Real time storage/retrieval subsystem for document processing in banking operations

What is claimed is:

1. In a bank check document handling system for capturing image and information data of negotiated bank checks for bank record processing and which system is managed by a host computer, a storage/retrieval module subsystem for storing said image and information data for retrieval and conveyance to any one of a plurality of image work stations and printers for conversion to human readable format, said storage/retrieval module subsystem comprising:

(a) means for receiving digitized optical signals containing bank check document image packets having (i) image data and (ii) sequential non-image information data related to said image data;

(b) means for converting said digitized optical signals to digitized electrical signals forming said bank check document image packets;

(c) storage operation means for storing, in real time, said bank check document image packets on identified areas of magnetic disk units via a file management system which includes:

(c1) first storage file means for storing non-image bank check document data as a plurality of sequential files made up of a sequence of bytes of data;

(c2) second storage file means for storing, in real time, said bank check document image packets in a structured file system made of a plurality of records where each record has a key field with an index identifying each record;

(d) means for retrieving, in real time, a selected bank check document image packet while simultaneous and concurrent storing operations of bank check document image packets are taking place, said means for retrieving including:

(d1) means for selecting said first storage file means or said second storage file means to effectuate retrieval of either or both non-image information and/or a selected bank check document image packet for transmission to a requesting work station or printer;

(e) means for transmitting retrieved bank check document image packets to a work station or printer for display;

(f) means for communicating with a host computer to receive operational instructions and to transmit retrieved sequential non-image information for use by said host computer.

2. The storage/retrieval module subsystem of claim 1 wherein said file management system includes:

(a) means to provide separate files for (i) front-of-bank check document image packet (ii) back-of-bank check document image packet (iii) other identifying indicia for a bank check document.

3. The storage/retrieval module subsystem of claim 1 wherein said file management system includes:

(a) file system services for allocation of disk storage areas to named files;

(b) common file services to said named files and to open/close said files;

(c) sequential file services for selecting a sequence of non-image data bank check document bytes for transfer to a requesting work station;

(d) structured file services for creating an index to identify a specific record in a file, for subsequent retrieval of bank check document image packets.

4. The storage/retrieval module subsystem of claim 3 wherein each bank check document image packet is organized with access identifiers such that retrieval of said packet is executed after receipt of: (i) file system name (ii) file name and (iii) said index which specifies a particular record in a file.

5. The storage/retrieval module subsystem of claim 1 wherein said means for receiving and said means for converting digitized optical signals include:

(a) opto-electric controller means connected to a parallel system bus means linked to said means for storing and means for retrieving;

(b) said parallel system bus means for linking said means for receiving and converting to each of: said means for storing, said means for retrieving, said means for transmitting retrieved bank check document image packets, and said means for communicating with said host computer.

6. The storage/retrieval module subsystem of claim 1 wherein said storage operation means includes:

(a) disk unit means organized to store 65 image packets per cylinder where each packet can average up to 40 kilobytes of image and related non-image information data.

7. The subsystem of claim 1 wherein said storage operation means further includes:

(a) storage processor means for identifying and indexing each said bank check document image packet;

(b) storage buffer means for temporarily storing at least two of said bank check document image packets;

(c) disk controller means for controlling a disk drive means;

(d) said disk drive means for locating an addressed area of disk for writing a packet of data, said disk drive means including:

(d1) disk unit means for magnetically storing said bank check document image packet.

8. The storage/retrieval module subsystem of claim 7 wherein said storage operation means for storing can store up to 60 of said image data packets per second.

9. The storage/retrieval module subsystem of claim 7 wherein said means for retrieving includes:

(a) unit processor means for receiving requests for specifically identified non-image bank check document data from said bank check document image packets stored on said disk unit means and for enabling access and retrieval of said specifically identified non-image bank check document data, and for communicating completion of said access and retrieval to said host computer via said means for communicating.

10. The storage/retrieval module subsystem of claim 9 wherein said storage processor means, said unit processor means and said file management system relieves said host computer from storage/retrieval execution functions.

11. The storage/retrieval module subsystem of claim 9 wherein said disk controller means includes:

(a) means for receiving instructions from said unit processor means, and for controlling an associated disk drive means to locate an identified area of said disk unit means;

(b) said disk drive means operating to access and read from said identified area of said disk unit means.

