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Rw tab
titleUser File (.ACL)

The ACL file provides the mechanism to add/disable user access to the Docupace site in bulk. In this file, each line item is equivalent to one Docupace user with a specific data role.

Tip

Best Practice Tip: We recommend that you ALWAYS use the .ACL file when adding or making changes to Docupace users for consistency and ease of user management. There are two exceptions:

  1. You should create Admin users manually.

  2. Manually remove users, whose access to the system must be terminated immediately.

Info

Important features of the ACL File:

  1. For each user, controls the documents that this user can access (via client and sub-folder access)

  2. Provides automatic initial user setup

  3. Allows to update the user’s data role if the user’s role has changed.

To upload an ACL file into Docupace, follow the process below:

  1. Fill out this template:

    View file
    nameacl.csv
    pageFilling Out Each Data File
    spaceUG
    using MS Excel.

  2. Click File > Save As to save the file as a .csv.

  3. Locate the file on your device and change the file extension from .csv to .acl.

  4. Follow these instructions to upload the file.

What Does Each Column Mean?

The following table describes the fields in an ACL file. Identify what each row should be. It can be a unique user, or the same user entered multiple times to add extra data roles or additional user aliases for integrated CRM systems.

For this user record adds a new alias user name corresponding to the integrated system listed in the trusted_sso (P)column.

Column 

Field/ Header

Description

Max length (Min length)

Extra Details

A

bd

Broker-Dealer number (By default, this is 7)

any number value

All fields should have this number unless there are multiple BDs in the network.

B

user_name

User ID of a person (first initial, last name; all lowercase)

125 (1)

Tip

Best Practice Tip: We recommend that you maintain a consistent user id naming convention.

Note

Important Note: This may vary based on 3rd-party integrations. Please consult with the Docupace team.

C

user_first_name

User’s First Name

50

-

D

user_last_name

User’s Last Name

50

-

E

user_email

xxxx@xxxx.com

50

-

F

user_status

  • Active=A

  • Inactive=T

 A or T

This value determines ongoing system access. To terminate user's access, set this field to T.

Note

Billing: When the user_status (F) is set to A, then Docupace Finance reviews the user_role (K) to identify if the user is billable. Confirm that both columns are correct before loading this file.

G

record_type

  • R – Region

  • O - OSJ

  • S – Sales Office

  • B – Broker-Dealer

  • RC – Rep code

2 (1)

This field determines which Advisor Records a user has access to.

Note: The .REP file also references O, S, and R.

H

acl

Code associated with the Record Type.

30

This critical field supports the record_type column (G).

Tip

Tip: The codes that may be assigned to each of the Record Types come from the .REP File.

I

primary_flag

Y/N Primary Rep code

 Y or N

Determines if the associated Rep code is the Advisor's primary if the Advisor has more than one.

Note: The system will automatically mark this as Y If the Advisor only has one Rep code.

Note: This field is only relevant for Advisor users.

J

RESERVED

Leave blank

0

Warning

Attention: Do NOT remove this column.

K

user_role

Docupace User Data Role examples:

  • For Field: Processor

  • For BackOffice:  Super BO Processor

50

This column determines the user’s data role in the Docupace system. The data role determines the types of actions that a user can take in the system.

Tip

Tip: The available data roles can vary by site. Contact Support or your onboarding team for assistance in filling out this field.

Note

Billing: When the user_status (F) is set to A, then Docupace Finance reviews the user_role (K) to identify billable users. Confirm that both columns are correct before loading this file.

L

bill_status

Import into the User Access domain for the given user id (Y/N)

 ‘Y’ or ’N'

This field helps you track if a user is a billable user.

Note

Important Note: This field is not used for Docupace billing purposes. It is an internal column that firms can use to audit against the invoices that Docupace sends.

M

entity

Office Association

100

The Entity associated with a user will determine which Forms this user has access to in Docupace. This will drive which Forms are added to a new work item created through Starting Point.

Important Note: Contact Support or your onboarding team for assistance filling out this field. In most cases, users on a single site are associated with the same entity.

N

RESERVED

Leave blank

0

Warning

Attention: Do NOT remove this column.

