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 |
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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: You should create Admin users manually. Manually remove users, whose access to the system must be terminated immediately.
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| Info |
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Important features of the ACL File: For each user, controls the documents that this user can access (via client and sub-folder access) Provides automatic initial user setup Allows to update the user’s data role if the user’s role has changed.
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To upload an ACL file into Docupace, follow the process below: Fill out this template: using MS Excel.Click File > Save As to save the file as a .csv. Locate the file on your device and change the file extension from .csv to .acl. 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. Column | Field/ Header | Description | Max length (Min length) | Extra Details |
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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. |
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B | user_name | User ID of a person (first initial, last name; all lowercase) | 125 50 (1) | | Tip |
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Best Practice Tip: We recommend that you maintain a consistent user id naming convention. |
| Note |
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Important Note: This may vary based on 3rd-party integrations. Please consult with the Docupace team. |
|
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C | user_first_name | User’s First Name | 50 | - |
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D | user_last_name | User’s Last Name | 50 | - |
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E | user_email | xxxx@xxxx.com
| 50 | - |
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F | user_status | | A or T | This value determines ongoing system access. To terminate user's access, set this field to T. | Note |
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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. |
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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. |
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H | acl | Code associated with the Record Type. | 30 | This critical field supports the record_type column (G). | Tip |
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Tip: The codes that may be assigned to each of the Record Types come from the .REP File. |
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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. |
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J | RESERVED | Leave blank | 0 | | Warning |
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Attention: Do NOT remove this column. |
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K | user_role | Docupace User Data Role examples: | 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 |
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Tip: The available data roles can vary by site. Contact Support or your onboarding team for assistance in filling out this field. |
| Note |
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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. |
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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 |
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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. |
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M | entity | Office Association | 10050 | 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. |
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N | RESERVED | Leave blank | 0 | | Warning |
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Attention: Do NOT remove this column. |
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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 |
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Important Note: Contact Support or your onboarding team for assistance filling out this field. |
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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 |
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Important Note: Contact Support or your onboarding team for assistance filling out this field. |
| Tip |
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Best Practice: If you use several integrations, add multiple lines per user - one for each connected system and its corresponding alias_user_name (V). |
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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. |
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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. |
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S | user_type | Advisor
Back Office Executive
Back Office User
Docupace Administrator
Field Support
Tester
| 30 | Provides details for billing reports. | Info |
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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) |
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T | billable_user | This column is for Support users. Enter a billable user id. | 12550 | 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 |
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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. |
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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 |
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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 |
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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 |
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Example: Carl needs to have two different Rep codes assigned to him. Fill out a row in the .ACL file with Carl's information, starting with the Primary Rep code. Set Column I (Primary_flag) to Y. Copy the row to a blank one. Update the value in Column G (record_type) with RC. Update the value in Column H (acl) with the second Rep code. Change that row's Column I value to N.
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Record Type Value (Column G) | Represents | Description |
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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 |
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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. |
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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. |
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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. |
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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. |
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RC | Rep code | This will grant user access to a single Rep code assigned. |
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| Info |
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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
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| Rw tab |
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| title | Licensing File (.LIC) |
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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 |
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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. |
.png?version=1&modificationDate=1599063327115&cacheVersion=1&api=v2&width=340) To upload an LIC file into Docupace, follow the process below: Fill out this template: using MS Excel.Click File > Save As to save the file as a .csv. Locate the file on your device and change the file extension from .csv to .lic. 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) |
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A | rep_ssn | - | 9 (9) without dashes. Only numbers |
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B | license_type | The type of license (typically State) | 30 |
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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 |
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D | start_date | - | yyyy-mm-dd or
mm/dd/yyyy
|
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E | term_date | Termination Date | yyyy-mm-dd or
mm/dd/yyyy
|
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| Rw tab |
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| title | Additional Pooled Actors (.APA) |
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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. .png?version=1&modificationDate=1599063471404&cacheVersion=1&api=v2) To upload an APA file into Docupace, follow the process below: Fill out this template: using MS Excel.Click File > Save As to save the file as a .csv. Locate the file on your device and change the file extension from .csv to .apa. Follow these instructions to upload the file.
