Imaging solution FAQs

Transcription

1 Imaging solution FAQs Access Do I need permission or approval to use the imaging solution? No. You can sign up to use the imaging solution at any time. How much does it cost to use the imaging solution? A rep s monthly subscription cost is $40, which includes one gigabyte of storage. Additional storage space is available for $5 a gigabyte. Each rep s subscription fee also includes access for up to three support staff members, including admins. What browser can I use? The imaging solution is compatible with Microsoft Internet Explorer 6, the preferred browser for ING SmartWorks. It is also compatible with Internet Explorer 7. What is the difference if I access the imaging solution directly versus through ING SmartWorks? When you log in through ING SmartWorks, you won t have to enter your user name and password. ING SmartWorks single sign on (SSO) feature does it for you, so you can go to the imaging solution with just one click. You have to enter your user name and password every time you log in through the Docupace Technologies Web site ( Do I have to purchase any additional software to use the imaging solution? No. When you subscribe to the imaging solution, all of the software you need is included. Are passwords different for ING SmartWorks and the imaging solution? Yes. Although ING SmartWorks and the imaging solution use the same user name/user ID, the passwords are different. Do I need to change my imaging solution password? Yes. The first time you log in through ING SmartWorks, you ll be prompted to change your password. Thereafter, you ll be prompted to change your password every 90 days for security reasons. You can manually change your password at any time by clicking the Administration icon at the top of the screen. Then, click the Change password link. Whose documents can I see? You can only view documents associated with your rep number. Access rights are similar to those for ING SmartWorks. How long does the system wait before I get Timed Out? After 20 minutes of inactivity. For broker dealer use only. Not to be used with the public. 1

2 Should I log out or just exit the browser? It is recommended to select the log out link in the upper right corner rather than simply closing the browser. By just closing the browser, you re still logged in and won t log out until the inactivity period is reached. Do I have to pay to give my assistant access to the imaging system? No. Your assistant will not be charged for access to your imaging system, but if they need their own separate system, an additional fee would apply. Why can t I use the back button on my browser? How can I view documents and when I'm finished go back to my previous page without having to search again? For security reasons, the back button has been disabled. (A little more explanation here. Maybe couch it as: to help protect your personal documents or your clients information, the Back button has been disabled. ) Can I grant another user access to my documents? Yes. You can allow other users, for example your admin, access to all of your filing cabinets including your Personal Documents, Partially indexed Documents, and Unindexed Documents. To learn more about situations in which you d want to share access, see the Imaging Solution User Guide. To share access, click the Administration icon at the top of the screen. Then, under List Management, click the User Access link. Click Submit to see your user ID. Click the Edit link. In the pop up window, type the ING SmartWorks user name/user ID of the person to whom you want to extend access in the Grant Access To field. Then, click Submit. The next time the user logs in to the imaging solution, he/she can access all your files except documents stored your Personal Folder. How can I remove, or deactivate, a user? If an employee leaves your office, you can deactivate them in the system so they no longer have access to your imaged documents. If the employee had access to ING SmartWorks, contact your broker dealer Resource Center for help on deactivating their ING SmartWorks user account. Once the former employee s ING SmartWorks user account is deactivated, so is his or her imaging solution access for broker dealer materials. If the former employee did not have access to ING SmartWorks, contact Docupace support to have their imaging solution account deactivated. Scanner What settings should I use? Docupace Technologies recommends scanning documents as black and white TIFF images at a resolution of 200 dots per inch (DPI). My scanner creates a dark line through the imaged documents will that affect the barcodes? Yes, it could. The barcode reader looks for distinct black and white lines. So, if a dark line streaks through a white line on the barcode, it could cause problems. How can I get rid of lines my scanner puts in my imaged documents? Scanner maintenance, for example cleaning your scanner, can help ensure your documents are correctly imaged. For broker dealer use only. Not to be used with the public. 2

