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title	Introduction

Docupace provides you with the option of either wet-signing (signing via pen and paper) or e-signing (signing via secure, electronic signature process) documents. This guide covers the e-signing process.

Preparing Documents for eSigning

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To prepare the documents for esigning, perform the following steps:

Step 1: On your dashboard, select the Pending Advisor Review queue and click on your work item.

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_{Figure 1: eSigning > Pending Advisor Review queue}

Step 2: The work item opens. Scroll down to the Client Documents pane and check whether all the required documents are present. Ensure that all the mandatory fields are filled in and the validations are cleared out.

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Once the documents are sent for e-signing, they are locked down and non-editable.

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_{Figure 2: Adding optional documents for eSigning}

Step 3: Docupace doesn’t allow you to send the documents for e-signing if certain mandatory fields are not filled in. The following image shows the kind of error messages that pop up.

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For more information on the work item panes and field validations, refer to the Starting Point – Overview – User Guide V1.0.

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_{Figure 3: Error Messages}

Step 4: Select eSign under the actions button. The Recipient Transactions page opens. The signers identified on the bundle of forms will show up on the list of signers.

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If you do not see the list of correct signers, there might be a technical glitch with the form. Contact your support team to resolve the issue. In the example below, the primary and secondary recipients are expected to sign. Click on each of the Recipient records.

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You can add additional signers to the list by clicking the Add button. Refer to the Setting up Additional Signers section for more information.

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_{Figure 4: Recipient Transactions}

Step 5: On clicking a record, the respective Details form opens. Check the accuracy of the details filled in. Enter any additional details that are required.

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Refer to the following table for more information on the fields.

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_{Figure 5: Recipient Transactions – Details Form}

FieldDescriptionRecipient TypeThis is a mandatory dropdown field that is pre-populated based on the form configuration and should not be changed. The field describes the type of signer. In this example, it is the primary signerRecipient Mode

This is a mandatory dropdown field. Use this field to choose how the clients access the documents for eSigning:

 eSign – In Person – To eSign in person, select this option.

Note: To e-Sign in Person’, the clients (signers) would have to be present “on-location” so that they can sign the forms opened on the reps’ electronic devices.

 eSign Remote – To sign remotely, select this option. The signers will receive a link by email to open and sign the documents.

Note: By default, this option is selected upon opening the Details form.

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The system sends an eSign link to the email address entered in this field.

First Name, Last Name, Email,

These are mandatory fields that are pre-filled based on the form configuration, but should be checked for accuracy before sending the forms for e-signing.

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The system sends an eSign link to the email address entered in this field.

TIN/SSNThis field is pre-filled based on the form configuration and mandatory if the Recipient Authentication Mode = ‘KBAOneClick’Recipient Authentication Mode

Before eSigning, it is required to complete the authentication process. There are three types of authentication modes:

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KBAOneClick – KBA (Knowledge-based Authentication) mode will present you with a pre-defined set of questions to answer. The questions would be related to the clients’ personal information in order to verify their identity.

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The questions are sourced from the LexisNexis database.

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This mode of authentication is used only for clients residing in the United States that have a sufficient credit history

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Phone Auth – To generate an automated call recording, select this option.

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The signers will receive an automated voice call prompting you to enter a verification code over the phone.

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SMSOneClick - To generate a text verification code to your phone, select this option.

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The signers will be prompted to enter this code on the authentication window.

Phone for AuthenticationThis field is mandatory if the Recipient Authentication Mode is ‘SMSOneClick’ or ‘Phone Auth’. The phone call is placed or the text verification code is sent to the signers’ numbers entered by the rep in this field.PIN for Authentication

Use this field to set a PIN (number) for authentication. The signers will have to enter this authentication number before proceeding with the signer authentication process.

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This field enables you to add an additional level of authentication. Refer to the PIN for Authentication section for more information.

Order IndexYou can use this field to set the order in which the recipients will sign the forms. In this example, you can enter ‘1’ if you want the primary signer to be the first signer. If no order is specified or if multiple signers have the same order index, then the signers will receive the forms simultaneously. The rep will receive the forms once all the recipients have signed.

6. Click on the Save and Close button to save the entered details and close the form.

7. Click on the eSign button in the Recipient Transactions page.

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_{Figure 6: Generating document bundle for eSigning - eSign button}

Upon clicking eSign, the system bundles the documents into DocuSign envelope and sends them to the recipients according to the order specified in the list.

After all the recipients complete eSigning, they will receive an email with a link to the documents.
The rep will receive an email to sign the documents once all the signers have completed the e-signing process.

DocuSign is the e-Sign solution used by Docupace. To access the documents on DocuSign as a signer, you must complete the authentication process

Click on the eSign button to generate the document bundle and send it over to the first signer in the list. As there is no Order Index specified in this example, all the signers will receive the documents at the same time. The rep receives the documents to sign once all the recipients have finished signing.

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_{Figure 11: Adding Signers (2) – Recipient Section}

SMS

As shown in the image below, the first signer in the list is an ‘In – Person’ signer with an SMS authentication set up.

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_{Figure 12: Recipient section – ‘In-Person’ Signer (Auth: SMS)}

Step 1: On clicking eSign:

I) Docupace opens another window and takes the signer through a set of authentication steps.

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This window opens only if the signer is “in-person”; the “in-person signer” has the option of triggering the authentication process from within the Docupace application itself. Else, the signer can start the process using the email link.

