[an error occurred while processing this directive]
the Right Account
Imaging for Vouchers
Payments and Receipts Using RTI
Travel Non-Overnight Personal
Travel Reimbursement Checklist
Up an Account Definition
Prompt Payment and Payment Scheduling
Travel Reimbursement Checklist
FAQs Issued May 16, 2005
Q: What is document imaging?
A: Document imaging is the process of attaching backup documents
to transactions in the Finance system, such as vouchers,
journals, budget journals, service center requisitions,
requisitions, and purchase orders, so the backup documents
can be viewed online. These documents could be files already
saved in a computer readable format or files created from
Q: What does document imaging replace?
A: Document imaging replaces microfilming. Instead of microfilming
documents after they are approved by the processing unit
(Accounts Payable, General Accounting, etc.) and storing
those images outside of the Finance system, documents are
attached to transactions in the Finance system before they
are approved by the processing unit. Until document imaging
is fully implemented, documents received by the processing
units will continue to be microfilmed.
Q: What are the benefits of document
A: Document imaging provides the following benefits:
Backup documents can be viewed online in the Finance system
by anyone with access to view the associated transaction,
rather than stored on microfilm reels in Finance. Departments
can view or print the backup documents themselves, rather
than request printouts from Finance.
Departments will not need to maintain paper files of scanned
documents. However, until a System Administrative Memorandum
(SAM) is issued on document imaging standards and procedures,
departments should maintain original scanned documents in
Document imaging will make workflow approval processes faster
and more efficient. Once document imaging and workflow are
in place for the same type of transaction (budget journals,
vouchers, etc.), these transactions can be routed electronically
for approval with the backup documents available online.
It will not be necessary to route transaction coversheets
with signature approvals or their backup documents through
Q: What is the difference between
document imaging and workflow?
A: Document imaging is the process used to attach backup
documents to transactions in the Finance system. Workflow
is an electronic routing and approval process for Finance
transactions. While both are needed to maximize speed and
efficiency in processing transactions, they can be implemented
separately. Document imaging will be implemented more quickly
for all Finance transactions, because the process is the
same for all transaction types (vouchers, budget journals,
etc.) and additional security setup is not required. Workflow
will operate in much the same way for all Finance transaction
types, but the approval paths may differ. In addition, Finance
must setup workflow security that defines the role (department
approver, college/division approver, etc.) assigned to each
workflow participant for each type of transaction. The assignment
of these roles is determined by the college/division administrator
during workflow training.
Q: When will document imaging be
A: Document imaging for vouchers is available beginning
May 16, 2005. Document imaging for budget journals, journals,
service center requisitions, requisitions, and purchase
orders will be implemented by mid-summer. (Workflow for
budget journals also begins on May 16 and will be rolled
out by college/division. Workflow for journals, vouchers,
service center requisitions, requisitions, and purchase
orders will be implemented by the end of FY05.)Document
imaging for voucher was available beginning May 16, 2005
and imaging for budget journals began on August 1, 2005.
Imaging for journals, requisitions, and purchase orders
will be available in August and September. (Updated August
Q: Is document imaging for vouchers
mandatory beginning May 16?
A: No, though it will be at some point in the future. We
want to give everyone the opportunity to learn about document
imaging without delaying voucher payments. Accounts Payable
will accept vouchers with either paper or electronic backup
during this transition period. Document imaging became mandatory
for vouchers beginning July 15. (Updated August 9, 2005.)
Q: What access is required to upload
documents to the Finance system?
A: Anyone who can view the associated transaction (voucher,
journal, etc.) will have access to upload documents for
that type of transaction. Additional access is not needed.
Q: What is the minimum resolution
for scanning documents?
A: The minimum resolution is 300 dpi X 300 dpi (dots per
inch), black and white. This is also the recommended default
setting for all scanned documents to be uploaded to the
Finance system. Although “higher resolutions” and “grayscale
or color” settings are permitted, it is recommended that
you only use these higher settings in the case where proper
quality can not be achieved at the recommended settings.
“Higher resolutions” and “grayscale or color” settings may
produce large unmanageable files.
Q: What is the minimum font size
that should be scanned?
A: The minimum font size that should be scanned at 300 dpi
X 300 dpi resolution is 4 point type. However, it may be
difficult to determine the font size of paper documents,
and, unless you created the document, you will not have
control over the font size. The bottom line is that all
text that is necessary for the document to be used as backup
documentation should be legible on the scanned image.
Q: Which file formats may be uploaded
to the Finance system as backup?
A: TIF, PDF, RTF, TXT, Word, or Excel. Most scanners will
save scanned documents as either a TIF or PDF file.
Q: Do separate paper documents
(invoices, letters, etc.) related to the same transaction
need to be scanned separately and uploaded to the Finance
system as separate files?
A: No. You can scan all of the backup documents for a transaction
at once and upload them as one file to save time. However,
you can also upload separate documents individually if they
cannot be scanned at the same time.
Q: Should documents related to
more than one transaction be scanned at the same time?
A: No. Only documents related to a particular transaction
should be scanned at the same time and uploaded to that
transaction. Documents that do not relate to a transaction
should not be assigned to that transaction.
Q: What is the maximum individual
file size that can be uploaded to the Finance system?
A: About 60 MB per file.
Q: How do you handle backup documents
that are too large to upload?
A: Only backup documents required for transaction support
should be attached to a transaction and very few backup
documents will exceed 60 MB. However, if a needed backup
document exceeds the maximum file size, you can either (1)
break the document into two or more files that can be attached
separately, as long as it is clear that each file is part
of the same document, or (2) store the backup document in
the department for the required retention period, in which
case a note should be added to the transaction that the
backup document is stored in the department because it exceeds
the maximum file size.
Q: Should optical character recognition
(OCR), which allows users to search for a word within a
document, be turned on when a document is scanned for the
A: No. Since these documents will be stored on a central
university server, the OCR search process will not work
on these documents. However, if OCR is turned on when a
document is scanned, it can still be uploaded to the Finance
Q: When should I review a scanned
image to make sure it can be read? Before or after it is
uploaded to the Finance system?
A: Both. You should not upload poor scans (crooked, blurry,
cut off, etc.) to the Finance system in the first place.
Therefore, you should verify it is a good image before it
is uploaded. After it is uploaded, open the image in the
Finance system to make sure the upload was successful and
the image can be read.
Q: What if a scanned document is
hard to read because it is on colored paper, which may make
the image too dark, or uses colored text that the scanner
does not reproduce well?
A: Try making a black and white copy of the original document
and scanning the copy. If this does not work, you may need
to temporarily adjust the settings on your scanner.
Q: How long must I retain the original
document after it is scanned?
A: Until a System Administrative Memorandum (SAM) is issued
on scanning standards and procedures, departments should
retain original scanned documents in their files. Once the
SAM is issued, departments will be notified when they can
discard scanned documents.
Q: I uploaded the document from
an electronic copy that I have in my personal or departmental
imaging file cabinet. Do I need to keep the copy in my personal
or departmental electronic filing cabinet?
A: No, the document is saved on a secure server in the Central
Computing Center and has no relation to the document’s source.
You may delete or discard the document from your personal
or departmental electronic filing cabinet using the same
guidelines as stated above for paper documents.
Q: Can I delete a document in the
Finance system after it has been uploaded to a transaction?
A: No, but you can make the document inactive on the documents
page. You can choose to view only active or both active
and inactive documents on the documents page.
Q: Can I re-activate a document
after it is made inactive?
A: Yes, a document can be made active or inactive at any
time. Though it is possible to make this change after a
transaction is posted, it should not be done without the
consent of the final approver (Accounts Payable, General
Accounting, etc.). The Finance system records who last changed
the status of a document and when.
