The Provider Gateway Selfteach tutorial Document Exchange

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The Provider GatewaySelf-teach tutorial Document
Exchange
January 2006 Version 1.0
The LSC in association with Ofsted and ALI
welcome you to the self-teach tutorial for the
Document Exchange service on the Provider Gateway.
Click any key to proceed.
If you have any queries, please email
Provider.Gateway_at_lsc.gov.uk
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Navigation
HOME Will always take you to Tutorial Contents
How to Use the Buttons You can navigate your way
through this tutorial by using the forward and
backward buttons below or by clicking the
mouse. Buttons which are coloured grey are
inactive on the current slide, like the SECTION
BACK and button below.
SECTION BACK Will take you to the Section
Contents of the current section
BACK Will take you back one screen
FORWARD Will take you forward one screen
SECTION FORWARD Will take you to the Section
Contents of the next section
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Aims and Objectives
The aims of this tutorial are

• To introduce you to the Document Exchange
  facility of the Provider Gateway, including
• Who uses it and for what purposes.
• What information it holds and who can access it.
• How Document Exchange guarantees the security of
  your information.
• To teach you how to upload your documents,
  including Self-Assessment
  Reports (SARs), College Performance Reports
  (CPRs), Provider Performance Reports (PPRs),
  workbook templates and workbooks, to the Gateway.
• To teach you how to access documents.

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Tutorial Contents
The tutorial is divided into four sections. You
can click on a section title on the list opposite
to go directly to the start of the section. Each
section starts with a Section Contents slide,
from which you can link to specific topics.
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Section 1Overview of Document Exchange

• This section explains
• The purpose and benefits of Document Exchange to
  partnership organisations.
• Who can use Document Exchange to store and
  access documents.
• What documents are held in Document Exchange.
• How the security of information is ensured.
• Guidance on the LSCs policy towards access to
  information.
• The length of time for holding archived
  documents in Document Exchange.
• You can work through the section sequentially, or
  use the links in the panel to the left to go to
  specific topics.

Links to topics

• Partnership approach

• Benefits of Document Exchange

• What documents are held in Document Exchange?

• Security of information in Document Exchange

• Archiving

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Partnership approach
The Learning and Skills Council, the
Inspectorates (Ofsted and the ALI) and providers
work in partnership, through the process of the
annual assessment visit (AAV), to achieve the
goal of continuous improvement in the provision
of learning and skills.

• Document Exchange is a service provided by the
  LSC via the Provider Gateway to all partnership
  organisations to facilitate the processes of
  annual assessment and inspection.
• Document Exchange is a central location,
  accessible by all partnership organisations, for
  the exchange and storage of information.

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Benefits of Document Exchange

• Reduced bureaucracy. Providers, the
  Inspectorates and the LSC will upload documents
  relating to the processes of inspection and
  continuous improvement to the Document Exchange
  site, where all partnership organisations can
  access them.
• Consistency. The same version of a document is
  available in Document Exchange to all partnership
  organisations.
• Security. Only authenticated users of the
  service can access Document Exchange. Documents
  can only be viewed and downloaded by authorised
  users.
• Simplicity. Document Exchange is easy to use and
  provides a uniform interface for all users.

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What documents are held in Document Exchange?

• Document Exchange holds the following documents
• Self-Assessment Reports (SARs). The
  Self-Assessment Report is prepared by the
  provider and uploaded by the provider to Document
  Exchange.
• Document Exchange can hold one Draft and one
  Final status version of a SAR for any academic
  year.
• College Performance Reports (CPRs). The College
  Performance Report is prepared annually by
  Ofsted.
• Provider Performance Reports (PPRs). The
  Provider Performance Report is prepared annually
  by the ALI.

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What documents are held in Document Exchange?

• Document Exchange holds the following documents
• FE Stats Update Workbook. The FE Stats Update
  Workbook is prepared and uploaded by the provider
  and analysed by Ofsted.
• Other Learner Types (OLT) Workbook. The OLT
  Workbook is prepared and uploaded by the provider
  and analysed by the ALI.
• Templates for the FE Stats Update and OLT
  Workbooks (uploaded by Ofsted and the ALI
  respectively), which the provider can download
  from Document Exchange, complete and upload back
  to Document Exchange.
• A single document can be made up of multiple
  files on Document Exchange. All files comprising
  a SAR, CPR, PPR or other type of document are
  grouped together as one document.

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Security of information in Document Exchange

• All information relating to a provider is held in
  strict confidence in Document Exchange.
• No provider can view a SAR, CPR or any other
  document relating to another provider.
• Authorised staff, including (home-based)
  inspectors in Ofsted and the ALI, can search on
  all providers on the Gateway and view and
  download the documents pertaining to any
  provider.
• In the LSC, authorised staff in the National
  Office and local LSCs can view and download the
  documents pertaining to any provider.
• The Council shall not be liable for the provision
  or use of data outside of the arrangements set
  out above.

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Archiving

• Documents that have been uploaded for the
  previous three academic years will be easily
  available in Document Exchange to authorised
  staff in providers, the Inspectorates and the LSC
  to read and download.
• The same security applied to current documents is
  applied to archived documents archived
  documents relating to providers are confidential.
  None but authorised staff in providers, Ofsted,
  the ALI and the LSC can read or download archived
  documents.

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End of Section 1 Overview of Document Exchange
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Section 2How to upload documents

• Overview
• This section explains how to
• Search for a provider (Ofsted, ALI and LSC
  users).
• Upload documents (all users).
• You can work through the section sequentially, or
  use the links in the panel to the left to go to
  specific topics.
• Note that the procedure for uploading a document
  is described based on uploading a Self-Assessment
  Report (SAR). The procedure for uploading CPRs,
  PPRs, templates and workbooks is the same.

Links to topics

• What documents do providers upload?

• Self-Assessment Report versions

• What documents does Ofsted upload?

• What documents does the ALI upload?

• Can documents be amended in Document Exchange?

• How to search for a provider (Provider Search)

• How to search for a provider (Document Search)

• How to upload a document

• Hints and Tips, Zip up your files!

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What documents do providers upload?

• Providers upload their
• Self-Assessment Reports (SARs).
• FE Stats Update Workbooks.
• Other Learner Types (OLT) Workbooks.
• If a SAR consists of more than one file, all of
  the component files can be uploaded together and
  Document Exchange will group them together into a
  single document.
• Both Draft and Final versions of the SAR can be
  uploaded. Each Draft replaces any previous Draft
  in Document Exchange.

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Self-Assessment Report versions

• SARs can be uploaded to Document Exchange either
  as Draft or as Final status documents. Document
  Exchange can hold one Draft and one Final status
  version of a SAR for a given academic year.
• If you want to replace one Draft version of a SAR
  with another, you must delete the existing Draft
  and then upload the new Draft.
• A Final status SAR is the signed version.
• A Final status SAR cannot be replaced or deleted
  by the provider.

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What documents does Ofsted upload?

• Ofsted uploads
• College Performance Reports (CPRs).
• FE Stats Update Workbook templates.
• CPRs and workbook templates will be uploaded by
  administrative staff in Ofsted. Inspectors will
  not normally be expected to upload these
  documents.
• The CPR for each provider must be uploaded prior
  to the Annual Assessment Visit (AAV) or an
  inspection, so that inspectors can access it as
  part of their preparation for the AAV or
  inspection.
• Providers use the template to prepare their
  workbooks, and then upload the workbooks to
  Document Exchange. Ofsted inspectors can then
  download them for analysis.

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What documents does the ALI upload?

• The ALI uploads
• Provider Performance Reports (PPRs).
• Other Learner Types (OLT) Workbook templates.
• PPRs and workbook templates will be uploaded by
  administrative staff in the ALI. Inspectors will
  not normally be expected to upload these
  documents.
• The PPR for each provider must be uploaded prior
  to the Annual Assessment Visit (AAV) or an
  inspection, so that inspectors can access it as
  part of their preparation for the AAV or
  inspection.
• Providers use the template to prepare their
  workbooks, and then upload the workbooks to
  Document Exchange. ALI inspectors can then
  download them for analysis.

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Can documents be amended in Document Exchange?

