Beginning an Imaging Program: Achieving Success and Avoiding the Pitfalls

Beginning an Imaging Program: Achieving Success and Avoiding

the Pitfalls

Raymond K. Cunningham, Jr. CRM, CA, MIT

Manager of Records Services

University of Illinois Foundation

http://www.staff.uiuc.edu/~rcunning/imag.ppt

Document Imaging

• Success or Failure depends on factors that you can control

Document Imaging

• Success or Failure depends on factors that you can control

• Document imaging is a part of an overall document management program that includes electronic records, microforms and paper

Document Imaging is for Document Distribution

• Document imaging is not for long term archival storage

Document Imaging is for Document Distribution

• Document imaging is not for long term archival storage

• Retention schedules must be implemented on images, just as they are implemented on paper

Document Imaging is for Document Distribution

• Document imaging is not for long term archival storage

• Retention schedules must be implemented on images, just as they are implemented on paper

• Document imaging must enhance workflow, not impede it

Document Imaging is for Document Distribution

• Document imaging is not for long term archival storage

• Retention schedules must be implemented on images, just as they are implemented on paper

• Document imaging must enhance workflow, not impede it

• Document imaging is not the electronic equivalent of microfilm

Elements for a Successful Document Imaging Program

• Manage the Paper

• Chart the Workflow

• Study the End Users

• Write a Document Imaging Plan

• Image what you want Retrieved

• Start Small - Build on Success

• Indexing, Staffing and Scalability

• Partner with your IT department

Manage the Paper

• The best imaging projects begin with well managed paper records

Manage the Paper

• The best imaging projects begin with well managed paper records

• If you cannot find documents in your paper records, you will unlikely find your documents in an imaging environment

Manage the Paper

• The best imaging projects begin with well managed paper records

• If you cannot find documents in your paper records, you will unlikely find your documents in an imaging environment

• Implementation of Records Retention Schedules

Chart the Workflow

• Chart the work flow of the information

Chart the Workflow

• Chart the work flow of the information

• Implement changes in the workflow such as forms management before you image

Chart the Workflow

• Chart the work flow of the information

• Implement changes in the workflow such as forms management before you image

• USE DOCUMENT IMAGING TO REENGINEER THE BUSINESS PROCESS

Study the End Users

• Are your end users up to the task?

Are your end users up to the task?

• Do you need a User Survey??

• What is the end user skills set?

• Can they use the internet? E-mail?

• Is this an office exclusively using paper?

Study the End Users

• Are your end users up to the task?

• Is the equipment up to the specifications needed for a good document imaging program?

Is the equipment up to the task?

• Monitors – 17” minimum for input – consider dual monitor schemes

• Retrieval 15” is usable but not preferable• Flat screen• The workstation is not as important as the servers

and the network wiring• Retrieval times can be important• Operating system upgrades• Consider standardization across the workplace

Study the End Users

• Are your end users up to the task?

• Is the equipment up to the specifications needed for a good document imaging program?

• What are the requirements the end users demand of document imaging?

Study the End Users

• Are your end users up to the task?

• Is the equipment up to the specifications needed for a good document imaging program?

• What are the requirements the end users demand of document imaging?

• Always keep the users in mind

Write a Document Imaging Plan

• Create a document imaging plan for management

Write a Document Imaging Plan

• Create a document imaging plan

• Incorporate your observations on work flow, retention schedules of the records series to be converted and the technical specifications for your imaging system

Image what you want Retrieved

• Find out exactly what information is to be retrieved within the record series

Image what you want Retrieved

• Find out exactly what information is to be retrieved within the record series

• Do not image documents that are not necessary

Signal To Noise Ratio

• Consider the Internet as a model

• If you image “Everything” and your actual retrieval rate is low, how efficient is your imaging system?

• Imaging large files - retrieval

• Know what is being retrieved by your end users

Image what you want Retrieved

• Find out exactly what information is to be retrieved within the record series

• Do not image documents that are not necessary

• Remember – the idea is to avoid information overload

Image what you want Retrieved

• Find out exactly what information is to be retrieved within the record series

• Do not image documents that are not necessary

• Remember – the idea is to avoid information overload

• Just because we have the technology to image everything does not mean we must

Start Small – Build on Success

• Choose a records series to image that is in demand and would really impact work flow

Start Small – Build on Success

• Choose a records series to image that is in demand and would really impact work flow

• Start slow, perhaps day forward offering the images on line.

Start Small – Build on Success

• Choose a records series to image that is in demand and would really impact work flow

• Start slow, perhaps day forward offering the images on line.

• Make adjustments as necessary

Start Small – Build on Success

• Choose a records series to image that is in demand and would really impact work flow

• Start slow, perhaps day forward offering the images on line.

