Abstract:
Techniques for operator notification of exceptions affecting financial document transaction processing machines are described. A transaction processing machine affected by an exception notifies the operator by sending a wireless message by means of a low cost, wearable operator display unit, which then displays the message using a display screen such as an LCD screen. Upon receiving the message, the operator clears the exception and directs the operator display unit to signal the processing machine that the exception has been cleared. Upon receiving the signal, the document processing machine checks for other exceptions and either resumes operation or performs further exception handling depending on whether further exceptions exist.

Description:
The related applications entitled “Methods and Apparatus for Wireless Operator Remote Control in Document Processing Systems”, U.S. patent application Ser. No. 09/848,005, still pending, and “Methods and Apparatus for Wireless Display Units for Document Trays in Financial Document Processing”, U.S. patent application Ser. No. 09/848,004, still pending, filed on even date herewith and assigned to the assignee of the present invention, address related subject matter and are incorporated herein by reference in their entirety. 
     FIELD OF THE INVENTION 
     The present invention relates generally to financial document transport and processing systems. More particularly, the invention relates to an improved document processing system and methods employing a small, low cost wireless display unit which can be worn or carried by an operator in order to receive messages notifying the operator of a need for intervention. 
     BACKGROUND OF THE INVENTION 
     An item transport, used in financial document processing systems to receive, process and sort documents, typically comprises an input section in which a batch of documents is placed for processing, a transport path for transporting the documents through various processing steps, a sorting area where the documents are sorted into different pockets after processing, and display and input sections where an operator is able to read displayed messages and enter information and commands. An operator is frequently called on to perform tasks at different areas of the transport. A typical item transport is quite large and requires an operator to walk a significant distance to get from one side or end of the transport to the other. For example, an operator may be working at the sorting area of the transport when a problem occurs, causing the transport to interrupt processing and display an error message. The operator must walk to the display area, read the error message and then proceed back to the sorting area or to another identified area in order to correct the problem. The need for the operator to walk back and forth along the transport to receive messages and then perform tasks related to those messages interferes with operator efficiency. 
     SUMMARY OF THE INVENTION 
     The present invention recognizes that there is a need for a system to provide instructions to an operator of a document processing system, which may advantageously employ a low cost, rugged wireless display unit with relatively low power usage, able to receive transmissions anywhere in the vicinity of a processing machine without requiring a line of sight transmission. 
     Among its several aspects, such a system advantageously allows an operator to be notified of problems and their locations wherever he or she happens to be with respect to the transport. Ideally, the methods used for notification will not interfere with the operator&#39;s freedom of movement and may advantageously be accomplished using a low cost device in order to minimize expense and to insure that breakage or loss of devices would not cause undue hardship. The devices used will also advantageously minimize battery drain in order to allow the operator to work without being interrupted by a need to replace batteries. 
     A document processing system according to one aspect of the present invention may suitably include an item transport controlled by a transport controller which may suitably be a personal computer (PC). The transport controller communicates with a user interface for displaying operator messages and receiving operator inputs. The user interface may suitably include a monitor for displaying messages and a keyboard to allow operator inputs. The transport controller also communicates with a transmitter interface for sending messages to and receiving commands or other operator inputs from each of a plurality of wireless operator display units which may be carried or worn by the operators. The operator display units are preferably inexpensive and rugged, and may suitably be implemented through the appropriate adaptation of electronic shelf labels such as are presently used in retail stores to receive and display price information. Each of the operator display units has a unique address so that a message directed toward a particular unit includes the unit address and the message, so that only the intended unit will display the message. This ability is important where multiple units are employed in the same processing environment as may occur in major check or credit processing operations. Each of the operator display units is preferably adapted to allow the operator to transmit messages back to the transport controller through the use of pushbuttons or other simple interface devices. When an exception occurs affecting an item transport, the transport controller suspends item processing, displays a message using the monitor and also transmits an abbreviated message to an operator display unit associated with the affected transport. The message may be sent directly or by means of a server controlling access to a transmitter interface shared by a number of different transports, the transports being connected to the server by means of a local area network. Upon sending the operator display message, the transport controller begins transmitting status messages to the operator display unit. Once the operator has cleared the exception, he or she directs the operator display unit to signal the transport controller that the exception has been cleared, typically by pressing a pushbutton on the operator display unit. It is also possible to signal that the exception has been cleared by pressing a button on the transport pocket or by pressing a key on a keyboard providing an interface to the transport controller. Once the operator has pressed the pushbutton or otherwise signaled that the exception has been cleared, the operator display unit responds to a status request by signaling the transport processor that the exception has been cleared. The transport processor then performs another check for exceptions, and either resumes processing or performs further exception handling depending on whether exceptions exist. 
