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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

Starting Point Overview

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 set of forms to complete the paperwork.

Based on the advisor’s answers, the system assembles the 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 back 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 Request Group entry. For the Request Group to appear on this screen, you must define at least one Forms Matrix entry.

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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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:

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

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Click New Forms Matrix above the list.

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Fill out the Details fields (see explanation of all fields in the Fields and Sections for a Forms Matrix entry section below). Add at least one Request Group. Click Save.

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

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

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Audience: BAs, CAs, Administrators, Developers.

InfoFunctionality: 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

.

Filter by label (Content by label)max5titleRelated Pagescqllabel in ( "admin" , "configuration" , "starting-point" ) and type = "page" and space = "UG"

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titleFields and Sections for a Forms Matrix entry

Field or Section Name

Description

Request Group

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

Tip

Tip: Only Request Groups with at least one Forms Matrix entry appear as options on the first screen of the Starting Point.

Derived Request Type

This determines how to route the Work Item through the workflow. When a user chooses in Starting Point the combination of options specified in this Forms Matrix, the system will automatically assign this request type to the created Work Item.

Derived Client Subfolder Type

This tells the system what type of Client Subfolder to create. When an advisor opens a new account, the Docupace system creates a Client Subfolder with this Subfolder Type.

Note: Typically, you are limited to Brokerage or Advisory. However, some broker-dealers (BDs) may have additional options available.

Required

🚩 If set to Yes, then users must complete the forms. If set to No, the system will still add the forms to the Work Item, but it will not force users to fill them out before submitting it.

explained in more detail in the Creating Forms Validations 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)