Q: Can I copy an uploaded document
to another transaction in the Finance system?
A: Yes. When you open an uploaded document in the Finance
system, you can save it to your computer. After it is saved,
you can upload it to another transaction. However, attaching
the same document, especially large files, to multiple transactions
is not recommended because it uses additional storage space.
Referring to the large backup document in a previous transaction
is normally sufficient.
Q: If I have a file in one of the
acceptable formats (TIF, PDF, RTF, TXT, Word, Excel) that
is not from a scanned document, do I need to print it and
A: No. Simply upload the computer file in its current form.
Q: What if I have a file that is
not in one of the accepted formats?
A: You can either (1) save it as one of the accepted formats
(short way) or (2) print it and scan it into one of the
accepted formats (long way)?
Q: How often are documents in the
Finance system backed up?
A: Several times a day.
Q: How long will backup documents
be maintained in the Finance system?
A: According to the university’s records retention schedule,
backup for financial transactions is maintained for three
fiscal years beyond the fiscal year in which the transaction
posted. However, the retention schedule is being reviewed
to determine if more time is needed, especially for certain
cost centers (research grants, etc.). In any case, backup
documents will be maintained for at least as long as they
may be audited.
Q: Will internal and external auditors
accept scanned documents for audit purposes?
A: Yes. The scanned document is the university’s “official”
record for audit purposes.
Q: Do I need to print, sign, and
scan in the voucher coversheet?
A: No. Effective August 3, 2005, departments are not required
to scan and upload the signed voucher coversheet. The coversheet
will be microfilmed after it is approved by Accounts Payable
until workflow is in place for vouchers, at which time it
will not be necessary to print, sign, or mail the coversheet
to Accounts Payable. However, departments must continue
to scan and upload voucher backup documents. (Updated August
Q: Prior to voucher workflow, can
I fax my signed coversheet to Accounts Payable if it is
already scanned and uploaded to the Finance system?
A: No. Until voucher workflow, the signed voucher coversheet
should be mailed to Accounts Payable at mail code 0900.
The volume of vouchers is too great to receive by fax. When
we implement voucher workflow in the near future it will
not be necessary to mail voucher coversheets to Accounts
Q: What information should be deleted
from a computer file, marked out on the scanned image, or
stored offline because it is considered security sensitive?
1. Social security numbers.
2. Bank account numbers.
3. Credit card numbers.
4. Intellectual property or research data that could be
considered proprietary, though this information is normally
not included as backup to financial transactions.
Q: How should security sensitive
information be marked out on a scanned image?
A: If the original document will be preserved, you can hide
security sensitive information in one of two ways: (1) make
a copy of the document to be scanned, mark through the security
sensitive information on the copy so it cannot be read,
and scan the copy or (2) scan the original document and
mark the scanned image on the computer using the tools available
in TIF (or Adobe Acrobat Writer for a PDF) before you upload
the image to the Finance system. If the original document
will not be preserved, you can mark through the security
sensitive information on the original document before it
Q: What if I accidentally upload
a document to the Finance system with security sensitive
A: Notify the Finance unit that will approve the transaction,
so they can remove it from view. Designated individuals
in Finance will be authorized to assign security sensitive
status to documents, so that these documents cannot be viewed
by anyone except those with security sensitive view access.
Q: Who will have access to view
security sensitive documents?
A: Individuals in Finance who must review or approve transactions
and internal and external auditors. Others will be considered
on a case by case basis.
Q: Will the person/department that
created the transaction be able to view an attached document
designated security sensitive?
A: Only if they have view access to security sensitive documents.
Most documents will not be designated as security sensitive
until they reach Finance. Therefore, intermediate approvers
will be able to view the document during the approval process.
Q: What if the security sensitive
information is necessary for the transaction to be approved?
A: Upload the document with the security sensitive information
included. The Finance unit that performs the final approval
will mark the document as security sensitive when it is
Q: How do I determine when security
sensitive information should be displayed on a document?
