Advanced Indexing: Re-key Indexing and Validation

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Overview

Re-key Indexing can be used to verify indexing values for consistency between multiple indexers. In a nutshell, the Re-key Indexing and Re-key Validation workflow configurations are designed to allow organizations to employ secondary and tertiary levels of verification when it comes to validating the accuracy of their entered index data.

 

For example, if a Payroll company has a business policy to ensure that data entered for payroll documents is verified first by an additional employee, then by a member of management, they would set up a Re-key validation workflow. This process would move the document through an initial employee, verify the entered information through a second employee, and then allow a third user to verify the decisions of the first two users, as well as make any overriding changes necessary.

 

Re-key indexing and validation is a tool used to ensure businesses employing PSIcapture for their document workflows have ample opportunity to ensure data integrity, accountability, and oversight. The article below explains the differences between workflow configurations and details the setup process for a PSIcapture Administrator to employ.

 

Understanding Re-key Processing Behavior

 

Before we begin, make sure you understand the basic information Index Workflow configuration:

PSIcapture Administrator Guide: Index Workflow Configuration

The majority of Index settings are outlined in the above article. In this article, we will cover Re-key specific configuration options and how to best utilize them for your unique business practices.

 

Understanding Indexing Mode

 

• Standard Indexing - Data is keyed into Index Fields in a Standard Index workflow step, and no additional workflow steps for Re-key validation are used.
• Re-key Indexing - This option forces users to re-key specific fields in a secondary Indexing workflow step as a designated means of validation/verification. This ensures a secondary user who has not previously interacted with the incoming Documents has a chance to verify the integrity of the data.
• Re-key Validation - This option forces users to re-key specific fields in a secondary Indexing workflow step as a designated means of validation/verification. Then, an additional third step is added for a tertiary level of validation/verification by a separate party. Double-blind and third-party verification configurations fall under this category. This process ensures that three total individuals will be involved in the data verification process: the initial batch processor, the secondary verifying user, and the tertiary verifying user.

 

Other Re-key Settings

It's important to note that there are settings in various parts of the Capture Profile settings that apply to Re-Key Indexing and Validation.

• Individual Folder or Document index fields can be marked for Re-Key in Indexing. Setting up these index fields is discussed in more detail below.

• Re-key Indexing settings are configured under the Re-key Indexing section of Advanced Indexing. Jump to the Re-key Indexing and Validation Advanced Indexing Options section below for more information.

• When configuring your capture profile Workflow settings, additional Index steps in Re-key Indexing mode and Re-key Validation mode must be added to the workflow in addition to the standard Index step:

 

Each of these configuration processes is covered in detail below.

 

Detailed Re-key Configuration

 

In order to process Re-key fields, you must have a Re-key Indexing step in the workflow. The behavior during indexing differs depending on which Index steps are defined in the workflow.  There are 2 different workflow configuration options:

 

Standard Index and Re-key Indexing Configuration

 

First, in order to use a Standard Index and Re-key indexing workflow configuration, the following settings must be configured and tuned to your unique business needs:

1. Choose the Index field(s) within the Indexing Configuration area and mark it for Re-Key:
   
   
   
   
2. Ensure that two Index Workflow Steps are added sequentially:
   1. On the first Index Workflow Step, make sure the Re-Key checkbox is not enabled. It also cannot be set for auto index, as Re-Key is a manual Index Process:
      
      
      
      
   2. Add a second Index step, and this time select "Re-Key Indexing" under the Index Settings:
      
      
      
      
   3. Here is an example of what those two steps might look like after configuration:
      
      
      
      
3.  Your workflow is now configured for Re-key indexing.

 

Example Standard Indexing and Re-key indexing workflow

 

Here's how a typical Re-key indexing workflow would play out:

1. 1. When running a batch through the workflow, the first user will enter data in an Index Field under the first Index (standard mode) step.
   2. The batch is then sent to the 2^nd Index step (Re-key Indexing mode) for another user to Re-key. When the batch is moved to the second Index step, any data in index fields marked for Re-key must be re-entered.
      1. If the value of the data is the same from Index Step 1 to Index Step 2, then the workflow will continue normally without interruption.
      2. If, however the data is changed from these two index steps, a dialog box will be displayed, and the user must choose to use the value from the first index step or the second index step:
         
         
         
         
      3. The user must choose to use either the Original value or the Re-keyed value in order to continue indexing. Once they complete the second Index step, the rest of the workflow will continue as it has been configured.

