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Document Master - Admin

The Document collection is a very important part of BFSI. Different departments would have to review the document attached in different forms to ensure compliance. The document master helps to reduce time and human errors.

Documents can be collected using the form module as well as the document module.

Document Module


Terminology explained

  1. CATEGORY: KYC documents in BFSI would be completely different from the legal documents or collateral documents. Hence each document is associated with a particular category.

  2. ITEMS: This indicates different documents of each category.

  3. STAGES: Documents in each category would be having different stages. Here stages doesn't indicate the lead stage rather these are the document stage. An example for few document stages could be Verification, Evaluation etc.

  4. WORKFLOW: This indicates the through which all stages the document category should passthrough.

  5. STATUS: This indicates sub stages, i.e. within each stage there could be multiple sub stages through which the document must go through. These sub stage document verification can be handled by different departments.

  6. TYPES: It indicates the type of document such as original, duplicate, Xerox, primary or secondary document. For example to satisfy a loan amount they might have to provide multiple collateral documents, of which one could be a primary and the other could be secondary one.

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Setting up document master

Step 1: Click on 'Admin Configuration' from the profile tab.

Step 2: Select 'Document Master' under the 'Manage' category.

From here on we shall discuss on how to create and carry out varied actions in different sections of a document master which includes category, stage, status and type.

Document category


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Create: Enter the 'Category' name in the right hand side box and click on 'Add' button.

Note: You can add a color code for each category.

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Rename: Click on edit icon image.pngunder the action and enter the name in right side box, and click on 'Update' button.

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Settings: Using this option, you can create different items/documents of category, i.e. under KYC there will documents required such as: Passport, Aadhaar, PAN etc.

Step 1: Click on settings icon, enter the item/document name.

Step 2: Select (tick) if the item requires 'Multiple uploads' or if it is a 'Aadhaar' document.

Note: If it is single upload document, you needn't click on any options.

Step 3: Click on 'Add' button.

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Delete: Click on 'Delete' icon to delete any category. A dialogue comes, click on 'Yes'.

Note: Once a document category is deleted, it cannot be retrieved.

Document stages


As discussed earlier, every document category would have different stages, hence from here we can select category and create stages for it.

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Create

Step 1: From the right hand box, click on the 'Category' dropdown to select a category.

Step 2: Enter the 'Stage' name.

Step 3: If required select the stage color.

Step 4: Click on 'Add' button.

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Rename: Stage can be renamed by clicking on the 'Edit' image.png icon under 'Action' category.

Delete: Click on 'Delete' icon to delete any category. A dialogue comes, click on 'Yes'.

Note: Once a document stage is deleted, it cannot be retrieved.

Workflow Settings

Consider the document category KYC. There are 6 document stages for KYC, they are A, B, C, D and E. Here we are going to define from which stage KYC must start and o through

KYC Workflow: A ---- D ---- B ---- E ---- C

Note: The stage flow is from left to right.

Default stage setting

If stage 'A' is selected as 'Default stage', for every document under KYC the beginning stage will be 'A'.

You can set document stage to 'Default' by choosing 'Default stage' under 'Action' category.

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Enable workflow option in document master

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To enable the 'workflow' button, go to 'Automation' from the left side menu bar and enable the toggle button 'Document Management Control'

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Setting different stage workflow

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Step 1: Click on 'Workflow' button under the 'stages' tab in document management. A dialogue box rises.

Step 2: Click on the 'Transition from' dropdown, to select the stage. From the above example 'A'.

Step 3: Click on the 'Can transition to' dropdown. From the above example 'D'.

Note: Here you can multiselect the stages, if it is multiselected it indicates that the KYC can move from B to any of the selected stages.

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Step 4: Click on the 'Add' button and similarly follow the above steps to create a workflow.

Step 5: Click on 'Save' button.

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Note: You can delete a stage workflow by clicking on 'Delete' icon.

Document Status


As discussed earlier, document status indicates the sub-stages.

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Create

Step 1: Click on the 'Category' dropdown to select the category.

Step 2: Click on the 'Stages' dropdown to select the stage.

Step 3: Enter the status name in 'Status' text field.

Step 4: Click on 'Add' button.

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Rename: Stage can be renamed by clicking on the 'Edit' image.png icon under 'Action' category and click on 'update' button

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Delete: Click on 'Delete' icon to delete any category. A dialogue comes, click on 'Yes'.

Note: Once a document status is deleted, it cannot be retrieved.

Document types


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Create: Enter the document 'Type' name in the right hand side box and click on 'Add' button.

Note: You can add a color code for each category.

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Rename: Click on edit icon image.pngunder the action and enter the name in right side box, and click on 'Update' button.

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Delete: Click on 'Delete' icon to delete any category. A dialogue comes, click on 'Yes'.

Note: Once a document type is deleted, it cannot be retrieved.

Document Settings


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  1. Enable Status: If disabled, 'status' creation option or tab won't exist. There by you can't create sub stage or status for any stage.

  2. Enable stages specific to categories: If disabled, you can't link categories to stages. There by every document will follow same stage.

  3. Enable type specific to a category: If disabled, you can't create any type for a document. The concept of document type won't exist.

  4. Restrict stage access by designation: If disabled, every designation can update the stage of documents.

    Note: When enabled, the admin can go to each designation (users module) and set up restriction. We shall discuss more about it below.

  5. Enable or disable the approval process: If disabled, the authenticity of a document cannot be verified and there wont be a option to approve it i.e. in document listing or document profile page 'approve' icon or option won't be there.

  6. Restrict lead/customer change according to approval or document addition or only on a particular stage: If disabled, document will not have any effect on lead or customer stage change. For ex: suppose in a particular stage the lead must provide documents related to his assets, if this option is enabled the lead or customer stage would only change if the documents is submitted or approved.

How to restrict document stage access by designation?


Once 'restrict stage access by designation' is enabled in Document master settings, further designation specific restrictions are done from the user module. For better understanding on user module admin configurations click here.

Step 1: Click on 'Users' module under 'Manage' category in admin configurations.

Step 2: Click on 'Designation' tab on the top menu bar in the users module.

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Step 3: Click on 'Settings' icon under the 'Action' category near to a designation. A 'Category permission' box from the right side.

Step 4: Select the 'Documents' tab.

Step 5: Click on 'select restriction' dropdown to select the restriction based on lead stages or document stages.

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Step 6: If 'Restrict based on lead stages' is selected, lead stage list comes with checkboxes to select necessary permissions.

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Step 7.1: If 'Restrict based on document stages' is selected, a dropdown comes on the left side to select document category.

Step 7.2: Once the document category is selected, the document stage list comes with checkboxes to select necessary permissions.

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Step 8: If the same permissions applies to other designation click on 'Copy to' dropdown to select the designations.

Step 9: Click on 'Update' button to save the settings.

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How to restrict document master access by lead or customer stages?


Once 'restrict lead/customer change according to approval or document addition or only on a particular stage' is enabled in Document master settings, further settings are done from the lead or customer module.

Step 1: Click on 'Leads/Customers' module under 'Manage' category in admin configurations.

Step 2: Click on 'Progress' tab on the top menu bar in the users module.

Step 3: Click on 'Stage permission' icon image.png. A 'workflow update' modal comes from right side.

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Step 4: Now under the 'Document Management' there are three settings.

  1. After addition of document: If this is enabled, it becomes mandatory to add a specific document, only then the user can update to that stage.

Step 4.1: When 'after addition of document' is enabled, a document selection dropdown comes. Select the required document.

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Note: You can multi select the category from dropdown.

  1. On approval of document: If this is enabled, user can only move to that stage if and only if the document gets approval.

Step 4.2: When 'On approval of document' is enabled, a document selection dropdown comes. Select the required document.

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Note: You can multi select the category from dropdown.

  1. On document reaching particular stage: If this is enabled, user can only move to that stage only if the document reaches a particular document stage.

Step 4.3: When 'On document reaching particular stage' is enabled, a document selection dropdown and document stage selection dropdown comes. Select the required document and document stage.

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Note: You can add multiple documents by clicking on 'plus' icon.

Step 5: Click on 'Save' button.

Document settings in form module


Consider an Applicant form with a field element to capture Driving License, using the settings in form module you can set a sync with the document master and store it.

Document master is supported in File upload (single), Multiple files upload, PAN and Aadhaar fields in a form.

Step 1: Click on 'Admin configurations' from the profile tab.

Step 2: Select 'Forms' under the 'manage' category from left side menu box.

Step 3: Click on 'Manage' tab in the form window.

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Step 4: Click on 'Manage form properties' near to the form where document master must be linked.

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Step 5: Drag and drop 'field upload' or 'multiple file upload' or 'PAN' or 'Aadhaar' from the elements.

Step 6: Click on 'settings' icon in file upload field. A 'element settings' modal comes from right side.

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Step 7: Select 'Enable document master', an option comes to enable 'Two way sync'.

Note: Once two sync is enabled, any document uploaded in this form will reflect in document master as well as any documents uploaded in master will reflect in forms, for Manager view.

Step 8: Select the 'Document category' and 'document items' form the drop down.

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Note: In 'document item' single 'file upload' field will only list items chosen as single entry in the form document management. Example given below.

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Step 9: Click on save button after the selections.

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