Attachment J.4_ECMP Solution Use Case Model.doc

Comptroller of the Currency

Office of Management

Business Relations and Project Management Office (PMO)

ECMP

Solution Use Case Model July 8, 2011 Version 2.0 Document Control

Project Name Economics Computing Modernization Project

Project Acronym

ECMP

Document Title ECMP Solution Use Case Model

Document Date July 8, 2011 Document Version 2.0 Table of Contents

Introduction

11.1 Document Purpose, Scope, and Summary

11.2 Project Background

11.2.1 OCC Economics

21.2.2 The Economics Computing Modernization Project

Solution Requirements Overview

42.1 Scope

42.2 Solution Delivery

5Table 2–1 Delivery Phases

52.3 Environments

72.4 Architecture

82.5 Users, Roles, and Permissions

82.6 Analysis

92.6.1 Applications

92.6.2 Data

92.6.3 Programs

Solution Use Case Overview

103.1 Use Case Functional Areas

113.2 Use Case Process Flows

113.2.1 Analysis Use Case Process Flow

123.2.2 ETL Use Case Process Flow

123.2.3 User Data Promotion Use Case Process Flow

Use Case 1: Obtain Data

134.1 Use Case Description

134.2 Actors

144.3 Pre-conditions

144.4 Flow of Events

144.4.1 Basic Flow

154.5 Post-conditions

Use Case 2: Upload Data from Media

165.1

165.2

165.3

175.4

175.4.1

185.4.2 Alternate Flow 1

205.4.3 Alternate Flow 2

235.5

Use Case 3: Upload Data from Web

246.1

246.2

246.3

246.4

246.4.1

256.4.2 Alternate Flow

266.5

Use Case 4: Upload Data from FTP/SFTP

277.1

277.2

277.3

287.4

287.4.1

287.4.2

307.4.3

317.5

Use Case 5: Upload Data from OCC Network Drives

328.1

328.2

328.3

328.4

328.4.1

338.4.2

348.5

Use Case 6: Upload Data from ODS

359.1

359.2

359.3

359.4

359.4.1

369.5

Use Case 7: Load External Data

3710.1

3710.2

3710.3

3810.4

3810.4.1

3810.4.2

3910.5

Use Case 8: Load User Data

4011.1

4011.2

4011.3

4011.4

4011.4.1

4111.5

Use Case 9: Create Data Files

4212.1

4212.2

4212.3

4312.4

4312.4.1

4312.4.2

4412.5

Use Case 10: Create ODS Data Files

4513.1

4513.2

4513.3

4513.4

4513.4.1

4613.5

Use Case 11: QA Data

4714.1

4714.2

4714.3

4714.4

4714.4.1

5014.4.2

5214.5

Use Case 12: Prepare for Analysis

5315.1

5315.2

5315.3

5315.4

5315.4.1

5515.5

Use Case 13: Request System Management Support

5616.1

5616.2

5616.3

5716.4

5716.4.1

5816.5

Use Case 14: Transform Data Files

5917.1

5917.2

5917.3

5917.4

5917.4.1

6017.4.2

6117.5

Use Case 15: Establish External Database Connection

6218.1

6218.2

6218.3

6218.4

6218.4.1

6318.5

Use Case 16: Conduct Analysis

6419.1

6419.2

6419.3

6519.4

6519.4.1

6719.4.2

6819.4.3

6919.5

Use Case 17: Store Analysis Output

7120.1

7120.2

7120.3

7120.4

7120.4.1

7220.5

Use Case 18: Content Promotion

7321.1

7321.2

7321.3

7421.4

7421.4.1

7521.5

Use Case 19: Archive

7622.1

7622.2

7622.3

7622.4

7622.4.1

7722.5

Use Case 20: Administer User Access

7823.1

7823.2

7823.3

7823.4

7823.4.1

7923.5

Use Case 21: Execute Data Request

8024.1

8024.2

8024.3

8024.4

8024.4.1

8224.5

Use Case 22: Execute Storage Request

8325.1

8325.2

8325.3

8325.4

8325.4.1

8425.5

Use Case 23: Execute Software Request

8526.1

8526.2

8526.3

8526.4

8526.4.1

8626.5

Use Case 24: Monitor Solution

8727.1

8727.2

8727.3

8727.4

8727.4.1

8827.5

Use Case 25: System Log-in/Log-out

8928.1

8928.2

9028.3

9028.4

9028.4.1

9128.5

A-1Appendix A Acronyms

B-1Appendix B UML Standards and Notation

C-1Appendix C ECMP Use Case Glossary

D-1Appendix D ECMP Use Case to Tool Mapping

E-1Appendix E ECMP Use Case to Delivery Phase Mapping

List of Figures

6Figure 2–1 ECM Notional Environment Architecture

