Simplify Your Practice’s Paperless Client Document Process ... PowerPoint… · Simplify Your Practice’s Paperless Client Document Process Speaker: Dwayne Bragonier, ... 4th principle

Simplify Your Practice’s Paperless Client Document Process

Speaker: Dwayne Bragonier, CA, CA·IT

BAI Bragonier & Associates Inc.Creators of BAIWay ClientDocs™

Paperless Client Document Process

• Terminology for Clear Communication

• Simplify the Complex

• The Document Framework

• Document Management Systems (DMS)

– Unpublished

– Published

“Everything should be made as simple

as possible, but not one bit simpler”

Albert Einstein

Terminology

For Clear Communication

• Document vs File

– Document

• Structured information that a user can see

or hear on demand

• An individual listing on the Document

Manager

• A Document may or may not have a one

to one relationship with an associated File

Terminology


• Document vs File

– File

• It is a computer-readable entity

• A service container provided by an

operating system to organize a stream of

bits as a single unit

• A File may or may not have a one to one

relationship with a Document

Terminology


• Folders

– There are both…

Document Folders and File Folders

– They provide an organizational structure for

• Librarianship

• Focus

• Navigation

Terminology


• Metadata– „Related to‟ or „adjacent to‟ data

– Ability to catalogue

– Examples

CaseWare‟s new Document Filters

A PDF Editor‟s mark-up tools

Some History

• 20 yrs ago

Delivery of electronic documents via www

• 10 yrs ago

Document Management Systems introduced

• 6 yrs ago

Simple Framework for client documents…

BAIDocument Framework™

Paper Cuts. (2005, September) CA Magazine.

The Document Framework

• First,

Simplify the Complex

• What we produce and how we deliver it

• What is a document

• Why we bother to create documents

• Then,

The BAIDocument Framework

• how it applies to us


• What do public accountants

produce / deliver ?

• Expert content

• There are two ways we deliver it

• Live VOICE

– In dialog

– As a presenter

• DOCUMENTS

– Many different vehicles / mediums


• A document is …

structured content delivered on demand

• Written words

– Traditional concept

• Sounds

– Sound recordings

• Images

– Graphs / pictures

• Video

– All three: written words, sounds and images


• Therefore…

• Live Voice … is not a document

– A board meeting is not a document

» Minutes of the board meeting is a document

as this can be accessed on demand at any time

in the future


• Why bother to create a document?

– Professional / legislative responsibilities

– Evidential reasons (risk management)

– Client Service

• Re-delivery / comparability

– Production Efficiency

• Reuse of content

– words, metadata

• Knowledge

– logic, styles, structure


• So let's review the simple …

– We produce expert content and

deliver it via documents (preferred) or live voice

– Documents are structured content that can be delivered on-

demand

– Our industry is compelled to use documents over live voice


The 4 principle statements

of the BAIDocument Framework…


Four Principles to take away…

• We manage 2 of the 3 documents

we create - unpublished + published

• Static Content is not achieved

via Access control

• Static Content is achieved

by removing the application influence

• Our Document Management Systems must

address both of these documents


1st principle

We manage 2 of the 3 documents

we create – unpublished + published


1st principle

We work with 3 different documents

– Unpublished - ours

• Live, Work in process, Unsigned, Not released…

– Published - ours

• Finished, Done, Bound, Stored file room…

– Delivered - 3rd party

• Given to client, Efiled to CRA, Sent to SEDAR…


Two Documents - Proof

Unpublished

• Nature - Dynamic

– Content

• Changed - Review/follow-

up

• Copy forward -

clients/years

– Location

• Office / field / home

– People

• Changeable by many

Published

• Nature - Static

– Content

• Same in 5 yrs as today

• Proof for the future

– Location

• Office only

– People

• Changeable by none

The Document FrameworkTwo Documents - Proof

Unpublished

• Applications - many

– Single files

• Word, Excel, Tax

PDF with mark-up tools

– Multiple files (database)

• CaseWare, QuickBooks

Published

• Application – one

– PDF

• Viewable by all

• Internationally acceptable

• Billions of docs worldwide



Unpublished

• Librarianship

– Difficult to standardize

• Librarianship – Names,

Retention, Searchability

Movement / changes, etc -

due to dynamic and many

applications

– We rely upon the

professional‟s judgement

Published

• Librarianship

– Allows for very tightly

defined protocols to be

established



Unpublished

• Control

– Access control

• Operating system security

• Passwords

– Audit trails

– User accountability

Published

• Control

– Access control

• Operating system security

• Passwords

– Audit trails

– User accountability



Unpublished

• Nature – Dynamic

– Work in process

• Application – PDF

– Many

• Librarianship

– Names / Retention

• Control

– Access / Audit

Published

• Nature – Static

– Final copy

• Application – PDF

– one

• Librarianship

– Names / Retention

• Control

– Access / Audit


The Simple, so far…

Our expert content is contained in documents

Unpublished / Published / Delivered

2 of these documents we manage

Unpublished + Published

4 characteristics define them

Nature / Application(s) / Librarianship / Control

… now the remaining principles of the

BAIDocument Framework


• We already know the 1st principle…

We manage 2 of the 3 documents

we create – unpublished + published

… so what‟s the 2nd principle


2nd principle

Static content is not achieved

via access control


2nd principle

Unpublished

• Nature – Dynamic

• Applications

• Librarianship

• Control

– Access / Audit

Published

• Nature – Static

– Final copy

• Application

• Librarianship

• Control

N

O


2nd principle

• Access Control…

• Passwords, Lock-down, Security settings,

Redundant file locations

… does not make the document content

static

it only restricts who can make changes

So how to make a published document static…


3rd principle

Static content is achieved by removing

the application influence

What does this mean…


3rd principle

• Static content is achieved by removing the application

influence

• It‟s usually very simple - you print it - to PDF

– (a change in application)

