticket is created.

22.3. Workflow Email Options

Although this feature is not functional, information regarding a Workflow ticket that has been created or changed can be sent to the DOJ Case Manager. Enter the email address of the recipient in the CC and Admin CC fields. For multiple recipients, separate each address with a comma.

22.4. Subject Field

Use the Subject field to record information regarding the batch from the image QA notification form. The information in that field will appear on the QA Reviewer’s work queue. As a best practice, use the batch number in this field. If the review is a re-notification, include that information in the Subject as well (i.e., Second Chance SC106, SC107Rev)

22.5. Batch ID

The Batch ID is a mandatory field and is used to record the image CD’s batch number. Enter in this field the batch number as it appears on the QA image notification field. It should also match what was entered in the Subject field (i.e., SC106, SC107Rev). Although the case name and batch may appear in the Subject field, only use the batch ID and any re-notification information.

22.6. Case Name

A Case Name must be selected to create the Workflow ticket. This is a mandatory field and a ticket cannot be created without selecting a case name. All active cases are listed in the Case Name dropdown window. If a Case Name is not shown in the dropdown window, please contact your supervisor.

22.7. Case Manager

The Case Manager’s name can be found on the image QA notification form. Select the Case Manager’s name from the dropdown window. This is a mandatory field and a ticket cannot be created without selecting a case manager. If a Case Manager is not shown in the dropdown window, please contact your supervisor.

22.8. Vendor

The ALS vendor’s name can be found on the image QA notification form. Select the vendor’s name from the dropdown window. Although this is not a mandatory field, a vendor should always be chosen to maintain the integrity of the Workflow pipeline.

22.9. Notification Date

For image reviews, the Notification Date is the date the review was received by the QA Contractor. The QA Contractor records the date the Notification was received and records that information on the image QA notification form. The Notification Date can be found in the lower right hand corner of the Image QA notification form. Enter that date in MM/DD/YYYY format. The Notification Date is a mandatory field and a Workflow ticket cannot be created without a Notification Date.

22.10. Add File

This Add File field is used to attach electronic files to the Workflow ticket that are relevant to the review. Since image QA notifications are not received electronically, attaching files for an image review is not necessary.

22.11. Comment Window

The Comment Window is used to record any pertinent information regarding the review. This information is available when the ticket is viewed in the Workflow module. The View Ticket option located in the QA Analyzer, allows the reviewer to see anything attached to a Batch ID. (Figure ___).

23.0 Viewing the Coding Ticket

After the ticket has been created, it can be reviewed at any time by choosing View Ticket.

24.0 Conducting a Coding Review using DIMES

24.1. QA Analyzer

1. Open the QA Analyzer program. The program can be found in your startup menu by clicking the Start button or from your desktop.

2. Login into the program using a valid user name and password.

3. Hit the Refresh button to ensure batches assigned appear on the Work Queue.

4. Search for the coding batch in the Work Queue. All batches are in alphabetical order in the Work Queue.

5. If the batch is not in the Queue, please see the QA Task Leader.

24.2. Sampling the Data

1. Determine the correct sample size. By default, the sample size is small, but depending on the case or the amount of data, a larger statistically sufficient sample may be needed. If you have any questions regarding the correct sample size, see the QA Task Leader.

25.0 Creating a Blowback Request

1. The ALS vendor will provide a text file of the entire database in a vertical file format (V file). The database will be delivered to the QA vendor on some type of electronic storage device (i.e., diskette, CD/DVD, flash drive, hard drive, etc.)

2. Click on the Load V File button and browse to where the V file is located. The progress indicator will be green until the data has been fully loaded. Do note select a sample until the progress indicator is clear. If a V file is not provided, see the QA Task Leader.

3. Once the V file is loaded into the QA Analyzer, a blowback request has to be generated.

4. Click on the Create Notification button to create the Blowback Request. See Figure __.

5. Click on File…Save Project. The project should be saved in \\DCServer1\QA Data\projects\Coding QA\[CASE NAME FOLDER]. You may add text at the end of the file name (i.e., CodingQASCLA001-QA), but not at the beginning.

