PegaCustomerLifecycle ManagementforFinancial …...©2017 PegasystemsInc.,Cambridge,MA...

Pega Customer LifecycleManagement for Financial

Services

IMPLEMENTATION GUIDE7.31

PEGA SALES + ONBOARDING

© 2017Pegasystems Inc., Cambridge, MA

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DOCUMENT: Pega Customer Lifecycle Management for Financial Services Implementation GuideSOFTWARE VERSION: 7.31PUBLISHED: Friday, August 18, 2017

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CONTENTS

Application overview 7Implementation delivery methodology 7Initiation stage 7Delivery stage 8

Initiation stage 10Creating your application 10Loading your sample data 11Generating specification documents 11Generating the Application profile 12Generating the Application document 12Generating the Specification document 12

Delivery stage 14Defining requirements 15Overriding the application extension data transform 16Changing the field values for the customer journey types 16Changing the field values for the customer journey subtypes 17Updating the report definition for the work class 18Updating the the Skip synchronization requirements map rule 18Configuring integration and security 18Mapping your application data 19Defining integration 19Defining the case type modifications and attributes 20Updating case types 20Adding case types 20Mapping case type classes to a database table 21

Application data model 22Defining data types 23Adding data types 23Updating data types 23

Configuring external data sources 24

Pega Customer Lifecycle Management for Financial Services Implementation Guide 3

Defining the security model and organization structure 24Authentication schemes 25Defining your authentication scheme 25Defining your authorization scheme 26Defining your access groups 26Defining access roles and privileges 26

Defining the taxonomy of the organization 27Defining the organization structure 28Defining the operator attributes 29Defining the operator work group 29Defining the operator skills 29Defining the operator calendar 30

Defining work parties 30Defining the workbaskets 31Defining the work groups 31

Customizing the user experience 31Designing the portals 31Designing application skin and styles 32Designing for screen performance 32

Defining reporting requirements 33Building features 34Modifying the class structure 34Implementing the security model 35Modifying the user interface 35Determining which part of the user interface to modify 35Locating the user interface element to change 35Adding properties to sections 36Adding sections 36Updating the skin 37

Modifying the welcome pack correspondence email 37Modifying the Welcome Pack email attachments 38

Creating reports 38Configuring business scorecard rules 39


Business scorecard rules 39Configuring business map value and decision table rules 40Business map value and decision table rules 40

Configuring dynamic system setting rules 41Dynamic system setting rules 41

Setting the Markit password 42Configuring Equifax integration 43Configuring Clarient integration 43Enhancing case searches 43Adding the custom property to the report definition 44Enabling the custom property to appear in searches 44Configuring the dynamic system settings 44Including the custom property column in the results 45Re-indexing the application 45

Data traceability 45Extending tracked security changes 46

Configuring customer risk assessment properties 46Adding the new risk factor to the risk profile class 47Mapping the data to the data transform 47Creating a declare expression for the new risk factor 48Creating a scorecard rule for the new risk factor 48Including the custom property column in the results 48

Configuring the Case summary feature 49Customizing the color of the progress gauge 49Configuring the progress percent value 50Configuring the passed deadline conditions 50Configuring data categories 50Modifying related cases 51Configuring pending requirements 51

Creating a new KYC due diligence case 52Creating a subclass that contains reusable assets 53Creating a subclass to contain specialization rules for the new regulations 53Including the CDOT work types and creating a related data transform 54


Adding work parties for the new Miscellaneous case type 54Creating a flow diagram for the new due diligence subcase 55Creating an activity to reroute workbaskets 55Creating a data transform to populate a list of subcases 56

Configuring event-driven architecture 56Overriding agents 56Creating a new event 57

Testing a new application 58Testing your application in the Build environment 58Testing in the Test or Production environments 59Testing in the UAT environment 60

Packaging a new application 61Merging application changes 61Packaging an application for migration 61Importing the packaged application 62

Production maintenance and monitoring 63Business rule maintenance in the Production environment 63Application health monitoring 63Identifying and reporting issues 64


Application overviewPega Customer Lifecycle Management for Financial Services is an application which accelerates theprocess of onboarding new customers at financial institutions while managing highly complexregulation with less effort. This application enables those involved in the onboarding process,including relationship managers and sales support, to capture customer and due diligence data moreeasily and accurately, resulting in the reduced turn-around time while onboarding new customers.

Implementation delivery methodologyUse an Agile delivery model, more specifically a Scrum-based standard for a Pega applicationimplementation. In the rare cases where a waterfall-based implementation methodology is bettersuited, use Pega’s Iterative Waterfall approach. These two implementation methodologies help breakdown the work into manageable components that you can deliver to production faster. The Pegadelivery approach has the following primary stages:

• Initiation stage

• Delivery stage

Initiation stageIn the Initiation stage, the implementation teams build the foundation or baseline of the applicationand prepare for the work that is necessary to configure the first production release and subsequentextended production releases. Keep in mind that the first production release is the minimal requiredscope to go live into production. Additional capabilities will be added as part of the extendedproduction releases. Building a strong foundation to support expansion and reuse is key to thesuccess of an implementation.

The Initiation stage is further organized into the following sub-stages:

Plan

Align the vision and roadmap to establish the foundation for the implementation. The Plan sub-stageincludes the following tasks:

l Defining the production release milestone

l Refining scope alignment


Application overview

Set up

Validate and review the Pega-provided features and capabilities to see if they meet yourrequirements and expectations. This sub-stage includes the following tasks:

l Establishing environments and processes

l Creating the baseline application

l Loading sample data

l Demonstrating the baseline application

l Reviewing artifacts from the solution assessment

l Reviewing business needs and outcomes

Prepare

Prepare for the delivery of Pega Customer Lifecycle Management for Financial Services by completingthe following tasks:

l Confirming resources

l Enabling team members

l Establishing governance

At the conclusion of the Initiation stage, the scope of the work for the first production release isclearly defined. For Scrum, the scope of the work is represented in an initial backlog. For IterativeWaterfall, a specification list and schedule are prepared and finalized.

Delivery stageThe Delivery stage is dependent on the methodology selected (Scrum or Iterative Waterfall). Duringthis stage, the delivery team designs, builds, configures, and tests the application by using theselected implementation methodology. The goal is to accomplish the tasks described in thisdocument by organizing the Application Feature backlog so that the delivery team can configure theapplication incrementally with the result being a fully tested and performance-tuned application inproduction.

The Delivery stage is organized into the first production release and the extended production releasetypes.



First production release

This release includes only the essential features that are defined during the solution proposal stageand are required for the first release into production. The first production release is implemented in90-180 days, depending on the scope of the essential features. This release type includes thefollowing features:

l Core Pega-provided features

l Extended features considered essential for your business

l Key day-one integrations with your systems to get data that you require

Extended production release

This release includes the non-essential features that are defined during the solution proposal stage.The following features are implemented incrementally after the first production release:

l Non-essential Pega-provided features

l Extended features that you have identified as required for your business

This guide provides information to support both Scrum and Iterative Waterfall implementationmethodologies during the first production release and the extended production release.



Initiation stageThe Initiation stage includes the following tasks:

1. Creating your application

2. Loading your sample data

3. Generating specification documents

Creating your applicationThe first step in implementing Pega Customer Lifecycle Management for Financial Services to bestmeet your organization's needs is to create the application on which your extended application willbe built. Use the New Application wizard to create your new application. The wizard creates theapplication structure for you.

1. Log in to Pega Customer Lifecycle Management for Financial Services by entering thesecredentials:

User Name: CLMFSsysadmin or CLMFSRetSysadmin

Password: install

2. Create the application by following the steps in Creating an application with the New Applicationwizard.

Keep in mind your application-specific requirements.

a. If you are installing both Pega Customer Lifecycle Management for Financial ServicesCorporate and Investment Banking and Pega Customer Lifecycle Management for FinancialServices Retail applications, you can only install one of the applications using theNewApplication wizard. You can install either of the applications first using the followingcredentials:

User Name: clmfscibsysadmin (Corporate and Investment Banking) or clmfsretsysadmin(Retail)

Password: install


Initiation stage

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b. Run the New Application Wizard.

c. After you install one of the applications, you can manually install the other application. Log into the application you did install and click CLM for FS - Corporate and InvestmentBanking or CLM for FS - Retail > Definition.

d. Click Add application.

e. Enter either PegaCLMRetForFS or PegaCLMCIBForFS and enter the version number.

f. Click Save.