• You cannot edit the content of any document
  directly in Document Exchange. When you upload a
  document you must retain the master files on your
  own systems.
• If a provider needs to update the content of a
  Draft status SAR, the amendments are made on the
  master copy held by the provider, the existing
  Draft is deleted from Document Exchange, and the
  amended Draft uploaded.
• A Final status SAR cannot be deleted or replaced
  by the provider. But if a Final status SAR is
  found to be inaccurate (for example, by an
  Inspector), the provider can ask through the
  local LSC for the LSC Business Support Unit to
  delete the Final version from Document Exchange.
  The provider could then amend the master copy of
  the SAR and re-upload it to Document Exchange.

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How to search for a provider (Provider Search)
How to search for a provider Ofsted, ALI and LSC
users need to search to locate the provider in
Document Exchange before they can upload a
document. Provider users do not require the
search facility because they are automatically
directed to their own provider when they log
in. The Provider Search screen enables Ofsted,
ALI and LSC users to search for a provider by
UPIN or Provider Name.
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How to search for a provider (Provider Search)
(continued)

• How to search for a provider
• Enter the UPIN or Provider Name in the fields.
  You can search on part of the name in the
  Provider Name field (for example, if you enter
  col the search will return all names with
  college in the title)
• Click the SEARCH button.

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How to search for a provider (Provider Search)
(continued)

• How to search for a provider
• When your search is successful the provider UPIN
  and name are displayed.
• The UPIN is a link. Click on it to select the
  provider.

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How to search for a provider (Provider Search)
(continued)
How to search for a provider The Document List
top screen is displayed with the selected
provider identified. Note that provider users
automatically start at this screen without
searching when they select Document List from the
menu. You can now select Document List on the
menu to view the selected providers Document
List, where you can upload, view and download
documents.
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How to search for a provider (Document Search)

• How to search for a Provider (Document Search)
• As an alternative to searching by Provider name
  or UPIN, you can do a Document Search.
• Click the Document Search link on the menu.

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How to search for a provider (Document Search)
(continued)

• How to do a Document Search (continued)
• The Document Search screen is displayed. You can
  enter any combination of search criteria,
  including
• Document Name (if known).
• UPIN, to search for a document for a specific
  provider.
• Document Type. Use the drop-down menu to select
  the document type (for example, SAR, CPR).
• Document Status. Select Draft or Final (if
  searching for a SAR).
• This example shows a search on Document Type by
  Draft SAR.

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How to search for a provider (Document Search)
(continued)

• How to do a Document Search (continued)
• Click the SEARCH button when you have entered
  your search criteria.

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How to search for a provider (Document Search)
(continued)

• How to do a Document Search (continued)
• Our example search returns a list of all
  providers with Draft SARs on Document Exchange.
• In this example, you can scroll down the list to
  find the provider you want.
• Click the View complete document list for UPIN
  link for the provider you are searching for, in
  order to select it.

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How to search for a provider (Document Search)
(continued)
How to do a Document Search (continued) Just as
we saw with Provider Search, the Document List
top screen is displayed with the selected
provider identified. You can now select Document
List on the menu to view the selected providers
Document List, where you can upload, view and
download documents.
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How to upload a document

• How to upload a document
• The next few slides will work through the
  procedure for uploading a document. The example
  we will use is a provider uploading a
  Self-Assessment Report, but the procedure is
  essentially the same for all document types.
• Having navigated to the Document List top screen
  with the provider selected, the next step is to
• Click Document List on the menu.

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How to upload a document (continued)

• How to upload a document
• The menu expands to show the options on the
  Document List, including
• SAR.
• CPR.
• PPR.
• FE States Update Workbook.
• OLT Workbook.
• VADT Report.
• By clicking any of these options you will see any
  documents of the selected type that are held in
  Document Exchange for the selected provider.

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How to upload a document (continued)

• How to upload a document
• If you select the document type that you are
  responsible for uploading, then you will also see
  an upload button.
• Provider users can upload SARs, FE Stats Update
  Workbooks and OLT Workbooks.
• Ofsted users can upload CPRs and Templates for
  FE Stats Update Workbooks.
• ALI users can upload PPRs and Templates for OLT
  Workbooks.

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How to upload a document (continued)

• How to upload a document
• In this example we will upload a Self-Assessment
  Report.
• Click on SAR on the menu on the left-hand side
  of the screen.

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How to upload a document (continued)

• How to upload a document
• The UPLOAD SAR button is displayed.
• Click the UPLOAD SAR button.