6. Click the Save button.

7. Click the Clear Sources button to remove the project from the QA Analyzer.

26.0 Conducting a Coding Review After Blowbacks Have Been Received

1. When the blowbacks have been received from the ALS vendor, open the QA Analyzer and select the batch from the Work Queue.

2. Click File…Open Project or click on the open folder icon to locate the project on the server. Select the name of the project that was previously saved.

3. Click Open.

4. Verify, by looking at the bottom of the QA Analyzer screen, that the number of records and sample size is correct. For a listing of sample sizes, click on the Table button ( ) or refer to Figure __.

27.0 Key and Other Coding Fields

There are two types of characters in Coding QA reviews, Key Field characters and Other Field characters. Key Field characters are defined as the primary sort fields (typically the Document Number and Document Date fields) and Other Field characters are the characters in the remaining fields. The DOJ Case Manager designates the Key Fields for those databases which will not be sorted by Document Number and/or Document Date.

As part of the statistical analysis, a base character count must be obtained for each document record in order to assess the accuracy. In Coding QA reviews, a character is defined as a letter, number, punctuation, circled data element (DCFs only), or 'clicked-on' data element (EDCFs only) which has been printed (on DCFS) or keyed (into EDCFS).

NOTE: Spaces are NOT counted as characters in coding reviews.

The total number of characters for both Key and Other Fields is calculated for each document record.

28.0 Selecting Key and Other Coding Fields

1. Open the Coding Manual for the case. In the Key Fields window select the Key Field(s) and deselect all other fields.

2. In the Other Fields window select the Other Fields and deselect all other fields.

NOTE: Although the program lists character counts for all fields that are in the V file, those fields are only counted if the fields are selected in the Key and Other field windows. Make sure the correct fields are selected in those windows or the character count will not be correct.

29.0 Verifying Correctness of Coding QA Numbers

1. Click on the DB button to view the contents of the entire database.

2. Click on the QA header to sort the list. Review the list to verify the QA Numbers in the database and on the Notification match. Report any discrepancies on the Coding QA Report.

30.0 Performing a Coding Review

1. The field information for the first sample will appear in the Database Info window. Click on the first sample in the Sample List. Compare the field information against the blowback. If the information matches, click on the next sample.

2. Select each sample until all samples have been reviewed.

31.0 Assessing Coding Errors

The QA Reviewer analyzes each document and the corresponding data records field-by-field, character-by-character, for compliance with the coding instructions outlined in the Coding Manual for the specific case. Errors are categorized as follows:

B-type errors = incorrectly coded data C-type errors = omitted data D-type errors = irrelevantly coded data

1. Click in the Error checkbox on the field that contains the error. The Char Diff and Error fields will become highlighted in yellow.

2. Hit the dropdown arrow in the Error Code field. Select the B, C or D error type.

3. Determine the number of error characters and place that number in the Char Diff field.

4. In the Error field, type the description of the error and the correction of the error.

5. Once an error has been assessed, that sample number turns red to indicate an error exists.

6. Repeat steps 2-4 until all the samples have been reviewed.

7. Save the project by clicking File…Save Project. Add “QA” after the project name.

32.0 Reporting the Coding Results

1. Once all samples have been reviewed, click on the Create Report button.

2. Fill in the QA Reviewer information.

3. Fill in the Date of Review.

4. Type in any comments regarding the batch. This information will print on the second page of the Coding Report.

5. Click on the Update Report button.

6. Click on the Report tab and print the report.

7. Mark the review as Ready for QC and Click Submit.

8. Give the report and other documentation to the QA Task Leader.

33.0 Performing a QC of a Coding Review

1. Click File…Open Project and locate the project on the server.

2. Click Open.

3. The field information for the first sample will appear in the Database Info window. Compare the field information against the blowback. If the information matches, click on the next sample.

4. Select each sample until all samples have been reviewed.

34.0 Assessing/Reassessing Coding Errors

1. Click File…Open Project and locate the project on the server. Coding projects can be found in the following location: \\DCSERVER1\QA Data\projects\Coding QA\[CASE FOLDER NAME]\ CodingQA[BATCH NUMBER]

2. Click Open.

3. The first sample will appear in the Database Info window. Examine the data and review each field. If all the field information is correct, select the next sample.

