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Training Manual Archives-Worldox GX4:: Cloud - Administrator

1. About this Course

1.1. Instructional Goals

Upon completion of this course you should be able to:

  • Define the purpose of Document Management
  • List the 8 Fundamentals of Worldox
  • Edit the Profile of Multiple Documents at Once
  • Define Code Look Up Tables
  • Edit a Worldox Code
  • Define the purpose of the Audit Trail
  • Perform an Audit Trail Query on a single document
  • Perform an Audit Trail Query based on Events
  • Perform an Audit Trail Query based on Users
  • Print Multiple files at once
  • Print a list of your documents
  • List two types of Document Repositories in Worldox
  • Search the Salvage Bin Repository
  • Restore Documents from the Salvage Bin Repository
  • Secure a File
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1.2. Topics not Covered

Topics that will not be covered in this course:

  • Saving Techniques
  • SearchingTechniques
  • Administering Symphony Suite
  • Advanced topics for manipulating documents
  • Adding New Worldox Users
  • Adding New Worldox filing Cabinets
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1.3. Prerequisites

The following are prerequisites for this course:

  • Worldox must be installed on the users' workstations
  • Worldox must be installed on the workstation used for this training session
  • Users must have attended the following Trumpet Training Session(s)

Savvy Saving Training
Savvy Searching Training

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2. Background Information

2.1. Purpose and Fundamentals

Purpose of Document Management

One of the primary functions of Worldox document management software is to make documents easy to find by many different people who may think of information in different ways. 

This goal is achieved by:

  1. saving documents consistently and
  2. providing many different methods (using indexing) for finding files

Worldox guides users to save documents with relevant information to make searching intuitive and efficient.

Fundamentals of Worldox

  • In order to save and search for documents using Worldox, you must have Worldox open
  • Worldox manages collections of documents, organized into cabinets (sometimes called "Profile Groups")
  • Each document in a cabinet has a profile associated with it
  • The fields in a document's profile are dependent on which cabinet the document resides in
  • Each document has an assigned Doc ID (this is just one part of a document's profile, but it's a really important part)
  • Each profile within a cabinet has a number of fields
  • Most fields are tied to a code lookup table
  • Each code within a lookup table has a description associated with it

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3. Editing Profile Cards & Code Look Up Table Codes

3.1. Edit the Profile of Multiple Documents

There are circumstances where you may wish to make the same change to a profile for multiple documents.  For example, you may want to locate all pending documents and change the status to complete.

  • Perform a Worldox search for the field value you wish to change (e.g., Account Cabinet, status  = pending)

  • Select the files you wish to edit by clicking in the box next to each file you wish to edit.  To select all files in the search results screen, click Ctrl+ A

  • Click the Profile button


  • Select "Continue" to confirm your selection:
  • The Edit Profile Card window will open

  • Change the old field value to what you would now like it to be

  • IMPORTANT: Place an asterisk in each field where you want the field value to remain the same. For example If I wanted to adjust just the Client field on all 3 documents, then I'd use the drop down arrow, in each field I DON'T want to change, to select the asterisk. Like this


  • Select OK

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3.2. Edit Codes in Code Look Up Tables

Introduction to Code Look Up Tables

Understanding code lookup tables is fundamental to learning how to save and search for documents in Worldox.

What is a Code Look Up Table

A code look up table is a pre-defined list of items to choose from when saving a searching for documents.  Using values in code lookup tables ensures that everyone is filing consistently because for the most part, Worldox fields require that you select a value from the lookup table to file a document.

Viewing Code Tables

There are three ways to view a code look up table:

Option #1:  To view the field code lookup table, simply click on the label next to the field you'd like to view.

Option #2:  To view the field code look up table, select the drop down arrow on the right hand side of the field, and choose "Browse <Selected> Table"

Option #3:  To view the field code look up table, place your cursor in the field, and select F2 on your keyboard.

The Details

Each table contains both field codes and descriptions. 

Here is an example of a field code lookup table:

Some of the fields in the code lookup tables are linked to others.  For example, in the example below, the Doc Type table is linked to the Category table:

Another example is when Investment Accounts are linked to client names.  The values in the Acct No field are linked to the client code.

Worldox also allows you to flag entries as inactive or active.  Note in the illustration below, ALBEJO01 has a slightly different icon than ADAMGR1.  The red circle on the icon indicates that the client code is inactive.

You can still search for and save documents to inactive values, this is simply a visual indicator to you that that value is inactive.

Introduction to Editing Values

On occasion, you may need to edit the values in the field code lookup table. 

