sop backend indexing

7/31/2019 SOP Backend Indexing

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Indexing Backend Processing SOP

Indexing BackendProcessing

Author TCS Version 1.0 Page 1 of 85


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Control information

Revision History

Sl.No.

Date Author Changes Made(Page/ Section)

Details

1.0 March

17, 2009

Prakash /

Nagaraj

Review By

Name Date Version No. Business Area

Kathy Anderson

Shauna Coble



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Table of Contents

GENERAL INFORMATION ...........................................................................5

SIPOC FOR INDEXING- BACKEND PROCESSING:............................................6

SYSTEMS USED: .......................................................................................7

PROCEDURES: ....................................................................................................................8STEP 1 OPENTHEREQUESTTHROUGH ONBASE...........................................................................9

THEFOLLOWINGPROCEDURESAREGOINGTOBECOMMONFORALLTYPESOFBACKENDINDEXING:.....................9SELECTTHEBATCHFILE:.........................................................................................................9SELECT INDEXDOCUMENTS:...................................................................................................10REVIEWFORTHEPOLICYNUMBERONTHEDOCUMENT:.....................................................................10HIT INDEXIFTHEINFORMATIONMATCHESANDTHEQUALITYOFTHEIMAGEISACCEPTABLE:...........................11RESEARCHFORPOLICYNUMBERIFNOTAVAILABLE:.........................................................................12EXCEPTIONS:....................................................................................................................12SKIPTHEDOCUMENT:...........................................................................................................12GOTO INDEXINPROGRESS:...................................................................................................13CHANGESCANQUEUE:.........................................................................................................14RIGHT CLICKTHEBATCHANDSELECT INDEXDOCUMENTS:................................................................15SELECT DOCTYPEAS 04 - CORRESPONDENCE:............................................................................15ENTER POLICY NUMBER:.......................................................................................................16PREMIUMRECEIPTSFOR LTC POLICIES:......................................................................................17SPECIAL TYPES OF BACKEND INDEXING:....................................................................191. SECURITY CLIENTINDEXING:...............................................................................................20ENTER TAX ID NUMBER:......................................................................................................20INDEXSECONDPARTOFTHEDOCUMENT:....................................................................................21RESEARCHIN BONUS:.......................................................................................................22ENTERTHESEARCHSCREEN:..................................................................................................24SELECT ALL:...................................................................................................................25SEARCH CRITERIA:..............................................................................................................26REVIEWPOLICYINFORMATION:.................................................................................................272. COMMISSION STATEMENT INDEXING:.....................................................................................28REVIEWFORTHESTATEMENT ID:.............................................................................................28CHECKTHEINSTITUTIONNUMBER:............................................................................................30VERIFYTHESECONDPAGE:....................................................................................................30CHECKFORINCORRECTSCANNEDPAGES:....................................................................................31SEPARATINGTHEINCORRECTPAGE:...........................................................................................32COMEBACKTOTHEMAINDOCUMENT:........................................................................................32ROTATETHEDOCUMENTS:.....................................................................................................33SELECTALLTHEPAGES:........................................................................................................34ROTATETHEPAGES:............................................................................................................35SAVECHANGES:.................................................................................................................35DELETEUNWANTEDPAGES:....................................................................................................36SELECTTHEPAGESTOBEDELETED:..........................................................................................37



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CLICKONSAVECHANGES:.....................................................................................................38INDEXTHEDOCUMENT:.........................................................................................................38

3. CORPORATE ACCOUNTING INDEXING:.....................................................................................39INVOICES:........................................................................................................................39ENTERTHECHECKNUMBERPRECEDEDBYTHREEORFIVEZEROES:.......................................................39SELECTTHECORRECTINVOICENUMBER:.....................................................................................40ENTERNUMBERANDHITTAB:.................................................................................................40CHECKREQUESTS:.............................................................................................................41REVIEW CHECKNUMBER:.....................................................................................................41ENTERCHECKNUMBER:........................................................................................................41INDEXDOCUMENTS:.............................................................................................................424. SECURITIES REP INDEXING:................................................................................................42REVIEWTHE REP NUMBER:...................................................................................................43ENTERTHE REP NUMBER:.....................................................................................................43

