Table of Contents
Docupace System 2021 Release 1
Connect: 4.6
Core: 23.7
This article shares the new features, updates, and fixes that are part of the first Docupace release for 2021.
Key innovations to the Docupace system
New features
This section tells about major improvements to the Docupace System.
Advanced Task Assignment
Reference #: R1_2021_KEY1
Change: Created the Advanced Task Assignment feature to automatically assign tasks. This functionality provides an additional layer of filtering to assign Work Items.
This feature also relates to the Holidays domain. For more information, refer to Advanced Task Assignment: Holidays domain.
Benefit: This feature allows the system to assign Work Items (WI) to users based on its properties, priority, and target completion date.
Description: Advanced Task Assignment aims to:
Change the behavior of the Get From Pool button while on the dashboard.
Compare the users list of held assignment rules against the Selected Assignment Rule of the top queued Work Item.
Assign the Work Item with the highest priority to the user.
Calculate SLA timing for the Work Item and the current Work Item tasks.
Sort Work Items in a pool, according to each Work Item's priority and calculated task target start time.
The skill priority pyramid
Direct NAO
Reference #: R1_2021_KEY2
Change: Created a new Direct app that is specifically meant for creating new Direct accounts.
Benefit: The Direct app automates the process of creating a new account. This makes it faster and easier to complete the task.
Description: The Direct app allows users to create Work Items containing each of these forms:
Client Profile
Source of Funds
Entity Profile.
The RedTail, SmartOffice, and Envestnet integrations can populate the Direct app. The Direct Widget contains separate required fields for the Advisor and the Client.
Primary Account Holder form
Docupace Start
Reference #: R1_2021_KEY3
Change:
The Docupace Start Editor now supports the Advanced Document Uploader. Users can set parameters for the uploader.
The Advanced Document Uploader can now display a list of acceptable document types.
Benefit: It is easier for financial professionals to identify the types of documentation uploaded by each client.
Description:
Docupace Start Editor has a new action type Advanced Document Uploader. It contains the following parameters:
Additional Attributes
Work Item ID
Event History Description
Multi Documents Mode
In addition, if the client has not uploaded any documents and their work item has account services that require supporting documentation, a message appears asking the client to upload documents.
Extended Docupace Start Editor and Advanced Document Uploader
Fax-to-Fund
Reference #: R1_2021_KEY4
Change: Docupace can now support multiple fax numbers per vendor.
Benefit: Some clearing firms have offices that handle different types of business or regions. This new feature allows the system to send the fax to the appropriate number matching the WI needs.
Description: Created new Fax action that works similar to current action (Send work item documents by FAX) but instead determines the fax number based on matching the active criteria in the newly created domain rather than using the Send Fax Directions domain (116).
New Send Fax Directions record
Reference #: R1_2021_KEY5
Change: Added the Send Fax Directions domain (116) to contain fax number records.
Description: The Send Fax Directions domain can only contain unique records. The system identifies unique records by comparing priority and sponsor/custodian combinations. The Is Active field defaults to Yes when each new record is created.
Holidays Domain
Reference #: R1_2021_KEY6
Change: Created the Holidays domain.
Benefit: The system now allows clients to update holidays in the system without having to submit a list to Docupace each year.
Description: This update is a simple configuration that requires:
Name of the Holiday
Holiday Date
Business Start Time
Business End time
Reason for adding/Changing.
The holiday will be added to the domain and the system will automatically determine whether the day falls on a weekend. This domain will be available in the new version for all sites whether or not your firm uses Advanced Task Assignment. For more information, refer to Advanced Task Assignment: Holidays domain.
Holidays domain
Jaccomo
Reference #: R1_2021_KEY7
Change: Created an integration between Jaccomo’s JCORE system and Docupace.
Benefit: Saves time when filling out forms and ensures that data is always kept up to date.
Description: The Get from JCORE button retrieves information from JCORE and populates matching fields on forms. If a financial professional updates any information, Docupace sends the information back to JCORE at the end of the workflow.
Getting the data
Applying the data
Laser App
Reference #: R1_2021_KEY8
Change: Created an integration between Docupace and Laser App Software.
Benefit: The Laser App integration allows users to auto-fill forms in Docupace.
Description: To automatically fill forms in Docupace, users perform the following actions:
Enter the preferred information from the client documents (PDF files or others) into the XLS form.
