Customer Screening Administration Guide

Oracle Financial Services Customer

Screening

Administration Guide

Release 8.0.8.2.0

September 2021

F22546-01

CUSTOMER SCREENING ADMINISTRATION GUIDE | 2

Customer Screening Administration Guide

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Document Control

Table 1: Document Control

Version Number

Revision Date

Change Log

8.0.8.2.15

April 2023

• Added chapter Configuring New Watchlist Summary Field

Name.

• Added security standards reference link for CS

screening in Real-Time Screening section.

• Added Reviewer user role information.

• Added Appendix O: Function Codes for User Groups

section.

• Added procedural step to change Customer Screening

Application URL in Real Time Screening in Configuring

the EDQ URL section.

8.0.8.2.13

March 2023

• Added Fix for Primary Key Constraints section.

8.0.8.2.9

May 2022

• Added Appendix N: User Group Customization section.

• Added Appendix M: Mapping the PMF Workflow for

Different Jurisdiction and domain section.

• Added Appendix L: Time Zone Configuration section.

• Added Appendix K: Invoking the PMF Workflow from

backend section.

• A new attribute value

ZP_POA_LOGGED_USER_ACTED_FIRST details to

the Appendix J: PMF Configurations for Pool of Analyst

section and removed the ZP_LOGGED_USER_ACTED

attribute.

8.0.8.2.7

April 2022

• Added the Attribute to Configure the Auto Refresh in

Queue Management, Data Quality Check and Sorting

Real-Time Watchlist Details sections.

8.0.8.2.6

March 2022

• Added the Appendix J: PMF Configurations for Pool of

Analyst section.

8.0.8.2.1

October 2021

• Added the Archiving a Queue section under the Queue

Management section.

• Added the Appendix H: Out Of Box process to move

Alerts from CS_ALERTS of one DB instance to

FCC_ZCS_ALERTS of another DB instance and Appendix

I: API to create the Alerts in the Zipper Alerts table

(FCC_ZCS_ALERTS) sections.

• Added the Appendix J: PMF Configurations for Pool of

Analyst section.

CUSTOMER SCREENING ADMINISTRATION GUIDE | 4

Version Number

Revision Date

Change Log

8.0.8.2.0

September 2021

• Added the new sections as mentioned below:

▪ Queue Management

▪ Due Date and Time Configuration

▪ Setting the Priority

▪ Security Mapping

▪ Generating Sanctioned Alerts

• Added the new batch name

Oracle_CS_Zipper_Processing and Description

in Table 3: Sequence of Batches to be Run. For more

information, see Scheduling the Customer Screening Run

Job.

• Added the 4

and 5

steps related to Customer

Screening Alert Management (CSAM) and Enterprise

Case Management (ECM) information in the Configuring

the EDQ URL section. For more information, see

Configuring the EDQ URL.

• Updated the screenshots and the content in the

Screening Watch List Records in Real-Time section.

8.0.8.1.8

February 2021

• Added the new field called identification Numbers to the

section 6.2.1.1 Field Descriptions under the Real-Time

Screening section.

8.0.8.1.4

December 2020

• Added steps to generate the bearer token in Appendix F:

Configurations for the Bearer Token.

8.0.8.1.0

October 2020

• Updated steps to configure watch list data for Dow Jones.

• Added steps to download watch list data for World-

Check.

8.0.8.1.0

November 2019

• Added an appendix which shows how to add a new field

in a web service.

8.0.8.1.0

August 2020

• Added an appendix which mentions the steps to split jobs

across multiple servers.

• Added an appendix which mentions the steps to view a

snapshot of a table in Enterprise Data Quality (EDQ).

8.0.8.0.4

April 2020

• Updated the Take Action screen in the Taking Action on

Customer Screening related Cases in Oracle Financial

Services ECM section.

8.0.8.0.1

February 2020

• Added a section that shows how database connections

can be done through WebLogic in the Establishing a

Database Connection using WebLogic section.

8.0.8.0.0

August 2019

• Added a note which mentions the users who must be

mapped to the Real-time access group in the Real-Time

Screening section.

8.0.8.0.0

July 2019

Created the guide.

 
CUSTOMER SCREENING ADMINISTRATION GUIDE  |  5     
Table of Contents 
About This Guide .................................................................................................................. 10 
1  Intended Audience ............................................................................................................................................................. 10 
2  Access to Oracle Support ................................................................................................................................................. 10 
3  How this Guide is Organized ........................................................................................................................................... 10 
4  Where to Find More Information..................................................................................................................................... 11 
5  Conventions Used in This Guide ..................................................................................................................................... 11 
Introduction........................................................................................................................... 12 
1  Architecture Overview ........................................................................................................................................................ 12 
Getting Started ...................................................................................................................... 13 
1  Accessing the Financial Services Analytical Applications Customer Screening Home Page ........................... 13 
2  Managing the Oracle Financial Services Analytical Applications (OFSAA) Page ............................................... 14 
3  Queue Management.......................................................................................................................................................... 14 
3.1  List View .......................................................................................................................................................................... 15 
3.2  Grid View ........................................................................................................................................................................ 16 
3.3  Archiving a Queue ........................................................................................................................................................18 
4  Troubleshooting Your Display .........................................................................................................................................19 
4.1  Enabling JavaScript ..................................................................................................................................................... 19 
4.2  Enabling Cookies .......................................................................................................................................................... 20 
4.3  Enabling Temporary Internet Files ........................................................................................................................... 20 
4.4  Enabling File Downloads ............................................................................................................................................ 20 
4.5  Setting Printing Options ............................................................................................................................................. 20 
4.6  Enabling the Pop-Up Blocker ..................................................................................................................................... 21 
4.7  Setting Preferences ...................................................................................................................................................... 21 
General Configurations ........................................................................................................ 23 
1  Due Date and Time Configuration ................................................................................................................................. 23 
2  Setting the Priority ............................................................................................................................................................. 26 
3  Security Mapping ............................................................................................................................................................... 26 
4  Preparing Watch List Data ............................................................................................................................................... 27 

 
CUSTOMER SCREENING ADMINISTRATION GUIDE  |  6 
4.1  Example - Preparing the Accuity List ...................................................................................................................... 28 
4.2  Example - Enable Phases for Download and Staging ......................................................................................... 28 
5  Private Watch List Set Up ................................................................................................................................................. 29 
6  Showing the Hidden Watch List Staged Data or Snapshots in the Server Console Interface ......................... 29 
7  Analyzing Watch List Data ............................................................................................................................................... 30 
7.1  Analyzing Data Quality............................................................................................................................................... 30 
8  Configuring Match Rules and Clusters for Customers and External Entities ...................................................... 30 
9  Real-Time and Batch Screening Set Up ......................................................................................................................... 31 
10  Extracting the Output of Matches into CSV Files ........................................................................................................ 31 
11  Filtering Watch List Data .................................................................................................................................................. 32 
11.1  Enabling Watch List Filtering .................................................................................................................................... 32 
11.2  Configuring Watch List Filtering ............................................................................................................................... 32 
11.3  Primary Filters, Secondary Filters, and Filters for Linked Profiles .................................................................... 35 
11.4  Setting Multiple Values for Primary and Secondary Filters ................................................................................ 36 
11.5  Screening All Sanctions Data .................................................................................................................................... 41 
11.6  Match Persistence and Flag Keys............................................................................................................................. 41 
12  Risk Scoring in Watch Lists .............................................................................................................................................. 42 
12.1  Adjusting the Risk Scores ........................................................................................................................................... 42 
12.2  Editing the Risk Element Scores ............................................................................................................................... 43 
13  Scheduling the Customer Screening Run Job............................................................................................................. 48 
14  Loading Data ........................................................................................................................................................................ 51 
14.1  Loading Data into the Customer Tables (Full Load) ............................................................................................. 51 
14.2  Loading Data into the Customer Tables (Delta Load)......................................................................................... 52 
14.3  Creating and Running Parallel Batches .................................................................................................................. 55 
15  Configurations for General Data Protection Regulation (GDPR) ........................................................................... 60 
16  Optional Configurations ................................................................................................................................................... 63 
16.1  Data Quality Check ...................................................................................................................................................... 63 
16.2  Sorting Real-Time Watchlist Details ........................................................................................................................64 
Integrations with Enterprise Case Management ............................................................... 66 
1  Case Class in ECM .............................................................................................................................................................. 66 
2  Case Types under Case Class .......................................................................................................................................... 67 
3  Case Correlation, Linked Cases, and Searching for Cases ....................................................................................... 67 
4  Creating Workflows for Case Types ............................................................................................................................... 68 

 
CUSTOMER SCREENING ADMINISTRATION GUIDE  |  7 
5  Workflow Diagrams ........................................................................................................................................................... 68 
5.1  SAN and PRB Workflow .............................................................................................................................................. 68 
5.2  PEP and EDD Workflow .............................................................................................................................................. 69 
6  Taking Actions on Customer Screening-related Cases ............................................................................................ 69 
7  Setting Thresholds for Case Priorities........................................................................................................................... 70 
Real-Time Screening ............................................................................................................ 71 
1  Configuring the EDQ URL ................................................................................................................................................ 73 
2  Screening Watch List Records in Real-Time ................................................................................................................ 76 
3  Running the Real-Time Screening Job .......................................................................................................................... 81 
4  Adding a New Field in a Webservice .............................................................................................................................. 82 
Batch Screening ................................................................................................................... 87 
1  Configuring the EDQ URL ................................................................................................................................................ 87 
2  Staging Database Connection Details ........................................................................................................................... 88 
3  Enabling Customer and External Entity Tables ...........................................................................................................91 
4  Data Preparation in FCDM ............................................................................................................................................... 92 
4.1  Establishing a JDBC Database Connection using WebLogic ............................................................................. 92 
5  Analyzing the Data Quality of Customer Data and External Entity ........................................................................ 95 
5.1  Data Quality Errors ...................................................................................................................................................... 99 
6  Extract Transform Load (ETL) Database Connection Details ................................................................................ 100 
7  Running the Batch Screening Job ................................................................................................................................ 103 
8  Generating Alerts ............................................................................................................................................................. 104 
Appendix A: Screening Non-Latin Character Sets ........................................................... 107 
1  Original Script Matching ................................................................................................................................................. 108 
Appendix B: Reference Data Tables for Watch Lists ........................................................ 109 
Appendix C: Preconfigured Watch List Information ......................................................... 111 
1  HM Treasury Watch List ................................................................................................................................................... 111 
2  OFAC Watch List ................................................................................................................................................................. 111 
3  EU Watch List ..................................................................................................................................................................... 112 
4  UN Consolidated Watch List ........................................................................................................................................... 112 
5  World-Check Watch List .................................................................................................................................................. 112 
6  Dow Jones Watch List ...................................................................................................................................................... 113 

 
CUSTOMER SCREENING ADMINISTRATION GUIDE  |  8 
7  Dow Jones Anti-Corruption Watch List ....................................................................................................................... 116 
8  Accuity Watch List ............................................................................................................................................................. 119 
8.1  Using the Accuity Group File ................................................................................................................................... 120 
8.2  Configuring the .sh File .............................................................................................................................................. 122 
9  Delta Watch List Configurations for the Dow Jones Watch List ............................................................................ 125 
9.1  Configurations for the Full and Delta Watch Lists ............................................................................................. 126 
9.2  Running the Full Watch list ...................................................................................................................................... 126 
9.3  Running the Delta Watch List ..................................................................................................................................127 
9.4  Merging the Delta Watch List to the Full Watch List ..........................................................................................127 
10  Delta Watch List Configurations for the World-Check Watch List ....................................................................... 128 
10.1  Configurations for the Full and Delta Watch Lists ............................................................................................. 129 
10.2  Running the Full Watch list ...................................................................................................................................... 129 
10.3  Running the Delta Watch List ................................................................................................................................. 130 
10.4  Merging the Delta Watch List to the Full Watch List .......................................................................................... 131 
Appendix D: Splitting Jobs Using Multiple EDQ Servers ................................................. 132 
1  Adding Input Parameters for the CallEDQ Task ........................................................................................................ 141 
Appendix E: Viewing Snapshots of Tables in EDQ ........................................................... 146 
Appendix F: Configurations for the Bearer Token ........................................................... 149 
1  Generate User Password ................................................................................................................................................ 149 
2  Change Token Validity ..................................................................................................................................................... 151 
3  Generate Token ................................................................................................................................................................. 152 
4  Send Requests .................................................................................................................................................................. 154 
Appendix G: Error Logs ...................................................................................................... 156 
1  EDQ Failure ........................................................................................................................................................................ 156 
2  Data Model Failure ........................................................................................................................................................... 156 
3  Batch Failure ...................................................................................................................................................................... 156 
4  DM Utility Failure .............................................................................................................................................................. 156 
Appendix H: Out Of Box process to move Alerts from CS_ALERTS of one DB instance to 
FCC_ZCS_ALERTS of another DB instance .............................................................................. 157 
Appendix I: API to create the Alerts in the Zipper Alerts table (FCC_ZCS_ALERTS) ..... 160 

CUSTOMER SCREENING ADMINISTRATION GUIDE | 9

17 Appendix J: PMF Configurations for Pool of Analyst ...................................................... 161

17.1 List of Attributes Passed to Workflow ......................................................................................................................... 169

17.2 Attribute to Configure the Auto Refresh in Queue Management ......................................................................... 171

18 Appendix K: Invoking the PMF Workflow from backend ................................................ 172

19 Appendix L: Time Zone Configuration .............................................................................. 174

20 Appendix M: Mapping the PMF Workflow for Different Jurisdiction and domain ....... 188

21 Appendix N: User Group Customization ........................................................................... 189

ABOUT THIS GUIDE 
INTENDED AUDIENCE 
CUSTOMER SCREENING ADMINISTRATION GUIDE  |  10 
1  About This Guide 
This guide explains the concepts of Oracle Financial Services Customer Screening (OFS CS) and 
provides step-by-step instructions to navigate to the Customer Screening web pages, analyzing, 
acting on, and researching the business information. 
1.1  Intended Audience 
The instructions in this guide are written with the assumption that the user has a good understanding 
of Enterprise Case Management (ECM), Financial Crime Data Model (FCDM), Oracle Enterprise Data 
Quality (OEDQ) and has knowledge of Sanctions (SAN), Politically Exposed Persons (PEP), Enhanced 
Due Diligence (EDD), and Country Prohibition Screening (PRB). The Customer Screening User Guide is 
designed for the following users: 
•  Analyst: This user works on the alerts within the application frequently. This user’s specific role 
determines what they can view and perform within the application. 
•  Supervisor: This user works on the alerts within the application daily and is typically a higher- 
level Analyst or Compliance Officer. 
1.2  Access to Oracle Support 
Oracle customers have access to electronic support through My Oracle Support (MOS). For 
information, visit http://www.oracle.com/pls/topic/lookup?ctx=acc&id=info 
Or visit http://www.oracle.com/pls/topic/lookup?ctx=acc&id=trs if you are hearing-impaired. 
1.3  How this Guide is Organized 
The Customer Screening User Guide includes the following chapters: 
•  Introduction provides an overview of Customer Screening and the architecture used. 
•  Getting Started explains common elements of the interface and how to configure the Financial 
Services Analytical Applications Customer Screening home page. 
•  General Configurations provides information on how to prepare watch list data, configure the 
different property files in Customer Screening, how to download the full and delta watch lists, 
how to filter watch list data, and how to configure General Data Protection Regulations (GDPR) 
for users. 
•  Integrations with Enterprise Case Management provides information on the different cases 
classes used for Customer Screening in Enterprise Case Management, view the correlation 
rules, what cases are linked to the case being investigated, and the workflows used for the 
different case types. 
•  Real-Time Screening shows the real-time user interface used for Customer Screening and how 
to run the real-time screening job using the Financial Data Crime Model (FCDM). 
•  Batch Screening provides information on how to prepare and analyze data and how to run the 
batch screening job using the Financial Data Crime Model (FCDM). 

ABOUT THIS GUIDE

WHERE TO FIND MORE INFORMATION

CUSTOMER SCREENING ADMINISTRATION GUIDE | 11

• Appendix A: Screening Non-Latin Character Sets provides information on how to perform

matching for non-Latin data.

• Appendix B: Risk Scoring Reference Data shows the different reference data tables used to

calculate risk scores in Customer Screening.

• Appendix C: Preconfigured Watch List Information provides information on the different watch

lists used in Customer Screening.

1.4 Where to Find More Information

For more information about Oracle Financial Services Customer Screening, see the following

Customer Screening application documents, which can be found on the Oracle Help Center page:

• Oracle Financial Services Customer Screening Matching Guide

• Oracle Financial Services Customer Screening Data Interfaces Guide

To find additional information about how Oracle Financial Services solves real business problems, see

our website at Oracle for Financial Services home page.

1.5 Conventions Used in This Guide

The following table mentions the conventions used in this guide.

Table 2: Conventions Used

Conventions

Meaning

Italics

Names of books as references

Emphasis

Substitute input values

Bold

Menu names, field names, options, button names

Commands typed at a prompt

User input

Monospace

Directories and subdirectories

File names and extensions

Code sample, including keywords and variables within text and as separate paragraphs,

and user-defined program elements within text

Hyperlink

Hyperlink type indicates the links to external websites, internal document links to

sections.

Asterisk (*)

Mandatory fields in User Interface

Substitute input value

INTRODUCTION

ARCHITECTURE OVERVIEW

CUSTOMER SCREENING ADMINISTRATION GUIDE | 12

2 Introduction

Oracle Financial Services Customer Screening (OFS CS) enables organizations to effectively and

efficiently screen their customers so that they can successfully meet anti-bribery, anti-corruption,

export control, and other legal regulations as well as to meet anti-money laundering and counter-

terrorist financing legislations. Screening customers enables organizations to keep track of and avoid

the risk of being exposed to suspicious or sanctioned individuals and organizations. Customer

Screening uses the Oracle Enterprise Data Quality (OEDQ) platform to manage watch list data and

apply match rules, Process Modelling Framework (PMF) to generate alerts, and Enterprise Case

Management (ECM) to investigate cases generated from the alerts based on the match rules.

