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Case navigation

Updated on February 16, 2021

Pega Client Lifecycle Management for Financial Services uses the Enrich stage to capture core data that drives the due diligence activities that are generated as cases in the Due diligence stage. In the Due diligence stage, you can make changes to the data and use the updated core information action to re-initiate the stage accordingly. You use the Action option to move the main case back to the Enrich stage to capture the desired data.

When the case moves back to the Enrich stage, the system checks whether users actively work in due diligence cases. If so, the system displays a list of the active cases that must be closed. The main case does not navigates back to the Enrich stage until all active due diligence cases are closed and unlocked.

When all cases are closed or resolved, the system advances the case. The system shows a confirmation message that explains the impact that moving to the Enrich stage has on KYC cases that do not complete the review step. The temporary policy memory storage mechanism collects the KYC types and type-associated data in those cases and reuses them when returning to the Due diligence stage. By default, the system deletes policy memory older than 30 days (you can configure this threshold by updating the PolicyMemoryCleanupInDays dynamic system setting). When the corresponding KYC cases are resolved, the system deletes the KYC types stored in the policy memory and synced with the policy profile. For more infromation, see the Pega Know Your Customer For Financial Services Implementation Guide.

Once the user proceeds, the system withdraws all due diligence KYC cases, and the main case navigates back to the Enrich stage. In the Enrich stage, only the necessary steps are available and reused. You can update all data categories as each journey allows. The Monitor document collection and Business sponsorship approval steps reflect your changes to the data. For example, if you add a product from a jurisdiction in a new region, the user is prompted for additional documents and the system generates a Business Sponsor Approval case for the new region.

After the Enrich stage is completed a second time, the case can then proceed to the Due diligence stage again, leading to a recalculation of the appropriate due diligence activities. The created due diligence cases are placed in the correct assignments, based on the state of the corresponding due diligence case when the system withdrew it. The STP mode configuration drives this behavior of the due diligence case.

The STP mode has three possible values NOSTP, REVEIEWSTP, and FULLSTP. These mode values are determined based on the completion of KYC types and the status of the original KYC case when the system withdraws it (this status is captured in the policy memory when the onboarding case navigates back to the Enrich stage). Each of these values is active in the following modes:

The NOSTP mode implies that the case is automatically resolved. A KYC case uses the STP mode when all the KYC types in the case are complete and approved.
The REVEIEWSTP mode moves the KYC case to the review assignment. A KYC case is set to this mode if its corresponding case was at the review step before navigating back to the Enrich stage.
The FULLSTP mode stops the case at both the Data collection and Review assignments. This mode is activated when the original case was at the Data collection assignment when it was withdrawn. This mode also overrules the other two modes if the KYC types on the case are incomplete.

These modes are not just limited to case navigation, but also apply to the KYC case flows.

Configuring case navigation

During onboarding and maintenance, banks need to capture data from customers. This data can be both required for general use, and essential to determining which due diligence activities must occur. If you need to update core driver data later in the Due diligence stage, the system refreshes this driving logic and updates the new activities accordingly.

The functionality is designed with a few extension points that can modify the behavior of the module to meet your business needs.

For more information, see Case navigation.

  1. Search for the following rules and edit them as necessary.

    Rule nameRule typeUsage
    PegaCLMFS-Work.CaseNavigationResolveDDCases_ExtActivityIntroduces logic before resolving the Due diligence stage subcases. For example, you can create and insert logic to save temporary KYC data.
    PegaCLMFS-Work.CaseNavigationChangeStage_ExtData transformIntroduces logic before navigating to the Enrich stage.
    PegaCLMFS-Work.CaseNavigationStageInfoData transformControls which stage to go to after navigation. By default, the application goes to the Enrich stage, but customers can send the case to an intermediate step.
    CaseNavigationCaseListToAbandonMap valueContains the list of subcases that the system withdrew in the Due diligence stage before navigating back to the Enrich stage. You can update this rule to include any other subcases that you want to withdraw before navigation. The subcases that are not in the list remain open after navigation.
    CaseNavigationDataMapping_ExtData transformMaps or sets any properties or logic which you can use after navigating back to the Enrich stage.
    Work-.PolicyMemoryCreator_ExtData transformAn extension point that can be specialized in the implementation layer to perform additional processing while creating the policy memory.
    PegaCLMFS-Work.DetermineSTPModeData transformAn extension point that you can use to customize the logic which determines the STP mode or adds new STP modes. Adding a new STP mode requires you to update the flows to recognize the modes.
  2. Save your changes.

    Note: To better understand how the functionality works, review the UpdateCoreInformation flow action, the CaseNavigationProcessing activity, the DetermineSTPMode data transform, and the KYC case flows. The rules have all the core logic of case navigation that the system needs to obtain the list of subcases to withdraw, change the stage to Enrich, remove the Due diligence stage subcases, create the policy memory, and place the KYC cases into appropriate assignments.

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