AU2773400A - Financial document processing system and method of operating a financial document processing system during exception recovery - Google Patents

Description

-1-

AUSTRALIA

PATENTS ACT 1990 COMPLETE SPECIFICATION FOR A STANDARD PATENT

ORIGINAL

Name of Applicant/s: Actual Inventor/s: Address for Service: Invention Title: NCR International, Inc Kevin D. Gawne and Craig S. Miller and Susan E. Smith and Vernon W. Tarbutt BALDWIN SHELSTON WATERS MARGARET STREET SYDNEY NSW 2000 'FINANCIAL DOCUMENT PROCESSING SYSTEM AND METHOD OF OPERATING A FINANCIAL DOCUMENT PROCESSING SYSTEM DURING EXCEPTION RECOVERY' The following statement is a full description of this invention, including the best method of performing it known to me/us:- File: 27793AUP00 FINANCIAL DOCUMENT PROCESSING SYSTEM AND METHOD OF OPERATING A FINANCIAL DOCUMENT PROCESSING SYSTEM DURING EXCEPTION RECOVERY The present invention relates to financial document processing systems, and is particularly directed to a method of operating a financial document processing system, such as an image-based check processing system, during exception recovery.

A typical image-based check processing system includes a check processing transport which has a document transport path and a number of different hardware devices positioned along the document transport path for performing specific document processing operations on documents moving downstream along the document transport path. The check processing system also includes a transport processor which executes a transport application program which is stored in memory to control operation of the 15 devices positioned along the document transport path and thereby to control operation of the check processing transport.

From time to time, an exception condition may occur while processing documents on the check processing transport. Exception conditions include document jams, hardware failures, application errors, media low or empty, a pocket full, for 20 examples. Typically, when an exception condition occurs, any documents in the document transport path that have not been completely processed are manually located by an operator and removed from the document transport path. To avoid problems further downstream, the operator must ensure that all documents which have not been completely processed are removed from the document transport path. Once the problem that caused the exception is resolved, the operator must reprocess the documents in their original order.

In some known image-based check processing systems, a message is sometimes displayed on a monitor to assist the operator during exception recovery. The same message is usually continually displayed on the monitor until the operator has actually located and corrected the problem which caused the message to be displayed in the first place. A disadvantage in continually displaying the same message is that the operator is provided with no visual cue that any change has occurred while the operator is attempting to locate and correct the problem to clear the exception condition. This may leave the operator quite frustrated and unable to continue in locating and correcting the problem.

In accordance with one aspect of the present invention, a method of operating a financial document processing system to clear an exception condition of the financial document processing system comprises the steps of displaying a first message to assist an operator in correcting a problem to clear the exception condition, and (b) displaying a second message to assist the operator in correcting a problem to clear the !exception condition when the operator has made a correction but is unable to clear the exception condition. The method may further include the step of displaying a third message to assist the operator in correcting a problem to clear the exception condition S. when the operator has made another correction but is still unable to clear the exception condition. The method may further comprise the step of displaying a secondary screen, when directed by the operator, to provide a step-by-step resolution of the problem.

In accordance with another aspect of the present invention, a financial document processing system comprises a display for displaying exception messages to assist an operator to correct a problem to clear an exception condition associated with the financial document processing system. A processor is provided for displaying a first ooo.oi message via the display to assist the operator in correcting a problem to clear the exception condition, and (ii) displaying a second message via the display to assist the operator in correcting a problem to clear the exception condition when the operator has made a correction but is unable to clear the exception condition. The processor may also display a third message via the display to assist the operator in correcting a problem to clear the exception condition when the operator has made another correction but is still unable to clear the exception condition. The processor may also display a secondary screen on the display, when directed by the operator, to provide a step-bystep resolution of the problem.

3 In accordance with yet another aspect of the present invention, a program storage medium readable by a computer having a memory is provided. The medium tangibly embodies one or more programs of instructions executable by the computer to perform method steps for operating a financial document processing system to clear an exception condition of the financial document processing system. The method comprises the steps of displaying a first message to assist an operator in correcting a problem to clear the exception condition, and displaying a second message to assist the operator in correcting a problem to clear the exception condition when the operator has made a correction but is unable to clear the exception condition. The method may further include the step of displaying a third message to assist the operator in "correcting a problem to clear the exception condition when the operator has made another correction but is still unable to clear the exception condition. The method may further comprise the step of displaying a secondary screen, when directed by the S. operator, to provide a step-by-step resolution of the problem.

The foregoing and other features of the present invention will become apparent to one skilled in the art to which the present invention relates upon consideration of the following description of the invention with reference to the accompanying drawings, wherein: Fig. I is a schematic block representation of an image-based check processing system embodying the present invention; Fig. 2 is a schematic block representation of a portion of Fig. 1; and Figs. 3A-3B are flowcharts depicting processes carried out in accordance with the present invention.

The present invention is directed to operating a financial document processing system during exception recovery. The specific construction and use of the financial document processing system may vary. By way of example, a financial document processing system in the form of an image-based check processing system 10 is illustrated in Fig. 1. The check processing system 10 may be, for example, a sorting machine or a proof machine wherein financial documents such as checks are processed in a bank.

As shown in Fig. 1, the check processing system 10 includes a check processing transport 12 having a document track which defines a document transport path 14 along which financial documents, such as checks, can be transported from an upstream end to a downstream end. The transport 12 includes a number of different hardware devices lying along the document transport path 14 for performing specific document processing operations on documents moving along the document transport path 14. The transport 12 includes a hopper 16 into which a stack of financial documents including checks are placed. A document feeder 18 adjacent the hopper 16 selectively feeds or "drives each document from the stack of documents in the hopper to transport the document from the upstream end to the downstream end along the document transport path 14 to sorting bins 30 located at the end of the document transport path.

The check processing system 10 further includes a codeline reader 20 such as a MICR reader located along the document transport path 14. The MICR reader 20 reads a MICR codeline from each check being processed in a known manner. Alternatively, the codeline reader may be an OCR reader instead of a MICR reader depending upon on the particular application.

S. The check processing system 10 further includes an image capture subsystem 22 located along the document transport path 14. The image capture subsystem 22 captures an image of each document for a number of different purposes well known in the financial industry. More specifically, the image capture subsystem 22 includes an imaging camera (not shown) which is controlled to capture images of documents moving along the document transport path 14.

An encoder 24 encodes missing fields on each check. An endorser 26 applies an endorsement in a known manner to each check. A bank stamp 28 stamps each check to identify the bank institution processing the check. The structure and operation of MICR readers, OCR readers, imaging cameras, encoders, endorsers, and bank stamps are well known and, therefore, will not be described.

Referring to Figs. 1 and 2, the check processing system 10 further includes a transport processor 40 and a user interface 44 which communicates via signals on line 43 (Fig. 1) with a microcomputer 42 of the transport processor 40. The user interface 44 includes a keyboard 46, a mouse 48, and a display 50, all of which communicate via signals on lines 43a, 43b, 43c (Fig. 2) with the microcomputer 42. The microcomputer 42 controls operation of the transport 12 via signals on line 41. Suitable microcomputers and memories are readily available in the marketplace. Their structure and operation are well known and, therefore, will not be described.

The check processing system 10 also includes a memory 52 which communicates via signals on line 51 with the microcomputer 42. It is contemplated that the memory 52 could be a single memory unit or a plurality of different memory units.

An executable transport application program 56 is stored in the memory 52. The transport application program 56 is associated with a particular type of document processing work. For example, one type of work is proof of deposit. Another type of work is remittance processing. Still another type of work may be sorting of items.

:When the transport application program 56 is executed, the hardware devices lying along the document transport path 14 are controlled to process items moving downstream along the document transport path 14 in accordance with the transport application program, as is known.

•The memory 52 includes an item data and image memory portion 62 which stores sequence numbers, MICR codelines, image data, encoder status, endorsement status, and bank stamp status associated with transaction items which have been processed in accordance with the transport application program 56. The memory unit 52 further includes an item control block memory portion 64 which stores data relating to certain items during an exception recovery process. More specifically, the data stored in the item control block memory portion 64 represents the current state of output operations all completed and incomplete output operations) for each item involved in the exception condition along the document transport path 14. The memory 52 also stores an exception message display program 70 in accordance with the present invention to be described in more detail hereinbelow.

When an exception condition, such as a document jam for example, occurs along the document transport path 14, an exception recovery process is initiated. Figs.

3A and 3B is a flowchart which depicts operation of the exception message display program 70 which is initiated when an exception condition occurs. The exception recovery process including operation of the exception message display program 70 is described in detail hereinbelow with reference to Figs. 3A-3B.