3. Log in to your new application by entering your newly-created credentials.

Note: All procedures in this guide require that you log in to your new application by enteringcredentials for that application, unless otherwise noted.

The New Application wizard creates the application class structure for you. You can reuse the classesand rulesets that are created by the wizard in future applications that you create. As you implementthis application and future applications, you can apply class hierarchy and inheritance principlesto help you decide where in the class structure to create your rules to improve the maintainabilityand overall efficiency of your application.

For more information, see Class layers.

Loading your sample dataPega Customer Lifecycle Management for Financial Services includes sample data to support thePega-provided demonstration application. Pega recommends that you load customer-suppliedsample data so that implementation efforts are more meaningful.

Generating specification documentsTo avoid duplicating existing features, review the following documents to familiarize yourself withthe default rules and rulesets of your application. During the solution assessment, a number ofrequirements, specifications, and other artifacts are captured to represent the scope of the work. Ifcaptured in the Pega Platform, these artifacts can be reused to streamline the first production releasescope identification.

You can export application specification and requirements artifacts from the Pega Platform, and thenimport them into your new baseline application so that you can build on the content that has already


Initiation stage

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been created. For more information, see Exporting specifications and requirements andImporting specifications and requirements.

The following documents define what is contained within your application:

• Generating the Application profile

• Generating the Application document

• Generating the Specification document

Generating the Application profileThis document is created during the Sales stage and includes the process stages and steps, casetypes, reports, requirements, specifications, participants, collaborators, and actors that are associatedwith the implementation of your application. It is a document that defines the scope of theapplication, and it also includes the results of the presale gap analysis.

When you generate this document, you can include process flow diagrams.

To generate the document, log into your application by entering your newly created credentials andfollow the procedure in Generating an application profile document.

Generating the Application documentThis document and its associated controls provide the ability to customize the presentation of theapplication information based on the document's intended audience. When you run the ApplicationDocument tool, you can include or exclude content by selecting and clearing various options.

During an implementation, this document reflects the current state of your application. TheApplication Document tool automatically updates the content of your document as you modify andextend your application to reflect additional requirements. If you have not yet built anything, thecontent of this document is the same as the application profile.

To generate the document, log into your application by entering your newly-created credentials andfollow the procedure in Generating an application document.

Generating the Specification documentThis document shows all of the specifications and linked requirements associated with yourapplication at the time that you generate the document. You can generate this document at any point


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during the implementation life cycle to include any updates to the application's specifications andrequirements.

Review this document before and after each sprint, using the available filters to tailor the content tomeet the business requirements of your implementation.

To generate the document, log into your application by entering your newly-created credentials andfollow the procedure: Generating a specification document.


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Delivery stageThe Delivery stage includes the following tasks:

l Defining requirements

l Building features

l Testing a new application

l Packaging a new application


Delivery stage

Defining requirementsTo ensure that you stay on target for a successful deployment, use a structured approach for yourimplementation methodology. You will need to prepare for your implementation and determine keyaspects of the design that will affect the behavior of your application. Defining requirements for animplementation includes the following tasks:

l Reviewing extension requirements

l Refining customizations and determining the availability of required data and integrations

l Prioritizing, for example, revising the solution backlog, re-estimating the effort for extensions andcustomizations, and confirming the project scope

Defining your requirements also involves DCO sessions and incorporating those requirements intothe application design. During these sessions, you review each of the case types and process flowsthat the application already provides.

Update the Application Specifications with planned changes as described in About ApplicationSpecifications.

The Implementation Planning Workbook helps you capture decisions as you define yourrequirements. You can download the Implementation Planning Workbook from the Pega CustomerLifecycle Management for Financial Services product page.

• Overriding the application extension data transform

• Changing the field values for the customer journey types

• Changing the field values for the customer journey subtypes

• Updating the report definition for the work class

• Updating the the Skip synchronization requirements map rule

• Configuring integration and security

• Mapping your application data

• Defining integration

• Defining the case type modifications and attributes

• Application data model


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• Defining the security model and organization structure

• Customizing the user experience

• Defining reporting requirements

Overriding the application extension data transformIn order for the application to work properly, you must update the source classes with the work classyou define during the DCO session.

1. In Designer Studio, click App and search for PegaFS-Data-AppExtension.

2. Click Data Model > Data Transform > AppExtension_Ext.

3. Save the rule into your implementation layer. For additional information about locked andunlocked rulesets, see Copying a rule or data instance.

4. In the Source field, change the PegaCLMFS or PegaCLMFS-Work portion of the source to thename you chose during the DCO process for each case type. For example, PegaCLMFS-Work-GlobalKYC becomes ABCBank-Work-GlobalKYC.

Changing the field values for the customer journey typesIn order for the application to work properly, you must update the field values with the work classyou defined during the DCO session.

1. In Designer Studio, search for and select the CustJourneyType CustomerReview field value rule inthe PegaCLMFS-Work-CLM class.


3. Click Save.

4. Repeat steps 1-3 for the following field values.

l CustJourneyType MaintainBusinessRelationship

l CustJourneyType MaintainExistingCust

l CustJourneyType Offboardexistingcustomer


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l CustJourneyType OnboardNewBusRel

l CustJourneyType OnboardNewCustomer

Changing the field values for the customer journey subtypesIn order for the application to work properly, you must update the field values with the work classyou defined during the DCO session.

1. In Designer Studio, search for and select the CustJourneySubtype CustomerPeriodicReview fieldvalue rule in the PegaCLMFS-Work-CLM-CustomerReview class.


3. Click Save.

4. Repeat steps 1-3 for the following field values.

Field value ClassCustJourneySubtype CustomerMaterialChange PegaCLMFS-Work-CLM-CustomerReview

CustJourneySubtype CustomerExpiredRequirement PegaCLMFS-Work-CLM-CustomerReview

CustJourneySubtype CustomerAmendment PegaCLMFS-Work-CLM-CustomerReview

CustJourneySubtype NewFundmanager PegaCLMFS-Work-CLM-OnboardNewCust

CustJourneySubtype NewIndividualEntity PegaCLMFS-Work-CLM-OnboardNewCust

CustJourneySubtype NewParentEntity PegaCLMFS-Work-CLM-OnboardNewCust

CustJourneySubtype NewSubsidiaryEntity PegaCLMFS-Work-CLM-OnboardNewCust

CustJourneySubtype NewFundmanager PegaCLMFS-Work-CLM-OnboardNewBusRel

CustJourneySubtype ExitProductsOrLocations PegaCLMFS-Work-CLM-OffBoardExistingCust

CustJourneySubtype OffboardExistingCustomer PegaCLMFS-Work-CLM-OffBoardExistingCust

CustJourneySubtype EventDrivenReview PegaCLMFS-Work-CLM-MaintainExistingCust

CustJourneySubtype MaintainCustomerGeneralData PegaCLMFS-Work-CLM-MaintainExistingCust

CustJourneySubtype AddFund PegaCLMFS-Work-CLM-MaintainBusRel

CustJourneySubtype AddProductsOrLocations PegaCLMFS-Work-CLM-MaintainBusRel

CustJourneySubtype FulfillProductsByLocation PegaCLMFS-Work-CLM-FulfillClusteredProducts



Updating the report definition for thework classIf you have updated the implementation layer work class to use a new table to store the work (otherthan the default obfs_pegaclmfs_work_clm) then you should override thepyLoadMyCasesNestedINWP report defintion in the implementation work class.

1. In Designer Studio, search for and select the pyLoadMyCasesNestedINWP report definition rule inthe PegaCLMFS-Work class.


3. Click Save.

Updating the the Skip synchronization requirements mapruleThe map rule SkipSynchronizeRequirementmust be overridden to the implemation layer to correctlyfunction.

1. In Designer Studio, search for and select the SkipSynchronizeRequirementsmap rule in thePegaCLMFS-Work class.


3. Update the existing work classes in each row with the work classes from the new implementationlayer, for example ABCBank-Work.

4. Click Save.

Configuring integration and securityConfigure the integration and security of your application.

1. In Designer Studio, click Application name > Definition.

2. Click the Integration and security tab.

3. In the Content storage section, select Store in CMIS repository.

4. In the Connector name field, enter PRPC.




5. In the Root level folder name field, enter /.

6. In the Content storage section, select Store in Pega database (default).

7. Click Save.

Mapping your application dataThe application data types provide a default set of properties for your use. You can add or removeproperties from these data types depending on your requirements. You can also add new data types.

