Forms Processing Solutions from Parascript : FormXtra. March 2006: Complete forms processing workflow with Intelligent Recognition technology

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1 s Processing Solutions from Parascript : Xtra March 2006: Complete forms processing workflow with Intelligent Recognition technology Parascript Page 1 12/24/2007

2 Benefits of Automated s Processing Processing different types of forms and text styles can be labor-intensive and rife with errors and delays, especially if your forms processing environment requires manual keying from paper or image. Anyone who deals regularly with manual in-house or outsourced data entry can immediately point to its downsides: burdens and inefficiencies of cost, time, accuracy, and security. With Parascript, automated data capture from different types of forms such as tax returns, insurance claims, credit applications, health claims, and fulfillment forms, and other forms specific to commercial enterprises and government agencies can solve data-processing labor inefficiencies, while reducing costs. Automated s Processing Results in Lower Costs, Higher Accuracy, Faster Processing, and Better Security Cost Reduction - Manual labor-related expenses such as compensation, training, administration, high turnover rates, and other non-payroll related overhead keep the annual, fully loaded cost of a data entry operator above $40,000. Automated forms processing eliminates tedious and timeconsuming manual entry and allows you to redeploy some permanent employees to perform other important tasks. There is no need to call periodically on temporary staff or outside contractors to manage production peaks, and operational costs are under control. Time Savings - In-house or outsourced, manual data entry is unquestionably a very timeconsuming method. Automatic forms processing is faster and more accurate than tedious manual keying, enabling data processing centers to increase the throughput and efficiency of formsprocessing operations. The high-volume processing capability of Xtra enables you to meet complex, high-volume forms-processing needs quickly and efficiently. Improved Accuracy - Manual data entry operators have different skills, and their data accuracy usually decreases with time because of fatigue. With the potential for human error reduced, machine print (OCR), hand print (ICR), natural handwriting (NHR ), check marks (OMR) and barcodes can be interpreted with unparalleled speed and accuracy. The highest level of accuracy is achieved through comprehensive analysis of entire words and fields and cross-validation of recognized fields with vocabularies, databases, templates and other application-specific context. Security - Organizations with the most stringent guidelines may prefer to keep data in their hands at all times, making an on-site solution the only option. Xtra enforces security at the field level, providing only a snippet of each form to a single operator. First name fields, for instance, can be given to one keyer, social security numbers to another and diagnostics to the next one, so that each piece of information is autonomous. To go one step further, the information can even be sent to multiple sites within the same company, eliminating any chance of a security breach or misuse. Parascript Page 2 12/24/2007

3 Parascript s s Processing Workflow - The Right Solution for Your Business Parascript s forms-processing workflow helps businesses across the industry spectrum from insurance, financial services, and banking to business-process outsourcing (BPO) and fulfillment. This flexible solution can be deployed out-of-the-box or customized from the ground up using Parascript s software development kit (SDK) to tailor forms- processing applications to the exacting requirements of your environment. Figure 1: Types of Processed s Industry BPO Financial Services Fulfillment Government Insurance Legacy Data Other Types of Processed s Centralized and distributed data capture Credit applications, enrollment forms, change of address Mail orders, coupons, surveys and subscriptions Tax returns, census forms, accident reports, passport applications, I 94 forms, registrations and licenses Insurance claims, enrollments and health claims Paper archives, city records, microfilm - microfiche Participation forms, event ticket orders, packing slips and bills of lading Implement a complete forms processing solution Scale to your unique business needs Integrate into an existing workflow Improve read rates and accuracy with Intelligent Recognition Ensure accuracy through active use of Xtra is the real answer to complete forms-processing workflow. Scalable to unique business needs, Xtra can process more than 500,000 forms per day with as many as 300 operators executing concurrent keying tasks. context (templates, vocabularies, alias Through its unprecedented ability to tables, postal databases) recognize hard-to-read forms and Validate addresses for high levels of documents, Xtra significantly accuracy augments the capabilities of existing data-capture and forms-processing systems. It is, simply and clearly, the best available option for optimizing even the most demanding recognition applications. Parascript Page 3 12/24/2007

