ePACS User Guide
ePACS User Guide
Table of Contents
Foreword ..................................................................................................................... 1
About This Guide ......................................................................................................... 1
Introduction ..................................................................................................................... 1
What Is Docupace ePACS? ......................................................................................... 2
Why Use Docupace? ................................................................................................... 3
Docupace Components ............................................................................................... 3
Key Docupace Terms .................................................................................................. 4
Accessing Docupace ....................................................................................................... 5
Prerequisites to Logging Into Docupace ...................................................................... 5
Exercise: Logging into and out of Docupace ............................................................. 12
Scanner and Uploader Setup ........................................................................................ 13
Choosing and Configuring Your Scanner .................................................................. 13
Choosing the Scanner ............................................................................................... 13
Configuring Your Scanner ............................................................................................. 14
Choosing Scan Software ........................................................................................... 14
Configuring Scanner Software ................................................................................... 14
Creating Scan Destination Folders ................................................................................ 15
Desktop Scanner Folder ............................................................................................ 15
Network Scanner Folder ............................................................................................ 16
Requirements ............................................................................................................ 16
Configuration – Images housed on Server ................................................................ 16
Configuration – Images Sent to Networked Desktop ................................................. 16
Installing the Docupace File Uploader ........................................................................... 17
Manual and Automatic File Uploading ....................................................................... 20
Exercise: Testing the File Uploader ........................................................................... 27
Direct File Uploader Guidance ................................................................................... 28
Retrieval – Archived Information ................................................................................... 32
Retrieval Page Features ............................................................................................ 33
Username and Menu Bar Options ............................................................................. 33
Content Search Options ............................................................................................ 34
Submit Search Buttons .............................................................................................. 34
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Content Folder Structure ........................................................................................... 34
Organizing Your Paperwork ....................................................................................... 35
How to Search For Content ....................................................................................... 36
How to Use Content Viewers ..................................................................................... 43
Version Control .......................................................................................................... 45
Exercise: Retrieving a Client Document .................................................................... 46
Workflow ....................................................................................................................... 47
My Desktop ................................................................................................................ 48
Work Item Information ............................................................................................... 52
Scan/Capture ................................................................................................................ 53
Features .................................................................................................................... 53
Scanning Files ........................................................................................................... 53
Barcoding Basics ....................................................................................................... 54
Scanning / Capture Methods ..................................................................................... 56
Indexing......................................................................................................................... 60
Work Item VS Document Record(s)........................................................................... 61
Updating Document Records ........................................................................................ 76
Adding a New Image to an Existing Record .............................................................. 76
Check In / Check Out................................................................................................. 77
PDF Editing ............................................................................................................... 77
Starting Point ................................................................................................................. 87
Setup – Forms Repository ......................................................................................... 87
Setup / Requirements (User) ..................................................................................... 87
The Dashboard – Features ........................................................................................ 89
Retail Clients ONLY Step by Step Example – Create a Work Item/Request ........... 102
Broker Dealer ONLY Step By Step Example – Create a Work Item/Request .......... 106
Troubleshooting/FAQ............................................................................................... 110
Advanced Workflow Features ..................................................................................... 112
Workflow Monitor ..................................................................................................... 112
Searching for Specific Work Item(s) ........................................................................ 114
Administration ............................................................................................................. 120
Personalize the Site – Dropdown Values................................................................. 121
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Search Preferences ................................................................................................. 122
Retrieve a Forgotten Password ............................................................................... 123
Change Your Password ........................................................................................... 124
Reports .................................................................................................................... 125
Barcodes – Document Separator............................................................................. 126
Barcodes – Work Item Separator............................................................................. 127
Appendix ..................................................................................................................... 128
Scanning Scenarios (Step By Step)......................................................................... 128
Indexing Scenarios (Detailed Step-by-Step) ............................................................ 135
Back-Scanning ........................................................................................................ 139
Client Document Indexing ........................................................................................ 140
Copyright
© 2015 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.
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FOREWORD
Welcome to Docupace! Docupace has produced a comprehensive solution for
organizations to effectively manage work in a “paperless” environment. ePACS, the
solution, is extremely flexible and provides organizations the ability to manage work
from the front to the back office and vice versa – all within a SEC/FINRA compliant
offering.
This document will provide you a detailed view of the usage of the system and provide
some guidelines on how to use it as it relates to your individual broker dealer.
This section will cover two very distinct work efforts within the system:
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Compliant Document Storage – Search and Retrieve
Workflow – Submission of work item electronically routed to the Home Office for
processing.
ABOUT THIS GUIDE
This document is designed to serve multiple purposes.
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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]
INTRODUCTION
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.
This section will cover:
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What Is Docupace ePACS?
Why Use Docupace?
Docupace Components
Key Docupace Terms
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WHAT IS DOCUPACE EPACS?
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.
There are two distinct but interrelated components within the offering: Document
Management and Workflow. In this section, we’ll review both of these at a high level.
What Is Document Management?
A Document Management System (DMS) is a system 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 (ECM) Systems and related to Digital Asset
Management, Document Imaging, Workflow Systems, and Records Management
Systems.
Document management systems commonly provide storage, versioning, metadata,
security, and indexing and retrieval capabilities.
What is Workflow?
There are different types of workflow as it relates to document management. Manual
workflow requires a user to view the document and decide whom to send it to. Rulesbased workflow allows an administrator to create a rule that dictates the flow of the
document through an organization. For example in a BD (Broker Dealer), a new account
opening request first must go through a supervisory review/approval process and is
then routed to the back office for further processing. Dynamic rules allow for branches
to be created in a workflow process. A simple example would be if a document is not
filled out correctly, it follows different routes through the organization since it has been
sent to the NIGO (Not In Good Order) flow.
Benefits of Using Docupace
The key benefits of using Docupace include:
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Saving Space.
Saving Time.
Ensuring Compliance.
Mitigating Loss / Disaster Recovery.
Saving Money.
Processing Efficiency.
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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 predefined
searches and other search criteria.
WHY USE DOCUPACE?
Docupace provides services via the internet as a service 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 one is not currently available in the
enterprise.
The system makes it quick and easy to import electronic documents, scan paper-based
documents, and save them electronically in a structured file system. The documents
can then be accessed from the file system whenever they are needed just like a
traditional filing process.
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:
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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 Scan/Capture for
further information.
Process: Once the content is captured into Docupace, it needs to be processed
into the correct location for processing or retrieval. See Client Document Indexing
for further information.
Store: Captured and processed content is securely stored 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. For further information,
see Retrieval – Archived Information.
Workflow: Users will be submitting work to the back office for processing. No
more emailing or faxing; realize reduced mailing!
Integrations: The basic concept of ePACS is a full end-to-end processing
system for advisors. This cannot be offered without tight integration with other
3rd party vendors; Docupace has done that. Depending on your office
automation solutions, you may be able to leverage some or perhaps all these
value-added offerings.
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KEY DOCUPACE TERMS
Before learning how to scan/retrieve or process/submit documents in Docupace, it is
important for you to understand several terms.
Key terms and concepts include:
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Content Folders/File Cabinets: All content is organized into content folders and
file cabinets 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 Predefined Searches: Similar to content folders, all search
fields and predefined searches are created by collaboration between your
company and Docupace.
Work Items: Work items are the main collaborative engine that carries work from
the field to the back office (and back to the field if necessary). These are the
primary drivers of the workflow.
Queues: Queues define specific “stops” in work items by creating a workflow that
relates to the work item’s management and processing.
Tasks: A task is a fixed set of actions or decisions which can be selected from
the workflow queue. The selected tasks will move the work items from one queue
to another for future processing.
Key scanning and capture terms include:
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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 Scan/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 consist 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
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.
This section will cover:
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Prerequisites to Logging into Docupace
How to Access Docupace
Changing Your Password
Logging Out of Docupace
PREREQUISITES TO LOGGING INTO DOCUPACE
Browser
Docupace provides its service via the web. Because of this, all you need to access
Docupace is internet access and an internet browser such as:
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Internet Explorer.
Mozilla Firefox.
Google Chrome.
Different users have different preferences as it relates to their default browser. Choose
the one you prefer.
Docupace, your Browser, Operating System, and Adobe
Are PDF documents now showing up correctly? Are you getting just a red ‘x’
in the
upper corner and no image? The following should provide more detail as to what is
happening and how to resolve it.
There are many different potential combinations for the system you may be using
(responses below in italics if there are known challenges with the combination). Create
a client/subfolder for each Rep with:
1. Microsoft Internet Explorer (IE) 8, Adobe Reader 9.XX and Windows XP
operating system.
There should be no problems in viewing Adobe documents in Docupace.
2. IE 8, Adobe Reader 9.XX and Windows 7 [32 bit] system.
There should be no problems in viewing Adobe documents in Docupace.
3. IE 9, Adobe Reader X (v.10) and Windows 7 [32 bit] system.
There should be no problems in viewing Adobe documents in Docupace.
4. IE 9, Adobe Reader 9 or X and Windows 7 [64 bit] system.
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In this configuration, you may be running the default IE browser which is a [64
bit] program. With this, you may experience trouble viewing documents in
Docupace. The recommendation is to move to the 32 bit IE. (Information how to
use the 32 bit version further down in this flash).
To determine what type of computer operating system you currently have (32 bit
or 64 bit system):
1. Go to the Start Menu and select Computer.
2. In the tool bar select System Properties. You will see your computer information,
including system type. From this location (as shown in the image below) you will
find out what system you have.
To determine what version of IE you currently have:
1. Run Internet Explorer.
2. In the toolbar of the browser select Help > About. The About Internet Explorer
screen will appear. It will show both the version of IE and whether it is the 32 bit
or 64 bit edition.
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To locate the Internet Explorer 32 bit version browser on your system:
1. Select Start Menu > All programs.
2. You will see both versions available.
3. Run the non-64 bit version.
4. Launch Docupace and open/edit a record or simply open an image. If pdf
documents now appear, your issue is resolved. Please use this version of IE
going forward. If you are still experiencing issues, please contact Docupace
support.
Note: At the present time Adobe Acrobat X and Adobe Reader 10 will not
interact correctly with the 64 bit version of IE. You must use the 32 bit
version or use either the browser Google Chrome or Firefox.
Adobe Acrobat
If Adobe Acrobat or Adobe Reader is not installed on your local computer, you must
click the 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/yoursitename.
In most cases, your Docupace site address is provided to you prior to training. A sample
Docupace login screen is shown below.
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, enter 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 leftclick on Create Shortcut. You can also drag and drop the login page
web address from your browser's address bar to your desktop.
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If an incorrect Username or Password is entered, a dialog box displays stating 1)
"Invalid password/User ID" or 2) “you don't have rights to perform this operation.” When
this occurs, please re-enter your information 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 user ID 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.
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
below.
2. Click Change Password under User Settings. The Change Password page will
display. Your password must contain at least 6 characters and include at least of
each of the following characters:
 Upper Case
 Numbers
 Lower Case
 Symbols ($, %, &, *, etc.)
3. Enter your new password, then re-enter it. Click Submit.
4. Click the Retrieve icon to return to the Document Retrieval page.
Configuring your user – User Access
User access is a critical setup feature that must be completed by each user once he or
she accesses the system. If you don’t complete this at the onset, it is possible some
access may be limited. Additionally, updates to the User Access might be required.
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1. Go to Administration > List Management > User Access.
2. Click Submit.
3. You should see only one record and it should have your userid.
4. Select the Edit link to open your User Access record.
5. You will need to consider populating four of these fields.
a. Allowed Processors: These are other users within your practice that
might process work items on your behalf. If you don’t allow them as a
processor, they won’t have access to the work items.
i. Select Add.
ii. A new search screen appears. Search for the necessary user id of
other users in your group.
iii. Add, as required.
b. Grant Access To: You will want to grant access to users that will be
processing work items with you.
i. Type in the username.
ii. Press enter and a new field appears to add a new user.
iii. Add, as required.
c. Confidential Access To: When indexing documents, a user can flag a
document as confidential. This gives unique access to that record. Only if
you grant another user Confidential Access can that record be seen.
In many cases, a principal might grant Confidential Access to the office
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manager but not other people in the organization. That way, there will be
some documents only they can see.
d. Auto Assign to Creator (not shown above): If the users prefer to have
their own (created) Work Items (WIs) submitted directly to their task inbox
when they scan, select Yes. If the users prefer to have their own (created)
WIs placed in a virtual pool (to be discussed later) that any allowed
processor can pull from (First in First Out), select No. This feature is
useful if you always plan on processing your own work.
Reminder: In order to function effectively, the above steps must be completed prior to
using the system.
Logging In - Top-level Docupace Functions
These four icons are always visible when inside the system. Selecting one at any given
time will redirect you to that module within Docupace. Each will be discussed further in
the guide:
Click this icon to go to the start page when you log into
Docupace. My Desktop is your location for your current
Work Items.
Click this icon to retrieve archived documents.
Click this icon to access Docupace Administrative
functions.
Click this icon to review all open Work Items regardless of
their location within the workflow, whether in your queue
or the back office.
Logging Out of Docupace
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. This may create some
concurrency issues within your organization.
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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. Change your password:
 Click the Administration icon.
 Click Change Password under User Settings.
 Enter your new password then re-enter it. Click Submit.
3. Logging out of Docupace:
 Click the Logout link in the upper right-hand side of the page.
Review the appropriate pages of this guide for further information as needed.
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SCANNER AND UPLOADER SETUP
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:
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Setting up your Scanner(s) for Docupace.
Setting up the File Uploader utility for uploading documents into Docupace.
In this section you will learn about:
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Choosing and Configuring Your Scanner(s)
Installing the Docupace File Uploader
Manual and Automatic File Uploading
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:
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Choosing the scanner.
Choosing scan software (if necessary).
Configuring scanner 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 minute 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 to continually add 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 identifying the daily load of scanned images.
Image Output: Ideally, the scanner should be able to scan images to .Tiff (Tagged
Image File Format) format and PDF format.
Scanner Type: There are primarily 3 different types of scanners in the marketplace. All
3 integrate with Docupace though their business applicability depends on the client:
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Desktop: Attached to a dedicated computer, these generally cost from $500 and
up. They 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, compact, easy
to install, 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. When attached to a dedicated scanner, it is a practical piece of hardware
that supports all the rep’s business in a single machine. They tend to be lower in
cost than the Desktop Scanner, scan fewer pages per minute, have a smaller
document feeder, are relatively small and easy to install, integrate with
Docupace Scan software, and enjoy some additional features from the software
package
Network Multi-Network Function: Larger Scanner, Copier, and Printer that is
networked to send images to each individual’s personal computer. They are
higher volume machines, 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 these benefits.
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. Appropriate configuration consists of choosing scan software,
configuring the scan software, and then creating scan destination folders.
CHOOSING SCAN SOFTWARE
It is strongly recommended that Docuscan be used as the scanning software. Using
Docuscan allows you to skip step 2 entirely as the program sets up folders
automatically. Desktop scanners usually come with a form of scanner software that is
acceptable for scan management. However, Docupace provides and recommends its
own scan software, Docuscan. The software is available at
www.docupace.com/downloads. Follow the instructions provided to set up Docuscan.
CONFIGURING SCANNER SOFTWARE
If you chose not to use Docuscan, you must configure your scanner software to match
the settings shown in Table 1: Configuring Scan Software.
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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 (or PDF)
Mode
DPI
Black and White only (Not color or grayscale)
250 Dots Per Inch (DPI) - recommended
The configuration module of each scanner’s software may vary somewhat but these
settings should be universal throughout.
Notes:
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.
CREATING SCAN DESTINATION FOLDERS
Docupace supports both desktop and network scanners. Docuscan software is only
available for desktop scanners though. Network scanners have their own software
embedded in the system.
DESKTOP SCANNER FOLDER
These are the dedicated scanners or ‘All in One’ machines that 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 before they are uploaded into
Docupace. 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 and you will not be required to create this folder and its accompanying
subfolders manually.
Docuscan also automatically creates several additional folders as shown below.
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Note: If 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 a multifunction device (scanner, copier, printer, etc.),
review the information below for requirements and subsequent configuration.
REQUIREMENTS
Network Multi-Function Device that can:
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Produce TIFF or PDF images
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Ability to send TIFF or PDF images to individual folders (not via email)
CONFIGURATION – IMAGES HOUSED ON SERVER
1. Create a folder on the server called ‘Scanning\export’.
2. If you will be sending images to the server and multiple users will be scanning,
you must create subfolders/subdirectories for each user under the
‘Scanning\export’ folder based on standard system user names.
3. On the scanner, create the ‘Send to File’ scanning capability:
a. Each user will need their own configuration
4. Images will be submitted to the defined folders and will be extracted by the
Docupace File Uploader.
CONFIGURATION – IMAGES SENT TO NETWORKED DESKTOP
1. Create a folder on local desktop called c:\scanning\export.
2. On the scanner, create the ‘Send to File’ scanning capability so images can be
sent to the local folder.
3. Images will be submitted to the defined folder and the then be extracted by the
File Uploader.
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INSTALLING THE DOCUPACE FILE UPLOADER
The File Uploader is the mechanism that moves the images from your computer into
Docupace. Typically, you’ll want to install the File Uploader on any computer that will
be used to upload imaged documents to Docupace, including:

Your office computer

An assistant’s system

A computer in a remote location, for example a computer at your house
As a user of Docupace, you can enable uploader at as many locations as you wish.
1. To setup the Docupace File uploader on the client’s desktop, go to
Administration > Utilities and select the File Uploader Client as shown below.
Note: If File Uploader does not appear and you see ‘Need to Install Java Plug-in’
please follow the instructions in the Troubleshooting section at the end of this
guide.
2. The application will automatically start. Once the application has been installed,
the user login window appears.
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3. Type in your Docupace Userid and Password and select Set.
4. When logging into the File Uploader for the first time, the Properties page
displays automatically as shown below.
5. For any future adjustments, after logging in select Run > Properties
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6. To complete the setup, you will be using the folders you created earlier by
updating the following fields:


Source Directory: Required. This is the location where the scanned
images/files are saved on the local system. Browse and select your
C:/Scanning/Export folder.
Quarantine Folder: Required. When the server finds a virus, the Docupace
File Uploader moves the rejected file to the Quarantine Folder. You must cure
(disinfect) the files manually, then try to resend them. Browse and select your
C:/Scanning/Quarantine folder.
7. Once completed, select the Set button. The Start screen displays as shown
below. The uploader is ready to use!
8. To run a test, drag and drop an image into your source folder. You should see
the image show up in the uploader screen.
Notes: Prior to using the Docupace File Uploader, delete all images or records
inside the defined folder(s) that you do not want uploaded into Docupace.
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
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. You must run the File
Uploader Client before you can setup the File Uploader As A Service.
Manual Uploading Procedures
To manually upload files:
Once you’ve logged in to the File Uploader, click 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 below:

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.
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If you get any other messages, the system is not responding correctly and your images
are not being uploaded to Docupace.
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.
Automatic (as a Service) Uploading Procedures
If you would prefer to have the Docupace Uploader engage automatically each time you
start your computer, this means that you will not be required to engage the Manual
Uploader.
Prerequisites:

Windows XP, 7 or 8, 2003 and 2008

You must be logged in to the computer as the local Administrator to ensure the
Uploader runs automatically. Also, the file uploader client must be configured (as
described above).

You must use a dedicated Windows account with a static password. Do NOT use
default accounts, e.g., User, Guest. The account must be a member of the local
Administrators group. If uploader is searching for Network Folders, the user must
be an Active Directory (AD) user with full network rights on the subfolder, and
can NOT use the default local or Administrator user.

You must ONLY install the 32-bit version of the latest Java 7.
To run the File Uploader as a service:
1. Access the File Uploader by first logging into your Docupace site, then:

Click the Administration icon.

Click the File Uploader Service Installer link within the Utilities box.
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2. A Java splash screen will display, as shown below.
3. Once the application uploaderlauncherinstall.exe has been saved locally,
double click on the file to run.
The Installation Folder setup displays as shown below.
4. Select Next and you will be directed to the username/password screen.
5. Select the username/password combination that will be used to log into the
computer to perform Docupace functions.
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6. Enter the user’s password and click the Next button to continue the process.
7. Click the Close button when the installation is complete, as shown below.
8. 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.
Notes: Once you’ve installed the Uploader As A Service, and it’s running, you
must stop the service manually if you wish to revert back to the
manual method of using the File Uploader Client configuration.
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Verify the Service is Running
In order to verify that the service is running correctly, you will need to retrieve the
information in the ‘Services’ link within the system.
The simplest way is:
1. From your Start button, type in Services in the search box.
2. Select the Services program. Scroll down the list of services until you find
Docupace Uploader Service.
3. With the Docupace Upoader set up to run automatically, as a service, it will show
Status: Started and Startup: Automatic. This will show that the uploader is on
and will automatically start when the computer/server is started (should it be
restarted). If the Docupace Uploader is set up to run manually, it will show
Startup: Manual.
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Single Sign On (SSO)
Single Sign On allows you to launch the Uploader without entering your credentials
multiple times. However, if your browser times-out, your Uploader session will time out
too. Please note:
 Java 8+ users must add the entire URL to the Exception Site List (i.e., www1 or
www2.paperout.com/) under the Security tab in Java prior to using the SSO
feature.
 Users CANNOT save the File Uploader Client with SSO to the desktop as a
shortcut. Single-Sign-On will only work with an active Docupace session.
1. To launch the Docupace File Uploader with single-sign-on, go to Administration
> Utilities and select the File Uploader Client with SSO.
2. The Java splash page will briefly display on top of the browser window.
3. A Java warning may appear; click Run.
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4. If the Uploader Properties panel automatically displays, you may have to set your
source directory and quarantine directory paths. Click the Browse button to find
the appropriate upload and quarantine folders. Click the Set button.
5. The File Uploader will display with your name at the top, as shown below.
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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 (i.e., the 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.
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DIRECT FILE UPLOADER GUIDANCE
From the My Desktop page/tab in your Docupace application, you can click the Upload
Document button to launch the Direct File Uploader. Whether you login to Docupace
directly or via a CRM, you will have to access the Docupace application to utilize this file
upload feature.
1. Click the Upload Document button to launch the Direct File Uploader window,
as shown below.
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2. You can add files two ways.
a. The first way to add files is to drag-and-drop files into the Direct File
Uploader.
b. The second way to add files is to browse for files with the Add Files
button. Click the Add Files button, select your files, and either doubleclick each file or click the Open button to send selected files to the Direct
File Uploader.
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3. Two additional buttons become available for each corresponding file selected for
upload. The Cancel Upload button allows for removal of specific files. The Start
Upload button is also available for initiating upload of individual files; this button
is not frequently utilized, however.
4. Click the Start Upload button to upload all files. Conversely, click the Cancel
Upload button to remove all files and start over again.
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5. As files are uploaded, a blue indicator bar will display. When all files are
uploaded, the message “Upload complete” will display, as shown below.
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RETRIEVAL – ARCHIVED INFORMATION
Document retrieval is one of the core functionalities 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 via several search methods:


Keyword search.
Cross-reference search between documents with different-level 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 logging in, you will arrive at the My Desktop page. For access to your archived
records, select the Retrieve button which is commonly referred to as the Content
Retrieval page or “Retrieve” screen, as shown below. This is where you will search for
and retrieve your archived information. Other “top level functions” include the My
Desktop, Administration and Monitor pages. Content search options (Business Type,
Client Status, Client Type, etc.) facilitate a search of documentation with specific
attributes, allowing you to further narrow results for quicker searches.
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.
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CONTENT SEARCH OPTIONS
Your web content can be accessed through a variety of search criteria based on the
content folder selected. The predefined search fields for this folder display in the
content search options area of this page. You can search using as many or as few fields
as you like.
For instance, if searching for a client, you may type in First Name and Last Name to
generate your results. If you know you only have one client with the Last Name, you
might just type in the last name.
Search combinations generally occur across levels (Client or Account AND some
document characteristics). Users will be required to utilize predefined searches for
those requests.
SUBMIT SEARCH BUTTONS
There are two search controls:


Submit: Click this button to submit a search based on the search criteria you
request.
Clear All: Click this button to completely clear the currently selected search
criteria.
CONTENT FOLDER STRUCTURE
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 is shown and described
below. (Note: Your organization’s cabinet structure might vary slightly from this.)
Client Folder Use for storing client-centric documents (majority of your office
documents will most likely reside in here). Additional features
include:
 Ability to manage both BD and Non-BD (Unaffiliated) within
same client folder structure.
 Submitting work to OSJ for principal review and approval.
 Send documents to back office for processing.
Operation Use for storing documents you use to run your business. Example
Folder advertising materials, letterheads, general incoming and outgoing
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correspondence, branch audits, and regulatory exam audit
information. Also, you could even consider more enterprisespecific information such as facility information or contracts.
Additional features include:
 Ability to manage both BD and Non-BD (Unaffiliated) within
same client folder structure.
 Submitting work to OSJ for principal review and approval.
 Send documents to back office for processing.
Associated Use for storing your documents related to your licensed
Person Folder employees. For example: licensing, continuing education, U4, etc.
This is a BD cabinet only.
Office HR (Human Resources). Use for storing your documents related to
Folders your non-licensed employees. For example: resumes, personnel
reviews, and other confidential staff information. This is a Non-BD
cabinet only.
Office Use for storing your business’ financial files, including: your office
Accounting lease, equipment leases, service agreements, and invoices. This
Folder is a Non-BD cabinet only.
My Personal Use for storing your personal documents. Example: your tax
Folders returns. This is unique to the user and is a Non-BD cabinet only.
ORGANIZING YOUR PAPERWORK
Filing cabinets are synonymous with organization. When you file paper documents in
your filing cabinets, you organize them in a consistent way that helps you find them
whenever you need them.
The same idea applies to filing electronic documents in Docupace. In fact, Docupace is
modeled after the filing cabinets in your office. Since Docupace is designed to mirror
your office’s filing cabinets, you’ve already got a head start on understanding how your
documents will be stored in a paperless environment. The majority of field offices follow
a paper filing system for client documentation such as:
Filing Cabinet: In your office, your clients’ documents are generally
organized in steel filing cabinets. These cabinets are normally
separated by business type – Client, Operations, Accounting, HR,
etc.
Folders: In your filing cabinet, you have large “hanging folders” for
each Record. As it relates to the client cabinet, each hanging folder
represents an individual client.
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Subfolders: In each “hanging” folder, you may have one or more
manila folders that further categorize your documents. For example,
in a client hanging folder you may have subfolders to organize
different components of your client’s portfolio—a subfolder for a
client’s brokerage account and a subfolder for a client’s advisory
account, and perhaps other folders for Financial Planning, Estate
Planning, etc. In Docupace, you can add subfolders to a client folder
for each account (for example, a “Brokerage – Retail” subfolder, an
“Advisory” subfolder, and an “Estate Planning” subfolder).
Documents: In your filing cabinets, you file your clients’ documents in
the manila subfolders within the “hanging” client folders. In Docupace,
your documents are stored in the subfolders. For example, the
application for Jim Client’s brokerage account is stored in a
“Brokerage – Retail” subfolder in Jim Client’s client hanging folder.
Below is a graphical representation of the information just presented.
HOW TO SEARCH 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.
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There are four search types, which 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) in
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 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.
Search by Client Last Name
Use these steps to search by client last name:
1. Select Client Folder to be taken to the Client Folder search screen.
2. In the Last Name field, type in the client’s last name. Click the Submit button at
the bottom of the screen to initiate the search.
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All clients with that last name will display, as shown below.
3. If you have access to more than one rep code (Supervisor, admin, etc.), you may
also want to select the correct rep in the Rep field. This will narrow the results, if
necessary.
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4. 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.
5. In the example below, the Client has ten (10) Subfolders. To see the documents
that are associated with a specific Subfolder, click the Content link to open that
corresponding Subfolder.
Warning: 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.
6. Inside the Client’s Subfolder are the corresponding Documents and their indexing
information as shown below. 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, since it’s a PDF, 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
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problem if you try to click your browser's Back button. Use of some
browser's Back buttons can cause an error to display.
Best Right-click on a document's file type icon and choose the "Open in
Practice: New Window" option. This way you can close the window without
having to reinitiate your search.
Shown above: The Client’s Account Documents. After selecting the icon at the left of the
document, the viewer assigned to the Document type opens the document as shown
below.
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7. From here you can do any of the following:
 View the document.
 Email the document.
 Save the document locally.
 Print the document.
Combine Feature
To process multiple documents within an account simultaneously (view, save locally,
email, etc.), select the check box to the left of the file type icon for the various
documents. Click the Combine button. Docupace will then combine the images into one
pdf document for further processing.
Note: This action will not combine the images into a single record within
Docupace. Use the standard Adobe controls to process your item –
email, print or save a local system.
Using Predefined Search
You can do advanced searches by using predefined searches. You will find Predefined
searches at the various levels within a cabinet.
To use a predefined search:
1. For Example, at the Client Documents section using the predefined search,
Document Search, the standard search options change from the default client
document search fields to a mix of client document, client subfolder, and client
subfolder fields to provide broader results.
2. Select the information that is known and then click Submit. In the image below,
the search was done with the Account # (subfolder level) and Document Type
(document level).
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Note: This information is actually across two levels (document and client
account information) so the search gives you much broader capability
for searching a specific (set of) document (s).
3. The document and associated client and client account will display, as shown
below. If the search was not successful, you will receive a message, “No results
found. Please refine your search and try again.”
4. Click the PDF icon to view the document.
Note: You can use any information to search and retrieve a unique document.
For example, the use of just first name, last name, and document type;
also an example, you could select document type, account number,
and a date range.
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HOW TO USE CONTENT VIEWERS
After you have successfully navigated to a file, the icon at the far left indicates the file
format as shown below:
Icon
File Extension
Program Name
.pdf
Adobe Reader
.doc, docx
Microsoft Word
.jpg, .gif, etc.
Pictures, Photos, Emails
.xls, xlsx
Microsoft Excel
Other
Emails, Tiffs, AutoCAD, PPT, etc.
Depending on your user security, there may also be other selections available like
Barcode, as shown below.
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).
Sign: Client Signature (may not be available, depending on the BD).
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When you select a file's icon, the file opens automatically with the appropriate viewer in
a new dialog box. The options available to you depend on whether you have Adobe
Acrobat or Adobe Reader, as shown below.
Acrobat
Reader
While in the PDF viewer (shown above), you enjoy the same controls you would as
opening any PDF document. You can:





View the document.
Save the document to your local folder.
Email the document.
Fax the document (if you have a fax server).
Print the document.
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Note: 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 your local system, the document will
open in its native viewer.
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 the Edit link to open a file as shown below.
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 below.
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 below. If you select an
earlier version, that image will then appear on the right side of the screen.
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Note: The current version always displays first on the edit screen.
EXERCISE: RETRIEVING A CLIENT DOCUMENT
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 you are still just looking to find a client, return to the Client
Folder and click Submit with no entries in any of the fields. 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.
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WORKFLOW
The workflow is the backbone of the ePACS system. To put workflow into a visual
perspective imagine the following scenario in a paper world:








A work order is faxed into the mailroom of a facility.
The processor reviews the document and places the document in a Manila
envelope. On the outside of the envelope are the instructions of who it should go
to and what the processor should do.
A worker takes a batch of these “work items” and distributes them within the
organization.
The processor receives the Manila envelope and reads the instructions provided
to him. He opens the work item and reviews the documents.
If an additional user needs to review the information, the processor places the
documentation back in the envelope and puts the new user and related work
information on the envelope.
A worker picks up the envelope and delivers it (routes it) to the new user.
The new user reviews the trail of information on the envelope, opens the
document, and completes the process.
Once completed the user places the documents back in the envelope and sends
the work item back to the mailroom for filing.
The above example illustrates how a workflow might have occurred prior to
sophisticated electronic workflow. Docupace has effectively automated all workflows for
financial service organizations – from new account openings, to cashiering, to
maintenance.
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MY DESKTOP
Now we will start reviewing the features in the system. As discussed earlier, when a
user first logs into the system, they will be directed to the My Desktop. The My Desktop
is the virtual inbox of all work items that an advisor might have open for processing.
There are various sections within the My Desktop that you will need to be comfortable
with, including the:




Tasks Bar
Request Types
Tasks
Get Task From Pool
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Tasks Bar
There are 3 different sections within the
task bar on the left side of the My
Desktop section:
I.
Tasks
II. Search by Folder
III. New Process
I. Tasks
On the left side of the screen are the various Tasks that an Advisor might have for
processing scanned work. There are three potential tasks (groups) of work items a user
will manage:
1. Mailroom/Mailroom Request: Documents that are unindexed and do not have
any work item information (request type) are sent here. The “Mailroom” is the
advisor’s virtual mailroom for processing.
2. ePACS/Advisor Review: Documents (in a work item) that have been assigned
the proper back office or field office designation (Request Type) are located here.
From this location, fully indexed documents are submitted within the work item to
the back office for processing.
3. ePACS/NIGO: Work items (with documents) that have been Nigo’ed by the home
office or by the Advisor’s OSJ/Supervisor sit in this area. They will require some
additional effort by the advisor to complete the request.
Each of these work item areas is called a Task Queue, since these are the
queues where work items may accumulate for processing. All documents are
indexed and processed within one of these three task queues.
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II. Search by Folder
This feature is available if you have many open items and need to search by a specific
account or piece of info. This will most likely not be used by the field.
III. New Process
Though the majority of work items are created using barcodes (which will be
automatically created), users can create their own work item using this feature. If they
create a work item “on the fly” or as a new request, most likely they will be attaching
records (a document folder and one or more documents) that are already on their
system.
Request Types
The request type is the critical identification of a work item, as it will determine how a
work item is routed/processed. In most cases, when indexing the work item, this is the
only field on which an advisor will need to focus. The primary request types/groups a
user can select are:






Advisory.
Alternate Investments.
Cashiering.
Insurance.
Maintenance.
New Account.
*There are sub-requests within each of these groups and the field will provide a more
detailed explanation of each should they choose to re-index.
Tasks
Depending on the Task Queue in which you are processing the work item, when you
open the work item you will see on the left-vertical toolbar a fixed set of actions the user
can apply to complete the task. The objective of having these tasks preset is to help
guide the advisor through the processing. Depending on the task, an advisor will have
only so many choices on how to process the work item. This not only helps the advisor,
but ensures that work items are processed in a consistent fashion throughout the
company.
Example of specific tasks for a Mailroom work item:
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Get Task from Pool
Tasks associated to work items are usually first created in a virtual holding area called a
“Pool.” Within the pool are work items that are unassigned to anyone. You will see the
button appear in the example below including:
A. Number of Work items (out of total available) that are actually in your open work
items group (i.e., your virtual queue).
B. Number of Work items that are in the pool waiting to be selected for processing.
On selecting the button, Get Task From Pool, the system will pull the next work item
available and place it in your Work Item inbox (Tasks). The result, in the example from
above, is that the Get Task From Pool button is no longer displayed (because there are
no items in the pool) and the work item has now been assigned to you and is now
visible in both the results screen (right side of the screen) and in the task bar (left side of
the screen).
Also, since there are no more work items in the Pool, and the two mailroom requests
are now assigned to you, the counts reflect that out of a total of two work items currently
open for processing, both are assigned to you.
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WORK ITEM INFORMATION
Work Item Results
For each work item, information is presented in the results bar. This information should
provide the user with the necessary information to assess the appropriate work item to
select. The various pieces of information include:
A. Links
a. Contents: Selecting this opens up the specific work item for processing. A
user can either edit the work item itself or the documents within the work
item.
b. Edit Folder: This gives the user the chance to edit the client/account
folder information. This does NOT edit the work item. The user will need to
select the Contents link first in order to edit the work item.
B. Request #: Each work item will have its own assigned WI request number.
C. SLA Start (Service Level Agreement): When an item is submitted to the back
office for processing, the SLA start time begins.
D. Task Name: This identifies which task queue the work item is currently in. In the
case of an advisor, it will only be in Mailroom Queue, Advisor Review Queue, or
NIGO Review Queue.
E. Validation Message: If the work item has any issues, a message will appear
here to guide the rep on how to fix the work item.
Note: Indexing and processing of Work Items will be covered further in the
Indexing chapter.
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SCAN/CAPTURE
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 Word and Excel files, 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.
Because Docupace users require training to learn the capture, processing, and retrieval
of file information, most companies set controls on who is allowed to do which
Docupace functions. This is achieved by designating select personnel for Docupace
training and document handling.
In this section, you will learn about:



Features
Scanning Files
Scanning/Capture Methods
FEATURES
Capturing information (primarily using the scanner) can mean many different things
within Docupace. This chapter will cover the various approaches to place the records
into the system (scanning or uploading). This chapter will also review the workflow item
processing that will guide the advisor as to where the records should go.
SCANNING FILES
Though scanning itself is relatively simple, there are many different approaches to
organizing the documents for scanning. We will capture the different methods in this
module, from the most simplistic to the more complex.
Indexing is, of course, the most important process within the system as it provides the
basic details for not only real time submission to the Back Office but also for logical
searching and retrieving at a later date.
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 or work item.
Docupace provides both manual and automatic indexing features via the use of
barcodes.
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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 preconfigured 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, rather than
scanning one document at a time, you can insert a document separator cover page
before each document in a batch then scan all available documents at one time.
Docupace provides several types of barcode features – some drive the workflow itself,
some will drive the individual indexing:

Request Type Coversheets (Workflow): When you place this on top of
document(s), this will drive some initial routing behavior as to which workflow
queue the work item will be sent.

Document Type Coversheets (Document): If the document itself does not have
a barcode, this coversheet generates auto-indexing of the document type
classification and may even eliminate the need for a request type coversheet.
Barcoded Documents (Document and Workflow): Many documents do (or
will) have barcodes on them directly. This eliminates the need for the Document
Type Coversheet. Depending on the document, this may also drive some routing
behavior – thus eliminating the need for a Request Type Coversheet.

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
Document Separator Coversheet (Document): This provides the user the
ability to simply split documents within a batch – without any auto-indexing. User
will need to index after capture in the system.
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
Document ID Barcode coversheets: These are coversheets that are unique to
a specific record in the system. This is generally used for updating an existing
image/record in the system (usually NIGO).
Note: Document-specific cover pages cannot be re-used.
SCANNING / CAPTURE METHODS
Docupace enables you to scan documents in multiple ways. The following scanning
methods are covered in this section:




Basic Scanning - Mailroom.
Scanning Into Advisor Review.
Adding a new Version of a Document.
Upload a Document.
Basic Scanning – Mailroom
The most basic scanning method is scanning a document to your virtual mailroom as an
Unindexed Document.
The Mailroom Queue is where unindexed documents and work items reside. In most
cases, documents that come through the Mailroom Queue are documents that will
simply be archived.
Scenario 1: Scanning a Single Document (NO BARCODES) into the System



User Actions
o Scan document.
o Enable File Uploader (if it isn’t already enabled).
Result: The document will be routed to the Mailroom Queue as a work item for
processing.
How does user get the work item: The user must click the Get Task From
Pool button for the work item and it will then appear in the user’s task list.
Scenario 2: Scanning Multiple Documents (NO BARCODES) in the System

User Actions – DocuScan
o Scan Document batch.
o Within DocuScan, use the Insert Separator Page button to auto split.
o Send documents via DocuScan.
o Enable File Uploader.
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

User Actions – Network Scanner
o Place Document Separator sheet between each document.
o Scan Document batch.
o Uploader (as a service) will upload the documents.
Result: The documents will be split up and routed to the Mailroom Queue as a
single work item for processing.
Scanning into the Advisor Review
The Advisor Review Queue is your final location prior to submitting your work item
information to the back office for processing.
From a scanning perspective, there are two ways to scan documents and have them
automatically bypass the Mailroom Queue:
1. Request Type Coversheets.
2. Barcodes on Documents.
In both cases, the system recognizes that these documents are to be processed for the
back office and therefore don’t need to start in the Mailroom Queue.
Scenario 3 – Scanning Using a Request Type Coversheet
Your BD has provided you with Request Type Coversheets that will be used to help
guide scanned documents directly to Advisor Review for processing.


User Actions – DocuScan or Network Scanner
o Place Request Type Coversheet in front of the document.
o Scan Document.
Result: The document will be routed to the Advisor Review Queue as a work
item for processing. The document will still be unindexed (same as Scenario 1
and 2) but the work item itself will be classified with the corresponding request
type also.
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Scenario 4 – Scanning Using Documents with Barcodes on them
Working with your BD, forms with barcodes can now not only assign the correct request
type (like Scenario 3) but do some auto-indexing of the documents themselves.


User Actions – DocuScan or Network Scanner
o Place documents together (each one that has a barcode on it).
o Scan Document.
Result: The document will be routed to the Advisor Review Queue as a work
item for processing. The documents will be split (if more than 1) based on their
document type/form name classification AND the work item request type will be
assigned. That is why they reside in the Advisor Review Queue.
Note: These are the primary methods for scanning. Advanced
barcode/scanning techniques are provided in the Appendix.
Adding a New Version of a Document
In many cases, you may be required to add a new version of a document (NIGO - add a
driver’s license, add SSN #, update New Account Form, etc.). To add a new version of a
document:
1. Search for and retrieve the document you want to scan a new version of.
2. On the folder header, select the Barcode link as shown below.
3. A new cover page will pop up as shown below (make sure your pop-up blocker is
disengaged).
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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.
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, Indexing). This would apply to documents
that are already electronic (PDFs or MS Word documents for
example).
Uploading a Document
There may be scenarios when you need to add a soft copy document (saved PDF,
Word Document, etc.). Though these documents will be indexed the same way, there
are different approaches to upload them into the system.


Place in Upload Folder.
Upload and index at the same time.
Place in Upload Folder – WI Creation
As discussed in the scanning and upload chapter, your Docupace system has been
configured with a “local” folder on your desktop or server to move documents to
Docupace.
1. Similar to scanning an image, you can save a file directly to your upload folder.
2. The document will be uploaded. It will be treated like a standard scanned image
and a work item will be created.
3. Index the document accordingly (to be discussed in next chapter, Indexing).
Upload Directly to Client Folder – Archive
If the document only requires archiving (fund statement, etc.), you will upload the
document directly from within the Retrieve screen. This will be discussed in the next
chapter, Indexing.
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INDEXING
When indexing in the system, there are two very distinct indexing groups:


Records – These could be client documents, account folders, client folders, etc.
Work Item – The “wrapper” with which the records are associated in order to
send the work information to the appropriate people for processing.
In this section you will learn about:




Work Item vs. Document Record(s)
Indexing Work Items
Indexing Records (folders, documents, etc.)
o WI Contents Indexing – An Unindexed Document
o WI Contents Indexing – A set of Unindexed Documents
o WI Contents Indexing – Documents that have Auto-Indexing
Uploading and Indexing a Document
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WORK ITEM VS DOCUMENT RECORD(S)
The work item is a critical component to the workflow within ePACS. The purpose of
indexing a work item is to define the item’s workflow path – who should review the item
and how it should be processed. Indexing the work item is how you make sure it gets
routed to the correct back-office department with the correct instructions.
Indexing Work Items
The majority of indexing at the work item level is done by the back office – not the
advisor. Advisors primarily need to determine where the work item needs to be routed.
1. Make sure the work item is in your Mailroom Queue (it may already be there or
you may need to click the Get Task from Pool button). Click the Contents link
to open the work item “envelope.”
2. Depending on the work item’s queue:
a. Is the Request Type indexed? Do I need to index it? (If archived, the
answer is no.)
b. Are there Error Messages?
c. Are the documents indexed?
d. Is the Client Folder or Subfolder assigned?
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In the example above:
a. The request type is set.
b. The documents are indexed.
c. The Error message is indicative that the client folder/subfolder information
hasn’t been indexed.
d. The client folder (at the work item level) or the subfolder (at the documents
level) is NOT indexed. This is why the error message appears.
3. To correct the work item, select the Edit link in the Actions Bar to open the work
item. The indexing template will appear.
4. The two primary fields an advisor should focus on at the work item level are the
Request Type (which drives the back office workflow the work item will go into)
and the Folder (which client/account do the documents/records belong in).
Actual changes to work items will be discussed further in this chapter.
WI Contents Indexing – An Unindexed Document
As reviewed in the scanning section, a document scanned in without any barcodes will
be captured as an unindexed document. An unindexed document can reside in either
the Mailroom Queue or the Advisor Review Queue.
1. When you find the work item to open, simply select the Contents link.
2. The contents of the work item will appear. In the example below, it is a single
unindexed document.
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3. The unindexed documents have some indexing characteristics that are autoindexed upon document capture:
a. Creation Date/Time when the document was scanned (date and time
stamp).
b. # of Pages of each document.
c. Document ID assigned to each document (serialized as they are
captured).
d. Batch ID that the document is associated with.
e. User who scanned and uploaded the document.
f. Confidential: Was this captured as a confidential document for the user?
4. Select the Edit link to the right of the PDF icon in order to start the process of
indexing the record. Both the indexing information (left side) and the document
image (right side) are displayed.
5. You are now ready to index the document. It is “unindexed” because, as shown
below, we currently have no indexing information (i.e., Client, Account,
Document, or Operation, etc.). It is the user’s job to now classify the record in
order to transition it from “un-indexed” to “indexed.”
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6. Open the Change [xxxxx] info: drop-down list at the top left of the page (see
above) 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 template is to Client Documents since the majority of your
imaging is focused on the Client information.
Depending on your company's predefined 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.
7. Now you can begin indexing the document by selecting the right values in the
fields in the template. Most fields are self-explanatory though more detailed fieldby-field review is available in the Client Document Indexing Appendix.
8. The first thing to do is link the document to a Client Folder/Subfolder. Click the
Add button to the right of the Subfolder field to begin searching for the correct
Client Folder/subfolder in which to place the document.
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9. You will be redirected to the search screens (as presented in the Retrieval
chapter) in order to find the right client folder/subfolder. As shown below, either
search with the default information or open the Predefined Searches drop-down
list 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
number, First Name, Last Name, TIN/SSN, etc.). Then click the Submit button.
The corresponding information displays as shown below. In this case, the search string
was simply the client’s name so his six accounts are displayed.
As shown above, click the radio button to the left of the desired client/folder line item to
display the appropriate index template for the document. The selected account will then
be assigned back to the unindexed client document record. Upon final submission, this
document will now be filed to the referenced client/subfolder (see below).
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10. You must now complete the indexing of the document record itself. Once
complete, click the Submit button. The file has now been moved from the
Unindexed Documents Folder to the Client Documents Folder.
11. Now that the documents have been indexed, the last action is to determine how
to close out the work item. Over in the task bar, the user has fixed selections on
how to process the work item:
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
Archive – This archives the work item.
You will archive documents that do NOT
need to be sent to the back office.
 Trash – If for any reason the work item
and corresponding documents are not
required, you can trash the work item
and it will no longer be available in the
system.
 Merge – If for any reason you needed to
merge work items.
 Indexed – If the document needs to be
sent to the back office, select Indexed.
The work item will not be indexed,
however, unless the user performs some
indexing at the work item level.
 Send for review – This escalates to
another processor at a higher level in the
workflow.
 Close – If you need to process the work
item at a later date you can simply close,
and it will be placed back in your queue.
12. Select the Task you wish to associate to this work item. If the needed information
is added correctly, the work item is complete and is no longer your current
responsibility.
WI Content Indexing – A Set of Unindexed Documents
If you have scanned multiple documents together (with document separator
barcodes/capability), a single work item is still created. Each document is individually
listed out in the associated work item.
If the records need to be archived to different client accounts:
1. Edit and index each document separately.
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2. Each document will move to the Client Documents section.
3. Once all documents have been indexed, select Archive.
If the records need to be archived to a single client subfolder:
1. Edit and index each document separately so they are moved to the Client
Documents folder.
a. Do NOT index the Client Subfolder when indexing the documents – only
index the document information.
2. At the work item level, select Edit to open the work item for processing.
3. At the folder field, select Add. You will search and index the client/subfolder
information exactly the same way you might at the individual document level.
Once linked, you will see the folder information appear within the work item.
4. Once you re-Submit the work item, you will see that all the folder information will
appear at each indexed document.
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WI Content Indexing – Documents that Have Auto-Indexing (Form Barcodes)
If a document has a barcode on it already, and the BD has identified that barcodes on
documents are configured for auto-indexing within the system, three things occur when
the document is scanned into Docupace:
1. The client document type and form name are auto populated for the client record.
2. The request type is auto populated at the work item level.
3. The Work item created (for which the document is associated) bypasses the
Mailroom Queue and goes directly to the Advisor Review Queue.
Below is an example of the result from scanning a document with a barcode on the form
itself.
The document has some information but, because this document is not linked to a
client/subfolder, it is considered “partially” indexed. The Request Type has been
indexed and the work item now resides in the Advisor Review Queue.
Uploading and Indexing a Document
As briefly referenced in the Scan/Capture chapter, uploading images from your
PC/Server is a common practice. In most cases, these documents will not reside in any
work item as they are for archival purposes.
1. Have the document stored on a local system (PC or Server).
2. Search for and retrieve the client/subfolder as reviewed in the Retrieve chapter.
3. Once you find the subfolder in which to place the document, make sure you
select the Content link to open up that specific subfolder.
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4. In the header section of the client documents, select the New button.
5. The standard double-paned indexing screen will display. The difference in this
example though is there is no image to view because we haven’t uploaded the
document yet.
6. Perform the standard indexing of the document (document, subfolder, etc.). At
the bottom of the indexing page, you will see a field called Image Content.
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7. Click the Upload button. Browse for the file you want to upload.
8. Attach the file and click the Submit button.
9. You will be directed to the document indexing screen and the message will
indicate that the “File is uploaded successfully. Submit to save.”
10. Click the Submit button. The record will be created and the image will have been
uploaded and associated to the record.
Merge Work Items
In some cases, you may realize that separately scanned documents (and, therefore,
separate work items) should be merged together as a single work item.
1. Note the work item ID of both the document that: a) you want to merge and b)
you want to merge into.
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2. Select the Contents link of the work item that you plan to merge. Click the Edit
link in the work item level to display the work item template page. In the Merge
into Request # field, enter the other work item number.
3. Click the Submit button. Click the Merge button in the task bar.
4. The first work item has now been merged into the second work item.
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Create a New Work Item within an Existing Work Item
When documents have been scanned into a single work item but need to be split as
separate work items for different processing (e.g., send to back office as separate
workable accounts, perhaps archiving some, and submitting others) follow the process
below.
1. Within the open work item, select the check box(es) to the left of the document(s)
you wish to split in order to create a new one. Click the Create WI button.
2. The work item folder template will appear. There is a new field at the bottom
referencing that a user can “Remove Docs from original WI.” It is selected by
default.
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3. The user can perform two actions from here:
a. Index nothing and click the Submit button. The document will be split and
a new work item will be created in the Mailroom Queue and placed in the
pool.
b. Index the Folder and the Request Type and click the Submit button. The
document will be split and a new work item will be created in the Advisor
Review Queue and placed in the pool.
Merging Documents Together within a Work Item
1. In some cases you may decide two (or more) documents within a work item
should be merged together. Select the check box(es) for the document records to
merge and click the Merge button.
2. The processing screen displays.
You have two items to select:
a. Document used as a source for indexing: You can select what
document ID record information you would prefer to maintain in the
merged document.
b. References to original documents need to be replaced: You can
merge the documents together and either retain the originals as unique
records or have them removed.
3. After making your selections, click the Submit button.
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4. The indexing screen will appear with the indexing template on the left side and
the merged documents for viewing on the right side.
5. Once you complete the indexing of the record, the new record (with a new
document ID) is created and the original records remain in the WI/request.
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UPDATING DOCUMENT RECORDS
Updating and modifying existing document records, both indexed and unindexed, may
need to be done for numerous reasons.
This section will cover the following:



Adding a New Image to an Existing Record
Check in / Check out
PDF editing
ADDING A NEW IMAGE TO AN EXISTING RECORD
It is not uncommon to receive and retain more than one version of the same file. In most
cases, when you receive a NIGO work item request, it means a form is missing
pertinent information. In that case, you will need to update the form and send it back
into the system for final processing. Docupace provides this "version control" capability.
1. Search for and retrieve the desired record. Select the check box and click the
Barcode button above the document records.
2. A barcode coversheet will display in a new browser tab.
3. Print the coversheet and place it on top of the updated document. Scan. Upload.
4. A new version of the document will be created. This has now been archived or
potentially updated for resubmission out of NIGO to the back office.
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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 a document to yourself:
1. Access a document by selecting the Edit link. Click the Check Out button and
click OK on the popup that displays, shown below.
2. Click the Submit button to access and modify the document. Make sure you note
the document number before leaving this screen.
3. The document will remain “checked out” by you, and by you, until you check it
back in. Other users that edit that record and will be able to see the image, but
will not be able to make changes and re-upload it.
Note: The Check-In button will not appear to users that have not checked it
out.
PDF EDITING
The Docupace system has an integrated PDF document editing capability that allows
you to make simple modifications to documents that have to be uploaded. This helps
you avoid the need to use a separate PDF editor. There are two sections for the 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.
2. The split screen displays the information template and the image in an Adobe
Reader format.
3. Scroll down to the bottom of the page, shown below. The following commands
are available:
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






Update Existing Doc: Provides 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.
o Pages: Use to define how the splitting will occur (by single page or
selected pages).
o Ranges: Use to define how the splitting will occur between specified
range(s) of pages.
o all: Use to rotate ALL pages of the document.
o Orientation radio buttons: Specify how the rotation will occur; Flip (180degree vertical), Right (90-degrees clockwise), and Left (90-degrees
counter-clockwise).
Sign: This is provided for Principals with digital signing authority. Those that do
not have that authority will not have this feature enabled.
Clear All: Use to reset the commands to start over.
Commit All: Once all commands have been defined, click this button to execute
the commands.
Transform Document Scenarios
The following examples will demonstrate the functionality of the features provided.