THEFIELDSCANINTERCHANGEONTHESYSTEM:............................................................................44

5.INDEXING

INITIAL

REG 60DOCUMENTS

:................................................................................44REVIEWTHEDOCUMENTANDENTERNECESSARYINFORMATION:...........................................................47ENTERTHEINFORMATIONANDINDEX:........................................................................................48STEP 2: COMMITTHEINDEXEDDOCUMENTS:...............................................................................49REVIEW CHECKLISTFORTHE SUPERVISOR:..................................................................................49....................................................................................................................................49POINTSTOREMEMBER:.........................................................................................................49FEWOTHERSCENARIOS:.......................................................................................................50SCREENSHOTSOFVARIOUSOTHERTYPESOFBATCHFILES:.................................................................50LTC BCFA BATCH:...........................................................................................................52ENDORSEDGROUPDOCUMENTS:..............................................................................................53LIFE BCFA BATCH:............................................................................................................54NEW YORKBCFA BATCH:....................................................................................................55VERSATUL LIVE BATCH:.....................................................................................................56GOTOAWAITINGCOMMIT:.....................................................................................................57OPENTHEDOCUMENTS:........................................................................................................58RE-INDEXTHE AMENDMENTDOCUMENT:.....................................................................................58CHANGEDOCUMENTTYPETO 2 - APP - AMENDMENT:....................................................................59HIT INDEX:......................................................................................................................60SAVEASNEWDOCUMENT:.....................................................................................................61SENDANEMAIL:................................................................................................................62

TO COMMIT:....................................................................................................................62THE TRANSFERFORMSINTHE BCFA BATCHSHOULDHAVE SAVEORIGINAL WRITTENONIT. PLEASEREFERTOTHEBELOWSCREENSHOT.......................................................................................................63RESEARCHIN ID3 WITHAGENTINFORMATION:..............................................................................64CLICKON WORKWITH PRODUCERSBY NAME:.............................................................................65KEYINTHENAMEOFTHEAGENT:.............................................................................................66

SELECTTHENAME:.............................................................................................................67SCREENSHOTOF TE ASAP BATCH:.........................................................................................69(MULTIPLEPAGES: REFERTOPAGE 11 BEFOREHITTING INDEX.).......................................................69WHITE PAPER INDEXING:......................................................................................................69GOTO AWAITING DOCUMENT SEPARATION QUEUE:.......................................................................70CLICKON PERFORM DOCUMENT SEPARATION:..............................................................................71WHITE PAPERDOCUMENTS:...................................................................................................72SAVECHANGES:.................................................................................................................74CLICKYES:......................................................................................................................75



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GOBACKTO INDEXINPROGRESS:............................................................................................76INDEXDOCUMENTS:.............................................................................................................77

SELECT ALI000 - SIMPLE REMIT SLIP:....................................................................................78FILLOUTTHENECESSARYINFORMATION:.....................................................................................79THEBELOWPAGESHOULDNEVERBEFILLED:................................................................................80COMMITTHEBATCHES:.........................................................................................................80NEW SCENARIOS:........................................................................................................81

Business Unit Indexing

Backend Processing

General Information

This is a process of adding documents to the records of the existing policiesavailable 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 theOnbase system.

Once the Indexing is complete the batch will have the commit process started toupload the indexed file to existing records in Onbase.



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SIPOC for Indexing- Backend Processing:

Client Name: Allianz :: Process Name: Indexing Backend

ProcessingProject Description:

This is a process of identifying and adding the records to the existing policies available on the

ONBASE system from the Awaiting Index Queue.

Supplier

S IInput Output Customer Process

CP O

Mail Room

Rep

Awaiting

Index QueueActivity Verb Noun

Pull and verify the paper workfrom the Batch

Check Data

Check the Policy # and Name ofthe Annuitant

Check Data

Index the policy on the ONBASE UpdateData-Base

Start the Batch Commit Process UpdateData

-Base

Paper work

added to theexisting

Policies

Annuitant

Trust

Guardian

Estate

AwaitingIndex Queue

Quality 98%

TAT TBDProcess Conversion Type: Rule Based Decision making

Reviewed by QR Authorized By Process ManagerReviewed by QR Authorized By Process Manager

Input Metrics

SLAs



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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 BackendProcessing

1. Securities statement2. Commission statement3. PDR (Policy Delivery Receipt)4. Correspondence5. Service Request6. Refund Verification7. Annuity Claims8. Distribution Correspondence9. Illustrations10.Policy Statements11.Agent of Record Changes12.Application Correspondence13.Distribution of Money and Claims14.Checks15.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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LTCA policy queues

Step 1 Open the request through Onbase

Refer to the system training material for Onbase login procedures.

The following procedures are going to be common for all types ofbackend indexing:

Select the batch file:

Click on the awaiting index queue and select the batch that needs to be indexed.


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Select Index documents:

Right click on the batch and then click on index documents.The following will be normal scenarios of backend indexing.

Review for the policy number on the document:

1. Look for the policy number on the document


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2. Enter the policy number in the policy number field and hit tab to autopopulate other fields

3. Match the name withthe signature on the document.

Please note that the document type field will auto populate for the majorityof backend indexing.

Hit Index if the information matches and the quality of the image isacceptable:

Hit Index after verifying the information available on the document for thatparticular policy number.MULTIPLE PAGES:If there is more than one page: Before hitting Index scroll through the thumbnailsand verify that the quality of the image is acceptable. Then verify the last page ofthe document is also the same client and no other documents are appended .If there is another clients document appended in this document, make sure toseparate those pages and create a separate document and index them..Refer topages 30-32 in this SOP .



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Research for policy number if not available:

If the policy number is not available on the document research to find the policynumber. Please refer to the SOP-Indexing RFA (FAX) for the procedure toresearch for a policy number.

Exceptions:

Under the Agent of record change batch type (BCFA batch), there might bedocuments for LTC policies. The LTC policies start with a 5 and are eight digitslong. Make sure not to index these under 5 - IA - Agent of Record changes.

These policy numbers should be indexed in a different scan queue.

Skip the document:



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Select the skip button to skip indexing the document.

Go to Index in progress:



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Click on index in progress queue.

Change scan queue:

Documents not yet indexed will pop up. Select the batch being workedOn as shown in field 1 and right click and change scan queue to LTCA Policiesqueue as shown in field 2.


2


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Right Click the batch and select Index documents:

After selecting the batch to be indexed, right click and click on Index documents.

Select Doc type as 04 - Correspondence:



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Select the document type as 04-Correspondence from the drop down.

Enter Policy Number:


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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 11before hitting Index.)

Premium receipts for LTC policies:

These kinds of documents are indexed the same way as above but the onlychange will be the document type. The document type here should be changedto 05 - BILLING-Incoming cash. Please follow the below screenshots.

1. Open the document in the same way as other backend indexing processes.Note this batch will read FA-KLA. This is how the document looks at the

beginning. The document type will read as 8 - Prem - Premium Collected.


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2. Change the Scan Queue. The Scan Queue should be changed to LTCApolicies Queue. This is what a changed scan queue will look like.

3. The document type is also changed from 8 - Prem - Premium collected to05 - BILLING- Incoming cash. This is what the changed document type willlook like.



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4. Enter the required information and hit index to index the document.

SPECIAL TYPES OF BACKEND INDEXING:

The following are the special types of backend indexing.


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1. Security Client indexing:

The doc starts with a file separator page, which has Client # or SSN # on it.

Enter Tax ID number:

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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Index second part of the document:

Verify the tax id number on the next document and if it matches, index thedocument by hitting the index button. (Multiple pages: Refer to page 11 beforehitting Index.)



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Research in BONUS:

Research in bonus is done if tax id entered doesnt auto populate otherinformation.

Above is the navigation path for the Bonus application. Follow the sequence tolog into Bonus application.



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Bonus doesnt need any login credentials.



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Enter the search screen:

Click on client as shown in field 1 and then click on search as shown in field 2.Itwill open a new screen as shown below.



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Select ALL:

Select ALL from the drop-down for Search For.



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Search Criteria:

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.


2


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After entering the SSN/TIN number, hit search.

Review policy information:

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 thepolicy. Refer to the screenshot below.



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Enter new policy number as shown in field 1 and hit index as shown in field 2.

2. Commission Statement Indexing:

Review for the statement ID:


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Look for the statement ID on the document as shown in field 1 and enter thesame in the space for statement ID as shown in field 2.



