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 the Starting Point steps.

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

Rw ui steps macro

Rw step Open the Forms Matrix (338) domain, which shows a list of already defined Starting Point routescombinations. Rw step Click New Forms Matrix above the list. Rw step 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 requestoptions. Rw step Fill out all other sections that are relevant to your use case. Click Save and Close. Rw step Use the New > Starting Point menu (or a corresponding interface on your site) 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.

Fields and Sections for a Forms Matrix Entry

Expand to see the list of all fields

Field or Section	Description
Derived Request Type	This determines how to route the Work Item through the workflow. 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, the Docupace system creates a Client Subfolder with this Subfolder Type. Note: Typically, you are limited to Brokerage or Advisory. However, some broker-dealers (BDs) may have additional options available.
Required	If set to Yes, then the forms will appear in the Required Forms section and the system will automatically include them in the created Work Item. If 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

Note: Optional Forms are explained in more detail in the ???

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

the

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

the

Starting Point.
Vendor/Custodian	Select the vendors or custodian firms that use this forms bundle.
Product Type	Select what product types correspond

to

with this forms bundle.
Product Name	Select what product names correspond

to

with this forms bundle.
Registration Type	Select what registration types correspond

to

with this forms bundle.
Forms	Search for and add the forms that will be included in the Work Item

corresponding to the combinations of parameters

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

to

with this forms bundle.
Account Service	Select

what additional

an account service

corresponds to

that correspond with this forms bundle. Only one Account Service can be added

to the

per Forms Matrix entry.
Entity	Select what entity corresponds

to

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

Copying an Existing Forms Matrix Entry

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). Rw step A new copy of the selected Forms Matrix entry that is the same as the selected one 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. 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.

Create a Required and an Optional Bundle

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.