Upload the XLS form into Docupace.
Once the XLS form is uploaded into Docupace, Work Item Client Documents autofill with the information provided in the XLS file.
XLS file for form filling
One Click Deployment
Reference #: R1_2021_KEY9
Change:
Added feature to compare the pdf forms.
Added feature to match manually similar records which Configuration tool doesn't recognize.
Benefit: Sites can be deployed more precisely, because the tool deploys the latest versions of the pdf documents, and users can fix unrecognized records manually.
Description:
By default Configuration Management tool (OCD) compares Forms Domain Records (GUIDs, Record IDs, etc.), but not pdf documents. Include Forms feature allows comparing the pdf documents.
If the Configuration Management tool does not find exact matching records, the tool displays a list of similar records. Users can compare the records in source and target sites and match them manually.
Manual matching the records on the source and target sites
Pershing Advisor Solutions (PAS) Integration
Reference #: R1_2021_KEY10
Change: Pershing Account opening API integrated with Pershing Advisor Solutions (PAS).
Benefit: Ability to open a new account for Pershing Advisor Solutions via API.
Description: The integration includes four supported features:
Account number reservation
New account opening *
Image upload
Account status alerts
Note: Your system needs to be configured in order to connect with the PAS integration.
* for most commonly used Registrations
Reference #: R1_2021_KEY11
Change: Upgraded the Pershing NAO API to Core 2.48.
Benefit: A new indicator and rules are available for closing retirement accounts with a non-zero balance.
Description: We added a new Indicator field to this API. The Indicator field provides a positive acknowledgement when a user makes an update request to close a retirement account that still has assets.
Reference #: R1_2021_KEY12
Change: Changed Notification endpoint logic.
Description: By changing the Notification endpoints, we achieved the following:
Improved site performance under heavy loads.
Improved the Monitoring Process.
Improved the WI workflow from calling the Notification endpoint to processing a WI (for example, processing eSign with a transaction and histories).
SIGNiX
Reference #: R1_2021_KEY13
Change: Added an application preference that allows firms to choose the long or short version of the SIGNiX esigning certificate.
Benefit: The short certificate is abbreviated for easy comprehension. It is typically only five pages long. By comparison, the long version is very technical and is often more than 40 pages long.
Description: By default, the system sets the Memo Value field for esign.signix.certificate.type to Long. Change the Memo Value to Short to use the abbreviated version.
First page of short certificate
First two pages of long certificate
Work Items
Reference #: R1_2021_KEY14
Change:
Added ability to navigate between documents in Document viewer by clicking Prev and Next buttons.
Added ability to navigate between documents in Document viewer by choosing documents from the dropdown list.
Benefit: When the AOS (Account Opening and Servicing) platform is opened in a side-by-side view with the document view:
users can see the full list of documents in the dropdown
users can move back and forth between documents without having to close the AOS side-by-side view
Description: The PDF document viewer contains a dropdown listing all the forms. They are listed in the same order as in the Work Item’s Client Documents table. After users select a document from the dropdown, the document immediately opens in the PDF viewer.
Navigation among the pages
Fixes
Advice Pay
Reference #: R1_2021_KEY15
Change: Resolved an issue with the Advice Pay API not updating documents.
Description: Documents are now requested by the paidAfter parameter instead of completedAfter. Additionally, Advice Pay updated their API to include a new section of the Client JSON. These changes are now reflected in Docupace.
Work Items
Reference #: R1_2021_KEY16
Change: Resolved an issue that caused the system to scroll past section headers when navigating using the left-hand menu.
Description: The system accidentally scrolled past section headers, hiding them unless users scrolled back up. To fix the issue, this version includes a new application preference: web.view.duScroll.offset.
Docupace administration
This section shares information about changes to features used by Docupace administrators, such as domains, configuration settings, changes to integrations with other systems, or improvements to core functionality.
Fixes
Application Preference
Reference #: R1_2021_DA_1
Change: Corrected the name and label of the attribute with ID: 130093 in the Application Preferences domain (242).
Description: To maintain correct logic:
The name User Preferences Not Allowed was changed to Overwritable
The label User Preferences Not Allowed was changed to User Preferences Allowed
Documentation
Reference #: R1_2021_DA2
Change: Resolved issue with the Developer's Guide not working.