12. The storage/retrieval module subsystem of claim 1 wherein said means for transmitting said retrieved bank check document image packets includes:

(a) a local area network controller for receiving image data packets for transmission to a requesting work station.

13. The storage/retrieval module subsystem of claim 1 wherein said means for retrieving can retrieve, from said disk unit means, up to 22 bank check document image packets per second, while said storage operation means simultaneously executes disk unit storage operations for received bank check document image packets.

14. The storage/retrieval module subsystem of claim 9 which includes:

(a) error checking and recovery means in each of said unit processor means, said storage buffer means, said disk controller means, said disk drive means, and said file management system.

15. The storage/retrieval module subsystem of claim 1 wherein said means for retrieving includes:

(a) means for identifying selected 40 kilobyte bank check document image packets and transmitting them to a requesting work station at the rate of 22 packets per second.

16. In a bank check handling system, controlled by a main host computer, for capturing images and non-image item data from digitized bank check document image data packets being received, a storage and retrieval subsystem for storing compressed image data of the front and back of each bank check document received, and for storing related non-image item data such as customer account number and dollar value amount for each said received bank check document, the storage/retrieval subsystem comprising:

(a) a minimum of two disk drive means which include first and second disk drive units for operating first and second disk storage units;

(b) said first and second disk storage units being organized into identified files in a file management system;

(c) first and second disk controller means for controlling said disk drive means;

(d) a first storage processor means for receiving said digitized bank check document image data packets for storage on said first and second disk storage units in real time via said first and second disk controller means and said first and second disk drive means, said first storage processor means including:

(d1) first buffer memory means for temporarily storing at least two of said bank check document image data packets;

(d2) a file management system for;

(i) filing said related non-image item data in a first sequentially ordered file of consecutive bytes, and for

(ii) filing said bank check document image packet in a second structured file made of a plurality or records in which each record has a key field with an index identifying each record,

(e) a second unit processor means for retrieving, in real time, selected non-image item data or said bank check document image data packets via said first and second disk controller means and said first and second disk drive means for transmission to a requesting work station or printer, said second unit processor means including:

(e1) second buffer memory means for temporarily storing at least two bank check document image data packets;

(e2) means for executing retrieval operations simultaneously and concurrently with the execution of storage operations by said first storage processor means;

(f) optical link controller means for receiving digitized optical signal data in digitized packets and converting said optical signal data to digitized electrical signals for transmission on a parallel system bus means to said first storage processor means;

(g) first local area network controller means for communication between a plurality of operator work stations and for facilitating data requests to said second processor means for retrieval, and for transmitting requested image and non-image item data to a requesting work station;

(h) second local area network controller means for communicating with said main host computer;

(i) said parallel system bus means for enabling concurrent data exchange between said first and second processor means, said first and second disk controller means, said optical link controller means, and said first and second local area network controller means.

Description Submit all comments and votes

FIELD OF THE INVENTION

This disclosure relates to storage and retrieval methods and systems usable for high speed, high volume data storage/retrieval and image storage/retrieval operations.

CROSS REFERENCES TO RELATED APPLICATIONS

This disclosure relates to a co-pending application filed on the same date as this application and which issued as U.S. Pat. No. 5,170,466 on Dec. 8, 1992 with the title "Storage/Retrieval System for Document". This patent involved a high-speed storage/retrieval system for storage and retrieval of digital document images which permitted clusters of storage retrieval modules to store and exchange digital data via local area networks within the cluster of storage retrieval modules.

BACKGROUND OF THE INVENTION

With the rising capability and flexibility of modern-day computer systems, there are increasing trends toward automation of tedious and routine functions in the handling of large volumes of data, and especially with the volumes of data engendered in the work of financial institutions, for example, whereby thousands of documents such as checks, deposit slips, remittance information forms, etc., must be checked, sorted, corrected, totalized and returned to the banks or financial institutions where they originated.

Thus, many financial and banking institutions maintain large staffs of people who facilitate the standard document processing procedures which require that all actual items be physically handled, reviewed and distributed to some other destination in addition to having made records of each of the individual transactions so that checking statements can be made for customers and also financial data and balances recorded for the operations of the banking or other financial institutions. Thus, much administrative overhead and handling is involved in these processes where various operators and administrative personnel must handle large volumes of individual documents which must be locatable and readable, and, in the case of checks, must be imprinted upon with the standard MICR (Magnetic Ink Character Recognitional codes.

