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 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.

Version History

Date	Change
May 2023	Updated for current functionality.
October 2020	Initial Version

Starting Point Overview

When an advisor launches 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. The choices in the wizard 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 (called a Work Item) for the advisor to fill out and process. Then the advisor can either print the forms for a client's wet signature (and imaging it back into Docupace) or process the work electronically (eSign).

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

Related Pages

Page:
Launching Docupace Starting Point from SmartOffice (Docupace Platform User Guides)
Page:
Configuring Starting Point with the Forms Matrix (Docupace Platform User Guides)
Page:
Using SmartOffice / Docupace Integration (Docupace Platform User Guides)
Page:
Reviewing the Work Item Summary Screen (Docupace Platform User Guides)
Page:
Opening New Accounts (Docupace Platform User Guides)

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:

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. 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 ??? 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: Only Request Groups with at least one Forms Matrix entry appear as options on the first screen of Starting Point.
Vendor/Custodian	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: 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: If a Form Matrix is defined as in the example on the right, the following will occur in Starting Point:

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
a client subfolder will be created with the Subfolder Type of Brokerage, Registration Type of Individual, and Product Type of Brokerage,
a work item with a Request Type of New Account - Brokerage will be created
and this work item will contain these forms as Required Forms:
1. Form CRS
2. Brokerage New Account Form Requirements
3. Account Transfer
4. New Account Agreement.

Example: After defining a Forms Matrix, a completed record may look like this:

Copying an Existing Forms Matrix Entry

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:

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.

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

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.

Configuring Starting Point with the Forms Matrix