Use the "Data model" worksheet in the Implementation Planning Workbook to record your decisionsduring this procedure.

1. In the Designer Studio Explorer panel, click Data.

2. Click the data type that you want to modify.

3. On the Data model tab, determine the properties to add, remove, or leave unchanged. For moreinformation about data types, see Viewing data type details. Repeat these steps for any other datatypes, as necessary.

Defining integrationInventory which external applications exist at your site and plan how to connect to them.

Tip: Identify integration points as early in your planning as possible. If a connection to an externaldata source is required and either the data does not exist or the interface to that data does not exist,you must account for the time to publish these data sources and the time to configure the interfacefor this application.

The External Data Entities landing page lists the application data types and shows the source forthat data.

To record your decisions during this procedure, use the "Integration" worksheet in theImplementation Planning Workbook.

1. Identify all integration points for your application.

2. Identify which data is needed from each system of record, if you have not already done so.

3. Determine whether an interface to that system of record already exists and how to connect to it.


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Note: For more information on customer synchronization, see the Pega Academy Pega CustomerLifecycle Management for Financial Services course.

Defining the case typemodifications and attributesYour application includes a set of predefined case types.Each case contains one or more processesthat will be extended or created to meet your business requirements. If you do not see an existingcase type, you can create one during your planning process.

When you define a new case type, you provide stages for that case type. A stage is the first level oforganizing work in your case type. Each stage has one or more steps.

For a full list of existing case types and stages, see the Product Overview document on the ProductLanding Page.

To define case types, complete the steps in the following topics:

• Updating case types

• Adding case types

• Mapping case type classes to a database table

Updating case types

If an existing case type is close to meeting your business requirements, you can modify it and use it.

1. In the Designer Studio Explorer panel, click Cases.

2. Click the case type that you want to modify.

3. Update the settings for a case type.

4. Update the processes associated with the case type.

In addition, you can add processes by using the Case Designer.

Repeat these steps for any other case types, as necessary.

Adding case types

If you require a case type that is not similar to an existing case type, create a new one that meetsyour business requirements.




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1. In the Designer Studio Explorer panel, click Cases.

2. Click Add a case type.

3. Enter theName for the new case type.

4. Click Advanced Settings.

5. Select the Derived from (Directed) class.

6. Select the Derives from (Pattern) class.

7. Select the appropriate Ruleset and Ruleset version.

8. Click Submit.

9. Define a life cycle for the case type.

10. Click Finish.

Mapping case type classes to a database table

When you run the New Application wizard to create your initial case types, the system creates adefault class group mapping for each case type.

Mapping a class to a physical database table affects data storage and security decisions. If you expectthe volume of the case types to be low, consider sharing the table with other case types. To restrictaccess to instances of this case type, create a separate class group for each case type.

For each class corresponding to the case type, complete the following steps:

1. In the Designer Studio Explorer panel, click App.

2. Right-click the class name that you want to map and select Definition.

3. In the Settings section, view the This Class setting to see if this class is a class group or amember of a class group. If the class belongs to a class group, note the class group to which itbelongs.

4. In the Test Connection section, click Test Connection to see the name of the table that iscurrently mapped to this class.


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5. Determine the name of your database table.

6. Record your decision in the "Case type modifications" planning worksheet.

Application data modelThe application provides a set of data types, data pages, and sample data, which you can use to beginimplementing your application.

Data modeling involves creating a conceptual model of how data items relate to each other in anapplication. In the Pega Platform, the data model refers to a set of rules that work together topopulate the data in your application. The system displays this data to help you process theinformation and can help you make decisions in your sales processes. The following rule typesconstitute your data model:

Data typesData type is another name for a class in your application. It holds data that the application uses. Adata type has one or more data pages and several property definitions associated with it.

PropertiesProperties define the format and visual presentation of data in your application.

Data pagesData pages define the content of a clipboard page. Data pages also control the loading of that datafrom a source system, as shown here.

When planning your data model, work with the data modeling resource at your site to understandthe attributes of the data types that need to be supported by your application.


Note: Pega Customer Lifecycle Management for Financial Services is rarely the system of record forapplication data. Integrating your application data with your site's system of record is critical to thesuccess of your deployment.

Defining data types

Data types categorize the data used by your application. The data types that come with yourapplication have one or more data pages associated with them. Data pages control the sourcing ofyour application data.

• Adding data types

• Updating data types

Adding data types


2. Click the Down Arrow key to show the Data typemenu.

3. Click Add data type.

4. Provide a label and description for the data type.

5. Click Submit. Repeat these steps for any other data types, as necessary.

Note: For more information about the data model, see the Foundation for Financial ServicesImplementation Guide.

Updating data types


2. Click the data type that you want to modify.

3. On the Definition tab, scroll to the bottom.

4. Click Add property. Add as many properties as your application requires. Repeat these steps forany other data types, as necessary.


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Configuring external data sources

Pega applications come with data types that you configure to point to a site's data. This helps you tobring information from external sites into the Pega Customer Lifecycle Management for FinancialServices application. You configure these data types to integrate the site's data source into theapplication. Data types that should point to external data are marked with the Simulated data source

icon. This replaces the provided sample data sources.

For more information, see Viewing external data entities.

Defining the security model and organization structureSecurity planning involves defining authorization and authentication strategies for your application.

l Authentication

Proves to the application that you are who you say you are.

l Authorization

Determines the functions that you can perform in the application. This corresponds to accessgroup and role configuration.

Security planning also involves setting up the organization structure and operator attributes.

The application provides security in the form of access settings and denial rules. Many integrationrules also incorporate authentication.

For more information about the additional aspects of security, enroll in the Lead System Architectcourse on Pega Academy and cover the Security lessons that correspond to the following topics:

• Authentication schemes

• Defining your authentication scheme

• Defining your authorization scheme

• Defining your access groups

• Defining access roles and privileges

• Defining the taxonomy of the organization

• Defining the organization structure

• Defining the operator attributes


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• Defining the operator work group

• Defining the operator skills

• Defining the operator calendar

• Defining work parties

• Defining the workbaskets

• Defining the work groups

Authentication schemes

The Pega Platform offers the following authentication types:

l PRBasicBased on passwords in the Operator ID data instances and the login form. This is defined bythe HTML @baseclass.Web-Login rule, which your application can override.

l PRSecuredBasicSimilar to PRBasic, but passes credentials using Secure Sockets Layer (SSL) using Basic HTTPauthentication. The login form is defined by the HTML @baseclass.Web-Login-SecuredBasicrule, which your application can override.

l PRCustomSupports access to an external LDAP directory or a custom authentication scheme.

l PRExtAssignSupports external assignments (Directed Web Access).

l J2EEContextSpecifies that the application server in which the Pega Platform is deployed uses JAAS toauthenticate users.

Defining your authentication scheme

Your site can use a centralized, automated means of maintaining operator data instead ofmaintaining it manually in the Pega Customer Lifecycle Management for Financial Servicesapplication.


To record your decisions during this procedure, use the "Security Model" worksheet in theImplementation Planning Workbook.

1. Discuss Authentication schemes with your site's security and application server teams.

2. Determine the appropriate authentication type.

For more information on authentication scheme planning, see Authentication in the PegaPlatform.

Defining your authorization scheme

Pega Customer Lifecycle Management for Financial Services comes with a predefined set of accessgroups, roles, and privileges. You can use the application roles as a starting point, but you shouldcreate your own application-specific access groups and roles to avoid any future problems whenupgrading.

Other rule types such as sections, flow actions, and activities use roles and privileges to allow accessto these rules at run time.

• Defining your access groups

• Defining access roles and privileges

Defining your access groups

To record your decisions during this procedure, use the "Security model" worksheet in theImplementation Planning Workbook.

1. Identify additional access groups that are needed for your application.

2. Identify portals associated with these access groups.

For more information, see Viewing access groups and operators.

Defining access roles and privileges

You can associate one or more roles with an access group. Roles are additive. The more roles thatyou add to an access group, the more authorization there is. Privileges can be associated with one ormore roles.

To record your decisions during this procedure, use the "Security model" worksheet in theImplementation Planning Workbook.


