Transcript
Docupace User Guide
Docupace User Training for Financial Advisors
08-21-11
Docupace Technologies, Inc.
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Docupace User Guide
Copyright © 2011 Docupace Technologies, Inc. This document contains confidential information that is proprietary to Docupace Technologies, Inc. In consideration of receipt of this document, the recipient agrees to maintain such information in confidence and not to reproduce it in any manner or otherwise disclose this information to any person or entity without prior written consent from Docupace Technologies, Inc.
08-21-11
Docupace Technologies, Inc.
All rights reserved.
Docupace User Guide
CONTENTS Foreword ....................................................................................................................................... iv About This Guide......................................................................................................................... iv Quick Reference........................................................................................................................... iv
INTRODUCTION _____________________________________________________ 1 What Is Docupace?....................................................................................................................... 2 What Is Document Management? .................................................................................... 2 Benefits of Using Docupace ............................................................................................... 2 Who Uses Docupace and Why? ............................................................................................... 3 Docupace Components............................................................................................................... 3 Key Docupace Terms .................................................................................................................. 4
ACCESSING DOCUPACE _______________________________________________ 5 Prerequisites ................................................................................................................................... 6 Browser ................................................................................................................................... 6 Adobe Acrobat ...................................................................................................................... 6 How to Access Docupace .......................................................................................................... 7 How to Access Docupace .......................................................................................................... 7 Logging In ................................................................................................................................ 7 Changing Your Password .................................................................................................... 8 Logging Out ............................................................................................................................ 9 Exercise: Logging into and out of Docupace.......................................................................... 9
SCANNER & UPLOADER SETUP _________________________________________ 10 Choosing and Configuring Your Scanner..............................................................................11 Choosing the Scanner........................................................................................................11 Choosing Scan Software ...................................................................................................11 Configuring Scanner Software .........................................................................................12 Creating Scan Destination Folders .................................................................................13 Configuration – Images housed on Server ...................................................................14 Installing the Docupace File Uploader ...................................................................................14 File Uploader Prerequisite – Java Installation ..............................................................14 File Uploader Setup ............................................................................................................14 Manual and Automatic File Uploading ...................................................................................18 Manual Uploading Procedures .........................................................................................18 Automatic (as a Service) Uploading Procedures ........................................................19
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Exercise: Testing the File Uploader ........................................................................................23
DOCUMENT RETRIEVAL ______________________________________________ 24 Retrieval Page Features .............................................................................................................25 Top-level Docupace Functions ........................................................................................25 Username and Menu Bar Options..................................................................................26 Content Search Options ...................................................................................................26 Submit Search Buttons ......................................................................................................26 Content Folders ..................................................................................................................27 Searching for Content................................................................................................................28 Search Examples..................................................................................................................28 Using Content Viewers .............................................................................................................34 Version Control ..........................................................................................................................36 Viewing a Versioned Document .....................................................................................36 Adding A New Version of a Document........................................................................37 Exercise: Retrieving a Client Document ...............................................................................39
DOCUMENT CAPTURE AND PROCESSING __________________________________ 40 Features .........................................................................................................................................41 Scan ........................................................................................................................................41 Barcode .................................................................................................................................41 Conversion ...........................................................................................................................41 Export and Integration ......................................................................................................41 Process ..................................................................................................................................41 Storage ...................................................................................................................................42 Scanning Files ................................................................................................................................43 Indexing Basics .....................................................................................................................43 Barcoding Basics ..................................................................................................................43 Using Document Barcode Separator Sheets ...............................................................45 Scanning Methods .......................................................................................................................46 Scan, Upload and Index Later ..........................................................................................46 Index, Scan with Barcodes, and Upload Later .............................................................51 Index a Soft-Copy File and Upload Now ......................................................................54 Exercise: Scan, Upload and Index Documents ....................................................................58 Advanced Barcoding ...................................................................................................................59 Document Type Specific Coversheets ..........................................................................59 Create Client/Subfolder-Specific Barcode Cover Pages ...........................................59 Exercise: Scan and Upload Documents Using a Generic Barcode Cover page ..........60
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ADMINISTRATION __________________________________________________ 63 Who Uses These Features?......................................................................................................63 User Access ..................................................................................................................................63 Personalize The Site – Dropdown Values ............................................................................65 Partially Indexed ..........................................................................................................................67 Advanced Features .....................................................................................................................68 Search Preferences .....................................................................................................................68 Who Uses These Features?......................................................................................................68 Adding a NEW Image to an Existing File ..............................................................................70 Check-In/Check-Out..................................................................................................................70 PDF Editing ...................................................................................................................................70 Transform Document Scenarios.....................................................................................71 Merge Into Selected Documents ............................................................................................74
HELP TOPICS _____________________________________________________ 78 Using Barcodes in Docupace ...................................................................................................78
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FOREWORD Docupace has produced an industry compliant document management and imaging system for registered reps, advisors and broker dealers. This document is both a Docupace User Guide and a Field Imaging guide meant to provide users not only general training on the system but also a guide on how to ensure documents are stored correctly.
ABOUT THIS GUIDE This document is designed to serve multiple purposes. Reference Guide Training Guide Self-Study Guide It contains best practices for using the Docupace system along with tips and notes to accommodate multiple client sizes and user types. We have tried to cover the most common system operations along with frequently asked client questions. However, there is always room for improvement. Please send your comments and recommendations for this guide to:
[email protected]
QUICK REFERENCE The following tables have been developed to make it easier for you to locate specific types of information available in this document: Practice Activities Tables Figures
PRACTICE ACTIVITIES Exercise 1: Logging In and Out of Docupace ......................................................................... 9 Exercise 2: Retrieving a Client Document ...........................................................................39 Exercise 3: Testing the File Uploader ....................................................................................23 Exercise 4: Scan, Upload and Index Documents .................................................................58 Exercise 5: Scan and Upload Documents Using a Generic Barcode Cover page ......61 Exercise 6: Editing a Scanned and Indexed DocumentError! Bookmark not defined.
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TABLES Table 1: Content Icons ..............................................................................................................34 Table 2: Configuring Scan Software........................................................................................12
FIGURES Figure 1: Docupace Login Page.................................................................................................. 7 Figure 2: Administration Page .................................................................................................... 8 Figure 3: Change Password Page............................................................................................... 8 Figure 4: Content Retrieval Page ............................................................................................25 Figure 5: Content Folder Structure........................................................................................27 Figure 6: Client Folder – Search Types List Box ................................................................28 Figure 7: Search Example - By Client Last Name, Client Folder Search.......................29 Figure 8: Search Example - By Client Last Name, Initial Search Results.......................29 Figure 9: See Search Example - By Client Last Name, Client Accounts Search Results .................................................................................................................30 Figure 10: See Search Example - By Client Last Name, Client's Account Documents .........................................................................................................30 Figure 11: See Search Example - By Client Last Name, View Client Document........31 Figure 12: See Search Example - By Client Last Name, Combining Documents .......31 Figure 13: Search Using Predefined Searching, Step 1 .......................................................32 Figure 14: Search Using Predefined Searching, Step 2 .......................................................33 Figure 15: Using Content Viewers..........................................................................................34 Figure 16: Document Viewer Example ..................................................................................35 Figure 17: Accessing Version Control ...................................................................................36 Figure 18: Accessing Version Control - Image History Option ......................................36 Figure 19: Accessing Version Control - File History List .................................................37 Figure 20: Adding a New Version of a Document, Step 2 ...............................................37 Figure 21: Adding a New Version of a Document, Step 3 ...............................................38 Figure 22: DocuScan Folders ...................................................................................................13 Figure 23: Configuring the File Uploader – Step 1 .............................................................15 Figure 24: Configuring the File Uploader - Step 1, File Uploader Loading ...................15 Figure 25: Configuring the File Uploader - Step 2, Logon Window ..............................15 Figure 26: Configuring the File Uploader - Step 3, Properties Window ......................16 Figure 27: Configuring the File Uploader - Step 4, DocuFile Uploader Window ......17 Figure 28: Manual Uploading Procedures - Step 1, Sent-Sending Example ..................18 Figure 29: Installing the File Uploader as a Service ............................................................20 Figure 30: Uploader Launcher Installation Screen ..............................................................20
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Figure 31: Uploader Success Installation Screen .................................................................21 Figure 32: Document Barcode Separator Cover page ......................................................44 Figure 33: Using Document Separator Cover pages to Scan a Batch of Documents .........................................................................................................45 Figure 34: Unindexed Documents ..........................................................................................46 Figure 35: Request to View all Documents in an Unindexed Queue ............................47 Figure 36: Unindexed Documents Queue ............................................................................47 Figure 37: Document to Be Indexed ......................................................................................48 Figure 38: Client Account Index Fields .................................................................................49 Figure 39: Client Accounts Search Results ...........................................................................49 Figure 40: Indexing With Folder Already Populated..........................................................50 Figure 41: Results of an Open Client Folder .......................................................................51 Figure 42: Adding A New Document File.............................................................................52 Figure 43: Index A Document Prior To Scanning...............................................................52 Figure 44: Document Specific Cover Page ...........................................................................53 Figure 45: Index a Soft-Copy File and Upload Now, Step 3 ............................................54 Figure 46: Index a Soft-Copy File and Upload Now, Step 4 ............................................54 Figure 47: Index a Soft-Copy File and Upload Now, Step 5 ............................................55 Figure 48: Index a Soft-Copy File and Upload Now, Step 6 ............................................55 Figure 49: Index a Soft-Copy File and Upload Now, Step 7 ............................................56 Figure 50: Index a Soft-Copy File and Upload Now, Step 8 ............................................56 Figure 51: Index a Soft-Copy File and Upload Now, Step 9 ............................................57 Figure 55: Associate Documents to a Specific Client Folder, Step 2 ............................60 Figure 56: PDF Editing, Step 3, Document Transformation Operations ......................71 Figure 57: Document Transformation Operations: Rotating a Page .............................73 Figure 58: Document Splitting, Example 1 ..........................................................................74 Figure 59: Document Splitting, Example 2 ..........................................................................74
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INTRODUCTION Web-based, document management solution available 24:7 – your paperless office solution. Welcome to the Docupace Training and User Guide! This document has been designed for all Docupace users. It explains what Docupace is, who uses it and when, how to configure and login to it, and how to place content (documents and other files) into and retrieve them from Docupace.
In this first section you will learn about:
What Is Docupace? Who Uses Docupace and Why? Docupace Components
Key Docupace Terms
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WHAT IS DOCUPACE? Docupace provides a FINRA/SEC compliant , on demand paperless processing service for Financial Service firms. The service is the most comprehensive straight through processing platform on the market today. The system is driven by an integrated document management and workflow platform with electronic signatures, check processing, and forms processing pre-integrated to allow a firm to go completely paperless. Docupace helps Broker Dealers, RIA's, and Advisors achieve a completely paperless practice. The service is “pay as you go” and is affordable for firms with one to thousands of advisors. This document describes how end users can capture, process and then retrieve content when they need it from the system. By logging into Docupace with a standard browser, users may locate and view the desired content. This service is available anywhere, anytime.