2.1 Architecture Overview

This image shows the movement of data from a real-time data source, data from watch list sources

such as OFAC, HM Treasury, and Dow Jones. This data then moves to the Customer Screening user

interface where it is prepared and screened. Finally, cases are generated based on the matches in

Enterprise Case Management (ECM). We have also introduced Alert Management for L1 investigation

for rapid dispositioning of Alerts (optional).

Figure 1: Customer Screening Architecture

GETTING STARTED

ACCESSING THE FINANCIAL SERVICES ANALYTICAL APPLICATIONS CUSTOMER SCREENING HOME PAGE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 13

3 Getting Started

This chapter provides step-by-step instructions to login to the Oracle Financial Services Customer

Screening (OFS CS) application and the different features of the application.

3.1 Accessing the Financial Services Analytical Applications

Customer Screening Home Page

Access to the Customer Screening application depends on the Internet or Intranet environment. The

system administrator provides the intranet address uniform resource locator (URL), User ID, and

Password.

NOTE

The first time you log in, you will be prompted to change your

password.

To access the Oracle Financial Services Analytical Applications Customer Screening home page,

follow these steps:

1. Enter the URL into your browser using the following format:

<scheme/ protocol>://<ip address/ hostname>:<port>/<context-

name>/login.jsp

For example: https://myserver:9080/ofsaaapp/login.jsp

The Oracle Financial Services Analytical Applications (OFSAA) login page is displayed.

Figure 2: Oracle Financial Services Analytical Applications (OFSAA) Login Page

GETTING STARTED

MANAGING THE ORACLE FINANCIAL SERVICES ANALYTICAL APPLICATIONS (OFSAA) PAGE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 14

2. Select the language from the Language drop-down list. This allows you to use the application

in the language of your selection.

3. Enter your User ID and Password in the respective fields.

4. Click Login. The Financial Services Analytical Applications Customer Screening home page

is displayed.

Figure 3: Financial Services Analytical Applications Customer Screening Home Page

Click the Financial Services Analytical Applications Customer Screening tile to open the OFS CS

home page.

3.2 Managing the Oracle Financial Services Analytical

Applications (OFSAA) Page

From the OFSAA application page, you can access the menus for the different message

configurations. For information on the different menus, see Oracle Financial Services Analytical

Applications Infrastructure Administration and Configuration Guide.

NOTE

To create, edit user definitions, view, manage, modify, and

delete user information, see the User Maintenance section in

the Oracle Financial Services Advanced Analytical Applications

Infrastructure User Guide 8.1.1.0.0.

3.3 Queue Management

Queue Management is a common dashboard where the following users can see queues related to CS

and TF that are created by the Queue Administrator and the system (Out Of Box):

• Reviewer

GETTING STARTED

QUEUE MANAGEMENT

CUSTOMER SCREENING ADMINISTRATION GUIDE | 15

• Analyst

• Supervisor

• Senior Supervisor

• Queue Administrator

You can view the Queue details in the following formats:

• List View

• Grid View

By default, queue details are displayed in the List View. Only queue admin can assign the user groups

for the queues in the Grid View.

For more information on Queue Administrator, see the OFS Sanctions Queue Management User

Guide.

3.3.1 List View

1. Log in to the application as Reviewer, Analyst, Supervisor, or Senior Supervisor.

2. Select the Financial Services Analytical Applications Transaction Filtering.

3. From the Application Navigation List, select Queue Management.

You can select the hamburger icon to view the Queue List for All Teams in List View.

By default, queue details are displayed in the List View.

Queue List displays the queues assigned to all user groups and the value. All Team is selected in the

drop-down list and is disabled. It is displayed as the title for Queue List.

Figure 3: Queue List in List View

The following details are displayed in the List View for All Team:

• Queue Name

• User Group names (that are assigned by the Queue Administrator)

• Date Time Created By (For example, 09/09/2021 14:06:39 by QADMIN/SYSTEM)

• Queue Action

You can view ten queues in Queue List and use the navigation to view the next set of queues.

GETTING STARTED

QUEUE MANAGEMENT

CUSTOMER SCREENING ADMINISTRATION GUIDE | 16

You can perform the following actions on each queue:

• +Add Queue: Click button top-right in the Queue List to add a new queue. (only for

Queue Admin.)

• Delete: Click the Ellipsis menu and then select Delete and click Yes to delete the queue.

• Edit: Click the Ellipsis menu and then select Edit to edit the queue details and click Finish.

• Open: Click the Ellipsis menu and then select Open to open the queue to see its details.

• Assign: Click the Ellipsis menu and then select Assign to assign the queue to Groups. (only for

Queue Admin)

▪ Select the Groups to assign the queue.

▪ Click Assign.

You can change the order of queues are as follows:

• According to your requirement, you can select the Queue to change the order, drag and drop in

the list.

• Perform the following steps:

Select the Queue and right-click. The menu options are displayed as Cut, Paste Before, and Paste

After. The only Cut is enabled.

Select Cut.

Locate the cursor wherever it needs to be added and right-click. The menu options are Cut, Paste

Before, and Paste After. Only Paste Before and Paste After are enabled.

Select the Paste Before or Paste After to place the Queue.

3.3.2 Grid View

You can select the thumbview icon to view the Queue List for All Teams in Grid View.

Queue List displays the queues assigned to all user groups and the value. All Team is selected in the

drop-down list and is disabled. It is displayed as the title for Queue List.

Figure 4: Queue List in Grid View

GETTING STARTED

QUEUE MANAGEMENT

CUSTOMER SCREENING ADMINISTRATION GUIDE | 17

NOTE

Only Reviewer/Analyst/Supervisor/Senior Supervisor can view

the number of alerts details in each Queue.

The Queue List appears in doughnut charts displays each cell's data as a slice of a doughnut. A pie

chart data visualization uses a single circle divided into "slices," each slice representing a numerical

proportion of the whole circle's value. Hover over the slices to see the details of the Series and the

Value of the queue.

By default, the color-coding displayed for three priorities of the alerts and the Total numeric value

indicates the number of alerts in that Queue.

The following are the only available priorities in the application:

• High

• Medium

• Low

And also priority configuration for all the alerts to be defined before customer screening.

You can view six queues in Queue List and use the navigation to view the next set of queues.

You can perform the following actions on each queue:

• +Add Queue: Click button top-right in the Queue List to add a new queue. (only for

Queue Admin.)

• Delete: Click the Ellipsis menu and then select Delete and click Yes to delete the queue.

• Edit: Click the Ellipsis menu and then select Edit to edit the queue details and click Finish.

• Open: Click the Ellipsis menu and then select Open to open the queue to see its details.

• Assign: Click the Ellipsis menu and then select Assign to assign the queue to Groups. (only for

Queue Admin)

▪ Select the Groups to assign the queue.

▪ Click Assign.

GETTING STARTED

QUEUE MANAGEMENT

CUSTOMER SCREENING ADMINISTRATION GUIDE | 18

3.3.3 Archiving a Queue

To archive inactive queues, follow these steps:

1. Log on to the Customer Screening application.

2. Click Common Tasks, then click Rule Run Framework, and then click Process. The Process

page appears.

3. Search for Queue in the Code field and select QueueArchive.

Figure 36: Process Page

4. Click Edit . The Process page opens in Edit mode.

Figure 37: Process Definition (Edit Mode)

5. Select the QueueArchival object and then select Component.

6. In the Parameters window, select the QueuArchival task and then click drop-down list .

By default the parameter value will be selected as “TF”. Change the parameter to “CS”.

Figure 40: Component Selector Window

GETTING STARTED

TROUBLESHOOTING YOUR DISPLAY

CUSTOMER SCREENING ADMINISTRATION GUIDE | 19

7. Click OK to close the Parameters window.

8. Click OK.

9. Click Save.

A confirmation message appears, click Yes to save the definition as a new version. A successful

message appears, click Close.

3.4 Troubleshooting Your Display

If you experience problems logging into Oracle Financial Services Customer Screening or with your

display, the browser settings may be incompatible with running OFSAA applications. The following

sections provide instructions to set your Web display options for OFSAA applications.

3.4.1 Enabling JavaScript

This section describes how to enable JavaScript using the Scripting setting. To do this, follow these

steps:

1. Navigate to the Tools menu.

2. Click Internet Options. The Internet Options dialog box is displayed.

3. Click the Security tab and then click Local Intranet.

4. Click Custom Level. The Security Settings dialog box is displayed.

5. In the Settings list and under the Scripting setting, enable all options.

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6. Click OK, then click OK again to exit the Internet Options dialog box.

3.4.2 Enabling Cookies

Cookies must be enabled. If you have problems troubleshooting your display, contact your System

Administrator.

3.4.3 Enabling Temporary Internet Files

Temporary Internet files are pages that you view on the Internet and store in a folder for quick viewing

later. You must adjust this setting to always check for new versions of a stored page.

To enable Temporary Internet Files, follow these steps:

1. Navigate to the Tools menu.

2. Click Internet Options. The Internet Options dialog box is displayed.

3. In the General tab, click Settings. The Settings dialog box is displayed.

4. Select Every visit to the page. Selecting this option ensures that the temporary files are

cleared every time.

5. Click OK, then click OK again to exit the Internet Options dialog box.

3.4.4 Enabling File Downloads

This section describes how to enable file downloads with the following steps:

1. Navigate to the Tools menu.

2. Click Internet Options. The Internet Options dialog box is displayed.

3. Click the Security tab and then click Local Intranet.

4. Click Custom Level. The Security Settings dialog box is displayed.

5. In the Downloads section, ensure that the Enable check box is selected for all options.

6. Click OK, then click OK again to exit the Internet Options dialog box.

3.4.5 Setting Printing Options

This section explains how to enable printing background colors and images with the following steps:

1. Navigate to the Tools menu.

2. Click Internet Options. The Internet Options dialog box is displayed.

3. In Settings, click the Advanced tab.

4. In the Printing tab, click Print background colors and images.

5. Click OK to exit the Internet Options dialog box.

NOTE

For best display results, use the default font settings in your

browser.

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3.4.6 Enabling the Pop-Up Blocker

You may have trouble running the Customer Screening application when the IE Pop-up Blocker is

enabled. It is recommended to add the URL of the application to the list of allowed sites in the Pop-up

Blocker Settings in the IE Internet Options.

To enable the Pop-up Blocker, follow these steps:

1. Navigate to the Tools menu.

2. Click Internet Options. The Internet Options dialog box is displayed.

3. Click the Privacy tab. In the Pop-up Blocker setting, select Turn on Pop-up Blocker.

4. Click Settings to open the Pop-up Blocker Settings dialog box.

5. In the Pop-up Blocker Settings dialog box, enter the URL of the application in the text area.

6. Click Add. The URL appears in the Allowed Sites list.

7. Click Close, then click Apply to save the settings.

8. Click OK to exit the Internet Options dialog box.

3.4.7 Setting Preferences

Use the Preferences section to set the Financial Services Analytical Applications Customer

Screening home page.

To access this section, follow these steps:

1. In the Financial Services Analytical Applications Customer Screening home page, select

Preferences from the user name drop-down list to open the Preferences page.

Figure 5: Preferences Page

2. In the Set My Home Page drop-down list, select the window that you want to view when you

When a new application is installed, the related window for that application is found in the drop-

down list.

3. In the Date Format drop-down list, select the date format that you want to see. The options

available are dd/mm/yyyy or mm/dd/yyyy.

4. Click Save to save your preferences.

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GENERAL CONFIGURATIONS

DUE DATE AND TIME CONFIGURATION

CUSTOMER SCREENING ADMINISTRATION GUIDE | 23

4 General Configurations

Some configurations must be done before screening customer or external entity data, such as

configuring run profiles to control elements of the watch lists and how screening is performed,

preparing private watch lists using the Private List Interface (PLI) and use them for screening,

analyzing watch list data, configuring match rules and clusters, configuring real-time and batch

screening, configuring risk scores in watch lists and scheduling the Customer Screening run job. You

can also configure the delta watch lists for the Dow Jones watch list, enable the General Data

Protection Regulation (GDPR), and enable or disable the Data Quality (DQ) check.

The Watch List Management, Customer Screening, External Entity, and Real-time screening property

files can be configured using run profiles in the FICDB/conf directory. You can use run profiles to

specify the configuration settings that will override the default settings.

The following run profiles are available in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory when you log in to the

WinSCP server:

• watch list-management.properties

• customer-screening.properties

• external-entity-screening.properties

• customer-screening-real-time.properties

The watch list-management.properties run profile controls the following attributes:

• which watch lists are downloaded

• how filtering is applied to the watch lists

• how to apply the Data Quality check to the watch lists

The customer-screening.properties and external-entity-screening.properties run

profiles control the screening of customers and external entities respectively in batches.

The customer-screening-real-time.properties run profile controls the screening of

customers in real-time.

4.1 Due Date and Time Configuration

Users with the Customer Screening Administrator role can use the Due Date and Time Configuration

section to set the alerts' due date and time. The alerts will be prioritized based on these configuration

values.

NOTE

The Due Date and Time Configuration is applicable only for

Alert Management in the L1 investigation.

To access Due Date and Time Configuration section, follow these steps:

1. Click the hamburger icon to view the Application Navigation List.

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DUE DATE AND TIME CONFIGURATION

CUSTOMER SCREENING ADMINISTRATION GUIDE | 24

2. From the Application Navigation List, select Due Date and Time Configuration. The Due

Date and Time Configuration page appears.

Figure 6: Due Date and Time Configuration

3. Provide details in the following mandatory fields in Table 3:

Table 3: Conventions Used

Fields

Description

Jurisdiction

Select the jurisdiction value from the drop-down list.

Business Domain

Select the business domain to which the individual or entity belongs to.

Entity Type

Select the Entity Type as Customer, External Entity or Real-Time from the drop-down

list.

Alert Type

Select the Alert Type value from the drop-down list. The values appear based on the

selected entity type.

Priority

Select the alert priority value from the drop-down list.

Due Date

Select the due date values for the alert.

4. Click Add. The Due Date Configuration is added to the list.

▪ Click Reset if you want to clear all the fields and enter new values.

Figure 7: Due Date and Time Configuration

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DUE DATE AND TIME CONFIGURATION

CUSTOMER SCREENING ADMINISTRATION GUIDE | 25

5. You can perform the following actions on the existing configurations:

▪ Update: Select the configuration from the list, change any field values, and then click

Update.

▪ Remove: Select the configuration from the list and then click Remove.

▪ Reset: Select the configuration from the list and then click Reset to reset the given field

values.

NOTE

If the Due Date is not configured, the alerts will be prioritized

based on the default configuration with Due Date as 120 days.

You can reset the default Due Date with the

CS_appln_params table.

6. To change the Default Due Date configuration, you have to access the Atomic Schema and

access the CS_appln_params table and change the ZCS_DEFUALT_DUE_DATE parameter

value.

Figure 8: CS_appln_params table

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CUSTOMER SCREENING ADMINISTRATION GUIDE | 26

4.2 Setting the Priority

The Setting the Priority section describes how to set the alert priority as per your requirement. To set

the priority of the alert, follow these steps.

1. Access the Atomic Schema and access the FCC_ZCS_ALERT_PRIORITY_CONF table.

2. Change the following parameter values:

NOTE

Setting the Priority is applicable only for Alert Management in

the L1 investigation.

▪ n_alert_priority_min_score

▪ n_alert_priority_max_score

▪ v_jrsdcn_cd

▪ v_bus_dmn_list_tx

Figure 9: FCC_ZCS_ALERT_PRIORITY_CONF table

4.3 Security Mapping

The Security Mapping section describes how to change the security mapping. To change the security

mapping, follow these steps.

1. Access the Atomic Schema and access the FCC_ZCS_SECURITY_ATTR_GRP_MAP table.

2. Provide the values for the following columns:

NOTE

The Security Mapping is applicable only in the L1 Investigation

for Alert Management.

▪ V_GROUP_CODE

▪ V_JRSDCN_CD

▪ V_BUS_DMN_LIST_TX

▪ V_ALERT_TYPE

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▪ V_STATUS

The sample data is provided in the installer.

Figure 10: FCC_ZCS_SECURITY_ALERT_GRP_MAP table

4.4 Preparing Watch List Data

Customer Screening is preconfigured to handle reference data from the following sources:

• HM Treasury

• OFAC

• EU consolidated list

• UN consolidated list

• World-Check

• Dow Jones Watch list

• Dow Jones Anti-Corruption List

• Accuity

You can also use your private watch list using the Private List Interface (PLI). For more information,

see The Private List Interface (PLI) chapter in the Oracle Financial Services Data Interfaces Guide.

NOTE

1. Watch lists can be downloaded automatically by setting

the appropriate values in the run profile, or by

downloading the watch list from the watch list provider’s

website. For information on downloading the watch lists,

see Appendix C: Pre-Configured Watch List Information.

2. The first time a watch list is downloaded, the staging value

must be set to Y. This ensures that data in the staging

tables is refreshed every time the watch list is

downloaded.

3. The Accuity, Dow Jones, Dow Jones Anti-Corruption, and

World-Check watch lists are provided as paid services. To

use a watch list, you must register for an account on the

watch list provider’s website.

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4.4.1 Example - Preparing the Accuity List

This example describes how to edit the watch list-management.properties run profile to allow

you to download and configure the Accuity list. The run profile is available in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory when you log in to the

WinSCP server.

NOTE

You can also use the steps provided to download and

configure the other watch lists.

4.4.2 Example - Enable Phases for Download and Staging

This example describes how to edit the watch list-management.properties run profile to allow

you to download and configure the Accuity list.

To automatically download the Accuity list, set the following values in the watch list-

management.properties run profile:

phase.ACY\ -\ Download.enabled = Y

phase.ACY\ -\ Stage\ reference\ lists.enabled = Y

To manually download the Accuity watch list using the Oracle Enterprise Data Quality (OEDQ) server,

you must first set phase.ACY\ -\ Download.enabled and phase.ACY\ -\ Stage\

reference\ lists.enabled = N and click

sftp://username:pass[email protected]/PIDGWL.ZIP to connect to the WinSCP client. Enter

your user name and password and download the watch list from the

config/landingarea/Accuity directory.

If the OEDQ server is connected to the internet through a proxy server, you must provide values for

the following attributes in the proxy server:

• proxy_host. For example, proxy.example.microsoft.com.

• proxy_port. For example, 80.