What Does Each Column Mean?Column | Field/ Header | Description | Max Length | Extra Details |
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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. |
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B | pooled_actorid | The data role or user id who will be assigned the task | 50 | - |
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C | rep_number | Selection of specific Rep codes that will drive the task assignment | 30 | - |
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Client File OverviewThe 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. .png?version=1&modificationDate=1599063543016&cacheVersion=1&api=v2) Generating a Subfolder| Tip |
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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 |
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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 FileSSN/TIN Rep ID Client Type If person: First Name/Last Name must be added in the client information If entity: Company Name must be added in the client information Business Type (consult with your Docupace team the value) Status
To upload an CLT file into Docupace, follow the process below: Fill out this template: using MS Excel.Click File > Save As to save the file as a .csv. Locate the file on your device and change the file extension from .csv to .clt. 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 |
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A | last_name | 100 | - |
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B | first_name | 100 | - |
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C | group_name | 100 | Group can represent a Household unit. |
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D | entity_name | 100 | Used for Company or a Trust |
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E | client_type | 30 | Person
Trust
Business/Entity
Vendor
Beneficiary
Other
Prospect
| Warning |
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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
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F | ssn | 9 (9) | Format the ssn without dashes. 123456789
|
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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 |
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Important Note: Contact Support or your onboarding team for assistance filling out this field. |
|
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H | client_status | 30 | Active or Inactive
|
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I | rep# | 30 per value | Rep code | Note |
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Important Note: Add a Separate Row if multiple Reps are associated with a Client/Account combination. |
| Info |
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Example: If an account is shared by two unique Rep codes (not a split Rep code): Copy the row with the first rep code to a blank row. Update Column I (rep#)
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J | account# | 30 per value | The account number |
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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. |
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L | registration | 50 | These values are based on a system dropdown. | Note |
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Important Note: Contact Support or your onboarding team for assistance filling out this field. |
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M | sponsor | 254 | These values are based on a system dropdown. | Note |
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Important Note: Contact Support or your onboarding team for assistance filling out this field. |
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N | product_type | 50 | These values are based on a system dropdown. | Note |
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Important Note: Contact Support or your onboarding team for assistance filling out this field. |
|
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O | other_desc | 254 | - |
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P | state | 2 | 2 digit state code |
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Q | short_name | 100 | Enter the short name of the account |
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R | open_date | yyyy-mm-dd or
mm/dd/yyyy
| MM/DD/YYYY format
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S | close_date | yyyy-mm-dd or
mm/dd/yyyy
| MM/DD/YYYY format
|
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-T | external_id | 50 | Subfolder External ID. This field is frequently used for 3rd party integrations. |
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U | RESERVED | 0 | Leave blank | Warning |
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Attention: Do NOT remove this column. |
|
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V | account_status | 30 | Open or Closed
| Tip |
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Tip: Some sites may use Active and Inactive instead. |
|
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W | middle_name | 100 | - |
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X | suffix | 30 | - |
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Y | gender | 30 | Male, Female |
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Z | dob | yyyy-mm-dd or
mm/dd/yyyy
| MM/DD/YYYY format
|
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AA | citizenship | 30 per value | - |
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AB | mailing_addr | 254 | - |
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AC | mailing_city | 30 | - |
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AD | mailing_state | 2 | - |
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AE | mailing_zip | 10 (5) | - |
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AF | legal_addr | 254 | - |
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AG | legal_city | 30 | - |
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AH | legal_state | 2 | - |
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AI | legal_zip | 10 (5) | - |
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AJ | email | 100 | - |
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AK | home_phone | 15 (10) | 999-999-9999 format
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AL | mobile_phone | 15 (10) | 999-999-9999 format
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AM | work_phone | 15 (10) | 999-999-9999 format
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AN | empl_company_name | 100 | - |
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AO | empl_company_addr | 254 | - |
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AP | drivers_license# | 100 | - |
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AQ | dl_issue_date | yyyy-mm-dd or
mm/dd/yyyy
| MM/DD/YYYY format
|
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-AR | dl_exp_date | yyyy-mm-dd or
mm/dd/yyyy
| |
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AS | RESERVED | | Leave blank | Warning |
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Attention: Do NOT remove this column. |
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AT | bank_name | 100 | - |
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AU | bank_city | 30 | - |
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AV | bank_state | 2 | - |
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AW | bank_routing# | Any number value | - |
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AX | bank_account# | 30 | - |
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AY | client_marital_status | 30 | - |
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AZ | client_occupation | 100 | - |
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BA | client_id | 50 | For 3rd party integrations |
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BB | RESERVED | 0 | Leave blank | Warning |
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Attention: Do NOT remove this column. |
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BC | RESERVED | 0 | Leave blank | Warning |
|---|
Attention: Do NOT remove this column. |
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BD | RESERVED | 0 | Leave blank | Warning |
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Attention: Do NOT remove this column. |
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BE | subregistration | 50 | Account Sub-registration type | Warning |
|---|
Attention: Must match with Registration Type |
|
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BF | crm_source | - | - |
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BG | crm_external_id | - | - |
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| Info |
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Important: Some sites may have additional address fields available, such as: mailing_province mailing_country legal_province legal_country
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.REP File OverviewThis 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 |
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Warning: Always load the REP file before the ACL file. |
To upload an REP file into Docupace, follow the process below: Fill out this template: using MS Excel.Click File > Save As to save the file as a .csv. Locate the file on your device and change the file extension from .csv to .rep. Follow these instructions to upload the file.
Required Fields/Columns:Rep Number (A) Rep First Name (C) Rep Last Name (D) BD Number (F) Phone Number (H) 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 | |
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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.
|
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C | rep_first_name | 100 | Advisor's First Name |
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D | rep_last_name | 100 | Advisor's Last Name |
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E | rep_full_name | 30 | Advisor's full name |
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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).
|
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G | RESERVED1 (do not fill) | 0 | Leave blank. | Warning |
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Attention: Do NOT remove this column. |
|
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H | rep_business_phone | 15 (10) | Rep’s Business phone number |
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I | rep_email_address | 100 | Reps’ email address |
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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. |
|
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L | rep_field_osj_first_name | 30 | OSJ First Name |
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M | rep_field_osj_last_name | 30 | OSJ Last Name |
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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) | |
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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 |
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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 DetailsThere 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 information from this data file will populate three different domains in Docupace. A domain is a table with related information. Advisor TableThe majority of the information resides here. Note: There should only be one record per Advisor.  Rep TableThis 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.  Email RecipientFor each Advisor, an email recipient record will be created and link the Advisor's email to all associated Rep codes.  | Rw tab |
|---|
| title | REP 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
| |
|---|
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 | Warning |
|---|
Attention: Values in this column are case-sensitive. |
|
|---|
| 