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How to upload a document (continued)

• How to upload a document
• The Enter upload file details screen is
  displayed. Complete the fields as follows
• Document Type. This field defaults to SAR,
  which is the only option available to a provider
  user. (Note that the Document Type defaults as
  appropriate for the type of user. For example,
  for an Ofsted user it would default to CPR).
• Year. Use the drop-down box to select the
  academic year.
• Document Status. Use the drop-down box to
  select Draft or Final, as appropriate. In this
  example we will upload the SAR as a draft.

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How to upload a document (continued)

• How to upload a document
• Filename. You can upload multiple files for the
  same SAR at the same time. Enter the full
  pathname and filename of each file. For each
  file, you can type the full pathname and
  filename, or click the BROWSE button to search
  and select it.
• In this example we are uploading two files, a
  Self-Assessment Report and a Quality
  Improvement Plan, both of which will be at Draft
  status in Document Exchange.
• When you have completed all the fields, click
  the UPLOAD FILE button.
• Your files are submitted to Document Exchange.

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How to upload a document (continued)

• How to upload a document
• A few moments after you click the UPLOAD FILE
  button, you will see a message confirming that
  your files have been submitted.
• Processing of your files can take a few minutes.
  When processing is completed you are returned to
  the Document List, where the files will appear
  and authorised users can read and download them.
• The link allows you to return to the Document
  List before processing is complete (for example,
  if you wish to carry on with other tasks).

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How to upload a document (continued)

• How to upload a document
• If you return to the Document List before
  processing is complete, you may find that the
  files do not appear immediately in the list.
• Click the Refresh link to update the screen with
  the new files once processing has completed.

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How to upload a document (continued)

• How to upload a document
• This screen shows the uploaded Self-Assessment
  Report and Quality Improvement Plan.
• The status of the documents is shown as Draft.
• The delete icon against each document
  allows you to delete the Draft document from
  Document Exchange. For example, you might delete
  a document if you needed to upload an amended
  draft.

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How to upload a document (continued)

• How to upload a document
• Because the two documents were uploaded together,
  they are treated by Document Exchange as a set
  belonging to the same SAR. There are two action
  buttons that act on all documents in a set
  together
• Click the Upload icon to upload more
  documents. Documents uploaded in this way will
  become part of the set.
• Click the Mark document as final icon
  to advance the status of the set of documents
  from Draft to Final.

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How to upload a document (continued)

• How to upload a document
• Before you change the status from Draft to Final,
  it is important to be certain that you are ready
  to do so.
• To change the status to Final is to sign the
  SAR!
• A Final status SAR cannot be deleted by the
  provider. If a Final status SAR is found to need
  amendment (for example, by an inspector) the
  provider would need to ask the local LSC to
  request the LSCs Business Support Unit to delete
  the SAR from Document Exchange. The provider
  could then amend its master copy and re-upload it.

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How to upload a document (continued)

• How to upload a document
• The distinction between Draft and Final only
  applies to Self-Assessment Reports uploaded
  by providers.
• Other document types, including CPRs, PPRs and
  templates uploaded by the Inspectorates, are not
  held as Draft or Final. They can be deleted and
  re-uploaded freely by the responsible
  organisation.

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Hints and TipsZip up your files!

• You can zip your files before uploading them.
• Zipping files is a way to compress them. This
  reduces the file size, making them faster and
  easier to upload and download.
• There are many industry-standard compression
  tools you can use. One of the most popular is
  WinZip. For more information about WinZip, go
  to their website at
• http//www.winzip.com

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Hints and TipsZip up your files!

• An advantage of zipping your files is that you
  can group files together before uploading them.
  An entire SAR, CPR or PPR can be uploaded or
  downloaded as one zipped file containing all the
  files comprising it.
• The Document List will be less cluttered, with
  just one zipped file for the entire document.
• Signing a SAR is quicker and easier, as you only
  have to sign the zipped file.
• Files zipped together must be at the same status.
  Dont zip Draft and Final status files together!