Figure 2–2 ECM Environment Promotion Model Figure 3–1 ECM Solution Use Case Overview Figure 3–2 Analysis Use Case Process Flow Figure 3–3 ETL Use Case Process Flow Figure 3–4 User Data Promotion Use Case Process Flow Figure 4–1 Use Case 1: Obtain Data Use Case Diagram Figure 4–2 Use Case 1: Obtain Data Basic Flow Activity Diagram Figure 5–1 Use Case 2: Upload Data from Media Use Case Diagram Figure 5–2 Use Case 2: Upload Data from Media Basic Flow Activity Diagram Figure 5–3 Use Case 2: Upload Data from Media Alternate Flow 1 Activity Diagram Figure 5–4 Use Case 2: Upload Data from Media Alternate Flow 2 Activity Diagram Figure 6–1 Use Case 3: Upload Data from Web Use Case Diagram Figure 6–2 Use Case 3: Upload Data from Web Use Basic Flow Activity Diagram Figure 6–3 Use Case 3: Upload Data from Web Alternate Flow Activity Diagram Figure 7–1 Use Case 4: Upload Data from FTP/SFTP Use Case Diagram Figure 7–2 Use Case 4: Upload Data from FTP/SFTP Basic Flow Activity Diagram Figure 7–3 Use Case 4: Upload Data from FTP/SFTP Alternate Flow 1 Activity Diagram Figure 7–4 Use Case 4: Upload Data from FTP/SFTP Alternate Flow 2 Activity Diagram Figure 8–1 Use Case 5: Upload Data from OCC Network Drives Use Case Diagram Figure 8–2 Use Case 5: Upload Data from OCC Network Drives Basic Flow Activity Diagram Figure 8–3 Use Case 5: Upload Data from OCC Network Drives Alternate Flow Activity Diagram Figure 9–1 Use Case 6: Upload Data from ODS Use Case Diagram Figure 9–2 Use Case 6: Upload Data from ODS Basic Flow Activity Diagram Figure 10–1 Use Case 7: Load External Data Use Case Diagram Figure 10–2 Use Case 7: Load External Data Basic Flow Activity Diagram Figure 10–3 Use Case 7: Load External Data Alternate Flow Activity Diagram Figure 11–1 Use Case 8: Load User Data Use Case Diagram Figure 11–2 Use Case 8: Load User Data Basic Flow Activity Diagram Figure 12–1 Use Case 9: Create Data Files Use Case Diagram Figure 12–2 Use Case 9: Create Data Files Basic Flow Activity Diagram Figure 12–3 Use Case 9: Create Data Files Alternate Flow Activity Diagram Figure 13–1 Use Case 10: Create ODS Data Files Use Case Diagram Figure 13–2 Use Case 10: Create ODS Data Files Basic Flow Activity Diagram Figure 14–1 Use Case 11: QA Data Use Case Diagram Figure 14–2 Use Case 11: QA Data Basic Flow Activity Diagram Figure 14–3 Use Case 11: QA Data Alternate Flow Activity Diagram Figure 15–1 Use Case 12: Prepare for Analysis Use Case Diagram Figure 15–2 Use Case 12: Prepare for Analysis Basic Flow Activity Diagram Figure 16–1 Use Case 13: Request System Management Support Use Case Diagram Figure 16–2 Use Case 13: Request System Management Support Basic Flow Activity Diagram Figure 17–1 Use Case 14: Transform Data Files Use Case Diagram Figure 17–2 Use Case 14: Transform Data Files Basic Flow Activity Diagram Figure 17–3 Use Case 14: Transform Data Files Alternate Flow Activity Diagram Figure 18–1 Use Case 15: Establish External Database Connection Use Case Diagram Figure 18–2 Use Case 15: Establish External Database Connection Basic Flow Activity Diagram Figure 19–1 Use Case 16: Conduct Analysis Use Case Diagram Figure 19–2 Use Case 16: Conduct Analysis Basic Flow Activity Diagram Figure 19–3 Use Case 16: Conduct Analysis Alternate Flow 1 Activity Diagram Figure 19–4 Use Case 16: Conduct Analysis Alternate Flow 2 Activity Diagram Figure 20–1 Use Case 17: Store Analysis Output Use Case Diagram Figure 20–2 Use Case 17: Store Analysis Output Basic Flow Activity Diagram Figure 21–1 Use Case 18: Content Promotion Use Case Diagram Figure 21–2 Use Case 18: Content Promotion Basic Flow Activity Diagram Figure 22–1 Use Case 19: Archive Use Case Diagram Figure 22–2 Use Case 19: Archive Basic Flow Activity Diagram Figure 23–1 Use Case 20: Administer User Access Use Case Diagram Figure 23–2 Use Case 20: Administer User Access Basic Flow Activity Diagram Figure 24–1 Use Case 21: Execute Data Request Use Case Diagram Figure 24–2 Use Case 21: Execute Data Request Basic Flow Activity Diagram Figure 25–1 Use Case 22: Execute Storage Request Use Case Diagram Figure 25–2 Use Case 22: Execute Storage Request Basic Flow Activity Diagram Figure 26–1 Use Case 23: Execute Software Request Use Case Diagram Figure 26–2 Use Case 23: Execute Software Request Basic Flow Activity Diagram Figure 27–1 Use Case 24: Monitor Solution Use Case Diagram Figure 27–2 Use Case 24: Monitor Solution Basic Flow Activity Diagram Figure 28–1 Use Case 25: System Log-in/Log-out Use Case Diagram Figure 28–2 Use Case 25: System Log-in/Log-out Basic Flow Activity Diagram Figure 28–3 ECMP Use Case to Delivery Phase Mapping E-1