WHAT IS DOCUMENT MANAGEMENT? In order to better understand what Docupace can do for you, it helps to understand basic document management features and functions. A Document Management System (DMS) is a computer system (or set of computer programs) used to track and store electronic documents and/or images of paper documents. The term has some overlap with the concepts of Content Management Systems and is often viewed as a component of Enterprise Content Management Systems (ECM) and related to Digital Asset Management, Document imaging, Workflow systems and Records Management systems. Contract Management and Contract Lifecycle Management (CLM) can be viewed as either components or implementations of ECM. Document management systems commonly provide storage, versioning, metadata, security, as well as indexing and retrieval capabilities. See Docupace Components for further details.
BENEFITS OF USING DOCUPACE The key benefits of using Docupace include: Saving Space Saving Time Compliance Disaster Recovery Saving Money As a Docupace user, you have full access to all your documents from anywhere with just an internet connection and a browser. Your documents are secure and always available to you at the same time. And, even if you have thousands of documents stored in Docupace, it is quick and easy to access any one of them via pre-defined searches and other search criteria.
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WHO USES DOCUPACE AND WHY? Docupace provides services to financial services companies of all sizes: From complete Broker/Dealers to standalone RIAs and independent field offices. Often referred to as ‘Software as a Service (SaaS)’ or ‘Cloud Computing’, the software, database, and servers reside at secure, compliant Docupace Data Centers. The client simply accesses the solution via a web browser using any form of high speed internet access. The only additional hardware a client may need is a scanner if not currently available in the enterprise. The system makes it quick and easy for customer employees to import electronic documents, scan paper-based documents, and save them electronically in a structured file system. The client can then access from the file whatever they need just like a traditional filing process, except now, absent are the complications of installing and managing the system themselves!
DOCUPACE COMPONENTS Docupace delivers a full-featured Document Imaging, Management and Workflow solution. Though the solution is seamless, the system can be separated into six distinct categories: Capture: Enables users to upload (capture) files to Docupace from any location using virtually any scanner or, for soft copy files, like an Excel Spreadsheet, by dragging and dropping them into the appropriate location. See Document Capture for further information. Upload: Docupace intelligently extracts the images from the local capture system and places them inside the Docupace system for further processing, storage and retrieval. Process: Once the content is captured into Docupace, it needs to be processed into the correct location for later retrieval. See Document Indexing for further information. Store: Captured and processed content is stored securely so that no unauthorized users can access it. Retrieve: Most users will be retrieving content stored in Docupace via a web browser and their own personalized logon information. See Document Retrieval for further information. Workflow (if applicable): Some users extend the offering of Docupace by leveraging robust business process automation solutions where documents may be considered work items that are passed through the organization prior to being stored. Integrations: Docupace has integrations with various complimentary industry leading software solutions. Depending on your office automation solutions, you may be able to leverage some or perhaps all these value-added offerings. Most Docupace users use Docupace to retrieve (view) stored content. However, the content must first get into Docupace before it can be viewed, Because of this, each organization will designate one or more individuals to add content to the system. This step is part of the Capture, Process and Store components described above.
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KEY DOCUPACE TERMS Before learning how to scan and retrieve documents in Docupace, it is important for you to understand several terms. Key content retrieval terms and concepts include: Content Folders: All content is organized into folders for easier search and retrieval purposes. These folder names are created by collaboration between your company and Docupace when we jointly design how your information needs to be organized for quick and easy retrieval. Search Fields and Pre-Defined Searches: Similar to Content folders, all search fields and predefined searches are created by collaboration between your company and Docupace. Key scanning and capture terms include: Page: A page is a single piece of paper that is placed on the scanner. Document: A document is a page or a series of pages that are related to one another by content. For instance, an Account Information Form that is 3 pages long must have all 3 pages together in order for the document to be complete. The process of assigning information to this document is called INDEXING and will be discussed later in the guide. Batch: A batch is a collection of documents and/or pages scanned into the Docupace system as one event. A batch can contain a single document or multiple documents with any number of pages per document. In an advanced batch management role, by using a barcode sheet or just a blank page, the system will break the batch into the corresponding number of documents. This will be explained in more detail in Document Capture. Index: When content is uploaded to Docupace, it must be tagged and sorted (indexed) in order to be placed in the appropriate folder. Docupace uses a method called barcoding to index documents into the correct folders. Barcode: A barcode is a method of displaying information in a way that a system can easily read. The simplest barcodes are made up of a series of parallel vertical bars and spaces. Some barcodes may be on pre-configured forms (customized) or may be generated directly from within the Docupace system.
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ACCESSING DOCUPACE You can access Docupace from anywhere in the world just by using your Internet connection and a web browser. There are several prerequisites to review concerning supported and preferred Web browsers. After that, access to Docupace is quick and easy using your pre-assigned username and password.
In this section you will learn about:
Prerequisites to Logging into Docupace How to Access Docupace Changing Your Password Logging Out
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PREREQUISITES BROWSER Docupace provides its service via the Web. Because of this, all you need is to access Docupace is internet access and an internet browser such as: Internet Explorer Mozilla Firefox Google Chrome Safari (Mac Browser) Different users have different preferences as it relates to their default browser. Choose the one you prefer! To download Mozilla Firefox: 1.
Go to: http://www.mozilla.com/en-US/firefox/.
2.
Click the Download Free icon.
3.
Follow the simple four-step instructions.
To download Google Chrome: 1.
Go to: http://www.google.com/chrome
2.
Click the Download Google Chrome icon.
3.
Follow the simple instructions.
ADOBE ACROBAT If Adobe Acrobat or Adobe Reader is not installed on your local computer, you must click on Install Acrobat Reader icon in the bottom right-hand corner of the login screen and install this application in order to view PDF files in Docupace. Note. Adobe Acrobat is NOT a required application. The minimum requirement is Adobe Reader.
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HOW TO ACCESS DOCUPACE All Docupace customers have their own dedicated Docupace web site address, such as: https://www.paperout.com/your site name. In most cases, your Docupace site address is provided to you prior to training. Once accessed, the Docupace login screen displays as shown in Figure 1: Docupace Login :
FIGURE 1: DOCUPACE LOGIN PAGE
LOGGING IN In order to retrieve (view) all files associated with your account, you must first log into Docupace. Your username and password will be pre-assigned by the Docupace Administrator. The first time you login, it is recommended that you change your password for security purposes. In some cases, you may even be forced to change your password on your first log in. To log into Docupace: 1. Click the web link you received when your account was created (or copy/paste it into your web browser's address bar). 2. When the login page displays, insert your pre-assigned username and password. If no errors occur, the Docupace Retrieve page displays. At this point, it is recommended that you change your password for security purposes. TIP
Most Docupace users add their login link to their Favorites folder for easy access. You can also add a shortcut to your desktop. To create a desktop shortcut: Right-click anywhere on the Login page, then left-click on Create Shortcut. (You can also drag and drop the login page web address from your browser's address bar to your desktop.)
If an incorrect Username or Password is entered, a dialog box displays stating "Invalid password / User ID" or indicating that you don't have rights to perform this operation. When this occurs, please try again to ensure you did not make a typing error. If you forgot your password, select the Forgot Password link. You will be asked to provide your userid and email (on record). Provided the combination is correct, your password will be sent to the email address used. If you continue to have problems, please contact Docupace Support.
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CHANGING YOUR PASSWORD If you aren’t automatically forced to change your password, manually changing your password is done from the Administration page. The majority of information on this page is managed by your system administrator. However, you can use this page to change your password and select custom search preferences. To change your password: 1. Click the Administration icon. The Administration page displays as shown in Figure 2: Administration Page below. (Each user’s may page look different – depending on their access rights).
FIGURE 2: ADMINISTRATION PAGE
2. Click Change Password under User Settings. The Change Password page displays as shown in Figure 3: Change Password Page below. Your password must contain at least 6 characters and include at least of each of the following characters: Upper Case
Number
Lower Case
Symbol ($, %, &, etc.)
FIGURE 3: CHANGE PASSWORD PAGE
3. Insert your new password then reenter it. Click Submit. 4. Click the Retrieve icon to return to the Document Retrieval page.
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LOGGING OUT Please make sure that you do not simply close the browser to log out. Instead, use the system Log Out link in the upper right-hand corner of the Docupace page. If you simply exit the browser, your session will not terminate immediately. It will eventually time out once the time limit on the inactivity period is reached. However, this may create some concurrency issues within your organization.
EXERCISE: LOGGING INTO AND OUT OF DOCUPACE Now it's your turn! You can practice logging in and out of Docupace and changing your password by using the instructions provided below.
Follow these instructions to log in and out of Docupace: 1. Logging into Docupace: Open your web browser. Go to http://www.paperout.com/sitename. Log into Docupace using your pre-assigned login and password. The Document Retrieve page displays. 2. Changing your password: Click the Administration icon. Click Change Password under User Settings. Insert your new password then reenter it. Click Submit. 3. Logging out of Docupace: Click the Logout link in the upper right-hand side of the page to log out. Review the appropriate pages of this guide for further information as needed.
EXERCISE 1: LOGGING IN AND OUT OF DOCUPACE
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SCANNER & UPLOADER SETUP “Docupace supports remote and decentralized scanning – scan with as many scanners as you want from any location." The Scanner is the mechanism that transforms your paper into an electronic format for ultimate online storage and retrieval. The Uploader is the mechanism that moves the scanned images into the Docupace system. Therefore, before using your Docupace system, there are two procedures that must first be completed: Setting up your Scanner for Docupace Setting up the File Uploader utility for uploading documents into Docupace
In this section you will learn about:
Configuring Your Scanner Installing the Docupace File Uploader Manual and Automatic File Uploading
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CHOOSING AND CONFIGURING YOUR SCANNER Docupace requires that scanned images be created with certain characteristics prior to being uploaded into the Docupace system. Therefore, it is important to correctly configure your scanner in advance. Appropriate configuration consists of: Choosing scanner Choosing scan software (if necessary) Configuring scan software Creating scan destination folders
CHOOSING THE SCANNER When deciding what scanner(s) to use, you should keep the following in mind: Speed: 15-25 pages per min is a very acceptable speed for an office with a few producing reps. Document Feeder: For offices that have substantial volume, a smaller document feeder (50 pages) will force a user to either reduce the size of the batch of documents to scan at once, or they’ll need to continue adding pages into the feeder to complete the batch Daily Max: Scanners have a ‘load’ of how many pages they can handle on a daily basis. You should consider again identifying daily load of scanned images. Image Output: It is imperative that the scanner be able to scan images to .Tiff (Tagged Image File Format) format. Some may only scan to Adobe PDF and those are not recommended. Scanner Type: There are primarily 3 different types of scanners out in the marketplace. All 3 integrate with Docupace though their business applicability depends on the client:
Desktop: Attached to a dedicated computer. Run generally from $500 and up. These are good for a rep or office that produces a fair amount of business and prefers to maintain a dedicated scan station. They are very small and compact and very easy to install. They integrate with Docupace Scan software and enjoy some additional features from the software package.
