Creating a new KYC due diligence case in CLM

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Creating a new KYC due diligence case in CLM

Description Creating a new KYC due diligence case in CLM
Version as of 8.5
Application Client Lifecycle Management
Capability/Industry Area Financial Services



Enter your topic description[edit]

This article seeks to guide an implementer through the creation of a new KYC due Diligence case to extend from the equivalent cases provided by default with CLM.

Use case examples[edit]

An important aspect of onboarding a new customer is assessing their trustworthiness. Pega Client Lifecycle Management for Financial Services provides several cases that are designed to collect due diligence information.

If you have additional information that you need to collect, you can create a new sub-case based on existing KYC due diligence sub-cases. To add a new subcase to the KYC due diligence case, carry out the following tasks. The following tasks serve as an example of how you can add a new due diligence section, Miscellaneous, to the Due Diligence stage. The example section that you add contains a single sub-case for collecting Crown Dependencies and Overseas Territories (CDOT) regulation information.

Steps to build a new KYC due diligence case[edit]

Creating a subclass that contains reusable assets[edit]

Create a PegaCLMFS-Work-Misc sub-class to contain reusable assets associated with the new sub-case.

  1. In Dev 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.
  5. Click Create and open.
  6. Click Save.

Creating a sub-class to contain specialization rules for the new regulations[edit]

Create a sub-class named PegaCLMFS-Work-Misc-CDOT to contain the specialization for the Crown Dependencies and Overseas Territories (CDOT) regulations.

  1. In Dev 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.
  5. Click Create and open.
  6. Click Save.

Including the CDOT work types and creating a related data transform[edit]

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

  1. In the Dev Studio header search text field, enter pyDefault, and select the PegaCLMFS-Work-CLM case type rule.
  2. Save the rule into your implementation layer. For additional information about locked and unlocked rulesets, see Copying a rule or data instance.
  3. In the Child case types section, click Add a row.
  1. Enter PegaCLMFS-Work-Misc as the name.
  2. Click the Data propagation for the PegaCLMFS-Work-Misc case type.
  3. Click Submit.
  4. Click Save.

Adding work parties for the new Miscellaneous case type[edit]

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

  1. In the Dev Studio header search text field, enter pyCaseManagementDefault, and select the PegaCLMFS-Work-CLM case type rule.
  2. Save the rule into your implementation layer. For additional information about locked and unlocked rulesets, see Copying a rule or data instance.
  3. In the List of valid parties section, click Add a row for each new work party that you want to add.
  1. Enter names for the new work parties, for example, Misc, MiscManager, and MiscReview.
  2. Click Save.

Creating a flow diagram for the new due diligence subcase[edit]

You must apply some flow logic to your new sub-case. In this example, you will create a flow that prevents the sub-case from completing until the parent KYC cases are complete.

  1. In Dev 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 KYC cases are complete.
  5. Include the Misc flow in Due Diligence stage and create when rules and service rules to check when the Misc flow has to be initiated.

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

Creating an activity to reroute workbaskets[edit]

Create an activity that checks for a valid work party role. If the party role is available on the case then the activity checks for the default workbasket that is associated with that work party, and assigns the assignment to that work party. If the work party role is not available on the case, then the case is routed 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 the pyWorkParty(SSManager) property rule for a routing workbasket name and assigns the assignment accordingly. If pyWorkParty(SSManager) is not available, then the assignment gets routed to routing_error@clmfs.

  1. In the Dev 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.
  4. Click Create and open.
  5. Edit the conditions for the when rules, as necessary.
  6. Click Save.

Creating a data transform to populate a list of subcases[edit]

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

  1. In the Dev Studio header search text field, enter PopulateTaxCasesList and select the PegaCLMFS-Work-CLM data transform rule.
  2. Click Save as to copy the rule.
  3. In the Label field, enter PopulateMiscCasesList.
  4. Click Create and open.
  5. Edit the actions, as necessary.
  6. Click Save.

Results[edit]

The new KYC Case for CDOT should now be available for use in the Due Diligence Stage of the Customer Journeys