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Check the institution number:

Hit tab after entering the statement ID to auto populate other information. EnsureInstitution number is always 0.

Verify the second page:



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Always verify this page as it has statement ID and Fund Company name on it.

Check for incorrect scanned pages:

If this page shows up in the middle while checking the other pages of adocument, it should be separated as it belongs to another set of documents. Ithappens if the barcode doesnt read correctly.Please note this step is to be followed for all indexing processes. Alwaysscroll through all the pages to make sure there are no incorrectly scannedpages.(Multiple pages: Refer to page 11 before hitting Index.)



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Separating the incorrect page:

Select the page to be separated as shown in field 1. When selected, the pageoutline should become blue. Then click on the new document icon as shown infield 2. It will create a separate set of document. This document will now bedifferentiated from the main document.

Come back to the main document:



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Once a new document has been created, click on the back arrow to come backto the initial document. Index that document which will then bring up theincorrectly scanned document.

Rotate the documents:



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Select Ctrl+D to show all pages together.

Select all the pages:

Click on the select all icon to select all pages for rotating the pages. Onceselected all the pages should have a blue outline as shown in the screenshotbelow.



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Rotate the pages:

Click on the rotate icon to rotate the pages correctly.

Save changes:

Click on Save changes and close to save the rotation.



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Delete unwanted pages:



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Right click on the document and click on delete/Reorder pages.

Select the pages to be deleted:

Double click on the pages to be deleted. Once selected the pages should havethe red X sign as shown in the screenshot above.



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Click on save changes:

Click on Save changes and close to delete the pages and go back to the originaldocument without those pages.

Index the document:



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Enter the required information for indexing the document. Hit index to index thedocument. (Multiple pages: Refer to page 11 before hitting Index.)

3. Corporate Accounting Indexing:

It is a type of backend indexing where the checks and invoices are received forthe payments made. It is used for all kinds of incoming bills.

Invoices:

Enter the check number preceded by three or five zeroes:

Enter the check number preceded by three zeroes. The check number fieldshould be filled with 10 digits. So first check the number and then add three orfive zeroes before the check number.



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Select the correct invoice number:

If one check has been used to pay more than one invoice, a small window popsup with the list of invoice numbers. Select the correct invoice number for thatparticular document as shown in field 2. The invoice number in the box shouldmatch to the invoice number on the document. Invoice numbers are usuallyfound on the first page of the document. In this case 8291 is an invoice number.

Enter number and hit tab:

Once correct invoice number is selected, the other fields will populate. Documentcan be indexed now. (Multiple pages: Refer to page 11 before hitting Index.)



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Check Requests:

Review Check number:

Enter check number:

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 beforehitting Index.)

In corporate accounting indexing, the check numbers have to be entered withthree 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 themanager sends an email to AZL Payment Services @allianzlife.com.( AZLPayment 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 detailspopulate, check number is not correct. Sometimes, payee name on thedocument and system also mismatch.

4. Securities Rep Indexing:

In this type of Indexing, the indexing is done with the Rep ID found on thedocument.

mailto:[email protected]:[email protected]


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Review the Rep Number:

Look for the Rep number on the document.

Enter the Rep Number:

Enter the Rep number as shown in field 1 and hit index as shown in field 2.


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1


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The fields can interchange on the system:

At times, the Keywords field can interchange. Look for the correct field beforeentering the Rep number. (Multiple pages: Refer to page 11 before hitting

Index.)

5.Indexing Initial REG 60 documents:

Its a front-end process that can be considered backend. Always look for the datestamp on these documents.



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If the document reads as NY Paperwork Faxed to Agent look for the followingpage 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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Review the document and enter necessary information:

NOTE: Initial REG 60 keywords do not auto populate. Both fields have to beentered manually.



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Look for the SSN number and the last name on this page. If not able to findthis information on this page, look on the other pages.

Enter the information and index:

Enter SSN number as shown in field 1. Enter Last name as shown in field 2and hit Index as shown in field 3. (Multiple pages: Refer to page 11 beforehitting Index.)


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Step 2: Commit the indexed documents:

This procedure is to be done by the supervisor after reviewing the indexeddocuments. The procedure mentioned in Step 16-Select commit selected in SOPfor indexing RFA (Fax) is to be followed. This process will remain same for allbackend indexing processes.