• Make adjustments as necessary

• Introduce your end users to the world of imaging vs. paper

Indexing, Staffing and Scalability

• Create your indexes with end user input• Do not over index• Be sure to budget the staffing required for

any imaging project – or outsource• QC - Quality Control• Scalability – the system works fine with

50,000 images but crashes when loaded with 1,000,000 images

Partner with your IT department

• Make very good friends with those in the organization that manage the technology

• If you are a stand alone shop, partner with the vendors and/or a service bureau

• Educate yourself on your options – Ask questions!

Avoiding the Pitfalls

• Develop a Strategy

• Plan Ahead – Lifecycle Management

• Stick to the Basics

• Questions for the Vendors

Strategies for Document Imaging• Day forward imaging

• Scan on demand

• Backfile conversion

• Outsourcing as an option

• Input centrally vs. Distributed input

• Integrate Document imaging with your photocopying

• Web based distribution of images

Plan Ahead – Lifecycle Management

• Where do you see your imaging system in five years?

• What will your paper load be in five years?

• How will you be integrating EDMS into your overall document management system?

• Plan today to evolve away from imaging

Important Issues in Document Imaging

• Formats - Most document imaging systems are based on Tagged Image Format File or TIFF

Image Formats

• TIFF - Tagged Image Format File

Image Formats

• TIFF - Tagged Image Format File

• What Resolution do I scan?

Resolution Horizontal dpi Vertical dpi Total Dots per

Square Inch

200 200 40,000

300 300 90,000

400 400 160,000

This is for bi-tonal scanning. For grayscale documents this increases. For color document scanning can increase as much as 16 or 32 times

Image Standards

• OhioLINK Digital Media Center – 300 dpi for text• Colorado Digitization Program– 300 dpi for text • Library of Congress – 200 to 400 dpi depending

on document size• Indiana University Digital Library Program – 300

dpi for text• All of these are for MASTER file, not for the

ACCESS file

Image Formats

• TIFF - Tagged Image Format File

• What Resolution do I scan?

• PDF – Portable Document Format

Image Formats

• TIFF - Tagged Image Format File

• What Resolution do I scan?

• PDF – Portable Document Format

• Think beyond image formats – think NATIVE formats

Important Issues in Document Imaging

• Formats - Most document imaging systems are based on Tagged Image Format File or TIFF

• Most end users desire a browser based retrieval scheme

• What provisions are you making for long term storage of vital records?

Browser Based Retrieval

• Internet Explorer, Netscape, Opera

• Most users have experience with the Internet

Long Term Storage

• Data Migration issues

• Retention Schedules

• Microfilm – Dual Scanning/Filming products Canon DR—5060-F

• Output to Microform

Questions for the Vendors

• Is this software ODBC and SQL compatible?• What format will my images/documents be stored

in?• Can I export the indexes of my images?• Can I use web base distribution for my images? • Can I add or delete columns in the database?• Can I use any device for image input?• Can I migrate these images to another storage

media? (portability)

Document Management

• Document Imaging is one part of the entire document management realm – paper, images, electronic records

• 98% of all information is created electronically

• Capture and store electronic documents in their native format

Moving to EDMS

• Capture at creation

• Web based retrieval

• Limit available formats

• Migration issues

• Have a Strategy for Long Term Storage

Resources

DIRKS Manual State Records New South Waleshttp://www.records.nsw.gov.au/publicsector/DIRKS/final/downloadable/introproj.htm

http://www.dlapr.lib.az.us/records/pdf/Imaging_Tech.pdf

Document Imaging Technology – Arizona State Archives & Library, 2002

Cornell Digital Imaging Tutorial, 2000-2001http://www.library.cornell.edu/preservation/tutorial/tutorial_English.pdf

Comparison of Records Systems

Document

Capture Cabinets and

File folders

Filmed with a camera

Images are Scanned

Index and cross-filing

Copies made placed in files

Paper or computer

Computer Indexing

Retrieval Physical retrieval refile

Find roll and print refile

Workstation view print

Distribution Hours HoursMinutes Seconds

Loss Potential

High Lower Lowest

Activity Paper System Microfilm Imaging

Comparison of Records Systems

Impact on Infrastructure

None Small Potentially High

Impact on systems

None Moderate High – possible reengineering

Storage Costs

Capital: Moderate

Operations: High

Labor: High

Capital: Moderate

Operations: High

Labor: moderate

Capital: Moderate to High

Operations: Moderate

Labor: lower

Activity Paper System Microfilm Imaging

Thank You Any Questions?

Cunningham@uif.uillinois.edu