docupace - starting point user guide - amazon s3point+(forms... · · 2014-10-22how to sync forms...

Docupace - Starting Point User Guide

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Overview

The Docupace Forms Dashboard, also known as Starting Point, is a user’s capture

point for form generating and auto-filling to initiate the straight through processing

solution within Docupace. This document will cover the setup, configuration and usage

of the system.

Setup – Forms Repository ............................................................................................... 1

Setup / Requirements (User) ........................................................................................... 1

Adding Client Data ....................................................................................................... 1

CRM Configuration/Setup ............................................................................................ 1

Setup of User Access – Docupace .............................................................................. 2

HTML 5 Forms Viewer ................................................................................................. 2

ePAD: Topaz Configuration (Optional) ........................................................................ 3

eSign: DocuSign / SIGNiX Configuration (Optional) .................................................... 3

The Dashboard – Features ............................................................................................. 3

Launching the Forms Wizard/Dashboard .................................................................... 3

I. From within Docupace Application ................................................................... 3

II. From within Docupace (Client): ........................................................................ 3

III. From CRM ........................................................................................................ 4

Dashboard Overview - Boxes/Panes ........................................................................... 6

Forms Repository ..................................................................................................... 6

Actions Toolbar ........................................................................................................ 7

Launching Docupace ............................................................................................... 8

Client Name ............................................................................................................. 9

Favorites Folders ..................................................................................................... 9

Current Request Indexing ...................................................................................... 10

Edit the Work Item .............................................................................................. 10

Edit the Form/Document ..................................................................................... 11

Deleting a Work Item from Starting Point ............................................................... 13

How to Sync Forms in Starting Point ...................................................................... 14

Retail Clients ONLY Step by Step Example – Create a Work Item/Request ................. 16

I. Print and Sign (and Scan) .................................................................................. 18

II. Electronically Sign using Signature Pad (Topaz pad attached to PC) ................ 19

III. Electronically Sign using remote signature capture (DocuSign or SIGNiX) ...... 19

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Broker Dealer ONLY Step By Step Example – Create a Work Item/Request ............... 20

The Dashboard Forms Sidebar.................................................................................. 22

Form Validations ........................................................................................................ 23

Troubleshooting/FAQ .................................................................................................... 24

www.docupace.com 10/2014 1

SETUP – FORMS REPOSITORY Docupace has partnered with Quik (www.quikforms.com) to provide you the Starting

Point forms repository.

When signing up with Docupace, each office entity (or BD) will be required to select the

appropriate sponsor/custodian forms they wish to have access to. Should they simply

request “all” in the repository, they can also do so by letting Docupace know.

SETUP / REQUIREMENTS (USER)

ADDING CLIENT DATA Though not a requirement for day-to-day work, the ability to pre-fill your client forms is a

significant time saver, both from a labor-based perspective and a NIGO reduction

perspective. Therefore, having client data readily available when launching/opening the

forms for the auto-filling process is recommended. There are different ways a rep may

store client data for the express purposes of forms auto-filling within Starting Point.

Client data can be stored directly within Docupace or from within a Docupace partnering

Client Relationship Management (CRM) system.

1. Docupace: Inside the Client Folder section within Docupace, the primary client fields

for form auto-filling are available. When setting up these values in Docupace, there

are two methods a rep can add their client data capture:

a. Manual Indexing: Adding the client data directly into the Client Folder as the

clients are added into the system (or at a later date)

b. One-Time Client Data Upload: A rep can use a client upload

template/spreadsheet to consolidate the client data before uploading into the

system automatically. This spreadsheet will be used primarily when a rep has

a 3rd party system where they can easily export the necessary data to the

spreadsheet.

2. CRM Solutions: Docupace partners with various CRM companies to support

launching Docupace directly, from within the CRM solution. As the rep’s primary

source of data, this is a key component.

a. Current partners include:

Redtail Salesforce.com

Smart Office (Ebix) Pareto

CRM CONFIGURATION/SETUP 1. Setup:

a. CRM Add-in: If the rep is using a preferred CRM partner, they will need to

launch a one-time application to associate the CRM to Starting Point.