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1. Determine which roles are needed for your application. You can use the Pega Customer LifecycleManagement for Financial Services roles as a starting point.

2. Determine which privileges to associate with each role.

3. Associate each role with an access group.

For more configuration information, see Groups and roles.

Defining the taxonomy of the organization

Use the Taxonomy tab to set up the blueprint for your organizational chart. You can use the UPlusFinancial Services taxonomy chart as an example. The taxonomy chart defines the types of entitiesthat appear in your organizational chart.

The following are default levels of the taxonomy:

l Financial Institution - the top-level entity. You cannot modify this

l Business Line - type of business, for example corporate investment banking and retail banking

l Country - the country in which the business line exists

l Booking Entity - balance sheet level

To define your taxonomy, do the following steps.

1. Click Designer Studio > Financial Services > Operational Structure, and click theTaxonomy tab.

2. In the View operational structure for field, select UPlus Financial Services and clickSubmit. Review the simulated taxonomy as an example of how to set up your taxonomy.

3. Click New.

4. In theName field, enter a name for the bank. The ID field is automatically populated with a 6-character ID.

5. In the Top level class field, enter the class name, for example, Data-.

6. Modify the Calendar and Currency fields if necessary.

7. Click Submit.

8. In the new taxonomy, click Specialize and select the type of business line to create.


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9. Click Add to assign a new operational level to the business line.

10. Enter a name for the new level and select the level type.

11. See Defining the organization structure to build out your organization.

Defining the organization structure

Use the organization structure for routing and reporting within the application. Typically, theapplication organization structure does not map operators exactly to the site's organization chart butinstead, it maps the work that those operators do.

To support complex business relationships, especially in the Commercial and Investment Bankingspace, the standard Pega Organization and Security functionality is extended in the application. Thisfunctionality enables you to create and name additional levels in the operational hierarchy betweenthe required levels of Financial Institution, Business Line and Booking Location.

The following routing activities are used throughout the cases and may be adjusted:

l ToCasePartyWL

l ToCasePartyWB

l ToCaseInitiator

l ToCaseInitiatorManager

l ToCasePartyIntendedWB

Tip: For design guidance, seeOrganization landing page.

Use the "Organization structure" worksheet in the Implementation Planning Workbook to recordyour decisions during this procedure.

1. Click Designer Studio > Financial Services > Operational Structure and click theOrganizational chart tab.

2. Review the existing structure.

3. Determine the organization, division, and unit levels of the hierarchy.

Look at the UPlus Financial Services organizational chart for guidance on how to model yourorganization.


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Defining the operator attributes

An operator's access group affects what the operator can do in the application. In addition to theaccess group, the following fields in the operator record influence how the application handlesassignment of work to the user:

l Work group

l Skills

l Calendar

Tip: In many implementations, it is more efficient for the application to set values in the operatorrecord during the authentication process than it is to have an administrator manually maintain theserecords. These rules must be configured as part of the authentication mechanism for your site. Formore information, seeMore about Authentication Services.

For more information, see About Operator ID data instances.

Defining the operator work group

The work group setting in the operator record affects how your application delivers work to theoperator. Review the Operator record and determine the rules for assigning a work group to anoperator or the role that multiple operators hold.

To record your decisions during this procedure, use the "Organization structure" worksheet in theImplementation Planning Workbook.

1. Click Designer Studio > Org & Security > Organization > Operators.

2. Select an operator ID.

3. On theWork tab, review the work group information for the operator record.

4. Determine your policy for assigning a work group to an operator or the role that multipleoperators hold.

For more information, seeOperator ID form - Completing the Work tab.

Defining the operator skills

Skill settings in the operator record affect how the application routes work to the operator. Skillsettings also affect how the application gets the most appropriate work when using the Get NextWork feature. You must determine the skills that are appropriate for your application and operators.


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1. Define the skills that are needed for the application.

2. Determine which operator records or roles should be associated with those skills.

Defining the operator calendar

The application calendar affects date calculations within the application, such as the date betweenbusiness days calculation, and the SLA goal and deadline date calculation. The calendar on theoperator record is relevant only if you have users who are not working in the same time zone as therest of the organization. Otherwise, the application uses the calendar on the organization record andyou can skip this step.


1. Determine the calendar instances that are needed for your application.

2. Determine which operator roles need a distinct calendar.

3. Determine the operator location.

For more information, seeMore about Calendar data instances.

Defining work parties

A work party represents a person, business, or organization that is involved in a case. It receivescorrespondence, such as email, and can be an active or passive participant based on its role. PegaCustomer Lifecycle Management for Financial Services comes with default work parties, but you mayneed to configure them for site-specific requirements.

1. In the Case Type Explorer, click the name of the case of which you want to modify the workparties.

2. Click the Settings tab and select Parties.

3. Click the work party name to open the settings for the work party.

4. Make your modifications and click OK.

For more information, see Defining the stakeholders of a case.


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Defining the workbaskets

A workbasket is a queue of open assignments in the application.

1. Click Designer Studio > Org & Security > Tools > Work Baskets to display a list ofworkbaskets.

2. Review and modify the list if necessary.

For more information, see Initial Workbaskets.

Defining the work groups

A work group determines which workbaskets you can access.

1. Click Designer Studio > Org & Security > Tools > Work Groups to display a list ofassociated work groups.

2. Review and modify the list if necessary.

For more information, see Initial Work Groups.

Customizing the user experienceWhile Pega Customer Lifecycle Management for Financial Services is fully functional immediatelyafter installation, you may change portions of the user experience (UX) to meet the needs of the usersat your site.

To design the user experience, complete the steps in the following topics:

• Designing the portals

• Designing application skin and styles

• Designing for screen performance

Designing the portals

Review the content of the portals to ensure that only relevant data is presented.

To record your decisions during this procedure, use the "Portals" worksheet in the ImplementationPlanning Workbook.


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1. Log in to the application by entering these credentials:

User Name: CLMFSsysadmin or CLMFSRetSysadmin

Password: install

2. Review each of the portal sections.

Designing application skin and styles

Your site very likely has user experience (UX) standards for the appearance of your applications. Yourtask is to determine which styles have to change to adhere to those standards.

To record your decisions during this procedure, use the "Skinning" worksheet in the ImplementationPlanning Workbook.

1. Click Designer Studio > User Interface > Skins & Portals.

2. On the Skins tab, double-click the CLM skin.

Note: The CLM skin is based on the pyEndUser71 skin.

3. Click the Component Styles tab.

4. Review each component.

Note: As you plan your application styles, consider using mixins to provide incremental stylechanges. For more information, see Using mixins in the skin to drive consistency and efficiency.

Designing for screen performance

You want your application to respond immediately as your end users interact with customers. As youdesign your user interface, complete the following steps:

1. Review transactional service level agreements. For example, the customer details must beavailable in one second or less while a representative is on the phone with the customer.

2. Review service performance, such as how long it takes back end systems to gather the dataneeded to display customer details.

3. Review data requirements to determine which fields contain the information that therepresentatives absolutely need for the task that they need to perform.


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4. Determine if any network configuration could cause latency, for example, if there arerepresentatives logged in through a corporate VPN or in a remote location.

Defining reporting requirementsBased on your login and portal, Pega Customer Lifecycle Management for Financial Services providesnumerous pre-configured reports to monitor case and work inventory as well as monitor workforceproductivity and quality. These standard reports are driven by the case and work object lifecycleinfrastructure as well as the work and assignment-level service level rules for goals and deadlinesused in managing the life cycle of a case.

Based on your login and portal, Pega Customer Lifecycle Management for Financial Services providesnumerous pre-configured reports to monitor case and work inventory as well as monitor workforceproductivity and quality. These standard reports are driven by the case and work object life-cycleinfrastructure as well as the work and assignment-level service level rules for goals and deadlinesthat are used in managing the lifecycle of a case. For additional information, see the Pega CustomerLifecycle Management for Financial Services Application Business Use Case Guide on theApplication product page.



Building featuresFollow the steps in these topics to build your application features:

• Modifying the class structure

• Implementing the security model

• Modifying the user interface

• Modifying the welcome pack correspondence email

• Creating reports

• Configuring business scorecard rules

• Configuring business map value and decision table rules

• Configuring dynamic system setting rules

• Setting the Markit password

• Configuring Equifax integration

• Configuring Clarient integration

• Enhancing case searches

• Data traceability

• Configuring customer risk assessment properties

• Configuring the Case summary feature

• Creating a new KYC due diligence case

• Configuring event-driven architecture

Modifying the class structurePega Customer Lifecycle Management for Financial Services automatically creates your classstructure. When you modify the structure, follow the correct naming conventions. For moreinformation, seeMore about Class rules.


