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Review By
Name Kathy Anderson Shauna Coble Date Version No. Business Area
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Table of Contents
GENERAL INFORMATION ...........................................................................5 SIPOC FOR INDEXING- BACKEND PROCESSING:............................................6 SYSTEMS USED: .......................................................................................7 PROCEDURES: ....................................................................................................................8 STEP 1 OPEN THE REQUEST THROUGH ONBASE...........................................................................9 THE FOLLOWING PROCEDURES ARE GOING TO BE COMMON FOR ALL TYPES OF BACKEND INDEXING:.....................9 SELECT THE BATCH FILE:.........................................................................................................9 SELECT INDEX DOCUMENTS:...................................................................................................10 REVIEW FOR THE POLICY NUMBER ON THE DOCUMENT:.....................................................................10 HIT INDEX IF THE INFORMATION MATCHES AND THE QUALITY OF THE IMAGE IS ACCEPTABLE:...........................11 RESEARCH FOR POLICY NUMBER IF NOT AVAILABLE:.........................................................................12 EXCEPTIONS:....................................................................................................................12 SKIP THE DOCUMENT:...........................................................................................................12 GO TO INDEX IN PROGRESS:...................................................................................................13 CHANGE SCAN QUEUE:.........................................................................................................14 RIGHT CLICK THE BATCH AND SELECT INDEX DOCUMENTS:................................................................15 SELECT DOC TYPE AS 04 - CORRESPONDENCE:............................................................................15 ENTER POLICY NUMBER:.......................................................................................................16 PREMIUM RECEIPTS FOR LTC POLICIES:......................................................................................17 SPECIAL TYPES OF BACKEND INDEXING:....................................................................19 1. SECURITY CLIENT INDEXING:...............................................................................................20 ENTER TAX ID NUMBER:......................................................................................................20 INDEX SECOND PART OF THE DOCUMENT:....................................................................................21 RESEARCH IN BONUS:.......................................................................................................22 ENTER THE SEARCH SCREEN:..................................................................................................24 SELECT ALL:...................................................................................................................25 SEARCH CRITERIA:..............................................................................................................26 REVIEW POLICY INFORMATION:.................................................................................................27 2. COMMISSION STATEMENT INDEXING:.....................................................................................28 REVIEW FOR THE STATEMENT ID:.............................................................................................28 CHECK THE INSTITUTION NUMBER:............................................................................................30 VERIFY THE SECOND PAGE:....................................................................................................30 CHECK FOR INCORRECT SCANNED PAGES:....................................................................................31 SEPARATING THE INCORRECT PAGE:...........................................................................................32 COME BACK TO THE MAIN DOCUMENT:........................................................................................32 ROTATE THE DOCUMENTS:.....................................................................................................33 SELECT ALL THE PAGES:........................................................................................................34 ROTATE THE PAGES:............................................................................................................35 SAVE CHANGES:.................................................................................................................35 DELETE UNWANTED PAGES:....................................................................................................36 SELECT THE PAGES TO BE DELETED:..........................................................................................37
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CLICK ON SAVE CHANGES:.....................................................................................................38 INDEX THE DOCUMENT:.........................................................................................................38 3. CORPORATE ACCOUNTING INDEXING:.....................................................................................39 INVOICES:........................................................................................................................39 ENTER THE CHECK NUMBER PRECEDED BY THREE OR FIVE ZEROES:.......................................................39 SELECT THE CORRECT INVOICE NUMBER:.....................................................................................40 ENTER NUMBER AND HIT TAB:.................................................................................................40 CHECK REQUESTS:.............................................................................................................41 REVIEW CHECK NUMBER:.....................................................................................................41 ENTER CHECK NUMBER:........................................................................................................41 INDEX DOCUMENTS:.............................................................................................................42 4. SECURITIES REP INDEXING:................................................................................................42 REVIEW THE REP NUMBER:...................................................................................................43 ENTER THE REP NUMBER:.....................................................................................................43 THE FIELDS CAN INTERCHANGE ON THE SYSTEM:............................................................................44 5.INDEXING INITIAL REG 60 DOCUMENTS:................................................................................44 REVIEW THE DOCUMENT AND ENTER NECESSARY INFORMATION:...........................................................47 ENTER THE INFORMATION AND INDEX:........................................................................................48 STEP 2: COMMIT THE INDEXED DOCUMENTS:...............................................................................49 REVIEW CHECKLIST FOR THE SUPERVISOR:..................................................................................49 ....................................................................................................................................49 