In step 100, the transport processor 40 provides the signals required to stop feeding of all items along the document transport path 14 in response to sensors (not shown) positioned along the document transport path for sensing the occurrence of an exception condition along the document transport path. The process then proceeds to step 102 in which a general message is displayed on the display 50 to inform the operator of the exception condition occurring. Also, as shown in step 104, a first type of exception message is displayed on the display 50 for the purpose of assisting the S: ""operator to remove jammed documents from the document transport path 14 to clear the document transport path. The first message might be, for example, "ITEM JAM IN ENCODER. REMOVE DOCUMENTS FROM THE TRACK KEEPING THEM IN

ORDER".

The process then proceeds to step 106 in which a determination is made as to whether the problem that caused the first message to be displayed has been corrected. If the determination in step 106 is affirmative, then the problem has been corrected and %0 the process is completed. However, if the determination in step 106 is negative, then a determination is made in step 108 as to whether any change to the system has been made by the operator to correct the problem. If the determination in step 108 is negative, then the pr6cess loops back to step 104 to continue displaying the first message until the operator has made some change to the system to correct the problem.

However, if the operator has made some change to the system to correct the problem, then the determination in step 108 is affirmative and the process proceeds to step 110.

Since the operator has made some change to the system in attempt to correct the problem but has been unable to correct the problem as determined in steps 106 and 108, a second type of exception message is displayed on the display 50, as shown in step 110. The second message states that the operator's first attempt to correct the problem was unsuccessful, and suggests further corrective action. The second message might be, for example, "THE TRACK IS STILL NOT CLEAR. LOOK FOR DEBRIS SUCH AS TORN PIECES OF PAPER COVERING A SENSOR".

7 The process then proceeds to steps 112 and 114 which are the same as steps 106 and 108. In step 112, the system determines whether the problem which initially caused the first message to be displayed has been corrected. If the determination in step 112 is affirmative, then the problem has been corrected and the process is completed.

However, if the determination in step 112 is negative, then the system determines in step 114 whether any further change to the system has been made by the operator to correct the problem. If the determination in step 114 is negative, then the process loops back to step 110 to continue displaying the second message until the operator has made some further change to the system to correct the problem. However, if the operator has made some further change to the system to correct the problem, then the determination in step 114 is affirmative and the process proceeds to step 116.

Since the operator has made some further change to the system in an attempt to correct the problem but still has been unable to correct the problem as determined in steps 112 and 114, a third type of exception message is displayed, as shown in step 116.

The third message instructs the operator to look for a common problem that might have been overlooked. The third message might be, for example, "THE TRACK IS STILL NOT CLEAR. LOOK FOR A DOCUMENT WHICH MAY BE LODGED IN A MODULE SUCH AS THE IMAGE LIFT MODULE".

A determination is then made in step 118 as to whether the problem that initially caused the first message to be displayed has been corrected. If the determination in step 118 is affirmative, then the problem has been corrected and the process is completed.

However, if the determination in step 118 is negative, then the process loops back to step 116 to continue displaying the third message until the operator has made some further change to the system to correct the problem. At this point, the third message continues to displayed until the operator corrects the problem.

Although the above example describes three different types of exception messages being displayed on the display 50 for the purpose of assisting the operator to correct a problem during exception recovery, the number of types of exception messages available could have been just two messages or more than three messages.

The different messages may be stored in any suitable memory accessible by the microcomputer 42 of the transport processor 40. For example, the different messages could be stored in the item control block memory portion 64 of the memory 52.

In addition, each screen primary screen) of an exception message may be provided with an optional link to a secondary screen which, when selected by the operator, provides a step-by-step resolution of the problem. The operator accesses the secondary screen via an on-screen button in the primary screen on the display 50. The secondary screen may be augmented by further levels of help should the need arise. For example, the secondary screen may provide a link to still another screen which would also provide step-by-step resolution of a problem.

When the operator has completed the steps on the secondary screen, the operator "returns to the primary screen. The secondary screen remains displayed until the operator elects to return to the primary screen. The use of a secondary screen or series of secondary screens to provide the operator with step-by-step resolution of a problem is especially helpful when a problem is complex or requires multiple steps to resolve.

A number of advantages result by providing a method of operating the check processing system in accordance with the present invention. One advantage is that a number of different messages are displayed on the display 50 to assist the operator in °.recovering from the exception condition. The operator is assisted by leading the operator through to correct the problem(s) to clear an exception condition in the check processing system 10. Accordingly, a relatively inexperienced operator is better able to handle exception processing without assistance. This results in higher productivity of operators. Also, less training of operators is needed. Another advantage is that the number of service calls and downtime of the check processing system 10 are reduced.

