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.

Version History

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

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 form set.

Based on the advisor’s answers, the system assembles appropriate forms into a packet (Work Item) for the advisor to process. Depending on the pre-defined workflow, the advisor can then either print the forms for a client's wet signature (and subsequent imaging into Docupace) or process the work completely electronically (eSign).

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:

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

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)

Fields and Sections for a Forms Matrix

Field or Section Name	Description
Request Group	This is more of a general grouping, such as New Account, Maintenance, etc., that is used to classify the general request (Wizard Question #1).
Derived Request Type	This determines the correct request type for routing the work through the workflow. This is the request type that will be automatically assigned to the created work item.
Derived Client Subfolder Type	When a new account is requested, a Docupace Client Subfolder is created and the Subfolder Type is assigned (usually Brokerage or Advisory, but it may be different depending on the broker-dealer (BD) configuration).
Required	A Yes/No field. If you select Yes, then all forms listed in the record reside in the Work Item and must be used. If No, then there is a separate process (explained in more detail in the Forms section of this guide).
Description	An optional description of the forms bundle.
Reason for Adding/Changing	A reason, such as internal issue tracking number.
Vendor/Custodian	This is used to select the vendor. Example: The Clearing Firm, BD, or Direct (Wizard Question #2).
Product Type	This is used to select what product type may drive specific forms (Wizard Question #3).
Product Name	This is used to select what product name may drive specific forms.
Registration Type	(Wizard Question #4).
Forms	Search for and add the forms that will be associated to the various linkages/combinations.
Account Options	Not required. This is a free list to give users more flexibility. (Wizard Questions #6).
Account Service	Not required. This is a free list to give users more flexibility. (Wizard Question #5).
Entity	This provides the ability to filter the request by an entity (if it is set up on your site).

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

Tip: In this example, the following will occur:

A client subfolder will be created with the associated subfolder information of Subfolder Type Brokerage, Registration Type of Individual, and Product Type of Brokerage.
A subfolder linked to a newly created work instruction with a Request Type of New Account – Brokerage and a single form will be assigned to this work item: Pershing New Account Instructions (based on the fact that only one form was selected in the matrix).

_{Example of a completed record}

Request Group: New Accounts
Vendor/Custodian: Pershing
Product Type: Brokerage
Registration Type: Individual (not visible)

Configuring Starting Point

Creating a Forms Matrix Entry

Related Pages