 

Standard, Re-key Indexing and Re-key Validation Configuration

In order to use a Standard Index, Re-key indexing, and Re-key validation workflow configuration, the following settings must be configured and tuned to match your business workflow policy:

1. Choose the Index field(s) within the Indexing Configuration area and mark it for Re-Key:
   
   
   
   
2. Ensure that three Index Workflow Steps are added sequentially:
   1. On the first Index Workflow Step, make sure the Re-Key checkbox is not enabled. It also cannot be set for auto index, as Re-Key is a manual Index Process.
   2. Add a second Index step, and this time select "Re-Key Indexing" under the Index Settings:
      
      
      
      
   3. Add a third Index step, and this time select "Re-key validation" under index settings:
      
      
      
      
   4. Here is an example of what those three steps might look like after configuration:
      
      
      
      
3. Your workflow is now configured for Re-key Indexing and Re-key Validation.

 

Example Standard Indexing, Re-key indexing, and Re-key validation workflow

 

Here's how a typical Re-key indexing and Re-key Validation workflow would play out:

1. 1. When running a batch through the workflow, the first user will enter data in an Index Field under the first Index (standard mode) step.
   2. The batch is then sent to the 2^nd Index step (Re-key Indexing mode) for another user to Re-key. When the batch is moved to the second Index step, only data in index fields marked for Re-key must be re-entered.
      1. If the value of the data is the same from Index Step 1 to Index Step 2, then the workflow will continue normally without interruption.
      2. If, however the data is changed from these two index steps, a dialog box will be displayed, and the user must choose to use the value from the first index step or the second index step:
         
         
   3. If the second user enters a value that does not match the value entered for the same field in the first standard Index step, then depending on the settings configured under Advanced Indexing, several variations can occur. Explore the section "Re-key Indexing and Validation Advanced Indexing Options" below for more information.
      • By default, this 2^nd step is considered double blind and the user will not be noticed of any discrepancy between the value they entered and the value that the original indexer entered for the field.

The following are some further examples of how this workflow would play out based on specific configuration settings.

 

Display re-key validation alerts in Re-key Indexing step

If the “Display re-key validation alerts in Re-key Indexing step” is selected, then the user will be notified when the re-key value does not match the original value by an Alert being set on that field. The user will not be able to see the Original value or verify which value to use.

 

Allow verification in Re-Key Index step

If the “Allow verification in Re-Key Index step” is selected, the user will be notified of discrepancies between the original and re-keyed value and will be prompted with the Re-key Indexing Validation Error dialog to select which value to use:

 

Third Index Step - Re-key Validation Indexing

 

When the Batch is closed from the Re-key Indexing step (the second step detailed above), the next step in the process is dependent on whether or not there are Re-key Indexing validation errors in the Batch and how the Batch Processing settings have been defined on Advanced Indexing. See Configuration section below for a description of the different Batch processing options.  When a Batch ends up in the Re-key Validation step and is opened by a user, they will be prompted to view the Re-key Indexing results:

 

 

Clicking Yes will open the Re-key Indexing Validation dialog:

 

 

Understanding the Re-key Indexing Validation Dialog Window

 

Batch pane

This lists the Folder/Documents in the Batch.  The default view will be determined based on if Re-key fields are defined at the Folder level, Document level or both.  The user can switch the display using the Batch View Display button on the toolbar.  Within the Batch view the user can:

• Mark an item for Reject to reject a Folder/Document to an exceptions Batch. Rejection of the selected items will occur when the user closes the Re-key Indexing Validation dialog.
• Mark an item for Review to set the Review flag on a Folder/Document. This will make it easier for the user to find Folders/Documents within the Index module that require further review/editing of data (e.g. if both the Original and Re-keyed values are incorrect).  Note that in order to manually edit values in the Index module, the “Allow indexing in the Re-key Validation step” option must be selected on the Advanced Index settings on the Capture Profile.