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Implementing the security modelAfter you review the existing groups and roles to determine additional groups and roles that youneed, create them by clicking Designer Studio > Org & Security > Groups and Roles. Makesure that you are logged in as an administrator.

For information on configuring groups and roles, see Groups and Roles and related topics.

Modifying the user interfaceTo modify the user interface, complete the steps in the following topics:

• Determining which part of the user interface to modify

• Locating the user interface element to change

• Adding properties to sections

• Adding sections

• Updating the skin

Determining which part of the user interface to modify

When you first access a Pega Customer Lifecycle Management for Financial Services portal, you seethe dashboard, which typically contains a navigation panel on the left. The content of the dashboardis customizable and displays any data that you integrate into your application.

Locating the user interface element to change

To determine which user interface element to modify to implement your change, use the Live UIfeature of the Pega Platform.

1. Log in to Designer Studio.

2. Launch a portal.

3. Click the Live UI icon .

4. Select an element to observe.


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When selected, Live UI provides the information about the UI element. You are able to see thesections and harnesses of the element.

5. To update the rule, click theOpen in Designer Studio icon .

Adding properties to sections

Pega Customer Lifecycle Management for Financial Services uses standard Pega Platform userinterface components, so the update process is the same as any Pega Platform application.

1. Log in to Designer Studio.

2. In Pega Customer Lifecycle Management for Financial Services, click Live UI and determine thesection that you want to modify.

3. Click theMagnifying glass icon to open the rule in Designer Studio.

4. In the Application Explorer, locate the property that you want to add to the section and drag it intothat section.

5. Click Save as and then save the rule to the default Applies to class and make sure that the rulesetis for your application.

6. Click Create and open and click Save.

Adding sections

Pega Customer Lifecycle Management for Financial Services uses standard Pega Platform userinterface components, so whether you are updating the dashboard, portals, or the composite, you doso in the same way as any Pega Platform application.

1. In Pega Customer Lifecycle Management for Financial Services, click Live UI and locate the sectionwhere you want to add another section.

2. Click theMagnifying glass icon to open the rule in Designer Studio.

3. In the Application Explorer, locate the section that you want to add and drag it into your specifiedsection.

4. Click Save as and save the rule to the default Applies to class. Make sure that the ruleset is foryour application.

5. Click Create and open and then click Save.


Updating the skin

You can update the look and feel of Pega Customer Lifecycle Management for Financial Services toreflect the color scheme of your organization. The application uses the standard Pega Platformskinning features in your application.

For more information about skins, see Creating a skin and Skin inheritance.

1. In Designer Studio, click Application Name > Skin.

2. Update the options as needed, and then click Save as.

3. Update the skin inheritance to CLM under the Inheritance tab of the newly created skin.

4. Click Create and open.

5. Click Save.

If you give your skin a different name, update the application to reflect it.

1. In Designer Studio, click Application Name > Open Application.

2. Change the value in the Skin field to the name of the skin that you created.

3. Click Save.

Modifying thewelcome pack correspondence emailA retail customer can receive a welcome pack email with attached PDFs about their account,including a Privacy Disclosure Notice, Personal Account Agreement, welcome letter, and BankSignature Card letter. Modify the content of the email to best fit your organization.

1. Log in to Designer Studio using the following credentials:

User Name: clmfsretsysadmin

Password: install

2. In the Designer Studio header search text field, enter NotifyCustomerProduceWelcomePack, andthen select the correspondence rule from the results.



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4. Review the template correspondence and modify it to contain information specific to yourorganization.

5. Click Save.

6. Modify the eForm files by following the steps in the Modifying the Welcome Pack emailattachments task.

Modifying the Welcome Pack email attachments

A retail customer can receive a welcome pack email with attached PDFs about their account,including a Privacy Disclosure Notice, Personal Account Agreement, welcome letter, and BankSignature Card letter. Modify the content of the attachments to best fit your customer's needs.

1. Log in to Designer Studio using the following credentials:

User Name: clmfsretsysadmin

Password: install

2. In the Designer Studio header search text field, enter PrivacyDisclosureNotice,PersonalAccountAgreement, UPlus Bank Signature Card, or UPlus Welcome Letter and thenselect the eForm File rule from the results.


4. Click Download file.

5. Review the template correspondence and modify it, if needed.

6. Upload the modified file.

Creating reportsIn addition to the library of Pega Platform reports, Pega Customer Lifecycle Management forFinancial Services provides several pre-configured reports that are customized for the various workobjects, cases, and business processes used in the application. These reports provide you with real-time insights into case inventories and aging so that you can respond with the agility that is neededto comply with your internal and external service level agreements as well as compliance mandates.

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Configuring business scorecard rulesUse default scorecard rules to calculate risk based on customers, related products, business codes,and business relations.

If you need to edit these rules do the following:

1. Search for the scorecard rule.

2. In the search results window, click the name of the scorecard. See the Business scorecard rules listbelow.

3. Edit the rules if necessary.

4. Click Save as.

5. Select your Context values.

6. Click Create and open to save the rule to your ruleset.

Business scorecard rules

RelatedPartiesRiskCalculates the risk based on related parties

DurationOfRelationshipCalculates the risk based on duration of business relationship

BusinessCodeRiskCalculates risk based on business code

CountryRelatedRiskCalculates the risk based on countries in which business is carried out

ProductRelatedRiskCalculates the risk based on related products

CustomerRiskAssessmentForOrgCalculates the aggregated risk for a commercial banking customer based on all risk factors

CustomerRiskAssessmentForIndCalculates the aggregated risk for an individual customer based on all risk factors


CustomerRiskAssessmentForFundCalculates the aggregated risk for a fund customer based on all risk factors

BusinessCodeCalculates the business score value based on the business code

InitialWorkUrgencyGeneric scorecard rule to assess initial urgency based on several customer and work-relatedfactors

Note: You may also want to modify the RelevantPartyDecision decision table rule.

Configuring business map value and decision table rulesYou can use default map value rules to calculate prioritization weights based on factors includinginvestor outlooks, customer segments, and product matrices.


1. Search for the map value rule.

2. In the search results window, click the name of the map value. See the Business map value anddecision table rules list below.


4. Click Save as.

5. Select your Context values.


Business map value and decision table rules

IndustryClassificationWeightsThis is used to map the industry map score weights

MapPriorityCustPotentialValueProvides prioritization weights for each value of the InvestmentOutlook property

MapPriorityCustSegmentProvides prioritization weights for each value of the CustSegment property


MapPriorityInvestmentOutlookProvides prioritization weights for each value of InvestmentOutlook property

VulnerableValueProvides a score for the Vulnerable value in the product matrix

CountryScoreUsed for setting the sensitivity score of a country

RelevantPartyDecision

A decision table that is used to determine if a related party is relevant to due diligence

Note: You may also want to modify the RelevantPartyDecision decision table rule.

Configuring dynamic system setting rulesDynamic system settings control the behavior of your application.


1. Search for the dynamic system setting rule.

2. In the search results window, click the name of the map value. See the Dynamic system settingrules list below.


4. Click Save as.


Dynamic system setting rules

EnableSpinoffFulfillmentDetermines the permission to allow configuration of product fulfillment in parallel or not

bSpinoffFulfillmentDetermines whether the functionality for product fulfillment in parallel is enabled or disabled bydefault

SpinoffFulfillmentByIndicates which parallel product fulfillment approach to set by default


OECDResidenceCountryIndicates whether the country of legal residence of the CLM application hosting financialinstitution is a member of the OECD list

SkipEmptyKYCAssignmentDetermines whether manual assignments for Pega Know Your Customer data collection tasks arerequired where there is no KYC Type applied or all the ones applied are complete

EnableAsynchronousProcessEnables or disables asynchronous processing in some parts of the CLM application

DisableCRSFATCAOverrideLinkEnables or disables the possibility for the tax reviewer to override the result of the tax (FATCA orCRS) assessment using a questionnaire

SpinoffTaxCasesForFundsEnables or disables the functionality for creating tax (FATCA and CRS) subcases for funds in groups

yrsAtPrimaryAddress (Retail)Threshold to trigger prompting for a prior address

OnlineBranch (Retail)Indicates the online retail branch for the organization

LicensedToUseKYCIndicates that the Pega Know Your Customer engine is enabled (licensed separately)

Important: The default setting for the LicensedToUseKYC rule is false. You must set it to true inorder to enable the Pega Know Your Customer engine. For information about implementing KnowYour Customer, see the Know Your Customer Implementation Guide on the Know Your Customerproduct landing page.

Setting theMarkit passwordIf you are licensing Markit, you must enter your Markit-provided password in the AuthenticationProfile.

1. Log in to the Financial Services Industry Foundation application using these credentials:

User Name: FSIFSysAdmin

Password: install


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2. In the Records pane, click Security > Authentication Profile.

3. Update the password for GMServiceAuthentication to the one provided to you by Markit.

4. Click Save.

Configuring Equifax integrationInstructions for configuring Equifax can be found on the Foundation for Financial Services productpage, in the Equifax Connector Guide.

Configuring Clarient integrationUse the Configure Clarient parameters panel to configure your Clarient integration. You and thebank must work directly with Clarient to obtain the values for these fields.

1. In Designer Studio, click Designer Studio > Financial Services > Configure Clarientparameters.

2. Enter the values you received from Clarient in the required fields.

3. Save your changes.

Enhancing case searchesOnboarding activities can result in the creation of large volumes of work which are commonly carriedout by multiple groups within the organization.

You can use the Relationship Manager Portal to perform searches on cases in your environment. Youcan add fields to the search results to help refine your search.

For information about how case searches are implemented, see Case searches in Client LifecycleManagement for Financial Services.

To extend the functionality, complete the following steps.

• Adding the custom property to the report definition

• Enabling the custom property to appear in searches

• Configuring the dynamic system settings

• Including the custom property column in the results



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• Re-indexing the application

Adding the custom property to the report definition

Add the custom property to the report definition.

1. In the Designer Studio header search text field, enter pyWorkSearch and select theWork- reportdefinition rule.


3. Click Add column, and type the name of a custom property that you want to add, for example,pyCustomerName.

4. Click Save.

Enabling the custom property to appear in searches

Enable the custom property to be included in search results.

1. In the Designer Studio header search text field, enter pysearch and select theWork- custom searchproperties rule.


3. Select the custom property that you added, for instance pyCustomerName, to include it in thesearch results.

4. Click Save.

Configuring the dynamic system settings

Configure the dynamic system settings.

1. In the Designer Studio header search text field, enter useDataInstances and select the Pega-Searchengine Indexing/usedatainstances dynamic system settings rule.






3. Type true in the Value field.

4. Click Save.

Including the custom property column in the results

Include the custom property column in the results grid in section pyWorkSearchResults as required toshow in the search results screen.

1. In the Designer Studio header search text field, enter pyWorkSearchResults and select the sectionrule.


3. Add columns for your custom property in the grid layouts. For additional information about grids,see Harness and Section forms - Adding a Grid layout.

4. Click Save.

Re-indexing the application

You must re-index all work in order to see the new search fields.

1. In Designer Studio click Designer Studio > System > Settings > Search.

2. Click Re-index for All work. For more information about re-indexing, see Rebuilding a searchindex.

Data traceabilityFinancial Services institutions are subject to a number of regulations that vary between jurisdictions.In addition to meeting these regulations across the globe, institutions need to prove to regulatoryauditors how specific decisions were made. A large volume of data that drives those decisions iscaptured from a variety of sources, such as internal databases, customer self-service, manual entryby employees, and third party systems. It is important for the business to track where the data wasinitially captured and how it changes over time.

Use the data traceability feature to identify and track data objects and then configure auditableentries on a particular data object. The data change tracking engine will scan for changes and savethem in an exposed, easily accessible data change repository.

To extend data traceability, do the Extending tracked security changes task.



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For information about how data traceability is configured, see Data traceability.

Extending tracked security changes

Configure auditable entries on a particular data object that you want to track, for example, businessgoals.

1. In the Designer Studio header search text field, enter FSIFTrackSecurityChanges and select thePegaFS-Data-Party-MasterProfile data transform rule.


3. Click Add a row .

4. Enter BusinessObjGoalsList for both the Target and Source fields.

5. Click Save.

6. In the Designer Studio header search text field, enter FSIFTrackSecurityChanges and select thePegaFS-Data-Party-BusinessGoals data transform rule.



9. Enter BusinessObjGoals for both the Target and Source fields.

10. Click Save.

Configuring customer risk assessment propertiesA risk profile is a qualitative and quantitative analysis of the types of threats an organization, asset,project, or individual faces. The goal of a risk profile is to provide a non-subjective understanding ofrisk by assigning numerical values to variables representing different types of threats and the dangerthey pose.

Scorecard logic

A scorecard contains the weighted values for each risk. You can create a scorecard rule to calculate,for example, customer segmentation based on age and income and then map particular score ranges


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to defined results.

Implementation details

For information about existing risk factors see Customer risk assessment.

To add new risk factors to your risk profile or edit the existing ones, do the following tasks.

• Adding the new risk factor to the risk profile class

• Mapping the data to the data transform

• Creating a declare expression for the new risk factor

• Creating a scorecard rule for the new risk factor

• Including the custom property column in the results

Adding the new risk factor to the risk profile class1. In Designer Studio click Data > Risk profile.

2. Click Add field .

3. Type a name and ID and select the field type.

Mapping the data to the data transform1. In the Designer Studio header search text field, enter SynchronizeRiskProfile and select the

PegaFS-Work data transform rule.



4. Enter the Target and Source values from the property you created in Adding the new risk factorto the risk profile class.

5. Click Save.


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Creating a declare expression for the new risk factor1. In Designer Studio click Records > Decision > Declare Expression.

2. Right-click Declare Expression and click Create+.

3. Type a name in the Label field.

4. Enter the Target Property values from the property you created in Adding the new risk factor tothe risk profile class.

5. Enter a value in the Page Context field.

6. Enter the relevant class in the Apply to field.


8. Open the new declare expression and add logic to it by clicking Records > Decision > DeclareExpression and selecting it.

9. Click Save.

Creating a scorecard rule for the new risk factor1. In Designer Studio click Records > Decision > Scorecard.

2. Right-click Scorecard and click Create+.

3. Enter a name in the Label field.

4. Enter a relevant value in the Apply to field.


6. Open the new scorecard rule and add logic to it by clicking Records > Decision > Scorecardand selecting it.

7. Click Save.

Including the custom property column in the results

Map the scorecard rule you created in Creating a scorecard rule for the new risk factor to either theindividual or organization risk scorecard.


1. In the Designer Studio header search text field, enter either CustomerRiskAssessmentForInd orCustomerRiskAssessmentForOrg and select the scorecard.


3. Click Add a row and add the necessary logic.

4. Click Save.

Configuring the Case summary featureThe Case summary feature contains a detailed view of the stages, steps, and the most relevant datafor a case across its lifecycle.

The process of onboarding a new customer can vary depending on factors, such as the customertype, their location, and the products they use. Increasing regulation in the financial services industryadds pressure to understand the progress of ongoing work, related information, and those mainparties involved in onboarding activities. This context-specific view of the overall parent case orseparate units of related work must provide relevant data to the user to help them continue their taskor understand blockers to progress.

For more information about how the Case summary feature is configured, see Case summary.

To configure this feature, do the following tasks.

• Customizing the color of the progress gauge

• Configuring the progress percent value

• Configuring the passed deadline conditions

• Configuring data categories

• Modifying related cases

• Configuring pending requirements

Customizing the color of the progress gauge

The progress gadget shows the percentage of completion of the case and the status. By default, theindicator is red if the task is delayed and green if the task in on track. If you want to modify thecolors, do the following steps.



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1. In the Designer Studio header search text field, enter simple-percentage-chart and select theHTML or CSS file.

2. Save both rules into your implementation layer. For additional information about locked andunlocked rulesets, see Copying a rule or data instance.

3. In the CSS file, change the color properties to a color of your choice.

4. Click Save.

Configuring the progress percent value

The progress gadget shows the percentage of completion of the case and the status. You canconfigure at which percentage of completion a case is considered delayed.

