Versions Compared

Old Version 35

changes.mady.by.user Inese Auzina

Saved on

compared with

New Version 36

changes.mady.by.user Inese Auzina

Saved on

Key

  • This line was added.
  • This line was removed.
  • Formatting was changed.
Info

OverviewIntroduction: 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.

Expand
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.

Filter by label (Content by label)
max5
titleRelated Pages
cqllabel in ( "admin" , "configuration" , "starting-point" ) and type = "page" and space = "UG"

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.

Anchor
Forms-Matrix-fields
Forms-Matrix-fields

Fields and Sections for a Forms Matrix Entry

Expand
titleExpand to see the list of all fields

Field or Section

Description

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 Request Group.

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 or custodian firms that use this forms bundle.

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

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.

Tip

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.

Example of a Forms Matrix Entry

Tip

Example: In this example, the following will occur:

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

    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

  2. a client subfolder will be created with the Subfolder Type ofBrokerage, Registration Type of Individual, and Product Type of Brokerage,

  3. a work item with a Request Type of New Account - Brokerage will be created

  4. and this work item will contain these forms as Required Forms:

    1. Form CRS

    2. Brokerage New Account Form Requirements

    3. Account Transfer

    4. New Account Agreement.

Info

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

Copying an Existing Forms Matrix Entry

Tip

Tip: You can duplicate a Form Matrix record and then edit it. This is very useful when you need to create Required Forms and Optional Forms for the same set of Starting Point choices.

To copy an existing Form Matrix entry:

Rw ui steps macro
Rw step

Hover over the Forms Matrix entry you would like to copy and click the Copy Item icon (two pages).

Rw step

A new Forms Matrix entry that is the same as the selected one opens.

Make changes to this copy, for example:

  • change from required to optional (A)

  • add a different description (B)

  • remove required forms (C) and add formsthat will be optional.

Rw step

Click Save to create the modified Forms Matrix entry.

Best Practices

Add the Same Form to All Work Items

Fill out the Request Group and Forms sections of the Forms Matrix entry.

Set Required to Yes or No. This will add the form(s) to every Work Item created with the matching Request Group.

Tip

Example: If Forms Matrix record has no Vendor/Custodian associated with it, the system will add the associated forms, regardless of what users select in the Vendor/Custodian field.

Create a Required and an Optional Bundle

First, create the Required version of the Forms Matrix entry. Next, copy the Forms Matrix. In the duplicated entry set Required to No and change the list of forms. Save.

Image RemovedImage Added