In the field code lookup table, you will see an "Edit" button.  The illustration below is the field code lookup table for the AcctNo field.

You will begin by highlighting the entry you wish to edit, and then selecting the "Edit" button.

This will open the Field > Edit window:

Important:  Remember that Worldox uses the field code to create an underlying folder structure in which the documents are stored.  Therefore, editing field codes requires a bit more than simply editing a field description.  Please follow the instructions for Editing a Code explicitly to ensure that your documents are easily searchable!

Edit a Code

You may need to edit a field code in Worldox.  For example, you may not know an account number when you first begin to save documents for that account, or a client may get married or divorced and you want to have their client code properly reflect their name change.

Background

This isn't as simple as editing the client code field in Worldox.  Remember, Worldox uses the field code to create an underlying folder structure in which the documents are stored.  Here's an example of the Worldox Document Repository's underlying folder structure:

You can see that the files on the right are filed in the directory structure notated on the left.

When you change the code in the code lookup table, you're changing where documents will be filed in the future - but not where they currently exist. 

To take things one step further, if you edit the code lookup table but do not move the existing documents accordingly, you will not be able to easily search for those documents by their code because it will not longer exist in the lookup table.

Trumpet refers to these files "Orphaned".  Now that you understand the implications of editing a code in Worldox incorrectly, let's discuss how you can do it properly.

Changing a code in Worldox is a three-step process:

  1. Search for documents already in the system
  2. Edit the code
  3. Edit the profile of the documents filed to Worldox

How to Edit a Code that Appears in a Single Cabinet

Let's get started:

  • Ensure that the code is only in one cabinet (if editing a client code, see "How to Edit a Code that Appears in Multiple Cabinets", below)
  • Perform a search for all documents assigned to the code you wish to change
  • Select Ctrl+A on your keyboard to select all the documents
  • Select the Edit Profile button
  • Select the field in which you wish to edit the code
  • Highlight the code you wish to edit and change the value
  • Ensure the remainder of the fields in the Edit Profile dialog contain the asterisk
  • Select "OK" to edit the profile of the documents to appear under the new code

How to Edit a Code that Appears in Multiple Cabinets

Let's get started:

  • First, perform a search for all documents assigned to the code you wish to change.  Be sure to search in *all* cabinets in which the code appears (e.g., if editing a client code, search across all cabinets with a Client field)
  • In the Worldox search results screen, add the "Cabinet Name" column to your column headers (right-click in the header area and select "Cabinet Name")
  • Single-click on the Cabinet Name column to sort by cabinet
  • Highlight the last file in the list for the first cabinet
  • Right-click on the checkbox and choose "Tag > Above Highlight". This will check all files for this first cabinet in the list
  • Select the Edit Profile button
  • The Edit Profile window will appear
  • Make sure to change all fields to asterisks (*) except the code that is being edited.  If the fields list a specific value, such as "MULTIPLE" rather than "*", it must be changed to an asterisk
  • Open the Field Code Lookup Table for the value you wish to change (e.g. Client, or AcctNo)
  • From the lookup table, highlight the code you wish to change and select the "Edit" button:
  • Edit the code
  • Select "OK"
  • In the Field Code Lookup Table, select your newly edited code
  • Click "OK" in the Edit Profile window
  • Depending on how many files were selected, it may take several seconds or minutes for Worldox to re-profile the files
  • Now, back in the Worldox Search Results list, you will no longer see those documents
  • Select all the documents in the next cabinet
  • Select the Edit Profile button
  • Select the newly edited code from the field code lookup table
  • Lather, rinse, repeat until all documents in all cabinets are re-profiled under the new code

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4. Audit Trails

4.1. Introduction to the Audit Trail

When you perform operations to documents (e.g. opening, saving, previewing, etc) in the Worldox Document Repository, Worldox captures a log of those operations.  The audit trail is simply a history of what has happened with your documents.  These are important for compliance purposes (to show the history of a document over time) and are also helpful for figuring out what certain users are doing for training and auditing purposes. You can perform audit trail queries or searches on a single document or multiple documents based users or operations.  The "operations" in the audit trail are called "Events".

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4.2. Perform Audits

Audit a Single Document's Events

Here's a quick video:  Viewing the Audit Trail of a Document in Worldox

To view the activity or events that have occurred with a specific file:
  • Right-click on the desired file and select Audit -> File
  • The Worldox – Audit Trail History window will appear and immediately start to scan and process the activity that has occurred on this specific file – this includes saves, launches, if the document was renamed or restored, added to, copied, checked-out, edited, etc.
  • Double click on any entry to get specific details about the action of that entry

If you need to adjust the time range of the audit then hit the "Find" button at the top left. A new window will appear with the search criteria for your document. Simply adjust the date range and re-run the search.

Audit based on the Events (not specific to any one document)

You may wish to perform an audit on the documents based on the events that have occurred with them.  For example, you might want to find all documents that have been deleted, or all documents that have been saved.

To perform an audit based on the various events or activities performed on multiple documents:

  • Select "Audit -> Search" in your Worldox Menus

  • This will open the Audit Search Window:

  • Select the date range in which you wish to search along with the cabinet(s) and any applicable profile groups.

  • Select the "Events" button and the list of events will appear:

  • Select the event(s) you wish to search

  • Select the OK button.

  • This will perform the search and list all events matching your criteria in the window:

  • If you'd like to see more details about those events, you can simply double click on an entry.  This will open another window which will display the details of this particular audit trail record.

Audit based on the User (not specific to any one document)

You may wish to perform an audit on the documents based on the use who has done the work.  For example, you might want to find all documents that .

To perform an audit based on the various events or activities performed on multiple documents:

  • Select "Audit -> Search" in your Worldox Menus

  • This will open the Audit Search Window:

  • Select the date range in which you wish to search along with the cabinet(s) and any applicable profile groups.

  • Select the "Users" button and the list of Users will appear:

  • Select the user(s) you wish to search

  • Select OK

  • This will perform the search and list all events matching your criteria in the window:

  • If you'd like to see more details about those events, you can simply double click on an entry.  This will open another window which will display the details of this particular audit trail record.

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5. Advanced Printing

5.1. Export a List of Documents in your Search Results Screen

If you're in the process of being audited, or are doing an internal audit for certain types of documents, you may wish to have a list of files as they appear in your search results screen.

Here's how to create that list:

  • Perform a search for a set of documents for you would like to create an index or print the search results list

  • Load a Column Template that captures the most information for the set of documents on your current search results screen or insert new columns

  • From the main menu, choose List > Export

  • Select the location in which you want to save the list and name the file appropriately

  • Click "Save"

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6. File Level Security

6.1. Secure a File

From time to time, you might have a document that you need to secure.  Perhaps it's a template of the document or another document that you want to make "read-only" to ensure that your complicated formulas stay in tact or just so something doesn't get overwritten.  If it's an occasional document here and there, you can add file level security. 

  • Highlight the document you wish to secure and select the "Security" button in Worldox
  • The Worldox Security Classifications window will open.

Determine which level of security you would like to apply to the document:
 
  • Custom - allows you to set specific rights, such as allowing certain users to view or delete and not others. For example, if a partner needs the ability to restrict access to everyone except the firm's bookkeeper, they can customize privileges per user.  File level security is applied on a document by document basis.  An example of a document that would require custom security might be a spreadsheet containing employees' annual salaries.
    • Select "Add User" to add a specific user and define the rights on the right hand side of the window.
  • Private - restricts anyone but you from doing anything with the file, including being able to search for it 
    • Note:  Another way to ensure sensitive documents are secure is to password protect them.
  • SemiPriv - forces everyone else to only open a read-only copy of the file  (this is probably what you'll use the most, as its great for templates and things like that)
You can create and use additional Security Classifications if you'd like.  For more information see:  Create Security Classifications
 
Important: Users with Worldox Manager Rights will always have full permissions to view / edit documents.  As with any software application, with enough knowledge of the system, someone may be able to work around security privileges to view documents.  You have the ability to create multiple levels of security both via Worldox and at the network level.  Consult with Trumpet and / or your system administrators to obtain the desired level of security for your files.

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7. Deleted Documents

7.1. Salvage Bin - Deleted Documents

Introduction to Document Repositories

Worldox maintains different document repositories for the documents that you file.  Here is a list of the repositories and what they contain:

  • Active - This repository is the default repository.  When you complete a profile card to save a document into Worldox, that document is automatically stored in the Active Repository.
  • Archive - You may wish to move documents to an Archive after they have been in your system for a long period of time.  This will ensure that they do not appear in your normal search results List, but are still accessible by searching that specific repository.
  • Legal Hold - This is a "read-only" repository.  Moving documents to this repository allows you to ensure that users are not able to edit the files in this repository, but can still view them.
  • Salvage - When you move documents to the Salvage Bin, they appear in this repository for a period of ninety days (by default this is configurable).  This is similar to the Windows Recycle Bin.  From here you can restore documents you have inadvertently sent to the Salvage Bin within the ninety day period.  After ninety days, the document is permanently deleted.