List of Tables

5Table 2–1 Delivery Phases

Table A–1 Acronyms A-1 Table B-1 Use Case Terms and Definitions B-1 Table B-2 UML Symbols and Definitions B-1 Table D-1 ECMP Solution Use Case Mapping D-1

1 Introduction

1.1 Document Purpose, Scope, and Summary

This document defines the solution use cases for the Office of the Comptroller of the Currency’s (OCC) Economics Computing Modernization Project (ECMP). The ECMP solution use case model describes the to-be user-to-solution interactions. The use case model consists of a single use case for each distinct activity relative to the solution; it does not include details of business processes that occur without solution interaction unless required for additional clarity.

With few exceptions, the use case model does not specify the data used in activities or the applications used to perform activities. The activities depicted in the use cases may occur across many data sets and within many applications and the solution should support that assumption. Information on the applications and data that will be included in the solution is provided in the ECMP Technical and Performance Requirements.

The remainder of section 1 details the project background. Section 2 provides an overview of the solution requirements, section 3 provides an overview of the solution use cases, and sections 4 through 28 document the use case specifications for ECMP. Each first-level heading (e.g., 2, 3, and 4) represents a single use case.

1.2 Project Background

1.2.1 OCC Economics

The primary mission of Economics within the OCC is to deliver economic and quantitative analysis to policymakers and bank examiners. OCC Economics supports on-site and off-site supervision of banks, provides current economic analysis, supports policy development, and conducts original research to support the OCC mission of ensuring a safe and sound national banking system.

Examples of activities performed by OCC Economics include:

· Examination of banks’ use of financial models

· Fair-lending screens and fair-lending exams

· Examiner training and industry outreach

· Research on current and emerging issues in banking, finance, and economics

· Participation in international and interagency working groups

· Analysis and briefings focused on assessment of risks in the aggregate, both domestic and international

· Interagency policy development and coordination

· Economic impact analyses

To fulfill these responsibilities, OCC Economics employs a team of economists, mathematicians, statisticians, financial and policy analysts, and technology professionals to perform highly complex, resource-intensive data processing and financial modeling. Given the nation’s dynamic banking system and its increasing exposure to international developments, the assessment of risk in the banking system and the associated responsibilities for economic analysis require sophisticated data processing, data storage, and computing systems. Moreover, to keep pace with changes in the environment, these resources must (a) change, expand and, or contract as necessary; (b) support a diverse set of needs and applications; and (c) be maintained, integrated, organized, and secured to ensure OCC Economics is able to fulfill its current mission as well as meet increasingly complex challenges.

OCC Economics has outgrown its current computing infrastructure, which consists of individualized workstations, servers, and highly distributed storage resources. As data volumes and modeling requirements continue to expand, this infrastructure fails to meet the needs of OCC Economics. In addition, the current infrastructure will likely pose increasing risks of several types, including unwanted duplication of large data sets and possible substandard conformance with information technology (IT) security requirements.

1.2.2 The Economics Computing Modernization Project

The OCC has initiated ECMP to address emerging requirements that today’s infrastructure environment cannot support. In mid-2009, the OCC initiated the project with OCC Information Technology Services (ITS). OCC’s Business Relations and Project Management Office (PMO) was engaged in the project in December of 2009.

The primary strategic objective of ECMP is to create an infrastructure and associated management systems for OCC Economics computing that will mitigate computing risks, provide a scalable approach to OCC Economics’ rapidly expanding data and application requirements, and support OCC Economics’ mission. Specifically, the project will:

· Identify a highly available, redundant, externally hosted solution that ensures high performance even for mobile users and supports all current applications without unwanted data or hardware redundancy

· Implement a scalable solution to accommodate large and/or unexpected requirements for additional data retention and analysis capacity, as well as additional users and applications

· Utilize a security strategy that ensures that sensitive data is adequately protected and that all data is backed up and retrievable on a pre-defined schedule The scope of ECMP is limited to the technical solution that meets the business objectives described in the ECMP Business Requirements Document (BRD). Improvements or changes to OCC Economics’ business processes not necessitated by the solution are not in scope. Rationalization of the OCC Economics’ tools and data sets is also not in scope, except that the solution may provide OCC Economics with new techniques to manage data and applications.

2 Solution Requirements Overview

This overview provides a high-level context for the requirements in this document. The detailed solution processes referenced herein can be found in the ECMP Solution Use Case Model.

The OCC requires an externally hosted solution to support OCC Economics computing needs. The solution provider will have experience with hosting federal clients, be able to meet the OCC security requirements, and be experienced in providing end-to-end support of a hosted solution (including user support). In addition, the provider will have experience implementing a computing environment for clients conducting analysis against very large data sets using both SAS and non-SAS applications.