• proxy_username. For example, username.

• proxy_password. For example, password.

4.4.2.1 Filtering

To prepare the Accuity list without filtering, set the following value in the watch list-

management.properties run profile:

phase.ACY\ -\ Prepare\ without\ filtering.enabled = Y

To prepare the Accuity list with filtering, set the following values in the watch list-

management.properties run profile:

phase.ACY\ -\ Prepare\ with\ filtering\ (Part\ 1).enabled = Y

phase.ACY\ -\ Prepare\ with\ filtering\ (Part\ 2).enabled = Y

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PRIVATE WATCH LIST SET UP

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4.5 Private Watch List Set Up

Oracle Financial Services Customer Screening is preconfigured to work with commercially-available

and government-provided watch lists. However, you can also screen data against your private watch

lists. Sample private watch lists are provided in the config/landingarea/Private directory for

individuals and entities in the privateindividuals.csv and privateentities.csv files

respectively.

NOTE

OEDQ release 12c has a base config folder and a local config folder.

The base config folder is called oedqhome and the local config

folder is called oedqlocalhome. The names can differ in some

cases. For example, dots or underscores can be used in the names,

such as oedq_local_home.

To screen data against a private watch list, you must first replace the data in the ready-to-use files

with your data and then enable the private watch list properties in the watch list-

management.properties run profile.

To replace the data, replace the data in the privateindividuals.csv and

privateentities.csv files with your private watch list data.

NOTE

The files must be saved in UTF-8 format.

To enable the staging and preparation of the private watch list in the watch list-

management.properties run profile, follow these steps:

1. Set phase.PRIV\ -\ Stage\ reference\ lists.enabled = Y to move your private

watch list data to the staging tables.

2. Set phase.PRIV\ -\ Prepare\ without\ filtering.enabled = Y to prepare the

private watch list without filtering.

3. Set phase.PRIV\ -\ Prepare\ with\ filtering\ (Part\ 1).enabled = Y and

phase.PRIV\ -\ Prepare\ with\ filtering\ (Part\ 2).enabled = Y to prepare

the private watch list with filtering.

4.6 Showing the Hidden Watch List Staged Data or

Snapshots in the Server Console Interface

The following staged data and snapshots are hidden in the Server Console interface by default:

• Watch list snapshots

• Intermediate filtered watch list staged data

• Centralized Reference Data staged data or snapshots

To show this data, set the corresponding visibility property value in the run profile to Y.

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For example, to view all Accuity watch list snapshots generated during Watch list Management, set the

following properties in the watch list-management.properties run profile. The run profile is

available in the <domain_name>/edq/oedq.local.home/runprofiles/ directory when you log

in to the WinSCP server.

stageddata.ACY\Sources.visible = Y

stageddata.ACY_All.visible = Y

stageddata.ACY_Sources.visible = Y

4.7 Analyzing Watch List Data

Customer Screening has a process called Data Quality (DQ) that checks the quality of the downloaded

watch list data which is later used for screening. This process can be run independently of the watch

list screening process.

4.7.1 Analyzing Data Quality

Before you analyze your watch list data, follow these steps:

1. Ensure that your data is loaded into FCDM and the watch list-screening project has the

correct database parameters.

2. Run the CS_EDQ_Watch list_Analyze job. The job checks your watch list data for any

quality issues that affect have a negative impact on the screening process.

To analyze the data for watch lists, set the following properties in the watch list-

management.properties run profile:

NOTE

The attributes shown are for the Accuity watch list. You must

set the corresponding properties for the watch list for which

you want to analyze data.

• phase.DQ\ -\ Stage\ ACY\ reference\ lists.enabled = Y

• phase.DQ\ -\ ACY\ reference\ data\ quality\ analysis.enabled = Y

• stageddata.DQ\ ACY\ -\ Invalid\ Standard\ Country\ in\ Accuity\

Nationality\ to\ Standard\ Country.visible = Y

• stageddata.DQ\ ACY\ -\ Missing\ Source\ in\ Accuity\ Source\ Risk\

Scores\ Reference\ Data.visible = Y

• stageddata.DQ\ ACY\ -\ Obsolete\ Source\ in\ Accuity\ Source\ Risk\

Scores\ Reference\ Data.visible = Y

4.8 Configuring Match Rules and Clusters for Customers

and External Entities

You can configure match rules and clusters by adding a property value to the customer-

screening.properties and external-entity-screening.properties run profiles.

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REAL-TIME AND BATCH SCREENING SET UP

CUSTOMER SCREENING ADMINISTRATION GUIDE | 31

For example, to disable the Exact name only rule, that is, [I010O], for batch and real-time sanctions

screening, add the following property value in the customer-screening.properties and

external-entity-screening.properties run profiles:

phase.*.process.*.[I010O]\ Exact\ name\ only.san_rule_enabled = false

The * character denotes a wildcard, which indicates that the following rule applies to all phases and

processes. If the [I010O] rule is disabled for batch screening only, the following is the new property

value:

phase.Batch\ screening.process.*.[I010O]\ Exact\ name\ only.san_rule_enabled

= false

NOTE

The property value is case-sensitive.

For information on the match rules and clusters used in Customer Screening, see the Oracle Financial

Services Customer Screening Matching Guide.

4.9 Real-Time and Batch Screening Set Up

By default, real-time and batch screening is enabled for SAN (sanctioned), PEP (Politically Exposed

Persons), and EDD (Enhanced Due Diligence) records. This is controlled by the real-time and batch

screening properties in the customer-screening.properties, Customer-Screening-real-

time.properties , and external-entity-screening.properties run profiles. You can use

these run profiles to enable or disable real-time or batch screening for all records or a specific record

type.

For example, to run real-time screening for PEP and EDD individual and entity records, disable the

following property values in the customer-screening.properties and external-entity-

screening.properties run profiles:

phase.Start\ Batch\ Screening.enabled = N

phase.Real-time\ Screening.process.Individual\ Real-time\

Screening.san_enabled = N

phase.Real-time\ Screening.process.Entity\ Real-time\ Screening.san_enabled

= N

Ensure that all other real-time screening properties are set to Y.

4.10 Extracting the Output of Matches into CSV Files

Customer Screening identifies possible relationships or matches between individuals and entities in

your customer data and the external entities on watch lists. These matches form the basis of the cases

that are investigated in Enterprise Case Management. When you perform batch screening and move

these matches into the Customer Screening data layer, you can extract the output into the.csv files.

This is useful if you want to use Customer Screening to identify the matches or if you want to review

the matches using another case management system.

To extract the output of the matches into the.csv files, set the following values in the Batch

Screening Setup section of the customer-screening.properties and external-entity-

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CUSTOMER SCREENING ADMINISTRATION GUIDE | 32

screening.properties run profiles. The run profiles are available in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory in the WinSCP server.

phase.*.process.*.output_relationships = Y

phase.Export\ Batch\ Relationships.enabled = Y

When you run Customer Screening with these run profile parameters enabled, two files are created:

• relns-ent-batch.csv. This file holds the match data for entities.

• relns-ind-batch.csv. This file holds the match data for individuals.

4.11 Filtering Watch List Data

The following sections provide information about how to enable watch list filtering, configure watch

list filtering, how to use primary filters, secondary filters, linked records, and how to screen all watch

list records.

4.11.1 Enabling Watch List Filtering

To enable filtering for a specific watch list, set the Prepare with Filtering phase in the

appropriate run profile to Y, and the Prepare Without Filtering phase to N. For more

information, see the example provided in Setting Filtering Options in the Run Profiles.

4.11.2 Configuring Watch List Filtering

Watch list filtering is controlled by configuring reference data in the watch list projects.

NOTE

1. The reference data sets in the Watch list Management

and Customer-Screening projects are identical. This is

to support installations that require filtering at different

stages. For example, if a company wants to initially filter

the prepared watch list data and then run several

screening projects to filter specific parts of the data.

2. Once data is filtered out from the watch list, it is not

possible to view the filtered data in another project. If, for

example, all entities are filtered out in the Watch list

Management project, then the Customer-Screening

project will not display the entities in the screening results.

The first level of filtering is controlled by editing the following filters in the Watch list Management

project:

1. Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 11: Director Menu in EDQ

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CUSTOMER SCREENING ADMINISTRATION GUIDE | 33

2. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 12: Project Browser Pane

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FILTERING WATCH LIST DATA

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3. Expand the Reference Data node and open Filter - Settings. The Reference Data Editor –

Filter - Settings window appears.

Figure 13: Reference Data Editor – Filter - Settings Window

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FILTERING WATCH LIST DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 35

All the reference data filters except the Linked Profiles filter is set to Y by default. Unless these settings

are changed, no actual filtering is performed on the watch list data. In the filter settings, a value of Y

indicates that all records are included, that is, no filters are applied.

Watch list filtering falls into four categories:

• By list and list subke y

• By list record origin characteristics

• By list profile record characteristics

• By linked profiles

For more information, see the example provided in Setting Primary Filters and Linked Profiles in the

Watch list Management Project.

4.11.3 Primary Filters, Secondary Filters, and Filters for Linked

Profiles

Primary filters are filters that are used to display all profiles that match the criteria specified. Filters for

linked profiles are used to display profiles that are linked to the primary filter.

NOTE

You can filter linked profiles only for the World-Check and Dow

Jones watch lists.

An example of a primary filter is a filter that is configured to capture all sanctions data. For the primary

filter, a filter is configured for the related PEP data.

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Secondary filters are applied to filter data that is displayed for linked profiles. For example, the

secondary filter for PEP data is occupation or nationality.

Primary and secondary filters are set in one project (Watch list Management/Customer-

Screening), and secondary filters are set in another project (Watch list

Management/Customer-Screening).

4.11.4 Setting Multiple Values for Primary and Secondary Filters

Further configurations must display the following records:

• Origins

• Origin Regions

• Origin Statuses

• Primary and Secondary Name Qualities

• Primary and Secondary Name Types

• Primary and Secondary PEP Classifications

To filter data using one or more of these options, set the relevant value in the Filter - Settings

reference data to N, and then make further changes to the corresponding reference data. When

you set the value in the Filter - Settings reference data to N, only the records that match

these values are included.

For example, if you set the value of the All name qualities (Primary)? filter to N, then you can

determine which name qualities must be included for each watch list in the Filter - Primary

Name Qualities reference data. Suppose you include a row for high-quality names in the EU watch

list, but you do not include rows for medium-quality and low-quality names in this watch list, then only

records with high-quality names are included in the watch list data.

NOTE

Some reference data sets are prepopulated with rows that

usually contain data which is supplied by each watch list

provider and can be viewed in the Watch List Management

project. For example, to view all possible stop keywords for

World-Check data, open the WC Keyword reference data in the

Watch list Management project as mentioned in the

following section.

4.11.4.1 Example - Filtering World-Check Data

This example describes the configurations which must be done to use primary and linked profile filters

in the World-Check watch list in the Watch list Management project and how to set secondary

filters in the Customer-Screening project. The following tasks are described:

• how to enable filtering in the watch list-management.properties run profile. For more

information on enabling filtering, see Setting Filtering Options in the Run Profiles.

• how to configure the primary filters and enable the filters for linked profiles in the Watch list

Management project to return the active records for sanctioned individuals originating from the

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FILTERING WATCH LIST DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 37

EU list. For more information, see Setting Primary Filters and Linked Profiles in the Watch list

Management project.

• how to configure the secondary filters in the Customer-Screening project to filter out all the

Linked Profiles of deceased individuals. For more information, see Setting Secondary Filters in

the Customer Screening project.

4.11.4.1.1 Setting Filtering Options in the Run Profiles

In the watch list-management.properties run profile, set the World-Check filtering phases as

follows. This file is available in the <domain_name>/edq/oedq.local.home/runprofiles/

directory in the WinSCP server.

• phase.WC\ -\ Prepare\ without\ filtering.enabled = N

• phase.WC\ -\ Prepare\ with\ filtering\ (Part\ 1).enabled = Y

• phase.WC\ -\ Prepare\ with\ filtering\ (Part\ 2).enabled = Y

• phase.WC\ -\ Load\ without\ filtering.enabled = N

• phase.WC\ -\ Load\ with\ filtering\ (Part\ 1).enabled = Y

• phase.WC\ -\ Load\ with\ filtering\ (Part\ 2).enabled = Y

4.11.4.1.2 Setting Primary Filters and Linked Profile Filters in the Watch list Management Project

Follow these steps to set primary filters and linked profiles in the project:

1. Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 14: Reference Data Filters

2. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 15: Reference Data Filters

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3. Expand the Reference Data node and open Filter - Settings. The Reference Data Editor –

Filter - Settings window appears.

Figure 16: Reference Data Filters

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CUSTOMER SCREENING ADMINISTRATION GUIDE | 39

4. In the Reference Data Editor – Filter - Settings window, configure the following parameters.

Double-click a value to update it.

1. Set the List/sub-list (Primary?) value in the WC-SAN row to Y.

Set the Entities (Primary)? value in the WC-SAN row to N.

Set the Inactive (Primary)? value in the WC-SAN row to N.

Set the All Origins (Primary)? value in the WC-SAN row to N.

Set all other values in the WC-SAN row to Y.

Add a new row with the following values:

i. List Key - WC

ii. List Sub Key - WC-SAN

iii. Origin - EU

Set the Linked Profiles? value in the WC-SAN row to Y.

5. Click OK to close the window and save your changes.

4.11.4.1.3 Setting Secondary Filters in the Customer Screening project

Follow these steps to set secondary filters in the project:

1. Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 17: Reference Data Filters

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CUSTOMER SCREENING ADMINISTRATION GUIDE | 40

2. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 18: Reference Data Filters

3. Expand the Reference Data node and open Filter - Settings. The Reference Data Editor –

Filter - Settings window appears.

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CUSTOMER SCREENING ADMINISTRATION GUIDE | 41

Figure 19: Reference Data Filters

4. In the Reference Data Editor – Filter - Settings window, Set the Deceased (Secondary)?

value in the WC-SAN row to N.

5. Click OK to close the window and save your changes.

4.11.5 Screening All Sanctions Data

By default, data is routed from the Watch list Management project to the different screening

processes depending on their record type, which can be Sanctions (SAN), Politically Exposed Persons

(PEP), or Enhanced Due Diligence (EDD) records. This allows different rules to be applied according to

the risk appetite of the record that is being screened.

However, if you want to use the same screening logic for all watch list records and do not want to

maintain separate rulesets, you can move all watch list records to the SAN screening processes. To do

this, set phase.*.process.*.Screen\ all\ as\ SAN? value in the customer-

screening.properties = Y. This file is located in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory in the WinSCP server.

4.11.6 Match Persistence and Flag Keys

Customer Screening parses all customer records against all watch list records daily. This allows new

alerts to be created due to changes in either the customer or the watch list data. When there is no

change to the customer or the watch list record and the match is identical to a previously generated

relationship, no new alerts are created.

Many attributes can change on a customer or watch list record but not all changes result in a new

alert. These attributes are controlled based on the flag key value.

NOTE

If a new alias name that matches the customer record is added

to a watch list, then this results in a new alert.

GENERAL CONFIGURATIONS

RISK SCORING IN WATCH LISTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 42

An example of a flag key is date of birth. Some potential matches are eliminated because the

value the customer has provided and the value in the watch list records are different. So, if the value

changes, then any potential matches related to the date of birth must be rereviewed. An example

of a field that is not included in the flag key is account balance. This value changes frequently and

does not impact the match decision. Flag keys are set in individual match processes, and a hash value

is generated which is used for comparison.

NOTE

The order of fields in the flag key is important. If the order

changes, this will result in a new alert.

4.12 Risk Scoring in Watch Lists

Customer Screening includes a feature to estimate the relative risk of doing business with a given

entity or individual. For each watch list, a risk score is calculated for an individual or entity based on

various attributes such as country of residence, operating country, and associated regime. The risk

scores for watch lists are available in the reference data tables for the specific watch list. For more

information, see Appendix B: Reference Data Tables for Watch Lists.

NOTE

The risk scores must be evaluated and tuned by a risk and

compliance expert with knowledge of your business

requirements and the relevant legislation.

4.12.1 Adjusting the Risk Scores

Customer Screening calculates a risk score and a Politically Exposed Person (PEP) risk score for every

alert created during screening. The risk score is a relative measure of the risk posed by an individual or

entity out of a maximum score of 100. The PEP risk score identifies the relative risk of the individual or

entity when the individual or entity is considered as a PEP. Since the risk score can be different from

the PEP risk score, the same algorithm is used to derive the risk score and PEP risk score but the

underlying scores and weightings on which the calculations are based are different.

The overall risk score of a potential match is calculated as a weighted average of the risk scores

generated for the watch list, customer, and external entity records in the match. The risk scores for the

watch list, customer, and external entity records are calculated as a weighted average of the risk

scores of the contributing risk elements. A risk element is a data field, such as Country of Operation or

Occupation, and a risk score is assigned to the risk elements based on its value.

You can adjust the following attributes to customize the overall risk score:

• Risk scores and relative weightings of the risk elements.

• Relative weight of the watch list risk score, customer risk score, and external entity risk score.

• Reference data tables of the specific watch list used in the screening process.

GENERAL CONFIGURATIONS

RISK SCORING IN WATCH LISTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 43

4.12.2 Editing the Risk Element Scores

You can adjust the risk element scores by editing the risk element in Enterprise Data Management

(EDQ). The risk elements that are considered during the risk score calculation depend on the fields

that are present in the watch list or customer record.

4.12.2.1 Example – Accuity Watch List

The following steps explain how to edit the risk element scores for the Accuity watch list:

1. Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 20: Director Menu in EDQ

2. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 21: Project Browser Pane

GENERAL CONFIGURATIONS

RISK SCORING IN WATCH LISTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 44

3. Expand the Reference Data node.

4. Right-click Accuity Source Risk Scores and select Edit data.

Figure 22: Accuity Source Risk Scores

GENERAL CONFIGURATIONS

RISK SCORING IN WATCH LISTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 45

5. In the Reference Data Editor – Accuity Source Risk Scores window, the risk score appears in

editable mode.