II) The signer receives an email with a link. If the window doesn’t open in Docupace due to a technical glitch, then you can always open the window and go through the authentication steps by clicking on this link.

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_{Figure 13: Recipient Authentication Mode – SMS (1)}

Step 2: Go through the following steps for the SMS authentication mode: 1. Click the Send SMS button.

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_{Figure 14: Recipient Authentication Mode – SMS (2)}

Step 3: Enter the confirmation code that is triggered to your phone and click on Confirm Code to complete the SMS authentication process.

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_{Figure 15: DocuSign - Document Bundle}

Step 4: On completing the process, the document bundle opens up the DocuSign application. The application prompts the user through the various areas to sign. Click on each of the prompts in order to have the signature applied to the document. Click Finish after signing the documents

Phone

The second signer in the list is a ‘Remote’ signer with a phone authentication mode set up. The remote signer receives an e-mail with a link to sign the documents. To complete the authentication and sign the documents, perform the following steps:

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As there is no order index specified, the second signer receives an email the same time as the first signer. So, the secondary signer would be able to sign the documents at the same time as the primary signer.

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_{Figure 16: Recipient section – Remote Signer (Auth: Phone)}

Step 1: Click on Review Documents.

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_{Figure 17: Recipient Authentication Mode – Phone (1)}

Step 2: Enter the authentication PIN in the Access Code field and click on the Validate button.

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This step is applicable only if we have set up a PIN for authenticating the signer. In our example we set up a PIN for the remote signer (Secondary Recipient). If you wish, you may also set up a PIN for the ‘In-Person’ signer.

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_{Figure 18: Recipient Authentication Mode – Phone (2)}

Step 3: Click on the Call button to place the automated voice call to the signer.

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_{Figure 19: Recipient Authentication Mode – Phone (3)}

Step 4: Enter the authentication code that appears on your screen:

Step 5: Once you enter the code on your phone, the document bundle appears on your screen. Submit the electronic signatures and click Finish.

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_{Figure 20: Recipient Authentication Mode – Phone (4)}

KBA (Knowledge-Based Authentication)

The last signer in the list is the additional signer – a remote signer with a KBA authentication mode set up. As explained earlier, their only purpose is to acknowledge the documents.The remote signer receives a mail with a link to sign the documents. To complete the authentication and sign the documents, perform the following steps:

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_{Figure 21: Recipient section – Remote Signer (Auth: KBA)}

Step 1: Click on Review Documents

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_{Figure 22: Recipient Authentication Mode – KBA (1)}

Step 2: Enter the required personal information to verify your identity and click Next.

Step 3: Based on your responses, the system generates a list of questions to verify your identity.

Step 4: On completing the questionnaire, the document bundle appears on your screen. Submit the electronic signatures and click Finish.

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_{Figure 23: Recipient Authentication Mode – KBA (2)}

Step 5: Once all the signers complete the eSigning process, they receive an email with a link to the signed documents:

Step 6: Once all the signers submit the signatures, the rep receives an email with a link to access and sign the documents. The rep is always the last signer.

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_{Figure 24: Signed Documents – Email Link}

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Authentication and Sign Modes

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Client ESign Transaction – Authentication and Sign Modes

In this section, we will demonstrate:

PIN for authentication
Setting up additional signers
Different authentication modes and sign modes
- SMS
- Phone
- KBA

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In our example, we have demonstrated authentication for both the Recipient Modes – ‘In-Person’ and ‘Remote’.

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It is not common or mandatory to use all of these features in your e-signing process.

PIN

Consider the following example, in which there is a Primary Recipient with Recipient Mode = ‘In Person’ and a Secondary Recipient with Recipient Mode = ‘Remote’. To add a PIN for authentication for a specific signer, perform the following steps:

Step 1: Click on the signers’ Recipient row

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_{Figure 7: Recipient Transactions screen}

Step 2: The Details form of the signer opens. Enter a PIN code in the PIN for authentication.

Step 3: Click Save and Close to save the changes and go back to your Recipient Transactions screen

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_{Figure 8: PIN for Authentication}

Setting Up Additional Signers

In some cases, there can be document recipients who not appear on any of the forms. Their only purpose in the signature process is to acknowledge that they have viewed the documents. To set up an additional signer, perform the following steps:

Step 1: Click on the Add button in the Recipient section.

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_{Figure 9: Adding Signers}

Step 2: The Details form opens. Enter all the details of the new signer and set the Recipient Type, Recipient Mode and Recipient Authentication Mode.

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In this example, we are setting up the KBA authentication mode for a remote signer.

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_{Figure 10: Adding Signers (1) - Details}

Step 3: Click Save to save the changes and go back to your Recipient Transactions screen. 4. The signer is added to the Recipient section.

Versions Compared

Old Version 7

New Version 8

Key

Table of Contents

Preparing Documents for eSigning

Table of Contents

SMS

Phone

KBA (Knowledge-Based Authentication)

Authentication and Sign Modes

PIN

Setting Up Additional Signers

Page Comparison

Versions Compared

Old Version 7

New Version 8

Key

Table of Contents

Preparing Documents for eSigning

Table of Contents

SMS

Phone

KBA (Knowledge-Based Authentication)

Authentication and Sign Modes

PIN

Setting Up Additional Signers