4 Xtra solutions feature Intelligent Recognition engines, which recognize constrained and unconstrained hand print, machine print and natural handwriting, reducing reliance on manual keying and cutting processing cycle times. A scaleable modular architecture allows Xtra to be easily integrated into an existing workflow, to be customized to specific business needs, and to include any components required by the specific application. Figure 2: s-processing Workflow s-processing Workflow Image Files, Files Faxes Definition Definition Registration Registration & ID ID Image Image Enhancement Enhancement & Cleanup Cleanup Intelligent Recognition Keying Business & Rules Data Validation Keying Business & Verification Rules Business Rules Data Release The Xtra solution s modular architecture is available in two solution delivery options: 1) Xtra Enterprise or 2) Xtra Standard. 1. Xtra Enterprise option - includes all stages (Figure 2) required for a complete forms processing workflow, including the capture of input images, form definition, form registration, image enhancement and cleanup, Intelligent Recognition, keying and verification, business rules, and export of data in data formats required by other enterprise-level applications. In addition, administration tools provide easy management of recognition and keying tasks. 2. Xtra Standard comes as a software development kit and combines the power of Parascript s flagship Intelligent Recognition engine with a versatile form definition module. The Intelligent Recognition component is provided as an executable file with command line interface, which receives a name of the directory with form images as an input, and provides a text file with recognition results as an output, or as an API operating on a single image. Image Files images may be acquired from any source including faxes, paper documents, and existing electronic images. Xtra accepts individual images or batch submissions of scanned images and processes multi-page and duplex documents. s can be scanned locally or remotely, saved and automatically routed for further processing. Parascript Page 4 12/24/2007

5 Definition Create Definition The form definition step includes creating form definitions and testing the recognition process. It is completed in an integrated desktop environment called Definition Studio. Definition Studio offers efficient setup of form registration zones, definition of form fields, specification of recognition and validation rules, and definition of Create form definition output formats. Definition Studio Tune form definition to achieve the highest read rate and accuracy allows you to create form definitions for Test recognition results one-page forms or multi-page Collect test results statistics documents with many variations. Xtra matches the right documents with the required form definition template during the recognition process to increase processing speed and recognition accuracy. Test Recognition Results To maximize recognition efficiency, Definition Studio allows interactive testing of recognition and error rates for individual fields and forms, consequently improving form definition process and recognition results. Definition Studio is specially designed to interface and function with Parascript Intelligent Recognition engines. The design of the studio has an interface for easy description of contextual information that is critical for text recognition quality. For further efficiency, predefined contexts are included for more than 20 commonly encountered field-types, including first and last name, phone number, address and date fields. Dynamic vocabularies and alias tables can also be linked to the external database (via OLE DB providers) to adapt quickly to new form requirements. Therefore, there is no need to change the form definition whenever aliases or vocabularies change. Tune Definition The Definition Studio module s simple tools let users evaluate individual field results so that each field can be tuned for maximum recognition. The tuning process establishes optimal settings for snippet cutting, clean-up, and data recognition. Recognition results are compared with truth reference data so the user can collect statistics about test results and determine required error and read rates by setting specific thresholds. Registration and Identification The first stage of the recognition process is form registration and form identification. At this stage all form images are identified as matching the required form definition template. Any form images Parascript Page 5 12/24/2007

6 that do not match the template are rejected, as are any that are overly skewed or noisy. This process ensures that the right document is used during the recognition process. Manual registration is also available to help keying operators manually associate non-registered images with valid document, page, and sample image(s) from a form definition. Image Enhancement & Cleanup As soon as form images are registered, you can specify operations that have to be performed on an image before recognition. These include de-skewing, de-speckling, image rotation, and filtering to remove extraneous elements like lines, operations known to be highly effective for field snippets that include pre-printed form material. Other image cleanup features include removal of combs, boxes, or intrusions from field images and horizontal alignment of text. The horizontal alignment of text in a field image will place the image on a straight, horizontal plane and helps to correct writing that slants upward or downward. Xtra removes all preprinted data, noise and other extraneous elements from the field images. [see p. 4, n. 2] Intelligent Recognition After form registration and form identification, data-field recognition begins. The core of the Recognition Module Parascript Intelligent Recognition technology - integrates several recognition engines, including an engine based on a proprietary special descriptive language that embodies the essence of all cursive handwriting and 19 neural-network-based classifiers that read and re-read machine print, hand print, and numbers. Intelligent Recognition technology accepts all styles and combinations of cursive handwriting (NHR ), hand print (ICR) and machine print (OCR), constrained or unconstrained. While most other products perform recognition on a character-by-character basis limiting accuracy and completeness Parascript combines engines that read words character-by-character with engines that read whole words or phrases and further improve recognition by using application-specific context. Intelligent recognizers complement each other and are able to cope with any text irrespective of its type and quality, delivering industry-leading read rates and accuracy. In this manner, a single selfcontained recognition technology can process an endless variety of text and character images. In addition, the Xtra recognition module incorporates several other advanced recognition techniques, including: Context sensitivity Fuzzy logic Whole-word and whole-phrase recognition Parascript Page 6 12/24/2007

7 Dynamic vocabularies Address validation and interpretation Address Recognition and Interpretation Xtra also leverages address recognition and interpretation technology that has been successfully used by USPS, European posts, mailing and shipping agencies to process letters, flats and parcels. If a company is looking to capture address information from envelopes, business reply cards, product registration cards or other documents, Xtra offers address block recognition for all address formats that may be encountered on different forms. It also incorporates address database information to validate an address once it is read; this ensures high levels of accuracy and improved deliverability of future mailings. Keying and Verification On-site and Remote Keying Support The Keying and Verification module optimizes the scope, productivity, and accuracy of work Perform double and triple keying Utilize special mode for checkbox keying Use context Support distributed keying Control quality during verification performed at manual keying locations. Due to the system s unique replication technology, manual data entry can be done at geographically dispersed keying sites. The Keying and Verification module includes several mechanisms that foster precision and productivity during manual keying and validation processes. Different keying types are available to help reduce keystrokes. Xtra s robust keying module provides a powerful and flexible way to manually validate unrecognized fields and characters. The module includes a) field keying, b) form keying, c) checkbox keying, and d) registration keying capabilities. a) In field-keying mode, operators see unrecognized field images (snippets) sorted by form and field type to improve efficiency and keying performance. The field images contain information processed during the recognition that has not passed the accuracy threshold. Operators then enter the information from the field snippet according to the keying rules. b) keying is used when forms cannot be identified using recognition engines (because forms failed registration) or when information from a field image is not sufficient to enter data correctly. The operator sees the entire form on the screen and a list of fields to be keyed. Parascript Page 7 12/24/2007

8 c) Checkbox keying displays a grid of check boxes preliminarily sorted using recognition results at rates up to 100,000 fields per hour. d) Registration keying allows keying operators to manually register pages not registered in the forms-processing workflow. To promote keying accuracy, the keying module uses double or triple verification of critical data fields. If the results from double and triple keying don t match, the data goes to auditors that are able to assign specific error codes to erroneously keyed information. The keying module allows administrators to monitor productivity at each keying station as well as track overall system performance. To promote keying and verification accuracy, the Keying and Verification module also: Forces double or triple verification of critical data fields Uses recognition results during the verification process Uses context information to decrease keystrokes and increase speed Cross-references the U.S. Postal Service database to verify address fields Dynamic Quality Control during Verification After forms are processed through imaging and data entry, quality assurance is performed to ensure that information is being entered correctly. The Quality Control function allows the administrator to set the minimum percentage of fields keyed by the operator that must be doublekeyed for quality control purposes. The administrator also has an option to set the minimum percentage of keying per batch class. Quality control percentage rates can be automatically adjusted based on the operator s previous day error rate. Xtra uses dynamic and adaptable quality control to ensure successful data entry. Given that all keying operators do not perform equally, Xtra Enterprise compensates by identifying top performers and minimizing the level of verification they require. For less accurate keyers, the system automatically increases the level of verification. Business Rules A business rules mechanism is imbedded in the Definition Studio and is used after recognition as well as during keying and validation processes. Business rules define formats, relationships between fields, and guidelines for data processing such as the format of answers, relations between several fields on a form, guidelines for field processing or keying specifications referring to field answers. The business rules mechanism uses VBScript to code additional Parascript Page 8 12/24/2007

