SmartSearch - Site Admin Guide

[jim.farrell]

Background

SmartSearch is one of the UK’s leading suppliers of Electronic Identification and Verification (EID&V) services.  This integration connects your Xplan site to an existing SmartSearch account to facilitate the processing of UK Individual AML checks.

The purpose of this article is explain the steps needed to configure the integration.  Only a couple of these steps will be the responsibility of the client, (until such a time that the process has been streamlined), but understanding the full set up will be useful for site administrators.

Before you start

We recommend that you please read the whole guide before you start configuring your Xplan site.  There are dependencies between different elements of the configuration that are not immediately obvious - but that may influence decision / activity later in the guide.

Prerequisites

• The client needs an existing account at SmartSearch.  For now Iress will manage this set up so the external account will need to be communicated to Iress.
• You will need Xplan site admin access to configure the site.
• You will need to raise a tickets for Iress to link the external id to the internal group(s) (via XPI), and to manage toggles (via SDSRE).
• You will access to update the API Key Portal.
• As the site switch on is largely managed by Iress, the client will need to agree to sign up to the standard integration client terms.

There are 8 steps in this process

Ref	Step	System	Owner	Frequency
1	EID&V Screen	Xplan	Xplan Site Admin	Once per site
2	Add Smartsearch Check Option	Xplan	Iress Product Team	Once per site
3	Group Config	Xplan	Xplan Site Admin	Once per site
4	Results Mapping	Xplan	Iress Product Team	Once per site
5	API Key Access	API Key Portal	Iress Product Team	Once per site
6	Configuration toggle	SDSRE request	Iress Product Team	Once per site
7	Store external credentials	XPI request	Iress Product Team	Per external SmartSearch a/c
8	Adding User to Group	Xplan	Xplan Site Admin	Per external SmartSearch a/c

Important information: The integration has been built to utilise  the existing Xplan EID&V screens.  There is great benefit in doing so as this utilises Xplan’s built in security and access controls and will also allow the seamless transition to a new provider and visibility of historic checks.  

It does mean however that there are fields in the configuration screens that are not used specifically by SmartSearch but still need to be populated - and some that can simply be left blank.

Where screen paths are mentioned in the body of the document we list the url after the site prefix, for example:

 located here: /factfind/edit_interface             - should be read as - 

 located here: https://SITENAME.xplan.iress.co.uk/factfind/edit_interface

Step 1: Decide where you want the EID&V screen.

Some  (UK) Xplan sites may already have this configured, especially if they are already using an existing supplier - check this first - if not already in site you will need to add it.  Typical locations are near any existing manual ID&V recording screens already in place or near to compliance related screens.

The Xplan site admin should undertake this task as it will likely need discussion and agreement internally.  Once a decision had been made use the interface located here: /factfind/edit_interface, to create this page

Creating the page can be difficult, you will not be able to drag it to the correct location, rather create a new page - then copy / update the name to match the correct one ‘Electronic ID&V’.

Once the page has been created in the correct location, a few extra items to confirm.

• The page should not be hidden
• The page should show a gray settings box
• The page conditions should be set as below

a)	b)
c)	These screen shots show the conditional formatting configuration that allows all users configured for the Smartsearch group to be able to view the menu options.

Step 2: Add SmartSearch check option in site

 Location: /sysadmin/electronic_id

Field population

Electronic ID&V Settings		Population	Value
Allow check type selection		Recommended	Yes
Maximum number of re-tries		Recommended	3
Manual ID&V Doc Type for Passport		Recommended	Current UK Passport (or whatever is configured locally)
Manual ID&V Doc Type for Driver Licence		Recommended	Current UK Drivers Licence (or whatever is configured locally)
Self Registration Settings
User Id		Not required for SmartSearch	n/a
Password		Not required for SmartSearch	n/a
Simple Bank Validation Profile		Not required for SmartSearch	n/a
Profiles (add new, the Pop up shows)
Check Type		Essential	Identity
Check Name		Essential	SmartSearch
Check ID		Essential	SmartSearch
Version		Not required for SmartSearch	‘0’ (this is a mandatory field in as it needs to be populated in the form but is not used by Smartsearch)
Priority		Not required for SmartSearch	‘0’ (this is a mandatory field in as it needs to be populated in the form but is not used by Smartsearch)
Validity Period		Recommended	30
Status		Recommended	Active
Use in Automated Process		Recommended	No