     A more complete understanding of the present invention, as well as further features and advantages of the invention, will be apparent from the following Detailed Description and the accompanying drawings. 
    
    
     
       BRIEF DESCRIPTION OF THE DRAWINGS 
         FIG. 1  illustrates a document processing system according to the present invention; 
         FIG. 2  illustrates functional details of a document processing system according to the present invention; 
         FIG. 3  illustrates a document processing system including multiple item transports according to the present invention; 
         FIG. 4  illustrates an operator display unit according to the present invention; 
         FIG. 5  illustrates additional details of an operator display unit according to the present invention; 
         FIG. 6  illustrates functional details of a transport controller according to the present invention; 
         FIG. 7  illustrates a transmitter interface according to the present invention; and 
         FIG. 8  illustrates a process of transport exception handling according to the present invention. 
     
    
    
     DETAILED DESCRIPTION 
       FIG. 1  illustrates a document processing system  100  according to the present invention. The system  100  includes an item processing transport  102  for processing and sorting documents. The transport  102  includes a hopper  104 , a transport path  106  and sorting pocket modules  107 A and  107 B. The sorting pocket module  107 A includes sorting pockets  108 A- 108 D and the sorting pocket module  107 B includes sorting pockets  108 E- 108 H. The sorting pocket modules  107 A and  107 B are physically distinct units of machinery, each containing four pockets, but in document processing operations the pockets  108 A- 108 H are grouped according to the needs of the processing operation being performed. For example, a particular operation may use the pockets  108 A- 108 D as a set of pockets for grouping of documents, while another operation at a later stage of processing may use the set of pockets  108 A- 108 B, while still another operation uses the pockets  108 A- 108 H. It will be recognized that the number of sorting pocket modules which may be used is not limited to the two represented by the modules  107 A and  107 B. Instead, the transport  102  may include as many sorting pocket modules as are needed. For example, many large item transports may have 12 or more sorting pocket modules, each module having four pockets, for a total of 48 or more pockets. In such a case, the number of sorting pocket modules add substantially to the length of the transport  102 , increasing the time required for an operator to walk between two different widely separated parts of the transport  102 . 
     The transport  102  is controlled by a transport controller  110  which may suitably be a programmed personal computer (PC) which controls the operation of the transport  102  and which receives inputs from an operator through a keyboard  112  and displays operator messages through a monitor  114 . The transport  102  also includes a transmitter interface  116  communicating with the transport controller  110 , receiving operator messages from the transport controller  110  and transmitting the messages through an antenna  117  to an operator display unit  118  carried or worn by the operator. Frequently, exceptions and problems, such as document jams, occur in the area of the pockets such as the pockets  108 A- 108 H, and transmitting messages to the operator display unit  118  saves the operator from walking to the monitor to receive an error message and then returning to the area of the pockets  108 A- 108 H to deal with the problem. 
       FIG. 2  is a detailed functional view of a document processing system  200  according to the present invention. The document processing system  200  includes an item processing transport  202  including a document hopper  204 , document feeder  205 , transport path  206  and sorting pockets  208 A-H. The sorting pockets  208 A- 208 H are shown here by way of example, and are discussed here as part of a single operational group, but it will be recognized that the transport  202  may include more or fewer pockets and that operational groupings of pockets will be determined by the needs of the processing operation being undertaken. 