Scenario 1: A four-page document where the 1st page needs to be split from
pages 2 through 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.
Scenario 4: A four-page document where the 1st and 3rd pages need to be
separated from the 2nd and 4th pages.
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Scenario 1: A Four-Page Document Where the 1st Page Needs to Be Split from
Pages 2 Through 4
This document needs to be split at page 2, so enter "2" in the Split box.


Click the Commit All button and the screen will refresh as the command is
completed. Then click the Submit button on the document and two new
documents will display in the Account.
Note: If you do split the document, the original un-split 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. Select this because you do not want to
create a new version, you just want to update the existing one.
To the right of the Rotate field, click the small box (identified below) and new
Rotate screen displays. Enter the necessary information and click the Add
button.
The information will now display in the Rotate field (shown below). Click the
Commit All button and the screen will refresh and you will see the image
rotated.
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

Click the Submit button 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 and 4th Page By
Itself
In this case, you can enter “2, 3, 4” in the Split field and click the Commit All button, 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 the Add button as shown below.

Click the Commit All button and the screen will refresh. Click the Submit button
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 Pages
This is an example in which the Create feature should be used. Start with the original
document and click the Edit link.


In the Create field, enter “2, 4” and click the Add button.
Or, click the box to the right of the Create field. A new box displays. Enter the
pages in the open fields and click the Add button.
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


Click the Commit All button and the screen refreshes.
Click the Submit button on the editing page.
A new document will be created from pages 2 and 4.
Merge Into Selected Documents
This function allows you the take any document, or page within a document or cabinet,
select a different “destination document,” and copy it to the destination document.
Additionally, you can also remove pages from the destination document.
Note: Merging into selected documents is not the same as merging
documents within a work item, as discussed earlier.
Destination: Allows you to select the destination document for your merge.
Remove: Allows you to remove pages that you do not want added to the destination
document.
Copy: Allows you to copy pages from the edited document to the destination document.
Clear All: Removes any/all specifications previously entered. Allows you to restart a
search.
Commit All: Sets the process requested in the above fields into a command format for
review before clicking the Submit or the Cancel buttons.
Note: The new document created with this function will become the current
version of the destination document.
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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: The first page of one document needs to replace the 3rd page (page
3) of another document.
Scenario 1: One Document Needs to Be Added to another Document
1. Select the document you plan to merge by clicking the Edit link. Select the
Merge Into Selected Document tab at bottom of edit page.
2. Select the search icon, shown below, from the Destination field to search for the
document that you want as the Destination document.
3. Once you have found the desired document, select the radio button to the left
and the document ID will display in the Destination field.
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4. Click the Commit All button.
5. Review the information to process. Verify the information is correct and click the
Submit button.
6. The destination document will now have a new version of the document with the
added pages from the first document. Review the destination document and the
two documents will not be merged.
Scenario 2: The First Page of the Edited Document Needs to Be Added Into
the Destination Document after Page 3


Select the destination document you plan to merge by clicking the Edit link.
Select the Merge Into Selected Document tab at bottom of edit page.
Select the search icon, shown below, from the Destination field to search for the
desired document.
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
Select the search icon, shown below, form the Copy field. Enter “3” in the Insert
after field and enter “1” in the Pages field. Click the Add button.

Click the Commit All button. Verify the information is correct and click the
Submit button.

The destination document will have a new version of the document with the first
page of the first document added to the destination document.
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Scenario 3: The 1st Page of One Document Needs to Replace the 3rd Page
(Page 3) of another Document


Click the Edit link to open the document. Click the search icon in the Destination
field to search for the desired document from which to extract the page that will
replace the third page.
Click the search icon in the Remove field and enter “3” in the Pages row. Click
the Add button.

Click the search icon in the Copy field. In the Insert after field, enter “2”, as
shown below. Then, in the Pages row, enter “1” for the page you want to replace
with. Click the Add button.

Click the Commit All button.
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
Verify the desired settings are correct and click the Submit button (not shown,
above the Transform Current Document tab).
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STARTING POINT
SETUP – FORMS REPOSITORY
Docupace has partnered with Quik (www.quikforms.com) to provide you the Starting
Point forms repository.
When signing up with Docupace, each office entity (or BD) will be required to select the
appropriate sponsor/custodian forms they wish to have access to. Should they simply
request “all” in the repository, they can also do so by letting Docupace know.
SETUP / REQUIREMENTS (USER)
Adding Client Data
Though not a requirement for day-to-day work, the ability to pre-fill your client forms is a
significant time saver, both from a labor-based perspective and a NIGO reduction
perspective. Therefore, having client data readily available when launching/opening the
forms for the auto-filling process is recommended. There are different ways a rep may
store client data for the express purposes of forms auto-filling within Starting Point.
Client data can be stored directly within Docupace or from within a Docupace partnering
Client Relationship Management (CRM) system.
1. Docupace: Inside the Client Folder section within Docupace, the primary client fields
for form auto-filling are available. When setting up these values in Docupace, there
are two methods a rep can add their client data capture:
a. Manual Indexing: Adding the client data directly into the Client Folder as the
clients are added into the system (or at a later date)
b. One-Time Client Data Upload: A rep can use a client upload
template/spreadsheet to consolidate the client data before uploading into the
system automatically. This spreadsheet will be used primarily when a rep has
a 3rd party system where they can easily export the necessary data to the
spreadsheet.
2. CRM Solutions: Docupace partners with various CRM companies to support
launching Docupace directly, from within the CRM solution. As the rep’s primary
source of data, this is a key component.
a. Current partners include:
 Redtail
 Salesforce.com
 Smart Office (Ebix)
 Pareto
CRM Configuration/Setup
1. Setup:
a. CRM Add-in: If the rep is using a preferred CRM partner, they will need to
launch a one-time application to associate the CRM to Starting Point.
 Within Docupace, go to Administration > Utilities > Starting Point.
 Select “Install CRM Add-on”.
 Once the add-on has been installed, you will get a confirmation message.
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
Note: Not required for Docupace Salesforce AppExchange Application or
Pareto.
b. Enable/Locate Quik/Starting Point link in CRM: Consult with the CRM vendor
(or Docupace) to make sure Starting Point can be launched directly from
within the CRM system. This may be an icon that launches Starting Point or a
direct link. Each CRM vendor behaves differently.
Setup of User Access – Docupace
You will need to make sure your user access is setup correctly. This can be done in the
User Access section in your Administration panel (Administration > List Management
> User Access). Select submit to generate the results of your personalized user access
record.
Ensure you have the Auto Assign to Creator dropdown set to ‘Yes’ as shown below.
This is required and, if NOT set up, work items will be sent to the user’s pool and they
will need to select the “Get From Pool” feature to retrieve the work item.
HTML 5 Forms Viewer
Starting Point utilizes an HTML 5 Viewer to edit forms instead of Adobe Reader.
However, Adobe Reader is still required in the core ePACS application.
Note: If using Internet Explorer, version 10 and higher is required. All other
browsers do not have any HTML5 limitation.
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ePAD: Topaz Configuration (Optional)
Pursuant to BD/Custodian approval, reps can leverage electronic signatures within the
dashboard. Docupace has partnered with Topaz for electronic signature pad integration.
Once the Topaz drivers are installed and Adobe (Acrobat or Reader) is configured. If
you haven’t already purchased a signature pad, they can be ordered at
www.ctiprimestore.com/docupace.
Please find the separate setup guide for installing/configuring Topaz. Reminder, this
feature is only available if approved by the BD or Custodian.
eSign: DocuSign / SIGNiX Configuration (Optional)
Similar to Topaz, pursuant to BD/Custodian approval, reps can leverage digital
signatures within the dashboard. Docupace has partnered with DocuSign
(www.DocuSign.com) and SIGNiX (www.SIGNiX.com) for digital signature capability.
Please find the separate setup guide for installing/configuring DocuSign or SIGNiX.
Reminder, this feature is only available if approved by the BD or Custodian.
THE DASHBOARD – FEATURES
Launching the Forms Wizard/Dashboard
There are three different methods of accessing the Forms Wizard/Dashboard. All three
methods are detailed below.
I. From within Docupace Application
This will launch the main Starting Point repository. From here you can perform a simple
search-and-retrieve of any form(s) in the repository. Once open, the user can either
print and write in information; or auto-fill electronically and then print. Note: This will
NOT create Work Item(s) in the system; this method is exclusively for blank form
viewing or downloading/printing.
a)
b)
c)
d)
Go to Administration > Utilities > Starting Point.
Select “Starting Point”.
The forms dashboard will appear.
Selecting any form (double click) will open that form. It can either be
electronically filled out; or printed and manually filled, as required.
Note: You cannot populate forms from this action.
II. From within Docupace (Client):
a. From the main results page: If your search results provide you a list of multiple
clients, you can select the specific client (enable check box) and then select the
Starting Point button.
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b. From within a specific client Record: Launch directly from within the client folder.
In both examples, the dashboard will then open and the selected client information (that
is currently inside the Client Folder) will be used for all selected forms population.
III. From CRM
Starting Point will not launch unless the CRM Add-on has been installed first (as
reviewed in the Setup section above). For Salesforce and Pareto (below), the CRM
Add-On is not necessary.
Redtail
Once you’ve identified the client you will open the forms for, select the Send to Quik!
Forms link. Starting Point will open.
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Salesforce
Once you’ve identified the client you will to open the forms for, select the Docupace
Starting Point button. Starting Point will open.
Ebix SmartOffice
Once you’ve identified the client you will to open the forms for, select the Quik icon in
the integration toolbar area. Starting Point will open.
Pareto
Within the account contact, simply select Starting Point in the Common drop down area
and Starting Point will automatically launch within the frame.
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Dashboard Overview - Boxes/Panes
Within the dashboard, there are 3 different vertically aligned boxes/panes on the left
side of the screen that are shared with one large pane on the remainder of the screen.
Accessing each of these panes will trigger events/outputs on the right side pane:
1. Current Request – When selecting a
specific task/work item within the
Outstanding Tasks section, the selected
work item is presented within this pane.
All forms within the work item are
itemized below within the folder. Select a
specific form will then make it visible on
the results pane. When a new request is
created, it will also immediately appear in
this section.
2. Outstanding Tasks – Tasks represent
all the open tasks the rep currently has
access to. These tasks represent all open
work items associated to the rep.
3. Cabinets / Forms – Forms repository.
When selecting the Forms folder, ALL
forms will be presented on the right side
viewing pane. Users will be able to use
filtered searches to narrow down the
number of forms showing in the results
pane. Users will be able to create their
own favorites folders.
Forms Repository
When selecting the Forms folder within the Forms Cabinet, the entire list of forms is
presented in the results pane (right side of the screen). In most cases, a rep may have
thousands of forms to navigate. Along the header of the results pane, there are
available columns of information and their filtering capabilities. Use the Filter button, the
funnel shaped icon in the top right of the bar, to apply various filters to the results below
the bar.
Form Author – Provides the formal form name as presented by the sponsor company
or your BD.
Form Name – List of all forms in the repository.
Form Type – Main types of forms such as New Accounts, Account Transfer,
Transitions, etc.
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Form Category – Details within the various account types.
Form Description – Details the specific intents of the form.
Form Number – Identifies the specific form.
Form Provider – Identifies if the form is part of the Quik repository or a private form.
Additional Features:
-
If you click on the header the values within that column will be sorted
automatically from A to Z. Select it again and they will re-sort from Z to A.
- Right Click on the Header and you will find additional features to choose from:
1. Sort Ascending – Sort
values A -> Z
2. Sort Descending – Sort
values Z -> A
3. Configure Sort
4. Auto Fit All Columns –
Justify for longest value in
all columns
5. Auto Fit – Justify for longest
value in a specific column
6. Columns – Select which
columns you want visible
(by user)
7. Freeze Form Name – this
freezes the column simpler
to how you can freeze a
column in excel
Actions Toolbar
The actions toolbar provides the guidance of what a user can do with the forms once
they are selected. Note: Depending on the system deployment (by client), the
actions/names may change on the toolbar.
Create Request – Once you’ve located the forms you want to compile, select this
button. A simple wizard will appear to help you build your Docupace client subfolder and
associated work item. The forms will then generate and the Work Item created will be
displayed (in Current Request pane).
Attach File – Search, retrieve, and attach a file from your local system to add into the
current request. This could be a PDF, Word document, Excel spreadsheet, etc.
Actions (Select the down arrow for the following selections) Note – actions for different
sites may vary.
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-
-
-
Save all forms – Save forms in
request.
Print Selected forms (+
barcodes) - If you choose to print
the forms out for wet client
signature. Select this link. It will
print both the forms AND the
accompanying barcode
coversheet. When scanning the
documents in after signature, you
will place the coversheet on top of
the corresponding document. The
document will rendezvous with the
record information/WI in the
system.
Generate Account # (Future
release. Configuration required.)
eCheck – Launches RemitPro for
check scanning (Configuration
required).
Open the Account – Opens the
account with the clearing firm
associated to the work item.
(Configuration required, if
available).
Send for Review - WI submission
action (subject to change per BD)
Remove - WI submission action
(subject to change per BD)
Archive - WI submission action
(subject to change per BD)
Pend for eSignature - WI
submission action (subject to
change per BD)
Launching Docupace
If you’ve launched Starting Point directly out of CRM, you may not have accessed the
core Docupace application. To launch Docupace out of the dashboard, you can do so
by selecting the dropdown located in the upper right hand corner within this link (shown
below). You can select where in Docupace you wish to be routed: My Desktop, Retrieve
or Administration. This button is located directly below the selected client name
(described below).
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Client Name
Whether you launch from a client folder within Docupace or from CRM, the client’s
name will appear in the upper right hand area of the toolbar (shown above). This will let
the rep/user know that any forms that are opened in this session will capture that
specific client’s information.
Favorites Folders
Each user has the ability to create personal folders to store forms that are used on a
regular basis. These favorites are set up in the Cabinet > Forms section (3rd pane on
the left side, bottom left corner). In some instances, a user may simply want to have
some forms readily available. In other instances a rep may frequently open accounts,
for example, that are American Funds, Individual, IRAs. A user has the ability to search
and retrieve those required forms and place them in their own personal subfolder within
the Forms repository. Within the Cabinets > Forms pane on the left side:
1. Right-click on the Forms folder. When you do this you will see the following popup
menu with three options, New, Edit, and Delete.
2. Select New to add a new folder.
3. Type in the name of the folder desired. The subfolder will be created.
4. Search for the appropriate forms. Drag and drop forms from the forms library into the
newly created subfolder.
Note: You can create as many folders/subfolders as you’d like. These are filtered by
user.
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5. To access them, just click on the folder you need and it will list the forms that you
have placed in it. Any time a user opens that folder now, those specific forms will
appear.
Current Request Indexing
If the rep needs to update the indexing of the records or WI information for a specific
request, they can do this from within the dashboard.
Edit the Work Item
At the Request/WI, the user can edit the Work Item information or the Client Subfolder
information associated with the WI.