Figure 23: Reference Data Filters for Accuity

GENERAL CONFIGURATIONS

RISK SCORING IN WATCH LISTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 46

NOTE

If you edit the risk scores, you must rerun the Download,

Prepare, Filter and Export All Lists jobs in the

Watch list Management project and the MAIN job in the

Customer-Screening project in EDQ. Until this is done, the

generated matches will not show the new risk scores. For more

information on how to view the jobs, see Analyzing the Data

Quality of Customer Data and External Entity.

4.12.2.2 Editing the Risk Element Weightings

You can edit the default weightings assigned to each risk element in the Reference Data Editor – Risk

– Risk Element Weightings window. This reference data set specifies which fields in that record

contribute to the risk score calculation for each type of record and to what degree (weightage).

The following steps explain how to view the risk element weightings for all watch lists:

1. Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 24: Director Menu in EDQ

2. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 25: Project Browser Pane

GENERAL CONFIGURATIONS

RISK SCORING IN WATCH LISTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 47

3. Expand the Reference Data node.

4. Right-click Risk - Risk Element Weightings and select Edit data.

Figure 26: Reference Data Filters for Risk Element Weightings

GENERAL CONFIGURATIONS

SCHEDULING THE CUSTOMER SCREENING RUN JOB

CUSTOMER SCREENING ADMINISTRATION GUIDE | 48

The format for the value in the RecordType column is the watch list and a suffix specifying whether

the record represents an individual (_I) or an entity (_E). For example, HMT_I.Customer data have a

record type of CUST_I for individual records and CUST_E for entity records.

The higher the weighting number, the more the corresponding risk element contributes to the overall

risk score. The weighting scores for each row must add up to 1.

The overall risk score calculation for a record containing n elements is as follows:

Risk Score = E1w1 + E2w2 + …+ Enwn

Where the risk element score for element x is represented by Ex and the weighting for element x is

represented by wx.

The total of all weightings must add up to 1, that is, (w1 + w2 + …+ wn = 1).

NOTE

If there is no data for a risk element, it must not be included in the

risk score calculation.

4.13 Scheduling the Customer Screening Run Job

To execute a Customer Screening Run job, follow these steps:

1. Navigate to the FCI_DB_HOME/bin directory.

2. Execute the command /EDQInsert.sh <INFODOM NAME>. This step is used to register the

EDQ server details. You must replace the INFODOM NAME placeholder with your domain name.

3. Enter the following details in the console where the command is run:

GENERAL CONFIGURATIONS

SCHEDULING THE CUSTOMER SCREENING RUN JOB

CUSTOMER SCREENING ADMINISTRATION GUIDE | 49

▪ EDQ Server IP

▪ EDQ Server Direct Port number (JMX port number). This value must be 8090.

▪ EDQ Server User Name

▪ EDQ Password details

Figure 27: EDQ Details

4. Create and authorize a new ECM user who has no case privileges. For example, CSConnect.

For information on how to create or add and authorize a user, see the User Administrator

section in the Oracle Financial Services Analytical Applications Infrastructure User Guide.

NOTE

In the first login as a new user, you are prompted to change the

password.

5. Execute the command /EDQInsert.sh <INFODOM NAME> again only if you are doing a

pack-on-pack installation of Enterprise Case Management (ECM) on Sanctions and the ECM

URL is unavailable. An entry is made in the ATOMIC schema in the cs_appln_params table.

6. Copy the following run profiles from the <domain_name>/edq/oedq.local.home

/runprofiles/ directory in the WinSCP server to the FIC_DB_HOME/conf directory:

▪ watch list-management.properties

▪ customer-screening.properties

▪ external-entity-screening.properties

▪ customer-screening-real-time.properties

GENERAL CONFIGURATIONS

SCHEDULING THE CUSTOMER SCREENING RUN JOB

CUSTOMER SCREENING ADMINISTRATION GUIDE | 50

7. Load the stage table data for the customer-related tables. For more information, see Loading

Data into the Customer tables.

8. In the Run page, select the CS_Data_Load_Event_Generation run and click Fire Run

. The batches must be run in the order mentioned in the following table. It is not

mandatory to run all the batches.

Table 4: Sequence of Batches to be Run

Sequence

Batch Name

Description

CS_EDQ_Watch list_Management

This job is used to run the watch list management

project and start real-time screening in EDQ based on

the run profile parameters.

This job must be run daily.

CS_EDQ_Watch list_Analyze

This job is used to check the data quality of the

downloaded watch list.

CSBusinessDataLoad

This job is used to load data from the staging tables to

the business tables.

CS_Data_Load_Event_Generation

This job is used to match customer data with the

downloaded watch list data and to generate alerts.

Oracle_CS_Zipper_Processing

This job will move the data from the source database to

the consolidated database and create an alert based on

the Customer.

NOTE

The

Oracle_CS_Zipper_Processing

batch is only applicable in the L1

Investigation.

Figure 28: Run Page

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 51

4.14 Loading Data

This section explains how to load customer data from staging tables to the business table.

The following are the types of data loading:

• Loading Data into the Customer Tables (Full Load)

• Loading Data into the Customer Tables (Delta Load)

4.14.1 Loading Data into the Customer Tables (Full Load)

The full load allows you to move the complete list of data from the staging table to the business table.

To load data into the Customer tables, follow these steps:

9. Log on to the Customer Screening application.

10. Click Common Tasks, then click Rule Run Framework, and then click Run. The Run page

appears.

Figure 29: Run Page

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 52

11. In the Run page, select the CSBusinessDataLoad checkbox and click Fire Run. Select the

Date and click OK.

4.14.2 Loading Data into the Customer Tables (Delta Load)

The delta load allows you to move only the changed or enhanced data from the staging table to the

business table.

If any customer data is changed in stage data only those data is moved in business. Based upon the

date you run the batch.

For example, if any new entry has come for the same customer ID on a different date. Only those

customer details are pushed to the business table.

The following workflow explains the external entity data movement from stage tables to business

tables.

Figure 30: Delta Load Workflow

To load data into the Customer tables, follow these steps:

1. Log on to the Customer Screening application.

2. Click Common Tasks, then click Rule Run Framework, and then click Run. The Run page

appears.

Figure 31: Run Page

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 53

3. In the Run page, select the CSBusinessDataLoad checkbox and click Edit . The Run

page appears in edit mode.

Figure 32: Run Definition (Edit Mode)

4. Click Selector and then select Job . The Component Selector window appears.

5. Select the Truncate_Tables task and then click drop-down list .

Figure 33: Component Selector Window

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 54

6. Change the parameter value to N and click OK to close the Parameters window.

Figure 34: Parameters Window

NOTE

By default it is “N”, if delta mode to be supported, update from “N”

to “D”.

7. Click OK to close the Component Selector window.

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 55

8. Click Next.

9. Click Save.

4.14.3 Creating and Running Parallel Batches

Parallel batches can be run in CS if you want to run batches with different jurisdictions at the same

time. To run parallel batches, run the CS_Data_Load_Event_Generation task for each jurisdiction.

To create parallel batches, follow these steps:

4.14.3.1 Create a process

To create a process, follow these steps:

1. Make an entry in the cs_processing_group table in the N_GROUP_ID and V_GROUP_NAME

columns. For ex, 102 and GROUP_US.

Figure 35: Developer Window

2. Log on to the Customer Screening application.

3. Click Common Tasks, then click Rule Run Framework, and then click Process. The Process

page appears.

4. Search for Start in the Code field and select CS_E2E_Start_Batch.

Figure 36: Process Page

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 56

5. Click Copy . The Process page opens in Copy mode.

Figure 37: Process Definition (Copy Mode)

6. In the Folder field, click Folder and then select TFLSEGMENT.

Figure 38: Folder Selector

7. In the Name field, change the job name to include the Jurisdiction Code. For example,

CS_Data_Load_Event_Generation_US.

8. Select F_CS_BATCH_RUN.

Figure 39: Process Definition (Copy Mode)

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 57

9. Select Component.

10. In the Parameters window, select the F_CS_BATCH_RUN task and then click drop-down list

. Change the parameter ORACLECS to the entry made in the cs_processing_group table

and the parameter CS to the Jurisdiction Code. For example,

"GROUP_US","","ALL","START","US".

Figure 40: Component Selector Window

11. Click OK to close the Parameters window.

12. Click OK.

13. Click Save.

14. Search for End in the Code field and select CS_End_To_End_End_Batch.

15. Click Copy . The Run Page opens in Copy mode.

16. In the Folder field, first click Folder and then select TFLSEGMENT.

17. In the Name field, change the job name to include the Jurisdiction Code. For example,

CS_Data_Load_Event_Generation_US.

18. Select F_CS_BATCH_RUN.

19. Select Component.

20. In the Parameter field, change the parameter ORACLECS to the entry made in the

cs_processing_group table, for example, GROUP_US, and the parameter CS to the

Jurisdiction Code, for example, US.

21. Click OK.

22. Click OK.

23. Click Save.

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 58

A confirmation message appears. The new parameter is now displayed in the Run page.

NOTE

In the example shown, the new processing batch name has been

changed from CS to US. If this change is not made, no data is loaded

in the tables.

4.14.3.2 Creating a Run

To create a run, follow these steps:

1. Log on to the Customer Screening application.

2. Click Common Tasks, then click Rule Run Framework, and then click Run. The Run Page

appears.

Figure 41: Run Page

3. Search for Start in the Code field and select CS_End_To_End_Start_Batch.

4. Click Copy . The Run Page opens in Copy mode.

Figure 42: Run Definition (Copy Mode) Page

GENERAL CONFIGURATIONS

LOADING DATA

CUSTOMER SCREENING ADMINISTRATION GUIDE | 59

5. In the Folder field, click Folder and then select TFLSEGMENT.

Figure 43: Folder Selector

6. In the Name field, change the job name to include the Jurisdiction Code. For example,

CS_Data_Load_Event_Generation_US.

7. Click Selector list and select Job.

8. In the Component Selector page, first select the CS_End_To_End_Start_Batch,

CS_End_To_End_End_Batch, and Truncate CS Tables tasks (in that order) from the

Tasks table and then click to move them to the List table. The tasks are moved to the

Processes node.

Figure 44: Component Selector

GENERAL CONFIGURATIONS

CONFIGURATIONS FOR GENERAL DATA PROTECTION REGULATION (GDPR)

CUSTOMER SCREENING ADMINISTRATION GUIDE | 60

WARNING

Ensure that you remove the Truncate CS Tables job to prevent

the removal of data. If, by mistake, you run the Truncate CS

Tables job, you can run the CSBusinessDataLoad job to reload

data in the table.

9. Replace these tasks with the task created in step 17, that is,

CS_Data_Load_Event_Generation_US. If you do not make this change, no data is loaded

in the tables.

10. Click OK.

11. Click OK.

12. Click Save.

The new job is displayed in the Run page.

NOTE

These steps must also be done in the ECM setup. The processes

and runs created in Customer Screening create alerts, and the

processes and runs created in ECM fetch the alerts. Cases are

generated from these alerts. An example of a process created for

ECM is Oracle_CS_Event_Processing and an example of a run

created for ECM is Oracle_CS_Event_Processing_US.

4.15 Configurations for General Data Protection Regulation

(GDPR)

GDPR is a set of data protection rules. The main aim of GDPR is to give control to individuals over their

data.

To enable GDPR, perform the following configurations:

1. Create a user who will do the GDPR configurations in the same database, for example, GDPR.

2. Assign the OFS_NOSEC_DATA privilege to the user by executing the following grant:

GRANT OFS_NOSEC_DATA to GDPR

3. Follow these steps to connect to the user:

1. Create a synonym called cs_customer for the user by executing the following command:

CREATE PUBLIC SYNONYM cs_customer FOR {dbname}.cs_customer

{dbname} is the user for whom the CUST data and GDPR is applied

Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 45: Director Menu in EDQ

GENERAL CONFIGURATIONS

CONFIGURATIONS FOR GENERAL DATA PROTECTION REGULATION (GDPR)

CUSTOMER SCREENING ADMINISTRATION GUIDE | 61

In the Director landing page, expand the Customer-Screening project in the Project Browser pane.

Figure 46: Project Browser Pane

Expand the Data Stores node and open FCDM Batch Data. The Edit Data Store window appears.

Figure 47: Edit Data Store Window

GENERAL CONFIGURATIONS

CONFIGURATIONS FOR GENERAL DATA PROTECTION REGULATION (GDPR)

CUSTOMER SCREENING ADMINISTRATION GUIDE | 62

In the Edit Data Store window, enter the Database host, Port, Database name, User name, and Password.

Figure 48: Edit Data Store for Staging Database Connection

GENERAL CONFIGURATIONS

OPTIONAL CONFIGURATIONS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 63

The GDPR configurations are now enabled for the GDPR user. You can view the applicable data

in the CUST table.

4.16 Optional Configurations

You can perform the following optional configurations:

4.16.1 Data Quality Check

• To run the Data Quality (DQ) check, set the following values in the watch list-

management.properties file. This file is located in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory in the WinSCP server.

▪ phase.DQ\ -\ Stage\ DJW\ reference\ lists.enabled = Y

▪ phase.DQ\ -\ DJW\ reference\ data\ quality\ analysis.enabled = Y

▪ stageddata.DQ\ DJW\ -\ Invalid\ Standard\ Country\ in\ DJ\

Country\ to\ Standard\ Country.visible = Y

▪ stageddata.DQ\ DJW\ -\ Missing\ Category\ in\ DJW\ SI\

Category.visible = Y

▪ stageddata.DQ\ DJW\ -\ Missing\ Category\ in\ DJW\ SI\ Category\

Description.visible = Y

▪ stageddata.DQ\ DJW\ -\ Missing\ DJW\ Country\ in\ DJ\ Country\

to\ Standard\ Country.visible = Y

▪ stageddata.DQ\ DJW\ -\ Missing\ Name\ in\ DJW\ List\ Provider\

Reference\ Data.visible

GENERAL CONFIGURATIONS

CONFIGURING NEW WATCHLIST SUMMARY FIELD NAME

CUSTOMER SCREENING ADMINISTRATION GUIDE | 64

▪ stageddata.DQ\ DJW\ -\ Missing\ Occupation\ Name\ in\ DJW\

Occupation\ Category.visible

▪ stageddata.DQ\ DJW\ -\ Obsolete\ Category\ in\ DJW\ SI\

Category.visible

▪ stageddata.DQ\ DJW\ -\ Obsolete\ Category\ in\ DJW\ SI\ Category\

Description.visible

▪ stageddata.DQ\ DJW\ -\ Obsolete\ DJW\ Country\ in\ DJW\ Country\

to\ Standard\ Country.visible

▪ stageddata.DQ\ DJW\ -\ Obsolete\ Name\ in\ DJW\ List\ Provider\

Reference\ Data.visible

▪ stageddata.DQ\ DJW\ -\ Obsolete\ Occupation\ Name\ in\ DJW\

Occupation\ Category.visible

• To move data from the Windows batch file to the Linux shell script, follow these steps in the

watch list-management.properties file:

▪ Comment out phase.DJW\ -\ Download.externaltasks.Download\ Dow\

Jones\ Watch list.command = download-djw.bat

▪ Uncomment phase.DJW\ -\ Download.externaltasks.Download\ Dow\

Jones\ Watch list.command = download-djw.sh

4.16.2 Sorting Real-Time Watchlist Details

The order of Watchlist details displayed on the UI for Real-Time Screening alerts in CSAM or Case in

ECM can be configured in this table:

cs_rt_watchlistdetails_order

The Order can be defined for Individual and Entity separately.

NOTE

If you want to insert any new field in between the order list,

make sure N_ORDER column is properly sorted.s

This change gets reflected in the following UIs:

• On click of Watchlist ID in Real-time Screening UI

• Watchlist Details in Alert Details page in CSAM

• Watchlist Details in Case Details page in ECM

4.17 Configuring New Watchlist Summary Field Name

To configure or add new watchlist field name to display in the watchlist summary details follow the

subsequent steps:

1. Access the Config schema and access the messages_en_US table.

GENERAL CONFIGURATIONS

CONFIGURING NEW WATCHLIST SUMMARY FIELD NAME

CUSTOMER SCREENING ADMINISTRATION GUIDE | 65

2. Map the new field names in messages_en_US table as below:

▪ msg_identifier as ZCS_WATCHLIST_<field_Name>

▪ msg_package as RENDERER

NOTE

The remaining parameter entries can be the same as other

entries in the table.

For Example:

insert into messages_en_us (MSG_PACKAGE, MSG_IDENTIFIER, MSG_CODE,

MSG_DESCRIPTION,MSG_TYPE) values

('RENDERER','ZCS_WATCHLIST_ADDRESS_COUNTRY_CODE','80808','Address Country

Code','L');

INTEGRATIONS WITH ENTERPRISE CASE MANAGEMENT

CASE CLASS IN ECM

CUSTOMER SCREENING ADMINISTRATION GUIDE | 66

5 Integrations with Enterprise Case Management

Customer Screening uses the Enterprise Case Management (ECM) application to investigate and

manage cases generated by the matching process in Customer Screening.

The following sections describe the default case types and workflows provided with Oracle Financial

Services Enterprise Case Management. For more information, see Oracle Financial Services Enterprise

Case Management Admin Guide.

5.1 Case Class in ECM

For Customer Screening Application, the following case classes have been added in the Oracle

Financial Services Enterprise Case Management Application:

• CS

• CS_EE

• CS_RT

To add new case classes, follow the steps in the Adding Case Class section in the Oracle Financial

Services Enterprise Case Management Admin Guide.

Figure 49: Case Designer Page

INTEGRATIONS WITH ENTERPRISE CASE MANAGEMENT

CASE TYPES UNDER CASE CLASS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 67

5.2 Case Types under Case Class

The following case types are created for the CS case class:

• CS_EDD: Enhanced Due Diligence (EDD)

• CS_PRB: Prohibition (PRB)

• CS_SAN: Sanctions (SAN)

• CS_EE_EDD: Enhanced Due Diligence (EDD) for External Entity screening

• CS_EE_PEP: Politically Exposed Person (PEP) for External Entity screening

• CS_EE_PRB: Prohibition (PRB) for External Entity screening

• CS_EE_SAN: Sanctions (SAN) for External Entity screening

• CS_PEP: Politically Exposed Person (PEP)

• CS_RT_EDD: Enhanced Due Diligence (EDD) for Real-Time screening

• CS_RT_PEP: Politically Exposed Person (PEP) for Real-Time screening

• CS_RT_PRB: Prohibition (PRB) for Real-Time screening

• CS_RT_SAN: Sanctions (SAN) for Real-Time screening

For each Case Type, default Entities are mapped. If additional Entities are required, see the Adding

Optional Entities to the Case Type section in Oracle Financial Services Enterprise Case Management

Admin Guide.

5.3 Case Correlation, Linked Cases, and Searching for

Cases

After the Customer Screening batch is run, alerts are correlated into cases based on the watch list

record type. More than one case can be generated for a single alert, one each for Sanctions (SAN),

Country Prohibitions (PRB), Politically Exposed Persons (PEP), and Enhanced Due Diligence (EDD).

You can view the case which is linked with the case being investigated. The following image shows the

fields:

Figure 50: Link Cases Window

INTEGRATIONS WITH ENTERPRISE CASE MANAGEMENT

CREATING WORKFLOWS FOR CASE TYPES

CUSTOMER SCREENING ADMINISTRATION GUIDE | 68

You can configure the correlation rules for an alert in the Correlation tab, or view the cases linked to

the case being investigated in the Relationship tab. For more information, see the Using Operational

Data Tabs section in Oracle Financial Services Enterprise Case Management User Guide.

There are certain ready-to-use Customer Screening case type search criteria. They can be viewed in

the Search Cases tab in ECM. For more information, see the Searching Cases section in Oracle

Financial Services Enterprise Case Management User Guide.

Figure 51: Search Cases Window

5.4 Creating Workflows for Case Types

Each of the Sanctions (SAN), Country Prohibitions (PRB), Politically Exposed Persons (PEP), and

Enhanced Due Diligence (EDD) cases go through a workflow. The SAN and PRB cases have the same

ready-to-use workflow, and the PEP and EDD cases have the same workflow.

5.5 Workflow Diagrams

The following diagrams represent the workflows for the Sanctions (SAN), Politically Exposed Persons

(PEP), Country Prohibition (PRB), or Enhanced Due Diligence (EDD) records:

5.5.1 SAN and PRB Workflow

The workflow for the sanctions and country prohibition records are as follows:

Figure 52: SAN and PRB Workflow

INTEGRATIONS WITH ENTERPRISE CASE MANAGEMENT

TAKING ACTIONS ON CUSTOMER SCREENING-RELATED CASES

CUSTOMER SCREENING ADMINISTRATION GUIDE | 69

5.5.2 PEP and EDD Workflow

The workflow for the Politically Exposed Persons and Enhanced Due Diligence records are as follows:

Figure 53: PEP and EDD Workflow

5.6 Taking Actions on Customer Screening-related Cases

You can take an action on a case depending on the workflow status, case type, and user. You can also

add a comment and attach a document To take an action on a case, see the Using Take Action

Window section in Oracle Financial Services Enterprise Case Management User Guide.

The following figure shows a sample of an EDD workflow that has a Pending Review status and

Supervisor user.

Figure 54: Take Action Window

INTEGRATIONS WITH ENTERPRISE CASE MANAGEMENT

SETTING THRESHOLDS FOR CASE PRIORITIES

CUSTOMER SCREENING ADMINISTRATION GUIDE | 70

NOTE

When a match decision is taken for an alert, you can make the

comments mandatory or optional.

1. To make comments mandatory, set the values of the

REQ_CMNT_FL column in the KDD_ACTION table to Y.

Run select t.action_cd,t.action_nm from

kdd_action t and update the value. You cannot

take an action until you provide a comment.

2. To make comments optional, set the values of the

REQ_CMNT_FL column in the KDD_ACTION table to N.

You can take an action even if you do not provide a

comment.

5.7 Setting Thresholds for Case Priorities

The case priority is based on the case type and risk score. You can set the case priority in the

FCC_CASE_PRIORITY table. By default, if you do not set the case priority, it is set to High.

REAL-TIME SCREENING

SETTING THRESHOLDS FOR CASE PRIORITIES

CUSTOMER SCREENING ADMINISTRATION GUIDE | 71

6 Real-Time Screening

There are two ways to perform screening in the Customer Screening application: real-time screening

and batch screening.

Real-time screening is the screening of individuals and entities that occur when you enter data in the

Real-Time Screening page and click Scan (Analyst & Supervisor) and Scan & Investigate (Analyst &

Supervisor) to see the screening results and details of Alert generation or Case creation. You can also

view the Alert details or Case details from screening results. For more information, see Running the

Real-Time Screening Job. To enable scan & Investigate, map the role Scan & Investigate to CSRTGRP

group.

Batch screening is the screening of individuals and entities that occur when you run the batch

screening job. Before you run the job, you must first configure the Enterprise Data Quality (Director)

details and then prepare and analyze the customer screening and external entity data in the Financial

Crime Data Model (FCDM). For more information, see Running the Batch Screening Job.

For information about security standards followed by CS application for real-time screening and batch

screening, see https://owasp.org/www-project-top-ten/.

The following image shows the different components involved during the Real-time screening

process:

REAL-TIME SCREENING

SETTING THRESHOLDS FOR CASE PRIORITIES

CUSTOMER SCREENING ADMINISTRATION GUIDE | 72

Figure 55: Real-Time Screening Workflow

After you provide data on the Real-Time Screening page, a REST call is made to the individual or

entity being screened in the real-time screening user interface. The call is then routed to the

Enterprise Data Quality (EDQ) system through the Process Modelling Framework (PMF)

application. The information is then matched against the watch list data. Data is also persisted as

external entities in the FCT_RTSCR_REQUEST table.

If a match is found, the matches are aggregated. The aggregated matches are used to create alerts

and cases for external entities in Financial Crime Data Model (FCDM) and Analytical Application

Infrastructure (AAI) and generate responses in PMF. The alerts or cases are displayed in the Case

Summary page in L1 Alert Management or Enterprise Case Management (ECM) for investigation.

REAL-TIME SCREENING

CONFIGURING THE EDQ URL

CUSTOMER SCREENING ADMINISTRATION GUIDE | 73

NOTE

3. Real-time screening can be performed only when the

real-time screening job in EDQ is running.

4. To cancel the real-time screening process, select

Shutdown web services in the Cancel Individual

Real-time Screening web services dialog box.

5. The Real-time access group must only be mapped to

the case supervisor or the case analyst users and must

not be mapped to the admin user.

6.1 Configuring the EDQ URL

The Configuring the EDQ URL section describes the detailed process to configure the EDQ URL in

Real-Time Screening with Customer Screening Alert Management (CSAM) and Enterprise Case

Management (ECM) in the server.

To configure the EDQ URL for Real-time screening, follow these steps:

1. Navigate to the FCI_DB_HOME/bin directory.

2. Execute the command /EDQInsert.sh <INFODOM NAME>. This step is used to register the

EDQ server details. You must replace the INFODOM NAME placeholder with your domain name.

3. Enter the following details in the console where the command is run:

▪ EDQ server IP: An example of the EDQ URL is <Host Name>:Port. Replace this with

your EDQ server’s URL.

▪ EDQ Server Direct Port number: This is the JMX port number. This value must be 8090.

▪ EDQ Server User Name: An example of the EDQ server user name is weblogic. Replace

this with your EDQ server’s user name.

▪ EDQ Password: An example of the EDQ password is weblogic1. Replace this with your

EDQ server’s password.

4. Enter CSAM for alert management if the Customer Screening Alert Management (CSAM) is as

L1 investigation for Real Time Screening.

a. If the Customer Screening Alert Management application is in the same server, see

Figure 56. If not, see Figure 57.

REAL-TIME SCREENING

CONFIGURING THE EDQ URL

CUSTOMER SCREENING ADMINISTRATION GUIDE | 74

Figure 56: Configure the EDQ URL in Real-time Screening with Customer Screening Alert

Management (CSAM) in the same Server

Figure 57: Configure the EDQ URL in Real-time Screening with Customer Screening Alert

Management (CSAM) in different Server

5. Enter ECM for case creation if the Enterprise Case Management (ECM) is as L1 investigation for

Real Time Screening.

a. If the Enterprise Case Management application is in the same server, see Figure 58. If

not, see Figure 59.

Figure 58: Configure the EDQ URL in Real-time Screening with Enterprise Case Management (ECM)

in the same Server

REAL-TIME SCREENING

CONFIGURING THE EDQ URL

CUSTOMER SCREENING ADMINISTRATION GUIDE | 75

Figure 59: Configure the EDQ URL in Real-time Screening with Enterprise Case Management (ECM)

in the different Server

6. You can configure the Customer Screening Application URL in Real-time Screening with

Enterprise Case Management (ECM) or Customer Screening Alert Management (CSAM) in the

different Server. Replace the existing URL with URL where you are doing the Real-time

Screening. Once executed, it will create an entry in CS_APPLN_PARAMS table.

Figure 60: Configure the CS Application URL in Real-time Screening with Enterprise Case

Management (ECM) in the same Server

7. Configure the EDQ URL in the CONFIG schema. To do this, run the following script and replace

the placeholders in the v_method_name and v_param_1 columns with the EDQ URL, EDQ

user name, and EDQ password respectively:

select t.*,t.rowid from aai_wf_application_api_b t where

t.v_process_id='CSRT' and t.v_app_api_id in

('1521535704140','1521535760435')

REAL-TIME SCREENING

SCREENING WATCH LIST RECORDS IN REAL-TIME

CUSTOMER SCREENING ADMINISTRATION GUIDE | 76

6.2 Screening Watch List Records in Real-Time

Real-time screening is the screening of individuals and entities that occur when you enter data in the

Real-Time Screening page and click Scan (Analyst & Supervisor) and Scan & Investigate (Analyst &

Supervisor) to see the screening results and details of Alert generation or Case creation. You can also

view the Alert details or Case details from screening results.

NOTE

Creating an Alert or Case is configurable. The Alert or Case will

be generated when you select CSAM or ECM, respectively,

while configuring EDQ URL. For more details, see Configuring

the EDQ URL section.

To screen watch list records, follow these steps:

1. Log on to the Customer Screening application.

2. Click Real-Time Screening is displayed.

Figure 60: Real-Time Screening Page

3. In the Real-Time Screening page, select the search type as Individual or Entity.

NOTE

To populate the business domain and jurisdiction, the ECM

security mapper batch must be executed.

4. The following fields appear if the search type is Individual.

Figure 61: Individual Search Type

REAL-TIME SCREENING

SCREENING WATCH LIST RECORDS IN REAL-TIME

CUSTOMER SCREENING ADMINISTRATION GUIDE | 77

Enter/Select values for the Individual Search Type fields:

▪ Given Names

▪ Jurisdiction

▪ Business Domain

▪ Family Names

▪ Address Country

▪ Country of Birth

▪ Residency Country

▪ External ID Type

▪ Original Script Name

▪ City

▪ Nationalities

▪ External ID

▪ Date of Birth

▪ Passport Number

▪ Passport Issuing Country

▪ Identification Numbers

NOTE

The combination of Given Name and Family Name or Original

Script Name or Passport Number along with Jurisdiction and

Business Domain must provide to scan.

5. The following fields appear if the search type is Entity.

Figure 62: Entity Search Type

REAL-TIME SCREENING

SCREENING WATCH LIST RECORDS IN REAL-TIME

CUSTOMER SCREENING ADMINISTRATION GUIDE | 78

Provide details in the following mandatory fields:

▪ Entity Name

▪ Jurisdiction

▪ Business Domain

▪ Address Country

▪ Operating Countries

▪ Registration Country

▪ External ID Type

▪ Original Script Name

▪ City

▪ External ID

▪ Identification Numbers

NOTE

The combination of Entity Name or Original Script Name along

with Jurisdiction and Business Domain must be provided to

Scan.

For more details on fields, see the Field Descriptions section.

6. Perform the following for Individual or Entity:

7. Click Scan. The screened watch list records are displayed.

a. For Analyst & Supervisor:

Click Scan. The screened watch list records are displayed without creating an Alert in

the L1 Investigation or case in ECM.

Figure 63: Scanning Real-time Screening Records Table

REAL-TIME SCREENING

SCREENING WATCH LIST RECORDS IN REAL-TIME

CUSTOMER SCREENING ADMINISTRATION GUIDE | 79

b. For Analyst & Supervisor:

Click Scan. It displays the screened watch list records.

Click Scan & Investigate. It generates an alert in the L1 Investigation or case in ECM

based on the configurations.

The alert ID or Case ID results are displayed.

Figure 64: Scanning Real-time Screening – Individual (Supervisor)

c. You can view generated alert ID or Case ID in the results and click Alert ID or Case ID to

view the Alert Details or Case Details page, respectively.

Figure 65: Alert Details

REAL-TIME SCREENING

SCREENING WATCH LIST RECORDS IN REAL-TIME

CUSTOMER SCREENING ADMINISTRATION GUIDE | 80

8. Click Clear to clear the field data and re-enter.

6.2.1.1 Field Descriptions

▪ Given Name: Enter the first name of the Individual.

▪ Entity Name: Enter the entity name.

▪ Family Name: Enter the family name of the Individual.

▪ Jurisdiction: Select the Jurisdiction to which the Individual or Entity belongs.

▪ Business Domain: Select the business domain to which the Individual or Entity belongs.

You can also provide details in the following optional fields:

▪ Address Country: Enter the current address of the Individual or Entity.

▪ Country of Birth: Enter the country code in which the individual was born or the Entity

originated. This field is applicable only when you select the search type as Individual.

▪ Residency Country: Enter the country code of residence of the Individual or Entity. This

field is applicable only when you select the search type as Individual.

▪ Operating Countries: Enter the country codes the Entity operates in. To add more than one

country code, add a comma between the countries. For example, the US, IN. This field is

applicable only when you select the search type as Entity.

REAL-TIME SCREENING

RUNNING THE REAL-TIME SCREENING JOB

CUSTOMER SCREENING ADMINISTRATION GUIDE | 81

▪ Registration Country: Enter the country code the Entity is registered in. This field is

applicable only when you select the search type as Entity.

▪ External ID Type: Select the external ID type of the Individual or Entity.

▪ External Type: Select the external type of Entity.

▪ Original Script Name: Enter the Individual or Entity's name in the original script if the script

is a non-Latin script.

▪ City: Enter the city of residence of the Individual or Entity.

▪ Nationalities: Enter the nationality country code of the Individual. This field is applicable

only when you select the search type as Individual.

▪ External ID: Enter the external ID unique to the Individual or Entity.

▪ Date of Birth: Enter the Date of birth of the Individual. This field is applicable only when you

select the search type as Individual.

▪ Passport Number: Enter the passport number of the Individual.

▪ Passport Issuing Country: Enter the country code in which the passport is issued.

▪ Identification Numbers: Enter the identification numbers of the Individual or Entity.

▪ Operating Countries: Enter the operating country code of the Entity.

6.3 Running the Real-Time Screening Job

To source the data from the Financial Crime Data Model (FCDM) and run the FCDM data preparation

process, disable the MAIN_RT real-time screening job phase and enable the FCDM job phases in the

customer screening-real time.properties and external-entity-

screening.properties run profiles. These files are available in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory in the WinSCP server.

phase.Start\ Real-time\ Screening.enabled = Y

# Control single real-time screening types

phase.Real-time\ Screening.process.Individual\ Real-time\

Screening.san_enabled = Y

phase.Real-time\ Screening.process.Individual\ Real-time\

Screening.pep_enabled = Y

phase.Real-time\ Screening.process.Individual\ Real-time\

Screening.edd_enabled = Y

phase.Real-time\ Screening.process.Entity\ Real-time\ Screening.san_enabled

= Y

phase.Real-time\ Screening.process.Entity\ Real-time\ Screening.pep_enabled

= Y

phase.Real-time\ Screening.process.Entity\ Real-time\ Screening.edd_enabled

= Y

REAL-TIME SCREENING

ADDING A NEW FIELD IN A WEBSERVICE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 82

6.4 Adding a New Field in a Webservice

Currently, you can only search for the ready-to-use web service fields in the Real-time screening user

interface. If you want to add a custom field to an existing web service, for example, full name, you

must enter the field name in the applicable web service node and add the field to the applicable

process. To do this, follow these steps:

1. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

Figure 66: Project Browser Pane

2. Expand the Web Services node and double-click the IndividualScreen web service.

Figure 67: Web Services Node

REAL-TIME SCREENING

ADDING A NEW FIELD IN A WEBSERVICE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 83

3. Click the Plus icon in the Web Service Inputs window. A new row appears in the table.

Figure 68: Edit Web Service Window

REAL-TIME SCREENING

ADDING A NEW FIELD IN A WEBSERVICE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 84

4. Enter the name of the column, for example, FullName, and click anywhere inside the table to

enable the Next button.

5. Click Next until you view the Finish button, and click Finish.

6. In the Customer-Screening project, expand the Processes node and double-click the

Individual Real time Screening process.

Figure 69: Processes Node

REAL-TIME SCREENING

ADDING A NEW FIELD IN A WEBSERVICE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 85

7. Click the Individual Real-time Data process icon in the Individual Real-time Screening

window.

8. Search for FullName in the Reader Configuration window.

REAL-TIME SCREENING

ADDING A NEW FIELD IN A WEBSERVICE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 86

Figure 70: Reader Configuration window

9. Select FullName and select the Remove icon to move it to Selected Inputs for Process.

10. Click OK.

After you add the new field, you must integrate it with the Real-time screening user interface to

display it in the user interface. To do this, follow these steps:

1. Open the RTScreening.html file from the <Installed Sanctions Path>/js/views

directory. For example, ECM808SAN.war path }/realTimeScreening/js/views.

2. Change the external ID placeholders to FullName.

<oj-label for =”text-input”>External ID</oj-label>

<oj-input-text id=”externalId” value=”{{ExternalId}}”></oj-input-text>

3. Copy the code with the new value.

4. Open the RTScreening.js file from the <Installed Sanctions Path>/js/viewModels

directory. For example, ECM808SAN.war path }/realTimeScreening/js/viewModels.