O

auto_assign_creator

Y or N only

 ‘Y’ or ’N'

For field users, this should be set to Y. For Home Office, it should be set to N. 

Note

Important Note: Contact Support or your onboarding team for assistance filling out this field.

P

trusted_sso

Other systems such as CRMs that are integrated with Docupace and are authorized to send data through Single Sing-On (SSO).

Examples:

  • Salesforce

  • Redtail

  • Ebix

  • Connect

50

Note: By default, this field is set to Connect.

Note

Important Note: Contact Support or your onboarding team for assistance filling out this field.

Tip

Best Practice: If you use several integrations, add multiple lines per user - one for each connected system and its corresponding alias_user_name (V).

Q

grant_access

Grants other users access to the Client Documents created by this user. E.g. allows to find the documents through Retrieve.

Specific user ids (list separated by a comma or a semicolon with no spaces)  dbuckley,jfriedman,

125 per value

Note: If left blank it will default to this user's id.

R

allowed_proc

Grants other users access to the Work Items created by this user. E.g. shows Assign to me button in the Work Item.

Specific user ids (list separated by a comma or a semicolon with no spaces)  dbuckley,jfriedman,

125 per value

Note: If left blank, it will default to this user's id.

S

user_type

  • Advisor

  • Back Office Executive

  • Back Office User

  • Docupace Administrator

  • Field Support

  • Tester

30

Provides details for billing reports. 

Info

Note: Typically, all Advisor users should be set to Advisor, Office Staff/Sales Assistants to Field Support,  and Home Office users to Back Office User. (User Type names may be customized to your site)

T

billable_user

This column is for Support users. Enter a billable user id.

125

Enter the billable user id that the user should be associated with. If an admin supports an Advisor, the Advisor's user id would show here.

Note

Important Note: This field is not used for Docupace billing purposes. It is an internal column that firms can use to audit against the invoices Docupace sends.

Note: This field is only relevant for Field users.

U

alias_user_name_clear

Clears out or keeps all previous alias entries for this user:

  • T (True) - clears out previously imported aliases

  • F (False) - leaves previously saved aliases and adds a new one to the list

T or F

Note

Important: Setting this field to T will delete any existing aliases in the alias_user_name (V) field and overwrite them with the new values.

V

alias_user_name

125

Aliases are typically used to provide SSO with CRM's and other systems such as Redtail, SmartOffice, Envestnet, Salesforce, etc.

Tip

Best Practice: If you use several integrations, add multiple lines per user - one for each connected system and its corresponding alias_user_name (V).

Info

Example: A user needs to connect to Docupace from the Salesforce instance used by their company. They have already logged into the Salesforce platform.

A. If the alias_user_name is blank, the user will have to log into Docupace again.

B: If the alias_user_name contains the user’s Salesforce user name, then Docupace will automatically open without asking for a log inaudit against the invoices Docupace sends.

Note: This field is only relevant for Field users.

How Does the Record Type Column Work with the ACL Column?

The Record Type column determines the hierarchy of access rights in the system. The graph shows some examples of how this access might work.

Tip

Tip: You do not need to use every record type. Most organizations use B, Oand RC.

The value in the ACL column will support the selection you make in the Record Type column. 

Info

Example: If you enter RC into the Record Type column, you will place the associated Rep code in the ACL column. 

If you need to link a user with multiple Rep codes, add multiple lines per user - one for each RC value.

Info

Example: Carl needs to have two different Rep codes assigned to him.

  1. Fill out a row in the .ACL file with Carl's information, starting with the Primary Rep code.

  2. Set Column I (Primary_flag) to Y.

  3. Copy the row to a blank one.

  4. Update the value in Column G (record_type) with RC.

  5. Update the value in Column H (acl) with the second Rep code.

  6. Change that row's Column I value to N.

Record Type Value

(Column G)

Represents

Description

B

Back Office/Broker-Dealer

 All Back Office/Broker-Dealer users should utilize this code. This will default the user to FULL Rep Access in the system. No limitations.