1. In the Designer Studio header search text field, enter CalculateNavigationProgress and select theactivity rule.


3. Modify the Calculation if case not completemethod parameters.

4. Click Save.

Configuring the passed deadline conditions

The progress gadget shows the percentage of completion of the case and the status. You canconfigure the conditions for when the deadline for completion has passed.

1. In the Designer Studio header search text field, enter SLADeadlineIsPast and select the when rule.


3. Select the Advanced tab and modify the conditions of the when rule, as needed.

4. Click Save.

Configuring data categories

You can configure which data categories appear on the Case summary. To modify these categories,edit the data transform and when rules for the categories.





1. In the Designer Studio header search text field, enter SetAllDataStatusValue and select the datatransform rule.


3. Modify the action and the associated when rule, as necessary.

4. Click Save.

Modifying related cases

If you are using parallel fulfillment, the system creates the related sibling fulfillment cases for ajurisdiction when all due diligence activities for that jurisdiction are completed.

The related cases are displayed based on the ObjectType property which equals pzinskey from themain Pega Customer Lifecycle Management for Financial Services case.

If you want to change the condition on which related cases should be visible, modify the data pageand report definitions.

1. In the Designer Studio header search text field, enter D_SiblingRelatedCasesByObjectTypeLinkand select the data page rule.


3. Modify the data page rule, as necessary.

4. Click Save.

5. Open the RelatedCasesByObjectType report definition and modify the properties, as necessary.

6. Click Save.

7. If you want to change the related cases display properties, open the RelatedCaseUnit section ruleand modify the section properties.

Configuring pending requirements

At the end of the Capture stage the system creates a unique requirement case for every requirement.You can view a list of pending requirements in the bottom-right corner of the Case summary screenfrom the Enrich stage onwards.




Depending on the conditions configured in the requirement set rule, the respective requirements areonly applicable to the customer.

If you want to update the applicability of the requirement, do the following steps.

1. In the Designer Studio header search text field, enter OnboardOrganizationBasic and select therequirement set rule.


3. Modify the requirements, as needed.

4. Click Save.

5. If you want to apply new requirements for any customer, create appropriate requirement rules inthe respective requirement set rule.

Creating a newKYC due diligence caseAn important aspect of onboarding a new customer is assessing their trustworthiness. PegaCustomer Lifecycle Management for Financial Services provides several cases that are designed tocollect due diligence information.

If you have additional information that you need to collect, you can create a new subcase based onexisting KYC due diligence subcases. Do the following tasks to add a new subcase to the KYC duediligence case. The following tasks serve as an example of how you can add a new due diligencesection, Miscellaneous, to the Due Diligence stage. The example section that you add contains asingle subcase for collecting Crown Dependencies and Overseas Territories (CDOT) regulationinformation.

For more information about how the existing case is implemented, see Due diligence casecreation.

To build a new KYC due diligence case, do the following steps.

• Creating a subclass that contains reusable assets

• Creating a subclass to contain specialization rules for the new regulations

• Including the CDOT work types and creating a related data transform



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• Adding work parties for the new Miscellaneous case type

• Creating a flow diagram for the new due diligence subcase

• Creating an activity to reroute workbaskets

• Creating a data transform to populate a list of subcases

Creating a subclass that contains reusable assets

Create a PegaCLMFS-Work-Misc subclass to contain reusable assets associated with the new subcase.

1. In Designer Studio, in the Explorer panel, click App > SysAdmin.

2. Right-click Class and select +Create.

3. Enter a label.

4. In the Class Name, enter PegaCLMFS-Work-Misc.


6. Click Save.

Creating a subclass to contain specialization rules for the newregulations

Create a subclass named PegaCLMFS-Work-Misc-CDOT to contain the specialization for the CrownDependencies and Overseas Territories (CDOT) regulations.

1. In Designer Studio, in the Explorer panel, click App > SysAdmin.

2. Right-click Class and select +Create.

3. Enter a label.

4. In the Class Name, enter PegaCLMFS-Work-Misc-CDOT.


6. Click Save.


Including the CDOT work types and creating a related data transform

You must include work types for the Crown Dependencies and Overseas Territories (CDOT) case typethat you created. You can do this by adding the subcase to the parent case in the case type rule. Onthe case type rule form, add a data propagation data transform. The data transform will propagatedata from the child to the parent class.

1. In the Designer Studio header search text field, enter pyDefault and select the PegaCLMFS-Work-CLM case type rule.


3. In the Child case types section, click Add a row .

4. Enter PegaCLMFS-Work-Misc as the name.

5. Click the Data propagation for the PegaCLMFS-Work-Misc case type.

6. Click Submit.

7. Click Save.

Adding work parties for the new Miscellaneous case type

The new Miscellaneous case type requires new case-specific work parties. Add new work parties tothe pyCaseManagementDefault work parties rule.

1. In the Designer Studio header search text field, enter pyCaseManagementDefault and select thePegaCLMFS-Work-CLM case type rule.


3. In the List of valid parties section, click Add a row for each new work party that you wantto add.

4. Enter names for the new work parties, for example, Misc, MiscManager, andMiscReview.

5. Click Save.




Creating a flow diagram for the new due diligence subcase

You must apply some flow logic to your new subcase. In this example, you will create a flow thatprevents the subcase from completing until the parent KYC cases are complete.

1. In Designer Studio, in the Explorer panel, click App > CLM > Process.

2. Right-click Flow and select +Create.

3. Enter, for example, Misc as the flow name.

4. Add decision shapes in the flow that prevent the subcase from completing until the parent KYCcases are complete.

5. Include theMisc flow in Due Diligence stage and create when rules and service rules to checkwhen theMisc flow has to be initiated.

Note: Click App > CLM > Process > Flow and look at the KYC, Legal, or Tax due diligence flows toget ideas for creating your flow.

Creating an activity to reroute workbaskets

Create an activity that checks for a valid work party role. If the party role is available on the case thenthe activity checks for the default workbasket that is associated with that work party and assigns theassignment to that work party. If the work party role is not available on the case then the case isrouted to routing_error@clmfs and an error message is sent.

For example, if the SSManager role is passed as a parameter, then the activity rule checks thepyWorkParty(SSManager) property rule for a routing workbasket name and assigns the assignmentaccordingly. If pyWorkParty(SSManager) is not available, then the assignment gets routed to routing_error@clmfs.

1. In the Designer Studio header search text field, enter ToCasePartyWB and select the PegaCLMFS-Work-Tax activity rule.

2. Click Save as to copy the rule.

3. In the Applies to field, enter PegaCLMFS-Work-Misc.


5. Edit the conditions for the when rules, as necessary.

6. Click Save.


Creating a data transform to populate a list of subcases

Create a data transform that will populate a list of subcases that are initiated from your new duediligence subcase.

1. In the Designer Studio header search text field, enter PopulateTaxCasesList and select thePegaCLMFS-Work-CLM data transform rule.

2. Click Save as to copy the rule.

3. In the Label field, enter PopulateMiscCasesList.


5. Edit the actions, as necessary.

6. Click Save.

Configuring event-driven architectureAs part of doing business with customers, a wide range of potential events can occur from manydifferent internal and external sources. A financial institution must be able to identify and process achange, such as a customer updating their address or an identification document expiring. Failing todo so can lead to non-compliance and increased risk. Forcing manual checks on every change candelay or suspend revenue generation for the financial institution’s customers and incur highoperational costs.

You can use event-driven architecture, to define and configure business events. Certain events areprocessed automatically while others will require manual attention. When an agent rule identifies anevent, it immediately triggers the respective validation and decision mechanisms to take appropriateactions.

For example, a financial institution will periodically review customers. Customer X has beenonboarded into a financial institution on the 1st of January 2016. Based on the risk profile of thecustomer and organizational policies, the system sets the next review date to the 1st of January 2018.The system automatically triggers a customer review case on or before 1st January 2018.

Overriding agents

You must save the scheduling agents into your application layer in order use them in an event drivenarchitecture operation.


1. In Designer Studio, click Designer Studio > System > Operations > Agent Management.

2. Filter the Queue Class to PegaFS.

3. Stop each agent and then save them into your ruleset.

4. Repeat steps 1-3, but filter for PegaKYCFS.

Creating a new event

You can create new events for your financial institution. In this example, the documents provided bythe customer during onboarding are set to expire, and the financial institution has to ask thecustomer to provide the latest documents to adhere to due diligence processes.

This task references rules that are defined in Event-driven architecture. Refer to this PDN article formore information.

