Overview: 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 system. It is the engine that bundles forms for each Work Item.
Starting Point Overview
When an advisor launches the Docupace Starting Point either from the Docupace system or from a 3rd party CRM integration, a wizard opens and guides them through a step-by-step process to help determine the required set of forms to complete the paperwork.
Based on the advisor’s answers, the system assembles the appropriate forms into a packet (Work Item) for the advisor to fill out and process. Depending on the pre-defined workflow, the advisor can then either print the forms for a client's wet signature (and subsequent imaging back into Docupace) or process the work completely electronically (eSign).
The first question in the 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: BAs, CAs, Administrators, Developers.
Functionality: 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.
Related Pages
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Launching Docupace Starting Point from SmartOffice (Docupace Platform User Guides)
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Configuring Starting Point with the Forms Matrix (Docupace Platform User Guides)
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Using SmartOffice / Docupace Integration (Docupace Platform User Guides)
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Reviewing the Work Item Summary Screen (Docupace Platform User Guides)
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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:
Fields and Sections for a Forms Matrix entry
Field or Section Name | 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, 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 |
Required | If set to If set to Note: Optional Forms are explained in more detail in the ??? 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 group from the Quick select (A) dropdown, click the Search icon (B) to see and choose from all groups, or click Add New (C) to create a new Request Group.  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 that use this forms bundle. Example: The Clearing Firm, BD, or Direct (Wizard Question #2). |
Product Type | Select what product types correspond to this forms bundle. |
Product Name | Select what product names correspond to this forms bundle. |
Registration Type | Select what registration types correspond to this forms bundle. |
Forms | Search for and add the forms that will be included in the Work Item corresponding to the combinations of parameters: 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 this forms bundle. |
Account Service | Select what additional account service corresponds to this forms bundle. Only one Account Service can be added to the Forms Matrix entry. |
Entity | Select what entity corresponds to this forms bundle. 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
Example: In this example, the following will occur:
when an advisor belonging to any Entity selects the following options in Starting Point:
Request Group - New Account
Vendor - Pershing
Product Type - Brokerage
any or none Product Names
Registration Type - Individual
Account Options - Disclosure Forms CRS
any or none Account Services
a client subfolder will be created with the Subfolder Type of
Brokerage, Registration Type ofIndividual, and Product Type ofBrokerage,a work item with a Request Type of
New Account - Brokeragewill be createdand this work item will contain these forms listed in the Forms Matrix:
Form CRS
Brokerage New Account Form Requirements
Account Transfer
New Account Agreement.
Example: After defining a Forms Matrix, a completed record may look like this:
