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12/8/2015 Copyright© J. Kevin Parker 1
4 Steps to Better Capture
J. Kevin Parker, CIP
12/8/2015 Copyright© J. Kevin Parker 2
J. Kevin Parker, CIP
www.JKevinParker.com
About Me
12/8/2015 Copyright© J. Kevin Parker 3
4 Steps to Better Capture
1. Begin with the end in mind
2. Do capture better in the...
12/8/2015 Copyright© J. Kevin Parker 4
Information Lifecycle
(one way of looking at it…)
Created Captured
Indexed
Stored &...
12/8/2015 Copyright© J. Kevin Parker 5
Where Does All This Information Come
From?
Captured
Documents
Paper
Email +
Attachm...
12/8/2015 Copyright© J. Kevin Parker 6
People, Process, Information,
Technology
Enterprise
People Process Information Tech...
12/8/2015 Copyright© J. Kevin Parker 7
Begin with the End in Mind:
Strategy, Architecture, and Governance
• What is the en...
12/8/2015 Copyright© J. Kevin Parker 8
Begin with the End in Mind:
Strategy, Architecture, and Governance
• How should it ...
12/8/2015 Copyright© J. Kevin Parker 9
Information Strategy, Architecture, and
Governance
“The solution to your business i...
12/8/2015 Copyright© J. Kevin Parker 10
Align Efforts for Improvement
Improvement
CRM
BPM
EIM
12/8/2015 Copyright© J. Kevin Parker 11
Centralized vs. Distributed Capture
Centralized Capture Distributed Capture
Techno...
12/8/2015 Copyright© J. Kevin Parker 12
What Can Go Wrong with Capture?
Variations in
forms and
formats
Variations in
busi...
12/8/2015 Copyright© J. Kevin Parker 13
Reduce Variations
• Forms and formats
– Reduce variations in individual forms
– St...
12/8/2015 Copyright© J. Kevin Parker 14
Improve Quality
• Original Documents
– Use crisp, high-contrast originals
– Ensure...
12/8/2015 Copyright© J. Kevin Parker 15
Avoid Issues
• Indexing
– Capture metadata from context when possible
– Leverage a...
12/8/2015 Copyright© J. Kevin Parker 16
Capture as Early as Possible in a
Process
Step A Step B Step C Step D
Capture here...
12/8/2015 Copyright© J. Kevin Parker 17
Provide Targeted Guidance
• Specialized Scanning Staff
– SOPs
– Quick Reference
• ...
12/8/2015 Copyright© J. Kevin Parker 18
Leverage the Right Tools for the Job
• Scanning equipment
– Document feeders
– Dup...
12/8/2015 Copyright© J. Kevin Parker 19
Quality Assurance: 100% vs. Statistical
Sampling
100%
QA
50%
QA
25%
QA
10%
QA
5% Q...
12/8/2015 Copyright© J. Kevin Parker 20
Recover Quickly
• When there are exceptions:
– Identify and group these together f...
12/8/2015 Copyright© J. Kevin Parker 21
Leverage Plan > Do > Check > Act
Plan
DoCheck
Act
12/8/2015 Copyright© J. Kevin Parker 22
Leverage Lean Six Sigma
• Establish Critical Success Factors (CSFs)
• Establish Ke...
12/8/2015 Copyright© J. Kevin Parker 23
Practice Continuous Improvement
Improvement
Iteration
0%
20%
40%
60%
80%
100%
Erro...
12/8/2015 Copyright© J. Kevin Parker 24
Summary: 4 Steps to Better Capture
1. Begin with the end in mind
– Define strategy...
12/8/2015 Copyright© J. Kevin Parker 25
J. Kevin Parker, CIP
Connect with me:
www.linkedin.com/in/jkevinparker
twitter.com...
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4 Steps to Better Capture

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Information capture includes digitization of paper by scanning, but it also includes a lot more. In this presentation, we explore how to do capture better with strategy, architecture, governance, and continuous business process improvement.