2.1 Scope

The processes deemed in scope for the ECM solution include:

· Obtaining Data

· Loading Data

· Preparing Data

· Conducting Analysis

· Managing Data

· System Administration

2.2 Solution Delivery

The OCC anticipates delivery of the solution in three phases, as detailed in Table 2–1, subsequent to the successful completion of a pilot . Phases 1 and 2 are implementation phases; Phase 3 is an expansion of the implementation completed in Phases 1 and 2 to include all OCC Economics users and data. It should be understood that Phases 2 and 3 incorporate the previous phase’s requirements and functionality. This document defines the requirements for all three phases of delivery. Requirements specific to Phase 2 or 3 are indicated as such.

Table 2–1 Delivery Phases

In this initial phase, users will connect directly to the solution’s infrastructure, which will be a part of the OCC network. Users may also connect from their OCC desktop.

In this phase, the user will establish a connection (via VPN or some other form of connection utility) from their OCC desktop to their virtual desktop that will be part of the solution. This connection supplements the connections established in Phase 1.

2.3 Environments

The OCC anticipates the solution will consist of the following five data content environments (hereafter referred to as environments)

· Development

· Staging

· Production

· User

· Collaboration It is important to note that the OCC does not envision a traditional physical architecture with completely segregated environments. The storage arrays of each environment must be logically separate (i.e. separate logical units [LUN]) however, all other architectural components, such as the computing and networking resources, can be shared. Data analysis will be conducted in all five environments. The following figure is a notional representation of the architecture envisioned for the ECM solution.

Figure 2–1 ECM Notional Environment Architecture

The development, staging, and production environments will be used to promote content through a standard configuration management process. Content in the production environment will be available to all users on a read-only basis and only the OCC System Managers will have full control over the content.

The user environment will be an environment partitioned for individual users. In this environment users will be able to read and execute jobs against production data, but they will only be able to save results into the partitioned user or collaboration environments. Also, in this environment users will be able to manipulate any content they obtain and load themselves into either the user or collaboration environment storage areas.

The OCC requires a shared storage area, herein referred to as the collaboration environment, in which users can share their files and conduct joint analysis. Users will move their files from their personal workspace in the user environment to folders in the collaboration environment established on their behalf by the OCC system manager. These folders will be accessible to multiple users (as determined when the folder is established and amended as necessary) according to the file/folder permissions set by the OCC system manager. This environment is a collaboration space and contains data that is typically associated with narrowly focused projects or still in an early development phase, as contrasted with the production environment which contains data that is stable, has formal production processes, and may be shared more broadly.

In addition, the collaboration environment is the environment from which the user’s files will be retrieved for promotion through the development and staging environments to the production environment, as requested. The users will determine which data in the collaboration environment to retrieve for promotion and will make a request for promotion to the data manager. The data manager will retrieve and promote the content to the development environment. The data manager will then promote it to the staging environment and submit a request to the system manager for promotion to promote it to the production environment . Although described herein as a separate environment, OCC is open to alternate methods of providing this type of work area. The following figure depicts the promotion model envisioned for the ECM solution.

Figure 2–2 ECM Environment Promotion Model

2.4 Architecture

The OCC expects that the solution will include both physical and virtual components. The expectation is that all functions and components of the solution that require high input/output (I/O) support, such as SAS, will be physical to the degree necessary to accommodate the I/O requirements described in the ECMP Technical and Performance Requirements. Further, the OCC expects that virtual desktops will be deployed for all solution users. Beyond these two expectations, the OCC is indifferent to the mix of virtual and physical components employed by the solution provider as long as the performance requirements are met.

2.5 Users, Roles, and Permissions

At the completion of all three phases, OCC envisions up to 150 users will execute the Obtain Data, Load Data, and Prepare Data processes to populate data into their personal workspace in either the user or collaboration environments. In addition, these users execute the Conduct Analysis processes, which can also result in the creation of data. Their individual data will be stored in either the user environment or the collaboration environment. They may execute analysis against their own data in either of these environments or against data in the production environment on a read-only basis.

In addition, the OCC envisions up to 20 users designated as data managers who will execute the Obtain Data, Load Data, and Prepare Data processes for all production data. This represents the majority of source data that will be housed in the solution. These users will have primary responsibility for promoting content from the development to the staging environment and for retrieving user content from the collaboration environment and promoting it through the development environment to the staging environment.

System administration will be performed by the OCC system manager role (with functions described in the use case models), which will be fulfilled either by an individual or a small group of two to five users. The system manager will have sole responsibility for promoting content from the staging to the production environment. In addition, he will have secondary responsibility for promoting content from the development to the staging environment and for retrieving user content from the collaboration environment and promoting it through the development environment to the staging environment. Alternately, the OCC system manager may simply be the interface to the solution provider who actually manages the solution. This decision will be made at the time of solution implementation and the OCC will welcome input from the solution provider.

