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Title page


MDM - Identification Management

Guideline to Software Requirements Specification

Overview

One of the main purposes of the Client Hub is to raise alert for suspect duplicate profiles that may exist within the system for a given party and provide with tools to manage the duplicate profiles (e.g. merge profile). Identification Management process is necessary to support these requirements.

A key component of the Identification Management process is GUID Management. A GUID is an identifier used to tag profile records that potentially belong to the same party. Put another way, a GUID can be viewed as representation of critical data element values that are specific to a Party. The process that evaluates the critical data elements for the population of profile records in order to assign GUID is called the Matching Process.

Purpose

This document describes the Software Requirements for Identification Management by assigning GUID to the profile records maintained within the Client Hub.

Definitions, Acronyms and Abbreviations

The following table describes terms used within this document and a brief definition of each:

Term Definition
Party The Party is a reference to a unique individual, business, or legal entity across the Enterprise regardless of the service provider, geography, or legacy system. This is a logical construct and not a physical realization of the concept.
Profile The Profile is a reference to the Party record at a service provider/user level.
GUID This is a unique identifier that is assigned to a group of profile records to indicate that the profile records potentially belong to one Party. GUID will be assigned to profile records across visibility constraints (across multiple users). This identifier is assigned as a result of a Matching Process.
Matching Process This process will execute matching rules to create clusters or groups of profile records that potentially belong to same Party. The matching process will use values for critical data elements that are specific to each Party.
Critical Data Elements These are attributes on a profile record that help distinguish one Party from another or to match multiple profile records that belong to same Party. Examples of critical data elements are Tax ID, Date of Birth, Date of Death, etc.

References

  • <Document Name and Location>

Use Cases

Use-Case Model Survey

Introduction

The following sections cover use cases within the Identification Management space.

Survey Description

Actor Survey

The following table lists the typical Actors within Business

Actor Name Description
User Business User A business user that establishes and maintains client relationships. They create, build, and develop long-term client relationships. They are responsible for prospecting new clients and managing existing relationships to contribute to the sales goals of the branch. They are responsible for advising client of risks, rewards, benefits, and long-term implications.
Client Hub System CDI Hub System The environment that manages client centric information.
Use Case Survey – Identification Management
Use Case Description
Compute GUID This is a high level use case that will compute GUID for a set of given profile records.
Match Profile Records This use case will execute the Matching Rules to a set of given profile records to create groupings (clusters) of profile records that potentially belong to same Party. This use case will be used by the Compute GUID use case.
Assign GUID This use case will assign a GUID to a given profile or a group of profiles as established by the matching results.
Obtain External Identification Link This use case describes how the Enterprise Data is sent to external vendor to obtain External Identification Link

Diagrams of the Use-Case Model

Guideline- Identification Management -System Requirements wiki 01 394

Assumptions and Dependencies

The key assumptions are as follows:

  • <List of Assumptions and Dependencies>

Requirements

Use-Case Specifications

Compute GUID

Use Case Title: Compute GUID
Use Case Manager: GUID Management
Description: Compute GUID is a high level usecase used to compute GUID for a set of given Profiles. It will invoke other usecases as required in order to complete computation.
Precondition:
  • Client Data records exists in the Client Hub
Post-condition:
  • Profile records within the Client Hub are updated with results of GUID computation via invocation of Assign GUID use case
  • History of any GUID updates is recorded
Actors: Primary Actor: Secondary Actor:    
Client Hub System X      
 
Basic Flow:
Step User Action System Action
1.0 The primary actor invokes the Compute GUID use case for computation of GUID for all profile records on the Client Hub 1. Profiles meeting minimum data requirements for GUID computation are identified.
2. Critical data elements for the identified profiles are validated
3. Matching rules are applied to all the profiles using Match Profile use case to create groups (or clusters) of profile records that should be assigned same GUID.
4. Each group is assigned the GUID generated
5. An execution log is created to record information such as number of records processed, number of GUIDs assigned, time required for the process, etc.
 