POINTS TO REMEMBER:.........................................................................................................49 FEW OTHER SCENARIOS:.......................................................................................................50 SCREENSHOTS OF VARIOUS OTHER TYPES OF BATCH FILES:.................................................................50 LTC BCFA BATCH:...........................................................................................................52 ENDORSED GROUP DOCUMENTS:..............................................................................................53 LIFE BCFA BATCH:............................................................................................................54 NEW YORK BCFA BATCH:....................................................................................................55 VERSATUL LIVE BATCH:.....................................................................................................56 GO TO AWAITING COMMIT:.....................................................................................................57 OPEN THE DOCUMENTS:........................................................................................................58 RE-INDEX THE AMENDMENT DOCUMENT:.....................................................................................58 CHANGE DOCUMENT TYPE TO 2 - APP - AMENDMENT:....................................................................59 HIT INDEX:......................................................................................................................60 SAVE AS NEW DOCUMENT:.....................................................................................................61 SEND AN EMAIL:................................................................................................................62 TO COMMIT:....................................................................................................................62 THE TRANSFER FORMS IN THE BCFA BATCH SHOULD HAVE SAVE ORIGINAL WRITTEN ON IT. PLEASE REFER TO THE BELOW SCREENSHOT.......................................................................................................63 RESEARCH IN ID3 WITH AGENT INFORMATION:..............................................................................64 CLICK ON WORK WITH PRODUCERS BY NAME:.............................................................................65 KEY IN THE NAME OF THE AGENT:.............................................................................................66 SELECT THE NAME:.............................................................................................................67 SCREENSHOT OF TE ASAP BATCH:.........................................................................................69 (MULTIPLE PAGES: REFER TO PAGE 11 BEFORE HITTING INDEX.).......................................................69 WHITE PAPER INDEXING:......................................................................................................69 GO TO AWAITING DOCUMENT SEPARATION QUEUE:.......................................................................70 CLICK ON PERFORM DOCUMENT SEPARATION:..............................................................................71 WHITE PAPER DOCUMENTS:...................................................................................................72 SAVE CHANGES:.................................................................................................................74 CLICK YES:......................................................................................................................75
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GO BACK TO INDEX IN PROGRESS:............................................................................................76 INDEX DOCUMENTS:.............................................................................................................77 SELECT ALI000 - SIMPLE REMIT SLIP:....................................................................................78 FILL OUT THE NECESSARY INFORMATION:.....................................................................................79 THE BELOW PAGE SHOULD NEVER BE FILLED:................................................................................80 COMMIT THE BATCHES:.........................................................................................................80 NEW SCENARIOS:........................................................................................................81
General Information
This is a process of adding documents to the records of the existing policies available in the Onbase system from the Awaiting Index Queue. The files are electronically stored in a batch. A Batch may consist of many files. Each and every file has to be Indexed and added to the appropriate policy in the Onbase system. Once the Indexing is complete the batch will have the commit process started to upload the indexed file to existing records in Onbase.
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S
Supplier
Mail Room Rep
I
Input
Awaiting Index Queue Activity
P
Process
Verb Check Check Update Update Noun Data Data DataBase Data -Base Pull and verify the paper work from the Batch Check the Policy # and Name of the Annuitant Index the policy on the ONBASE
O
Output
Paper work added to the existing Policies
C
Customer
Annuitant Trust Guardian Estate
Input Metrics
Awaiting Index Queue
SLAs
Quality 98% TAT TBD
Process Conversion Type: Rule Based Decision making Reviewed by QR Reviewed by QR Authorized By Process Manager Authorized By Process Manager
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Systems Used:
ONBASE VersatUL ID3 Barcode Buddy Bonus
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Procedures:
The following are the various document types received for Indexing Backend Processing 1. Securities statement 2. Commission statement 3. PDR (Policy Delivery Receipt) 4. Correspondence 5. Service Request 6. Refund Verification 7. Annuity Claims 8. Distribution Correspondence 9. Illustrations 10. Policy Statements 11. Agent of Record Changes 12. Application Correspondence 13. Distribution of Money and Claims 14. Checks 15. Invoices The documents can be retrieved from the following scanned queues: Archived policy queue Corp Acc Queue Securities Client Queue Securities Rep Queue New Business Queue Archived-BC on Doc
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The following procedures are going to be common for all types of backend indexing: Select the batch file:
Click on the awaiting index queue and select the batch that needs to be indexed.
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Right click on the batch and then click on index documents. The following will be normal scenarios of backend indexing.
2 3
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2. Enter the policy number in the policy number field and hit tab to auto populate other fields 3. Match the name with the signature on the document. Please note that the document type field will auto populate for the majority of backend indexing.
Hit Index if the information matches and the quality of the image is acceptable:
Hit Index after verifying the information available on the document for that particular policy number. MULTIPLE PAGES: If there is more than one page: Before hitting Index scroll through the thumbnails and verify that the quality of the image is acceptable. Then verify the last page of the document is also the same client and no other documents are appended. If there is another clients document appended in this document, make sure to separate those pages and create a separate document and index them..Refer to pages 30-32 in this SOP .