Review Checklist for the Supervisor:

Criteria Sheet -Backend Processing

Points to remember:

If there is an LTC policy in the agent of record change batch, thatparticular 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 thecheck 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 shouldbe 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 indexingprocesses.

The document type field will auto populate for all backend indexingprocesses.

LTC policies must be indexed to Doc Types starting with two numbers01,02,03 etc

Annuity and Life documents must be indexed to doc types starting with asingle digit 1,2,3 etc



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Few other scenarios:

Screenshots of various other types of batch files:

LTC BCFA batch



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VersatUL LIVE batch

New York BCFA batch



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LTC BCFA batch:

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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Endorsed group documents:

For these kinds of documents, seven zeroes precede the number as shown infield 1.

Enter the number as such (shown in field 2) and index it as shown in field 3.


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Life BCFA batch:

1. The Life policies generally start with 6 and are 8 digits long.2. Enter the policy number and hit tab.3. Match the name on the document and the name on the system,4. Index the document.



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New York BCFA batch:

1. These policies start with 9000.2. Enter the policy number and hit tab.3. Match the name on the document and on the system.4. Index the document.



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VersatUL LIVE batch:

The VersatUL policies start with 3137 or 3136.

For these policies the amendment documents cant be prepped with theamendment 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:

Click on awaiting commit as shown in field 1. Select the correct batch as shownin field 2, right click on it and click on view documents as shown in field 3.


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Open the documents:

Double click on the document to open it.

Re-index the Amendment document:


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Click on file as shown in field 1.

Select Re-Index and click on it as shown in field 2.

Change document type to 2 - App - Amendment:

From the drop-down select 2 - App - Amendment to Application as the documenttype.



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Hit Index:

After selecting 2 - Amendment to Application from the drop-down, hit index.



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Save as new document:

Click on Save as New Document when this screen pops up.



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Send an email:

Send an email with the screen shot to April Frid, Mollie Koopman, Teresa Abbottand 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. Followthe 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 originalwritten on it. Please refer to the below screenshot.



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Research in ID3 with agent information:

Follow system training material to log in to ID3. Click on PIN maintenance.



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Click on Work with Producers by Name:

Click on work with producers by name from the list.



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Key in the name of the agent:

Key in the agents name (Last name, First name) as shown in field 1. Hit Enter asshown in field 2.


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Select the name:

A list of names will show. Select the correct name as shown in field 1. Click on AllPol Rel as shown in field 2.


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Select the owners information as shown in the screenshot below.



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Screenshot of TE ASAP batch:


White Paper Indexing:

This is also a part of Backend Indexing. Follow the procedure below to indexthese documents.



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Go to Awaiting Document Separation Queue:

Click on the awaiting document separation queue.



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Click on Perform Document Separation:

Select the batch as shown in field 1. Right click on it and click on performdocument separation as shown in field 2.


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White Paper documents:

Separate the documents:



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Separate the documents by clicking on the white box.



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Save changes:

Click on Save changes and close.



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Click Yes:

Click Yes once this small screen pops up.



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Go back to Index in progress:

Click on index in progress as shown in field 1 and select the correct batch asshown in field 2.


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Index documents:

Right click the batch and click on index documents.



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Select ALI000 - Simple Remit Slip:

Select ALI000 - Simple Remit Slip from the dropdown.



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Fill out the necessary information:

Enter policy number as shown in field 1. Enter Remit Slip Form # as shown infield 2. Enter LOI code as shown in field 3.


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The below page should never be filled:

Commit the batches:

Follow the same procedure as followed in other processes to commit the indexedbatch.



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NEW SCENARIOS:

In the above screenshot the image is not clear and the policy number is notlegible. In such scenarios the offshore team has to contact the onshore team andthe onshore team can pull up the physical document and update the offshoreteam with the policy number.


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In the above case only the SSN number of the client is provided as shown in field1 and the check amount is provided as shown in field 2.

First do a research in Onbase using the SSN numbers. During the research fourpolicy numbers are found for the same client as shown in the screenshot above.



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Then log in to ID3 and select Policy Inquiry as shown in field 1 and hit enter asshown 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 thispolicy and the index the document in Onbase with this policy number.