Step 3: Create User Group   

 Location: /factfind/search/result?role=group&refresh=1

This will be the group individual users will need to be opted in (become primary member of) in order to use the SmartSearch integration.

You might not want to create a new group and instead use an existing group (i.e. as an Iress Essentials Site or Network Admin looking after a multi tenant site), this being the case you can skip the set up but you will still need to capture the appropriate group details for the later stages of the set up.

Add a new group

A new menu is displayed with several fields to populate, rather than list all here the ones to attend to as follows:

Name		Essential	SmartSearch User Group - Firm Name (especially important where this is a multi tenant site).
Description		Recommended	SS User Group - Firm Name
Status		Essential	Staff (this is a mandatory field in the sense that it needs to be populated but the value is not used by Smartsearch)
Service Details		Essential	Gold  (this is a mandatory field in the sense that it needs to be populated but the value is not used by Smartsearch)
Comments		Recommended	Add a note about the purpose of the group - i.e. used to opt in users to the SmartSearch integration

All other field entries are non-essential for the SmartSearch set up but may be required by your own firm.

* * * Make a note of the group ID. It’s needed for the following stages.  Note also that you could elect for an existing group to be the SmartSearch enabled group in your Xplan site * * * 

Step 4: Results Mapping

To maintain consistency in the EID&V screens and in client notes we need to map the SmartSearch results into Xplan notation.  To this end we will set up 4 results categories - and associated doc note templates although we will only use 3 of them for this service. 

The Electronic ID & Verification functionality requires that a note template is created to attach a pdf of the ID check outcome to the client record. The doc note needs to be unique per decision band.  The mapping here is very sensitive.  We recommend that text is copied from the table at 4(e)

a) Go to Administration Functions, field definitions screen

Location: /ufield/list

b) Set the value in ‘group’ to “Note” and press search

c) Select [Note] Type

 d) A new screen is displayed, under Field Extras,, ‘Add’ a new Note Type of “EID&V” as below:

e) Go back to field definitions and now under ‘Field Extras’ select ‘[Note] Subtype’ and create a new subtype for the following check decisions:

Value	Text	Note
ALERT: Check input data or fraud flags	ALERT: Check input data or fraud flags	Used by SmartSearch
REFER: Insufficient match for EID&V	REFER: Insufficient match for electronic ID	Used by SmartSearch
REFER: Partial Match	REFER: Partial Match, passport or driving license required	Not used by SmartSearch
PASS: ID Verification successful	PASS: ID Verification successful	Used by SmartSearch

The input screen looks like the screen shot below - noting that the full description is not visible in the display window.  Note the value field input differs from the text field input.

f) Under Field Extras select each newly created subtype and link it back to the EID&V type created in Step 3.d.  The result will look like this.

g) We will now add a doc note template against each decision band.  To do that go to the docnote library location:  /docnote/library

Then under ‘Template’ in the left hand panel add a document note for each check decision.  Do not add a sub folder - these doc note templates should be directly stored in the ‘Template’ folder.

With regards to the doc note templates themselves - you only need to input the Template Summary page as per the example below.