     The transport  202  also includes an operator interface  210  including a keyboard  212  and monitor  214 . The operator interface  210  may be used for entering data to be entered on a document, such as the amount of the document, and is also used to receive information about the status of the transport  202  and to enter commands directing operation of the transport  202 . The transport  202  also includes a reading module  216 , an image capture module  218 , an encoding module  220  and an endorsing module  222 . While the reading module  216 , image capture module  218 , encoding module  220  and endorsing module  222  are shown here by way of example, it is also possible for a transport such as the transport  202  to include additional modules, for example an ultraviolet snippet module for use in detecting security features appearing in ultraviolet ink, an endorsement capture module, a microverifier module, a microfilmer module, or any of a number of optional modules. 
     Operation of the transport  202  is controlled by a transport controller  224  which displays operator messages using the monitor  214  and receives operator inputs from the keyboard  212 . The transport controller  224  also directs the operation of the document feeder  205 , transport path  206 , sorting pocket modules  208 A-H and the modules  216 ,  218 ,  220  and  222 , and receives and processes data generated by processing of documents. The transport controller  224  also communicates with a transmitter interface  226  in order to convey operator messages to an operator display unit  228  which receives operator messages transmitted via an antenna  230  connected to the transport controller  224 . Typically, an item processing transport such as the transport  202  requires only a single operator, so that the transport controller  224  sends messages addressed to only one operator display unit  228 . By addressing each message to the intended operator display unit  228  it is possible for the transport  202  to operate within radio range of other similar transports, each communicating to its own operator display unit, without misrouting of messages or other interference. The operator display unit  228  will display only messages including its address and will ignore messages addressed to other units. 
     Many transports, such as the transport  202 , require little or no data entry via the keyboard  212 . Instead, the necessary data is obtained from each document through image analysis. In such a case, the primary function of the operator is to correct problems in the operation of the transport. Because the transport  202  moves and sorts paper documents, the documents are subject to jams, misroutings and other problems which may cause the transport  202  to shut down until they can be corrected. Most problems occur in the vicinity of the sorting pockets  208 A-H and an operator can be most productive by spending the bulk of his or her time in that area, moving to an appropriate one of the sorting pockets  208 A-H when needed and correcting problems affecting that module. When the transport  202  experiences a problem, the affected module sends a message to the transport controller  224 , which suspends operation of the transport  102 , displays a message on the monitor  214  and uses the transmitter interface  226  to send an operator message to the operator display unit  228 . The operator proceeds to the indicated area of the transport  202  and corrects the problem. The operator then preferably presses a button on the display unit  228 , which sends a command to the transport controller  224  to resume operation. The operator may also alternatively press a pocket button or press an “Enter” key or another predetermined key on the keyboard  212  in order to resume operation. 
     It may also be desired to design the document processing system  200  to allow auditory notification of an operator. If such a design is desired, an operator audio message unit  232  may be employed as an alternative to, or in addition to, the display unit  228 . The operator audio message unit  230  preferably comprises a receiver  234  and a headset  236 . The transmitter interface  226  is modified to include a voice synthesizer and an audio transmitter, which will be described more fully below in connection with FIG.  7 . When the transmitter interface  226  receives a signal from the transport controller  224  to send an operator message, the transmitter interface  226  uses the voice synthesizer to create a voice message constituting the desired operator message. The transmitter interface  226  uses the audio transmitter to transmit the desired voice message to the operator audio message unit  232 . 
     The document processing system  200  provides significant savings of time and effort over prior art systems, which require the operator to walk to a display in order to read a message describing the problem and then walk back to the pocket area if, as is likely, the problem affects one of the pockets. Eliminating or substantially reducing the need to walk back and forth between the information display and the area where the problem exists significantly increases the productivity of the operator. 