Still another advantage is that information contained in the secondary screen(s) remains hidden until requested by an operator. Accordingly, inexperienced operators unfamiliar with a particular exception condition may review steps explained in the secondary screen(s) to help them recover from the exception condition. On the other hand, experienced operators familiar with the particular exception condition need not be slowed down by having to sift through unneeded information contained in the secondary screen(s).

It is contemplated that the above-described programs be available on portable storage media, such as a compact disc read only memory (CDROM)). The programs on a CDROM may be installed on different financial document processing systems to provide these systems with corresponding capabilities as described above. It is also contemplated that the exception recovery process described above may be used in other types of financial document processing systems, such as non-image-based systems, for example.

From the above description of the invention, those skilled in the art to which the present invention relates will perceive improvements, changes and modifications.

Numerous substitutions and modifications can be undertaken without departing from !"the true spirit and scope of the invention. Such improvements, changes and modifications within the skill of the art to which the present invention relates are i intended to be covered by the appended claims.

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Claims (12)

1. A method of operating a financial document processing system to clear an exception condition of the financial document processing system, the method comprising the steps of: displaying a first message to assist an operator in correcting a problem to clear the exception condition; and displaying a second message to assist the operator in correcting a problem to clear the exception condition when the operator has made a correction but is unable to clear the exception condition. S.

2. A method according to claim 1, further comprising the step of: displaying a third message to assist the operator in correcting a problem to clear the exception condition when the operator has made another correction but is still unable to clear the exception condition.

3. A method according to claim 2, further comprising the step of: displaying a secondary screen, when directed by the operator, to provide a step-by-step resolution of the problem.

4. A method according to claim 1, further comprising the step of: displaying a secondary screen, when directed by the operator, to provide a step-by-step resolution of the problem.

5. A financial document processing system comprising: a display for displaying exception messages to assist an operator to correct a problem to clear an exception condition associated with the financial document processing system; and a processor for displaying a first message via the display to assist the operator in correcting a problem to clear the exception condition, and (ii) displaying a second message via the display to assist the operator in correcting a problem to clear the 11 exception condition when the operator has made a correction but is unable to clear the exception condition.

6. A financial document processing system according to claim 5, wherein the processor displays a third message via the display to assist the operator in correcting a problem to clear the exception condition when the operator has made another correction but is still unable to clear the exception condition.

7. A financial document processing system according to claim 6, wherein the processor displays a secondary screen on the display, when directed by the operator, to S. provide a step-by-step resolution of the problem. o

8. A financial document processing system according to claim 5, wherein the processor displays a secondary screen on the display, when directed by the operator, S..to provide a step-by-step resolution of the problem.

A program storage medium readable by a computer having a memory, the medium tangibly embodying one or more programs of instructions executable by the computer to perform method steps for operating a financial document processing system to clear an exception condition of the financial document processing system, the method comprising the steps of: displaying a first message to assist an operator in correcting a problem to clear the exception condition; and displaying a second message to assist the operator in correcting a problem to clear the exception condition when the operator has made a correction but is unable to clear the exception condition.

10. A program storage medium according to claim 9, wherein the method further comprises the step of: displaying a third message to assist the operator in correcting a problem to clear the exception condition when the operator has made another correction but is still unable to clear the exception condition.

11. A program storage medium according to claim 10, wherein the method further comprises the step of: -displaying a secondary screen, when directed by the operator, to provide a step-by-step resolution of the problem.

12. A program storage medium according to claim 9, wherein the method fi frther comprises the step of: displaying a secondary screen, when directed by the operator, to Ott. provide a step-by-step resolution of the problem. 'A method of operating a financial document processing system substantially as herein described with reference to any one of the embodiments of the invention illustrated in the accompanying drawings and/or examples. A financial document processing systemt substantially as herein described with reference to any one of the embodiments of the invention illustrated in the accompanying drawings and/or examples.- A program storage medium readable by a computer having a memory, the medium -tangibly embodying one or more programs of instructions executable by the computer to perform method steps for operating a financial document processing system substantially as herein described with reference to any one of the embodiments of the invention illustrated in the accompanying drawings and/or examples. DATED this 13th Day of April 2000 NCR INTERNATIONAL, INC. Attorney: JOHN B REDFERN Fellow Institute of Patent Attorneys of Autrlia of BALDWIN SHELSTON WATERS