5. Update the placeholder within ‘’ with the copied code with the same syntax as given in the id

in the html file in the self.Clear function:

Document.getElementById(“FullName”).value = ‘’;

6. Update the placeholder within “” with the copied code with the same syntax as given in the id

in the html file in the self. IndividualScreenObject array:

FullName:””

BATCH SCREENING

CONFIGURING THE EDQ URL

CUSTOMER SCREENING ADMINISTRATION GUIDE | 87

7 Batch Screening

The following diagram describes the data movement from Customer Screening to Enterprise Case

Management (ECM) during the batch screening process.

Figure 71: Batch Screening Workflow

The data movement in the workflow is as follows:

1. Data is moved from the STG_PARTY_MASTER, STG_PARTY_ADDRESS, STG_CASA,

STG_LOAN_CONTRACTS, STG_PARTY_ACCOUNT_ROLE_MAP, STG_PARTY_ROLE_MAP,

STG_TD_CONTRACTS, STG_TRADING_ACCOUNT, and STG_PARTY_OTHER_NAMES tables to the

CUST, CUST_ADDR, ACCT, CUST_NAME and other associated customer tables using the Table-

to-Table (T2T) mode.

2. The watch list data is downloaded from the watch list-management project in EDQ. The

watch list data is matched with the data in the CUST and CUST_ADDR tables in the Customer-

Screening project.

3. The matches are loaded into the CS_MATCHES table and the corresponding watch list data is

loaded into the CS_WATCHLIST table.

4. Data from the CS_MATCHES_HIST table is generated as alerts in the CS_ALERTS and

CS_ALERTS_MATCHES tables.

NOTE

1. The CS_MATCHES_HIST table contains all the matches

made. Each time screening is run, the CS_MATCHES table

is compared to the CS_MATCHES_HIST table and any new

or updated matches are added to the CS_MATCHES_HIST

table. This creates a new alert.

2. Every time you run the Customer-Screening project,

data is cleared from the CS_MATCHES table.

5. Data is correlated and loaded into the KDD_CASES and FCC_EVENTS tables in ECM.

7.1 Configuring the EDQ URL

To configure the EDQ URL for batch screening, follow these steps:

1. Navigate to the FCI_DB_HOME/bin directory.

BATCH SCREENING

STAGING DATABASE CONNECTION DETAILS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 88

2. Execute the command /EDQInsert.sh <INFODOM NAME>. This step is used to register the

EDQ server details. You must replace the INFODOM NAME placeholder with your domain name.

3. Enter the following details in the console where the command is run:

▪ EDQ server IP: An example of the EDQ URL is

http://whf00bte.in.oracle.com:7008/edq. Replace this with your EDQ server’s

URL.

▪ EDQ Server Direct Port number: This is the JMX port number. This value must be 8090.

▪ EDQ Server User Name: An example of the EDQ server user name is weblogic. Replace

this with your EDQ server’s user name.

▪ EDQ Password: An example of the EDQ password is weblogic1. Replace this with your

EDQ server’s password.

Figure 72: Configure the EDQ URL in Batch Screening

4. Configure the EDQ URL in the CONFIG schema. To do this, run the following script and replace

the placeholders in the v_method_name and v_param_1 columns with the EDQ URL, EDQ

user name, and EDQ password respectively:

select t.*,t.rowid from aai_wf_application_api_b t where

t.v_process_id='CSRT' and t.v_app_api_id in

('1521535704140','1521535760435')

7.2 Staging Database Connection Details

To run the customer screening jobs using the Financial Crime Data Model (FCDM) as a source of

customer and external entity data, you must add the connection details of the staging database into

which FCDM will place the data to be screened in EDQ.

To set the connection details for customer and external entity data, follow these steps:

1. Go to the EDQ URL and open the Director menu.

Figure 73: Director Menu in EDQ

BATCH SCREENING

STAGING DATABASE CONNECTION DETAILS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 89

2. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

Figure 74: Project Browser Pane

3. Expand the Data Stores node and open FCDM Batch Data. The Edit Data Store window

appears.

Figure 75: Data Stores Node

BATCH SCREENING

STAGING DATABASE CONNECTION DETAILS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 90

4. In the Edit Data Store window, enter the database host, database name, user name, and

password.

Figure 76: Edit Data Store for Staging Database Connection

BATCH SCREENING

ENABLING CUSTOMER AND EXTERNAL ENTITY TABLES

CUSTOMER SCREENING ADMINISTRATION GUIDE | 91

NOTE

1. OEDQ release 12c has a base config folder and a local

config folder. The base config folder is called oedqhome

and the local config folder is called oedqlocalhome. The

names may differ in some cases. For example, dots or

underscores may be inserted in the names, such as

oedq_local_home.

2. It is not necessary to enter the schema name if the user

name mentioned is the schema owner.

3. The parameters can be passed as externalized values in

the runopsjob command.

7.3 Enabling Customer and External Entity Tables

The FCDM Integration section of the customer-screening.properties and

external.entity.properties run profile contains the following parameters. These files are

available in the <domain_name>/edq/oedq.local.home/runprofiles/ directory in the WinSCP

server.

• phase.Batch\ Screening\ FCDM.enabled

• phase.Snapshot\ External\ Entity\ Data.enabled

To enable screening of the customer table, set phase.Batch\ Screening\ FCDM.enabled to Y

and phase.Snapshot\ External\ Entity\ Data.enabled to N.

BATCH SCREENING

DATA PREPARATION IN FCDM

CUSTOMER SCREENING ADMINISTRATION GUIDE | 92

To enable screening of the external entity table, set phase.Batch\ Screening\ FCDM.enabled to

N and phase.Snapshot\ External\ Entity\ Data.enabled to Y.

7.4 Data Preparation in FCDM

Before you prepare data for individuals and entities, there is an FCDM-specific data preparation

process which needs to be performed. This process performs the following transformations:

• Splits records into individuals and entities based on Customer Type Code

• Creates additional rows of data for aliases

• Creates name attributes compatible with CDI

• Derives gender and year of birth for individuals

NOTE

The FCDM Data Preparation job is built on expected population of

data in FCDM. This must be validated for each specific

implementation and the process adapted if required.

7.4.1 Establishing a JDBC Database Connection using WebLogic

To set up a database connection using the WebLogic server, follow these steps:

1. In the WebLogic server, provide the name of the JNDI directory in the JNDI Name field in the

General subtab of the Configurations tab.

Figure 77: JNDI Name

BATCH SCREENING

DATA PREPARATION IN FCDM

CUSTOMER SCREENING ADMINISTRATION GUIDE | 93

2. In the Connection Pool subtab, provide the connection details of the JDBC URL. Enter the

JDBC URL in the URL field and the class name of the JDBC driver in the Driver Class Name

field.

Figure 78: JDBC URL and Driver

3. Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 79: Director Menu in EDQ

4. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

BATCH SCREENING

DATA PREPARATION IN FCDM

CUSTOMER SCREENING ADMINISTRATION GUIDE | 94

Figure 80: Project Browser Pane

5. In the Project Browser pane, right-click Data Stores under the Customer-Screening project

and then select New Data Store.

Figure 81: New Data Store

BATCH SCREENING

ANALYZING THE DATA QUALITY OF CUSTOMER DATA AND EXTERNAL ENTITY

CUSTOMER SCREENING ADMINISTRATION GUIDE | 95

6. In the New Data Store window, select the type as JDBC Connection and click Next.

Figure 82: Edit Data Store

7. In the Edit Data Store window, enter the JDBC connection details.

8. Click OK.

You have now created a JDBC database connection.

7.5 Analyzing the Data Quality of Customer Data and

External Entity

Customer Screening is integrated with a Data Quality (DQ) check process which checks the quality of

data in FCDM for screening. This process is run independently of the screening process and identifies

potential issues with the customer and external entity data quality that can affect the screening

efficiency. Run the Analyze FCDM Customer Data Quality job to analyze the data quality. This

job checks data for any quality issues that can affect the screening efficiency.

To analyze the customer data, follow these steps:

1. Ensure that data is loaded into FCDM and the Customer-Screening project has the correct

database parameters.

2. Go to the EDQ URL and open the Director menu.

Figure 83: Director Menu in EDQ

BATCH SCREENING

ANALYZING THE DATA QUALITY OF CUSTOMER DATA AND EXTERNAL ENTITY

CUSTOMER SCREENING ADMINISTRATION GUIDE | 96

3. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

Figure 84: Project Browser Pane

4. Expand the Jobs node.

5. Right-click the Analyze FCDM Customer Data Quality job and click Run.

Figure 85: Jobs Node

BATCH SCREENING

ANALYZING THE DATA QUALITY OF CUSTOMER DATA AND EXTERNAL ENTITY

CUSTOMER SCREENING ADMINISTRATION GUIDE | 97

To analyze the external entity data, follow these steps:

1. Ensure that data is loaded into FCDM and the Watch list Management project has the correct

database parameters.

2. Go to the EDQ URL and open the Director menu.

Figure 86: Director Menu in EDQ

BATCH SCREENING

ANALYZING THE DATA QUALITY OF CUSTOMER DATA AND EXTERNAL ENTITY

CUSTOMER SCREENING ADMINISTRATION GUIDE | 98

3. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 87: Project Browser Pane

4. Expand the Jobs node.

BATCH SCREENING

ANALYZING THE DATA QUALITY OF CUSTOMER DATA AND EXTERNAL ENTITY

CUSTOMER SCREENING ADMINISTRATION GUIDE | 99

5. Right-click the Analyze FCDM Customer Data Quality job and click Run.

Figure 88: Jobs Node

7.5.1 Data Quality Errors

For each Data Quality (DQ) error, a severity code is assigned, and it corresponds to the likely impact

the issue will have on screening efficiency. The error codes and the associated messages that are

displayed are based on the data analysis are shown in the following table.

Table 5: Severity Codes Assigned to Data Quality Errors

Severity Code

Data Quality Error

Severe data error which prevents screening.

Invalid data which will limit the effectiveness of screening.

Missing data which will limit the effectiveness of screening.

BATCH SCREENING

EXTRACT TRANSFORM LOAD (ETL) DATABASE CONNECTION DETAILS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 100

Severity Code

Data Quality Error

Invalid data which does not affect screening. Errors in this

category will not affect the output of the match processor but

can cause issues when manually evaluating any potential

matches that are raised.

The data quality check analyses each row of data. If the analysis of any row results in a severity code

of 1, it is rejected by the screening process. This is because there is a lack of data in the core attributes

used by the screening process, and so screening cannot be performed.

The screening processes load data that cannot be screened into the CUST_Individuals_Invalid

staged data or the CUST_Entities_Invalid staged data tables for the individual and

external entity records, respectively. The error codes associated with each row are also stored in the

database.

7.6 Extract Transform Load (ETL) Database Connection

Details

After screening is run, relationships (matches) and watch list records are exported to the Customer

Screening database, and this data is sent to ECM based on the connections configured in the data

store.

To set the ETL database connection details, follow these steps

1. Go to the EDQ URL and open the Director menu.

Figure 89: Director Menu in EDQ

2. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

Figure 90: Project Browser Pane

BATCH SCREENING

EXTRACT TRANSFORM LOAD (ETL) DATABASE CONNECTION DETAILS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 101

3. Expand the Data Stores node and open FCDM Batch Data. The Edit Data Store window

appears.

Figure 91: Data Stores Node

BATCH SCREENING

EXTRACT TRANSFORM LOAD (ETL) DATABASE CONNECTION DETAILS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 102

4. In the Edit Data Store window, enter the database host, database name, user name, and

password.

Figure 92: Edit Data Store for Staging Database Connection

BATCH SCREENING

RUNNING THE BATCH SCREENING JOB

CUSTOMER SCREENING ADMINISTRATION GUIDE | 103

NOTE

1. OEDQ release 12c has a base config folder and a local

config folder. The base config folder is called oedqhome

and the local config folder is called oedqlocalhome. The

names may differ in some cases. For example, dots or

underscores may be inserted in the names, such as

oedq_local_home.

2. It is not necessary to enter the schema name if the user

name mentioned is the schema owner.

3. The parameters can be passed as externalized values in

the runopsjob command.

7.7 Running the Batch Screening Job

To source the data from the Financial Crime Data Model (FCDM) and run the FCDM data preparation

process, disable the MAIN batch screening job phase and enable the FCDM version in the customer

screening.properties and external-entity-screening.properties run profiles:

# Globally turns on/off batch screening types

phase.Batch\ Screening.enabled = N

phase.Batch\ Screening\ FCDM.enabled = Y

To export the data to the Customer Screening database these job phases must also be enabled:

phase.ECM\ Export\ Matches.enabled = Y

BATCH SCREENING

GENERATING ALERTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 104

phase.ECM\ Export\ Watch list.enabled = Y

7.8 Generating Alerts

This job will move the alerts data displayed in the L1 Investigation for Alert Management from

different origins in the source database to the consolidated database.

The Customer and Watchlist data will be screened in Enterprise Date Quality (EDQ) server. If any

Customer data is matched with Watchlist Data, then the events are created. Based on the Customer,

the alerts are generated.

If any customer data is changed in source data, only that data is moved in the consolidated database.

Based upon the date, you run the batch.

The following workflow explains the data movement from the source database to the consolidated

database.

Figure 93: Generating Alerts Workflow

To run the batch to move data from the source database to the consolidated database, follow these

steps:

BATCH SCREENING

GENERATING ALERTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 105

1. Log In to the Customer Screening application.

2. Click Common Tasks the list of common tasks displayed. Then click Rule Run Framework,

and then click Run. The Run page is displayed.

Figure 94: Run Page

3. In the Run page, select the Oracle_CS_Zipper_Processing checkbox and click Fire Run

Figure 95: Run Page

BATCH SCREENING

GENERATING ALERTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 106

4. In the Run Definition section, select Request Type from the drop-down list.

5. In the Execution Mode section, select the Batch value as Create to create the batch or select

Create & Execute to create the batch and execute it.

a. If you select Execution Mode as Create & Execute, then select MIS Date.

6. Select the Wait as No if you want to create or create & execute the batch without any delay or

select Yes and enter the duration value in seconds.

7. In the Others section, enter the Parameters and Filters if required.

APPENDIX A: SCREENING NON-LATIN CHARACTER SETS

GENERATING ALERTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 107

8 Appendix A: Screening Non-Latin Character Sets

The reference data sources supported by Customer Screening are all provided in the Latin character

set, and some in the original scripts. The screening process can also be used with non-Latin data.

Non-Latin data can be screened against the Latin reference data sources which are supported by

performing transliteration of data from the non-Latin character set to the Latin character set.

Non-Latin customer data can be screened against non-Latin reference data without any changes to

the product, although certain fuzzy text matching algorithms may not be as effective when used to

match data with the non-Latin character set. Text is processed on a left-to-right basis.

NOTE

You may have to install additional language packs to display non-

Latin data. For more information, contact My Oracle Support

(MOS).

The following screenshot shows the transliteration of Cyrillic to the Latin character set:

Figure 96: Non-Latin Character Set

APPENDIX A: SCREENING NON-LATIN CHARACTER SETS

ORIGINAL SCRIPT MATCHING

CUSTOMER SCREENING ADMINISTRATION GUIDE | 108

8.1 Original Script Matching

To match the original script data against reference data, follow these steps:

1. Prepare customer and external entity data such that non-Latin names are populated in the

Original Script Name fields.

2. Enable Original Script Name match rules and clusters.

For more information, see the Oracle Financial Services Customer Data Interfaces Guides.

NOTE

You must make changes to the FCDM Customer Preparation

process to support original script matching. For more information,

contact My Oracle Support (MOS).

APPENDIX B: REFERENCE DATA TABLES FOR WATCH LISTS

ORIGINAL SCRIPT MATCHING

CUSTOMER SCREENING ADMINISTRATION GUIDE | 109

9 Appendix B: Reference Data Tables for Watch

Lists

This appendix lists the reference data tables which are available in Customer Screening. These tables

contain data that is used to calculate the risk scores and PEP risk scores. The reference data tables are

stored in the Watch list Management project.

The following table has information on the different reference data tables which contain risk score

values used by each watch list.

Table 6: Reference Data Tables for Watch Lists

Screening Process or

Watch List

Reference Data Table Used

Multiple screening

processes

The following reference data table contains risk score values used by

multiple screening processes:

• Risk - ISO 3166-1 Country to Risk Score (used by the lookup Risk -

ISO 3166-1-alpha-2 code to Risk Score) is used to derive a risk

score from a country code

Country prohibition

screening process

The following reference data tables contain risk score values used in

the country prohibition screening process:

• Country Prohibitions - Entities

• Country Prohibitions - Individuals

Dow Jones watch list (DJW)

The following reference data tables contain risk score values used

when calculating risk scores for the Dow Jones watch list records:

• DJW Occupation Category

• DJW List Provider Risk Scores

• DJW SI Category Description

• DJW SI Category

Dow Jones Anti-Corruption

(DJAC) watch list

The following reference data tables contain risk score values used

when calculating risk scores for the Dow Jones watch list records:

• DJAC Occupation Category

• DJAC List Provider Risk Scores

• DJAC SI Category Description

EU watch list

There are no reference data tables containing risk score values used

only for calculating risk scores for the EU watch list records.

HM Treasury watch list

The HMT Regime reference data table contains risk score values

used when calculating risk scores for the HM Treasury watch list

records.

OFAC watch list

The OFAC SDN Program reference data table contains risk score

values used when calculating risk scores for the OFAC watch list

records.

UN watch list

The UN List Type reference data table contains risk score values

used when calculating risk scores for the UN watch list records.

APPENDIX B: REFERENCE DATA TABLES FOR WATCH LISTS

ORIGINAL SCRIPT MATCHING

CUSTOMER SCREENING ADMINISTRATION GUIDE | 110

Screening Process or

Watch List

Reference Data Table Used

World-Check (WC) watch list

The following reference data tables contain risk score values used

when calculating risk scores for the World-Check watch list records:

• WC Category

• WC Keyword (used by the lookup WC Keyword - Risk Score

Lookup)

Accuity watch list

The following reference data tables contain risk score values used

when calculating risk scores for the Accuity watch list records:

• Accuity Program Sub-Category Risk Scores

• Accuity Source Risk Scores

The Risk – Risk Element Weighting reference data table

contains the weightings used when calculating a record risk score

from the various contributing elements.