     If desired, a plurality of transports may share a single transmitter interface.  FIG. 3  illustrates a document processing system  300  including transports  302 A- 302 C, controlled by transport controllers  304 A- 304 C, respectively. Each of the transport controllers  304 A- 304 C is connected to a transmitter server  306  by a local area network  308 . It will be recognized that the transmitter server  306  need not be exclusively dedicated to transmitting, but may be a multifunction server. The transmitter server  306  is in turn connected to a transmitter interface  310  and controls the operation of the transmitter interface  310  in response to commands from the transport controllers  304 A- 304 C, also transferring data from the transmitter interface  310  to the transport controllers  304 A- 304 C. Each of the transports  302 A- 302 C is associated with one of the operator display units  312 A- 312 C. When an exception occurs, for example affecting the transport  302 A, the transport controller  304 A prepares an operator message addressed to the operator display unit  312 A. The transport controller  304 A then passes the message to the transmitter server  306 , which sends the message using the transmitter interface  308  and antenna  309 . Because the message is addressed to the operator display unit  312 A, the operator display units  312 B and  312 C will not be affected. A plurality of transports such as the transports  302 A- 302 C are able to operate within radio range of one another and are able to share a transmitter interface, each transport being able to communicate with its own dedicated operator display unit without interfering with the operation of operator display units associated with the other transports. 
       FIG. 4  illustrates a front view of an operator display unit  400  according to the present invention. The transportable display unit  400  includes an LCD display  402 , shown here as displaying an operator message “PKT  36  IS FULL,” indicating to the operator that pocket  36  of the item transport sending the message is full. The unit  400  also includes a wrist strap  404 , preferably including VELCRO, to allow secure attachment for wearing by the operator, as well as easy removal. First and second pushbuttons  406  and  408  are also shown and may be utilized as discussed in greater detail below. 
       FIG. 5  illustrates additional details of the operator display unit  400  according to the present invention. The display unit  400  includes a display unit processor  502 , which may suitably be implemented as a digital signal processor, and a communications interface  504  for communicating with a transmitter interface such as the transmitter interface  226 . The communications interface  504  includes a receiver  506  and an antenna  507  The antenna  507  is built into and preferably enclosed entirely within the display unit  400 . The display unit  400  includes various other electronic components, including a battery  508 , and the LCD display  402 . The display unit  400  further includes read-only memory  512  for permanent storage of instructions and other data, as well as data registers  514 A- 514 D for storing message information received from the transmitter interface  226 . The data registers  514 A- 514 D are preferably implemented using volatile memory. 
     The first pushbutton  406  allows an operator to direct the processor  502  to select the contents of any one of the registers  514 A- 514 D for display. Repeated presses of the pushbutton  406  cycle between the different registers  514 A- 514 D. In this way, the operator display unit  400  is able to receive messages longer than could otherwise be displayed on the LCD display  402 , allowing the operator to read such messages by cycling through successive screens. A second pushbutton  408  is provided to allow the operator to signal the transport  202  to resume operation. 
     The display unit  400  also includes writable memory, shown here as RAM,  518  in addition to the volatile memory used for the data registers  514 A- 514 D. The RAM  518  is used for short-term data storage in performing the normal operations of the operator display unit  400 . 
     When the display unit  400  receives an operator message from the transmitter interface  226 , the processor  502  displays the message using the LCD display  402 . The processor  502  may also direct an audible signal using an alerter  519 . 
     In order to reduce cost and complexity, the operator display unit  400  is preferably implemented as a passive device. In such an implementation, the display unit  400  does not independently transmit data to the transmitter interface  226 , but sends signals only in response to status requests received from the transmitter interface  226 . When the transport controller  224  directs the transmitter interface  226  to transmit an operator message to the display unit  400 , the controller  224  preferably also directs the transmitter interface  226  to send repeated status requests by polling the display unit  400 , in order to determine if the operator has pressed the second button  516  to command the transport controller  224  to resume operation of the transport. When the operator presses the second button  408 , the display unit  400  employs a modulated backscatter approach to answer the status request, reflecting the transmission back to the transmitter interface  226 . For further details of such an approach, see, for example, U.S. Pat. No. 5,640,683, assigned to the assignee of the present invention and incorporated herein by reference in its entirety. Upon receiving the reflected answer to the status request, the transmitter interface  226  sends a signal to the transport controller  224 , which responds by proceeding to the next step in the exception handling operation, typically by examining the status of the transport  202  to determine if any exceptions remain and by resuming operation of the transport  202  or transmitting a follow-up message to the operator, as appropriate. Under normal circumstances, the transport controller  224  will send status requests only for a short time, during periods when operator intervention has been requested. When normal operation is resumed, the transport controller  224  stops sending status requests. 