Right-click and select “Edit Work Item info” to display the Work Item screen.

Select “Edit Subfolder Info” to display the client subfolder indexing screen.
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Edit the Form/Document
Right clicking on a document gives you other options, shown below, that include:



Sync from Existing Form

Edit Document Info

Edit Subfolder Info

Edit Form

ePad Sign Form

Print Form (+barcodes)

Delete Document
How to “Sync from Existing Form” is covered later in this guide.
Similar to editing the Client Subfolder, if you select “Edit Document Info”, the
document indexing screen displays. Click Submit to complete the task.
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



If you select “Edit Subfolder Info” subfolder indexing screen displays. Click
Submit to complete the task.
If you select “Edit Form” a separate window opens with the form. You can
add/delete text and, add text stamp, and save the form.
If you select “ePad Sign Form” the Topaz signature pad can be used, which
requires configuration. See the Topaz Setup Guide.
If you select “Print Form (+barcodes)” a separate window opens with the form
and a barcode coversheet.
Note: Prior to selecting “Print Form (+barcodes)” all documents should be
indexed before this action can happen. You can also manually add
information with ink afterward.

If you select “Delete Document”, a popup window appears. Select Yes to
confirm deletion of the document; select No to cancel deletion.
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Deleting a Work Item from Starting Point
Though there are significant limitations regarding the deletion of records in Docupace
for compliance reasons, we have enabled the ability for you to delete completely
unused/unindexed kits. The fixed rules to work item kits that can be deleted include:


No document in the kit can be digitally signed.
No document in the kit can have a new uploaded version – no scanned or
uploaded version.
If either case is not satisfied, Docupace assumes this is a processed document and,
therefore, is subject to standard compliance retention requirements and cannot be
removed. To delete a Work Item:
1. Create the Request (kit) as normal.
2. Assuming no documents have been updated (signed or scanned), select the
Remove or Trash button (depending on the site).
Notes:
1. Should a document be updated (signed or scanned) and you try and remove it, you’ll
receive the following error.
2. Not all sites have this configured. You may need to contact Docupace to determine if
it is or not.
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How to Sync Forms in Starting Point
Follow the steps below to sync forms in Starting Point.
1. After creating a request – choose a form in the field that you want to populate from a
form that you have previously saved for that same client and then right click on that
form.
2. Select Sync from Existing Form.
3. A window will display. To sync forms within the same account or request, you must
un-check the “Show same forms only” check box (checked by default). *
Note: If the form selected for syncing was not previously saved for the same
client, no forms will appear unless the Show same forms only box is
un-checked.
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4. By default, the window will show the same form(s) as the one from which you
selected to sync and will contain changes you have made and saved to that form.
5. Select that form and click OK. A popup will display a message letting you know you
have synced successfully, as shown below.
*Note: Going back to step three, if you want other forms (aside from the one
that you are working on) that you have previously made and saved
changes for under that same client, uncheck the box in that says
“Show same forms only”. When you do so, all forms you have saved
will appear; you can select any form and proceed to step 5.
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Note: Starting Point is utilized somewhat differently between the Docupace
retail solution and a customized solution offered by a Broker Dealer
customer. We will review both approaches depending on the audience.
The retail solution is an out-of-the-box solution. Should you be
associated to a Broker Dealer, please see the section further below.
RETAIL CLIENTS ONLY STEP BY STEP EXAMPLE – CREATE A WORK
ITEM/REQUEST
The following method for using Starting Point is used by retail clients, as the request
and the forms are directly linked to a specific client. This method begins with selecting
the forms for the client and then launching the Start Wizard.
You can launch either from Docupace or from CRM as discussed above. For this
example, we’ll launch directly from Within Docupace.
1. Locate the client for which you are preparing to process work.
2. Select the Starting Point button at the top of the client folder or subfolder, as
described above in “Launching the Forms Wizard/Dashboard”.
3. The Starting Point dashboard will automatically open.
4. Locate the forms that you wish to open by highlighting each record (Ctrl + Select if
more than one). You can also pull the forms out of a saved subfolder, or Favorites
Folders, as discussed above. The subfolder of forms packets (or favorites) is saved
in the Forms Cabinet.
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5. Select Create Request (upper left corner, shown below).
6. The Start Wizard appears (wizard may vary based on site).
7. These fields represent fields in the Client Subfolders within your Docupace system.
Once these are filled out and the user clicks the Next button, the selected forms will
automatically be assigned to the client’s newly created account subfolder in addition
to being attached to a work item for processing. The first four fields must be
populated or an error message will display. Fill out the following information:
I.
Transaction: New Account or Maintenance
II. Custodian/Vendor (for Brokerage, select the appropriate clearing firm. Same
applies for Direct)
III. Product Type
IV. Registration Type
V. Account Service / Account Option: Do not use. N/A.
8. Click the Next button.
9. A new request will appear in the Current Request pane. The form(s) selected will
appear within that WI/Request
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10. To update the WI/Request, click the form(s) under the corresponding request; the
form(s) will display in pane to the right. From here, the HTML 5 viewer, you can
update the form and add any additional data. You can edit each form and any
updates to the forms will be saved when you select the Save button (on the top right,
shown below).
Note: To close the individual form tabs that open within the right pane, click
the icon to the left of the tab title (shown below).
11. Once your forms have been updated, you will make a decision regarding options for
client signature (Pending BD approval). You may:
I.
Print and Sign and scan back in (assumes that forms may or may not be fully
filled out. If not, rep will manually add changes on paper).
II. Electronically Sign using Signature Pad (assumes forms are fully filled out).
III. Electronically Sign using remote signature capture (assumes forms are fully
filled out).
I.
Print and Sign (and Scan)
In Actions, select Print all forms (+barcodes).
The computer’s print function appears and you can select the pages to print, which will
include the forms and their corresponding barcode coversheets.
1. Once the client and rep sign the forms, place the corresponding barcode
coversheet on top of each document.
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2. Scan.
3. The signed (and now scanned) forms will rendezvous to their pre-built/preindexed location in the system. They will appear in the Pending Advisor Review
queue within that WI. The documents will also be correctly indexed to that
client/subfolder.
4. Submit for review, as required.
II.
Electronically Sign using Signature Pad (Topaz pad attached to PC)
1. When client comes into the office, or a rep meets the client with a laptop, select
the already created WI request packet.
2. Right-click each form in the Current Request pane and select ePad Sign Form,
as shown below.
3. In each sign field on each form, place the mouse and left click. The sign box will
appear.
4. Have the client sign in those locations. The rep also signs in correct location.
5. WI is submitted.
III. Electronically Sign using remote signature capture (DocuSign or
SIGNiX)
1. To initiate electronic signature, click the eSign button, shown below.
2. Review eSign guide.
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Note: Starting Point is utilized somewhat differently between the Docupace
retail solution and a customized solution offered by a Broker Dealer
customer. The guidance below is for Broker Dealers ONLY.
BROKER DEALER ONLY STEP BY STEP EXAMPLE – CREATE A WORK
ITEM/REQUEST
This method for using Starting Point utilizes the forms matrix to create a request first
and then link it to a client.
1. Login to your site, launch Starting Point.
2. The new Account Starting Wizard will automatically appear.
3. Select the appropriate Transaction, Vendor/Custodian, Product Type, and
Product Name, from the corresponding dropdown menus. Each BD solution may
vary. Click the Next button.
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4. The Starting Point Dashboard will launch. The newly created request is displayed
in the Current Request pane.
5. Click the form(s) under the request and review/fill out the information as required.
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6. Fill in the fields as required.
The Dashboard Forms Sidebar
A new feature to Starting Point is the Forms Sidebar. The Forms Sidebar can be
toggled on/off (identified by the arrow below, left) and displays either thumbnails of the
form pages or, with configuration, Form Validations required for that form (shown below,
right). This feature is not generally available as it requires configuration by the Broker
Dealer (BD). If your BD is not using the form validations yet, you will not get messages.
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Form Validations
Form validation provides BDs with the ability to control what an advisor must fill out in a
form before it can be completed. This should provide significant improvement on NIGO
(Not In Good Order) rates for advisors. Managed by an administrator, BDs can now
configure their electronic forms to provide advisors with guided instructions (warnings)
to make sure they completely fill out a form (as shown above, right). Forms validations
are subject to the design of the BD system.
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TROUBLESHOOTING/FAQ
1.
No forms are showing up at all in the repository
User may not have been setup correctly in User Access to be assigned to the
associated entity. Please contact Docupace support for assistance
2.
Work Items are not showing up in the Pending Advisor Review Workflow
queue
It is possible they are in the user’s pool rather than directly in their queue. In the
Outstanding Tasks pane, right click on the folder and select ‘Get From Pool’. The
WI will then appear in that folder. Another way to verify if the WIs are in the pool,
is to access Docupace directly and open the Pending Advisor queue. If you see
there is a pool available, you can get the task directly also. If there are no work
items here either, please contact Docupace support.
3.
Select eSign and nothing happens
This could be one of a few things: First, make sure you have your signature
access correctly set up in user access. Second, make sure your user/site is
correctly configured for eSign. Consult Docupace support.
4.
How does the PDF Plug in work, should I prefer to use that versus the
HTML 5 viewer?
In the upper right-hand corner of the Starting Point forms pane is the PDF icon
(shown below). Another window will open when you click the PDF icon.
To save any changes to the file, click the Submit icon in the top left of the form
(as shown below).
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5.
How can favorite form packets be made public to all users?
If this public folder needs to be shared, the data role admin from that entity must
set up a public folder. The folder MUST be titled “Public” and spelled exactly as
shown. The favorites folders must also be subfolders, hierarchically, of Forms >
Public, as shown below.
Note: This is an administrative function to be done by a broker dealer and is
NOT intended for the field user.
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ADVANCED WORKFLOW FEATURES
This chapter will cover the various features available within the workflow component of
the system.
In this section you will learn about:


Workflow Monitor
Searching for Specific Work Item(s)
WORKFLOW MONITOR
The workflow monitor provides the user a snapshot of all open work items within their
view. This includes not only work items that they’ve created but other work items of
users within their office group (entity).
When selecting the Monitor tab
the Monitor section.
on the top of the main page, the user is directed to
On the left side of the screen you have Search capabilities, which provide the different
searching scenarios for work items. On the right side you have the Results based on
those searches.
As referenced earlier, the primary Work Item queues (which are parts of workflows) for
a field user are the Mailroom Queue and the Advisor Review Queue. These work item
queues are part of larger Workflows (e.g., Mailroom and ePACS).
Within the Monitor, you search within the work flow queues using the Workflow drop
down list. The number of workflows may vary by BD.
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After selecting the Workflow you want to search within, click the Submit button. The
system will display all active work items that the user has access to view.
In this example, the user searched for all work items in the Mailroom workflow. The
results from that search appear.
Important fields are:






Creator – the user that actually scanned the images and therefore created the
work item.
Validation Message – Provides error messages, if any.
Node Name – the specific location within the workflow.
SLA Start – The date/time when the work item was officially created.
Request # – The Work Item ID.
Assign To – The actual user that the work item has been assigned to. From a
management perspective, this is a great feature because the user can identify
who is managing the work item at any given time.
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When you first select the workflow queue you wish to search in, all the various “stops” in
the workflow (i.e., individual nodes) appear as shown in the Tasks field below.
If you want to search a specific workflow stop (node), select the specific line from the
Tasks field and then click the Submit button. If you click the Submit button with all the
stops (nodes) auto selected, you will get the results of all work items, regardless of
location, within the workflow. To search more than one specific node, Ctrl + left-click to
select each one in the Tasks field and click the Submit button.
SEARCHING FOR SPECIFIC WORK ITEM(S)
Like searching with the Retrieve part of Docupace, you have the ability to search for
work items across different pieces of information such as:




Work items within a specific node (referenced above).
The user the work item is assigned to.
The work item number.
Client/Account information.
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Searching for WI by User (A)
If you have the pertinent information (work
item ID, client name, account number, etc.)
you can do defined searches for work
items in the system.
Select the workflow you want to search
within from the Workflow field. The Tasks
pane (below the Workflow field) will
cascade based on which workflow is
selected. In the Tasks pane, all nodes in
the workflow are selected by default but
can be individually selected. Click the
Submit button to view all active work items
in the workflow.
Searching for WI by User (B)
Type the user ID in the Assign To (User
ID) field and click the Submit button. All
work items assigned to that user will
display.
Searching by Item Number or Other
Client/Account Information (C)
Select the binoculars to the right of the
Folder box. A new screen will display. This
screen will give you various search fields to
choose from. A field for Work Item ID is
within the search criteria. Enter the work
item ID and click the Submit button.
Provided the work item is active, it will
appear in the results. Select the box to the
left of the results and the work item will
appear in the Folder box. Click the Submit
button and the work item will appear in the
results section. Then you will be able to
check the active status of the work item.
Searching by Client/Account Information (D)
You will search the same way as in C, above, by selecting the binoculars to the right
of the Folder box. By selecting the predefined search of ePacs Work Item Search
you can search by client, account number, rep, or work item.
In the example below, the user is searching for all WIs associated to rep “057.”
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Note: Predefined Searches shown above are examples; each site is unique
and may not appear exactly as shown.
The results will display. Select the specific work item you are looking for.
The work item will appear in the Folder box. Click the Submit button to display the work
item. The work item will display in the results screen and you can see where the work
item is currently located.
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Reassigning Work Items (Depending on Role)
To reassign a work item from one user to another the processor can follow the steps
below.
1. Within Monitor, find the work item that you would like to reassign.
2. Select the check box to the left of the work item and click the Reassign button.
3. A screen will display that allows the processor to reassign the work item to
another user within the group. Or, the processor can select Return to Pool so
someone else in the group can retrieve it from the pool.
4. Once you complete the reassignment, the work item is reassigned out of one
user’s desktop queue to the newly assigned queue.
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Searching Work Item History
Each user has the ability to search for all work items, open and closed, that are
associated to that user either as a creator or processor. From the Retrieve screen,
shown below, click the link “Work Items” and search for a work item.
1. Use either the default search or select a predefined search from the drop down to
find your work item(s). The ePACS Work Item Search provides the ability to
search many different index characteristics to locate a work item: account
Information, client information, rep information, and document information.
Note: Predefined Searches shown below are examples; each site is unique
and may not appear exactly as shown.
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2. Depending on the search, the results could be extensive and you might need to
narrow down the search characteristics. In the example below the results show
one work item that has been completed – either identified by the request status
or the SLA Stop Time, which indicates that the work item is closed.
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ADMINISTRATION
Who uses these features?
All users have access to the Administration tab. There are some key features that all
users must incorporate when first using the system.
In this chapter you will learn about:







Personalize the Site – Dropdown Values
Search Preferences
Retrieve a Forgotten Password
Change Your Password
Reports
Barcodes – Document Separator
Barcodes – Work Item Separator
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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. Please
make sure you are aware of the users within your entity/group.
1. Open the Administration tab and, within “List Management”, select the
appropriate link for the field of values you want to add to. All the potential fields
should start with “Custom.”
2. Click the Submit button on the search screen. If there are values, they will
appear. If not, you will get a message that no results are found. Click the New
button to create new values.
3. Enter the new drop down value and click the Submit button.
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4. The new drop down value will now appear in the Search and Edit Screens.
Note: 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 documents are still attached, you will get an error
message.
SEARCH PREFERENCES
When first entering the system, you have the ability to determine which Predefined
Search you would like to start with.
1. Locate Search Preferences by going to Administration > User Setting and select
the link for Search and Sort Preferences.
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2. You will be presented with the search screens you manage (each site may be
different).Select the search screen drop down for that specific edit screen.
3. Once you have made your changes, exit the system. On your next login, your
“default” searches will appear when you enter the search screen.
RETRIEVE A FORGOTTEN PASSWORD
Users can retrieve their password via email by entering their user ID and email address
on file with Docupace.
1. From the Administration page, select the Forgot Password link under User
Settings.
2. Enter your user id and email address, then click the Submit button (shown
below).
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3. You will receive an email containing you password when you see the message
below.
CHANGE YOUR PASSWORD
To change your password:
1. Access the Administration page and select the Change Password link under
User Settings.
2. In the Old password field, enter your current password. Enter your new
password twice, in the two fields below.
3. Click the Submit button when you have entered the correct information. Click the
Reset button to clear all fields on the screen.
Note: You cannot alternate between a few passwords. Each new password
cannot be similar to the previously entered 6 passwords.
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REPORTS
To run reports:
1. Access the Administration page and select the Reports link under Utilities.
2. The Reports page will display in another browser tab.
3. Reports are separated into groups of reports, which are listed in the left column
under name in the above image. Click the report group name to display the
individual reports within the group.
4. Click the individual report desired to generate that report. Each report can be
exported in various formats including Excel (XLS), CSV, PDF, HTML, etc.
5. When viewing individual reports, click either the Reports button or the Back to
Groups link in the top right of the screen to return to the report groups. Click the
Preferences button to set or update your User Name, Password and Email
Address. Your User Name and Password are the same as your Docupace
Username and Password. The Email Address will be the destination for
automatically generated reports (optional).
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BARCODES – DOCUMENT SEPARATOR
A document separator sheet allows you to scan a batch of documents that were mailed
or faxed. To print a document separator sheet:
1. Access the Administration page and select the Document Separator link under
Utilities.
2. A Document Separator Sheet will display in another browser tab. Print as many
versions of the document separator sheet as necessary.
3. Place a separator sheet between each document, as shown below. Do NOT
place a sheet in front of the first page. Scan and upload.
+
+
Note: The separator sheet does NOT index documents; user must index the
work item and documents appropriately. See Indexing above for more
information.
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BARCODES – WORK ITEM SEPARATOR
To print a work item separator sheet:
1. Access the Administration page and select the Work Item Separator link under
Utilities.
2. A Work Item Separator Sheet will display in another browser tab.
3. Print the work item separator sheet, place it appropriately in the paper
documents, scan and upload.
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APPENDIX
SCANNING SCENARIOS (STEP BY STEP)
Scanning and indexing in ePACS will always be initiated using the concept of a “work
item.” Each time a user scans a document (or set of documents) into the system, a work
item is created. From within this work item, the user must then attach some logic to both
the documents within the work item and to the work item itself in order to complete the
filing/processing. Some examples:






Are the documents in the work item for different accounts?
Do the documents need to route to the Home Office?
If they need routing, which department should they be sent to?
Do these documents have barcodes on them, and if so, what will the barcodes
do?
How do I process documents that are NIGOed and require updates to existing
records?
Should these documents be simply archived (and not routed)?
Depending on how you answer the questions above, your pre-scanning work effort
might be different. This document will provide a guide as to the level of work regarding
the processing within ePACS. We will do this by providing different scenarios that a user
might encounter on a daily basis.
Scenario 1 - Scan a single document (no barcode) - route to back office
What: Scan a single document that does not have a barcode on it. This document
needs to be routed to the back office for processing.
Post-scan Location: This document will be routed to the Mailroom/Mailroom Request
task queue.
Post-scan Process: Since this document has no current assignment or indexing, it
requires complete user processing. The user will have to index both the document and
the Work Item (WI).
Steps:
1.
2.
3.
4.
Locate the Mailroom/Mailroom Request task queue.
Click the Get Task from Pool button to bring the WI into your task queue.
Click the Contents link on the WI to open the record.
Edit the Document.
a. Click the Edit link to access the record that is in the Unindexed Documents
folder.
b. Standard BD indexing rules apply.
c. When you click the Submit button, the record will move from Unindexed
Documents to the Client Documents.
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5.
6.
7.
8.
d. Index the folder field (client/folder info) because it will be completed at the
WI level.
Edit the Work Item.
a. Select the required Request Type in the drop down box.
b. Add the correct client/subfolder.
c. Click the Submit button in order to complete the processing at the WI
level.
The folder information will automatically index in the Client Document.
Select the appropriate action (transaction) to move the workflow.
a. Send to Back Office > Submits to the Back Office.
b. Indexed > Sends to an “Advisor Review” queue for a second review. From
there it can also be sent to the Back Office.
The document is indexed to the appropriate Client/Account folder and also has
been routed to the back office for processing.
Scenario 2 - Scan a single document (with a barcode) – Route to Back Office
What: Scan a single document that has a barcode on the form itself. Additionally, the
record requires review and back office processing.
Note: In many cases, the barcode will drive the request type assignment. In
which case, the work item will bypass the Mailroom task queue and go
directly to the “Advisor Review” task queue. Please speak with support
services staff to see if your solution performs this feature.
Post-scan Location: A new work item within ePACS / Advisor Review task queue. The
barcode on the form helped classify the appropriate request type and therefore
bypasses the Mailroom queue (as in scenario 1).
Post-scan Process: a) index the document (date, notes, etc. – not the document type
or form name since they were auto indexed), and b) review the work item to ensure the
correct Request Type has been indexed and then index the WI to the appropriate client
folder.
Steps:
1.
2.
3.
4.
Locate the ePACS/Advisor Review Request Tasks.
Click the Get Task From Pool button to bring the WI into your work area.
Click the Contents link on the WI to open the record.
Edit the Document.
a. Click the Edit link to the record that is in the Unindexed Documents folder.
b. Standard BD indexing rules apply.
c. Click the Submit button and the record will move from Unindexed
Documents to the Client Documents.
d. Index the folder field (client/folder info) because it will be completed at the
WI level.
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5. Edit the Work Item.
a. Request Type has automatically been indexed (leave this as is).
b. Add the correct client / subfolder.
c. Click the Submit button in order to complete the processing at the WI
level.
6. The document is indexed to the appropriate Client/Account folder and also has
been routed to the back office for processing.
Scenario 3 - Scan a single document – using a Request Type coversheet (No
barcodes on documents)
What: Scan a document that has no barcode (on the form itself) using a Request Type
Coversheet. This document will require review and back office processing.
Post-scan Location: New work items are within the ePACS/Advisor Review task
queue. The request type coversheet helps classify the appropriate request type and
therefore bypasses the Mailroom queue (as in scenario 1).
Post-scan Process: a) index the document since it is in the Unindexed folder, and b)
review the work item to ensure the correct Request Type has been indexed and then
index the WI to the appropriate client folder.
Result: The document is indexed to the appropriate Client/Account folder and also has
been routed to the back office for processing.
Scenario 4 - Scan a single document – using a Request Type coversheet
(Barcodes on documents)
What: Use a Request Type Coversheet, scan that and a document that has a barcode
(on the form itself).
Don’t do this! This is a duplicate of work effort. A request type is automatically
assigned to the WI based on the logic built within the document barcode.
Scenario 5 - Scan a pack of documents with barcodes for same client
What: Scan a set of barcoded documents (for example, a new account package).
Post-scan Location: A new work item within ePACS/Advisor Review task. The
document will be inside the Client Documents queue with the document type and form
name auto indexed.
Post-scan Process: a) index the documents with appropriate additional info, b) review
the work item to ensure the correct Request Type has been indexed, and c) index the
WI to the appropriate client folder.
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Steps:
1.
2.
3.
4.
Locate the ePACS/Advisor Review Request Tasks.
Click the Get Task From Pool button to bring the WI into your work area.
Click the Contents link on the WI to open the record.
Edit the Documents.
a. Click the Edit link for each record that is in the Client Documents folder.
b. Standard BD indexing rules apply.
c. Click the Submit button and the record will move from Unindexed
Documents to the Client Documents. You will not be able to complete the
WI until all records are moved out of the Unindexed documents.
d. You do not have to index the folder field (client/folder info) because it will
be completed at the WI level.
5. Edit the Work Item.
a. The Request Type has automatically been indexed (leave as is).
b. Add the correct client/subfolder.
c. Click the Submit button in order to complete the processing at the WI
level. All the client documents will now also be indexed to the client/folder.
6. Select the appropriate action (transaction) to move the workflow.
7. The documents are indexed to the appropriate Client/Account folder and also
have been routed to the back office for processing.
Scenario 6 - Scan a batch of docs – no barcodes, for same client –Archive
What: Scan a set of documents- no barcodes on any of them. They all belong to the
same client. Could be new account documentation plus some correspondence.
Post-scan Location: New work item within Mailroom/Mailroom Request task queue. All
documents within the WI will be located in the Unindexed Documents section.
Post-scan Process: a) index the documents and make sure all of them are inside the
client documents section with the appropriate indexing completed and b) index the WI
by selecting the Folder field and adding the appropriate client folder/subfolder.
Scanning Steps Using Docuscan
1. To create the scanning packet, scan the batch with using DocuScan
2. Within DocuScan, use the Insert Barcode Separators feature to place a separator
page before each document.
3. Send the updated batch through DocuScan.
Scanning Steps Using Network Scanner
1. Place a pre-printed barcode separator page in front of each non-barcoded
document.
2. Scan the batch through.
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Steps
1.
2.
3.
4.
5.
6.
7.
8.
Locate the Mailroom/Mailroom Request Tasks.
Get Task From Pool to bring the WI into your work area.
Select Contents on the WI to open the record.
Edit the Documents.
a. Select edit for each record that is in the Unindexed Documents folder.
b. Standard BD indexing rules apply.
c. All documents should now be in the Client Documents section.
d. You will not be able to complete the WI until all records are moved out of
the Unindexed documents.
e. You will not have to index the folder field (client/folder info) because it will
be completed at the WI level.
Edit the Work Item.
a. Add the correct client / subfolder
Submit in order to complete the processing at the WI level. ALL the client
documents will now be indexed to the client/folder.
Select the appropriate action (transaction) to move the workflow – in this case
ARCHIVE.
The documents are indexed to the appropriate Client/Account folder and the WI
has been archived.
Scenario 7 - Scan a batch of docs – no barcodes, for same client – Route to
BO
Repeat the steps 1-4 in Scenario 6 above.
1. Edit the Work Item.
a. Add the appropriate Request Type for submission to the BO.
b. Add the correct client/subfolder.
2. Submit in order to complete the processing at the WI level. ALL the client documents
will now be indexed to the client/folder.
3. Select the appropriate action (transaction) to move the workflow – in this case
INDEXED or SUBMIT TO BO.
4. The documents are indexed to the appropriate Client/Account folder and the WI has
been archived.
Scenario 8 - Scan a batch of docs – some with barcode, some without, for
same client
What: Scan a set of documents- some with barcodes, some without. They all belong to
the same client. Could be new account documentation plus some correspondence.
Post-scan Location: New work item within ePACS/Advisor Review task queue. The
records with barcodes will be in the Client Documents section, the records that don’t
have barcodes will be inside the Unindexed Documents section.
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Post-scan Process: a) index the documents and make sure all of them are inside the
client documents section with the appropriate indexing completed and b) review the
work item to ensure the correct Request Type has been indexed and index the WI to the
appropriate client folder.
Scanning Steps Using Docuscan
1. To create the scanning packet, scan the batch with the records that have
barcodes IN FRONT.
2. Within DocuScan, on the non-barcoded documents, use the Insert Barcode
Separators feature to place a separator page before each document. Send the
updated batch through DocuScan.
Scanning Steps Using Network Scanner
1. To create the scanning packet, scan the batch with the records that have
barcodes IN FRONT.
2. Place a preprinted barcode separator page in front of each non-barcoded
document.
3. Scan the batch through.
Steps
1.
2.
3.
4.
5.
6.
7.
8.
Locate the ePACS/Advisor Review Request Tasks.
Get Task From Pool to bring the WI into your work area.
Select Contents on the WI to open the record.
Edit the Documents.
a. Select edit for each record that is in the Client Documents folder.
b. Select edit for each record that is in the Unindexed Documents folder.
c. Standard BD indexing rules apply.
d. All documents should now be in the Client Documents section.
e. You will not be able to complete the WI until all records are moved out of
the Unindexed documents.
f. You will not need to index the folder field (client/folder info) because it will
be completed at the WI level
Edit the Work Item.
Request Type has automatically been indexed. Leave this alone.
a. Add the correct client/subfolder
b. Submit in order to complete the processing at the WI level. ALL the client
documents will now also be indexed to the client/folder.
Select the appropriate action (transaction) to move the workflow.
The documents are indexed to the appropriate Client/Account folder and also
have been routed to the back office for processing.
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Scenario 9 – Scan a single document that needs to be archived
What: Scan a document that has no barcode on the form itself with the intent of only
archiving the document.
Post-scan Location: New work item within Mailroom/Mailroom Request queue.
Post-scan Process: Index the document completely (at the document level) and within
the Tasks toolbar, select Archive.
Note: For archiving documents you do NOT need to perform ANY indexing at
the work item level! If you’ve scanned a batch of documents that you’d
like to associate to the same client folder for archiving purposes, you
might want to index the folder information at the WI level (as referenced
above).
Result: The document is archived and the work item is closed.
Scenario 10 - Scan a set of documents for different clients that should be
archived
What: Scan various documents for different clients/accounts in a single batch that need
to be archived. You will need to use a Document Separator Coversheet and place one
in between each document.


