Requirements case
Requirements cases implement the process to collect and verify documents from the
customers. They are created from the requirements synchronization engine when it is deemed
that one requirement needs to be satisfied by a given party. The process is divided in five main stages: Pega Client Lifecycle Management and KYC comes with a fully functional configuration for this
component which does not require additional changes to work. However, financial
institutions may need to modify the base behavior of the component to meet their
specific business needs. The following sections describe some of the most common
configurations made to this part of the functionality. The different actions that a user can perform in the process are given by the
privileges available to that user. It is important to note that a single user can perform
multiple roles in the process and therefore act in more than one process stage. The requirements module includes the following privileges: These privileges have been grouped in the out-of-the-box using a series of roles that
represents the different personas that can be involved in the process. The roles
available for direct use by applications are: Represents an operator that can upload documents in the initial
stage of the process. Associated privileges: RNGGatherInformation RNGRequestWaiver RNGShowCaseAttachmentPrivilege RNGShowExistingDocPrivilege RNGShowViewHistoryPrivilege Represents an operator in charge of the capture of data from the
document. Associated privileges: RNGDataCollection RNGShowViewHistoryPrivilege Represents an operator that can verify documents in a
requirement. Associated privileges: RNGVerification RNGShowViewHistoryPrivilege Represents an operator that can verify and approve waiver
requests. Associated privileges RNGProcessWaiver RNGShowViewHistoryPrivilege Represents an operator that can perform the final approval on the
case. Associated privileges: RNGApproval RNGShowViewHistoryPrivilege Represents an operator that can performed the first four stages
of the process. Associated privileges: RNGGatherInformation RNGRequestWaiver RNGDataCollection RNGVerification RNGProcessWaiver RNGShowCaseAttachmentPrivilege RNGShowExistingDocPrivilege RNGShowViewHistoryPrivilege Pega Client Lifecycle Management and KYC configures its access groups to use all these roles
in the following manner: CLMFSCIBSysAdmin CLMFSRetSysAdmin PegaRequirements:RequirementsMultiRole PegaRequirements:RequirementsApprover CLMFSRet_Branch_User PegaRequirements:RequirementsDocumentCollector CLMFSCIB_RM PegaRequirements:RequirementsMultiRole PegaRequirements:RequirementsApprover CLMFSCIB_SS_Manager CLMFSRet_SS_Manager PegaRequirements:RequirementsApprover CLMFSCIB_SS_User CLMFSRet_SS_User PegaRequirements:RequirementsMultiRole If your organization needs a different configuration to meet its own operational needs,
you can distribute the roles and privileges listed in this section across the access
groups and roles of your organization. By default, the application executes the stages of the requirement case in the order
provided before. However, some financial institutions can determine that some of the stages
of that process may not be required to meet their business needs and might want to skip
them. For that purpose, the following rules are made extension points: For that purpose, the following rules are made extension points: The requirements functionality can be configured to route the assignments from
different stages to different workbaskets. Pega Client Lifecycle Management and KYC uses that configuration to establish a routing model
based on the operational structure of the application. For more information, see Configuring operating structure). In that model, see the following routed assignments: As in any other routing in Pega Client Lifecycle Management and KYC, the system looks in the
operating structure for a workbasket available with the same suffix as the one in the
table and routes the assignments it. For example, Pega Client Lifecycle Management and KYC provides UPlus operating structure with
two workbaskets UPFS_GM_AME_US_SS_Docs and
UPFS_GM_AME_US_SS_Docs_Approve, created under Global Market –
America – US and serve to that jurisdiction. Equivalent workbaskets are created in many
other jurisdictions and are used by the system according to the operator
configuration. Although customers are expected to use this routing model based on the operating
structure, they can always opt for their logic. They can also use the out of the box,
but configure it to route to different workbaskets. Look at these rules to implement the
required changes.Configuring user roles
Privilege Description RNGGatherInformation This privilege gives the user the ability to perform the first
step in the process, document collection. RNGRequestWaiver This privilege allows users to request a waiver when a document
is not available. RNGDataCollection Users with this privilege can perform data collection. RNGVerification Users with this privilege can verify documents in the
requirement. RNGProcessWaiver This privilege allows users to approve waiver requests that are
raised for a customer. RNGApproval Users with this privilege can perform the final approval at the
end of the process. RNGShowCaseAttachmentPrivilege This privilege drives the availability of case attachments for
selection during document collection. RNGShowExistingDocPrivilege This privilege drives the availability of documents in the
customer library (documents previously uploaded for that customer)
for selection during document collection. RNGShowViewHistoryPrivilege Users with this privilege can see the full history of a document
within a requirement. Role requirements Description RequirementsDocumentCollector RequirementsDataCollector RequirementsVerifier RequirementsProcessWaiver RequirementsApprover RequirementsMultiRole Access groups Description Skipping stages of the process
Rule Rule type Description RNGSkipApprovalStage_Ext Data transform Use the rule to skip the approval stage. Organizations can skip
the stage in all circumstances or do it based on case data, the
value or risk of the customer, the seniority of the verifier, and so
on. RNGSkipValidateStage Data transform Modify the rule to skip the verification of the documents in the
requirement. RNGSkipProcessWaiverStage_Ext Data transform Modify the rule to skip the process waiver stage. Configuring routing
Stage Workbasket suffix Satisfy SS_Docs Data Collection SS_Docs Validate SS_Docs Process Waiver SS_Docs Approval SS_Docs_Approve Rule Rule type Description RNGDeterminePartyRouting Decision table Modify this rule to use the routing logic based on operating
structure but using different prefixes for your workbaskets
depending on stage or any other case variable. RNGRouterByStage Data transform Modify this rule to implement your own routing logic. This logic
may or may not be based on the operating structure.
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