The present disclosure involves a sophisticated image and item processing system which provides for greater efficiencies in the handling of large volumes of documents and information. Thus, instead of dealing with the actual documents for processing operations, the system operators and administrative personnel, in facilities of these banking or financial institutions, can use imaging systems which store images of the applicable documents. The operators can view the image data on image workstations and thus reduce the requirements for handling paper documents.

Thus, by working from document images on an image workstation, the operator is able to spend much less time and effort searching through stacks of paper and to devote more time for the processing of documents. The use of electronic images, instead of manual handling of physical documents, provides a new way of performing document processing functions.

A schematic overview of the general system for image and item processing is shown in FIG. 1A. The image and item processing system is composed of a number of modules which intercooperate to provide the required functions in the processing of documents in high volume and at high speed. These items include the high-speed document processor 8 and imaging module 8.sub.1, the Storage and Retrieval Module (SRM) 10, the image workstations 12, the image printer workstations 14, the encoding document processor 2, and the host computer system 6.

The system uses imaging technology to capture and process images of documents for item processing. Document images are stored and retrieved so that operators may perform various of the required activities when using the document image. These various types of activities are enabled by the application software being used.

In the operations of FIG. 1A, for example, financial institutions use the image and item processing system to electronically capture images of financial documents as they pass along the transport track in the document processor 8. After the images are captured, they are converted to digital data. The digital data is then sent to a disk storage device where it is later retrieved for display at the various image workstations. Operators may then perform data entry activities on the document image retrieved. Thus, institutions which handle large volumes of documents, such as banks and other financial institutions, may reduce the time and steps required to process a large volume of documents.

The document processor 8 is a high-speed, fast-sorting machine. It reads the magnetic ink character recognition code line (MICR) on documents as they flow through the transport and endorses them with the financial institution's endorsement. Further, it microfilms the documents as they pass the microfilmer and then uses previously programmed instructions to complete the customer sorting requirements by sending each document to a particular and appropriate pocket. The high-speed document processor 8 serves as an image capture site. Documents pass through the imaging module 8.sub.1, FIG. 1B where images are lifted from the documents at real-time sorter speed. The imaging module 8.sub.1, FIG. 1B digitizes, processes, and compresses the captured images. The resulting data is sent to the Storage and Retrieval Module 10 in FIG. 1A.

The host computer 6 is connected to the document processor 8 through an interface which enables the document processor to receive the sorting parameters from the host 6 that will determine how it should sort the documents. The documents are read, endorsed, microfilmed, imaged, and sorted according to these parameters. After a first pass, the document processor 8 sends the acquired document code line data to the host. The host 6 is a mainframe computer which manages the entire system and stores all master data files except the image files.

The Imaging Module 8.sub.1 is housed in the document processor 8 and provides the imaging capability for the system. It captures front and back images of documents and converts the image data to digital form. The Imaging Module 8.sub.1 then combines the image and document data into image packets for transfer to the Storage and Retrieval Module 10.

The Storage and Retrieval Module (SRM) 10, which is the subject of this application, stores the image packets until an image workstation 12 or print workstation 14 requests them for display or printing. The SRM transfers the image packet over a network to the workstations. Additionally, the SRM 10 receives modified document data from the image workstations (after the operators have performed data entry activities) and then sends it to the host 6.

The Image Workstation 12, of which there may be multiple numbers available, is the primary user interface for the system. It generally will have a high-resolution, 15-inch, monochrome, gray-scale monitor window with a high-performance data entry keyboard and an optional alpha/numeric keyboard. Thus image data is sent from the SRM and a high-resolution image can be made to appear on the monitor window. These image workstations can be located in a typical, quiet office environment rather than immediately in the computer room in order to provide a comfortable work place.

The main input device from operator to the workstation 12 is the data entry keyboard which is designed to facilitate image manipulation and high-speed data entry. Thus, an operator can zoom, pan, flip, or rotate a document image with one simple keystroke.

The communications processor 4B (FIG. 1A) facilitates communication between the host 6, the SRM 10, and the encoding document processors 2 of FIG. 1A.

