Docupace - Starting Point

Transcription

1 Docupace - Starting Point 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. Table of Contents Setup Forms Repository... 2 Setup / Requirements (User)... 2 Adding Client Data... 2 CRM Configuration/Setup... 3 Setup of User Access - Docupace... 3 Topaz Configuration (Optional)... 3 The Dashboard Features... 4 Launching the Dashboard... 4 Dashboard - Boxes/Panes... 6 Forms Repository... 7 Actions Toolbar... 8 Setting up Favorites... 9 Current Request Indexing Step by Step Using Docupace Client Data Step By Step - Using CRM Client Data Troubleshooting

2 Setup Forms Repository Docupace has partnered with Quik ( 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 making Docupace aware. Setup / Requirements (User) Adding Client Data Though not a requirement for day to day use, the ability to pre-fill your client forms is a significant time saver- both from a labor-based perspective and a NIGO reduction perspective. That being said, having client data readily available when launching/opening the forms for the auto-filling process is suggested. 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 utilize for 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. 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 3 rd party system where they can easily export the necessary data to the spreadsheet. 2. CRM Solutions: Docupace is partnering with various CRM companies to support the launch 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 - Ebix - Salesforce.com - AppCrown (Salesforce.com) b. Additional partners may be available in the future 2

3 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 - Select Install CRM Add-on - Once the add-on has been installed, you will get a confirmation message b. Enable/Locate Quik/Starting Point link in CRM: Consult with the CRM vendor (or Docupace) to make sure Quik/Starting Point can be launched directly from within the CRM system. This may be an icon that launches Starting Point or a direct link. 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). Make sure you have the Auto Assign to User set to Yes as shown below. If this is 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. Topaz Configuration (Optional) Pursuant to BD approval, reps can leverage digital signatures within the dashboard. Docupace has partnered with Topaz for digital signature pad integration. Once the Topaz drivers are installed and Adobe is configured, If you haven t already purchased a signature pad, they can be ordered at Please find the separate setup guide for installing/configuring Topaz. Reminder, this feature is only available if approved by the BD. 3

4 The Dashboard Features Launching the Dashboard There are three different methods of accessing the dashboard. In the first method, you can launch the dashboard directly from within the Docupace Application. Though this approach will not allow for auto-filling of an existing client data set, it will simply provide the user access to the repository for use of print or manually filling out the blank forms. There is no direct integration with this method. The other two methods will first capture the specific client information in order to autofill the forms when they are selected. All three methods are detailed below. 1. From within Docupace Application This will launch the main Starting Point repository. From you here you can perform simple search and retrieve of any form(s) in the repository to. Once open, user can either print and write in information or auto-fill electronically and then print. a. Go to Administration > Utilities 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/manually filled, as required. 2. 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 4

5 In both examples, the dashboard will then open and the select client information (that is currently inside the Client Folder) will be used for all selected forms population. 3. From CRM Starting Point will not launch unless the CRM Add-on has been installed first (as reviewed in the Setup section above). Redtail Once you ve identified the client you will to 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 link. Starting Point will open. 5

6 Appcrown (Salesforce) Ebix Smartoffice Once you ve identified the client you will to open the forms for, select the Quik icon n the integration toolbar area. Starting Point will open. Dashboard - Boxes/Panes Within the dashboard, there are 3 different vertically aligned boxes/panes on the left side of the screen that are shared with on one large pane on the remainder of the screen. Accessing each of these panes will trigger events/outputs on the right side pane: 6

7 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 current has access too. 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. 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. 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 Provider - Identifies if the form is part of the Quik repository or a private form. Form Author: Provides the formal form name as presented by the sponsor company or your BD. 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 7

8 - 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 largest value all columns 5. Auto Fit Justify for specific column 6. Columns Select which columns you want visible (by user) Actions Toolbar The actions toolbar provides the guidance of what a user can do with the forms once they are selected: 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 is 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 pdf form, word document, excel spreadsheet, etc. Actions (Select the down arrow for the following selections) Note actions for different sites may vary. - Save all forms - When forms have been open AND updated (user updated forms manually with additional information), select this butto to ensure sure your changes will be updated and saved automatically within Docupace. - Print Selected forms (+ Barcode) - 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) - Open the Account (future release) - Send for Review - WI submission action - Reject - WI submission action - Archive - WI submission action - Pend - WI submission action 8

9 Actions 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. 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). Launching Docupace button 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. This will let the rep/user know that any forms that are opened in this session will capture that specific client s information. Setting up Favorites Each user has the ability to create favorite bundles of packets or forms for easy access. These favorites are setup in the Cabinet > Forms section (3 rd pane on the left side, bottom left corner). For instance, a rep frequently opens accounts that are American Funds, Individual, IRA Accounts. A 9

10 user has the ability to search and retrieve those required forms and place them in their own personal subfolder within the Forms repository. 1. Within the Cabients > Forms pane on the left side, right-click on the forms folder 2. Select New 3. Type in the name of the folder desired. The subfolder will be created. 4. Search for the appropriate forms and simply drag and drop them into the newly created subfolder 5. Any time a user opens that folder now, those specific forms will appear You can create as many folders/subfolders as you d like. These are filtered by user. Current Request Indexing It is possible that the rep may need 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 index either the work item itself or the client subfolder associated to the WI - Selecting index Work Item info: The Work Item screen will appear: 10

11 - Selecting Edit Sub-folder info: The client subfolder indexing screen appears: - Right clicking on the document gives you the opportunity to edit/update the document record 11

12 Step by Step Using Docupace Client Data From Within Docupace 1. Locate the client for whic you are preparing to process work. 2. Select the Starting Point button at the top of the client folder (as described earlier). 3. The Starting Point dashboard will automatically open. 4. Locate the forms that you wish to open by highlighting (Ctrl + Select) each record if more than one or pulling the forms out of a saved subfolder. You may have the forms packets saved in the Forms Cabinet. 12

13 5. Select Create Request. 6. The New Account Opening page appears. 7. These fields represent fields at the Client Subfolder within your Docupace system. Once these are filled out and the user selects Next, the selected records will automatically be assigned to the newly created client s account subfolder. Fill out the following information: a. Fund Company (for Brokerage, select the appropriate clearing firm. Same applies for Direct) b. Registration Type: As required c. Type of Business These are the Docupace system Client Subfolder Types 8. Select Next 9. A new request will appear in the Current Request pane. All forms selected will appear within that WI. The client information should appear. 10. Select each form and make the appropriate field updates, as required (explained earlier) 11. You can save the updates by selecting Actions > Save all forms 12. From here you have 2 decision points/options for client signature (Pending BD approval) a. Print and Sign b. Electronically Sign 13

14 Print and Sign 1. In Actions, select Generate and Print (+barcode). The computer s print function appears and you can select the pages to print which will include the forms and their corresponding barcode coversheets. 2. Once the client and rep sign the forms, place the corresponding barcode coversheet on top of each document 3. Scan 4. 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. 5. Submit for review, as required Electronically Sign (Topaz pad attached to PC) 1. When client comes in to the office or rep meets client with laptop, select the already created WI request packet 2. In each sign field on each form, place the mouse and left click. The sign box will appear 3. Have client sign in those locations. Rep signs in correct location. 4. WI is submitted. Paper has never been generated! Step By Step - Using CRM Client Data The launch point of the dashboard may vary from each CRM system, but the process is the same once the dashboard has been launched: 1. Find the client in the CRM system 2. Select the Dashboard Launching link 3. Select/open the appropriate forms and click the Create Request button 4. The forms will open and the selected client s information will be auto-filled on the form(s) 5. Continue through the same process as above (Use Docupace Client Data) to complete the request. 14

15 Troubleshooting 1. No forms are showing up at all in the repository User has not been setup correctly 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 queue It is possible they are in the user s pool rather than directly in their queue. On 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, access Docupace direct and open the Pending Advisor Queue. If you see there is a pool available, you can get the task direct also. If there are no work items here either, please contact Docupace support. 15