Description: Some users experienced an issue when trying to open the Developer’s Guide via the link in the top-right corner menu. The link now functions as expected.
Reports
Reference #: R1_2021_DA3
Change: Resolved issue with invisible table headers when exporting to Excel.
Description: Report in Excel on any available screens (Monitor, Retrieve) shows tables with the headers.
Reference #: R1_2021_DA4
Change: Resolved issue where Export was not working with Custom Reports.
Description: Some clients experienced an errorCode:400 message when trying to export Current Results for customized reports from the various domains. The Current Results report now exports correctly.
Retrieve
Reference #: R1_2021_DA5
Change: Resolved issue when downloading non-PDF documents.
Description: Some users experienced issues where non-PDF documents automatically downloaded multiple times. Documents now only download when requested.
Docupace Workflow
This section shares information about changes to features used during the Docupace Workflow.
New features
Client Folder
Reference #: R1_2021_DW1
Change: Added three new fields to the Client Folder domain (110).
Benefit: Saves time with data drag and form population
Description: This release added the following three fields to the Client Folder domain.
Employer/Company City
Employer/Company Zip
Employer/Company State
New Client Folder fields
Fixes
Asynchronous Stamping
Reference #: R1_2021_DW2
Change: Improved REST API to support asynchronous mode for stamp images.
Benefit: Increased the number of documents that users can stamp in a Work Item. Previously, the system timed out after users stamped 20-25 documents.
Description: This update added a new parameter to support image/stamp API. By default async=false. Set the parameter to async=ftrue to enable asynchronous mode.
Client Folder
Reference #: R1_2021_DW3
Change: Resolved issue causing an error to display when users added Beneficiaries to a Client Folder.
Description: Users received the “Mapping Exception: do not know how to convert Jstring (Parent_Record_ID) into int” error when trying to add beneficiary information to a Client Folder. Users could add Authorized Individual and Spouse but could not add Primary and Contingent Beneficiaries.
After fixing the error, users can add the following information to a Client Folder:
Authorized Individual information
Spouse
Primary Beneficiaries
Contingent Beneficiaries
Mapping Exception: do not know how to convert Jstring (Parent_Record_ID) into int
Fax-to-Fund
Reference #: R1_2021_DW4
Change: Resolved issue that sometimes prevented the system from sending faxes.
Description: The status for certain faxes did not update correctly, causing faxes to get stuck. The system now correctly updates fax statuses.
Retrieve
Reference #: R1_2021_DW5
Change: Added support for BASE field retrieval for Child Work Items.
Description: Previously Core was automatically reading the BASE fields from the Parent Work Item if the Child Work Item didn't have any data. However this didn't work for second-level Child Work Items. Now Core is updated and works correctly.
Reference #: R1_2021_DW6
Change: Resolved issue with SLA default sort order.
Description: Previously when going to Retrieve and search for a Work Item, it is sorted by Assigned Processor by default, even though the Search and Sort Preferences are set to SLA Start Time. The issue is resolved and Work Items are displayed in SLA Start Time order when set to.
Reference #: R1_2021_DW7
Change: Resolved issue where the Work Item Notes app stopped showing the Document Notes.
Description: After the Oracle RAC was moved to the production environment, Work Item Notes app stopped displaying Document Notes for documents attached to the Work Items. Global site settings were updated, and Work Item Notes app now shows Notes for ePACs Work Items, as well as Document Notes for documents attached to the Work Items.
Starting Point
Reference #: R1_2021_DW8
Change: Resolved issue with selecting a State in Starting Point.
Description: Some users still saw the State field even though application preference sp.useClientState.enable was set to Yes. The field now behaves correctly.
Work Items
Reference #: R1_2021_DW9
Change: Resolved an issue where inconsistent line weights displayed for headers on the Work Item screen and Case Home.
Description: The ePACs Work Items section had a spot in the divider that was thicker on the left than the right. Several sections on the Case Home screen had the same issue. The tables now display correctly.
Reference #: R1_2021_DW10
Change: Corrected the Reassign function.
Description: Previously opening any Work Item from Dashboard or Monitor and clicking on the Reassign button gives the error message.
The fixed version in Connect 4.59 works as expected.