To implement this example, do the following steps:

1. Create a new property to store the valid end date of the uploaded document.

For example, call the property validenddate. Place this property on the document collection UIscreen. If the documents collected are stored in a content management solution (such asAlfrecsco), make sure that while accessing the customer documents, the validenddate property isalso brought up in the journey.

2. Create an event code and event type for the document review case and map it in theMapFSEventsmap value.

3. Create an advanced agent which runs at required intervals.

These intervals are determined by the duration in which the documents are valid. Use theCreateCustomerReviewEvents agent rule as a basis for this rule.

4. Create an activity which retrieves the customer profiles whose documents are expired. Link thisactivity to the advanced agent in step 3, which calls it periodically.

5. Create a report definition which retrieves the customers whose documents are about to expire,per the validenddate rule.

Use the UnqueuedExpiredCustomerProfiles report definition as a basis for this rule. If thedocuments collected are stored in a content management solution, make sure that, while


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accessing the customer documents, the validenddate is also brought up in the journey which isrequired for the report definition.

6. Create an activity to check if a case has already been created for customers with documents thatare about to expire.

Use the QueuedCustomerDetails report definition as a basis for this rule.

7. Create an activity which creates a document review case and add this activity to theFSIFEventDrivenProcess decision table.

Use the CreateCustomerScheduleReviewEvents activity rule as a basis for this rule. TheFSIFAgentProcess checks the FSIFEventDrivenProcess decision table for the activity to be run forthe Document review event type, which creates the document review case.

Testing a new applicationTesting a new application includes the following procedures:

• Testing your application in the Build environment

• Testing in the Test or Production environments

• Testing in the UAT environment

Testing your application in the Build environmentTest a new application in the Build environment before migrating the new application to a Test orProduction environment. Testing in the Build environment enables you to verify that basicfunctionality and interfaces work correctly and also that performance is acceptable.

1. Run functional tests to test specific features from the end-user perspective.

2. Test features used by all service intents, such as: security, eligibility, search, and loading of data.For this unit testing, automated scripts are recommended but not required.

3. Use the Performance tool to measure the performance of the application. For information aboutthe Performance tool, see About the Performance tool.

l Prior to extending your site-specific Pega implementation, establish a performance benchmark(baseline) using the Performance tool. This allows subsequent, iterative performance tests


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against the established baseline to help identify any degradation in performance resulting fromdevelopment efforts.

l Use the Performance tool to check the performance of the following features:

Search

Account selection

Loading of components

Kickoff of all service intents. For this unit testing, automated scripts are recommended butnot required.

l Save the test results so that you can compare them to future test results to determine whetheran application update has a performance impact.

4. Verify that the Pega-provided reports and your custom reports run successfully, and that theyshow your implementation layer data, rather than the default demonstration data. This can be anautomated test.

5. Test all integrations, both independently and with associated integrations.

Test integrations for any optional Pega Customer Lifecycle Management for Financial Servicescomponents and other applications that you plan to use. See the product documentation for thecomponent or application to determine which product components to test.

6. Test security. Test the most common roles to ensure that the required access groups areconfigured and point to the correct software version.

Testing in the Test or Production environmentsAfter you import the application to a Test or Production environment, test the application in the newenvironment to verify that it works correctly in that environment.

1. Verify that the source and the destination files are the same.

2. Run functional tests to test specific features from the end-user perspective.

3. In the Test or Production environment, run the Application Guardrails Compliance Score to ensurethat the application meets guardrails.


4. Verify that the Pega-provided reports and your custom reports run successfully, and that theyshow your implementation layer data, rather than the default demonstration data. This can be anautomated test.

5. Test all integrations, both independently and with associated integrations.

Test integrations for any optional Pega Customer Lifecycle Management for Financial Servicescomponents and other applications that you plan to use. See the product documentation for thecomponent or application to determine which product components to test.

6. Verify that the integrations point to the correct system of record, and not to the system of recordfor the Build environment.

7. Test security. Test the most common roles to ensure that the required access groups areconfigured and point to the correct software version. Use these common roles in your smoke tests(see next step).

8. Run a smoke test to compare the source and destination environments. Verify that all tests thatpass in the Build environment also pass in the Test or Production environment. If anything fails,compare the environments to determine whether a difference in environment could cause the testto fail. If the environment caused the failure, either fix the issue that caused the failure or adjustthe test as appropriate for the new environment.

9. Run performance tests to verify that performance meets expectations. Pega recommendsautomated performance testing. Save the results so that you can compare them to futureperformance test results to determine whether an application update has a performance impact.

Testing in the UAT environmentAfter you complete testing in a Test environment, it is common to perform User Acceptance Testing(UAT) in a designated UAT environment, which could be a pre-production environment. UAT ensuresthat end users will be able to successfully complete work and meet business objectives.

Note: Organizations that use Scrum for application development will complete less formal UAT aspart of each sprint cycle.

1. Verify the integrity of the UAT environment.

2. Have the end-users (or business analysts acting the role of end-users) run scripts to test allscenarios including boundary and exception testing. The end-users (that is, the trainers, managers,and directors), perform the following steps during UAT:


l Verify that there are no major issues.

l Review changes in order to better understand the features.

Packaging a new applicationTo migrate a new application to a different environment, you must first package the application sothat it can be imported to the new environment.

Packaging and importing a new application includes the following procedures:

• Merging application changes

• Packaging an application for migration

• Importing the packaged application

Merging application changesIf you developed your application features in separate branches, use the Merge Branches wizard tomerge the branches before you package the application. The wizard shows any merge conflicts sothat you can correct them before you merge the branches.

For more information about using Merge Branches wizard, see Branch development and merging.

Packaging an application for migrationBefore you can migrate a new application to a different environment, you must package the relevantdata instances and rulesets into a product rule. The product rule is an instance of Rule-Admin-Product, and it is referred to as the RAP file.

1. Click Designer Studio > Application > Distribution > Package to start the ApplicationPackaging wizard. For information about using the wizard, see Application Packaging wizard.

2. Complete each page of the Application Packaging wizard.

3. On the last page of the wizard, click Preview.

4. Review the contents of the generated RAP file.

5. On the last page of the wizard, clickModify to make any changes.


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6. When the RAP file is complete, click Export. The wizard creates a .ZIP file in the ServiceExportdirectory on the current application server node.

Importing the packaged applicationTo deploy a new application to a different environment, import the .ZIP file that contains thepackaged application to the new environment.

1. Click Designer Studio > Application > Distribution > Import.

2. Use the Import Gadget to import the target .ZIP file. For more information, see Import wizardlanding page.

For information about how to swap the database connection pointers to your Production databaseafter an import to a Production environment, see Pega Platform Upgrade Guide.


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Production maintenance andmonitoringProduction maintenance and monitoring includes the following procedures:

• Business rule maintenance in the Production environment

• Application health monitoring

• Identifying and reporting issues

Business rule maintenance in theProduction environmentYou can give managers the ability to update other rule types in the Production environment. Forexample, managers can update the Goals and Deadline for a certain case type. These rules must bedelegated in Designer Studio first. For more information on rule delegation, see Delegating a ruleor data type.

Application health monitoringPega Autonomic Event Services is an application that automatically monitors, retrieves, andorganizes the alert data from one or more clustered systems throughout the enterprise. Pega alsoprovides the Pega Predictive Diagnostic Cloud, which allows you to benefit from Pega AutonomicEvent Services without installing it locally. Pega Predictive Diagnostic Cloud is a Software as a Serviceoffering of Pega Autonomic Event Services.

Implementing the following best practices in your application can help to ensure optimal responsetimes and overall application health:

l Segment application agent processing to a dedicated JVM (Java Virtual Machine). This configurationensures that end users do not have to share resources with background processes.

l Monitor integration response time. Over time, slow integration points can cause average handletimes to increase. When queues start to grow, it becomes very difficult to recover, which mightrequire usage of offline services or a backup application.


Production maintenance and monitoring

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Identifying and reporting issuesAs with any application, your users will encounter issues that they need to report as they begin to usethe application. When deploying your application to the production environment, complete thefollowing steps:

1. Identify operational staff who will be responsible for responding to issues reported in theproduction environment.

2. Establish procedures with those resources to triage, respond to, and escalate issues.

3. Determine procedures for delivery of changes to the production environment.


Production maintenance and monitoring

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