2.6 Analysis

OCC Economics conducts independent original research, examination of banks’ use of financial models, and policy analysis, some of which may be ad hoc. This type of work generally concludes with the production of research papers, policy papers or recommendations, supervisory findings and presentations. OCC Economics also conducts operational, repeatable analysis that typically results in quarterly reports, data sets used in analysis, and/or models used in analysis; however, unlike most operational reports, these periodic reports are often modified through their lifecycle.

2.6.1 Applications

The primary applications used by OCC Economics are from the SAS product portfolio. In addition, Stata, Matlab, R, and EViews are used extensively . The solution will support the SAS portfolio during Phase 1 and all other applications in Phase 2. These applications (except for SAS, which resides on both clients and servers) are currently client-based. They may be run optimally as server-based and the OCC is open to solutions that may increase performance, promote cost effectiveness, and ease maintenance . Some of these applications are available in both Windows and Linux distributions.

2.6.2 Data

Data sets range in size up to 20 terabytes (TB) and most fall into three data families . The solution will store sensitive data including bank examination data and personally identifiable information (PII) and appropriate security and safeguards must be implemented to accommodate it in accordance with OCC security requirements. Additional detail on the amount of data the solution must accommodate can be found in the Technical and Performance Requirements document.

2.6.3 Programs

OCC Economics programs employ all Base SAS procedures. In general, the majority of OCC Economics analytic programs import source data that is recombined with other source data, perform at least one sort on the data, use data step processing, and employ macros to a high degree. Many of the OCC Economics users’ analytic programs are highly sequential and can be optimized for parallel processing to a limited degree. (In such programs, Step B cannot run until Step A has completed because the output of Step A is an input to Step B.) All of these aspects of the OCC Economics analytic programs must be accommodated in the solution.

3 Solution Use Case Overview

3.1 Use Case Functional Areas

The Economics Computing Modernization (ECM) solution use cases in this document fall into six process areas:

· Obtaining Data

· Loading Data

· Preparing Data

· Conducting Analysis

· Managing Data

· System Administration Figure 3–1 provides an overview of the use cases, organized according to process area. Each box represents a use case. The notation “PF” indicates the primary, or basic, flow and the primary actor is given. “AF” indicates the alternate flow and the primary actor for each alternate flow is given.

Figure 3–1 ECM Solution Use Case Overview

3.2 Use Case Process Flows

The majority of use cases are typically executed in a sequential order as indicated in the following three process flows: Analysis; Extract, Transform, and Load (ETL); and User Data Promotion.

3.2.1 Analysis Use Case Process Flow

Figure 3–2 Analysis Use Case Process Flow

3.2.2 ETL Use Case Process Flow

Figure 3–3 ETL Use Case Process Flow

3.2.3 User Data Promotion Use Case Process Flow

Figure 3–4 User Data Promotion Use Case Process Flow

The symbols used to document the use cases are defined in Appendix B. Use-case terminology is defined in the glossary found in Appendix C.

4 Use Case AUTONUMLGL \* Arabic \e : Obtain Data

4.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to obtain data from various sources. Five specific instances of obtaining data are represented by the following use cases, which are detailed in sections 5 through 9:

· Upload (to the Solution) Data from file transfer protocol/secure file transfer protocol (FTP/SFTP)

· Upload Data from Media

· Upload Data from OCC Network Drives

· Upload Data from Web

· Upload Data from OCC’s operational data store (ODS) Database

Figure 4–1 Use Case 1: Obtain Data Use Case Diagram

4.2 Actors

There are two primary actors for this use case, the data manager and the analyst.

4.3 Pre-conditions

The primary actors must have a solution user account with the permissions necessary to perform the required activities. The data manager must have access to the development environment, and the analyst must have access to his personal user environment and/or the collaboration environment.

4.4 Flow of Events

4.4.1 Basic Flow

The basic flow represents the high-level view of obtaining data for use in the ECM solution. The analyst/data manager determines the data need and obtains the data from the source using the appropriate method. Further details are provided in the specific use cases in sections 5 through 9.

Figure 4–2 Use Case 1: Obtain Data Basic Flow Activity Diagram

4.5 Post-conditions

Data has been obtained from the specified data source and saved to the ECM solution.

5 Use Case AUTONUMLGL \* Arabic \e : Upload Data from Media

5.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to obtain data from a data vendor, using media such as a hard drive or disk.

Figure 5–1 Use Case 2: Upload Data from Media Use Case Diagram

5.2 Actors

There are three actors for this use case. The three primary actors are the data vendor, data manager and the analyst. The secondary actor is the data vendor.

5.3 Pre-conditions

The data manager and the analyst must have a solution user account with the permissions necessary to perform the required activities. The data manager must have access to the development environment, an established method of submitting requests to the ECM solution to initiate the activity, and access to the solution interface. The analyst must have access to his personal user environment and/or the collaboration environment and access to the solution interface.

