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Upon completion of this course you should be able to:
Topics that will not be covered in this course:
The following are prerequisites for this course:
Savvy Saving Training
Savvy Searching Training
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.Â
This goal is achieved by:
Worldox guides users to save documents with relevant information to make searching intuitive and efficient.
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
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
Understanding code lookup tables is fundamental to learning how to save and search for documents in Worldox.
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.
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.
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.
On occasion, you may need to edit the values in the field code lookup table.Â
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!
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.
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:
Let's get started:
Let's get started:
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".
Here's a quick video: Viewing the Audit Trail of a Document in Worldox
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.
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 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:
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 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'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"
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.
Worldox maintains different document repositories for the documents that you file. Here is a list of the repositories and what they contain:
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.
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 your current Worldox VAR.
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.
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"
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 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
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
This completes the enrollment process, and the user will be able to perform password resets using the provided 2-factor information.
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
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.
If these steps do not work, email wdccsupport@worldox.com for assistance.