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Overview: Starting Point is a wizard page within Docupace that walks a user through the creation of Work Items for new accounts, account maintenance, or any other workflows defined in the system. It is the engine that bundles forms for each Work Item.

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titleVersion History

Date

Change

May 2023

Updated for current functionality.

October 2020

Initial Version

When an advisor launches the Docupace Starting Point either from the Docupace system or from a 3rd party CRM integration, a wizard opens and guides them through a step-by-step process to help determine the required form set.

Based on the advisor’s answers, the system assembles appropriate forms into a packet (Work Item) for the advisor to fill out and process. Depending on the pre-defined workflow, the advisor can then either print the forms for a client's wet signature (and subsequent imaging into Docupace) or process the work completely electronically (eSign).

The first question in the Starting Point “What do you want to do?“ shows the user a list of actions to choose from. Each of these actions matches a Forms Matrix entry.

Creating a Forms Matrix Entry

You can configure the Starting Point logic in the Forms Matrix (338) domain. A Forms Matrix entry defines the steps and options included in the Starting Point wizard. It also lists forms that will be bundled into the Work Items when the advisor goes through the Starting Point steps.

To set up a new set of questions and the corresponding bundle of forms:

Rw ui steps macro
Rw step

Open the Forms Matrix (338) domain, which shows a list of already defined Starting Point routes.

Rw step

Click New Forms Matrix above the list.

Rw step

Fill out the Details fields. Add at least one Request Group. Click Save.

Rw step

Add the Forms that will be bundled into a Work Item for this Starting Point request.

Rw step

Fill out all other sections that are relevant to your case. Click Save and Close.

Audience: BAs, CAs, Administrators, Developers.

Info

Functionality: Use the Forms Matrix domain to configure what steps are included in the Starting Point wizard and which forms are bundled into the Work Items at the end of the step-by-step process.

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titleFields and Sections for a Forms Matrix entry

Field or Section Name

Description

Request Group

This is more of a general grouping, such as New Account, Maintenance, etc., that is used to classify the general request (Wizard Question #1).

The Request Group that matches the action selected by the user in the first step of the Starting Point.

Derived Request Type

This determines the correct request type for routing the work how to route the Work Item through the workflow. This is the The system will automatically assign this request type that will be automatically assigned to the created work item when a user selects the combination of options specified in this Forms Matrix.

Derived Client Subfolder Type

This tells the system what type of Client Subfolder to create.

When a new account is requested, a Docupace Client Subfolder is created and the Subfolder Type is assigned (usually Brokerage or Advisory, but it may be different depending on the broker-dealer (BD) configuration).

Required

A Yes/No field. If you select Yes, then all forms listed in the record reside in the Work Item and must be used. If No, then there is a separate process (explained in more detail in the Forms section of this guide).

Description

An optional description of the forms bundle.

Reason for Adding/Changing

A reason, such as internal issue tracking number.

Vendor/Custodian

This is used to select the vendor.

Info

Example: The Clearing Firm, BD, or Direct (Wizard Question #2).

Product Type

This is used to select what product type may drive specific forms (Wizard Question #3).

Product Name

This is used to select what product name may drive specific forms.

Registration Type

(Wizard Question #4).

Forms

Search for and add the forms that will be associated to the various linkages/combinations.

Account Options

Not required. This is a free list to give users more flexibility. (Wizard Questions #6).

Account Service

Not required. This is a free list to give users more flexibility. (Wizard Question #5).

Entity

This provides the ability to filter the request by an entity (if it is set up on your site).

Info

Example: After defining a matrix, a completed record may look like this:

Tip

Tip: In this example, the following will occur:

  1. A client subfolder will be created with the associated subfolder information of Subfolder Type Brokerage, Registration Type of Individual, and Product Type of Brokerage.

  2. A subfolder linked to a newly created work instruction with a Request Type of New Account – Brokerage and a single form will be assigned to this work item: Pershing New Account Instructions (based on the fact that only one form was selected in the matrix).

Completed Record Example

Example of a completed record

  • Request Group: New Accounts

  • Vendor/Custodian: Pershing

  • Product Type: Brokerage

  • Registration Type: Individual (not visible)