Tip

Tip: You do not need an ACL Field value for Record Type B because Back Office/Broker-Dealer users have unfiltered access to all Advisors/rep.  This is the ONLY Record Type that does NOT require an ACL Field value.

R

Region Code

This will grant user access to all the Rep codes associated with the Advisor's Region Code. This references the R code from the Rep table.

O

OSJ Code

This will grant user access to all the Rep codes assigned to the Advisor's OSJ code. This references the O code from the Rep table.

S

Sales Code

This will grant user access to all the Rep codes associated with the Advisor's Sales Code. This references the S code from the Rep table.

RC

Rep code

This will grant user access to a single Rep code assigned.

Info

Why would you use an O, R or S code? As we discussed earlier in our guide, this gives a user an extra level of hierarchical access without need to create unique lines/records in the ACL file for each Rep code. For instance, if you have an OSJ that supports 50 (Advisor) Rep codes, you do not want to create (and maintain) 50 records/lines (for each RC/Rep code). Using the O code, allows a SINGLE record to be created to grant that user access to all associated Rep codes. So if you select the RC of O, you select the OSJ code in the ACL field. The system will then do the following on load:

  • Locate all the Advisors with that associated OSJ Code

  • Locate all the Rep codes linked to those Advisors

  • Link the user to those Rep codes

Rw tab
titleLicensing File (.LIC)

Docupace can perform licensing validation checks as part of the Workflow Validations for a task. The validations review the Advisor's licensing information that has been imported into Docupace.

Tip

Note: The system checks if an Advisor already has licensing information for the state. If they do, then the system overwrites the existing licensing information. Otherwise, it creates a new licensing record.

Licensing File Example

To upload an LIC file into Docupace, follow the process below:

  1. Fill out this template:

    View file
    namelic.csvpageFilling Out Each Data File
    spaceUG
    using MS Excel.

  2. Click File > Save As to save the file as a .csv.

  3. Locate the file on your device and change the file extension from .csv to .lic.

  4. Follow these instructions to upload the file.

What Does Each Column Mean?

The information below provides the fields that must be considered.

Column

Field/ Header

Description

Max length (Min length)

A

rep_ssn

-

9 (9) without dashes. Only numbers

B

license_type

The type of license (typically State)

30

C

license

Two character abbreviation of the state the Advisor is licensed in

Note: This field is only used when license type is State.

30

D

start_date

-

yyyy-mm-dd or
mm/dd/yyyy

E

term_date

Termination Date

yyyy-mm-dd or
mm/dd/yyyy

Rw tab
titleAdditional Pooled Actors (.APA)

Docupace can add additional layers of hierarchy processing beyond the typical field Advisor and OSJ relationship. Only some sites need this file. Check with Support to determine if this applies to your site. In this file, each line item is equivalent to an Account (Subfolder) for a Client.

Notes: If a user needs workflow queue rights for multiple reps, you will need to create records for each Rep code. A workflow queue may be associated to a data role or a user (generally user). Guided by the Docupace delivery team.

Additional Pooled Actors

To upload an APA file into Docupace, follow the process below:

  1. Fill out this template:

    View file
    nameapa.csv
    pageFilling Out Each Data File
    spaceUG
    using MS Excel.

  2. Click File > Save As to save the file as a .csv.

  3. Locate the file on your device and change the file extension from .csv to .apa.

  4. Follow these instructions to upload the file.

What Does Each Column Mean?

Column

Field/ Header

Description

Max Length

Extra Details

A

task_assignment_type

Selection from Configuration defining that the system needs to complete additional hierarchy processing

30

Docupace Business Analyst will generally provide the Task Type to include.

B

pooled_actorid

The data role or user id who will be assigned the task

50

-

C

rep_number

Selection of specific Rep codes that will drive the task assignment

30

-

Rw tab
titleClient File (.CLT)

Client File Overview

The Client file load is a mechanism to deliver a 1-time load or an ongoing update of client information. In this file, each line item is equivalent to an Account/Subfolder for a client. If you plan to only add the Client information (and not account information), you only need to add the client-level detail.

Note: Client type may dictate whether you use First/Last names or Company Name.

