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.

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4 Steps to Better Capture
J. Kevin Parker, CIP

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J. Kevin Parker, CIP
www.JKevinParker.com
About Me

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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

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Information Lifecycle
(one way of looking at it…)
Created Captured
Indexed
Stored & Managed
Dispositioned
Processed & Routed Published
Transferred Destroyed

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Where Does All This Information Come
From?
Captured
Documents
Paper
Email +
Attachments
Scanned
PDFs
“Born
Digital”
PDFs
Office
Documents
Structured
Data (e.g.,
XML)

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People, Process, Information,
Technology
Enterprise
People Process Information Technology

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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?

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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?

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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

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Align Efforts for Improvement
Improvement
CRM
BPM
EIM

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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

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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…

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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

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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

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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

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Capture as Early as Possible in a
Process
Step A Step B Step C Step D
Capture here? Capture here?
Capture here? Capture here?

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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

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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

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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.

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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

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Leverage Plan > Do > Check > Act
Plan
DoCheck
Act

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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

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Practice Continuous Improvement
Improvement
Iteration
0%
20%
40%
60%
80%
100%
Errors
Quality
Improvement
Iteration
Improvement
Iteration

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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

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J. Kevin Parker, CIP
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