3 How often should I clean my scanner? Maintenance varies among different scanners and manufacturers. For your manufacturer s recommendations, refer to the scanner s user guide or documentation. My scanner is putting out TIFF formats but your system does not pick them up. Why? Docupace requests images to be scanned as TIFFs (Tagged Image File Format). As they are captured in Docupace, they are converted to Adobe PDFs. If there is a TIFF image that you want to keep as a TIFF in the system, you will need to directly upload the TIFF. Can I use a multi function network scanner to scan documents? Absolutely. The imaging solution can work with any scanner that produces TIFFs. However, multi function network devices require more configuration than a desktop scanner. Can I use multiple scanners and devices? Yes. You can use multiple scanners and scanning devices to image documents into the imaging solution. Docuscan What is Docuscan? Docuscan is scanning software created by Docupace Technologies that is designed to work seamlessly with the imaging solution. Docuscan saves you time by automatically configuring your scanning software and scan destination folders, and it s also available as a free download. For these reasons, Docuscan is the best choice for most desktop scanners and multi function devices. Can I use Docuscan for a network scanner? No. Docuscan is only used for desktop scanners or multi function Scanners. To set up a network scanner, contact Docupace Technologies support at , ext. 3. Where can I get Docuscan? You can download Docuscan from the Docupace Technologies Web site ( You can also download the Docuscan User Guide and Docuscan Installation Guide. How do I install Docuscan on a computer running Windows Vista? When you download Docuscan, save it on your computer. When you click the file to install it, select Run as Administrator. I have a new scanner. How can I configure Docuscan to operate like it used on the old scanner? Docuscan is configured to automatically identify the scanner as part of the basic setup. You can validate that the scanner has been identified by looking at Tools > Options How is the Docuscan configured? Where are the images sent? When Docuscan is first installed, it configures a directory on the local computer at c:\scanning\export. There are 2 other folders created named c:\scanning\import and c:\scanning\backup. For broker dealer use only. Not to be used with the public. 3

4 Can I use Docuscan for a network scanner? No. Docuscan is only used for Desktop Scanners or Multi Function Scanners. What scan settings are included in Docuscan? Docuscan features a Single, Duplex, and Legal setting preconfigured. You can also create your own custom scan settings. For details, see the Docuscan User Guide. What do I do if Docuscan isn t accepting my user name or letting me log in? First, retype your user name and make sure it was entered correctly. If you re still having problems logging in, your Export subfolder may not have been correctly set up on the computer. For details, see the Docuscan User Guide. Can I use Docuscan to split documents into smaller, separate documents? Yes. After you scan and view a document, navigate to the point page where you want to split the document. Then, click the Insert Separator Page button. A barcoded sheet is inserted into the batch, which will automatically split it into two documents when it is uploaded to the imaging solution. Can I use Docuscan to fix a crooked or upside down document? Yes. You can use one of Docuscan s editing features to rotate pages, correct skewing, and even adjust brightness and contrast. For details, see the Docuscan User Guide. When I click the Scan button, I get a message saying Scanner Not Installed. Why? The scanner isn t properly configured or linked to your computer. First, make sure that your scanner s drivers are installed on your computer. Next, ensure the cable that connects your scanner to your computer is firmly plugged in. Switch the scanner off and exit Docuscan. Then, reactivate the scanner and restart Docuscan. How do I upgrade my version of Docuscan? Periodically, Docupace Technologies releases an upgraded version of Docuscan. Visit the Downloads page of the Docupace Web site ( to download newer versions. File Uploader It seems as my batches are not being uploaded. What should I check on first? Check the folder on your local computer where the scanned images are saved. If the images are still on the local computer, the File Uploader is not engaged. Some of my batches were uploaded successfully but are not showing in the system. Where should I look next? If the images are no longer on the local computer, they have been uploaded. If you were using barcodes, check to see if the images are in the Unindexed documents or partially indexed documents filing cabinet. Why is the Manual Uploader (Admin Page) giving me an error? Confirm the source directory (Run > Properties) has the correct folder where images are being sent to. If you are using Docuscan, it should be c:\scanning\export. If the information is accurate and the error persists, please contact the resource center. For broker dealer use only. Not to be used with the public. 4