Alternative Flows:
     
 
Exception handling:
     
 
Priority:  
Assumptions:  
Questions:  
Issues / Concerns:  

Match Profiles

Use Case Title: Match Profile Records
Use Case Manager: Identification Management
Description: This use case will execute the Matching Rules on a set of profile records to create groupings (clusters) of profile records that potentially belong to same Party.
Precondition:  
Post-condition:
  • Groups of profile records that potentially belong to same Party are created
Actors: Primary Actor: Secondary Actor:    
Client Hub System   X    
 
Basic Flow:
Step User Action System Action
1.0 The use case is invoked by the Compute GUID use case 1. Matching rules are applied to the profile records within each cluster to form groups of profile records that should be assigned same GUID
2. Execution log is updated with appropriate information
 
Alternative Flows:
1.1   1.
 
Exception handling:
     
 
Priority:  
Assumptions:  
Questions:  
Issues / Concerns:  

Obtain External Identification Link

Use Case Title: Obtain External Identification Link
Use Case Manager: GUID Management
Description: This use case will interact with use case of Data Transfer Package to obtain External Identification Links from external vendor
Precondition:
  • Set of Profile records for which External Identification Links are desired, are identified.
Post-condition:
  • All Profile records are assigned External Identification Links.
Actors: Primary Actor: Secondary Actor:    
Client Hub System   X    
 
Basic Flow:
Step User Action System Action
1.0 The use case Obtain External Identification Link is invoked to get link for desired set of Profile records 1. The high level use case Transfer data is invoked that is used to transfer data
2. The set of profile records are passed on to Vendor External Identification Link Management Package and received back with External Identification Link appended to all Profile name address records.
3. The Profile records are then made available for processing External Identification Link by Assign External Identification Link use case.
 
Alternative Flows:
1.1    
 
Exception handling:
1.1a    
 
Priority:  
Assumptions:  
Questions:  
Issues / Concerns:  

Business Scenarios

GUID Computation - Initial Load

When the source data from Enterprise Business Systems is loaded into the staging area then client hub profiles are created. Each profile created in the staging area will be assigned a unique profile id. The goal of the GUID computation process is to assign GUID to each profile. The same GUID assigned to multiple profiles signifies that the profiles belong to the same party based on the matching rules defined.

If minimum requirements for an External Identification Link assignment are met for the profile, the name and address information along with the profile key will be sent to Vendor. Vendor will return the External Link. If minimum requirements for GUID calculation are met, GUID will be computed. For some profiles the data may not be sufficient to obtain the External Identification Link and / or GUID. The GUID values will remain blank in these scenarios.

The following table illustrates the order of invocation of the use cases required for implement the scenario along with corresponding functionality provided by each use case.

Step Use Case Scenario Functionality
1 Create Profile Records Profile records are created in the Staging Area from records received from the source system. A unique Profile Record ID is assigned to every profile record in the Staging Area.
2 Assign External Identification Link For profile records meeting minimum data requirements for External Identification Link assignment, External Identification Links are obtained from Vendor for each name and address combination for every profile record (profile record name address). The records are sent to Vendor as a series of batch files. Vendor appends links to the records and sends information to Firm via data files. The links returned by Vendor are processed and External Identification Links are applied to the profile records for use in GUID computation.
3 Compute GUID For the profile records that meet minimum data requirements for GUID assignment, GUID is calculated by using a set of use cases as described below.
4 Validate Critical Data Elements The critical data elements for the profile records are validated.
5 Match Profile Records Matching Rules are executed to create groupings of profile records that potentially belong to same Party
6 Generate GUID One identifier per group is generated. These identifiers serve as GUIDs.
7 Assign GUID For every group, a GUID is assigned to every profile record within the group.
8 Update Cross Reference The cross reference is updated with appropriate GUID’s for each profile record.
9 Update GUID History History log is updated to record audit tracking information such as date and time stamp and reason for GUID assignment.

GUID Computation - Chaining

When a critical piece of data changes on a profile, GUID may need to be recomputed. This GUID change may trigger GUID re-assignment on other profiles. This dependency scenario is known as chaining. The example below illustrates chaining.

Guideline- Identification Management -System Requirements wiki 02 634

Initially all three records were assigned different GUIDs, which indicates that the profiles represent three different parties. The end user updated the second record by providing the SSN and DOB.

