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How We Captured 10.3 Million Pages of Documents

And Lived to Tell the Tale

Presented August 19, 2015

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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:

How We Captured 10.3 Million Pages of Documents And Lived to Tell the Tale

Host: Peggy Winton Vice President & CMO AIIM

Micah Smith Technical Lead Fortune 100 Financial Services Company

Patrick McGrath Head of Product Marketing EMC's Enterprise Content Division

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Introducing our Featured Speaker

Micah Smith

Technical Lead

a Fortune 100 Financial Services Company

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• The Digital Era has arrived and IS HERE NOW

• Industries have already been completely disrupted – Retail: Amazon and comparison pricing – Advertising: Google and information overload elimination – Uber: Transportation and instant & on-demand taxi service enablement

• How is your organization dealing with this disruption?

A PARADIGM SHIFT HAS HAPPENED

The Digital Era

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• Transactions that traditionally took place on paper are transitioning to digital experiences

• Customers expecting convenience with new services that are always available

• Customers wanting speed and responsiveness to transactions that were being processed

A PARADIGM SHIFT HAS HAPPENED

The Digital Era

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Our Call to Action

• Primary goal: Improve the customer engagement and experience – Provide easier interaction with customers – on their terms, with their

tools, on their timeframes – Slash processing cycle times through more responsive interactions

within our organizations

• Rallying cry for many parts of the organization • Secondary goal: Cut processing costs

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Our Approach to the Initiative

• Cross functional teams working to address facets of the problem

• A programmatic framework identified to deliver incremental improvements

• Architected a solution that took advantage of modern capture, workflow, and repository capabilities

• Introduced mobility for convenience and speed for our customers based on analysis of new communication channels

• Developed a customized mobile application that had specific mobile capture features to achieve our results

• Identified opportunities to improve data quality to drive dividends in cycle times and follow-up communications

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The Solution(s)

• Phased and programmatic framework to solve the problems • Introduced new digital upload channels to help expedite

processing – Web uploads – Mobile capture uploads

• Determined additional measures were needed – Automated technologies on classification and extraction needed to be

implemented

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Where We Started

8.8 Million pages were processed by imaging services in the last year

…stacked, that’s 17.25x’s the height of the Empire State Building

…the equivalent of 39 TONS of paper

…the volume of 100 trees

~80% of which was actual paper

2013

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• Well-tuned processing platform from start to finish • Has met defined processing goals & objectives • Works well when we have full control over input • Open new channels of communication

Traditional Capture Needs to Change

Capture Classify Extract Validate Deliver

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Fax

In Office Scanning

Phase 1 – Web Uploads

Greater Control = Greater Chance of Automation

Web Upload

Web Upload

Web Upload

Web Upload

• Web Upload provided a new gateway to communicate with customers • Needed to provide the convenience to help speed up transaction

processing • Helped eliminate any out-of-pocket postal/shipping costs for the

customers

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Web Upload Channel

• Can be great – digitally created/filled forms have very high rates of automatic classification & extraction

• Automation rates with digital forms can be higher than scanned forms

• Some fillable forms may also already have their text and keywords already embedded in the form

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Phase 1 Results

PAPER FAX DIGITAL

20% 80% 0% 2013 20% 76% 4% 2014

Total Page Counts

8.8M

11M

• Began seeing a shift from physical to digital transactions • Realized users were using other media/tools to facilitate

communications – Capture On Mobile -> Copy to PC-> Upload via Web – Capture On Tablet -> Copy to PC-> Upload via Web

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Phase 1 – Lessons & Insights

• Not so great – Capture solutions become responsible for “buffering” the organization from wild variability of input

• “Document Capture” has become “Document Processing”

• PDF’s are the standard in this area – but have turned out to be quite difficult to deal with

• Little to no standardization on input

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Fax

In Office Scanning

Phase 2 – The Mobile Experience

Greater Control = Greater Chance of Automation

Web Upload

Web Upload

Web Upload

Web Upload

• Extend the convenience to the customer to interact with the organization • Provide a means of immediately sending information in support of a

transaction • Allow for communication standardization received from customers • Allow customer to use their existing devices to communicate effectively

to the organization

Mobile Capture

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Mobile Capture Channel

• Client-side enhancement capabilities raised the quality and accuracy of the images captured