5.4 Flow of Events

5.4.1 Basic Flow

The basic flow represents how the data manager obtains data for use in the ECM solution from a data vendor via media such as a hard drive or disk. The data manager initiates a request through the ECM solution, which then requests the data from the vendor. Once the vendor has supplied the data to the solution and it has been uploaded to the development environment, the data manager views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the upload is repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 5–2 Use Case 2: Upload Data from Media Basic Flow Activity Diagram

5.4.2 Alternate Flow 1

This alternate flow also represents how the data manger obtains data for use in the ECM solution from a data vendor via media such as a hard drive or disk; the distinction is that the vendor initiates the action by sending the data to the data manager directly. The data manager then sends the media to the ECM solution. Once the vendor has uploaded the data to the development environment, the data manager views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the upload is repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 5–3 Use Case 2: Upload Data from Media Alternate Flow 1 Activity Diagram

5.4.3 Alternate Flow 2

The alternate flow represents how the analyst obtains data for use in the ECM solution from a data vendor via media such as a hard drive or disk. The analyst initiates a request to the data vendor who returns the requested data to the analyst. Once the vendor has supplied the data to the analyst and it has been uploaded to either the user or collaboration environment, the analyst views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the upload is repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data is deleted.

Figure 5–4 Use Case 2: Upload Data from Media Alternate Flow 2 Activity Diagram

5.5 Post-conditions

Data has been obtained from the specified data source and saved to the ECM solution. Unwanted interim data has been deleted.

6 Use Case AUTONUMLGL \* Arabic \e : Upload Data from Web

6.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to obtain data from the web.

Figure 6–1 Use Case 3: Upload Data from Web Use Case Diagram

6.2 Actors

There are three actors for this use case. The two primary actors are the data manager and the analyst. The secondary actor is the web.

6.3 Pre-conditions

The primary actors must have a solution user account with the permissions necessary to perform the required activities, an active internet connection, and access to the solution interface. The data manager must have access to the development environment and the analyst must have access to his personal user environment and/or the collaboration environment.

6.4 Flow of Events

6.4.1 Basic Flow

The basic flow represents how the data manager obtains data for use in the ECM solution via the web. The manager sends a command to the web to create the desired data set. Once the web creates the data set and sends it to the development environment, the data manager views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the use case ends and the entire use case is restarted and repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 6–2 Use Case 3: Upload Data from Web Use Basic Flow Activity Diagram

6.4.2 Alternate Flow

The alternate flow represents how the analyst obtains data for use in the ECM solution via the web. The distinction in the alternate flow, in addition to a different primary actor, is that the analyst uploads the data to either the user or collaboration environment of the solution.

The analyst sends a command to the web to create the desired data set. Once the web creates the data set and sends it to the specified environment, the analyst views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the use case ends and the entire use case is restarted and repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 6–3 Use Case 3: Upload Data from Web Alternate Flow Activity Diagram

6.5 Post-conditions

Data has been obtained from the specified data source and saved to the ECM solution. Unwanted interim data has been deleted.

7 Use Case AUTONUMLGL \* Arabic \e : Upload Data from FTP/SFTP

7.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to obtain data from a data vendor via FTP/SFTP.

Figure 7–1 Use Case 4: Upload Data from FTP/SFTP Use Case Diagram

7.2 Actors

There are three actors for this use case. The two primary actors are the data manager and the analyst. The secondary actor is the data vendor.

7.3 Pre-conditions

The primary actors must have a solution user account with the permissions necessary to perform the required activities. The data manager must have access to the development and collaboration environments, an established method of submitting requests to the ECM solution to initiate the activity, and access to the solution interface. The analyst must have access to his personal user environment and/or the collaboration environment and access to the solution interface.

7.4 Flow of Events

7.4.1 Basic Flow

The basic flow represents how the data manager obtains data for use in the ECM solution from a data vendor via FTP/SFTP. The data manager initiates a command through the ECM solution, which then sends the command to the data vendor. Once the vendor supplies the data to the solution and it is uploaded to the development environment, the data manager views the results in the solution interface and confirms the upload was successful. If the up-load was unsuccessful, the entire use case is repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 7–2 Use Case 4: Upload Data from FTP/SFTP Basic Flow Activity Diagram

7.4.2 Alternate Flow 1

This alternate flow represents how the data manager obtains data for use in the ECM solution from a data vendor via FTP/SFTP. The distinction in this alternate flow is that the data manager uploads the data to the collaboration environment of the solution for use by individual users.

The data manager initiates a command through the ECM solution, which then sends the command to the data vendor. Once the data has been supplied by the vendor back to the solution and uploaded to the collaboration environment, the data manager views the results in the solution interface and confirms the up-load was successful. If the upload was unsuccessful, the use case ends and the entire use case is restarted and repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 7–3 Use Case 4: Upload Data from FTP/SFTP Alternate Flow 1 Activity Diagram

7.4.3 Alternate Flow 2

This alternate flow represents how the analyst obtains data for use in the ECM solution from a data vendor via FTP/SFTP. The distinction in this alternate flow, in addition to a different primary actor, is that it is the analyst uploads the data to either the user or collaboration environment of the solution.

The analyst initiates a command through the ECM solution, which then sends the command to the data vendor. Once the data has been supplied by the vendor back to the solution and uploaded to the specified environment, the analyst views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the use case ends and the entire use case is restarted and repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 7–4 Use Case 4: Upload Data from FTP/SFTP Alternate Flow 2 Activity Diagram

7.5 Post-conditions

Data has been obtained from the specified data source and saved to the ECM solution. Unwanted interim data has been deleted.