The encoding document processors 2 are used for certain specific applications such as the re-entry of rejected documents and items and also for "power encoding" which is a process which automatically encodes items passing through a document processor with data previously entered by operators at their image workstations 12. These document processors 2 will pass document data through the communications processor 4B over to the host 6. When doing the power encoding function, the encoding document processor 2 (in one embodiment) is capable of encoding 3,800 documents per hour. Thus, when operators place groups of documents into the automatic feeder on the encoding document processor 2, the documents automatically move into the transport track, which then takes them past the MICR reader and the encoder module and then out into the various sorted packet modules. The encoder module prints the MICR or Optical Character Read (OCR) characters onto the items as they flow through the transport. The typical operation is that the documents will be encoded with certain numerical amounts such as dollars and cents.

The print workstation 14 of FIG. 1A uses a type of image printer which involves a 300-dot-per-inch, non-impact laser printer that can print on standard 81/2-inch.times.1-inch paper in order to provide hard copy of images or data items or text.

As a result of this cooperative hardware in the image and item processing system, there is enabled a setup of increased productivity, there is increased speed of operations because of the image-based processing capability, and there is an increased operator efficiency since there is no need to physically handle paper documents which can be called up on the image workstations. Further, there is a "flexibility" possible through modular configuration and by the addition of other modular units to increase capacity and with the provision of a quiet work environment through individual workstations such that the quality of the operator's work life eliminates fatiguing operations and improves operating efficiencies.

SUMMARY OF THE INVENTION

This disclosure involves the organization of a single storage retrieval module used in an image and item processing system which handles high volumes of documents at exceedingly high speeds. The single storage/retrieval module includes an optical interface for receiving optical data and converting it to digitized electrical data which is managed by a storage processor which passes it to a disk controller unit for storage on disk. For retrieval purposes, a second processor designated as a "unit processor" can simultaneously operate, upon requests from a host computer or a workstation, to retrieve selected data from the disks through a disk controller and transmit the data to a workstation through a local area network controller. The storage and retrieval module also includes a communication processor which continuously informs the main host computer with details of information and activities relating to the image and item data.

The Storage and Retrieval Module (SRM) 10 of the image and item processing system is a high-speed, magnetic disk controller which performs a number of essential functions supportive of the image and item processing system. It retrieves and stores images from the imaging module. It transfers images to the Image Workstations. It transfers images to the Print Workstations. It transfers images to and communicates with other SRM's which can be interconnected. Further, it sends copies of document identification data to the host computer and then also provides image and system file management services to the other hardware components of the system.

Each SRM has a minimum of two hard-disk drives and can support as many as eight disk drives. Additionally, the SRM can support as many as four Local Area Network (LAN) links, each of which can connect a maximum of eight image workstations and print workstations for the purposes of retrieving, manipulating, and printing stored images and data. Thus a total of 32 image workstations and print workstations may be supported by only one SRM.

The architectural configuration of the SRM includes multiple printed circuit board assemblies plus two disk drives (minimum) and a Multibus II backplane. The printed circuit board assemblies include a Point-to-Point Optical Link Controller board which receives image packets from the Imaging Module. The next element is the storage processor board which allocates space on the disk drives for storing image packets and holds the image packets until the data amount reaches a pre-established size. A concurrently operating unit processor board reads and buffers image packets from the disk before sending the packets on to the workstations. The unit processor is also responsible for providing the state control for the SRM such as ONLINE/OFFLINE.

The next printed circuit board is that of the disk controller board which prepares image packets for transmittal to the disk drives and handles all disk control functions and errors. The storage and retrieval module can have two disk controller boards that can support as many as four disk drives each. Another board is that of the unit processor board which controls internal communications through a Multibus II backplane.

The next board assembly is the LAN controller which enables communications between the SRM and the host computer, the workstations and other SRM's. Each external connection has its own LAN controller.

The two disk drives are used to provide up to 1.2 gigabytes (GB) of storage capacity for each disk drive while the Multibus II backplane connects all of the various SRM boards. This backplane also provides data movement and interprocessor communications functions while also supporting arbitration, execution, I/O data movement and support for the printed circuit board configuration.

BRIEF DESCRIPTION OF THE DRAWINGS