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End of Section 2 How to upload documents
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Section 3How to locate, read and download
documents
Overview This section explains how to read and
download documents on Document Exchange. You can
work through the section sequentially, or use the
links in the panel to the left to go to specific
topics.
Links to topics

• How to locate, read and download documents

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How to locate, read and download documents

• How to locate, read and download documents
• A providers Document List holds links to all the
  files that relate to the provider.
• Navigate to the Document List by doing a Provider
  Search, as described in Section 2 in the topic
  How to search for a provider (Provider Search).
• Use the menu to select the type of document you
  want to see. For example, if you want to see the
  providers SARs, select SAR on the Document List.
• VADT Reports are generated by the Learner
  Achievement Tracker (LAT) and placed in both the
  Document Exchange and LAT areas on Provider
  Gateway.

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How to locate, read and download documents
(continued)

• How to locate, read and download documents
• This example shows a SAR consisting of seven
  documents. The document names are links to the
  files.
• Click on a link to read the file on-line or
  download it.

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How to locate, read and download documents
(continued)

• How to locate, read and download documents
  (cont.)
• Alternatively you can carry out a Document
  Search, as described in Section 2 in the topic
  How to search for a provider (Document Search).
  The search returns a list of documents found,
  grouped by UPIN.
• The document names are links to the files.
  Click on a document name to read the file on-line
  or download it.

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How to locate, read and download documents
(continued)

• How to read or download a document (cont.)
• The File Download window is displayed. Note that
  the version of this window you see may vary
  depending on the version of MS Windows you are
  running on your system.
• The options are to open or save the file.
• Click the OPEN button to display the file on
  screen.
• The file is launched and displayed on screen
  using the appropriate system. For example, if
  the file is a .pdf document then Acrobat Reader
  is launched and the document is displayed.
• You can read the document on screen or Save it.

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How to locate, read and download documents
(continued)

• How to read or download a document (cont.)
• Click the SAVE button to save the file to a
  location of your choice.

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How to locate, read and download documents
(continued)

• How to read or download a document (cont.)
• The Save As window is displayed, enabling you to
  select the location where the file will be
  saved.
• Select the folder to save the document to and
  click the SAVE button.

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End of Section 3 How to locate, read and
download files
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Section 4About templates and workbooks

• This section explains the role of the
  Inspectorates in creating and uploading the
  workbook templates to Document Exchange, and the
  usefulness of the templates to providers for
  preparing their workbooks.
• You can work through the section sequentially, or
  use the links in the panel to the left to go to
  specific topics.

Links to topics

• About templates and workbooks

• How to upload a template

• How to create a workbook

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About templates and workbooks

• Ofsted prepares a standardised template for
  providers to use to create their FE Stats Update
  workbooks. The template will be uploaded to the
  Gateway by administrative staff in Ofsted.
• The ALI prepares a standardised template for
  providers to use to create their Other Learner
  Types (OLT) workbooks.
• The providers download the templates and use them
  to prepare their workbooks, and then upload the
  workbooks to Document Exchange. Ofsted and ALI
  inspectors can then download the workbooks for
  analysis.

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How to upload a template
How to upload a template Templates are uploaded
by Ofsted and ALI staff using a similar procedure
to that for uploading CPRs and PPRs described in
Section 2. NOTE The difference from the
procedure for uploading a CPR or PPR is that you
only have to upload a template once, and Document
Exchange makes it available for all providers to
use. You dont have to upload a separate copy
for each provider.
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How to upload a template (continued)

• How to upload a template (continued)
• To upload a template
• Select any provider on Document Exchange and
  navigate to the providers Document List.
• Select Template from the Document List menu.
• Click the UPLOAD TEMPLATE button.
• Proceed to upload the template file as you would
  a CPR or PPR.
• When the upload is complete, even though you
  uploaded the template to a specific provider, the
  Gateway makes it available on the Document List
  of every provider.

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How to create a workbook

• How to create a workbook
• To create a workbook, a provider user will
• Download the appropriate template from Document
  Exchange.
• Use the template to create the workbook.
• Upload the workbook to Document Exchange.
• To download a template
• Select Templates on your Document List menu.
• Click on the Document Name of the template.
• Proceed to download as you would any document,
  as described in Section 3.

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How to create a workbook (continued)

• How to create a workbook
• To upload a workbook
• Select FE Stats Update Workbook or OLT Workbook,
  as appropriate, on your Document List menu.
• Click on the UPLOAD button.
• Proceed to upload as you would any document, as
  described in Section 2.

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End of Section 4 About templates and workbooks
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End of Tutorial
You are now ready to use the Document Exchange