9 processing tasks. All of the standard VBScript functions are available for scripting in form definitions. Data Release "Data Release" refers to the type and structure of the output files created after form processing. Definition Studio users indicate the formatting style (if any) of the output recognition answer file and define the output format (ASCII or XML). Data output can be customized at the file structure level and at the field data level. Xtra can also output ASCII results to databases through ODBC communication as well as to XML files. Modular Components for Easy Integration and Scalability Several modules make up Xtra, each functioning efficiently at various stages in the formsprocessing cycle and each seamlessly interfacing with others. Administration, Capture, Definition Studio, and Keying Tool modules are desktop applications that interface with a Data (Figure 3). Figure 3: The Xtra Enterprise system local version implementation. The Keying Site module is not included because tasks are directly transmitted from Administration to Keying Stations. Batch Workflow Update Administration Module Batches, Tasks Definitions Keying Definition Studio Module Batches Data Capture Module Keying Tool Keying Tool Keying Tool Parascript Page 9 12/24/2007

10 Figure 4: The Distributed Capture version of Xtra Enterprise ensures replication of batches, tasks and form definitions in geographically dispersed operations. Batch Workflow Update Batches, Tasks Keying Administration Module Definitions Definition Studio Module Batches Data Keying Tool Batches, Tasks, Definitions Keying Tool Keying Tool Capture Module Internet INTERNET Administration (Keying) Data Internet Keying Keying Keying Tool Tool Tool Tasks Keying Batch Update Parascript Page 10 12/24/2007

11 Administration Module The Administration module gives the system administrator full control over the recognition and keying workflow. It allows the system Exercise full control over the administrator to monitor the system recognition and keying workflow activity a t global and detailed levels. Customize reports The modul e provides: Workflow and hardware management, including the ability to configure the system, add modules and computers to the system and assign their roles User management, i.e. the ability to create users and user groups and assign their roles and permissions Security management Batch management System productivity monitoring Comprehensive custom reports of recognition results and keying performance Predefined and Custom Reporting The Administrative Module comes with pre-defined reports but also allows users to create reports with the user-friendly Report Designer tool to satisfy the most demanding requirements. The predefined reports offer comprehensive reporting of recognition results and lets users track batch, form and file processing performance. The predefined reports can be organized into report groups such as batch reports, operator errors, operator statistics, performance data, and task summaries for ease of use. [see p. 9, n. 3] Both report design capabilities and the report data are subject to Xtra security settings. Every user that has logged into Administration can retrieve the information (batches, keying tasks, keying passes completed by operators) that pertains to the batch classes the user has permission for. Only Xtra administrators can create new reports and make them available to other users. To improve security, each report type has specific security settings: Predefined reports reports installed with the forms processing system Public reports reports that were created by one of the administrators in cases where the owner of the reports has made them available to other users Private reports reports that were created by one of the administrators in cases where the owner of the reports has not made them available to other users. Parascript Page 11 12/24/2007

