Versions Compared

Old Version 18

changes.mady.by.user Mercedes Rothwell

Saved on

compared with

New Version Current

changes.mady.by.user Inese Auzina

Saved on

Key

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

Introduction: 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

engine that drives the bundling of forms to build out work items within Docupace.

system. It is the engine that bundles forms for each Work Item. 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.

Expand
titleVersion History

Date

Change

May 2023

Updated for current functionality.

October 2020

Initial Version

Starting Point Overview

When an advisor launches Docupace

's

Starting Point

solution (

either from the Docupace system or from a 3rd-party CRM

partner)

integration, a

New Request screen

wizard opens and guides them through

an 'interview' process to

a step-by-step process. The choices in the wizard help determine the required

form

set of forms to complete the paperwork.

Based on the advisor’s answers

provided by the advisor,

, the system assembles the appropriate forms

are assembled

into a packet (called a Work Item) for the advisor to fill out and process.

The

Then the advisor can either print the forms for a client's wet signature (and

subsequent

imaging it back into Docupace)

,

or process the work

completely

electronically (

Signature Pad or eSign) within Docupace.
Required Form SetsImage Removed

Required form sets

Forms Matrix

The Forms Matrix is where the Starting Point questions are configured

eSign).

Image Added

The first question in 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: Business Analysts, Admin Users

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

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 Starting Point steps.

Note: Prior to defining a Forms Matrix entry, make sure there are Request Groups (domain 470) and Request Group Categories (domain 472) already defined.

To set up a new set of questions and the corresponding bundle of forms:

Request Group

This is more of a general grouping, such as New Account, Maintenance, etc., that is used to classify the general request (Wizard Question #1).
Rw ui steps macro
Rw step
Access

Open the Forms Matrix

by navigating to: Administration > List Management > Forms Matrix.

(338) domain, which shows a list of already defined Starting Point combinations.

Image Added
Rw step

Click New Forms Matrix above the list.

Image Added
Rw step
Select Submit to review any existing configurations to the matrix. If none exist, then the screen will appear blank and you can add a new record

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 set of Starting Point options.

Rw step

Fill out all other sections that are relevant to your use case. Click Save and Close.

Rw step

The index fields are as follows:

Name

Description

Use the New > Starting Point menu to create a Work Item and test that the correct forms are added.

Note: On some sites the menu item may be configured and named differently.

Anchor
Forms-Matrix-fields
Forms-Matrix-fields

Fields and Sections for a Forms Matrix Entry

Field or Section

Description

Derived Request Type

This determines

the correct request type for routing the work

how to route the Work Item through the workflow.

This is the request type that will be automatically assigned to the created work item

When a user chooses in Starting Point the combination of options specified in this Forms Matrix entry, 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

is requested

, the Docupace system creates a

Docupace

Client Subfolder

is created and the Subfolder Type is assigned (usually

with this Subfolder Type.

Note: Typically, you are limited to Brokerage or Advisory

, but it may be different depending on the

. However, some broker-

dealer

dealers (

BD) configuration)

BDs) may have additional options available.

Required

A Yes/No field. If you select

If set to Yes, then

all

the forms

listed

will appear in the

record reside

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

and must be used

.

If

No, then there is a separate process (explained in more detail in the Forms page of this guide).

Entity

This provides the ability to filter the request by entity (if it is set up in your site).

Forms

For this you search for and add the forms that will be associated to the various linkages/combinations

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

Important: You cannot bundle both required and optional forms in the same Forms Matrix entry. If both types are needed, create two Forms Matrix entries as described in the Copying an Existing Forms Matrix Entry 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 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 Starting Point.

Vendor/Custodian

This is used to select the vendor.

Info

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

Product Type

This is used to select what product type may drive specific forms (Wizard Question #3).

Registration Type

(Wizard Question #4).

Account Service

Not required. This is a free list to give user more flexibility. (Wizard Question #5).

Account Option

Not required. This is a free list to give user more flexibility. (Wizard Questions #6).

Info

Example: After using the wizard, a completed record may look like this:

Tip

Tip: In this example, the following will occur:

Select the vendors or custodian firms that use this forms bundle.

Product Type

Select what product types correspond with this forms bundle.

Product Name

Select what product names correspond with this forms bundle.

Registration Type

Select what registration types correspond with this forms bundle.

Forms

Search for and add the forms that will be included in the Work Item when a user makes the following selections in Starting Point: 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 with this forms bundle.

Account Service

Select an account service that correspond with this forms bundle. Only one Account Service can be added per Forms Matrix entry.

Entity

Select what entity corresponds with 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: If a Form Matrix is defined as in the example on the right, the following will occur in Starting Point:

  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 no Product Names

    5. Registration Type - Individual

    6. Account Options - Disclosure Forms CRS

    7. any or no Account Services

  2. a client subfolder will be created with the

associated subfolder information of

  1. Subfolder TypeofBrokerage, Registration Type of Individual, and Product Type of Brokerage

.

  1. ,

A subfolder linked to

  1. a

newly created

  1. work

instruction

  1. item with a Request Type of New Account

–

  1. - Brokerage

and a single form

  1. will be

assigned to

  1. created

  2. and this work item

: Pershing New Account Instructions (based on the fact that only one form was selected in the matrix).
Completed Record ExampleImage Removed

Example of a completed record

  • Request Group: New Accounts

  • Vendor/Custodian: Pershing

  • Product Type: Brokerage

    • Registration Type: Individual (not visible)

    1. 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:

    Image Added

    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).

    Image Added

    Rw step

    A copy of the selected Forms Matrix entry 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.

    Image Added
    Rw step

    Click Save (D) 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 a 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

    Note

    Important: You cannot bundle both required and optional forms in the same Forms Matrix entry. If both types are needed, create two Forms Matrix entries. When users go through all Starting Point steps, the required forms will be automatically added to the Work Item, while optional forms will show in the Optional section of the Work Item.

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

    Image Added