Network scanners > Use the physical Coversheet.
DocuScan Users > Use the Create Separator function within DocuScan.
Post-scan Location: Documents will be sent to the Mailroom/Mailroom Request
queue as a new work item. Each document will be split and reside in the Unindexed
Documents section.
Post-scan Process: Index each document completely from within the Unindexed
documents (including client Subfolder). Once all documents have been indexed and
new ones reside in the Client Documents folder, select the Archive task. As in Scenario
6, you will NOT have to perform any indexing at the work item level.
Result: The documents are archived to their appropriate client folder and the work item
is closed.
Scenario 11 – Add a new version of an existing document
What: A WI has been sent back to the advisor (NIGO or extra review) with a request to
update an existing record within the work item. An alternative scenario is - a user simply
needs to update an existing archived record (New Account Form, etc.).
Once the record is identified (from within the WI or search/retrieve directly within the
system):
1. Select the check box and then the “barcode” button at the top of the Client
Documents folder.
2. A barcode cover sheet will appear. Print.
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3. Place the coversheet on top of the document. Scan.
Post-scan Location: The scanned Document will automatically update the existing
document as a new version. The original version becomes version 2.
Post-scan Process: If the document is associated to a work item that is currently in
NIGO, the user will need to resubmit the WI back to the back office by selecting the
correct action (transition) of Send to Back Office.
If the document was simply a document to be updated, it has been. There is nothing
more to do.
INDEXING SCENARIOS (DETAILED STEP-BY-STEP)
Scenario 1 – Indexing a Document to a new Client Subfolder (account)
The assumption in this example is the client is existing but the account is not. The user
needs to add the subfolder while indexing the document record. The intent is to create
the Client Subfolder (linking it to an existing client folder) “on the fly” while indexing the
client document.
1. Search for and retrieve the document and click the Edit link (at the Client
Document level) in order to index.
2. If the document is associated to an existing subfolder, and it should not be
associated to that subfolder, click the Remove button at the subfolder field.
3. The window will redisplay; click the Add button.
4. Use the Predefined Search “Subfolder by Client” in order to search the account
number. Enter the account number and click the Submit button.
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5. If the account number is not in the system, the Add New Client Subfolder
template screen will appear (shown below). From within this screen, add all the
pertinent new-account information. Additionally, you will have to link this account
subfolder to your existing client.
6. At the Client Folder field, click the Add button in order to search and retrieve the
client information. Once you have located and selected it, you will see it populate
in the Account Subfolder template.
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7. Click the Submit button when the account subfolder information is indexed
correctly. The client (and new subfolder) information will be attached to the client
document indexing template.
8. Complete indexing the document. On submission, the document record will be
linked to the client subfolder.
In this example, you have created the Client Subfolder (linking it to an existing client
folder) “on the fly” while indexing the client document.
Scenario 2 - Indexing Document to Client Subfolder (account) where client
AND account are new
In this scenario, a NEW ACCOUNT for a NEW CLIENT is created. Starting from a
similar point in Scenario 1 above, the user searches for a client subfolder. Because
neither the client nor account exist, the search results are not helpful and the user will
have to create the client and account in the system.
1. Click the New button at the top of the page, shown below.
2. When the account subfolder template appears, you first are going to link the new
account subfolder to a client.
3. Click the Add button next to the Client Folder. If you search for but cannot
retrieve that client (because it is new), click the New button to display the Add
New Client Folder template. You will need to input the information for the new
client folder.
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4. Once you’ve completed this, selecting submit will take you back to your Account
Subfolder Template with the Client Folder information now assigned.
5. Complete the indexing of the account subfolder. Once you’ve completed this,
selecting submit will take you back to your client document indexing template
with the subfolder information now assigned.
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6. Complete indexing the client document and Submit.
In this example, you’ve created both the Client and Client Subfolder “on the fly” while
indexing the client document.
BACK-SCANNING
Many users have file cabinets of paper files waiting to be scanned/indexed. There are
many different approaches to scanning your old paper files – termed “Back-Scanning.”
Refer to the Back Scanning Best Practices guide for more information.
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CLIENT DOCUMENT INDEXING
Below is a list of all the document indexing fields. Based on standard operating
procedures, certain fields will be required to be filled out at various stages of the
workflow. We are focusing on the client documents domain (section) as it is where the
majority of the documents will reside.
As you can see there are quite a few client document indexing fields available to the
processor. Within the Docupace system, fields can be validated and/or required at
different points in the workflows. There are standard validations that come with the base
Docupace system and will be described within the Request Type Processing section
below.
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Request Type Processing Section
a. Subfolder – In order to properly index a document, a document must be associated
to one of the Docupace Domains, or Filing Cabinets, such as Client.
b. Business Type – Describes the category of business. These business types can
drive who can see the client within the environment, and account and document
details. Typical business types defined are BD and Non-BD.
c. Confidential – This flag controls specific documents and who can see it. If the
primary owner of the document does NOT want any administrative users to access
this document, the confidential flag can be set. The default setting for this flag is
“no.”
d. Date – Document date is typically used to record any dates found on the document
that aren’t reflected systematically when a document enters ePacs (i.e., creation
date).
e. Client Document Type – This is a very customizable dropdown field for each client.
Capturing a comprehensive list of document types will allow the client to be able to
quickly search for and find documents. Document type is a mandatory field within
ePacs.
f. Form Name – Forms are commonplace within a Financial Services organization.
This is similar to Document Type in that it is easily customized for client needs.
Forms can have unique names that are reflected in barcodes which can be used for
increased scanning and indexing efficiency.
g. Description – Particularly for documents that don’t have a form name associated,
this is a text field that allows users to enter additional information about the
document/form.
h. Notes and Notes History – Within the ePacs system notes can be captured at many
levels. Here we show notes and notes history at the document level. The user will
enter the note in the notes field. Each note entered will be automatically captured in
the notes history field, capturing the user’s username and a date/time stamp of when
the note was entered.
i. Check number – The specific check number of the check being processed.
j. Check Amount – The actual dollar amount of the check.
k. Name of Security – The name of the security from the stock certificate.
l. Cert # - The certificate number from the stock certificate.
m. Number of Shares – The number of shares of stock written on the stock certificate.
n. Approximate Value – The current dollar value of the stock.
o. Mail Original – A flag that allows the processor to communicate within the workflow
that an original document should be mailed out. Without this flag, documents will not
be routed to the Mail Original queue.
p. Signature Guarantee – A flag that allows the processor to communicate within the
workflow that a signature guarantee is needed. Without this flag, documents will not
be routed to the Signature Guarantee queue.
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q. Purpose of check – A drop down value to describe the various reasons a check will
be processed. This selection could determine which task node a particular check is
routed to.
r. Purpose Detail – Describes in more detail any processing instructions for the check.
s. Date Received – The date the check was received by the advisor.
t. Date Forwarded – The date the check was forwarded for processing by the advisor.
u. Forwarded To – A drop down value of sponsor/custodians who will receive the
forwarded check.
v. Hide – A flag that allows the field users (field data roles only) to see or not see this
document. This flag is used to facilitate removing redundant documents from field
view such as past year’s statements or duplicative documents processed by the
back-office broker dealer.
w. Audit Review – A flag that allows a compliance coordinator to “mark” a document, an
account or a client for auditor review. This allows an auditor to log into ePacs and
ONLY see the clients, accounts, and documents that have been flagged for review,
eliminating needless printing of paper or downloading of documents to disk for
auditors.
x. Image Content – The mechanism for “uploading” documents manually into ePacs.
Each document loaded to a document record will produce a new version of that
document, retaining the original version of the document. An unlimited number of
documents can be loaded and documents can be loaded either manually through
this mechanism, or automated through appropriate scanning procedures.
y. Send to Clearing House – A flag that allows the processor to manually identify that
this document needs to be transmitted to the clearing firm for final processing.
z. Response Code – The actual CODE received back from the clearing firm. The codes
will vary per clearing firm. In the case of a reject, the code will reference a message
(below) which should describe what action the processor needs to take.
aa. Sponsor Custodian message – The actual message received back from the clearing
firm. The messages will vary per clearing firm. In the case of a reject, the message
should describe what action the processor needs to take.
bb. Send File to Remote Server – May be used to send docs from this WI to remote
server. Usually FTP or SFTP.
cc. Transform Current Document – A mechanism that allows a user to manipulate a
document. The options available are to Create, Split, Rotate, or Sign documents
(see separate training module). Regardless of the manipulation, the original
document is always retained and a new version of the document is created.
dd. Merge Into Selected Document – A mechanism that allows a document to be
“added” to an existing document. As opposed to splitting documents, merging a
document will add to an already existing document. Regardless of the manipulation,
the original document is always retained and a new version of the document is
created.
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