This is adapted from presentations I have given recently, including an AIIM webinar and a Washington, D.C. area government records and information management user group.

Published in: Technology
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4 Steps to Better Capture

  1. 1. 12/8/2015 Copyright© J. Kevin Parker 1 4 Steps to Better Capture J. Kevin Parker, CIP
  2. 2. 12/8/2015 Copyright© J. Kevin Parker 2 J. Kevin Parker, CIP www.JKevinParker.com About Me
  3. 3. 12/8/2015 Copyright© J. Kevin Parker 3 4 Steps to Better Capture 1. Begin with the end in mind 2. Do capture better in the first place 3. Recover quickly 4. Practice continuous improvement
  4. 4. 12/8/2015 Copyright© J. Kevin Parker 4 Information Lifecycle (one way of looking at it…) Created Captured Indexed Stored & Managed Dispositioned Processed & Routed Published Transferred Destroyed
  5. 5. 12/8/2015 Copyright© J. Kevin Parker 5 Where Does All This Information Come From? Captured Documents Paper Email + Attachments Scanned PDFs “Born Digital” PDFs Office Documents Structured Data (e.g., XML)
  6. 6. 12/8/2015 Copyright© J. Kevin Parker 6 People, Process, Information, Technology Enterprise People Process Information Technology
  7. 7. 12/8/2015 Copyright© J. Kevin Parker 7 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?
  8. 8. 12/8/2015 Copyright© J. Kevin Parker 8 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?
  9. 9. 12/8/2015 Copyright© J. Kevin Parker 9 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
  10. 10. 12/8/2015 Copyright© J. Kevin Parker 10 Align Efforts for Improvement Improvement CRM BPM EIM
  11. 11. 12/8/2015 Copyright© J. Kevin Parker 11 Centralized vs. Distributed Capture Centralized Capture Distributed Capture Technology Specialized scanners Specialized software Consumer desktop scanners Multifunction Printers (MFPs) Handheld scanners Mobile device cameras Skills Expert scanning staff Staff with various skill levels Benefits Higher skill Equipment efficiency Processing speed Capture from more sources Capture earlier in process Can be less expensive Challenges Can be expensive Can slow some processes Less control over quality More variations in technology
  12. 12. 12/8/2015 Copyright© J. Kevin Parker 12 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…
  13. 13. 12/8/2015 Copyright© J. Kevin Parker 13 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
  14. 14. 12/8/2015 Copyright© J. Kevin Parker 14 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
  15. 15. 12/8/2015 Copyright© J. Kevin Parker 15 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
  16. 16. 12/8/2015 Copyright© J. Kevin Parker 16 Capture as Early as Possible in a Process Step A Step B Step C Step D Capture here? Capture here? Capture here? Capture here?
  17. 17. 12/8/2015 Copyright© J. Kevin Parker 17 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
  18. 18. 12/8/2015 Copyright© J. Kevin Parker 18 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
  19. 19. 12/8/2015 Copyright© J. Kevin Parker 19 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.
  20. 20. 12/8/2015 Copyright© J. Kevin Parker 20 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
  21. 21. 12/8/2015 Copyright© J. Kevin Parker 21 Leverage Plan > Do > Check > Act Plan DoCheck Act
  22. 22. 12/8/2015 Copyright© J. Kevin Parker 22 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
  23. 23. 12/8/2015 Copyright© J. Kevin Parker 23 Practice Continuous Improvement Improvement Iteration 0% 20% 40% 60% 80% 100% Errors Quality Improvement Iteration Improvement Iteration
  24. 24. 12/8/2015 Copyright© J. Kevin Parker 24 Summary: 4 Steps to Better Capture 1. 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
  25. 25. 12/8/2015 Copyright© J. Kevin Parker 25 J. Kevin Parker, CIP Connect with me: www.linkedin.com/in/jkevinparker twitter.com/JKevinParker www.JKevinParker.com

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