 

Current Folder/Document index value verification pane

This lists the index fields for the selected Folder/Document along with the Original and Re-keyed values.  The user can use the buttons in the grid or hotkeys to select the Verified Value for each field as required.  If the Original and Re-key values match, then they are auto verified.

 

Viewer pane

The viewer displays the current document, making it easier for the user to verify data that was entered off of the document itself. 

A number of hotkeys are available to increase index data verification.  Click the Hot Keys help button on the toolbar for a complete list of available hotkeys.

 

Re-key Indexing and Validation Advanced Indexing Options

Perform any additional changes necessary for your unique workflow under Advanced Indexing > Re-key Indexing. The following is a screenshot of this product area:

Re-key Indexing options:

"Do not allow the same user to perform Re-key indexing on a Batch if they performed Standard Indexing on the batch" - This setting is for double-blind and otherwise similar workflows employed by businesses requiring validation by two separate individuals for indexing data. For example, the first user would key in data to an index field in the first workflow step configured, and in the second workflow step, with this setting enabled, a second PSIcapture user would need to Re-key the index data to ensure validation by a secondary user.

 

Re-key Indexing and Validation options:

NOTE: These settings only apply with a triple-validation workflow, e.g. three separate index workflow steps, the first standard, the second Re-key indexing, and the third Re-key validation.

If Batch contains re-key validation errors:

• Send items with errors to Exceptions Batch for data verification in Re-key Validation step. Original Batch will skip Re-Key Validation step - This option splits documents with validation errors into their own batch and removes them from the original batch. The original batch, now free of any documents with validation errors, will then skip the Re-key validation step and proceed with the workflow.
• Send items with errors to Exceptions Batch for data verification in Re-key Validation step. Original Batch will not skip Re-Key Validation step - This option splits documents with validation errors into their own batch and removes them from the original batch. The original batch will then still undergo the Re-key Validation step regardless of the fact that there were no validation errors up to this point. This step can be used to adhere to company policies that require review by a third party or additional individual within the organization regardless of the state of the data.
• Keep Batch together for data verification in Re-key Validation step - This option keeps the original batch together and does not split off documents with validation errors into their own batch. This can be important for some company policies that require batches to be viewed only by specific individuals, or when Administrators wish to avoid confusion with users by splitting batches. The original batch will proceed through all Index workflow steps regardless of the state of the data, unless the option "Skip Re-key Validation Step" is enabled below.

If Batch contains no re-key validation errors:

• Skip Re-key Validation step - Moves the batch passed the Re-key Validation step since there is no data that needs to be re-validated.
• Do not skip Re-key Validation step - Forces the batch to undergo a Re-key Validation step regardless of whether there are validation errors or not.

Display re-key validation alerts in Re-key Indexing step - As detailed above, when this option is selected, the user will be notified when the re-key value does not match the original value by an Alert being set on that field. The user will not be able to see the Original value or verify which value to use.

Allow verification in Re-key Indexing step - As detailed above, if this options is selected, the user will be notified of discrepancies between the original and re-keyed value and will be prompted with the Re-key Indexing Validation Error dialog to select which value to use:

 

Allow Indexing in Re-key Validation step - By default, PSIcapture will only allow users to input data into Re-key fields, during a Re-key validation step, and even then only if they have permission to do so (as detailed in the next section). This option allows users to enter Indexing data in a Re-key Validation step and override this default setting.

 

Security Permissions

When using a 3 step Re-key Indexing/Validation process, access to the Re-key Validation index step can be controlled using the Security module.

 

 

 

Keywords: PSIcapture Re-key Indexing, PSIcapture Validation Re-Key, Validating PSIcapture Batches Re-key, Double-blind validation PSIcapture, How to Re-key PSIcapture