4-In-1: Printer, Fax, Copier, Scanner. These are extremely functional for the single producing rep that doesn’t have an extremely high volume of document flow. Attached to a dedicated scanner. It is a practical piece of hardware that supports all the rep’s business in a single machine. These tend to be lower cost than the Desktop Scanner but also scan fewer pages per minute and have a smaller document feeder. They are relatively small and easy to install. They integrate with Docupace Scan software and enjoy some additional features from the software package
Network Multi-Network Function: Larger Scanner, Copier, Printer that is network to send images to each individual’s personal computer. These are higher volume machines. They are relatively more expensive and traditionally require a service person to configure it and set it up at least the first time. As a network solution, they do not have access to the Docupace software and therefore clients cannot enjoy those benefits.
CHOOSING SCAN SOFTWARE If you choose to use a Desktop or an All-In-One scanner, they usually come with a form of scanner software that is acceptable for scan management. However, Docupace does provide its own scan software, DocuScan, which is recommended. The software, install guide and user guide are available at www.docupace.com/downloads. DPT-09-06-10
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CONFIGURING SCANNER SOFTWARE If you chose not to use DocuScan, you must configure your scanner software to match the settings shown in Table 2: Configuring Scan Software. TABLE 1: CONFIGURING SCAN SOFTWARE
SCAN ELEMENTS
SETTINGS
Function
Scan to File (i.e., ability to send images to a defined folder)
Page Size
8 ½ x 11 (or ability to expand to legal if needed)
File Type
Compressed Multi-page Tiff (Do not set it to PDF.)
Mode
Black and White only (Not color or grayscale!)
DPI
200 Dots Per Inch (DPI) - recommended
The configuration module of each scanner’s software may be different but these settings should be universal throughout. There are some scanners that only provide output to PDF file type. These are not recommended as the barcoding capability will not be utilized within Docupace. Notes:
The same configuration does apply for network scanners For single-sided (simplex) and double-sided (duplex) scanning functionality, you will need to set up two separate instances of saved scan settings. Please make sure each setting follows the characteristics referenced above. (These settings come preconfigured in DocuScan.) If you have multiple network scanners, all the scanners should point the documents to the same directory (folder) or a subfolder of the Scanning directory.
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CREATING SCAN DESTINATION FOLDERS Docupace supports both desktop and network scanners. DocuScan software though is only available for desktop scanners. Network scanners have their own software embedded in the system and therefore cannot use DocuScan. DESKTOP SCANNER FOLDER SETUP These connect directly to a PC. You will need to create a local folder on the computer that is attached to the scanner. The images will initially be scanned to this folder. If you choose to use the accompanying scanner software rather than DocuScan, it is recommended that you create a local folder called c:/scanning/export. If you select DocuScan scan software, the local folder will automatically be created upon installation in addition to adding a ‘Quarantine’ folder. (c:/scanning/quarantine). For network scanners, you will need to manually add this also. DocuScan also automatically creates several additional folders as shown in Figure 22: DocuScan Folders.
Using DocuScan (pre-built)
Using other software (user built)
FIGURE 4: DOCUSCAN FOLDERS USING DOCUSCAN AND WITHOUT DOCUSCAN
Note: If you multiple users will be scanning at this workstation, you must create subfolders for each user under the scanning/export folder based on your Docupace user name.
NETWORK SCANNER FOLDER If you have a network scanner or multifunction device (scanner, copier, printer, etc.), please review the information below for requirements and subsequent configuration.
REQUIREMENTS Network Multi-Function Device that can: -
Produce TIFF images Send TIFF images to individual folders(not via email)
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CONFIGURATION – IMAGES HOUSED ON SERVER Follow the same instructions your desktop scanner, simply perform these updates on the dedicated server location.
INSTALLING THE DOCUPACE FILE UPLOADER The Docupace File Uploader is a software application used to pull files into the Docupace system regardless of the scan software you use. As a client, you can have unlimited instances of the Uploader running: From your office From an assistant’s system From a remote location (home office, business office, hotel, etc.) The uploader can be used manually (turn on/off) each session or used As a Service (automatically on when the pc/server is started – you cannot manually turn on/off). We will show you how to use/install in each way.
FILE UPLOADER PREREQUISITE – JAVA INSTALLATION In order to use the File Uploader, Java (Free Sun Microsystems software) must be installed on your computer. If it is not, then the first time you run the Uploader you will be asked to download Java. Follow all the installation instructions. Once installed, you will need to restart your computer, then log back into Docupace and return to the Administration page.
FILE UPLOADER SETUP Whether you choose to manually start the uploader or prefer to use it as a service, you must follow these instructions first: To configure the File Uploader: 1. Login to your Docupace site, then: Click the Administration icon on the top of the page as shown in Figure 23: Configuring the File Uploader – Step 1. Click the File Uploader Client link within the Utilities box (if Java is not installed it will request you to install a Java Plug-In as described in the Prerequisite section).
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FIGURE 5: CONFIGURING THE FILE UPLOADER – STEP 1
Once you’ve selected File Uploader Client, the icon shown in Figure 24: Configuring the File Uploader - Step 1 displays acknowledging that the Uploader application is opening followed by one or more downloading windows. Finally, the user login window displays as shown in Figure 25: Configuring the File Uploader - Step 2, Logon Window
FIGURE 6: CONFIGURING THE FILE UPLOADER - STEP 1, FILE UPLOADER LOADING
2. Login with the same Username and Password that you use to log into Docupace, then: Click SET to store the User Name and Password for faster access at your next start up. Once logged in, the Docupace File Uploader screen displays as shown in Figure 26: Configuring the File Uploader - Step 2.
FIGURE 7: CONFIGURING THE FILE UPLOADER - STEP 2, LOGON WINDOW
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3. When you are logging into the File Uploader for the first time, the Properties page displays automatically (as show in Figure 26). For any future adjustments, you need to open the Run menu, and then click Properties to open the properties page.
FIGURE 8: CONFIGURING THE FILE UPLOADER - STEP 3, PROPERTIES WINDOW
The first four fields (Protocol, Host, Port and Base URL) are grayed-out and inaccessible to you. They provide the connection information to the server and they are set automatically as shown in Figure 26: Configuring the File Uploader - Step 3, Properties Window. Source Directory: You need to define this field. This is the location from which the scanned images/files are going to be deposited on the local system (where the scanned images will be sent to for example). See Figure 22: DocuScan Folders for details. For a local computer (desktop PC) where the scanner is directly connected via Docupace’s DocuScan software, a local folder named c:\scanning\export will already be created. Browse your local system to find this folder. For a network system, you will need to browse the server/computer to find out where scanned images are being sent. If one hasn’t been created, you can create the folder once browsing. Quarantine Folder: This is the folder the Docupace File Uploader moves files to when they have been rejected by the server due to a virus found. You need to cure (disinfect) these files manually and then try to resend them. You need to create this folder. When you select Browse, you will be able to create the folder using the standard windows ‘Create New Folder’ feature. Polling interval (sec): This field displays the number of seconds between system checks for images to upload. The system will ‘ping’ the Source Director folder every 10 seconds (default) to see if an image/file has been transferred. Auto start on load: Check this option to automatically search through your scanning (source) directory each time you run the File Uploader. If there are files in the scanning folder, the program automatically begins to send the files, one at a time, without your having to click Send. Alternatively, if this option is not checked, any files that are in the source directory will remain there until you click manually Send.
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Subdirectories as User id: This option is only available in a multi-user configuration. In many cases, multiple users will scan to the local source directory. In order for them to be categorized into each user’s correct Docupace folder set, images must be sent to individual folders. These are created as subfolders/subdirectories in the export folder. For example C:\scanning\export\docupace. The username in this example is Docupace. When enabling this feature, the File Uploader will search for images not only at the final folder level but will search for subfolders and make sure images are routed to the appropriate user by their User id subfolder. Excluded Subdirectories: If you would prefer that content within a subfolder/subdirectory not be uploaded, list those folders here. Excluded File Extensions: If you would prefer specific file formats to not be uploaded, you will be required to identify them by their file extension ids (i.e., .doc, .xls, .pdf, etc.). Log Level: Defines details of the log messages. You can use this for troubleshooting. This should be set to ‘Info’ if everything is OK. 4. Once completed, click the Set button. The Start screen displays as shown in Figure 27: Configuring the File Uploader - Step 4, File Uploader Window.
FIGURE 9: CONFIGURING THE FILE UPLOADER - STEP 4, FILE UPLOADER WINDOW
Notes:
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Do not leave any images inside these defined folder that you do not want uploaded into Docupace prior to using the Docupace File Uploader. Once the uploader is engaged (discussed in next section), all content will be extracted and pulled into Docupace. If you plan on scanning other documents into your local system that you do not want to reside in Docupace, set up an entirely different folder.
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MANUAL AND AUTOMATIC FILE UPLOADING As referenced earlier, there are two ways to utilize the File Uploader: Manual Start/Stop: When this method is used, you will be required to activate the Uploader each time you access the Docupace system to upload images. Uploader As A Service: This is an automated service that engages the Uploader AUTOMATICALLY when a system is turned on. This does not require any manual involvement. .
MANUAL UPLOADING PROCEDURES To manually upload files: Once you’ve logged in to the File Uploader, select the Mail (send) icon to start the utility (if you didn’t configure it for auto start on load) Send: Click to transfer files to Docupace. Stop: Click to stop the Uploader from searching the Source Directory. Any documents that are scanned into the Source Directory will remain there until the File Uploader is started again. Once started, all documents that are either scanned or uploaded to the defined Source directory will automatically be transferred out of the Source directory and into Docupace. You will see two messages per file as shown in Figure 28: Manual Uploading Procedures - Step 1: Date and Time: Sending – This message means that the File Uploader is engaged and beginning to transmit the image. Date and Time: Sent – This message means that the complete image has been captured within Docupace and that the image has been sent and extracted from the local computer.
FIGURE 10: MANUAL UPLOADING PROCEDURES - STEP 1, SENT-SENDING EXAMPLE
If you get any other messages, the system is not responding correctly and your images are not being uploaded to Docupace. Contact Docupace Support Services for guidance.
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Once you scan your first document, go back to the Start screen. If the document has been successfully uploaded from the directory to Docupace, you will see information on the screen. Notes:
If documents are still listed in the scan folder on your local computer, try again. If this persists, contact your resource center. To verify the presence of scanned images, go to your c:/scanning folder. Each scanner application has a separate naming convention for files it scans, so read your scanner instructions for information about the file names it creates.
SAVE THE UPLOADER ICON TO YOUR DESKTOP There are two ways to engage the uploader: 1.