Reference #: R1_2021_DW11
Change: Resolved issue where predefined search filters did not work properly for some users after Winter 2021 upgrade.
Description: When searching by any attribute using the is option, the search was acting like using the contains option. The result showed all items containing the search string. The revised version works as expected.
Reference #: R1_2021_DW12
Change: Resolved issue where the Sync action didn't work for Entity if Owner information was missing.
Description: In the wizard, the user first selects Entity account holder. Fields for it are stored under Enitity1. prefix.
Previously after creating a Work Item with Entity, the Sync action tried to index the subfolder/folder. When it found empty Owner fields, it returned the error Error while execution of java action.
In fixed version, after adding Owner1. fields, the Sync action starts working and both Entity1 and Owner1 are indexed to Work Item.
Reference #: R1_2021_DW13
Change: Resolved issue where linking multiple clients to subfolder did not work.
Description: Some users experienced a problem when selecting multiple folders/subfolders when at least one was Trust. The Work Item populated individual folders but ignored the Trust. The same situation appeared when selecting the blue arrow under Client Information. Trust folders did not populate. Forms did not auto-populate any of the Owner1 or Owner2 fields across all forms. It only auto-populated the Trust name on the Personal Trust Account Application form. Auto-populating is fixed and works as expected.
Reference #: R1_2021_DW14
Change: Fixed a search feature that returned incorrect search results.
Description: Searching many fields on Forms failed in Preprod Connect. Searches did not find anything. The problem is corrected in Connect version 4.59.
Reference #: R1_2021_DW15
Change: Resolved issue that caused the system to sometimes fail to stamp documents.
Description: The system stamped some forms correctly and displayed a green checkmark. It did not stamp other forms and displayed a red cross mark instead. Forms that the system did not stamp the first time would stamp after a second attempt. The system now stamps all forms on the first try.
Integrations
This section shares information about how the Docupace System integrates with outside systems.
Fixes
Envestnet
Reference #: R1_2021_INT1
Change: Fixed linking a Client Folder with a Joint Owner in Envestnet.
Description: The system linked both Owner and Joint Owner to same Docupace Client after sending the Envestnet proposal. Now, the system only links the Joint Owner to the Docupace Client.
Redtail
Reference #: R1_2021_INT2
Change: Resolved issue where user aliases were not working correctly for Redtail.
Description: Users could not log in to Connect from Redtail as another user. The system could not convert the Redtail tokens into Connect aliases. Users can now log in to Docupace using their aliases.
Reference #: R1_2021_INT3
Change: Created a trigger and script to produce aliases from the Redtail tokens.
Description: The new feature allows users to bulk-create Redtail tokens. This resolved a security issue that allowed users to log into the Docupace platform from Redtail as another user.
SIGNiX
Reference #: R1_2021_INT4
Change: Added support in Connect for the “signix.url.disabled” Application Preference.
Description: Users received an error message while disabling the SIGNiX URL by setting the “signix.url.disabled” boolean value to Yes on the User Settings page. The error message no longer displays.
User experience
This section describes changes made to Docupace that affect the user experience.
Improvements
Oracle RAC
Reference #: R1_2021_UE1
Change: Migration to Oracle RAC.
Benefit: Oracle RAC is more scalable, has more Client Processing availability, and creates isolated environments.
Description: Oracle RAC allows firms to run a single database across multiple servers to access shared storage. The Oracle RAC database environment ensures the following benefits:
Scalability: Users can add additional nodes to RAC to provide more processing power.
Higher Availability: Ability to shift Client Processing from one node of the RAC to another. This helps both in the case of unplanned outages, as well as scheduled maintenance.
Isolated environment: Each environment is completely isolated from the others. Users can migrate their client data from the legacy databases onto the respective RAC system.
Fixes
AOS Widget (Login)
Reference #: R1_2021_UE2
Change: Resolved the CSRF token check failed error.
Description: Users received the CSRF token check failed error on the login screen. Financial Advisor are now correctly redirected to the Account Opening and Servicing (AOS) app.
Docupace Start
Reference #: R1_2021_UE3
Change: Resolved an issue where the Enter key wasn’t initiating a search in Docupace Start.
Description: Some users experience incorrect system behavior after pressing the Enter key to begin a search. This caused the system to display:
A
No resultsmessageThe same results because the results did not refresh
Pressing the Enter key now correctly begins a search.
Global Search
Reference #: R1_2021_UE4
Change: Resolved issue causing Global Search to work incorrectly.
Description: Some users experienced an issue when searching for client names, and only recieved results from certain domains while bypassing others. The Global Search now functions as expected.
Monitor
Reference #: R1_2021_UE5
Change: Fixed an error that caused sessions to expire after navigating to Monitor.
Description: After clicking Monitor in the Navigation menu, the session would expire. This forced users to sign in again. Users can now successfully navigate to Monitor.
Retrieve
Reference #: R1_2021_UE6
Change: Resolved an issue with the Favorite Forms filter not working.
Description: While searching for forms using a Favorite Forms label, the system would sometimes return no results.
Reference #: R1_2021_UE7
Change: Resolved issue where additional search options (Contains, Is, Begins With, Ends With) were not working.
Description: Some of the additional search options returned results as another search option. For example, searching using Contains would result in the search using Begins With instead.
Reference #: R1_2021_UE8
Change: Resolved an issue where searching for records with an empty value resulted in a null error.
Description: Searching for unassigned records in Monitor or empty fields in the Client Folder resulted in a null error message.
Reference #: R1_2021_UE9
Change: Resolved an issue where searching for records by certain numerical fields returned no results.
Description: Searching for records via the fields below returned no results:
Retrieve > Client Folder > SSN
Retrieve > Client Subfolder > Account Number
Retrieve > Client Documents > Document ID
Retrieve > Forms > GUID
Retrieve > Work Item > ePACS Work items > Work Item ID
UI
Reference #: R1_2021_UE10
Change: Resolved an issue causing extra separator lines to appear in the New dropdown menu.
Description: Some users had additional empty lines between options in the New dropdown menu.
apps
This section shares information about changes to APPs, apps, and wizards within the Docupace system.
New features
Docupace Start (DSP)
Reference #: R1_2021_WIG1
Change: Developed feature in DSP to enable the Expand/Collapse button.
Benefit: Users have the ability to show or hide the navigation panel to see more fields on the screen when hiding the navigation panel.
Description: Turn on the Expand/Collapse button in the Widget parameters.
The hiding of the navigation panel is useful in the Wet Sign/Paper Process on the Data Entry step. It facilitates entering values in the screen from PDF forms side by side on one screen.
Expanded and collapsed states
Account Opening and Servicing (AOS)
Reference #: R1_2021_WIG2
Change: Added a new feature to open an app in a half screen.
Benefit: Users can now open the AOS app together with a Document Viewer on the half-screen mode.
Description: While processing a Work Item, you can open the Account Opening and Servicing (AOS) app in half screen on the left side together with a Document Viewer on the right side.
Opening an app in a half screen
Improvements
X-Ray app
Reference #: R1_2021_WIG3
Change: Improved the X-Ray app to read Work Item fields from both sources (initial/not initial).
Benefit: The X-Ray app displays the Parties section for all Work Items.
Description: Updated the Parties section of the X-Ray app to populate for Work Item, which is started within Docupace Start (DSP) or externally from DSP.
Work Item Parties section
Fixes
Docupace Start
Reference #: R1_2021_WIG4
Change: Resolved issue when Request Group did not pass from Starting Point to DS apps.
Description: Parameter PARAM.REQUESTGROUP was not populated after selecting a Request Group.
Upgrading Connect to version 4.59+ solves this issue.
Reference #: R1_2021_WIG5
Change: Resolved performance issue with cascading dropdowns in Docupace Start app.
Description: The loading time when opening the Docupace Start app was more than 10 seconds.
Resolved issue with the Forms Matrix lookups in Docupace Start improves the loading time reducing it to less than 3 seconds.
Reference #: R1_2021_WIG6
Change: Resolved issue where multi-selection fields were not working in Docupace Start.
Description: When the value in the Multi-selection field was set and then deleted, the system was not showing the required validation for the field.
In the corrected version for all required fields on Save and Continue, the system shows a validation message.
Tracker BI
Reference #: R1_2021_WIG7
Change: Resolved issue where the Tracker BI Last Disclosure date was not displaying in Internet Explorer (IE).
Description: When searching for a client in Tracker BI while using IE, the system did not display the last disclosure dates in the search results.
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