A: The following documents should be scanned with the sensitive
information displayed, but will be hidden from public view
IRS forms and tax-related documents with social security
numbers should be attached to vouchers with all information
shown. Accounts Payable or the Tax Department will make
the documents security sensitive to hide them from view.
Vendor setup forms with social security numbers or bank
information should be emailed to email@example.com or faxed
to Accounts Payable at 713-743-0521, but should not be included
in voucher backup. These documents will be hidden automatically
because they are stored on vendor pages where a limited
number of people have access.
The following information should be marked out on the scanned
image, so that the document is not considered security sensitive:
Social security numbers on all other documents, including
contracts. The social security number has been removed from
the UHS Standard Agreement OGC S-98-5, so that departments
do not need to hide this information. The updated agreement
is at: www.uh.edu/contractsadministration (Updated August
Bank account numbers on copies of checks.
Credit card numbers on receipts or deposits (you can display
the last four digits).
Intellectual property or research data that could be considered
If you have any questions, call the Finance unit that will
approve the transaction.
Q: How will Accounts Payable verify
that original receipts are provided for employee reimbursements?
A: Accounts Payable will not be able to verify if original
receipts are used. The certifying signatory that approves
the voucher must verify that original receipts were scanned,
which reduces the chance of duplicate reimbursement. How
this is verified is up to the department. For instance,
non-original receipts could be stamped “copy” by the person
who scans them (all other receipts are assumed to be original),
which would require an explanation as to why the original
is not available, or original receipts could be given to
the certifying signatory for review.
Q: What backup documents are required
for PO vouchers, which are used to pay regular purchase
orders (see next question for contract PO’s)?
A: All PO vouchers for regular PO’s should include an invoice
from the vendor, unless advance payment is authorized on
the PO. In addition, PO vouchers prepared by Accounts Payable
should include a receiving report or equivalent document
from the department that indicates when the order was received.
PO vouchers prepared by the department should not include
a receiving report, since the department enters the goods
received date on the voucher. Also, the PO and requisition
do not need to be scanned and attached to PO vouchers, since
they are stored electronically in the Finance system. Until
document imaging is implemented for requisitions and PO’s,
paper backup documents for these transactions will be maintained
in the Purchasing Department.
Q: What backup documents are required
for contract payments?
A: A copy of the contract, or reference to a previous voucher
where the contract is attached, must be included with the
voucher. In addition, the contractor’s invoice, statement
of expenses, and/or receipts is normally attached, unless
payment is based solely on the department’s assessment that
the terms of the contract have been fulfilled. When document
imaging is available for requisitions and purchase orders,
contracts encumbered on a PO will be attached to the requisition
(if one was created) or PO and not to the PO voucher.
Q: Can I add a document after the
transaction is posted?
A: Yes, though this should only be done with the consent
of the final approver. The Finance system records who added
each document and when.
Q: Who do I call if I have a question
about document imaging or need additional training?
A: Customer Service at 713-743-3988 or Kimberly Bates at
FAQs Added May 17, 2005
Q: Can I upload backup documents
to vouchers before the voucher is saved?
A: No. The voucher must be saved before you attach documents
Q: I received an error message
when I tried to upload a PDF document. What should I do?
A: Upload the document as a TIF file instead, rather than
a PDF. Some versions of Adobe are not compatible with the
imaging system. We are determining which version of Adobe
should be used. Use Adobe 6.0 or higher when saving PDF
documents. (Updated August 9, 2005.)
Q: Who should I call to report
problems with uploading documents?
A: Customer Service at 713-743-3988. Customer Service will
try to assist you or forward the information to Enterprise
Systems for technical assistance.
FAQs Added May 20, 2005
Q: What do I do if I get a “Code
500 - Internal Server Error” when trying to upload a document?
A. Users should no longer receive this error. If this or
any other errors are received, please contact Kimberly Bates
at x38601. (Updated August 9, 2005.)