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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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title	Version 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.

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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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Tip:

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 (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.

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.

Rw step

Use the New > Starting Point menu (or a corresponding interface on your site) to create a Work Item and test that the correct forms are added.

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	Forms-Matrix-fields

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title	Fields and Sections for a Forms Matrix entry

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

Tip: Only Request Groups with at least one Forms Matrix entry appear as options on the first screen of the Starting Point. request type 🚩 users must complete still add , but it will not force users to fill them out before submitting it. Creating Forms Validations This is used to select the vendorThis is used to select type may drive specific forms (Wizard Question #3)This is used to select name may drive specific forms(Wizard Question #4) associated to the various linkages/combinationsNot required. This is a free list to give users more flexibility. (Wizard Questions #6).

Field or Section Name

Description

Request Group

Tip

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

the forms will appear in the Required Forms section and the system will automatically include them in the created Work Item.

If set to No, the system will

offer the forms in the Optional Forms section and the advisors may choose to add them to the Work Item

at any time.

Note: Optional Forms are explained in more detail in the

??? section of this guide.

Description

An optional description of the forms bundle.

Reason for Adding/Changing

A reason, such as an internal issue tracking number.

Request Group

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

Choose at least one existing group from the Quick select (A) dropdown, click the Search icon (B) to see and choose from all groups, or click Add New (C) to create a new Request Group.

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

Vendor/Custodian

Select the vendors that use this forms bundle.

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

Product Type

Select what product

types correspond to this forms bundle.

Product Name

Select what product

names correspond to this forms bundle.

Registration Type

Select what registration types correspond to this forms bundle.

Forms

Search for and add the forms that will be

included in the Work Item corresponding to the combinations of parameters: Request Group, Vendor/Custodian, Product Type, Product Name, and Registration Type, as well as the optional Account Options, Account Service and Entity.

Account Options

Select what additional account options correspond to this forms bundle.

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).

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

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Select what additional account service corresponds to this forms bundle. Only one Account Service can be added to the Forms Matrix entry.

Entity

Select what entity corresponds to this forms bundle.

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Tip: Only users that are part of the specified Entity will receive this forms bundle. You can assign each user to an Entity in their User Access record in the User Access (300)domain.

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Example: In this example, the following will occur:

when an advisor belonging to any Entity selects the following options in Starting Point:

A
1. Request Group - New Account
2. Vendor - Pershing
3. Product Type - Brokerage
4. any or none Product Names
5. Registration Type - Individual
6. Account Options - Disclosure Forms CRS
7. any or none Account Services
a client subfolder will be created with the associated subfolder information of Subfolder Type ofBrokerage, Registration Type of Individual, and Product Type of Brokerage.,
A subfolder linked to a newly created work instruction item with a Request Type of New Account – - Brokerage and a single form will be assigned to created
and this work item : Pershing New Account Instructions (based on the fact that only one form was selected in the matrix).

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_{Example of a completed record}

Request Group: New Accounts

Vendor/Custodian: Pershing

Product Type: Brokerage

Registration Type: Individual (not visible)

will contain these forms listed in the Forms Matrix:
1. Form CRS
2. Brokerage New Account Form Requirements
3. Account Transfer
4. New Account Agreement.

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

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Versions Compared

Old Version 30

New Version 31

Key

Starting Point Overview

Creating a Forms Matrix Entry

Page Comparison

Versions Compared

Old Version 30

New Version 31

Key

Starting Point Overview

Creating a Forms Matrix Entry