Logging in to the Docupace system > Administration > Utilities > File Uploader and Run.
2.
Install the uploader on your desktop. In this case, you will NOT be required to log into Docupace website first. This is beneficial in instances when you are simply scanning documents into the system – and will index at a later time. a.
Within the Docupace System > Administration > Utilities > File Uploader Client
b.
Right click the File Uploader Client Link
c.
Select ‘Save Link As’ and type in a name for the file, perhaps UPLOADER
d.
Make sure to save it in your Desktop as shown below
e.
Select Save...The icon will appear on your desktop
AUTOMATIC (AS A SERVICE) UPLOADING PROCEDURES If you would prefer to have the Docupace Uploader engage each time you start your computer (or server) automatically, this means that you will not be required to engage the Manual Uploader each session. Prerequisite: You must be logged in to the computer as the Administrator to ensure the Uploader runs automatically. Additionally, the service won’t be configured until you have the file uploader client itself configured (as described above)
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To run the File Uploader as a Service: 1. Access the File Uploader As a Service setup by first logging into your Docupace site, then: Click the Administration icon. Click the File Uploader Service Installer link within the Utilities box. 2. You will be asked to Save File to your local desktop. Figure 29: Installing the File Uploader as a Service.
FIGURE 11: INSTALLING THE FILE UPLOADER AS A SERVICE
3. Once the application uploaderlauncherinstall.exe has been saved locally, double click on the file to run The Installation Folder setup displays as shown in Figure 30: Uploader Launcher Installation Screen.
FIGURE 12: UPLOADER LAUNCHER INSTALLATION SCREEN
4. Select Next and you will be directed to the username/password screen 5. Select the username/password that will be used to login into the computer to perform Docupace functions as shown in Figure 31: Uploader Service Access Screen.
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This is NOT your Docupace user/password combination. This is the username/password combination to enter this PC or Server.
FIGURE 13: UPLOADER SERVICE ACCESS SCREEN
6. Select Next to continue the process. A new screen will pop up request a URL.
7. Toggle back to the Docupace Administration and select the File Uploader Service URL
8. Copy the URL from the screen. You can then close the window and you will be directed back to the Uploader Service Setup Screen.
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9. Paste the URL in the box and select Install. the service is completed. Select Close.
The utility will run and you will get the message that
10. Restart the computer. Once you restart, the service will now be configured to start when the computer starts and will stay on as long as the computer is also.
Notes:
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Once you’ve installed the Uploader As A Service, you cannot manually turn on/off the Uploader. If you wish to revert back to the manual method, you must uninstall the Uploader Service first.
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EXERCISE: TESTING THE FILE UPLOADER
Now it's your turn! You can practice testing the File Uploader using the instructions provided below.
To test the Manual Docupace File Uploader: 1. Make sure the Uploader is stopped (Stop Button should be ‘gray’). 2. Scan a document into the system. 3. Open up the file directory where scanned images are stored and verify that a scanned image is located in the folder (do not close the folder). 4. Go back to the Docupace File Uploader Screen, then click the Send button. 5. Verify that the message on the Docupace File Uploader shows that a document is ‘Sending’ and then ‘Sent.’ 6. Go back to the scan folder on the local computer and verify that the document no longer displays. If the documents are not there, the File Uploader is configured and ready for use. Review the appropriate pages of this guide for further information as needed.
EXERCISE 2: TESTING THE MANUAL FILE UPLOADER
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DOCUMENT RETRIEVAL “Quick and easy access to your information is the heart of any good document management system." Document retrieval is the core functionality of any document management system. Docupace provides an intuitive retrieval and navigational desktop based on a user's role, searching scenario, and context. Document management through document retrieval and document distribution is nearly instantaneous through several search methods: Keyword search Cross-reference search between documents with like index fields Additionally, once a file is retrieved, it can be opened in a viewer window that allows you to view documents, add annotations and highlights, and create redactions. You can also view multiple versions of a file when needed.
In this section you will learn about:
Retrieval Page Features Content Folder Structure How to Search for Content How to Use Content Viewers
Version Control
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RETRIEVAL PAGE FEATURES After you login, the system displays the first screen, commonly referred to as the Content Retrieval page or ‘Retrieve’ screen as shown in Figure 4: Content Retrieval Page.
FIGURE 14: CONTENT RETRIEVAL PAGE
TOP-LEVEL DOCUPACE FUNCTIONS In the top and middle of the page, there are two icons. Each time you log into Docupace, this page displays automatically. Use this page to retrieve documents using the data associated with the various content folders or “file cabinets.”
Click this icon to access Docupace's Administrative functions. Though most users only use this function for changing passwords, it is from this page that content is brought into Docupace.
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USERNAME AND MENU BAR OPTIONS In the top right of the Retrieval page, there are several text areas:
Username
Displays the account name of the user currently logged into this Docupace session.
Log Out
Click this text link to log out of Docupace.
Help
Click this text link to locate Docupace online help.
Contact Us
Click this text link to contact Docupace via an email message.
Privacy
Click this text link to display the Docupace Terms of Use page.
CONTENT SEARCH OPTIONS Your web content can be accessed via a variety of search criteria based on the content folder selected. In Figure 4: Content Retrieval Page, the default content folder is the Client Folder. Because of this, the predefined search fields for this folder display in the content search options area of this page.
SUBMIT SEARCH BUTTONS There are two search controls: Submit: Click this button to submit a search based on the search criteria you requested above. Clear All: Click this button to completely clear the currently selected search criteria.
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CONTENT FOLDERS All content is organized into folders (i.e., individual file cabinets) for easier search and retrieval purposes. These folder names are created by collaboration between your company and Docupace when we jointly designed how your information needs to be organized for quick and easy retrieval. A list of typical content folders/cabinets for financial advisers are shown and described in Figure 5: Content Folder Structure. Client Folder
Use for storing client-centric documents (majority of your office documents will most likely reside in here)
Operation Folder
Use for storing documents you use to run your business, for example advertising materials, letterhead, general incoming and outgoing correspondence, branch audits, and regulatory exam audit information. Also, you could even considering more enterprise-specific information such as facility information, contracts, etc.
Associated Person Folder
Use for storing your documents related to your licensed employees, for example licensing, continuing education, U4, etc.
HR Folders
Use for storing your documents related to your non-licensed employees, for example resumes, personnel reviews, and other confidential staff information
Accounting Folder
Use for storing your business’ financial files, including your office lease, equipment leases, service agreements, and invoices
Personal Folders
Use for storing your personal documents, for example your tax returns
FIGURE 15: CONTENT FOLDER STRUCTURE
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SEARCHING FOR CONTENT Searching for content can be simple or complex. The simplest method for locating your content includes searching on the SSN/TIN, Last Name, or First Name fields even if you only enter partial information in those fields. For example, you can insert part of a Last Name, then click the open list icon to the right of the field's Search Type list box and choose the Begin With option. By using these text field options, you can find text even if you only know a portion of the text you are looking for, thereby expanding your search capabilities. Review Figure 6: Client Folder – Search Types List Box below. Note that there are four search types.
FIGURE 16: CLIENT FOLDER – SEARCH TYPES LIST BOX
These search types expand your search capability as follows: Exact Match: The entire entry is known. Begin with: Only the first few or one character is known. End with: Only the last few or one character is known. Contains: The user wants to search for all the files that contain these character(s) any location in this field. Once all the search information has been added, you can either click Submit to begin the search or Clear All to clear the index fields and begin again. After a document is retrieved, you can manipulate the standard zoom-in/zoom-out, rotate, and go-to-page functions, or utilize the following features: Automatically retrieve any related documents via a double-click on the icon. View keywords and update them when needed. Print, fax, save locally or e-mail directly from the application. Search for your documents by group type, document type, date range or more specific indexed information based on your indexing and file structure.
SEARCH EXAMPLES Review the following search examples: Search by Client Last Name Search using Predefined Searching
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SEARCH BY CLIENT LAST NAME Use these steps to search by client last name: 1. Select a folder. In Figure 7: Search Example - By Client Last Name, Client Folder Search, the highlighted folder is the Client Folder. Insert the client’s last name. Click Submit at the bottom of the screen to initiate the search.
FIGURE 17: SEARCH EXAMPLE - BY CLIENT LAST NAME, CLIENT FOLDER SEARCH
All clients with that last name will display as shown in Figure 8: Search Example - By Client Last Name, Initial Search Results.
FIGURE 18: SEARCH EXAMPLE - BY CLIENT LAST NAME, INITIAL SEARCH RESULTS
2. Review the search results looking for your particular client. Click the Content link to the left of the desired Client folder to open that folder with all its corresponding Client Accounts and Clients documents. See Figure 9: See Search Example - By Client Last Name, Client Accounts Search Results.
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FIGURE 19: SEE SEARCH EXAMPLE - BY CLIENT LAST NAME, CLIENT ACCOUNTS SEARCH RESULTS
3. In this example, the Client has three Subfolders. To see the documents that are associated with a specific Subfolder, click the Content link to open that corresponding Subfolder. 4. Inside the Client’s Subfolder are the corresponding Documents and their file types as shown in Figure 10: See Search Example - By Client Last Name, Client's Account Documents. Though you can click an icon to open its corresponding document, it is suggested that you right-click on the icon instead and open the document in a new browser window. This will open the viewer assigned to the document type – in this case as it’s a PDF, so Adobe Reader will open. Warning:
If you click the document icon to open a document, it opens in the same browser window you currently have open. This can present a problem if you try to click your browser's Back button. Use of some browser's Back buttons can cause an error to display.
FIGURE 20: SEE SEARCH EXAMPLE - BY CLIENT LAST NAME, CLIENT'S ACCOUNT DOCUMENTS
Best Practice:
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Right-click on a document's file type icon and choose the "Open in New Window" option. This way you can close the window without having to reinitiate your search.
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Inside the Client’s Account are the corresponding Documents. To view a document, select the icon at the left of the Document. This will open the viewer assigned to the document type, in this case a PDF, so Adobe Reader will open as shown in Figure 11: See Search Example - By Client Last Name, View Client Document.
FIGURE 21: SEE SEARCH EXAMPLE - BY CLIENT LAST NAME, VIEW CLIENT DOCUMENT
5. From here you can do any of the following: View the document Email the document Save the document locally Print the document. Combine Feature: If there are multiple documents within an account you’d like to process at the same time, select the various documents by selecting their corresponding check box to the left of the file type icon. See Figure 12: See Search Example - By Client Last Name, Combining Documents, for an illustration.
FIGURE 22: SEE SEARCH EXAMPLE - BY CLIENT LAST NAME, COMBINING DOCUMENTS
6. Once you’ve selected the documents, click Combine. Docupace will then combine the images into one document for further processing. From there you use the standard Adobe controls to process your item – email, print or save a local system.
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If you click Edit instead of Content, the image displays in a split-screen view where you can only return to the Client Folder by selecting Cancel. The Content view does not allow you to go back to the Client Folder automatically. You must initiate a new search to leave the image screen.