     It is possible to implement the display unit  400  including a transmitter  520 . If such an implementation is chosen, the display unit  500  can send unsolicited messages to the transport controller  524 , providing greater flexibility in operation at the expense of added cost and complexity of the display unit  400 . 
     The display unit  400  is preferably implemented by adapting an electronic shelf label, presently used in retail environments to receive radio frequency information messages comprising product description and price information and to respond to queries through the use of modulated backscatter. An electronic shelf label can be purchased from a suitable vendor and adapted for use as an operator display unit such as the display unit  400  simply by selecting the messages to be transmitted to the unit. Alternatively, a modified design may be developed to more closely adapt the display unit to the requirements of the item processing environment. For example, the data registers  514 A- 514 D are preferably implemented as flash memory when the device is used as an electronic shelf label, because the contents of the registers change relatively infrequently. In an item processing environment, the contents of the registers  514 A- 514 D change with much greater frequency, so that an institution might find it desirable to design an operator display unit  500  using RAM to implement the data registers  514 A- 514 D. 
       FIG. 6  provides a functional illustration of a transport controller which may be employed as the transport controller  224 . The transport controller  224  includes a microcontroller  602  connected to a transport interface  604  and a user interface  606 . The user interface  606  provides communication with a keyboard and monitor, such as the keyboard  212  and monitor  214  of  FIG. 2 , as well as a mouse or other desired user interface devices. The transport controller also includes a processor  608 , memory  610  and extended database storage  612 . A visual message database  613  and an audio message database  614  preferably reside in the storage  612 . The processor  608  implements various functions used to control the transport operation and operator communication. The functions include a flow control function  615  for control of information and commands used by the transport controller. An item data and memory image function  616  are also implemented for reading and processing encoded item information as well as for capturing and storing item images. An item control function  618  is also implemented for directing transport of the items to be processed, as well as an error message function  620 . When a function such as the item data and memory image function or the transport function experiences an exception, the affected function notifies the flow control function. The flow control function directs the item control function to suspend processing of items, and notifies the error message function that an error has occurred. The error message function  620  receives error information from the flow control function  615  and prepares error messages based on the error reports. Visual error messages are prepared by using the error information to look up appropriate messages in the visual message database  613  and audio error messages are prepared by using the error information to look up appropriate messages in the audio message database  614 . The error message function  620  displays the error message locally and then provides the error messages to a transmitter control function  622 , which formats the error messages into error message transmissions directed toward appropriate operator display units, and sends the error message transmissions to a transmitter control such as the transmitter interface  226 . 
       FIG. 7  illustrates additional details of the transmitter interface  226  of FIG.  2 . The transmitter interface  226  is suitably adapted from an electronic price label communication device and includes a computer  702  and communication base station (CBS)  704 . The computer  702  includes a storage medium  706 , which may suitably be a disk drive, on which is stored an operator display unit data file  708  containing addresses of all display units such as the display unit  228 , as well as data to be transmitted to each display unit. The computer  702  implements electronic display unit control software including a data scheduler  710  which manages transmission and reception of messages to and from each of the display units, as well as CBS management software  712 , which directs the operations of the CBS  704  and which constructs messages to and interprets messages from the display units. The computer  702  also implements communication interface software  714 , which manages the receipt of instructions from other elements of the document processing system and passes messages received from the display units to appropriate elements of the document processing system. 
     When the transmitter interface  226  receives an instruction to transmit messages to one or more display units, the computer  702  stores the messages in the operator display unit data file  708 , each message being indexed to the correct display unit address. The data scheduler software  710  retrieves the messages and addresses from the data file  708  when one or more messages are scheduled to be sent, formats the messages and passes them to the CBS manager software  710 . The CBS manager software  710  formats the messages for transmission by the CBS  704  and passes them to the CBS  704 . 