Client Field CSV Example

Generating a Subfolder

Tip

Tip: Each filled line (or row) in the spreadsheet will create a newSubfolder.

Subfolder type is the ONLY required field to generate a Subfolder for a Client record

  • Record per Subfolder (if there are more than one everything is duplicated except the Subfolder type)

  • If you do not populate Subfolder info, ONLY a general folder is created with the Client folder

The fields that contain Client Folder information are the only required fields. You are not required to add Client Subfolder (account) information if you do not have it available. 

Tip

Tip: If you create a single Client Folder record, ONE Subfolder will also be created (automatically) with a Subfolder type of General.

Adding Multiple Rep Codes to the Same Client

When two or more reps working with the same client, you could have the same Client Type, same company, and same TIN with two different Rep codes. We need to include the Rep code into the unique key field to handle this situation.

Required Fields for Client File

  1. SSN/TIN

  2. Rep ID

  3. Client Type

    1. If person: First Name/Last Name must be added in the client information

    2. If entity: Company Name must be added in the client information

    3. Business Type (consult with your Docupace team the value)

    4. Status

To upload an CLT file into Docupace, follow the process below:

  1. Fill out this template:

    View file
    page
    nameclt.csvFilling Out Each Data File
    spaceUG
    using MS Excel.

  2. Click File > Save As to save the file as a .csv.

  3. Locate the file on your device and change the file extension from .csv to .clt.

  4. Follow these instructions to upload the file.

What Does Each Column Mean?

The information below provides the fields that must be considered.

Column 

Field/ Header

Max length (Min length)

Field Details

A

last_name

100

-

B

first_name

100

-

C

group_name

100

Group can represent a Household unit.

D

entity_name

100

Used for Company or a Trust

E

client_type

30

  • Person

  • Trust

  • Business/Entity

  • Vendor

  • Beneficiary

  • Other

  • Prospect

Warning

Warning: Different fields are required based on the Client Type field (Column E). Incomplete records will result in file load errors.

  • Client Type Person: First Name, Last Name, SSN and Rep required

  • Client Type Entity: Company Name, SSN, and Rep required

F

ssn

9 (9)

Format the ssn without dashes.

123456789

G

business_type

30

Varies by site. Normally there are at least BD/RIA and Non-BD/RIA. Typically, BD/RIA is replaced with the BD’s name.

Note

Important Note: Contact Support or your onboarding team for assistance filling out this field.

H

client_status

30

Active or Inactive

I

rep#

30 per value

Rep code

Note

Important Note: Add a Separate Row if multiple Reps are associated with a Client/Account combination.

Info

Example: If an account is shared by two unique Rep codes (not a split Rep code):

  1. Copy the row with the first rep code to a blank row.

  2. Update Column I (rep#)

J

account#

30 per value

The account number

K

Subfolder_type

30

These values are based on a system dropdown. For each Subfolder (account) you want to add, this is a required field. If you don’t select a value for this field, the record will fail on the load.

The values will be determined with your delivery team.

L

registration

50

These values are based on a system dropdown.

Note

Important Note: Contact Support or your onboarding team for assistance filling out this field.

M

sponsor

254

These values are based on a system dropdown.

Note

Important Note: Contact Support or your onboarding team for assistance filling out this field.

N

product_type

50

These values are based on a system dropdown.

Note

Important Note: Contact Support or your onboarding team for assistance filling out this field.

O

other_desc

254

-

P

state

2

2 digit state code

Q

short_name

100

Enter the short name of the account

R

open_date

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

S

close_date

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

-T

external_id

50

Subfolder External ID. This field is frequently used for 3rd party integrations.

U

RESERVED

0

Leave blank

Warning

Attention: Do NOT remove this column.

V

account_status

30

Open or Closed

Tip

Tip: Some sites may use Active and Inactive instead.