Warning:
SEARCH USING PREDEFINED SEARCHING As you get more comfortable with Docupace, you will learn the shortcuts to find your information more efficiently. In the prior example, we found a specific document by searching for a client, then found the correct client’s account folder, and then from within the client’s account folder, the right document. Wouldn’t it be better to find the right document after just one search? You can do this advanced search by using predefined searches. You will find predefined searches at both the Client Documents and Operation Documents level. To use a predefined search: 1. Using the Predefined Search of Documents by Account for example, the search options change. Select the information that is known, then click Submit. In Figure 13: Search Using Predefined Searching, Step 1, the search was done with just the Account # and Document Type.
FIGURE 23: SEARCH USING PREDEFINED SEARCHING, STEP 1
Provided there is a document that meets the search criteria, the document and associated client and client account will display as shown in Figure 14: Search Using Predefined Searching, Step 2.
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FIGURE 24: SEARCH USING PREDEFINED SEARCHING, STEP 2
2. From here you can use the PDF icon to view the document as before. Note: You can use any level/group of information to search and retrieve a unique document. The use of just first name, last name, and document type is just an example (you could select document type, account number and a date range, for example).
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USING CONTENT VIEWERS After you have successfully navigated to a file, the icon at the far left indicates the file format as shown in Table 1: Content Icons. TABLE 2: CONTENT ICONS
Icon
File Extension
Program Name
.PDF
Adobe Reader
.Doc
MS Word
Pic
Pictures, Photos, Emails
.Xls
MS Excel
Other
Emails, Tiffs, AutoCAD, PPT, etc.
Depending on your user security, there may also be other selections available like barcode as shown in Figure 15: Using Content Viewers:
FIGURE 25: USING CONTENT VIEWERS
Possible selections include: View: Right Click on the corresponding icon (PDF, Word, Excel or Other) and select to open in a new window. Barcode: User can create a barcode cover page (used for scanning and indexing) Edit: View the document and edit the indexing information (Controlled by Security) Del: This option is not currently available (Compliance Requirement) other than Unindexed Documents Stamp: Feature for Online Supervision (may not be available, depending on the BD/RIA) Sign: Client Signature (may not be available, depending on the BD/RIA)
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When you select a file's icon, the file opens automatically with the appropriate viewer in a new dialog box: as shown in Figure 16: Document Viewer Example.
FIGURE 26: DOCUMENT VIEWER EXAMPLE
While in the viewer, you can: View the document Save the document to your local folder. Email the document. Fax the document (if you have fax server). Print the document. Merge the document (reviewed further)
Note:
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Docupace can store and retrieve ANY type of unstructured content. For example, if the icon is a Microsoft Word Document, when you click on the icon, the Microsoft Word Application opens. As long as you have the appropriate application on his local system, the document will open in its native viewer.
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VERSION CONTROL The Docupace system offers file version control giving you the ability to review multiple versions of the same file. This comes in handy when, for example, a new version of a document or form is required due to a missing signature or an account's information requires updating, or adding quarterly statements into a single record. Access to the Version Control feature is accomplished through the Document Edit link.
VIEWING A VERSIONED DOCUMENT To use version control: 1. Select Edit to open a file as shown in Figure 17: Accessing Version Control.
FIGURE 27: ACCESSING VERSION CONTROL
2. The split screen displays the information template and the file using its native viewer. If an additional version is available, you will see a new field in the edit template called Image History as shown in Figure 18: Accessing Version Control - Image History Option.
FIGURE 28: ACCESSING VERSION CONTROL - IMAGE HISTORY OPTION
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3. Click the drop-down list box to see how many additional versions of this file exist and when they were captured in the system as shown in Figure 19: Accessing Version Control - File History List.
FIGURE 29: ACCESSING VERSION CONTROL - FILE HISTORY LIST
If you select an earlier version, that image will then appear on the right side of the screen.
Note:
The current version always displays first on the edit screen
ADDING A NEW VERSION OF A DOCUMENT To add a new version of a document: 1. Search for and retrieve the document you want to scan a new version of. 2. To the left of the file, select the Barcode link as shown in Figure 20: Adding a New Version of a Document, Step 2.
FIGURE 30: ADDING A NEW VERSION OF A DOCUMENT, STEP 2
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3. A new cover page will pop up as shown in Figure 21: Adding a New Version of a Document, Step 3 (make sure your pop-up blocker is disengaged).
FIGURE 31: ADDING A NEW VERSION OF A DOCUMENT, STEP 3
4. Print the barcode cover page and place it on top of the document. 5. Scan the document. The document will be routed to the file location as the newest version. 6. Scanning will be discussed in much greater detail in the following chapters. Note: You can also manually upload a new version of a document (discussed in later chapter). This would apply to documents that are already electronic (pdfs or word documents for example).
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EXERCISE: RETRIEVING A CLIENT DOCUMENT Now it's your turn! You can practice retrieving a document from the Client Folder using the instructions provided below.
From the Docupace Retrieval page: 1. Click the Client Folder. The client search options display. 2. Insert the last name of Johnson. 3. Click Submit. If no one with that last name is currently in your database, no entries will display and you will be asked to add a new client. If this is the case and we are still just looking to find a client, return to the Client Folder and click Submit with no entries in any of the fields. In this case, all clients associated to you will appear. 4. Review the list of clients that are displayed, then click the Content link next to one of them to open that corresponding Subfolder. Inside the Client’s Subfolder are the corresponding Documents and their file types. 5. Right-click on a document's icon to view the document in that document type's viewer window. 6. Email the document to yourself by clicking the Email icon on the top toolbar. 7. Close the document's browser window. Review the appropriate pages of this guide for further information as needed.
EXERCISE 3: RETRIEVING A CLIENT DOCUMENT
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DOCUMENT CAPTURE AND PROCESSING “What you see in the file viewer is only as good as what you capture and store in Docupace." Docupace can capture, store, and display almost any file type. Therefore, when we talk about capturing files, this is more than just scanning paper documents. Forms, emails, Microsoft files such as Word and Excel, Adobe PDF, and graphic images are just a few of the file types that you may want to access from Docupace. With any of these files, as long as you can copy or save them to a location on your system that the Docupace File Uploader can access, then they can be stored in your Docupace system. In most companies, only selected personnel are trained in the file scanning process. This is because most Docupace users use Docupace to retrieve file information. Additionally, there is a bit more training required to learn the capture and processing side of using Docupace, and most companies want to set controls on who is allowed to do which Docupace functions.
In this section you will learn about:
Features Scanning Files
Scanning Methods Advanced Barcoding
Additional Examples
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FEATURES Docupace's Capture Module delivers scalable, front-end capture functionality that allows you to efficiently and cost-effectively add documents anytime, anywhere, which can then be stored and retrieved easily. Some of the components and their main features include:
SCAN Leverages TWAAIN OR Kofax controls to integrate with the scanner – Docupace can integrate with virtually every type of scanner in the market – from desktop, to All-in-One, to Network devices. Supports remote and decentralized scanning – scan with as many scanners as you want from any location Flexible options for remote scanning: Either index remotely in one central location or scan remotely and index centrally Work with double side, multi-page documents Support for annotation (redactions, sticky notes, text, hyperlinks, and basic drawing options)
BARCODE Use barcodes to pre-index documents saving time of indexing/filing from within the system
CONVERSION Accepts TIFF, PCL, etc. as input and produces secure, web--enabled, PDFs as the output .
EXPORT AND INTEGRATION Integrates with different document repositories whether it is a Docupace repository or customer defined repository. Auditing – Creates an audit trail through document and delivery history Version control gives complete visibility to business file's lifecycle Generate definable reports
PROCESS Commonly referred to as Indexing, the Process Module provides the logic for electronically filing the images once they have been captured inside your system. The main features include: Unlimited user-definable index fields. Ability to describe documents with any type of additional information. Real-time indexing and validation, field masking, two-sided and separator sheet detection. Barcode recognition that eliminates the need for manual indexing.
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STORAGE The Docupace Repository enables the capture and retrieval of documents in an easy-to-use, logical manner. It can be used to store active files for easy updating and retrieval as well as archive inactive files. The repository: Can store documents in a wide variety of formats including but not limited to Word, Excel, PDF and audio and video formats; virtually any file that you can access in your Web browser can be accessed from the repository. Docupace stores scanned documents in either TIFF or PDF format. Provides an easy to use document retrieval interface that is dynamically generated according to a user's account. Can be configured to satisfy any business storage requirement in a matter of hours without any programming. Utilizes a broad list of administrative options and tools that can be used to customize the repository to meet any particular business needs. In addition, Docupace uses comprehensive security options to restrict users from viewing images, individual indexing fields or indexing data. Security can be implemented and modified at a granular level if necessary.
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SCANNING FILES Scanning is a multi-part function. The basic steps include: 1. Scan documents. 2. Upload documents into Docupace. There are a number of decisions to be made before scanning and between scanning and uploading. To begin with, when documents are scanned, they must be scanned as TIFF (Tagged Image File Format) images. When they are uploaded to Docupace, Docupace automatically converts these TIFF files into Adobe PDF files. Most newer scanner software solutions allow you to store images in PIC, PDF, or TIFF formats. For Docupace, any file format can be captured and stored. For scanning though, TIFFs are suggested.
INDEXING BASICS Index: When content is uploaded to Docupace, it must be tagged and sorted (indexed) in order to be placed in the appropriate folder. Docupace uses a method called barcoding to provide preindexing of documents into their correct folders.
Indexing is the most important process within a document management system as it provides the basic details needed for later search and retrieval functions. There are many ways to assign indexing information: Drop-down lists, alphanumeric values, date boxes, etc. In addition, it is important to assign an indexed document to the correct folder. The folder could be a Client Folder or an Account Subfolder of a client, etc. Docupace provides both manual and automatic indexing features via the use of barcodes.
BARCODING BASICS Barcode: A barcode is a method of displaying information in a way that a system can easily read. The simplest barcodes are made up of a series of parallel vertical bars and spaces. Some barcodes may be on pre-configured forms (customized) or may be generated directly from within the Docupace system.