* * * To keep the naming convention consistent throughout the process - we recommend that the descriptions are cut and pasted from the table under Step (3.e) * * *

Save and close in between each template added.  When an Electronic ID & Verification profile is generated for a client then a doc note with the corresponding type and sub type will be automatically displayed in the Admin > notes screen regardless of the EID&V supplier.  We now need to reflect the same in the EID&V screen.

h) We will now replicate the same setup for the EID&V screens in Xplan so we return to the EID&V configuration screens location:  /sysadmin/electronic_id

Under the ‘Results Mappings’ section add the same check decisions that we created for doc notes above.  Select ‘Add’ and you will be presented with this pop up.

• Input Hierarchy using the same numbering convention as below
• Input the Decision Band - again we suggest copy pastes from earlier table for consistency.
• You will be able to select the Docnote Template from the ones created earlier in step 4.
• Permission will be defaulted in from the template.
• Xplan Result - you will select either Pass, Fail or Refer

* * * Remember to save the whole page for good measure. * * *

Step 5: Add the site to the production key.

The API key is required in order to facilitate the flow of data from Smartsearch back into Xplan.  It is a simple matter of using the API Key Portal to add the Xplan site to the production key.  For reference the set up is shown below note ‘XI EIDV Checks - PROD UK’ not ‘SmartSearch’.  The documentation for the use of the API key portal is held in HQ.

Important note:  As Iress is setting this integration up for firms in pilot when you obtain the external SmartSearch account id and password it is an ideal opportunity to obtain sign off on the client terms to add the site to the key.

As this is an Iress internal key, it could be marked available for all sites.  However as this set up is complex it will be easier to manage this on a site by site basis.

Step 6: Toggle the functionality on for the site.

It was a build requirement to keep the Xplan code behind a toggle.  After Pilot this could be reviewed and we might choose to update the service and automatically enable this for all UK sites allowing us to remove this step.

Switching the toggle here allows the code to pick up the new SmartSearch styling and behaviour that replaces the older styling.  As such you will need to raise a ticket with the SDSRE Team and provide the following detail.

The ticket should include:

“ We need to make a change to template.def to activate EID&V for the following site(s) as a permanent toggle (for security), for any sites with EID&V

Site: XXXX

Addition to template.def IDV_HISTORY

Thanks “

Toggles will need to be applied during the Sunday maintenance window to avoid disruption to the sites.  Therefore these will need to be raised with the SRE team by Thursday lunchtime, to allow them time to prep and schedule the change.

Steps 1 - 6 only need to be done once per site.  Steps 7 and 8 need to be completed whenever a new SmartSearch account is configured against an Xplan site - i.e. for multi-tenant sites 7 and would need to be done for each firm wanting to switch on SmartSearch.

Step 7: Store user external credentials in solution

This step is linking the SmartSearch User group set up in Step 2 to an external Smartsearch account.  As such you will need to obtain the external reference for the SmartSearch account from the client and raise a Jira ticket to deploy the config. Directing the ticket to the XPI project.

Important note (a):  As Iress is setting this integration up for firms in pilot when you obtain the external SmartSearch account id and password it is an ideal opportunity to obtain sign off on the client terms.

Important note (b):  The Smartsearch account reference (aka app id / key)  nor the secret are available through the SmartSearch production portal.  The client firm will need to obtain these from their account manager and pass the detail to Iress.

The ticket should include:

• Xplan Site:  ie - cssuksandbox
• Xplan Group Name: ie ‘SmartSearch User Group - Test’
• Xplan Group Id. 12345
• The SmartSearch account reference (App id) - be71678-2d51-556f-a6Od-9682ce3c9a3|X
• SmartSearch Secret (Password) - Cat)aE345@99de

The XPI team will run a deploy pipeline and confirm once complete.

Step 8: Add user to the new SS group

Nearly there!  This step is simply to link users to the Smartsearch User Group. 

Location: /factfind/view/USERID?role=user&page=userentities

Add the User to the newly created SmartSearch group and check the ‘P’ for primary member.  The configuration operates on the Primary membership by design to prevent logical clashes with membership to other group config rules

Users should now be able to access the EID&V screens and they will default to the SmartSearch User view.