12 Definition Studio Module Definition Studio is an integrated environment for creating form definitions and testing the recognition process. Definition Studio is seamlessly integrated with the Parascript Intelligent Recognition engine, which copes with virtually any text regardless of its type and quality and allows for unprecedented accuracy and reliability of recognition. Among other features: Xtra accepts one- or multi-page images of forms with no restrictions of the form design. Xtra accepts images with a resolution ranging from 100 to 300 dots per inch (dpi). Xtra supports black-and-white and grayscale images with 8 bits per pixel. The supported file formats are TIFF and bitmap (BMP). Grayscale images are automatically binarized before recognition. Figure 5: The steps that the user follows in order to create a form definition file for a form recognition application. Definition Flow Select a Template for Definition Registration Specify Fields for Recognition Test and Tune Recognition Parameters Specify Business Data Rules Business Configure Output Rules Data Collect Recognition Statistics Create Definition File Capture Module The Capture module is designed to scan, import, and load forms and groups of forms (batches) into Xtra. The Capture software connects directly to a Microsoft SQL 2000 Data via a local network or connects via Internet to Scan and Import s IIS s to allow users to upload Create image batches image files. Capture enables customers Review batch statistics to check the batch-processing status and the batch results the data files created from image files and can also be used to scan your own batches, providing seamless integration with more than 300 models of ISIS-interface scanners. Through the Capture Module local and remote users can: Access the Data via the Internet Download scanning parameters for scanner and form type from the Data Parascript Page 12 12/24/2007

13 Scan documents or use already scanned images to create a batch Upload batches of images to the Data Review batch statistics uploaded from the Data Data Privacy Via Capture, recognition results may be downloaded by the originating user or any other authorized party. To provide data privacy, the data transfer may be encrypted using Secure Socket Layer (SSL) protocol. Workflow The Workflow Module is deployed on the Workflow to supervise large-scale Xtra operations. It automates the flow of data Automate data flow from one task to another, distributes Distribute tasks and prioritizes works to avoid Prioritize work bottlenecks. Should system problems arise, the Workflow automatically notifies administrators via . The workflow is queuebased to speed up batch processing. The workflow module activates various workflow tasks, initializes recognition, generates keying tasks, and provides a continuous flow of instructions. The module also looks for batches in pending status, starts them and automatically moves batches through all stages needed to produce the output file. Xtra delivers a fast and evenly distributed workflow mechanism. In addition, the Workflow module: Supports concurrent processing of different form-types on multiple computers Processes up to 4 batches simultaneously on dual-processor, Windows XP computers utilizing hyper-threading technology Publishes processed data on an FTP server Intelligent Recognition Once the Definition is created for a form, the batches of these forms are ready to undergo processing by the Intelligent Recognition engines. The Intelligent Recognition engines are installed on the Workflow and provide complete freedom from form restrictions. They do not require combs, boxes or forms redesign and adapt to the documents at hand, whether new or legacy, thus improving forms-processing success and expediting the data-capture process. Similarly, Xtra can process any type of data-field entry, from address lines and checkboxes to social security numbers and dollar amounts. Parascript Page 13 12/24/2007

14 Keying The Keying Dispatcher deployed on the Keying can distribute keying jobs to various Keying Stations based on user permissions, form-types and field-type. It also monitors keying-station productivity, assembles and validates keying station data. Keying Tool Module Xtra Enterprise provides a powerful and flexible way to manually validate unrecognized fields and characters with the Keying Tool module. It includes powerful field keying, form keying, checkbox keying, and registration keying capabilities. Internet The Internet server is a computer that runs IIS software. Xtra uses one or multiple Internet servers to establish a remote connection to the Capture module, as well as for replication. Batch The batch server performs overall system maintenance as well as management of keying tasks and replication. Update The update server is used to automatically update Parascript forms processing software on networked stations such as workflow servers and keying stations, eliminating the need for manual installation on individual computers. Conclusion The Parascript forms-processing solution offers flexible and modular functionality configurable to your unique business needs. With Xtra, you get Parascript Intelligent Recognition technology that processes 75 billion checks, forms and mail pieces annually, with the highest recognition rates available in the market. Automated data capture from different types of forms will improve operational efficiencies, save time, increase accuracy and ensure data integrity and security, while reducing manual entry costs. The scalable and robust solution helps businesses across the industry spectrum from integrators to insurance, financial services, banking, and business process outsourcing (BPO) companies -- to process large volumes of forms accurately and efficiently. Parascript Page 14 12/24/2007