In most cases, it is more convenient to scan multiple documents at once (i.e., scan a batch of documents) into Docupace. As document page lengths can vary (1, 2, 5 pages, etc.), rather than scanning one document at a time (very time-intensive), you can insert a document separator cover page before each document in a batch then scan all available documents at one time. These cover pages include a Text title indicating that they are Document Cover pages along with a barcode. A barcode (also known as "bar code") is an optical machine-readable representation of data. Barcodes can be read by optical scanners called barcode readers or scanned from an image by special software, such as the Docupace File Uploader. Review Figure 32: Document Barcode Separator Cover page for an example of the top part of a generic barcode cover page. The barcode coversheet is available at www.docuapce.com/downloads
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FIGURE 32: DOCUMENT BARCODE SEPARATOR COVER PAGE
Docupace provides several types of barcode separator sheets: Document Separator: This cover page acts as a separator for documents in a batch. It is provided in PDF format, so that you can print and re-use these as often as needed. When this type of cover page is used, separator sheets are place on top of each document and the scanned documents are then split as they enter the Docupace system as "unindexed files” into the Unindexed Documents Folder. This is a very popular feature because it allows the processor to scan many unique documents in a single batch without having to scan one document at a time. This saves a lot of processing time. Document Type Specific: These provide indexing on the type of document only. So, when this type of cover page is used, the scanned documents are split as they enter your Docupace system and are placed in the ‘partially indexed’ document section with the correct Document Type information. These can be found in Administration > List Management > Client Documents. Select the document (s) you want and then select the ‘Barcode’ button. The coversheets will appear. Print. Document/Form Specific: The majority of BD/Pershing forms have barcodes in the lower left corner. This information provides both Document Type and Form name information for Docupace. When scanned in, these documents are split by barcode and placed in the Partially Indexed folder with the correct Document Type and Form Name. They do not require any additional Document Type Specific coversheet. Folder-specific: This cover page also acts as separator for a ‘set’ of documents that belong in specific subfolder. Leveraging the Document Specific or Doc/Form specific document type, these documents are routed directly to the appropriate folder with the Document Type and/or Form Name indexed correctly.. Document-specific: This cover page includes both your Client ID and the document to be scanned's specific indexing information. Therefore, when a document preceded with this type of barcode cover page is uploaded into Docupace, it is uploaded as a pre-indexed file. This will be discussed in further chapter. See Advanced Barcoding for instructions on how to create folder and document-specific barcode separator cover pages. Note:
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Document-specific cover pages cannot be re-used. Because of this, it is recommended that they be created sparingly to avoid paper-waste. Again, see Advanced Barcoding for further details.
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USING DOCUMENT BARCODE SEPARATOR SHEETS This solution is used generally for either scanning old files (back-scanning) or scanning packets of documents that are all associated to a specific folder. That being said, using document barcode separator cover pages is quick and easy. Here's how: 1. Print as many document type barcode separator cover pages as you need. (Remember, they are reusable.). 2. Place a barcode cover page in front of each document in a batch (i.e., assemble the batch [cover page, document, cover page, document, etc.]). 3. Place the batch in the scanner and scan. Docupace splits the individual documents of a batch of scanned documents into separate documents when it reads the barcode separator cover pages included before each document and routes these to the Unindexed Folder. Figure 33: Using Document Separator Cover pages to Scan a Batch of Documents illustrates this process.
FIGURE 33: USING DOCUMENT SEPARATOR COVER PAGES TO SCAN A BATCH OF DOCUMENTS
The end result is that each document is split (at the cover page) and individual documents are created in Docupace's Unindexed Documents folder for later indexing.
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SCANNING METHODS Docupace enables you to scan documents in multiple ways. The following scanning methods are covered in this section: Scan, Upload, and Index later Index, Scan with Barcodes, and Upload Later Index a Soft-Copy File and Upload Now
SCAN, UPLOAD AND INDEX LATER Generally used to scan various documents (any sizes), documents are scanned as ‘unindexed’ into Docupace: 1. Run the Docupace File Uploader (if it isn't running automatically as a service). 2. Using your chosen scanner software, scan all the documents into the Docupace system. You can either scan each document separately or you can place a Document Barcode Separator sheet between each individual document (Highly Recommended), then scan the documents as a batch. The scanned documents will then be uploaded into Docupace as "Unindexed Documents.” 3. Login to your Docupace system. 4. Select the Unindexed Documents folder from the Retrieve screen to access the scanned documents as shown in Figure 34: Unindexed Documents Figure 34: Unindexed .
FIGURE 34: UNINDEXED DOCUMENTS
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5. The Unindexed Documents Search page displays. To view all of the documents in the Unindexed queue, select the Submit button as shown in Figure 35: Request to View all Documents in an Unindexed Queue.
FIGURE 35: REQUEST TO VIEW ALL DOCUMENTS IN AN UNINDEXED QUEUE
6. The documents waiting to be filed (indexed) into their correct folders display as shown in Figure 36: Unindexed Documents Queue. You will only see documents that were scanned in by you under your user id. Additional user’s documents will only be seen provide you allow them user access.
FIGURE 36: UNINDEXED DOCUMENTS QUEUE
The information available for unindexed documents includes: Creation Date/Time when document was scanned (date and time stamp). # of Pages of each document. Document ID assigned to each document (serialized as they are captured). Batch ID that the document is associated with. User who scanned and uploaded the document.
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7. Click Edit next to the first document you want to index. Both the indexing information (left side) and the document image (right side) are displayed as shown in Figure 37: Document to Be Indexed.
FIGURE 37: DOCUMENT TO BE INDEXED
8. Open the Change xxxxx info: drop-down list box at the top of the page and select the appropriate type of document to file (i.e., Client, Operational, Accounting, Rep/Employee, etc.). The indexing template for the selected document type displays to help you during the indexing process. Note: The default is to Client Documents since the majority of your imaging is focused on the Client Folders Depending on your company's pre-defined document indexing requirements, most fields will contain drop-down list boxes or date fields EXCEPT for the Client and Client Account information fields. In these fields you will need to search for the client and account information. 9. Now you will begin to index the document by selecting the right values in the fields in the template. Most fields are self-explanatory though more detailed field by field review is available in Appendix A.
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The first thing to do is link the document to a Client Folder. Click the Add button to begin searching for the correct Client Folder to place the document into. Show in Figure 38: Client Account Index Fields.
FIGURE 38: CLIENT ACCOUNT INDEX FIELDS
10. Either search with the Default information or open the Predefined Searches drop-down list box and choose a more suitable search to help you locate the correct Client / Subfolder. Insert all or part of the requested information (i.e., Account #, First Name, Last Name, TIN/SSN, etc.) then click Submit. The corresponding information displays as shown in Figure 39: Client Accounts Search Results. In this case, the search string was simply the client’s name so his three accounts are displayed.
FIGURE 39: CLIENT ACCOUNTS SEARCH RESULTS
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11. Click the radio button to the left of the desired client/folder line item to display the appropriate index template for the document.
FIGURE 40: INDEXING WITH FOLDER ALREADY POPULATED
12. The selected information will display in the ‘Folder’ field. Complete the remaining indexing information fields then click Submit. The file is removed from the Unindexed Queue and filed (committed) to the client’s correct account. Note:
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If the document was incorrectly assigned to a client account (or client), it can be reassigned by going back and editing the document (as described above). At the folder level, search for the correct Client/Account and resubmit the document with that information.
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INDEX, SCAN WITH BARCODES, AND UPLOAD LATER In this next example you can set up the indexing information in the Docupace system BEFORE actually scanning the document into your system (i.e., you will create an index storage location for the document prior to scanning in the document).
Here's how: 1. Retrieve the correct client folder by either: Searching for the Account or Client folder if this is to be a new document for an existing Account, or Client Folder Creating the Client or Account folder first if this is for a new Client or Account. 2. After retrieving the correct Client Subfolder, select the Content link and the Subfolder will open showing the document level for that account as shown in Figure 41: Results of an Open Client Folder.
FIGURE 41: RESULTS OF AN OPEN CLIENT FOLDER
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3. Click the New link to add the document to the Folder Content area as shown in Figure 42: Adding a New Document File.
FIGURE 42: ADDING A NEW DOCUMENT FILE
4. The indexing screen will pop up. The right side where the file normal resides says ‘No File’ as we haven’t scanned the document in yet, therefore there is obviously no image to show.
FIGURE 43: INDEX A DOCUMENT PRIOR TO SCANNING
5. Fill out any indexing information you have on the template. You’ll notice that the Folder Info section has been pre-populated from the information provided when you created the new document. For this operation you will simply use the Submit button to complete the indexing. Once you press Submit, a barcode cover page will pop up on a new screen. As shown in Figure 44: Document Specific Cover Page Warning:
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Ensure your Pop-Up Blocker is turned "off" or the barcode cover page will not display.
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FIGURE 44: DOCUMENT SPECIFIC COVER PAGE
6. When the Barcode screen displays, print the Barcode cover page. Next, place this page in the front of the document before scanning. You will notice that the print on the cover page will provide the indexing of the document that was pre-populated. This helps you make sure the cover page is assigned to the correct document. When scanning in documents, the first page of the document must always be the barcode cover page. This Barcode cover page tells the system: The folder to which the image should be associated. The system document number to assign to the image. The File Cabinet to which the folder or subfolder belongs. You can place multiple barcode cover pages and their corresponding documents together as a batch and scan them as a group. The Docupace barcode reader will then route each document to its correct file. Docupace recommends that you do not scan more than 200 pages per batch. 7. Run the Docupace File Uploader (unless it’s installed as Uploader as a Service) to upload the documents into Docupace. Once you scan and the images are uploaded, the documents will be automatically routed to their ‘placeholder’, indexed and ready to view. The system will automatically delete the Barcode cover page from the document set. Warning:
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You cannot include bar-coded and non-bar coded documents in the same File Uploader batch. If you do, the non-barcoded documents will attach to the barcoded ones (and not split as expected).
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INDEX A SOFT-COPY FILE AND UPLOAD NOW You can upload soft-copy documents (i.e., spreadsheets, PDFs, Word documents, etc.) directly from your system into Docupace. Here's how: 1. Within the Docupace system, create an index storage location for each document. If this is to be a new document for an existing Account, or Client Folder, you will need to search for the Account or Client folder. If this is for a new Client or Account, create the Client or Account Folder first. 2. Retrieve the correct folder where you want to place the document. In this example, we are using the Client Folder. 3. Select the Content link shown in Figure 45: Index a Soft-Copy File and Upload Now, Step 3 on the folder you want to import the document into, and the document set associated to that folder opens.
FIGURE 45: INDEX A SOFT-COPY FILE AND UPLOAD NOW, STEP 3
4. Select the New button to the right of the Documents tab as shown in Figure 46: Index a Soft-Copy File and Upload Now, Step 4.
FIGURE 46: INDEX A SOFT-COPY FILE AND UPLOAD NOW, STEP 4
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5. At this point you will see that some of the Client Information fields are completed for you as shown in Figure 47: Index a Soft-Copy File and Upload Now, Step 5. Verify that the information is correct for the document that you will be posting.
FIGURE 47: INDEX A SOFT-COPY FILE AND UPLOAD NOW, STEP 5
To the right of the Client Documents page you will see that the system does not have an image associated with the information. It indicates "No File" because you haven’t uploaded the file yet. 6. Complete the document information shown in Figure 48: Index a Soft-Copy File and Upload Now, Step 6.
Next, click the Image Content you want to be associated with this information.
button to search for the image on your system that
FIGURE 48: INDEX A SOFT-COPY FILE AND UPLOAD NOW, STEP 6
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7. Use the Browse button to choose the appropriate document name and location on your system that relates to the indexing just completed. (See Figure 49: Index a Soft-Copy File and Upload Now, Step 7.)