8 Use Case AUTONUMLGL \* Arabic \e : Upload Data from OCC Network Drives

8.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to obtain data from an OCC network drive.

Figure 8–1 Use Case 5: Upload Data from OCC Network Drives Use Case Diagram

8.2 Actors

There are two primary actors for this use case, the data manager and the analyst.

8.3 Pre-conditions

The primary actors must have a solution user account with the permissions necessary to perform the required activities, access to the OCC network drives, and access to the solution interface. The data manager must have access to the development environment and the analyst must have access to his personal user environment and/or the collaboration environment.

8.4 Flow of Events

8.4.1 Basic Flow

The basic flow represents how the data manager obtains data for use in the ECM solution from the OCC network drives. The data manager sends a command to the solution to obtain the data from the network drive. Once the data set has been retrieved to the development environment, the data manager views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the use case ends and the entire use case is restarted and repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 8–2 Use Case 5: Upload Data from OCC Network Drives Basic Flow Activity Diagram

8.4.2 Alternate Flow

The alternate flow represents how the analyst obtains data for use in the ECM solution from the OCC network drives. The distinction in the alternate flow, in addition to a different primary actor, is that the analyst uploads the data to either the user or collaboration environment of the solution.

The analyst sends a command to the solution to obtain the data from the network drive. Once the data set has been retrieved to the specified environment, the analyst views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the use case ends and the entire use case is restarted and repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 8–3 Use Case 5: Upload Data from OCC Network Drives Alternate Flow Activity Diagram

8.5 Post-conditions

Data has been obtained from the specified data source and saved to the ECM solution. Unwanted interim data has been deleted.

9 Use Case AUTONUMLGL \* Arabic \e : Upload Data from ODS

9.1 Use Case Description

This use case represents how data managers interact with the ECM solution to obtain data from the OCC ODS. The ODS is the source for Bank Call data, Federal Financial Institutions Examination Council (FFIEC) 009 data, Y-10 and Y-9 Holding Company data and additional data sets may be added.

Figure 9–1 Use Case 6: Upload Data from ODS Use Case Diagram

9.2 Actors

There are two actors for this use case. The primary actor is the data manager. The secondary actor is the ODS.

9.3 Pre-conditions

The primary actor must have a solution user account with the permissions necessary to perform the required activities, an established method of submitting requests to the ECM solution to initiate the activity, access to the solution interface, and access to the development environment.

9.4 Flow of Events

9.4.1 Basic Flow

The basic flow represents how the data manager obtains data for use in the ECM solution from the ODS. The data manager initiates a command through the ECM solution which then sends the command to the ODS. Once the data has been supplied by the ODS back to the solution and uploaded to the development environment, the data manager views the results in the solution interface and confirms the upload was successful. If the upload was unsuccessful, the use case ends and the entire use case is restarted and repeated until success is achieved. Once the upload is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 9–2 Use Case 6: Upload Data from ODS Basic Flow Activity Diagram

9.5 Post-conditions

Data has been obtained from the specified data source and saved to the ECM solution. Unwanted interim data has been deleted.

10 Use Case AUTONUMLGL \* Arabic \e : Load External Data

10.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to load data obtained via any of the methods referenced in Use Case 1: Obtain Data

Figure 10–1 Use Case 7: Load External Data Use Case Diagram

10.2 Actors

There are two primary actors for this use case, the data manager and the analyst.

10.3 Pre-conditions

The primary actors must have a solution user account with the permissions necessary to perform the required activities and access to the solution interface. The data manager must have access to the development environment and the analyst must have access to his personal user environment and/or the collaboration environment.

10.4 Flow of Events

10.4.1 Basic Flow

The basic flow represents how the data manager loads external data to the ECM solution. The data manager initiates a command to the ECM solution to run the load process. Once the data has been loaded to the solution’s development environment, the data manager views the results in the solution interface and confirms the load was successful. If the load was unsuccessful, the load is repeated until success is achieved. Once the load is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 10–2 Use Case 7: Load External Data Basic Flow Activity Diagram

10.4.2 Alternate Flow

The alternate flow represents how the analyst loads external data to the ECM solution. The distinction in this alternate flow, in addition to a different primary actor, is that the analyst loads the data to either the user or collaboration environment of the solution.

The analyst initiates a command to the ECM solution to run the load process. Once the data has been loaded to the specified solution environment, the analyst views the results in the solution interface and confirms the load was successful. If the load was unsuccessful, the load is repeated until success is achieved. Once the load is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted.

Figure 10–3 Use Case 7: Load External Data Alternate Flow Activity Diagram

10.5 Post-conditions

Data has been loaded and saved to the ECM solution. Unwanted interim data has been deleted.