• The published document can not be changed by the

unpublished document‟s application due to…

– an application version change

– a data table update

– a software mistake

– A business rule change


4th principle

Our Document Management

Systems must address both of

these documents


4th principle

Unpublished

• CaseWare

– The default

• Tax

– Taxprep / Profile

• Others

– QuickBooks, Simply

Published

• Doc.It Archive /

Prosystem fx

Document

– Professional responsibilities

• Window Explorer

– File Management NOT

Document Management

The Simple

BAIDocument Framework notes

• Our product is structured expert content

• We produce it in an unpublished document

• We hold it static in a published document

• We utilize separate Document Management Systems for the

different document types

DMS Unpublished

Document Access

• Document Access / Metadata

• Accountability

• Communication

• Version Control

DMS Unpublished

Document Access

• Document Manager Folders

– Compare to a paper „Accordion Folder‟

• Working Papers

• Tax

• Correspondence, etc

– Organize for Root Folder for document flow…

Unpublished -> Published (via batch print)

– A default location for all active documents

DMS Unpublished

Document Access

DMS Unpublished

Metadata

• Document Tags = Document Metadata

– Intended to be used with Document Views

– Wonderfully powerful document tool

to reduce the „noise‟ … to allow focus to desired

documents

– Extremely important principle…

Navigate + Focus

DMS Unpublished

Metadata

• Document Tags best practices

– Display „Tags‟ on Document Manager

(View | Reorder Columns)

– Display Tags dialog via

• Document | Tags

• Context Menu

– Simply enter Tag

(be concise)

DMS Unpublished

Document Access

• Document Filters

– Allows user to focus on specific documents based upon…

• Certain default document properties

– Lockdown; Retain on Cleanup;

Roll Forward; Include in Index

– Role completion combinations

– Issues assigned

– or upon custom properties via Document Tags

DMS Unpublished

Document Access / Filtering Metadata

DMS Unpublished

Accountability

• Role Completion

– 8 Roles … go beyond preparer / reviewer

• Scanned by; printed by; delivered by;

published by

– CW 2011 allows for multiple Role Sets

• Different Role Sets for different documents

– Publish a Role Completion document to provide

evidence of your review

DMS Unpublished

Accountability

DMS Unpublished

Accountability

DMS Unpublished

Communication

• Issues

– Document centric

– Filter communication by different types

– View communication

• Written but not Addressed

• Addressed but not Cleared

• Written, Addressed and Cleared

DMS Unpublished

Communication

DMS Unpublished

Version Control

• Milestones

– Separate instance of unpublished document

• Comparative purposes – all

• Live copy – external documents

– For 1 document to 1 file instances

– Save As is available

DMS Unpublished

Version Control

DMS Unpublished

Version Control

• CaseWare Client Document Recycle Bin

– Traps deleted documents until emptied

• via Engagement | Clean Up

• delete from Recycle Bin pane

– Each client is independent

– Independent of Windows Recycle Bin

DMS Unpublished

Version Control

DMS Unpublished

Finalization

• Five Step File Finalization™

– Approval

– Roll-forward

– Clean-up

– Lock-down

– Publish

DMS Unpublished

Finalization

DMS Published

Doc.It Archive

Simple concept

• An Archive

– Electronic file room

• Documents…

– Can NOT be deleted

– Version control

– Metadata

• Searchability / retention control

DMS Published

Doc.It Archive

• Librarianship function is simple

– Client

– Filtering for navigation + focus

• Folders

– Working Papers / Tax / Correspondence…

• Metadata

DMS Published

Simple Filtering

DMS Published

Searchability

DMS Published

Maintain Proper Documentation

Summary

• We produce expert content and deliver it

via documents (preferred) or live voice

• Documents are structured content that can be

delivered on-demand

• Our industry is compelled to use documents over live

voice

Summary

BAIDocument Framework

• Given our product is structured expert content…

• We produce it in an unpublished document

• We hold it static in a published document

• We utilize separate Document Management Systems for the

different document types

Summary

• Remember…

Professional Responsibilities

– Produce and maintain documents

to support your conclusion

• Archive

• Highest level of assurance is achieved when

content is static

Summary

• Document your Policies and Protocols

– Provide Success for staff

– Strengthen the credence of your documented evidence

– Ensure there is only one document (both of them)…

• Unpublished + Published

Simplify Your Practice’s Paperless Client

Document Process

“The more things change,

the more they stay the same”

Jean Baptist Alphonse Karr

Simplify Your Practice’s

Paperless Client Document Process

Q + A session

Dwayne Bragonier, CA, CA·IT

BAI Bragonier & Associates Inc.Creators of BAIWay ClientDocs™