FIGURE 49: INDEX A SOFT-COPY FILE AND UPLOAD NOW, STEP 7
8. Click the Submit button to start the process of uploading the image file as shown in Figure 50: Index a Soft-Copy File and Upload Now, Step 8.
FIGURE 50: INDEX A SOFT-COPY FILE AND UPLOAD NOW, STEP 8
9. In the Image Content area you will see the Docupace system is ready to update file. Click Submit again to begin transferring the file into Docupace as shown in Figure 51: Index a Soft-Copy File and Upload Now, Step 9.
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FIGURE 51: INDEX A SOFT-COPY FILE AND UPLOAD NOW, STEP 9
The system will upload the document immediately and you will see that the file is uploaded and ready for viewing. Tip: If you would prefer to index the documents at a later date, you can also ‘drop’ the images in your Uploader folder by: Locating the files to upload. Copy and then past these files directly into your Uploader file (most likely c:/scanning/export). Docupace will then deposit these images into your unindexed folder for further processing. If you have many larger files, it is recommended that you perform this at the end of the business day as it may take a while.
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EXERCISE: SCAN, UPLOAD AND INDEX DOCUMENTS Now it's your turn! You can practice Scanning files using the instructions provided below.
To scan files then upload them to Docupace: 1. Using your chosen scanner software, scan one or more documents into the Docupace system. 2. If the Docupace File Uploader is not running as a service on your computer: Open your scanning/export folder and review the files listed there, otherwise, skip to Step 3. Log into Docupace (if not already logged in). Click the Administration icon at the top of the Retrieve page. Click File Uploader in the Utilities box to start the File Uploader. Review the Sending and Sent messages for your files as they upload. 3. Click the Unindexed Documents folder. The documents waiting to be filed (indexed) into their correct folders are displayed. 4. Locate the documents you just scanned in. To index unindexed files in Docupace: 5. Click Edit next to the first document you want to index. Both the indexing information (left side) and the document image (right side) are displayed. 6. Open the Change xxxxx info: drop-down list box at the top of the page and select the appropriate type of document to file (i.e., Client, Operational, Accounting, Rep/Employee, etc.). The indexing template for the selected document type displays to help you during the indexing process. 7. When your selected page displays, click the Add button to display the page's index fields. 8. Insert the required information for this document, then click Submit to complete the document index process. Review the appropriate pages of this guide for further information as needed.
EXERCISE 4: SCAN, UPLOAD AND INDEX DOCUMENTS
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ADVANCED BARCODING Docupace has created enhanced barcoding features to help clients enjoy easier indexing for repetitive, high volume, indexing processes. This is a great feature to use for back-scanning of existing paper folders/documents. This section describes how to: Use Document Type Specific Coversheets Document/Form Specicfic Create Client-Subfolder Specific Barcode Cover Pages Scan Multiple Files into a Specific Folder at the Same Time
DOCUMENT TYPE SPECIFIC COVERSHEETS You will be provided with various Document Type Coversheet Packs. They will contain all potential document type coversheets. Each document as the Document Folder Type (Client, Operations, Associated Person, etc.) in addition to the actual Document Type (AIF, Check, Correspondence, U4, etc.). These coversheets will be placed in front of the corresponding document, provided the document doesn’t already have a BD/Pershing barcode on it already. After scanning the batch, they will be sent to the Partially Indexed Cabinet for further processing
Note:
These barcode cover pages can be reused for the same type of documents only.
CREATE CLIENT/SUBFOLDER-SPECIFIC BARCODE COVER PAGES Using these coversheets, you can file documents directly to a specific Client-Account Folder. This is a great solution for Backscanning old client folders or scanning of a Client-Account Kit or set of documents (New account opening kit for example) Here's how: Inside the Docupace Retrieve section, search for and select the appropriate Client/Client Subfolder. Click the Barcode link within the Actions area as shown in Figure 52: Associate Documents to a Specific Client Folder, Step 2. A Folder level Barcode Cover Page will display (Make sure your popup blocker is disabled).
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FIGURE 52: ASSOCIATE DOCUMENTS TO A SPECIFIC CLIENT FOLDER, STEP 2
Print the Folder level Barcode Cover page. Select the Document Barcode Cover page you will use (per the prior example Place your documents in the following order: •
Folder level Barcode Cover Page
•
Document Type Coversheet (section 1)
•
Document
•
Document Type Coversheet
•
Document
•
Etc. etc.
Scan all the documents together. The Docupace Barcode Server routes the documents to the appropriate location within the folder while applying the correct Document Type indexing to the document themselves (while also removing the barcode pages). Store the cover pages for future use. Reminder: You may still need to add additional indexing to these items (i.e., to add document date). IF all the documents are Document/Form specific (Pershing/BD documents), you can follow the same procedure above only you don’t need any coversheets! Simply place the Client/Subfolder coversheet on top of the appropriate documents and they will all split and route automatically to the defined client/subfolder.
EXERCISE: SCAN AND UPLOAD DOCUMENTS USING A GENERIC BARCODE COVER PAGE
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Now it's your turn! You can practice scanning and uploading documents with barcode cover pages using the instructions provided below.
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To scan and upload a batch of documents using a barcode cover page: 1. Place a generic barcode cover page in front of each separate document to be scanned in. 2. Place the documents in your scanner tray, then initiate the scan process. 3. Click the Unindexed Files folder from the Retrieve screen in Docupace. 4. Review the documents you just scanned in. Review the appropriate pages of this guide for further information as needed.
EXERCISE 5: SCAN AND UPLOAD DOCUMENTS USING A GENERIC BARCODE COVER PAGE
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ADMINISTRATION WHO USES THESE FEATURES? The features described in this section are for advanced Docupace Capture and Processing personnel only. Document Retrievers/Viewers do not have the necessary system access required to perform these functions.
In this section you will learn about:
User Access Personalize the Site – Dropdown Values Partially Indexed Documents Search Preferences
USER ACCESS Depending on your office’s workflow, some users may need to give other users access to their files. This feature must be used if: Someone needs access to another user’s UNINDEXED DOCUMENTS or PARTIALLY INDEXED DOCUMENTS. For an example, if an office admin will be processing (indexing) documents that are scanned by a rep, the rep must grant user access to the admin who will process the documents. Similarly, if an admin 1scans documents and another admin 2 should be processing (indexing) those documents Admin 1 should give access to Admin 2. A user needs access to another user’s non-broker dealer business. For example, if an admin needs access to the a rep’s non-broker dealer business (Non-BD business), the rep must give the admin access to his/her ‘unaffiliated’ business.
Note:
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In these cases, as a matter of best practice, all administrators in an office should give
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each other access to their files. That way, they’ll all simply sea all the documents that were scanned in.
You can give access to your files on the Docupace solution using the following procedures: Once in Docupace, click the Administration icon
The Administration screen is displayed Under List Management, click the User Access link
The User Acess search screen is displayed Click Submit. Your user should show up in the results.
Click the Edit link The Change User Access Info screen is displayed. You user name is displayed in the Grant Access To field In the empty Grant Access To field, type the user id of the user to whom you are grant access to. So for example, if you are granting access to your admin, type in your admin’s user id.
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Click Submit The user is selected, and his/her user id is displayed in the Grant Access To column The next time the user you selected logs in, he or she will have access to all of your Unindexed Documents, Partially Indexed Documents and records flagged as Non-BD. You can also use these instructions to revoke access to your files: just delete the person’s id in step 5 instead of typing it.
PERSONALIZE THE SITE – DROPDOWN VALUES Many of the fields have ‘drop downs’. The Docupace system comes with a set of standard ‘out of the box’ values. Depending on the organization and build of Docupace, you may have the ability to add additional values for just your group/entity. The group/entity is defined as the contracted group. This could be an individual contracted advisor, a field office, an OSJ office or perhaps even an entire Broker Dealer. 1. Open Administration tab and select the appropriate link for the field of values you want to add to. All the potential fields should start with ‘Custom’
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2. Click Submit. If there are values, they will appear. If not, you will get a message that no results are found. Select New to create new values.
3. Type in the correct new drop down value and press Submit
4. The new drop down value will now appear in the Search and Edit Screens
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A personalized drop down value CAN be deleted but all documents with that value must be reassigned a different value before that value can be deleted. If there are still documents attached, you will get an error message.
PARTIALLY INDEXED Directly above the Unindexed cabinet, there is another cabinet called Partially Indexed Documents. This is not actually a unique cabinet, rather it is a consolidated view of all the various docment cabinets (client, operations, etc.). if you were to select Submit, you would be presented with a results set of all your viewable documents in the system. The main purpose of this cabinet is to provide users with a view of any documents that are ‘Partially Indexed’. Partially means that the document type is indexed, but it has not been linked to a folder yet. Because these documents have been classified into their corresponding cabinet (since the document type was chosen), they are very difficult to find since they have no corresponding folder to link to. So a user leverages the Partially Indexed Documents folder to find these – and process them. elect the Partially Indexed Documents cabinet Select the ‘Partially Indexed Documents’ predefined search. This is critical. If you simply select Submit from the Default search, you will get ALL results, not the filter results.
Select Submit You will be returned the results of ONLY those documents that were indexed with a document type, but not the folder information. Complete the indexing of these records.
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ADVANCED FEATURES “A truly paperless office is achieved through Docupace's advanced document editing functions." A sophisticated and advanced document management system, Docupace enables users to add multiple versions of the same file, check documents in and out to maintain version control, edit documents using a simple built-in PDF editing tool, and even split existing documents into multiple separate documents.
SEARCH PREFERENCES You have the ability to determine which Predefined Search you would like to start with on entering the system. 1.
Locate Search Preferences by going to Administration > User Setting > Search Preferences. Select the link. You will be presented with the search screens you manage (each site may be different)
2.
Select the search screen drop down for that specific edit screen
3.
Once you’ve made your changes exit the system. On your next login, your ‘default’ searches will appear when you enter the search screen.
WHO USES THESE FEATURES? The features described in this section are for advanced Docupace Capture and Processing personnel only. Document Retrievers/Viewers do not have the necessary system access required to perform these functions.
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In this section you will learn about:
Adding a New Image to an Existing File Check-In/Check-Out PDF Editing Merge
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ADDING A NEW IMAGE TO AN EXISTING FILE It is not uncommon to receive and retain more than one version of the same file. For example, if a client contract has more than one version due to changes in that contract, you will want to maintain each version of that contract. Docupace provides this "version control" capability. To upload duplicate documents into Docupace: 1. Upload or check in a new version from your local system. 2. For scanned images, locate the file from which you want to create the new version. 3. Select the check box to the left of the file, then select the Barcode button to generate a barcode cover page (similar to earlier barcode generation procedures). 4. Place the cover page on top of the updated document, then scan it in as usual. 5. The new image will now be the "Current" version and the old version will still be available based upon its original scan in date.