W

middle_name

100

-

X

suffix

30

-

Y

gender

30

Male, Female

Z

dob

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

AA

citizenship

30 per value

-

AB

mailing_addr

254

-

AC

mailing_city

30

-

AD

mailing_state

2

-

AE

mailing_zip

10 (5)

-

AF

legal_addr

254

-

AG

legal_city

30

-

AH

legal_state

2

-

AI

legal_zip

10 (5)

-

AJ

email

100

-

AK

home_phone

15 (10)

999-999-9999 format

AL

mobile_phone

15 (10)

999-999-9999 format

AM

work_phone

15 (10)

999-999-9999 format

AN

empl_company_name

100

-

AO

empl_company_addr

254

-

AP

drivers_license#

100

-

AQ

dl_issue_date

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

-AR

dl_exp_date

yyyy-mm-dd or
mm/dd/yyyy

  • MM/DD/YYYY format

  • Driver’s License expiration date

AS

RESERVED

Leave blank

Warning

Attention: Do NOT remove this column.

AT

bank_name

100

-

AU

bank_city

30

-

AV

bank_state

2

-

AW

bank_routing#

Any number value 

-

AX

bank_account#

30

-

AY

client_marital_status

30

-

AZ

client_occupation

100

-

BA

client_id

50

For 3rd party integrations

BB

RESERVED

0

Leave blank

Warning

Attention: Do NOT remove this column.

BC

RESERVED

0

Leave blank

Warning

Attention: Do NOT remove this column.

BD

RESERVED

0

Leave blank

Warning

Attention: Do NOT remove this column.

BE

subregistration

50

Account Sub-registration type

Warning

Attention: Must match with Registration Type

BF

 crm_source      

-

-

BG

 crm_external_id

-

-

Info

Important: Some sites may have additional address fields available, such as:

  • mailing_province

  • mailing_country

  • legal_province

  • legal_country

Rw tab
titleRep File (.REP)

.REP File Overview

This file allows Docupace to build relationships between Rep #, OSJ Office, Sales Branch, and Region. It also allows Docupace to build out the information for the Advisor to support the above discussed hierarchical access in the system. It contains additional information associated with individual Reps. In this file, each line item is equivalent to an Account (Subfolder) for a Client.

Note

Warning: Always load the REP file before the ACL file.

To upload an REP file into Docupace, follow the process below:

  1. Fill out this template:

    View file
    namerep.csv
    pageFilling Out Each Data File
    spaceUG
    using MS Excel.

  2. Click File > Save As to save the file as a .csv.

  3. Locate the file on your device and change the file extension from .csv to .rep.

  4. Follow these instructions to upload the file.

Required Fields/Columns:

  1. Rep Number (A)

  2. Rep First Name (C)

  3. Rep Last Name (D)

  4. BD Number (F)

  5. Phone Number (H)

  6. Email Address (I)

What Does Each Column Mean?

The information below provides the fields that must be considered.

Column 

Field/ Header

Max (min) Characters

Details

A

rep_number

30

  • Unique Broker-Dealer Rep Number

  • Will be used for hierarchical access from the User File (.acl)

B

clearing1 (nfs)

30

  • Clearinghouse Rep Number (If applicable)

  • Not required.

  • In many cases, it is the same as the rep number.

  • Can be left blank. Not used for routing/hierarchical purposes.

  • Labeled “NFS” by default.

C

rep_first_name

100

Advisor's First Name

D

rep_last_name

100

Advisor's Last Name

E

rep_full_name

30

Advisor's full name

F

rep_bd_number

Any number value

  • In most cases, you should set this field to 7.

  • All rows should have this number unless there are multiple BDs in the network.

  • (Consult Docupace for additional values).

G

RESERVED1 (do not fill)

0

Leave blank.

Warning

Attention: Do NOT remove this column.

H

rep_business_phone

15 (10)

Rep’s Business phone number

I

rep_email_address

100

Reps’ email address

J

rep_fax_number 

15 (10)

Rep’s Business fax number

K

RESERVED2 (do not fill)

0

Leave blank.

Warning

Attention: Do NOT remove this column.

L

rep_field_osj_first_name

30

OSJ First Name

M

rep_field_osj_last_name

30

OSJ Last Name

N

RESERVED3 (do not fill)

0

Leave blank.

Warning

Attention: Do NOT remove this column.