Within Docupace, go to Administration > Utilities > Starting Point.

Select “Install CRM Add-on”.

Once the add-on has been installed, you will get a confirmation message.

http://www.docupace.com/


Note: Not required for Docupace Salesforce AppExchange Application or

Pareto.

b. Enable/Locate Quik/Starting Point link in CRM: Consult with the CRM vendor

(or Docupace) to make sure Starting Point can be launched directly from

within the CRM system. This may be an icon that launches Starting Point or a

direct link. Each CRM vendor behaves differently.

SETUP OF USER ACCESS – DOCUPACE You will need to make sure your user access is setup correctly. This can be done in the

User Access section in your Administration panel (Administration > List Management

> User Access). Select submit to generate the results of your personalized user access

record.

Ensure you have the Auto Assign to Creator dropdown set to ‘Yes’ as shown below.

This is required and, if NOT set up, work items will be sent to the user’s pool and they

will need to select the “Get From Pool” feature to retrieve the work item.

HTML 5 FORMS VIEWER Starting Point utilizes an HTML 5 Viewer to edit forms instead of Adobe Reader.

However, Adobe Reader is still required in the core ePACS application.

Note: If using Internet Explorer, version 9 and higher is required. All other browsers do not have any HTML5 limitation.



EPAD: TOPAZ CONFIGURATION (OPTIONAL) Pursuant to BD/Custodian approval, reps can leverage electronic signatures within the

dashboard. Docupace has partnered with Topaz for electronic signature pad integration.

Once the Topaz drivers are installed and Adobe (Acrobat or Reader) is configured. If

you haven’t already purchased a signature pad, they can be ordered at

www.ctiprimestore.com/docupace.

Please find the separate setup guide for installing/configuring Topaz. Reminder, this

feature is only available if approved by the BD or Custodian.

ESIGN: DOCUSIGN / SIGNIX CONFIGURATION (OPTIONAL) Similar to Topaz, pursuant to BD/Custodian approval, reps can leverage digital

signatures within the dashboard. Docupace has partnered with DocuSign

(www.DocuSign.com) and SIGNiX (www.SIGNiX.com) for digital signature capability.

Please find the separate setup guide for installing/configuring DocuSign or SIGNiX.

Reminder, this feature is only available if approved by the BD or Custodian.

THE DASHBOARD – FEATURES

LAUNCHING THE FORMS WIZARD/DASHBOARD There are three different methods of accessing the Forms Wizard/Dashboard. All three

methods are detailed below.

I. From within Docupace Application

This will launch the main Starting Point repository. From here you can perform a simple

search-and-retrieve of any form(s) in the repository. Once open, the user can either

print and write in information; or auto-fill electronically and then print. Note: This will

NOT create Work Item(s) in the system; this method is exclusively for blank form

viewing or downloading/printing.

a) Go to Administration > Utilities > Starting Point.

b) Select “Starting Point”.

c) The forms dashboard will appear.

d) Selecting any form (double click) will open that form. It can either be

electronically filled out; or printed and manually filled, as required.

Note: You cannot populate forms from this action.

II. From within Docupace (Client):

a. From the main results page: If your search results provide you a list of multiple

clients, you can select the specific client (enable check box) and then select the

Starting Point button.



b. From within a specific client Record: Launch directly from within the client folder.

In both examples, the dashboard will then open and the selected client information (that

is currently inside the Client Folder) will be used for all selected forms population.

III. From CRM

Starting Point will not launch unless the CRM Add-on has been installed first (as

reviewed in the Setup section above). For Salesforce and Pareto (below), the CRM

Add-On is not necessary.

Redtail

Once you’ve identified the client you will open the forms for, select the Send to Quik!

Forms link. Starting Point will open.



Salesforce

Once you’ve identified the client you will to open the forms for, select the Docupace

Starting Point button. Starting Point will open.