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Exceptions:
Under the Agent of record change batch type (BCFA batch), there might be documents for LTC policies. The LTC policies start with a 5 and are eight digits long. Make sure not to index these under 5 - IA - Agent of Record changes.
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Go to Index in progress:
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Documents not yet indexed will pop up. Select the batch being worked On as shown in field 1 and right click and change scan queue to LTCA Policies queue as shown in field 2.
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After selecting the batch to be indexed, right click and click on Index documents.
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Enter policy number as shown in field1 and hit the tab key on the computer. Other fields will auto populate. Verify them and hit index as shown in field 2. (Multiple pages: Refer to page 11 before hitting Index.)
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2. Change the Scan Queue. The Scan Queue should be changed to LTCA policies Queue. This is what a changed scan queue will look like.
3. The document type is also changed from 8 - Prem - Premium collected to 05 - BILLING- Incoming cash. This is what the changed document type will look like.
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4. Enter the required information and hit index to index the document.
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1 3 4 5
1. Enter Tax ID no and hit Tab, all other fields will populate. 2. Lock Tax ID by clicking on the small yellow icon. 3. The company name should be either QCC or QAM. 4. Institution number should be either 0 or 300. 5. Index the document. This will take the processor to the second part of the document.
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Verify the tax id number on the next document and if it matches, index the document by hitting the index button. (Multiple pages: Refer to page 11 before hitting Index.)
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Research in BONUS:
Research in bonus is done if tax id entered doesnt auto populate other information. 3
1 2
Above is the navigation path for the Bonus application. Follow the sequence to log into Bonus application.
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Click on client as shown in field 1 and then click on search as shown in field 2.It will open a new screen as shown below.
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Select ALL:
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Search Criteria:
2 3 1
Search can be done by: SSN/TIN number(as shown in field 2) Vendor Account number(as shown in field 3) Last name(as shown in field 1) Ex: This is a search made using the SSN number.
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View the information on the screen and select the just information needed. Once the policy number is retrieved, go back to the Onbase screen to index the policy. Refer to the screenshot below.
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2 Enter new policy number as shown in field 1 and hit index as shown in field 2.
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Look for the statement ID on the document as shown in field 1 and enter the same in the space for statement ID as shown in field 2.
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Hit tab after entering the statement ID to auto populate other information. Ensure Institution number is always 0.
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Always verify this page as it has statement ID and Fund Company name on it.
If this page shows up in the middle while checking the other pages of a document, it should be separated as it belongs to another set of documents. It happens if the barcode doesnt read correctly. Please note this step is to be followed for all indexing processes. Always scroll through all the pages to make sure there are no incorrectly scanned pages. (Multiple pages: Refer to page 11 before hitting Index.)
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Select the page to be separated as shown in field 1. When selected, the page outline should become blue. Then click on the new document icon as shown in field 2. It will create a separate set of document. This document will now be differentiated from the main document.
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Once a new document has been created, click on the back arrow to come back to the initial document. Index that document which will then bring up the incorrectly scanned document.
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Click on the select all icon to select all pages for rotating the pages. Once selected all the pages should have a blue outline as shown in the screenshot below.
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Save changes:
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Double click on the pages to be deleted. Once selected the pages should have the red X sign as shown in the screenshot above.
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Click on Save changes and close to delete the pages and go back to the original document without those pages.
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Enter the required information for indexing the document. Hit index to index the document. (Multiple pages: Refer to page 11 before hitting Index.)
Enter the check number preceded by three zeroes. The check number field should be filled with 10 digits. So first check the number and then add three or five zeroes before the check number.
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2 1
If one check has been used to pay more than one invoice, a small window pops up with the list of invoice numbers. Select the correct invoice number for that particular document as shown in field 2. The invoice number in the box should match to the invoice number on the document. Invoice numbers are usually found on the first page of the document. In this case 8291 is an invoice number.
Once correct invoice number is selected, the other fields will populate. Document can be indexed now. (Multiple pages: Refer to page 11 before hitting Index.) Author TCS Version 1.0 Page 40 of 85
Enter the check number and hit tab to auto-populate other fields.
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Index documents:
Hit the index tab after verifying details. (Multiple pages: Refer to page 11 before hitting Index.) In corporate accounting indexing, the check numbers have to be entered with three or five zeroes preceding them. If the check number/invoice number provided is incorrect, or check number/invoice number is missing, send an email to the manager and the manager sends an email to AZL Payment Services @allianzlife.com.( AZL
Payment Services/allianzlife)
Skip the document and index rest of the batch. Note:-To verify a check number, enter check number and hit tab. If no details populate, check number is not correct. Sometimes, payee name on the document and system also mismatch.