     The CBS  704  translates the messages to a signal using CBS circuitry  716 , and sends the signal using a CBS transmit antenna  718 . The CBS transmit antenna  718  and CBS circuitry  716  are also adapted to receive signals from the operator display units in the form of modulated backscatter. When a signal is received from an operator display unit, the signal is converted to a message by the CBS circuitry  716 , which passes the message to the data scheduler  710 . The data scheduler  710  in turn passes the message to the CBS manager  712 . The CBS manager software  710  passes the message to the communication interface software  714 , which in turn passes the message to the transport controller  224 . The computer  702  includes software adapted from management of electronic price labels and the CBS  704  is an adaptation of a CBS used to communicate with electronic price labels. In this way, the communication interface  226  can be constructed through the purchase and adaptation of readily available devices. Electronic price labels are used in the typical retail store environment in great numbers over a wide area, so that a number of CBS modules such as the CBS module  704  are employed to communicate with and control them. In a document processing environment, the number of electronic labels and the range over which they are to be used is likely to be smaller than in the typical retail store environment, so that it may often be possible or typical to employ only one CBS module such as the module  704 . However, if desired, it is easy to employ multiple CBS modules such as the CBS module  704  to manage large numbers of electronic labels and to use the CBS manager software  710  to control the multiple CBS modules. 
     If a transmitter interface such as the transmitter interface  226  is desired to provide the capability to send audio messages to an operator audio communication, the interface  226  also includes an audio communication module  720  including a voice synthesizer  722  and an audio transmitter  724 , as well as an audio transmission antenna  725 . In such a case, the computer  702  preferably includes a text to speech module  722 . When an audio message is to be sent to the operator using an audio message unit such as the unit  232 , the transport controller  224  sends the message to the computer  702 . The computer  702  uses the text to speech module  722  to produce an audio message. The computer  702  finds the address of the message unit to which the message unit is to be sent in an audio message unit address database  728 , adds the address to the audio message, and sends the audio message to the audio communication module  720 . The audio communication module  720  uses the speech synthesizer  722  to convert the audio message to speech, and transmits the message using the audio transmitter  724 . 
       FIG. 8  illustrates a process  800  for exception handling for a single item transport, as in  FIG. 2 , or a group of item transports, as in  FIG. 3 , according to the present invention. At step  801 , prior to operation of the item transport, an identification table is established associating each transport with an operator display unit. At step  802 , the item transport suspends processing of items in response to an exception. The item transport may suitably be similar to the transport  202 , or may be any of a number of item transport designs adapted to suspend operation in response to an exception and sense the nature of the exception. At step  804 , an error message is constructed. The error message is preferably created by first retrieving data from an error database associating each exception with a specific error message and then adding data identifying the item transport affected and the operator display unit to receive the message, and formatting the message for transmission. At step  806 , the message is wirelessly transmitted to an operator display unit, preferably a small, low cost wearable unit similar to the unit  400  of  FIGS. 4 and 5 . The message may be transmitted using a transmitter interface dedicated to a single item transport, or may alternatively be passed to a server controlling access to a shared transmitter interface. At step  808 , the transport sends repeated status requests to the operator display unit to determine if the operator has signaled for the transport to resume operation. 
     At step  810 , in response to a notification by the operator to resume operation, the transport examines sensors related to the exception to determine if the exception has been cleared. If the exception has been cleared, the process proceeds to step  850  and the transport sends a transmission clearing the error message on the operator display unit and resumes operation. If the exception has not been cleared, the process proceeds to step  812  and the transport examines a correction attempt count to determine if a predetermined number of allowable attempts to correct the exception has been made. If the maximum number of attempts has been made, the process proceeds to step  860  and the operator is instructed that the maximum number of correction attempts has been made and is instructed to proceed to a monitor for detailed instructions. The process then terminates at step  870 . Returning now to step  812 , if the correction attempt count has not been exceeded, the process proceeds to step  814 . At step  814 , the correction attempt count is incremented and a supplemental error message is transmitted, either giving additional details about the exception or simply alerting the operator that the exception has not been corrected. In response to a notification by the operator that the exception has been cleared, the process returns to step  810 . 
     While the present invention is disclosed in the context of a presently preferred embodiment, it will be recognized that a wide variety of implementations may be employed by persons of ordinary skill in the art consistent with the above discussion and the claims which follow below.