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION 
HM TREASURY WATCH LIST 
 
CUSTOMER SCREENING ADMINISTRATION GUIDE  |  111 
10  Appendix C: Preconfigured Watch List 
Information 
This appendix contains details of each of the pre-configured watch lists that can be used by Customer 
Screening. 
10.1  HM Treasury Watch List 
The HM Treasury publishes a sanctions list that can be used for screening in Customer Screening. The 
sanctions list provides a consolidated list of targets listed by the United Nations, European Union, and 
the United Kingdom under legislation relating to current financial sanctions regimes. For more 
information, visit the HM Treasury website. 
Customer Screening uses the watch list in a semi-colon delimited form. Click the following link to 
download the .csv file. 
https://ofsistorage.blob.core.windows.net/publishlive/ConList.csv 
10.2  OFAC Watch List 
The US Treasury’s Office of Foreign Assets Control (OFAC) administers and enforces economic and 
trade sanctions based on US foreign policy and national security goals against targeted foreign 
countries, terrorists, international narcotics traffickers, and those engaged in activities related to the 
proliferation of weapons of mass destruction. For more information, visit the Treasury website. 
Customer Screening supports the OFAC Specially Designated Nationals and OFAC Consolidated 
Sanctions watch lists.  
The OFAC Specially Designated Nationals (SDN) watch list must be downloaded in three parts: 
https://www.treasury.gov/ofac/downloads/sdn.csv 
https://www.treasury.gov/ofac/downloads/add.csv 
https://www.treasury.gov/ofac/downloads/alt.csv 
The OFAC Consolidated Sanctions List watch list must be downloaded in three parts: 
https://www.treasury.gov/ofac/downloads/consolidated/cons_prim.csv 
https://www.treasury.gov/ofac/downloads/consolidated/cons_add.csv 
https://www.treasury.gov/ofac/downloads/consolidated/cons_alt.csv 

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

EU WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 112

10.3 EU Watch List

The European Union applies sanctions or restrictive measures to achieve certain objectives as

mentioned in the Common Foreign and Security Policy (CFSP) and defined in Article 11 of the Treaty

on the European Union. The European Commission offers a consolidated list containing the names

and identification details of all persons, groups, and entities targeted by these financial restrictions.

For more information, visit the European Commission website.

To download the consolidated list, follow these steps:

1. Go to https://webgate.ec.europa.eu/europeaid/fsd/fsf#!/account and create a user name and

password to the site.

2. Navigate to https://webgate.ec.europa.eu/europeaid/fsd/fsf#!/files and open the settings for

the crawler file.

3. Copy the URL for 1.0 XML (Based on XSD). This will be in the format

https://webgate.ec.europa.eu/europeaid/fsd/fsf/public/files/xmlFullSanc

tionsList/content?token=[username]. You must replace the [username] placeholder

with the user name you have created.

4. Enter this URL in your run profile or download task.

10.4 UN Consolidated Watch List

The United Nations (UN) or United Nations Security Council consolidated list is a watch list that

includes all individuals and entities who are subject to sanctions measures imposed by the Security

Council. For more information, visit the UN Security Council website.

Download the consolidated list from

https://www.un.org/sc/suborg/sites/www.un.org.sc.suborg/files/consolidated.xml.

10.5 World-Check Watch List

The World-Check watch list provides a subscription-based service and offers a consolidated list of

Politically Exposed Persons (PEPs) and entities and individuals appearing on the HM Treasury, OFAC,

and other world lists. Three levels of subscription are provided: Standard, Premium, and Premium+.

Some features of the World-Check lists are only available to users with a higher subscription level. For

more information, visit the World-Check website.

To download the World-Check Premium+ feed subscription service, set the following values in the WC

Setup section of the watch list-management.properties run profile:

phase.WC\ -\ Download.enabled = Y

phase.WC\ -\ Download\ native\ aliases.enabled = Y

phase.WC\ -\ Stage\ reference\ lists.enabled = Y

phase.*.process.*.use_accelus_url = Y

To download the Standard or Premium feed subscription services, set the following values in the WC

Setup section of the watch list-management.properties run profile:

phase.WC\ -\ Download.enabled = Y

phase.WC\ -\ Download\ native\ aliases.enabled = N

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DOW JONES WATCH LIST

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phase.WC\ -\ Stage\ reference\ lists.enabled = Y

phase.*.process.*.use_accelus_url = Y

When the parameters are set to Y, the watch list data is downloaded from the following URL:

https://app.accelus.com/#accelus/fsp/%7B%22location%22%3A%22%3Flocale%3Den-

US%23fsp%2Fquickid%2F

When the parameters are set to N, the watch list data is downloaded from the following URL:

https://www.world-check.com/frontend/profile/

NOTE

If your instance of Oracle Financial Services Customer

Screening uses the WebLogic application server and you use

the World-Check watch list to screen individuals and entities,

then you must add the -DUseSunHttpHandler=true script

to the Server Start arguments of your EDQ server to download

the World-Check watch list data.

10.6 Dow Jones Watch List

The Dow Jones watch list provides a subscription-based service and offers a consolidated list of PEPs

(Politically Exposed Persons) and entities and individuals appearing on the various sanctions lists. For

more information, visit the Dow Jones website.

You can automate the download of the Dow Jones watch list using the following script files that are

provided with Customer Screening to configure the download process:

download-djw.sh (for use on Unix platforms)

download-djw.bat (for use on Windows platforms)

The script files are used by the automated task to download the data files and copy them to the Oracle

Enterprise Data Quality (OEDQ) landing area. The script files must be modified to provide the

download URL and the proxy server details for your Internet connection as follows:

1. Go to the EDQ URL and open the Director menu.

Figure 97: Director Menu in EDQ

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DOW JONES WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 114

2. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 98: Project Browser Pane

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DOW JONES WATCH LIST

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3. Expand the External Tasks node for the Watch list Management project and then double-

click on the Download Dow Jones Watch list task.

Figure 99: External Tasks Node

4. Configure the external task to call the batch or shell file by providing the directory and related

command as shown:

Figure 100: Edit Task Window for the Dow Jones Watch List

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DOW JONES ANTI-CORRUPTION WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 116

5. Configure your PATH system variable to include the path to your Java installation.

6. Add the user name and password and the proxy server configuration details for Dow Jones in

the batch or script file.

10.7 Dow Jones Anti-Corruption Watch List

The Dow Jones Anti-Corruption watch list provides a subscription-based service that contains

information to help you assess, investigate, and monitor third-party risk with regards to the anti-

corruption compliance regulation. For more information, visit the Dow Jones website.

You can automate the download of the Dow Jones watch list using the following script files that are

provided with Customer Screening to configure the download process:

download-djac.sh (for use on Unix platforms)

download-djac.bat (for use on Windows platforms)

The script files are used by the automated task to download the data files and copy them to the Oracle

Enterprise Data Quality (OEDQ) landing area. The script files must be modified to provide the

download URL and the proxy server details for your Internet connection as follows:

1. Go to the EDQ URL and open the Director menu.

Figure 101: Director Menu in EDQ

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DOW JONES ANTI-CORRUPTION WATCH LIST

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2. In the Director landing page, expand the Watch list Management project in the Project

Browser pane.

Figure 102: Project Browser Pane

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DOW JONES ANTI-CORRUPTION WATCH LIST

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3. Expand the External Tasks node for the Watch list Management project and then double-

click on the Download Dow Jones Anti-Corruption List task.

Figure 103: External Tasks Node

4. Configure the external task to call the batch or shell file by providing the directory and related

command as shown:

Figure 104: Edit Task Window for the Dow jones Anti-Corruption Watch List

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

ACCUITY WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 119

5. Configure your PATH system variable to include the path to your Java installation.

6. Add the user name and password and the proxy server configuration details for Dow Jones

Anti-Corruption in the batch or script file.

10.8 Accuity Watch List

The Accuity global watch list is a subscription-based service. The Accuity watch list’s proprietary

collection of watch list screening databases is an aggregation of specially designated individuals and

entities compiled from dozens of regulatory and enhanced due diligence lists from around the world.

This watch list provides the ideal framework for your customer screening and interdiction filtering

processes. For more information, visit the Accuity website.

Accuity provides aggregated data in the following watch lists:

• The Regulatory Due Diligence (RDD) watch list, which covers sanctioned entities and individuals.

You can use the Accuity Group File with this list. For more information, see Using the Accuity

Group File.

• The Enhanced Due Diligence (EDD) watch list, which covers entities and individuals who are not

part of the regulatory sanctions lists, but whose activity must be monitored.

• The Politically Exposed Persons (PEPs) Due Diligence Database watch list, which covers PEP

individuals.

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

ACCUITY WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 120

10.8.1 Using the Accuity Group File

The Accuity global Watch list is created by aggregating multiple watch lists. As such, any given

individual or entity can be represented in the watch list by multiple entries using the GROUP.XML file.

In the GROUP.XML file, all records which represent the same individual or entity are collected into

groups, and each group is assigned a unique group ID. The group ID has a unique identifier to

differentiate it from the original record identifier in Enterprise Case Management (ECM). Records that

are not included in the group use their original Accuity record ID with a different identifier to indicate

that they are single records.

NOTE

Only entities and individuals on the Regulatory Due Diligence

(RDD) watch lists are included in the group file.

The group file allows you to generate cases on individuals who are grouped together, instead of

generating cases on separate individuals. To use the group file for individuals, follow these steps:

1. Go to the EDQ URL and open the Director menu.

Figure 105: Director Menu in EDQ

2. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

Figure 106: Project Browser Pane

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ACCUITY WATCH LIST

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3. Expand the Data Stores node and then double-click the ACY node.

Figure 107: Data Stores Node

4. In the Edit Data Store window, deselect the Use groups checkbox.

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

ACCUITY WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 122

Figure 108: Edit Data Store Window for the Accuity Watch List

5. Configure your PATH system variable to include the path to your Java installation.

6. Add the user name and password and the proxy server configuration details for Accuity in the

batch or script file.

NOTE

If the Use groups checkbox is selected, you must have downloaded

the GROUP.XML file.

10.8.1.1 New Alerts Resulting from Use of the Group File

When you use the GROUP.XML file, the original record identifier for a record is replaced with the group

ID of the record. Any change to the original record identifier will result in new alerts being generated

for existing and known matches. This can happen in the following scenarios:

• If Individuals or entities are moved into, out of, or between groups, then new alerts are

generated for existing matches.

• If the setting of the Use groups checkbox is changed after alerts or cases are generated.

WARNING

Do not alter the setting of the Use groups checkbox during the

implementation phase of the project.

10.8.2 Configuring the .sh File

You can automate the download of the Accuity watch list using the following script files that are

provided with Customer Screening to configure the download process:

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

ACCUITY WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 123

• download-acy-edd.sh

• download-acy-pep.sh

• download-acy-san.sh

The script files are used by the automated task to download the data files and copy them to the Oracle

Enterprise Data Quality (OEDQ) landing area. The script files must be modified to provide the

download URL and the proxy server details for your Internet connection as follows:

1. Go to the EDQ URL and open the Director menu.

Figure 109 Director Menu in EDQ

2. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

Figure 110: Project Browser Pane

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ACCUITY WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 124

3. Expand the External Tasks node for the Watch list Management project and then double-

click on the Download Accuity EDD task.

Figure 111: External Tasks Node

4. Replace the EDQ_DOMAIN placeholder with the installed domain path for the EDD,PEP, and

SAN records.

Figure 112: Edit Task Window for the Accuity Watch List

5. Configure your PATH system variable to include the path to your Java installation.

6. Add the user name and password and the proxy server configuration details for Accuity in the

download-acy-edd.sh, download-acy-pep.sh, and download-acy-san.sh script files.

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DELTA WATCH LIST CONFIGURATIONS FOR THE DOW JONES WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 125

NOTE

To ensure that you have the SFTP protocol enabled for

automatic password recognition, you must install sshpass.

10.9 Delta Watch List Configurations for the Dow Jones

Watch List

NOTE

These configurations are performed when you do not want to

download the full watch list, and only want to download the

delta watch list. This helps to reduce the download time and is

not part of the screening process.

Customer Screening recommends that you always use the full watch list during the screening process.

Due to the clustering strategy which is implemented in the screening process, you must not download

the delta watch list. There are certain cases in which you must download the delta watch list files, for

example, if the full watch list files are not yet available for download or if you want to save time.

Customers who download the delta watch list files must first download the full watch list files and then

download the delta watch list files. The delta watch list is then merged into the full watch list before

screening.

The following image shows the information flow for the delta watch list:

Figure 113: Flow for Delta Watch List

When you download the full watch list, data is stored in the FSI_WATCHLIST_INDIVIDUAL and

FSI_WATCHLIST_ENTITIES tables. When you download the delta watch list, data is first stored in the

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DELTA WATCH LIST CONFIGURATIONS FOR THE DOW JONES WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 126

FSI_WATCHLIST_DELTA_INDIVIDUAL and FSI_WATCHLIST_DELTA_ENTITIES tables. Then, based

on the value in the ACTION Flag tag in the delta watch list, it merges with the full watch list.

The ACTION flag key is a non-editable value, and can be one of the following values:

• new: If the value is new, it means that these records are new and are added to the full watch list

when the delta files are merged with the full watch list.

• chg: If the value is chg, it means that these records are modified and are added to the full watch

list when the delta files are merged with the full watch list.

• del: If the value is del, it means that these records are no longer active and are removed from

the full watch list when the delta files are merged with the full watch list.

NOTE

You must always run the full watch list files before you run the

delta watch list files. The full watch list files must be

downloaded if, for example, the download of the delta watch

list files has failed for multiple days. You can also run the full

watch list once every week to ensure that the complete data

has been processed.

10.9.1 Configurations for the Full and Delta Watch Lists

The following configurations must be done for both full and delta watch list updates in the watch

list-management.properties run profile. The run profile is available in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory when you log in to the WinSCP

server.

• Set phase.Initialise\ staged\ data.enabled = N to disable the .jmp file updates.

• Set phase.Initialise\ staged\ data\ DB.enabled = Y to initialize the database.

• Set phase.Initilize\ Prepared\ List\ Data.enabled = N to disable the .jmp file

updates.

• Set phase.Initilize\ Prepared\ List\ Data\ DB.enabled = Y to prepare the

database.

10.9.2 Running the Full Watch list

To run the full watch list, follow these steps:

1. Set the following properties in the watch list-management.properties file:

▪ phase.DJW\ -\ Download.enabled = Y.

▪ phase.DJW\ -\ Download\ Delta.enabled = N.

▪ phase.DJW\ -\ Stage\ reference\ lists.enabled = Y.

▪ phase.*.export.*.ind_table_name = FSI_WATCHLIST_INDIVIDUAL.

▪ phase.*.export.*.entities_table_name = FSI_WATCHLIST_ENTITIES.

2. Set the following properties in the customer-screening.properties file:

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▪ phase.DJW\ -\ Load\ without\ filtering.enabled = N

▪ phase.DJW\ -\ Load\ without\ filtering\ DB.enabled = Y

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 1).enabled = N

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 1)\ DB.enabled = Y

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 2).enabled = Y

3. Set the following properties in the customer-screening-real-time.properties file:

▪ phase.DJW\ -\ Load\ without\ filtering.enabled = N

▪ phase.DJW\ -\ Load\ without\ filtering\ DB.enabled = Y

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 1).enabled = N

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 1)\ DB.enabled = Y

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 2).enabled = Y

4. Set the following properties in the external-entity-screening.properties file:

▪ phase.DJW\ -\ Load\ without\ filtering.enabled = N

▪ phase.DJW\ -\ Load\ without\ filtering\ DB.enabled = Y

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 1).enabled = N

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 1)\ DB.enabled = Y

▪ phase.DJW\ -\ Load\ with\ filtering\ (Part\ 2).enabled = Y

10.9.3 Running the Delta Watch List

To run the delta watch list, follow these steps:

1. Set the following properties in the watch list-management.properties file:

▪ phase.DJW\ -\ Download.enabled = N.

▪ phase.DJW\ -\ Download\ Delta.enabled = Y.

▪ phase.DJW\ -\ Stage\ reference\ lists.enabled = Y.

2. Set phase.*.export.*.ind_table_name = FSI_WATCHLIST_DELTA_INDIVIDUAL.

3. Set phase.*.export.*.entities_table_name = FSI_WATCHLIST_DELTA_ENTITIES.

10.9.4 Merging the Delta Watch List to the Full Watch List

To merge the delta watch list with the full watch list, set the following properties in the watch list-

management.properties file:

• phase.Delta\ Merge.enabled = Y.

• phase.Linked\ Profiles.enabled = Y.

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 128

10.10 Delta Watch List Configurations for the World-Check

Watch List

NOTE

These configurations are performed when you do not want to

download the full watch list, and only want to download the

delta watch list. This helps to reduce the download time and is

not part of the screening process.

Customer Screening recommends that you always use the full watch list during the screening process.

Due to the clustering strategy, which is implemented in the screening process, you must not download

the delta watch list. There are certain cases in which you must download the delta watch list files, for

example, if the full watch list files are not yet available for download or if you want to save time.

Customers who download the delta watch list files must first download the full watch list files and then

download the delta watch list files. The delta watch list is then merged into the full watch list before

screening.

The following image shows the information flow for the delta watch list:

Figure 114: Flow for Delta Watch List

When you download the full watch list, data is stored in the FSI_WC_WATCHLIST_INDIVIDUALS and

FSI_WC_WATCHLIST_ENTITIES tables. When you download the delta watch list, data is first stored in

the FSI_WC_WATCHLIST_DELTA_IND and FSI_WC_WATCHLIST_DELTA_ENT tables. Then the data is

merged into the main table. For more information, see Merging the Delta Watch List to the Full Watch

List.

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 129

NOTE

You must always run the full watch list files before you run the

delta watch list files. The full watch list files must be

downloaded if, for example, the download of the delta watch

list files has failed for multiple days. You can also run the full

watch list once every week to ensure that the complete data

has been processed.

10.10.1 Configurations for the Full and Delta Watch Lists

The following configurations must be done for both full and delta watch list updates in the watch

list-management.properties run profile. The run profile is available in the

<domain_name>/edq/oedq.local.home/runprofiles/ directory when you log in to the WinSCP

server.

• Set phase.Initialise\ staged\ data.enabled = N to disable the .jmp file updates.