Ebix SmartOffice

Once you’ve identified the client you will to open the forms for, select the Quik icon in

the integration toolbar area. Starting Point will open.

Pareto

Within the account contact, simply select Starting Point in the Common drop down area

and Starting Point will automatically launch within the frame.



DASHBOARD OVERVIEW - BOXES/PANES Within the dashboard, there are 3 different vertically aligned boxes/panes on the left

side of the screen that are shared with one large pane on the remainder of the screen.

Accessing each of these panes will trigger events/outputs on the right side pane:

1. Current Request – When selecting a specific task/work item within the Outstanding Tasks section, the selected work item is presented within this pane. All forms within the work item are itemized below within the folder. Select a specific form will then make it visible on the results pane. When a new request is created, it will also immediately appear in this section. 2. Outstanding Tasks – Tasks represent all the open tasks the rep currently has access to. These tasks represent all open work items associated to the rep. 3. Cabinets / Forms – Forms repository. When selecting the Forms folder, ALL forms will be presented on the right side viewing pane. Users will be able to use filtered searches to narrow down the # of forms showing in the results pane. Users will be able to create their own favorites folders.

Forms Repository

When selecting the Forms folder within the Forms Cabinet, the entire list of forms is

presented in the results pane (right side of the screen). In most cases, a rep may have

thousands of forms to navigate. Along the header of the results pane, there are

available columns of information and their filtering capabilities. Use the Filter button, the

funnel shaped icon in the top right of the bar, to apply various filters to the results below

the bar.

Form Author – Provides the formal form name as presented by the sponsor company

or your BD.

Form Name – List of all forms in the repository.

Form Type – Main types of forms such as New Accounts, Account Transfer,

Transitions, etc.



Form Category – Details within the various account types.

Form Description – Details the specific intents of the form.

Form Number – Identifies the specific form.

Form Provider – Identifies if the form is part of the Quik repository or a private form.

Additional Features:

- If you click on the header the values within that column will be sorted

automatically from A to Z. Select it again and they will re-sort from Z to A.

- Right Click on the Header and you will find additional features to choose from:

1. Sort Ascending – Sort values A -> Z

2. Sort Descending – Sort values Z -> A

3. Configure Sort 4. Auto Fit All Columns –

Justify for longest value in all columns

5. Auto Fit – Justify for longest value in a specific column

6. Columns – Select which columns you want visible (by user)

7. Freeze Form Name – this freezes the column simpler to how you can freeze a column in excel

Actions Toolbar

The actions toolbar provides the guidance of what a user can do with the forms once

they are selected. Note: Depending on the system deployment (by client), the

actions/names may change on the toolbar.

Create Request – Once you’ve located the forms you want to compile, select this

button. A simple wizard will appear to help you build your Docupace client subfolder and

associated work item. The forms will then generate and the Work Item created will be

displayed (in Current Request pane).

Attach File – Search, retrieve, and attach a file from your local system to add into the

current request. This could be a PDF, Word document, Excel spreadsheet, etc.

Actions (Select the down arrow for the following selections) Note – actions for different

sites may vary.



- Save all forms – Save forms in request.

- Print Selected forms (+ barcodes) - If you choose to print the forms out for wet client signature. Select this link. It will print both the forms AND the accompanying barcode coversheet. When scanning the documents in after signature, you will place the coversheet on top of the corresponding document. The document will rendezvous with the record information/WI in the system.

- Generate Account # (Future release. Configuration required.)

- eCheck – Launches RemitPro for check scanning (Configuration required).

- Open the Account – Opens the account with the clearing firm associated to the work item. (Configuration required, if available).

- Send for Review - WI submission action (subject to change per BD)

- Remove - WI submission action (subject to change per BD)

- Archive - WI submission action (subject to change per BD)

- Pend for eSignature - WI submission action (subject to change per BD)

Launching Docupace

If you’ve launched Starting Point directly out of CRM, you may not have accessed the

core Docupace application. To launch Docupace out of the dashboard, you can do so

by selecting the dropdown located in the upper right hand corner within this link (shown

below). You can select where in Docupace you wish to be routed: My Desktop, Retrieve

or Administration. This button is located directly below the selected client name

(described below).