CHECK-IN/CHECK-OUT To prevent consistency errors from occurring, the Docupace system includes a process for ensuring that two different users are not updating the same document at the same time. To Check out/in a document to yourself: 1. When a document is accessed by selecting the Edit link, the Check In/Check Out feature is visible. Select Check Out, then Submit to obtain access to and modify the document. (Make sure you note the document number before leaving this screen.) 2. The document will remain “checked out” to you alone until you check it back in. Note:
If other users attempt to access the document by selecting the Edit link, they will receive a document unavailable message.
PDF EDITING The Docupace system has an integrated PDF document editing capability that allows you to make simple modifications to documents that have be uploaded. This helps you avoid the need to use a separate PDF editor, saving time and effort. There are two sections of editing tools: Transform Current Documents Merge Into Selected Documents
Transform Current Documents ( Edit an existing Docupace file): 1. To access this feature, click the Edit link for the document you want to edit.
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2. Open the Document by selecting Edit and the split screen displays the information template and the image in an Adobe Reader format. 3. Scroll down the page until you see a new section called "Document Transformation Operations” as shown in Figure 53: PDF Editing, Step 3, Document Transformation Operations. The following commands are available:
FIGURE 53: PDF EDITING, STEP 3, DOCUMENT TRANSFORMATION OPERATIONS
Update Existing Doc: Provides you the ability to perform some editing changes on the existing document rather than creating a duplicated (edited) version. Create: Use when more complex splitting is needed, particularly when documents are received out of order. For example, combining page 1 with pages 5 and 6. Split: Use when splitting the document into sequential sets of documents. Rotate: Use when one or more pages of the document needs to be rotated. Sign: This is provided for Principals with digital signing authority. Those that do not have that authority will not have this feature enabled. Pages: Use to define how the splitting will occur (by single page or selected pages). Rotate Radio buttons: Use to specify how the rotation will occur. Commit All: Once all commands have been defined, click this button to execute the commands. Clear All: Use to reset the commands to start over. Clear Last: Use to reset only the last command entered.
TRANSFORM DOCUMENT SCENARIOS The following examples will demonstrate the functionality of the Editing module. Scenario 1: A four-page document where the 1st page needs to be split from pages 2 thru 4. Scenario 2: A four-page document where the 3rd page needs to be rotated. Scenario 3: A four-page document where the document needs to be split into 3 separate documents, the 1st and 2nd page, the 3rd page and the 4th page by itself.
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Scenario 4: A four-page document where the 1st and 3rd pages need to be separated from the 2nd and 4th page.
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SCENARIO 1: A FOUR-PAGE DOCUMENT WHERE THE 1ST PAGE NEEDS TO BE SPLIT FROM PAGES 2 THRU 4 This document needs to be split at page 2, so insert a "2" in the Split box. Click Commit All and the screen will refresh as the command is completed, then click Submit on the document and two new documents will now appear in the Account. Note: If you do split the document, the original unsplit document will remain in the folder. SCENARIO 2: A FOUR-PAGE DOCUMENT WHERE THE 3RD PAGE NEEDS TO BE ROTATED In this scenario, we’ll use the same document again, but we want to create a 4-page document that has the 3rd page rotated. Check the Update Existing Doc box. You select this because you do not want to create a new version, you just want to update the existing one. Notice that the Create and Split boxes are grayed-out as they cannot be updated. Click the small box to the right of the Rotate box and new Rotate screen displays. Insert the necessary information, then click Add as shown in Figure 54: Document Transformation Operations: Rotating a Page. The information will now be present in the Rotate field.
FIGURE 54: DOCUMENT TRANSFORMATION OPERATIONS: ROTATING A PAGE
Click Commit All and the screen will refresh and you will see the image rotated. Click Submit and the document edits will be saved. Open the document and notice that the 3rd page is now flipped over. SCENARIO 3: A FOUR-PAGE DOCUMENT WHERE THE DOCUMENT NEEDS TO BE SPLIT INTO 3 SEPARATE DOCUMENTS, THE 1ST AND 2ND PAGE, THE 3RD PAGE AND THE 4TH PAGE BY ITSELF. You can either type in 2, 3, 4 in the Split field (Scenario 1) Or click the box to the right of the Split field and a new box pops up. Insert the pages in the open fields, then click Add as shown in Figure 55: Document Splitting, Example 1.
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FIGURE 55: DOCUMENT SPLITTING, EXAMPLE 1
Click Commit All and the screen refreshes. Click Submit on the editing page and the document will be submitted. Now, three new Documents have been created as 2-page, 1-page and 1-page documents, respectively. Note:
The original 4-page document is still there and should be reclassified as a non-important document.
SCENARIO 4: A FOUR-PAGE DOCUMENT WHERE THE 1ST AND 3RD PAGES NEED TO BE SEPARATED FROM THE 2ND AND 4TH PAGE This is where Create should be used. Start with the original document and Edit it. In the Create field, add 2, 4 and click Add. Or click the box to the right of the Create field and a new box pops up. Insert the pages in the open fields, then click Add.
FIGURE 56: DOCUMENT SPLITTING, EXAMPLE 2
Click Commit All and the screen refreshes. Click Submit on the editing page and the document will be submitted.
A new document with pages 2 and 4 will be created.
MERGE INTO SELECTED DOCUMENTS This function allows you the take any document within the cabinet, select a different ‘destination document’ and then copy a portion or the full document to the destination document. Additionally, you can also remove pages from the destination document.
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Destination:
This allows you to select the destination document for your Merge.
Remove: This field allows you to remove pages that you do not want to be added to the destination document. Copy: This field allows you to copy pages from the edited document to the destination document. Commit All: Sets the process requested in the above fields into a command format for review before the Submit or the Cancel button is executed. Note: The new document created with this function will become the CURRENT VERSION of the destination document. Document Merge Scenarios Scenario 1: One document needs to be added to another document Scenario 2: The first page of the edited document needs to be added in to the destination document after page 3. Scenario 3: A first page of one document needs to replace the 4th page (page 4) of another document
SCENARIO 1: ONE DOCUMENT NEEDS TO BE ADDED TO ANOTHER DOCUMENT Select the document you plan to merge using edit link Select Merge Into Selected Document tab at bottom of edit page
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Once you’ve found it, select the radio button and the document id will appear in the Destination field
Select Commit All Review the information to process.
Provided the information is correct, select Submit
RESULT: The destination document will now have a new version of the document with the added pages fron the first document.
Review the destination document and the first document will be added to the destination document.
SCENARIO 2: THE FIRST PAGE OF THE EDITED DOCUMENT NEEDS TO BE ADDED IN TO THE DESTINATION DOCUMENT AFTER PAGE 3.
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Select the destination document (same as Scenario 1) Select after page 3 copy select 1
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Select the add
Select Commit All
Provided the information is correct, select Submit
RESULT: The destination document will have a new version of the document with the first page of the first document added to the destination document. SCENARIO 3: A FIRST PAGE OF ONE DOCUMENT NEEDS TO REPLACE THE 4TH PAGE (PAGE 4) OF ANOTHER DOCUMENT
Select the destination document In the Remove field, select page 2
Select add In the Copy select after page 1
Select Add Select Commit All When finished, select Submit
RESULT: The resulting destination document will have a new version with a new page 4
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HELP TOPICS USING BARCODES IN DOCUPACE There are various methods for auto-indexing/processing within Docupace. This document will provide you an overview of the primary methods: DOCUMENT SPLITTING USING A DOCUMENT BARCODE SEPARATOR SHEET: Solution if you have various (sized) documents that you wish to scan in a single batch but you also want to make sure they split into separate documents inside the Unindexed Documents Folder. From there, you will process the documents individually from within Docupace. Example: 6 different sized ‘Account Maintenance’ documents for 6 different clients that you are ready to scan and index. You want to scan these in a single batch (scan as a single document) but have them split in Docupace. Setup: -
Download a copy of the Document Barcode Separator Sheet from www.docupace.com/downloads
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Print multiple copies of the separator sheet. If you pefer, you can copy this on colored paper since you will re-use these separators
Process: -
Place document barcode separator sheet on top of document Repeat this process for each document in the batch Place entire batch in scanner and scan Process Batch as normal Go to Unindexed Documents. Documents should be split. Process the documents
DOCUMENT SPLITTING AND INDEXING USING DOCUMENT TYPE COVERSHEETS: Solution when you have a set of documents that a) have the SAME document type classification or b) different document type classifications and NOT for the same client. You want to have the ability to do some pre-indexing so when the documents are captured in Docupace, they are split with some level of indexing. Examples: -
Scanning 15 pieces of correspondence for 15 different clients Scanning 2 pieces of correspondence, 3 New Account Forms, and 2 ach requests
Setup: -
Generate the document type barcode coversheets by going to Administration > List Management Select the document type group (client, operations, etc.)
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Select the document types you wish to use by checking the box to the left Select the barcode button
Note: In some cases, the barcode coversheets actually come in as a ‘coversheet pack’ provided by the BD.
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The document type coversheets appear. Print them out. Make as many copies as you need. They are re-usable.
Process: -
Place document barcode separator sheet on top of document that you wish to index with that document type classification Repeat this process for each document in the batch Place entire batch in scanner and scan Go to Partially Documents and within the predefined search, select ‘Partially indexed’. Press submit Documents will be split and classified by document type
DOCUMENTS SPLIT, CLASSIFIED BY DOCUMENT TYPE WITHIN A CLIENT SUBFOLDER Ability to place documents DIRECTLY into a client subfolder and split them by document type classification Example: Client A / Account 123 / Add in a New account form, adoption agreement, statement, correspondence (4 documents) Setup: -
Gather the document type coversheets that will be required (from above example) Locate the account that you wish to scan documents into Select the check box to the left and the Barcode button on the top of page
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The Client and Account information coversheet pops up. Print coversheet.
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Process: -
Place Client/Account coversheet first in your pack. Follow that up with the client document type coversheet and then the document itself. Repeat the process for each document in the batch Place the batch (with the client/account coversheet first) and scan Go directly to the client account (subfolder) and each document should be split and inside that account. Complete any extra indexing requirements (doc date, notes, submission to back office, review, etc.)
NOTE: Do not use standard Document Separator sheets in this Batch along with Doctype Coversheets. DOCUMENT SPECIFIC COVERSHEETS In some cases, users prefer to pre-index records in the system FIRST and then scan later Example: -
Index a new account form Add an updated document (new signature for example) on top of an already indexed document
Setup: -
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For new document: o Unindexed: Select the New button and indexing screen appears. Index the document (client, subfolder, and document information) For an existing document o Locate the existing record
Process: -
For new documents: o On submitting the document, a coversheet will appear. Print the coversheet o Place the coversheet on top of the document o Scan. The document will route to the correct location (coversheet will disappear)
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For an existing document o Select the check box and the press the Barcode button o A coversheet will appear. Print the coversheet o Scan. The document will route to the correct location as a new version
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