5 What is Uploader As A Service (UAAS)? Uploader As a Service is a utility that automatically uploads images (as opposed to manually uploading them). If you use this feature, the utility automatically starts when you power up your computer. Capturing (scanning) Documents What is the best batch size to send in to the system? Docupace Technologies recommends not scanning more than 200 pages in a batch. Can I scan documents from home? Yes. You can scan and upload documents from any computer with an Internet connection. You ll also need to install the File Uploader. For more details, see the Uploader Quick Start guide. When should I start backscanning my old files? As a general rule, hold off on scanning your old files into the imaging solution until you re familiar with the system. Get a good feel for how to use it. Also get used to how your office uses the system on a day to day basis, for example, how often you send documents to Brokerage Operations or to your OSJ Manager. Once you feel like you have a good understanding of how you ll use the system, for instance after 2 4 months, start to backscan your old files and documents. Why are documents with barcodes uploaded to the Unindexed Documents area? The system cannot clearly read the barcode. Usually, this problem is caused by a scanner that isn t producing clear images. Check the image to make sure no black lines or streaks run through the barcode. If the barcode isn t clear, you probably need to clean your scanner. For cleaning instructions, refer to your scanner s user guide or documentation. If you clean your scanner and still have problems, please contact the administrator. It seems that a lot of barcodes are not being recognized. How can I minimize recognition problems? Check that the scanner is producing clean scans. You will need to refer to the scanner guide that came with the scanner. When I try to generate a barcode coversheet, nothing happens. Why? Since your Internet browser displays barcode coversheets in a separate window, pop up blockers may prevent the coversheet from being displayed. Set your browser to allow for pop ups from and add it as a trusted site. Then, re select the barcode and the coversheet. What types of files can I upload and store? Docupace can store any file format: TIFF, Adobe PDFs, Word documents, Excel Documents, etc. If I have a PDF document from a vendor, do I have to print it and then scan it? No. You can directly upload them into the imaging solution. You can either download the document on to your local system and upload it, or you can save the image to you local upload folder. If I use the combine feature, is that permanent? No, the combine feature is not a permanent feature. It provides the user to combine multiple documents in a folder with the intent of aggregating the set to print, save or e mail. For broker dealer use only. Not to be used with the public. 5

6 Can I get backup copies of my images? Yes. You can get a CD/DVD backup of your images from Docupace Technologies for a fee. As a best practice, ING Advisors Network recommends purchasing a backup set of CDs/DVDs each year. To request a backup copy, contact Docupace at Non Broker Dealer Documents How do I get non broker dealer ( unaffiliated ) or personal documents into the imaging solution? Scan any non broker dealer business documents and index them with an Unaffiliated Business Type. For your personal documents, scan them and index them to the Personal Documents folder. Can my broker dealer see my personal paperwork? No. Neither your broker dealer or ING Advisors Network can see images stored in the Personal Documents file cabinet, HR filing cabinets, or the Accounting filing cabinets. However, your broker dealer may request documents in these folders under certain circumstances, for example an audit. Workflow and Approvals Can my OSJ Manager electronically approve VAs? No. Unfortunately, your OSJ Manager cannot electronically approve Variable Annuity paperwork. What paperwork can my OSJ Manager approve in the imaging Solution? If your OSJ Manager uses the imaging solution, you can get some of the most common documents, for instance AIFs and correspondence, approved electronically. If you want your OSJ Manager to review and/or approve your documents in the imaging solution, contact your OSJ Manager and get his or her approval to do so. How do I route documents to my principal for review? When you index a document, select Ready for Principal Review from the Document Review Status drop down list. Then, click Submit. If it s an advisory document, select Yes for Flag to Brokerage Ops, as your OSJ Manager can route it to Brokerage Operations after approving it. Security Who else can see my documents? Only users that have similar access rights as granted in ING SmartWorks or the imaging solution. For help setting up user access rights, contact your Broker Dealer Resource Center. Can my broker dealer see my personal (non broker dealer) business documents? No. Any documents you choose to store in your personal folder cannot be viewed by your broker dealer or ING Advisors Network. For broker dealer use only. Not to be used with the public. 6