Client Name

Whether you launch from a client folder within Docupace or from CRM, the client’s

name will appear in the upper right hand area of the toolbar (shown above). This will let

the rep/user know that any forms that are opened in this session will capture that

specific client’s information.

Favorites Folders

Each user has the ability to create personal folders to store forms that are used on a

regular basis. These favorites are set up in the Cabinet > Forms section (3rd pane on

the left side, bottom left corner). In some instances, a user may simply want to have

some forms readily available. In other instances a rep may frequently open accounts,

for example, that are American Funds, Individual, IRAs. A user has the ability to search

and retrieve those required forms and place them in their own personal subfolder within

the Forms repository. Within the Cabinets > Forms pane on the left side:

1. Right-click on the Forms folder. When you do this you will see the following popup

menu with three options, New, Edit, and Delete.

2. Select New to add a new folder.

3. Type in the name of the folder desired. The subfolder will be created.

4. Search for the appropriate forms. Drag and drop forms from the forms library into the

newly created subfolder.

Note: You can create as many folders/subfolders as you’d like. These are filtered by

user.



5. To access them, just click on the folder you need and it will list the forms that you

have placed in it. Any time a user opens that folder now, those specific forms will

appear.

Current Request Indexing

If the rep needs to update the indexing of the records or WI information for a specific

request, they can do this from within the dashboard.

Edit the Work Item

At the Request/WI, the user can edit the Work Item information or the Client Subfolder

information associated with the WI.

Right-click and select “Edit Work Item info” to display the Work Item screen.

Select “Edit Subfolder Info” to display the client subfolder indexing screen.



Edit the Form/Document

Right clicking on a document gives you other options, shown below, include:

Sync from Existing Form

Edit Document Info

Edit Subfolder Info

Edit Form

ePad Sign Form

Print Form (+barcodes)

Delete Document

How to “Sync from Existing Form” is covered later in this guide.

Similar to editing the Client Subfolder, if you select “Edit Document Info”, the

document indexing screen displays. Click Submit to complete the task.



If you select “Edit Subfolder Info” subfolder indexing screen displays. Click

Submit to complete the task.

If you select “Edit Form” a separate window opens with the form. You can

add/delete text and, add text stamp, and save the form.

If you select “ePad Sign Form” the Topaz signature pad can be used, which

requires configuration. See the Topaz Setup Guide.

If you select “Print Form (+barcodes)” a separate window opens with the form

and a barcode coversheet.

Note: Prior to selecting “Print Form (+barcodes)” all documents should be indexed before this action can happen. You can also manually add information with ink afterward.

If you select “Delete Document”, a popup window appears. Select Yes to

confirm deletion of the document; select No to cancel deletion.


https://s3.amazonaws.com/guidancelinks/Topaz+Setup_Docupace.pdf


Deleting a Work Item from Starting Point

Though there are significant limitations regarding the deletion of records in Docupace

for compliance reasons, we have enabled the ability for you to delete completely

unused/unindexed kits. The fixed rules to work item kits that can be deleted include:

No document in the kit can be digitally signed.

No document in the kit can have a new uploaded version – no scanned or

uploaded version.

If either case is not satisfied, Docupace assumes this is a processed document and,

therefore, is subject to standard compliance retention requirements and cannot be

removed. To delete a Work Item:

1. Create the Request (kit) as normal.

2. Assuming no documents have been updated (signed or scanned), select the

Remove or Trash button (depending on the site).

Notes:

1. Should a document be updated (signed or scanned) and you try and remove it, you’ll

receive the following error.

2. Not all sites have this configured. You may need to contact Docupace to determine if

it is or not.



How to Sync Forms in Starting Point

Follow the steps below to sync forms in Starting Point.

1. After creating a request – choose a form in the field that you want to populate from a

form that you have previously saved for that same client and then right click on that

form.

2. Select Sync from Existing Form.

3. A window will display. To sync forms within the same account or request, you must

un-check the “Show same forms only” check box (checked by default). *

Note: If the form selected for syncing was not previously saved for the same client, no forms will appear unless the Show same forms only box is un-checked.



4. By default, the window will show the same form(s) as the one from which you

selected to sync and will contain changes you have made and saved to that form.

5. Select that form and click OK. A popup will display a message letting you know you

have synced successfully, as shown below.

*Note: Going back to step three, if you want other forms (aside from the one that you are working on) that you have previously made and saved changes for under that same client, uncheck the box in that says “Show same forms only”. When you do so, all forms you have saved will appear; you can select any form and proceed to step 5.



Note: Starting Point is utilized somewhat differently between the Docupace retail solution and a customized solution offered by a Broker Dealer customer. We will review both approaches depending on the audience. The retail solution is an out-of-the-box solution. Should you be associated to a Broker Dealer, please see the section further below.

RETAIL CLIENTS ONLY STEP BY STEP EXAMPLE – CREATE A WORK

ITEM/REQUEST The following method for using Starting Point is used by retail clients, as the request

and the forms are directly linked to a specific client. This method begins with selecting

the forms for the client and then launching the Start Wizard.

You can launch either from Docupace or from CRM as discussed above. For this

example, we’ll launch directly from Within Docupace.

1. Locate the client for which you are preparing to process work.

2. Select the Starting Point button at the top of the client folder or subfolder, as

described above in “Launching the Forms Wizard/Dashboard”.

3. The Starting Point dashboard will automatically open.

4. Locate the forms that you wish to open by highlighting each record (Ctrl + Select if

more than one). You can also pull the forms out of a saved subfolder, or Favorites

Folders, as discussed above. The subfolder of forms packets (or favorites) is saved

in the Forms Cabinet.



5. Select Create Request (upper left corner, shown below).

6. The Start Wizard appears (wizard may vary based on site).

7. These fields represent fields in the Client Subfolders within your Docupace system.

Once these are filled out and the user clicks the Next button, the selected forms will

automatically be assigned to the client’s newly created account subfolder in addition

to being attached to a work item for processing. The first four fields must be

populated or an error message will display. Fill out the following information:

I. Transaction: New Account or Maintenance

II. Custodian/Vendor (for Brokerage, select the appropriate clearing firm. Same

applies for Direct)

III. Product Type

IV. Registration Type

V. Account Service / Account Option: Do not use. N/A.

8. Click the Next button.

9. A new request will appear in the Current Request pane. The form(s) selected will

appear within that WI/Request



10. To update the WI/Request, click the form(s) under the corresponding request; the

form(s) will display in pane to the right. From here, the HTML 5 viewer, you can

update the form and add any additional data. You can edit each form and any

updates to the forms will be saved when you select the Save button (on the top right,

shown below).

Note: To close the individual form tabs that open within the right pane, click the icon to the left of the tab title (shown below).

11. Once your forms have been updated, you will make a decision regarding options for

client signature (Pending BD approval). You may:

I. Print and Sign and scan back in (assumes that forms may or may not be fully

filled out. If not, rep will manually add changes on paper).

II. Electronically Sign using Signature Pad (assumes forms are fully filled out).

III. Electronically Sign using remote signature capture (assumes forms are fully

filled out).

I. PRINT AND SIGN (AND SCAN) In Actions, select Print all forms (+barcodes).

The computer’s print function appears and you can select the pages to print, which will

include the forms and their corresponding barcode coversheets.

1. Once the client and rep sign the forms, place the corresponding barcode

coversheet on top of each document.



2. Scan.

3. The signed (and now scanned) forms will rendezvous to their pre-built/pre-

indexed location in the system. They will appear in the Pending Advisor Review

queue within that WI. The documents will also be correctly indexed to that

client/subfolder.

4. Submit for review, as required.

II. ELECTRONICALLY SIGN USING SIGNATURE PAD (TOPAZ PAD ATTACHED TO

PC) 1. When client comes into the office, or a rep meets the client with a laptop, select

the already created WI request packet.

2. Right-click each form in the Current Request pane and select ePad Sign Form,

as shown below.

3. In each sign field on each form, place the mouse and left click. The sign box will

appear.

4. Have the client sign in those locations. The rep also signs in correct location.

5. WI is submitted.

III. ELECTRONICALLY SIGN USING REMOTE SIGNATURE CAPTURE (DOCUSIGN

OR SIGNIX) 1. To initiate electronic signature, click the eSign button, shown below.

2. Review eSign guide.


https://s3.amazonaws.com/guidancelinks/Docupace+eSIgn1+(2).docx


Note: Starting Point is utilized somewhat differently between the Docupace retail solution and a customized solution offered by a Broker Dealer customer. The guidance below is for Broker Dealers ONLY.

BROKER DEALER ONLY STEP BY STEP EXAMPLE – CREATE A WORK

ITEM/REQUEST This method for using Starting Point utilizes the forms matrix to create a request first

and then link it to a client.

1. Login to your site, launch Starting Point.

2. The new Account Starting Wizard will automatically appear.

3. Select the appropriate Transaction, Vendor/Custodian, Product Type, and

Product Name, from the corresponding dropdown menus. Each BD solution may

vary. Click the Next button.



4. The Starting Point Dashboard will launch. The newly created request is displayed

in the Current Request pane.

5. Click the form(s) under the request and review/fill out the information as required.



6. Fill in the fields as required.

THE DASHBOARD FORMS SIDEBAR A new feature to Starting Point is the Forms Sidebar. The Forms Sidebar can be

toggled on/off (identified by the arrow below, left) and displays either thumbnails of the

form pages or, with configuration, Form Validations required for that form (shown below,

right). This feature is not generally available as it requires configuration by the Broker

Dealer (BD). If your BD is not using the form validations yet, you will not get messages.



FORM VALIDATIONS Form validation provides BDs with the ability to control what an advisor must fill out in a

form before it can be completed. This should provide significant improvement on NIGO

(Not In Good Order) rates for advisors. Managed by an administrator, BDs can now

configure their electronic forms to provide advisors with guided instructions (warnings)

to make sure they completely fill out a form (as shown above, right). Forms validations

are subject to the design of the BD system.



TROUBLESHOOTING/FAQ

1. No forms are showing up at all in the repository

User may not have been setup correctly in User Access to be assigned to the

associated entity. Please contact Docupace support for assistance

2. Work Items are not showing up in the Pending Advisor Review Workflow

queue

It is possible they are in the user’s pool rather than directly in their queue. In the

Outstanding Tasks pane, right click on the folder and select ‘Get From Pool’. The

WI will then appear in that folder. Another way to verify if the WIs are in the pool,

is to access Docupace directly and open the Pending Advisor queue. If you see

there is a pool available, you can get the task directly also. If there are no work

items here either, please contact Docupace support.

3. Select eSign and nothing happens

This could be one of a few things: First, make sure you have your signature

access correctly set up in user access. Second, make sure your user/site is

correctly configured for eSign. Consult Docupace support.

4. How does the PDF Plug in work, should I prefer to use that versus the

HTML 5 viewer?

In the upper right-hand corner of the Starting Point forms pane is the PDF icon

(shown below). Another window will open when you click the PDF icon.

To save any changes to the file, click the Submit icon in the top left of the form

(as shown below).



5. How can favorite form packets be made public to all users?

If this public folder needs to be shared, the data role admin from that entity must

set up a public folder. The folder MUST be titled “Public” and spelled exactly as

shown. The favorites folders must also be subfolders, hierarchically, of Forms >

Public, as shown below.

Note: This is an administrative function to be done by a broker dealer and is NOT intended for the field user.


docupace - starting point user guide - amazon s3point+(forms... · · 2014-10-22how to sync forms...

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