4 Steps to Better Capture

12/8/2015 Copyright © J. Kevin Parker 1

4 Steps to Better Capture

J. Kevin Parker, CIP


J. Kevin Parker, CIP

www.JKevinParker.com

About Me


4 Steps to Better Capture

1. Begin with the end in mind2. Do capture better in the first

place3. Recover quickly4. Practice continuous

improvement


Information Lifecycle(one way of looking at it…)

Created Captured

Indexed

Stored & Managed

Dispositioned

Processed & Routed Published

Transferred Destroyed


Where Does All This Information Come From?

Captured DocumentsPaper

Email + Attachments

Scanned PDFs

“Born Digital” PDFs

Office Documents

Structured Data (e.g.,

XML)


People, Process, Information, Technology

Enterprise

People Process Information Technology


Begin with the End in Mind:Strategy, Architecture, and Governance• What is the end purpose of the information?

– Input for a process?– Evidence for adjudication?– Historical records?

• Where should it end up?– BPM system?– CRM system?– Payment processing system?– Records center?

• How should it look when it gets there?– Structured data (e.g., XML)?– PDF document?– Images? TIFFs?– A document set?


Begin with the End in Mind:Strategy, Architecture, and Governance• How should it get there?

– Automatic routing?– Manual upload?– Physical media?

• What metadata does it need for proper indexing, findability, routing, and processing?

• How should copies be governed?– Once captured, what should happen to the paper

copy?– During transit, what happens to copies on various

media?


Information Strategy, Architecture, and Governance

“The solution to your business information problems are things technology vendors cannot

sell you in a box or digital download.”

“Your information strategy, architecture, and governance provide the comprehensive set of

business requirements that should define your IT solutions.”

Source: “No, Technology Can’t Solve Your Information Problems”by J. Kevin Parker


Align Efforts for Improvement

Improvement

CRM

BPMEIM


Centralized vs. Distributed Capture

Centralized Capture Distributed CaptureTechnology Specialized scanners

Specialized softwareConsumer desktop scannersMultifunction Printers (MFPs)Handheld scannersMobile device cameras

Skills Expert scanning staff Staff with various skill levels

Benefits Higher skillEquipment efficiencyProcessing speed

Capture from more sourcesCapture earlier in processCan be less expensive

Challenges Can be expensiveCan slow some processes

Less control over qualityMore variations in technology


What Can Go Wrong with Capture?

Variations in forms and

formats

Variations in business

processes

Variations in equipment and

software

Poor quality documents

Poor quality preparation

Poor quality scanning

Issues with indexing

Issues with storage and

transfer

Issues with verification and quality control

Next, we look at how to solve these issues…


Reduce Variations

• Forms and formats– Reduce variations in individual forms– Standardize document formats

• Business processes– Clearly define and map business processes– Limit changes in business processes

• Equipment and software– Use standardized scanning devices– Use standardized software


Improve Quality

• Original Documents– Use crisp, high-contrast originals– Ensure clear text and marks

• Document Preparation– Batch by similar sizes, colors, indexing requirements– Unfold and remove staples– Ensure proper orientation and order

• Document Scanning– Use a standard DPI (e.g., 300 DPI)– Choose the best color option (Bi-tonal, Grayscale, Color)– Create better images


Avoid Issues

• Indexing– Capture metadata from context when possible– Leverage auto-classification tools– Consider double-key metadata entry

• Storage and transfer– Send directly to the right repository– Send exceptions to a queue– Avoid transferring via physical media where possible

• Verification and quality control– Use imprinting/endorsing (Bates stamping)– Perform scanning verification and image quality checks– Perform text searches to verify OCR results


Capture as Early as Possible in a Process

Step A Step B Step C Step D

Capture here? Capture here?

Capture here? Capture here?


Provide Targeted Guidance

• Specialized Scanning Staff– SOPs– Quick Reference

• Branch Office Staff– Quick Reference– In-Line Help

• Others Who Capture– Quick Reference– In-Line Help


Leverage the Right Tools for the Job

• Scanning equipment– Document feeders– Duplex scanning– Simultaneous color and b/w scanning– Imprinting/endorsing

• Scanning software• Recognition software

– OCR, ICR, OMR, MICR– 1-D and 2-D barcodes

• Auto-classification and indexing software– Database lookups– Zonal recognition– Drag-and-drop indexing

• Workflow and routing software


Quality Assurance: 100% vs. Statistical Sampling

100% QA

50% QA

25% QA

10% QA

5% QA

As accuracy, reliability, and confidence increase, the percentage of scans that need to be quality checked can and should go down.


Recover Quickly

• When there are exceptions:– Identify and group these together for manual

resolution– Look for ways to eliminate exceptions in the future

• When there are errors:– Identify errors and route back to the person or part of

the process responsible– Look for ways to avoid the same errors in the future


Leverage Plan > Do > Check > Act

Plan

DoCheck

Act


Leverage Lean Six Sigma

• Establish Critical Success Factors (CSFs)• Establish Key Performance Indicators (KPIs)Define

• Assess the current state• Identify opportunities for streamliningMeasure

• Identify root causes of bottlenecks and quality issues• Identify exceptionsAnalyze

• Plan improvements• Implement improvementsImprove

• Monitor the process using KPIs• Verify quality and eliminate mistakesControl


Practice Continuous Improvement

Improvement Iteration

0%

20%

40%

60%

80%

100%

ErrorsQuality




Summary: 4 Steps to Better Capture1. Begin with the end in mind

– Define strategy– Design architecture– Plan governance

2. Do capture better in the first place– Reduce variations– Improve quality– Avoid issues– Capture as early as possible– Provide targeted guidance– Leverage the right tools for the job

3. Recover quickly– Handle and reduce exceptions– Recover from and reduce errors

4. Practice continuous improvement– Plan à Do à Check à Act– Lean Six Sigma


J. Kevin Parker, CIPConnect with me:

www.linkedin.com/in/jkevinparkertwitter.com/JKevinParkerwww.JKevinParker.com

4 Steps to Better Capture

Technology

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