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tocFunctionality: The Forms Matrix Domain is used to package one or multiple forms for specific products
Info

Change Log:

Date

Changes

September 2021

Comprehensive documentation about using Form Matrixes

Audience: Financial Professionals and Account Managers, Back Office, platform administrators, and business analysts.

Introduction: This guide describes how to create and edit Forms Matrix records.

Overview

The Forms Matrix Domain is used to package one or multiple forms for specific products.

  The mapping information provided from the Form Wizard

 The system compares a user’s selections in Starting Point to

specific forms is done

the rules in the Forms Matrix domain. The Forms Matrix

. Typically, in a Broker-Dealer setting, administrators of Docupace would use the Form Matrix tool to map products to a form(s)

tells the system which forms to add to the work item. It also tells the system whether those forms should appear in the Required or Optional sections of the Work Item Summary screen.

How to Access the Forms Matrix Domain

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Rw step

Locate the “Forms Matrix” under Administration > List Domains > Name = Forms Matrix.

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Select the Forms Matrix to review any existing configurations to the matrix. If none, the screen will appear blank and you can add a new record (product to form mapping).

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Locating the Forms Matrix Domain

Creating a New Record

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To create a new record in the Forms Matrix select “New Forms Matrix”.

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New Forms Matrix
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Next, fill in all the applicable fields based on the product.

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Filling out the fields

 

Review the table below to learn more about each field.

Criteria Fields

These fields determine when the system should add the selected forms to a Work Item.

  • Request Group

  • Vendor/Custodian

  • Product Type

  • Product Name

  • Registration Type

  • Account Service

  • Account Options

  • Entity

Other Fields

Field

Description

Derived Request Type

Determines the correct Request Type for routing the work through the workflow. This is the Request Type that will be automatically assigned to the work item created

Required

A yes/no field.  If you select yes, then all forms listed in the record reside in the work item and must be used.  If no, there is a separate process (reviewed further in guide).

Request Group

A general grouping such as New Account, Maintenance, etc. to classify the general request.

Vendor/Custodian

Which vendor is associated?  Is it the Clearing Firm, BD or Direct?  The Vendor/Custodian for the transaction being created.  This will be used to create the Client Subfolder as well as associate the transaction to the correct forms for the selected Vendor/Custodian.

Product Type

Which product type may drive specific forms.

Product Name

Which product name may drive specific forms.

Registration Type

Registration Type identifies the Registration of the account. For example; Individual, Joint, IRA, Simple IRA

If a user makes certain selections in Starting Point, the system will automatically set the Request Type field to this value.

Derived Client Subfolder Type

When a new account is requested, a Docupace Client Subfolder is created, and the Subfolder Type is assigned (usually Brokerage or Advisory but may be different depending on the BD configuration).

This tells the system what type of Client Subfolder to create.

Note: Typically, you are limited to Brokerage or Advisory. However, some firms may have additional options available.

Required

If set to Yes, then users must complete the forms. If set to No, the system will still add the forms to the Work Item, but it will not force users to fill them out before submitting it.

Forms

Search for and add the forms that

would

will be

associated to the various linkages/combinations.

Account Service

Not required. Free list to give user more flexibility. Account services can have one extra level of hierarchy in terms of what you need.

Account Options

Not required. Free list to give user more flexibility. With the account options, you can have many options. So you could pick as many options as you want. And each one of those single options should be tied to a bundling record. And so you would get a different form depending on the option that you selected.

Entity

Ability to filter the request by entity, if setup in your site.

Editing Open Record Details

added to Work Items if the selected conditions are met.

Editing an Existing Record

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To edit an existing record in the Forms Matrix, click anywhere on the desired row or select the Details pencil icon for the specific record.

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Make your desired changes and click

save

Save or

save

Save and

close Save and Close

Close to apply the changes.

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Copying A Forms Matrix

Once a forms matrix is created you can copy the original to make a duplicate
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Rw step

Open Starting Point to make sure your changes are successful.

Info

Note: For more detailed information, see the Starting Point documentation.

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Copying a Forms Matrix Record

You can duplicate a Form Matrix record. This is very useful when

you would like to create

creating a required form bundle and an optional form bundle.

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Hover over the Forms Matrix you would like to copy and click on the

two pieces of paper

Copy Item Icon.

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Copy Forms Matrix
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Notice all of the data has copied to a new Forms Matrix to edit. Make your changes to the copy and click Save to create.

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SaveAdd a Forms Matrix with just

Best Practices

If you need a form added to every packet regardless of the path chosen during the form wizard:

Add a Form(s) to All Work Items

Fill out the Request Group and

Form as either Optional or Required

Forms fields, and set Required to either Yes or No. This will add the form(s) to

the packet every time

every Work Item created with the matching Request Group.

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Tip

Notes:

If you have empty values, then nothing is required and it will skip those questions.

If there is just one value, then it would inherit that and skip, and you wouldn't be required to select that either.

If there are multiple valued, and you leave them blank, then it will apply to all of them. If you put every value, it will populate the list and let you pick anything. If you require all or if it could be any, then instead of selecting them all, just leave it blank.

Tip

Example: There is no Vendor Custodian or Product Type associated with that line item, so it ignores those questions when it is trying to see if the selections count for having that form show up.

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Request Group

If you would like to do an optional and required bundle:

Create your first forms matrix then copy the forms matrix to create your second. The only changes you would need to make are if the matrix is required or optional and the forms that will display.  

Example: A forms matrix record has no Vendor/Custodian associated with it. The system will add the associated forms regardless of what Vendor/Custodian value the users select.

Create an Optional and Required Bundle

First, create the Required version of the Forms Matrix record. Next, copy the record. Finally, set Required to No and change the forms.

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Audience: System Administrators, Business Analysts

Tip

Functionality: The Forms Matrix domain tells the system when to add one or more forms to work items. The system matches Starting Point selections to the criteria in the Forms Matrix record.

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