O

rep_osj_office_branch_number

30

Rep’s OSJ Office Branch Number

P

rep_ssn

9 (9)

  • Rep’s SSN xxxxxxxxx

  • without dashes. Only numbers.

Q

region_code

30

Region Code

R

osj_code

30

OSJ Code

S

sales_office_code

30

Sales Office Code

T

address_line1

254

Rep Address Line 1

U

address_line2

254

Rep Address Line 2 

V

city

30

Rep City

W

state

2 (2)

Rep State

X

zip_code

10 (5)

Rep Zip Code

Y

clearing2 (pershing) 

30

  • Clearinghouse Rep Number (If applicable)

  • Not required.

  • In many cases, it is the same as the Rep number.

  • Can be left blank. Not used for routing/hierarchical purposes.

  • Labeled “Pershing” by default.

Z

RESERVED4 (do not fill) 

0

Leave blank.

Warning

Attention: Do NOT remove this column.

AA

split_rep (T/F)

Y or N

Is the Rep ID shared with one or more Reps for commission purposes?

AB

rep_dob

MM/DD/YYYY

The Date of Birth of the Registered Rep

AC

pershing_rep_number

Populates attribute 100016 in the Rep domain (Pershing #)

AD

adv_order

1 2 or 3

Sets if the rep is Advisor 1, Advisor 2, Advisor 3 for split rep codes.

AE

create_adv_folders

Y or N

Determines whether Advisors office folders should be created for this Rep code

Rep Load Details

There should be separate records for EACH Rep code for an Advisor. So, if you have 4 Rep codes for an Advisor, you should create duplicate records with all the same data except the Rep code. (In the example below, each Advisor only has a single associated Rep code).

Remember you can consider incorporating O, R and S codes for each Advisor in order to drive easier user setup. For instance, if you have an OSJ producing group, you can add a user to ALL the associated reps by leveraging an O code. Docupace has provided you 3 levels of extra hierarchy should you may want to utilize them.

The image show Rep Load details in columns.

Where does the information go?

The information from this data file will populate three different domains in Docupace. A domain is a table with related information.

Advisor Table

The majority of the information resides here. 

Note: There should only be one record per Advisor.

The Advisor Table record example.

Rep Table

This is where the Rep code(s) are listed. An Advisor may have multiple Rep codes they are associated to. Each Rep code will show in the rep table. The Advisor will then be associated to that rep. There are situations where multiple Advisors may be linked to a Rep code.

The Rep Code Table example

Email Recipient

For each Advisor, an email recipient record will be created and link the Advisor's email to all associated Rep codes.

Email Recipient table
Rw tab
titleREP Transfer File Process (.RCG) – OPTIONAL

What Does Each Column Mean?

The information below provides the fields that must be considered. A recent addition to the data file process allows for an easier way to navigate the Rep Reassignment process, including adding, removing, reassigning/replacing Rep codes at the Client folder and Subfolder level.

Column

Field/ Header

Max Length

Target Domain

Extra Details

A

process_level

-

  • Client Folder

  • Client Subfolder

  • Client causes the system to locate a Client Account Subfolder to adjust

  • Accountcauses the system to make adjustments at the Account Subfolder level

B

client_last_name

-

  • Client Folder

  • Client Subfolder

The last name of the affected Client

C

client_ssn

9

  • Client Folder

  • Client Subfolder

Client’s 9-digit Social Security number (xxxxxxxxx)

D

account

-

Client Subfolder

If changing at the Subfolder level this column will include the account numbers to be adjusted

E

current_rep

-

  • Client Folder

  • Client Subfolder

This column represents the current rep assigned

  • If add – Rep One

  • If remove – Rep One

  • If replace – Rep One

F

rep_code_to_process

-

  • Client Folder

  • Client Subfolder

This column represents the new rep or change to the Rep code

  • If add – Rep One

  • If remove – Rep One

  • If replace – Rep Two

G

process_type

-

  • Client Folder

  • Client Subfolder

This code will determine what change happens

  • Add a New Rep: Add

  • Remove a Rep: Remove

  • Replace with a new Rep: Replace

Warning

Attention: Values in this column are case-sensitive.