Everything you Always Wanted to Know About Capture into Process

In association with: Presented by:

Everything you Always Wanted to Know About Capture into Process:

handle exceptions and goofs on the fly

Presented July 8, 2015


About AIIM

AIIM is the Global Community of Information Professionals AIIM believes that the information systems we use at work should be simple, secure, and available anywhere, anytime, and on any device. Our mission is to improve organizational performance by empowering a community of leaders committed to information-driven innovation. Learn more at www.aiim.org

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AIIM Presents:

Everything you Always Wanted to Know About Capture into Process: handle exceptions and goofs on the fly

Host: Theresa Resek Director AIIM

Kevin Parker, CIP Sr. Enterprise Information Architect NEOSTEK

Pete Smerald Director Enablement EMC, Enterprise Content Division


Introducing our Featured Speaker

Kevin Parker, CIP

Sr. Enterprise Information Architect

NEOSTEK


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


Information Lifecycle

Created Captured

Indexed

Stored & Managed

Dispositioned

Processed & Routed Published

Transferred Destroyed


Where Does All This Information Come From?

Captured Documents Paper

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?


Align Efforts for Improvement

Improvement

CRM

BPM EIM


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


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


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

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


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

Do Check

Act


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

• Assess the current state • Identify opportunities for streamlining Measure

• Identify root causes of bottlenecks and quality issues • Identify exceptions Analyze

• Plan improvements • Implement improvements Improve

• Monitor the process using KPIs • Verify quality and eliminate mistakes Control

Leverage Lean Six Sigma


Practice Continuous Improvement

Improvement Iteration

0%

20%

40%

60%

80%

100%

ErrorsQuality




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 Do Check Act – Lean Six Sigma


Connect with Me

Kevin Parker, CIP

NEOSTEK: www.neostek.com

Twitter: @JKevinParker

LinkedIn: www.linkedin.com/in/jkevinparker

http://www.neostek.com

https://twitter.com/JKevinParker

http://www.linkedin.com/in/jkevinparker




Introducing our Sponsor Speaker

Pete Smerald

Director Enablement

EMC, Enterprise Content Division

28 © Copyright 2014 EMC Corporation. All rights reserved. © Copyright 2014 EMC Corporation. All rights reserved.

Internal Sources

External Sources

Client Internal Team

External Systems

Review/ Add Documents

Capture Process Communicate

Send confirmation letter to client

Process NIGO

Resolution Initiate Client

Notification

Traditional process model • Linear • Opaque • Internally

focused


Modern process model

Internal Systems

Collaboration

Client Customer Service

Internal Team

Internal Participants

External and internal collaboration tools

Distributed Capture

Paper and electronic

documents

Constant Personalized

communications and response

cycles

Public Portal

Centralized scanning

• Dynamic • Transparent • Externally focused • Conversational


Capture Concepts- Becoming a component to a process

Challenges Capture is divorced from use– focus is on upfront steps,

not the end-to-end process

Approaches Capture embedded into WF

interfaces Provide context awareness

to capture functionality from WF interface Switch to a validation metaphor

Implications Indexing cost efficiencies come at the expense of the

entire business process Completeness cannot be determined Client interaction are engineered as exceptions

Applications Captiva REST Advanced

recognition Web client

Best practices from 80-90’s no longer suffice.

The value of capture has moved from the mail room and into the business


Capture Concepts drill-down Process embedded capture

Invoice Number Vendor Name Purchase Date Subtotal Grand Total Payment Terms

10010 Acme Products 30 January 2008 $ 6,014.81 $ 6,025.88 Net 30 Days

Capture Classify Extract Validate Deliver

As a separate front-end process

‘Discover data’

Embedded in a process

‘Validate data’

Key EMC Advantages


Invoice Number Vendor Name Purchase Date Subtotal Grand Total Payment Terms

10010 Acme Products 30 January 2008 $ 6,014.81 $ 6,025.88 Net 30 Days

Capture Classify Extract Validate Deliver Queue Process Queue

• ~ 30%-50% of work items are improperly delivered to the correct workers. (Most organizations don’t even measure this.)

• Changes and corrections take years.

• Proper queuing is an art of what’s captured and how it is evaluated.

• Changes don’t impact the processing systems so tuning corrections are nimble.

Business system responsible for all

queuing logic (index evaluation

and work distribution)

Business system responsible for fine

grained queuing and work

distribution

Capture platform responsible for

index evaluation and coarse grained

queuing

Capture Concepts drill-down Queueing



Additional Information

EMC Captiva on emc.com http://www.emc.com/captiva

EMC Captiva on EMC Community Network http://www.emc.com/captiva-ecn

EMC Captiva on Social Media – Facebook: https://www.facebook.com/emccaptiva

– Twitter: https://www.twitter.com/emccaptiva

– Linkedin: https://www.linkedin.com/in/emccaptiva

http://www.emc.com/captiva

http://www.emc.com/captiva-ecn

https://www.facebook.com/emccaptiva

https://www.twitter.com/emccaptiva

https://www.linkedin.com/in/emccaptiva


QUESTIONS?


AIIM Resources

www.aiim.org/research Download AIIM Studies

http://www.aiim.org/research

aiim.org/training

• Enterprise Content Management Improve customer and staff engagement, ensure compliance, and automate business processes.

• Business Process Management Map, design, and automate operational processes for your organization using a combination of strategies, change management, and technologies.

• Taxonomy & Metadata Optimize navigation, findability, and information discovery through content classification.

• Information Governance Create an information accountability framework that reduces costs, manages risk, and optimizes value.

• Managing Records & eDiscovery with SharePoint 2013 Manage records, ensure compliance, and prepare for civil litigation requests.

• Electronic Records Management Know what to keep and what to discard as volume, variety, and velocity of digital information intensifies.

AIIM Training


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Everything you Always Wanted to Know About Capture into Process

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