Guideline- Identification Management -System Requirements wiki 03 634

After the change the first record is linked to the second one through the SSN and address. The second and the third records are linked by the name, address, and date of birth. As a result all three records are linked by the same GUID. The chaining effect caused the linkage between record 1 and record 3 even though no data change occurred on these profiles and they represented different parties before the change in the second record.

GUID Computation - Critical Data Element Update

An update to a critical data element can trigger GUID recalculation. In this example the end user enters the SSN for a profile record.

Guideline- Identification Management -System Requirements wiki 04 581

The GUID is recalculated. As a result all five profiles are linked with the same GUID.

Guideline- Identification Management -System Requirements wiki 05 580

The following table illustrates the order of invocation of the use cases required for implement the scenario along with corresponding functionality provided by each use case.

Step Use Case Scenario Functionality
1 Update Profile This use case will update a profile will be invoked by the Client Hub System to record change to SSN for a profile record.
2 Compute GUID As a result of SSN being modified, the profile record will be evaluated to check if it meets minimum data requirements for computation of GUID (if the profile records already has a GUID assigned, then it is assumed that it meets minimum data requirements)
3 Match Profiles Matching Rules are executed to identify a group of profile records to which the updated profile record belongs. (If the profile record at present has a GUID assigned, all profile records within that group are retrieved for re-clustering. Also added to this group are any other profile records that now may be potential candidates for a match based on the newly obtained SSN information). New groups of profile records are created as a result of the Matching Process (it is possible that the group that the profile record currently belongs to does not change).
4 Generate GUID If the groups created as a result of matching warrant new GUID to be assigned, the required number of identifiers is generated.

GUID Computation – External Identification Link Update

External Identification Link change can be initiated from Firm due to a correction on the name and / or profile. The link change can also be initiated from Vendor. In both scenarios if a profile receives an updated maintained External Identification Link, the GUID can be recalculated. This may or may not result in a GUID change.

The following table illustrates the order of invocation of the use cases required for implement the scenario along with corresponding functionality provided by each use case.

Step Use Case Scenario Functionality
1 Update Profile This use case will update a profile and will be invoked by the Client Hub System to record change to Address for a profile record.
2 Assign External Identification Link For each name and changed address combination for the profile record (profile record name address) External Identification Links will be obtained from Vendor in real-time. The links returned by Vendor for newly submitted combinations and any existing External Identification Links are processed and External Identification Links are applied to the profile records for use in GUID computation. (GUID will need to be recomputed only if the External Identification Link has been modified. It is assumed here that the External Identification Link is modified.)
3 Compute GUID As a result of External Identification Link being modified, the profile record will be evaluated to check if it meets minimum data requirements for computation of GUID (if the profile records already has a GUID assigned, then it is assumed that it meets minimum data requirements)
4 Match Profiles Matching Rules are executed to identify a group of profile records to which the updated profile record belongs. (If the profile record at present has a GUID assigned, all profile records within that group are retrieved for re-clustering. Also added to this group are any other profile records that now may be potential candidates for a match based on the newly obtained Link information). New groups of profile records are created as a result of the Matching Process (it is possible that the group that the profile record currently belongs to does not change).
5 Generate GUID If the groups created as a result of matching warrant new GUID to be assigned, the required number of identifiers is generated.

Functionality

Identification Management -GUID Computation

<Matching Rules>

<Critical Data Element list that comprises a Profile>

<Exception Rules>

Reliability

  • <Mean Time Between Failures (MTBF)>
  • <Mean Time To Repair (MTTR) – TBD>

Performance

Batch Mode – GUID Computation

<The performance requirements for Identification Management>

Near Real-time Operation – GUID Computation

<The response time for GUID Computation in online mod>

Capacity

<Volume of Profile records>

Supportability

Development Standards

Exception Handling

Design Constraints

<Provide here>

Online User Documentation and Help System Requirements

<Provide here>

Purchased Components

<Provide here>

Interfaces

User Interfaces

Hardware Interfaces

Software Interfaces

Communications Interfaces

Licensing Requirements

<Provide here>

Legal, Copyright and Other Notices

<Provide here>

Applicable Standards

<Provide here>

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