You can search the various repositories by selecting the "Search What" button in the search card:

and by selecting the appropriate repository:

Note:  We will discuss the other repositories in subsequent sessions.  For today's session we will focus on the Salvage Repository.

Introduction to the Salvage Bin

By default, when you save documents to Worldox, you are saving them to an "active" document repository.  Worldox has other repositories, one of which is the "Salvage Bin".  The Salvage Bin is similar to the Windows Recycle Bin.

Just as in the Windows Recycle Bin, you cannot manipulate documents when they are in the Salvage Bin repository, but you can restore them to the active repository.  The Salvage Bin repository is searchable as well.

The main difference between the Windows Recycle Bin and the Worldox Salvage Bin is that, by default, documents are purged from this repository after they have been in it for 90 days.  After 90 days, the documents are not recoverable.  For regulatory purposes, you may wish to utilize Salvage Bin Retention Rules to ensure that documents are retained for the requisite amount of time.  Should you wish to change the 90-day default purge default, please email support@trumpetinc.com.

Your firm's Compliance Officer has been provided documentation on both SEC and FINRA requirements for electronic record keeping.  Here is this document for further reference:  http://www.trumpetinc.com/Downloads/dms/compliancefinra.PDF

Trumpet is not legal counsel, so it is ultimately up to you to abide by and conform with regulatory agencies that the process you establish adequately meets their standards.

Search for Documents in the Salvage Bin

The Salvage Bin repository is located on your file server within the Active Document Repository.

To search for documents that have been moved to the Salvage Bin:

  • Open a Search Card

  • Select "Search What"

  • Select the "Salvage Bin" radio button

  • Select "OK"

  • Fill in any additional search criteria in the search card and select "Search"

Move Documents from the Salvage Bin to the Active Repository

To move a document from the Salvage Bin Repository to the active Worldox Repository:

  • Perform a search in the Salvage Bin for the document you wish to restore to the Active Worldox Repository (refer to the article, Search for Documents in the Salvage Bin for detailed instructions on this step)

  • Double-click on the document

  • Select "Yes" to un-delete the file

  • The document will be placed back in its original location

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8. Updating your Password

8.1. Managing your Worldox Cloud Passwords via the Worldox Cloud User Portal

About the Worldox Cloud User Portal

The Worldox Cloud User Portal allows users to manage their passwords directly and provides an interface to reset lost passwords and unlock accounts.

Users can reach the portal by pointing their browsers to the following site:

https://portal.wdsaas.com:9251


Enrollment

Before this service can be utilized, each user must go through an enrollment process to define two security questions and provide a valid email address.

For a video walking you through this process visit here: Enroll in the Worldox Cloud User Portal

  • Login with your current Worldox Cloud username and password and fill out the Captcha verification
  • After a successful login, you will be presented with a link to begin the enrollment process
  • Select the "Click Here" button to continue the enrollment process
  • Select two security questions and provide answers in the following dialog

  • Select the "Verification Code" tab
  • Enter your email address.  This email address will be used to deliver the validation code when a password reset is requested
  • Select the "Enroll" button

This completes the enrollment process, and the user will be able to perform password resets using the provided 2-factor information.




Changing a Known Password

Passwords can be changed at any time by logging into the Worldox Cloud User Portal and choosing the "Change Password" tab.

For a video walking you through this process visit here:  Worldox Cloud User Portal - Changing your Password

  • Open the Worldox Cloud User Portal: https://portal.wdsaas.com:9251
  • Enter your old password
  • Enter the new password
  • Enter the new password again to confirm
  • Select "Change Password"




Resetting a Lost Password or Unlocking an Account

In the event of a lost password or a locked account caused by too many failed logins, this portal can be used to resolve this situation.

  • Open the Worldox Cloud User Portal here:  https://portal.wdsaas.com:9251
  • On the main login page, choose either Reset Password or Unlock Account
  • Enter your username and type in the characters from the Captcha picture below
  • Select Continue
  • Answer the security questions (you previously defined these questions and answers during the enrollment process) 
  • Type in the characters from the Captcha picture and select Continue
  • In the Email Id field, enter the email address to which you want your verification code to be sent
  • Type in the characters from the Captcha picture and select Continue
  • The verification code will arrive via email within a few minutes. Enter the code into the verification box 
  • Finally, you'll need to enter a new password and confirm it, then type in the characters in the Captcha box
  • Select "Reset Password"



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