Sections of the Work Item Screen
After creating the work item, the user is presented with the following screen:
Actions: This section describes in which task queue within the workflow the work item is currently located. In this example, it is in the Back Office Pre-Screen queue. You can see all actions that can be performed on the work item to move it through the workflow or assign it to other users.
Client Work Item (formerly ePACs): The Client Work Item pane displays work item’s attributes. Click on the work item row to open its full Details.
Client Documents: This section displays the list of all the scanned images or PDF forms included in the work item. Click on the corresponding row to open the form in the Document Viewer. Click Create New to add another document to the work item.
Required Forms:The Required Forms pane displays the list of all the required forms for this work item. The list is based on selections you made in Starting Point, such as Registration Type, Service Options, etc. The system adds Required Forms to the work item automatically.
The Open link shows a preview of an empty form in the Document Viewer.
Optional Forms: The Optional Forms pane displays the list of all the forms that may additionally be needed for this work item, but are not mandatory. Click the Add link to add this form to the work item and then fill it out in the Document Viewer.
The Open link shows a preview of an empty form in the Document Viewer.
Client Folder: The Client Folder pane displays some basic attributes of the account owners, such as the first and last name. Click on the row to see the entire list of attributes for each owner.
Client Subfolder:The Client Subfolder pane displays some basic attributes of the account. Click on the row to open its Details.
Clearing Validations on the Forms
The left pane of the Document Viewer shows validation messages for fields that are not filled out as expected.
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Fill out the fields as indicated by the color-coded validation prompts. Click on the message to navigate directly to that field.
Click the Save icon in the Document Viewer to save the changes in your document. The system will re-run validations and display the remaining validation prompts. |
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Mandatory Fields: The fields marked in red are mandatory. You cannot send the item for review or e-signing until you fill out these fields. |
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Optional Fields: The fields marked in yellow are optional. Although you can send the item for review or e-signing without filling in these fields, it is advisable you do so. |
Note: Docupace will not validate every field. It is important to look at all the validations (both red and yellow) to reduce the possibility of the investment application from being NIGO'd back to you. Also make sure to fill out all relevant fields in the PDF form.
Synchronizing Data between Forms
For new accounts, the account application will be the first document presented to the Advisor. When you save the document, the following will occur:
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All validations are re-run and prompts for the correctly filled-in fields are cleared out.
If automatic synchronization between forms is turned on and the forms share common attributes (for example, an account number field), then the data entered in one form is cascaded down to all the other forms in the work item. If the synchronization is turned off, you can still use the Blue Arrows in the other forms in the work item to copy values from the filled-out forms.
After filling out the forms, use the buttons in the Action pane to take the next steps: reassign the forms for approval or gather signatures from the clients, as required. |
Note: Once all the forms are filled out and approved, click Actions > eSign to start the eSigning process. Otherwise, click Actions and then Combine and Print to print the forms in a batch for wet signatures. For more information, refer to the eSigning-In-Person and Remote and Preparing Documents for Wet Sign user guides.