15 Features System Architecture, Management, and Administration Inputs information from remote scanning outside the LAN Performs automatic form identification, recognition, and validation at the central location Distributes keying jobs to remote keying centers for data entry Collects data entry results from remote keying centers and validates them at the central location Publishes processed data in ASCII, XML or to ODBC database Uses a single administration application to monitor, configure, and manage the entire system Supports simultaneous processing on multiple computers Tracks system performance, recognition results, and client computer productivity Can process an unlimited number of form types simultaneously Can limit the processing of specific forms to recognition only Automatically notifies administrators and users about system problems Supports user-level security Supports the Microsoft Windows 2000 Runs clients on Microsoft Windows 2000 Professional, Microsoft Windows XP Professional Uses the Microsoft SQL 2000 Remote Capture Supports image and document capture at remote locations outside the LAN Supports 300+ scanners with ISIS interface Scans multi-page and duplex documents Controls the scanning process Visually verifies image quality Transmits scanned images to the central processing location using secure HTTP Parascript Page 15 12/24/2007

16 Definition and Processing Features Supports the creation and tuning of form definitions at remote locations outside the LAN Performs accurate and fast form identification without human assistance Locates and recognizes data from paper, scanned images, and structured forms Enhances images and performs form removal Recognizes machine print (OCR), hand print (ICR), marks (OMR), and cursive handwriting Uses 20+ predefined field types to improve recognition rate Supports recognition of tables Provides the ability to define field locations for all edit operator processes Allows for custom business rules with VBScript Allows for dynamic modification of form workflow with VBScript business rules Optimizes form identification and recognition with testing "on-the-fly" Allows for custom keying rules for each field Remote Keying Centers Support Supports on-site keying or simultaneous keying at remote keying centers outside the LAN Uses keying centers capacity in man/hours, time zones, and working hours to effectively distribute jobs between keying centers Specifies form types to key in each keying center Tracks keying center productivity Uses secure HTTP to transfer data between keying centers and the central location Verification Supports operator-level security Specifies form types and field types for each keying operator Tracks operator productivity Automatically distributes jobs between operators based on job deadlines and operator rights Provides a single verification application for all types of keying jobs, thus optimizing each operator's load Provides keying from the field and keying directly from the image Parascript Page 16 12/24/2007

17 Provides a unique checkbox verification procedure with speeds up to 100,000 fields per hour Effectively uses recognition results during verification Uses context information for minimizing keystrokes and maximizing speed Forces double or triple verification of critical fields Optimizes address fields entries using Parascript postal database Flexible Output Options Outputs data and indexes to ASCII and XML files as well as to ODBC database About Parascript Parascript Intelligent Recognition engines capture, interpret and transform paper-based data into actionable information. Uncovering the hidden meaning of information, we help commercial and government organizations drive higher accuracy and productivity while automating costly data entry. The first to solve the cursive handwriting puzzle, Parascript has grown to be the Intelligent Recognition solution for the U.S. Postal Service and other Global 2000 organizations including Böwe Bell & Howell, Carreker, Elsag, Lockheed Martin, NCR, Siemens and Unisys. Parascript is online at For more information about Parascript s products and services, please contact us. [email protected] Phone: Parascript and Xtra are registered trademarks of Parascript, LLC. Copyright 2006 Parascript, LLC. All rights reserved. No part of this document may be reproduced or transmitted in any form, by any means without the prior written permission of Parascript. Parascript Page 17 12/24/2007