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Enter the Rep number as shown in field 1 and hit index as shown in field 2. Author TCS Version 1.0 Page 43 of 85
At times, the Keywords field can interchange. Look for the correct field before entering the Rep number. (Multiple pages: Refer to page 11 before hitting Index.)
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If the document reads as NY Paperwork Faxed to Agent look for the following page for a date stamp.
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If the document reads as NY Paperwork Faxed to Transfer Company(TOC), look for the following two pages for a date stamp.
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Look for the SSN number and the last name on this page. If not able to find this information on this page, look on the other pages.
Enter SSN number as shown in field 1. Enter Last name as shown in field 2 and hit Index as shown in field 3. (Multiple pages: Refer to page 11 before hitting Index.)
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Points to remember:
If there is an LTC policy in the agent of record change batch, that particular policy should be indexed in a different scan queue. For security client indexing the SSN number should be used. For commission statements indexing statement ID should be used. In Corporate accounting indexing, three or five zeroes should precede the check number while entering them in Onbase. For Securities Rep Indexing, Rep IDs should be used. For Initial Reg 60 documents indexing, SSN number and last name should be used and Date Stamps need to be verified. Always scroll through all pages of the document to make sure there is no incorrectly scanned page in between. This is common for all indexing processes. The document type field will auto populate for all backend indexing processes. LTC policies must be indexed to Doc Types starting with two numbers 01,02,03 etc Annuity and Life documents must be indexed to doc types starting with a single digit 1,2,3 etc
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1. All LTC or Long Term Care Policies start with 5 and are 8 digits long. 2. Key in the policy number and hit tab to auto populate information. 3. Match the name on the document and system. 4. Index the policy number. (Multiple pages: Refer to page 11 before hitting Index.) Note: If name doesnt match, research in ID3.
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1 2
For these kinds of documents, seven zeroes precede the number as shown in field 1. Enter the number as such (shown in field 2) and index it as shown in field 3.
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2 3
1. 2. 3. 4.
The Life policies generally start with 6 and are 8 digits long. Enter the policy number and hit tab. Match the name on the document and the name on the system, Index the document.
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1 2 3
1. 2. 3. 4.
These policies start with 9000. Enter the policy number and hit tab. Match the name on the document and on the system. Index the document.
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The VersatUL policies start with 3137 or 3136. For these policies the amendment documents cant be prepped with the amendment barcode. They are prepped with the correspondence barcode. Hence, the document type shows as Correspondence. There is a separate procedure to index these documents. At first just enter the policy number, match the name and index it. Then follow the procedure given below:
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Go to awaiting commit:
1 2
Click on awaiting commit as shown in field 1. Select the correct batch as shown in field 2, right click on it and click on view documents as shown in field 3.
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Click on file as shown in field 1. Select Re-Index and click on it as shown in field 2.
From the drop-down select 2 - App - Amendment to Application as the document type.
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Hit Index:
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Send an email:
Send an email with the screen shot to April Frid, Mollie Koopman, Teresa Abbott and Mellisa Goebel. The subject should read as Versat-UL print screen. Please note that the names of the above person should be confirmed every three months.
To Commit:
Once the email is sent, go back to awaiting commit to commit the batch. Follow the same procedure as followed by other batches to commit the indexed batches.
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The Transfer forms in the BCFA batch should have save original written on it. Please refer to the below screenshot.
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2 Key in the agents name (Last name, First name) as shown in field 1. Hit Enter as shown in field 2.
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A list of names will show. Select the correct name as shown in field 1. Click on All Pol Rel as shown in field 2.
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1 2
Select the batch as shown in field 1. Right click on it and click on perform document separation as shown in field 2.
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Save changes:
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Click Yes:
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Click on index in progress as shown in field 1 and select the correct batch as shown in field 2.
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Index documents:
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3 1 2 3
Enter policy number as shown in field 1. Enter Remit Slip Form # as shown in field 2. Enter LOI code as shown in field 3.
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NEW SCENARIOS:
In the above screenshot the image is not clear and the policy number is not legible. In such scenarios the offshore team has to contact the onshore team and the onshore team can pull up the physical document and update the offshore team with the policy number.
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In the above case only the SSN number of the client is provided as shown in field 1 and the check amount is provided as shown in field 2.
First do a research in Onbase using the SSN numbers. During the research four policy numbers are found for the same client as shown in the screenshot above.
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2 Then log in to ID3 and select Policy Inquiry as shown in field 1 and hit enter as shown in field 2.
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Once the policy information is displayed, click on financial activity. Please repeat this step for all policy numbers of the client.
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In the financial activity screen for policy number 707****9, there is a financial activity of 50,000.00 dollars which matches the check amount. Hence select this policy and the index the document in Onbase with this policy number.
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