11 Use Case AUTONUMLGL \* Arabic \e : Load User Data

11.1 Use Case Description

This use case represents how data managers interact with the ECM solution to load data obtained from an analyst. The data resides in the collaboration environment and is the result of either the data obtainment or the analytical processes executed by the analyst. The analyst requests that this data be loaded to the development environment for future promotion to the production environment, where it could be viewed by other analysts, or to the collaboration environment, where it could be used by other analysts.

Figure 11–1 Use Case 8: Load User Data Use Case Diagram

11.2 Actors

There is one primary actor for this use case, the data manager.

11.3 Pre-conditions

The data manager must have a solution user account with the permissions necessary to perform the required activities, access to the solution interface, access to the development and collaboration environments, and must have an established method of sending and receiving requests to initiate and close this use case.

11.4 Flow of Events

11.4.1 Basic Flow

The basic flow represents how the data manager loads user data to the ECM solution. The data manager will receive a request to load data for them into the development environment for eventual promotion to production (see section 21).The data manager then initiates a command to the ECM solution to run the load process. Once the data has been loaded to the solution’s development environment, the data manager views the results in the solution interface and confirms the load was successful. If the load was unsuccessful, the load is repeated until success is achieved. Once the load is deemed successful, the final data is saved to the solution and any unwanted interim data created is deleted. The data manager will alert the analyst that the load was successful.

Figure 11–2 Use Case 8: Load User Data Basic Flow Activity Diagram

11.5 Post-conditions

User data has been loaded and saved to the ECM solution. Unwanted interim data has been deleted. Analyst has been notified that their data is available.

12 Use Case AUTONUMLGL \* Arabic \e : Create Data Files

12.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to create data files from the data previously loaded to the solution.

Figure 12–1 Use Case 9: Create Data Files Use Case Diagram

12.2 Actors

There are two primary actors for this use case, the data manager and the analyst.

12.3 Pre-conditions

The primary actors must have a solution user account with the permissions necessary to perform the required activities and access to the solution interface. The data manager must have access to the development environment and the analyst must have access to his personal user environment and/or the collaboration environment. SAS software must be available for use in data file creation

12.4 Flow of Events

12.4.1 Basic Flow

The basic flow represents how the data manager creates data files from external data previously loaded to the ECM solution. The data manager initiates a command to the ECM solution to run the creation scripts. Once the files have been created in the solution’s development environment, the data manager views the files and confirms the creation was successful. If the creation was unsuccessful, the file creation scripts are updated and the use case is re-run until success is achieved. Once the files are successfully created, the metadata is set and the final files are saved to the solution with any unwanted interim files deleted.

Figure 12–2 Use Case 9: Create Data Files Basic Flow Activity Diagram

12.4.2 Alternate Flow

The alternate flow represents how the analyst creates data files from external data previously loaded to the ECM solution. The distinction in this alternate flow, in addition to a different primary actor, is that the analyst creates the files in either the user or collaboration environment of the solution.

The analyst initiates a command to the ECM solution to run the creation scripts. Once the files have been created in the specified solution environment, the analyst views the files and confirms the creation was successful. If the creation was unsuccessful, the file creation scripts are updated and the use case is re-run until success is achieved. Once the files are successfully created, the metadata is set and the final files are saved to the solution with any unwanted interim files deleted.

Figure 12–3 Use Case 9: Create Data Files Alternate Flow Activity Diagram

12.5 Post-conditions

Data files have been created and saved to the ECM solution. Unwanted interim data has been deleted. Metadata has been set.

13 Use Case AUTONUMLGL \* Arabic \e : Create ODS Data Files

13.1 Use Case Description

This use case represents how analysts interact with the ECM solution to create data files from the ODS data.

Figure 13–1 Use Case 10: Create ODS Data Files Use Case Diagram

13.2 Actors

There are two actors for this use case. The primary actor is the analyst and the secondary actor is the ODS.

13.3 Pre-conditions

The primary actor must have a solution user account with the permissions necessary to perform the required activities, an established method of submitting requests to the ECM solution to initiate the activity, access to the solution interface, and access to his personal user environment and the ODS.

13.4 Flow of Events

13.4.1 Basic Flow

The basic flow represents how the analyst creates data files from data in the ODS. The analyst initiates a command through the ECM solution, which then sends the command to the ODS. Once the files have been created, they are displayed in the solution’s user environment and the analyst views the files and confirms the creation was successful. If the creation was unsuccessful, the file creation scripts are updated and the use case is re-run until success is achieved. Once the files are successfully created, the metadata is set and the final files are saved to the solution with any unwanted interim files deleted.

Figure 13–2 Use Case 10: Create ODS Data Files Basic Flow Activity Diagram

13.5 Post-conditions

Data files have been created from the ODS and saved to the ECM solution. Unwanted interim data has been deleted. Metadata has been set.

14 Use Case AUTONUMLGL \* Arabic \e : QA Data

14.1 Use Case Description

This use case represents how data managers and analysts interact with the ECM solution to perform quality assurance (QA) on the data in the files previously created in the solution.

Figure 14–1 Use Case 11: QA Data Use Case Diagram

14.2 Actors

There are two primary actors for this use case, the data manager and the analyst.

14.3 Pre-conditions

The primary actors must have…