7 Are my documents safe? Absolutely. Both ING SmartWorks and Docupace Technologies encrypt their systems, so your documents are secure. Do I have to do anything to restore my documents if there s a disaster? No. Docupace Technologies guarantees your files will be available and secure, even after a disaster. Do I need to backup my images of my documents? Docupace Technologies will keep backup copies of your files. However, if you d like a backup CD of your files, you can purchase it from Docupace. ING Advisors Network recommends you purchase a set of backup CDs each year. Once I scan and upload a document, can I delete it? No. For regulatory reasons, you cannot delete an imaged document. Reports How do I access Reports? Click the Administration icon at the top of the screen. Under Utilities, click the Reports link. Administration Can we add Doc types to the system? Document Types are managed only by the administrator. Please contact the resource center and make a formal request. File Management How do I make an account a joint account? When you edit the subfolder level information, at the client folder level, select the add button. Then, search for the other client. When you find the client, select the radio button and you will notice that the client is now added to the subfolder. How do I setup my client s folders? When you subscribe to the imaging solution, you have the option of copying your client directly from ING SmartWorks. If you select this option, folders for your existing clients will be set up automatically in the imaging solution. When you add new clients to ING SmartWorks, a folder will automatically be set up in the imaging solution on the next day. Can I move a document from one subfolder to another subfolder? Yes. When you select the document, select the edit feature. On the split screen, select the Add button to the left of the Client Folder. Search for the correct client/subfolder and select that. Then click submit to reassign the document. For broker dealer use only. Not to be used with the public. 7

8 How do I index copied checks? When you index the check, select No in the Original Documents drop down list. What do I do if I need to void a check? Contact Brokerage Operations. Compliance Is the imaging solution compliant? Yes. The imaging solution is fully compliant with FINRA, SEC, and Sarbanes Oxley regulations and guidelines. If FINRA or the SEC imposes a new rule, do I have to do anything to ensure my documents are electronically stored in compliance with the new rule? No. Docupace Technologies will ensure your documents are stored in compliance with any new regulatory rules. Can I destroy my hard copies after I have imaged my documents? ING Advisors Network has not finalized its policy on destroying original paperwork. So, if you scan new paperwork into the imaging solution or archive your existing paperwork into the imaging solution, don t destroy your original copies yet. Stay tuned to Juice and Juice Wire for more details on how long you should retain your original paperwork. Support Do I have to do anything to maintain or update the imaging solution? No. Docupace Technologies will maintain the system, so you never need to worry about updating it. What do I do if I have a problem? If you re experiencing a problem with your broker dealer related documents, contact your broker dealer Resource Center. If you re having problems with a personal (non broker dealer) document, contact Docupace support at x 3. When can I get help? The Docupace Technologies support team is available 24 hours a day, seven days a week. Your broker dealer Resource Center is available during normal business days from 9 AM ET to 7 PM ET (6 AM PT to 4 PM PT). Do I have to pay for support? No. Aid from your broker dealer Resource Center is included with your affiliation with ING Advisors Network, and Docupace support is included in your monthly subscription fee. For broker dealer use only. Not to be used with the public. 8

9 What happens if I forget my Docupace Technologies password? On the Docupace login screen ( click the Forgot Password link. Your password will be sent to the address on record. If you do not receive the for any reason, contact Docupace Technologies support at x 3. For broker dealer use only. Not to be used with the public. 9