• The output image captured was comparable to a natively scanned file

• Provided consistency in resolution and file format

• More convenient method of communication for our customers

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Phase 2 Results

• Continued shift towards digital transactions • Desired services differentiation customers wanted was being met • Enhanced the total customer engagement and experience • Started to provide operational efficiencies for faster turnaround

PAPER FAX DIGITAL

20% 80% 0% 2013 20% 76% 4% 2014 18% 70% 12% 2015

Total Page Counts

8.8M

11M

~13M

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Phase 2 – Lessons & Insights

Mobile Capture + Automation Technologies

Capture Classify Extract Validate Deliver

Manual Classification

Manual Validation

• Web Upload + Mobile capture => Automation methods of

classification/extraction can help slash cycle time problems • Cost reductions can be achieved by deploying automation

technologies

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Phase 3 – Automating Transactions

Barcodes • Can be used for identifying a Form + Form Revision

• W-2 2015 vs W-2 from 1995 • Can also be used to store form data

• Name, SSN, DOB, etc. • Have a MUCH faster read time over OCR

• Less than .5 seconds normally • Have a MUCH lower chance of a mis-read than OCR

• Analyst David Savir suggest 1/100M chance of a barcode read + data match

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Phase 3 – Lessons & Insights

Using Barcodes To Automate Transactions Classify Extract Validate

• Barcodes to drive automation in classification • Each form has a unique form ID (optionally with revision date) • Form can be uniquely identified by its barcode • Classification drives extraction - we know what data should be on the form

• Barcodes to drive automation in extraction • PDF417 can store up to ~1856 ASCII characters • Dynamic barcodes can be updated as data is entered on a form

• Barcodes to correlate transactions • Barcodes can be used to tie together when a form is sent out, as well as

when a form is received

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PDF417 Text Encoding Lessons Learned

AIIM WEBINAR • 0-8 8-12 26-22 4-1 8-13 0-17 • 1 2 3 4 5 6 - Code Words

Aiim Webinar • 0-27 8-8 12-26 27-22 27-4 1-8 13-0 17-29 • 1 2 3 4 5 6 7 8 – Code Words

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SSN w2_F01 w2_F02 w2_F03 w2_F04

Dynamic Barcodes For Form Data

SSN w2_F01 w2_F02 w2_F03 w2_F04 123456789 50000 10000 50000 8000

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Barcodes for Correlation

Correlation ID

15J295 15J295

Name, Address, SSN…

Cust

omer

Side

Bu

sine

ss Si

de

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Phase 3 Results

Auto Classified Auto Validated Straight Through Aug-14 10.18% 2.99% 0.64% Sep-14 10.15% 2.67% 0.79% Oct-14 10.25% 2.19% 0.74%

Nov-14 8.62% 2.72% 1.90% Dec-14 8.56% 2.72% 1.89%

300 DPI Scanning Implemented Feb-15 12.85% 6.46% 2.19% Mar-15 16.93% 8.79% 3.24% Apr-15 17.31% 9.90% 4.53%

May-15 19.75% 7.57% 2.89% Jun-15 19.67% 9.88% 4.15% Jul-15 29.02% 18.40% 11.40%

• Automation technologies steadily increased and helped overall throughput

• Objectives defined were met • Transaction turnaround times became a fraction of what they

once were

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Technical Lessons Learned

• File Conversion is a difficult and frequently dangerous proposition – Avoid conversion when possible – If you must convert, the digital channel should maintain original

document integrity by producing 8-bit Grayscale images to avoid “dropping out” text

• Resulting image size of a mobile upload is very important to extraction accuracy – Scale images to a size matching typical paper scanning to have the

best chance of doing zonal extraction

• Standardization in Barcodes is Key – Whether you use PDF417, Data Matrix, QR Codes, etc. – be consistent,

and stick to a data format that will be the same across forms

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Project Outcome Summary

• Transaction that previously took days to complete are now being completed in a number of hours

• Transaction costs over the last 3 years have reduced by ~30% – The same staff that was capable of processing 8M pages

annually is now able to process 13M

• Shift of 12% of annual volume shifting to digital channels

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• Continue to support communication from

customers however possible

• Drive reduction in human processing time

• Standardization of forms as much as

possible

To Document Scanning and Beyond!

Moving Forward

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• Check out the latest technologies that are available • Do your own research on what trends exist in your industry,

and don’t be afraid of leading the pack • Attend applicable events/seminars/webinars • Let the data speak for itself • Reach out to your vendor provider for guidance and

assistance

Final Tips

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

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

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