4. To reverse an error previously assessed, deselect the check box. The highlighting will disappear from the Char Diff and Error fields.

5. Repeat steps 3 or 4 until all samples have been re-reviewed.

35.0 QC’ing a Coding Review

1. Once all samples have been reviewed, click on the Create Report button.

2. Fill in the QC Reviewer information.

3. Fill in the Date of Review.

4. Fill in the Date Sent to DOJ.

5. Click on the Update Report button

6. Click on the Report tab. Print and Save the report.

7. To save the report, click on the Export Report button (the very first icon). Save the report as a MS Word document.

8. Print out the Coding Report and examine all of the review forms for accuracy and completeness, ensuring that sufficient sample images have been provided for any reported errors or anomalies.

9. Once all the relevant information has been entered, DIMES generates a transmittal sheet with an Accept/Reject Notification (Figure B). The Coding Report is returned to the DOJ Case Manager.

10. Save the project again by selecting File…Save Project. Add a dash and the letters “QC” after the batch number (i.e., CodingQASCLA001-QC)

11. Select the Resolve Ticket option to tag the review as being complete and Click Submit.

12. Give the report and other documentation to the QA Task Leader.

13. Click on the Clear Sources button or select another batch from the Work Queue.

14. Select the Resolve Ticket option to tag the review as being complete and Click Submit

15. Give the report and other documentation to the QA Task Leader.

36.0 Submitting Coding QA Results to the Pipeline

1. Once a batch is resolved, the QA Analyzer prompts the Reviewer to enter the results into the pipeline.

2. Click Yes to enter into the pipeline.

3. In the pipeline, verify that the information appearing is correct and enter the following field information:

a. Key Accuracy

b. Other Accuracy

c. Date Returned

4. Click Submit

37.0 Creating a DIMES DBA Workflow Ticket

1. Click on the New ticket in button and select from the dropdown box, DBAQA.

2. In the New ticket in dropdown window, the review type will change back to default. To ensure the correct Review type has been selected, the Workflow system identifies the type in the queue.

3. If the QA Review queue type is not correct, the Review should be stopped and the QA Task Leader notified.

38.0 Workflow DBA Ticket Options

38.1. Assigning a Status Type

The Workflow ticket status is used to track the stage of the review in the pipeline. By default, the Status type will be New. Assign the status of the ticket by selecting New from the dropdown box.

Note:

There are four other Status types. These types (Open, Stalled, Resolved, Rejected) should be used to change the status of a ticket that has already been created in the Workflow system. See Chart __.

All notifications received MUST go into the Workflow system in order to maintain an accurate pipeline.

38.2. Owner Window

The Owner Window allows a review to be assigned to a specific QA Reviewer. When the QA Task Leader assigns an owner, the review will appear in the QA Reviewer’s work queue. Although Workflow tickets can be created without an owner, as a best practice, an owner should be assigned when the ticket is created.

38.3. Workflow Email Options

Although this feature is not functional, information regarding a Workflow ticket that has been created or changed can be sent to the DOJ Case Manager. Enter the email address of the recipient in the CC and Admin CC fields. For multiple recipients, separate each address with a comma.

38.4. Subject Field

Use the Subject field to record information regarding the batch from the image QA notification form. The information in that field will appear on the QA Reviewer’s work queue. As a best practice, use the batch number in this field. If the review is a re-notification, include that information in the Subject as well (i.e., Second Chance SC106, SC107Rev)

38.5. Batch ID

The Batch ID is a mandatory field and is used to record the image CD’s batch number. Enter in this field the batch number as it appears on the QA image notification field. It should also match what was entered in the Subject field (i.e., SC106, SC107R). Although the case name and batch may appear in the Subject field, only use the batch ID and any re-notification information.

38.6. Case Name

A Case Name must be selected to create the Workflow ticket. This is a mandatory field and a ticket cannot be created without selecting a case name. All active cases are listed in the Case Name dropdown window. If a Case Name is not shown in the dropdown window, please contact your supervisor.

38.7. Case Manager

The Case Manager’s name can be found on the image QA notification form.