• Set phase.Initialise\ staged\ data\ DB.enabled = Y to initialize the database.

• Set phase.Initilize\ Prepared\ List\ Data.enabled = N to disable the .jmp file

updates.

• Set phase.Initilize\ Prepared\ List\ Data\ DB.enabled = Y to prepare the

database.

10.10.2 Running the Full Watch list

To run the full watch list, follow these steps:

1. Set the following properties in the watch list-management.properties file:

▪ phase.WC\ -\ Download.enabled = Y.

▪ phase.WC\ -\ Download\ Delta.enabled = N.

▪ phase.WC\ -\ Stage\ reference\ lists.enabled = Y.

▪ phase.*.export.*.wc_ind_table_name=FSI_WC_WATCHLIST_INDIVIDUAL

▪ phase.*.export.*.wc_entities_table_name=FSI_WC_WATCHLIST_ENTITIES

To run the full watch list without filtering, set the following properties:

▪ phase.WC\ -\ Prepare\ without\ filtering.enabled = N

▪ phase.WC\ -\ Prepare\ without\ filtering\ Full\ DB.enabled = Y

To run the full watch list with filtering, set the following properties:

▪ phase.WC\ -\ Prepare\ with\ filtering\ (Part\ 1).enabled = N

▪ phase.WC\ -\ Prepare\ with\ filtering\ (Part\ 2).enabled = N

▪ phase.WC\ -\ Prepare\ with\ filtering\ Full\ DB.enabled = Y

To run the full watch list without filtering, set the following properties:

▪ phase.WC\ -\ Load\ without\ filtering.enabled = N

▪ phase.WC\ -\ Load\ without\ filtering\ DB.enabled = Y

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

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To run the full watch list with filtering, set the following properties:

▪ phase.WC\ -\ Load\ with\ filtering\ (Part\ 1).enabled = N

▪ phase.WC\ -\ Load\ with\ filtering\ (Part\ 1)\ DB.enabled = Y

▪ phase.WC\ -\ Load\ with\ filtering\ (Part\ 2).enabled = Y

2. Set the following properties in the customer-screening-real-time.properties file:

▪ phase.WC\ -\ Load\ without\ filtering.enabled = N

▪ phase. WC \ -\ Load\ without\ filtering\ DB.enabled = Y

▪ phase. WC \ -\ Load\ with\ filtering\ (Part\ 1).enabled = N

▪ phase. WC \ -\ Load\ with\ filtering\ (Part\ 1)\ DB.enabled = Y

▪ phase. WC \ -\ Load\ with\ filtering\ (Part\ 2).enabled = Y

3. Set the following properties in the external-entity-screening.properties file:

▪ phase. WC \ -\ Load\ without\ filtering.enabled = N

▪ phase. WC \ -\ Load\ without\ filtering\ DB.enabled = Y

▪ phase. WC \ -\ Load\ with\ filtering\ (Part\ 1).enabled = N

▪ phase. WC \ -\ Load\ with\ filtering\ (Part\ 1)\ DB.enabled = Y

▪ phase. WC \ -\ Load\ with\ filtering\ (Part\ 2).enabled = Y

10.10.3 Running the Delta Watch List

To run the delta watch list, follow these steps:

1. Set the following properties in the watch list-management.properties file:

▪ phase.WC\ -\ Download.enabled = N.

▪ phase.WC\ -\ Download\ Delta.enabled = Y.

▪ phase.WC\ -\ Stage\ reference\ lists.enabled = Y.

▪ phase.*.export.*.wc_ind_table_name=FSI_WC_WATCHLIST_DELTA_IND

▪ phase.*.export.*.wc_entities_table_name=FSI_WC_WATCHLIST_DELTA_EN

2. To run the delta watch list without filtering, set the following properties:

▪ phase.WC\ -\ Prepare\ without\ filtering.enabled = N

▪ set phase.WC\ -\ Prepare\ without\ filtering\ Delta\ DB.enabled =

To run the delta watch list with filtering, set the following properties:

▪ phase.WC\ -\ Prepare\ with\ filtering\ (Part\ 1).enabled = N

▪ phase.WC\ -\ Prepare\ with\ filtering\ (Part\ 2).enabled = N

▪ phase.WC\ -\ Prepare\ with\ filtering\ Delta\ DB.enabled = Y

APPENDIX C: PRECONFIGURED WATCH LIST INFORMATION

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

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10.10.4 Merging the Delta Watch List to the Full Watch List

To merge the delta watch list with the full watch list, set the following properties in the watch list-

management.properties file:

• phase.WC\Delta\ Merge.enabled = Y.

• phase.WC\Linked\ Profiles.enabled = Y.

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

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11 Appendix D: Splitting Jobs Using Multiple EDQ

Servers

You can split jobs across multiple servers to reduce the time taken to process many customers, for

example, one million or more.

NOTE

These steps are applicable only if you plan to use multiple EDQ

servers for customer screening. If you want to use the default

setup, that is, only a single EDQ server, see Scheduling the

Customer Screening Run Job.

Some examples are as follows:

• If one server is used to process the watch lists and another server is used to process the entity

names.

• If one server is used to process data of individuals and another server is used to process data of

entities during different times of day.

NOTE

1. Provide the EDQ user name and password in the

cs_appln_params table .

2. Run the select * from cs_edq_servers query in

your SQL query tool to verify the server details.

To split jobs using multiple servers, follow these steps:

1. Navigate to the FIC_DB_HOME/bin directory.

2. Execute ./EDQServerInsert.sh <INFODOM NAME>. This step is used to register the EDQ

server details. You must replace the INFODOM NAME placeholder with your domain name.

3. Enter the following details in the console where the command is run:

▪ EDQ Server Name

▪ EDQ server IP

▪ EDQ Server Direct Port number (JMX port number). This value must be 8090.

▪ EDQ Server User Name

▪ EDQ Password details

Figure 115: EDQ Details

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

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4. Duplicate the CS_Data_Load_Event_Generation batch in the Run page. To do this, copy

the CS_Data_Load_Event_Generation batch and create another batch.

Follow these steps to access the Run page:

1. Login as the administrator. The Financial Services Analytical Applications Customer

Screening home page appears.

Figure 116: Financial Services Analytical Applications Customer Screening Home Page

2. Click the hamburger icon to view the Application Navigation List.

Figure 117: Application Navigation List

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

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3. From the Application Navigation List, select Common Tasks, then select Rule Run

Framework, and then select Run. The Run page appears.

5. In the Run page, follow these steps to create a duplicate batch:

1. Select the CS_Data_Load_Event_Generation run and click Copy. The Run page opens

in copy mode.

NOTE

You must select the segment folder for the Sanctions pack in

the Folder field to proceed.

Figure 118: Run Page in Copy Mode

2. Enter a new run code or alter the existing value in the Code field. For example, code can be

CS_Data_Load_Event_GenerationD.

3. Enter a new run name or alter the existing value in the Code field. For example, name can

be CS Data Load And Event Generation.

NOTE

The run name and run code values can be the same.

4. Click Next to go to the next page and confirm the name.

5. Click Save.

After you click Save, the new run name appears in the Run page.

Figure 119: New Run Name in Run Page

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

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6. Duplicate the CS_E2E_Start_Batch, CS_Call_Customer_Screening, and

CS_E2E_End_Batch processes in the Process page.

Figure 120: Process Page

Follow these steps to access the Process page:

1. Login as the administrator. The Financial Services Analytical Applications Customer

Screening home page appears.

Figure 121: Financial Services Analytical Applications Customer Screening Home Page

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

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2. Click the hamburger icon to view the Application Navigation List.

Figure 122: Application Navigation List

3. From the Application Navigation List, select Common Tasks, then select Rule Run

Framework, and then select Process. The Process page appears.

7. To duplicate each process, follow these steps:

1. For the CS_E2E_Start_Batch process:

i. In the Process page, select CS_E2E_Start_Batch and click Copy. The Process page

opens in copy mode.

NOTE

You must select the segment folder for the Sanctions pack in

the Folder field to proceed.

ii. Enter a new process code in the Code field and a new process name in the Name field.

You can also alter the existing process code or name. For example,

CS_E2E_Start_Batch_den.

iii. Click Save.

2. For the CS_Call_Customer_Screening process:

i. In the Process page, select CS_Call_Customer_Screening and click Copy. The

Process page opens in copy mode.

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ii. Enter a new process code in the Code field and a new process name in the Name field.

You can also alter the existing process code or name. For example,

CS_Call_Customer_Screening_den.

iii. Click Save.

3. For the CS_E2E_End_Batch process:

i. In the Process page, select CS_E2E_End_Batch and click Copy. The Process page

opens in copy mode.

ii. Enter a new process code in the Code field and a new process name in the Name field.

You can also alter the existing process code or name. For example,

CS_E2E_End_Batch_den.

iii. Click Save.

After you click Save, the new process names appear in the Process page.

Figure 123: New Process Names in Process Page

8. Update the group name for the CS_E2E_Start_Batch_den and CS_E2E_End_Batch_den

processes. To do this, run the following query:

select * from cs_processing_group

9. Change the parameter for the CS_E2E_Start_Batch_den process. To do this, follow these

steps:

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

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1. Select the duplicated process created in the earlier step and click Edit. The Process page

opens in edit mode.

2. Click Component. The Component Selector window appears.

3. Click the drop-down list in line with the F_CS_BATCH_RUN task. The Parameters window

appears.

Figure 124: Parameter for the CS_E2E_Start_Batch Process

Change the ORACLECS parameter to the applicable data origin or processing name.

10. Change the parameter for the CS_E2E_End_Batch_den process. To do this, follow these

steps:

1. Select the duplicated process created in the earlier step and click Edit. The Process page

opens in edit mode.

2. Click Component. The Component Selector window appears.

3. Select the drop-down list in line with the F_CS_BATCH_RUN task. The Parameters window

appears.

Figure 125: Parameter for the CS_E2E_End_Batch Process

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 139

Change the ORACLECS parameter to the data origin or processing name.

11. To change the parameters for the CS_Call_Customer_Screening_den process, follow

these steps:

1. Select the duplicated process created in the earlier step and click Edit. The Process page

opens in edit mode.

2. Click Component. The Component Selector window appears.

3. Select the drop-down list in line with the CallEDQ task. The Parameters window appears

with the following values:

"runprofileName=customer-screening1.properties","RunLabel=customer-

screening","JobName=MAIN","ProjectName=Customer-

Screening","edqServerName=SERVER_2","condition=and AGE_YR_CT>20 and

BIRTH_DT <= @$~20 June 1972@$~"

Figure 126: Parameters for the CS_Call_Customer_Screening_den Process

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

DELTA WATCH LIST CONFIGURATIONS FOR THE WORLD-CHECK WATCH LIST

CUSTOMER SCREENING ADMINISTRATION GUIDE | 140

4. Change the following parameters:

i. Run profile name.

Example: runprofileName=customer-screening1.properties"

ii. EDQ server name. If you do not change the server name, it is replaced with the server

name in the cs_appln_params table.

Example: "edqServerName=SERVER_2"

iii. Condition. By default, a single condition is provided. Use and to give more than one

condition.

Example: "condition=and AGE_YR_CT>20 and BIRTH_DT <= @$~20 June

1972@$~"

NOTE

3. It is not mandatory to provide a condition.

4. Provide the expression @$~ to use alphanumeric

characters for fields such as customer birth date. For

example, "condition=and AGE_YR_CT>20 and

BIRTH_DT <= @$~20 June 1972@$~".

12. Replace the new batches in the Run page. To do this, follow these steps:

1. Select CS_Data_L_Event_Generation_Den and click Edit. The Run page opens in edit

mode.

Click the Selector drop-down list and select Job. The Component Selector window appears.

Figure 127: Parameters for the CS_Call_Customer_Screening_den Process

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

ADDING INPUT PARAMETERS FOR THE CALLEDQ TASK

CUSTOMER SCREENING ADMINISTRATION GUIDE | 141

In the List hierarchy window, expand the Transformation Rules node.

Expand the Processes node and then the TFLSEGMENT node.

In the Tasks table, select the original processes, which are CS_End_To_End_Start_Batch, CS Customer

Screening Call, and CS_End_To_End_End_Batch. These processes must be selected one at a time.

Click Move . The selected batches are displayed in the TFLSEGMENT node.

In the List table, select the new processes, which are CS_End_To_End_Start_Batch_den, CS Customer

Screening Call den, and CS_End_To_End_End_Batch_den.

Click Remove . The selected batches are displayed in the Tasks table.

Click OK.

The duplicate jobs are now split across servers using the CS_End_To_End_Start_Batch, CS

Customer Screening Call, and CS_End_To_End_End_Batch batches.

11.1 Adding Input Parameters for the CallEDQ Task

Finally, add the new EDQ server name and applicable condition as input parameters in the Post Load

Changes page as shown in the following steps:

1. Click the hamburger icon to view the Application Navigation List.

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

ADDING INPUT PARAMETERS FOR THE CALLEDQ TASK

CUSTOMER SCREENING ADMINISTRATION GUIDE | 142

2. From the Application Navigation List, select Common Tasks, then select Data Management

Framework, then select Data Management Tools, and then select Post Load Changes. The

Post Load Changes page appears.

Figure 128: Post Load Changes Page

3. Search for CallEDQ in the Code field and select it.

4. Click Edit.

5. In the Transformation Process Flow section, select Input Parameters. The Input parameters

appear in the Parameter Definition section.

6. Click Add Row to add a row. You must add two rows, one for the EDQ server name and one for

the condition.

Figure 129: Adding Input Parameters

7. Click Finish.

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

FIX FOR PRIMARY KEY CONSTRAINTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 143

To verify the batch execution logs for the EDQ tasks, see the FIC_HOME/ficdb/bin/CS_EDQ_CALL

log file.

11.2 Fix for Primary Key Constraints

The Multi EDQ Screening process fails when you try to insert in the CS_WATCHLIST table, due to an

interlock problem at the database level when two or more of the EDQ try to perform an action over the

same database. You will experience a unique constraint as multiple systems are trying to update the

same data.

The error caused due to locking of the record is removed by a creating multiple EDQ instances and

then insert data into the temporary table by running CS batch.

For example, consider five EDQ server instances. Error is caused when the five EDQ servers are loaded

into the same CS_WATCHLIST table. To overcome the scenario, five temporary tables

(CS_WATCHLIST1, CS_WATCHLIST2, CS_WATCHLIST3, CS_WATCHLIST4, and CS_WATCHLIST5)

are created. Each EDQ servers are individually loaded into each watchlist table, and then the five tables

are merged into the CS_WATCHLIST table.

The EDQ application is pre-configured with following five watchlist tables:

• CS_WATCHLIST1

• CS_WATCHLIST2

• CS_WATCHLIST3

• CS_WATCHLIST4

• CS_WATCHLIST5

If you have multiple EDQ servers, follow the subsequent steps to load the EDQ server to the watchlist

table:

1. Log into the EDQ Application.

2. Click Customer Screening project from Project Browser. For more information on Importing

the OFS Customer Screening Projects, see Oracle Financial Services Sanctions Pack Installation

and Configuration Guide.

3. Click Export ECM Watchlist in the Export folder under Customer Screening project to open

the Edit Export Definition page.

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

FIX FOR PRIMARY KEY CONSTRAINTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 144

Figure 130: Export Folder

4. Select the ECM_Watchlist data interface from the staged data table and click Next to open

the data store table. ECM_Watchlist is the staged data that you will export.

5. Select the ECM Watchlist Output as data store from the Data Store table and click Next to open

the Table Selection screen. ECM Watchlist Output is the data store which will be used as the

target for the export.

6. In the Table Selection table by default CS_Watchlist table is selected. Instead of

CS_Watchlist, select CS_Watchlist1 and click Next to open Column Mapping table.

Figure 131: Loading EDQ Server to CS_Watchlist1

APPENDIX D: SPLITTING JOBS USING MULTIPLE EDQ SERVERS

FIX FOR PRIMARY KEY CONSTRAINTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 145

7. Click Next in Column Mapping table and click Finish the process in Export Name screen. The

EDQ server will be loaded to the CS_Watchlist1.

The same procedure steps must be repeated for the remaining EDQ servers if you have multiple EDQ

servers.

Merging the table is a pre-configured procedure. The multiple watchlist table will auto populate to

CS_Watchlist.

APPENDIX E: VIEWING SNAPSHOTS OF TABLES IN EDQ

FIX FOR PRIMARY KEY CONSTRAINTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 146

12 Appendix E: Viewing Snapshots of Tables in EDQ

To view a snapshot of a selected table and associated columns in the Results Browser pane in

Enterprise Data Quality (EDQ), follow these steps:

1. Go to the EDQ URL and open the Director menu. The Director landing page appears.

Figure 130: Director Menu in EDQ

2. In the Director landing page, expand the Customer-Screening project in the Project Browser

pane.

Figure 131: Project Browser Pane

APPENDIX E: VIEWING SNAPSHOTS OF TABLES IN EDQ

FIX FOR PRIMARY KEY CONSTRAINTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 147

3. Expand the Staged Data node and double-click FCDM Customer Data.

Figure 132: FCDM Customer Data Node

4. In the Setup Snapshot window, double-click FCDM Batch Data.

Figure 133: Setup Snapshot Window

APPENDIX E: VIEWING SNAPSHOTS OF TABLES IN EDQ

FIX FOR PRIMARY KEY CONSTRAINTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 148

5. The default view is the SQL query. To change the view to a table view, select Select Table or

View.

Figure 134: Select Table or View

6. Click Next until you see the Finish button.

7. Click Finish to view a snapshot of the selected table in the Results Browser.

APPENDIX F: CONFIGURATIONS FOR THE BEARER TOKEN

GENERATE USER PASSWORD

CUSTOMER SCREENING ADMINISTRATION GUIDE | 149

13 Appendix F: Configurations for the Bearer Token

The following section takes you through the process of generating a token and using it to get the

individual or entity JSON, depending on the API request. A token is used to authorize the request.

You can begin by generating a password for the user who sends the request. After the password is

generated, generate a token to authorize this request. The default time for token expiration is 3600

seconds (1 hour) and can be changed. To change the validity, see Change Token Validity.

13.1 Generate User Password

To generate a password for the user, follow these steps:

1. Log in as a system administrator.

2. Click System Configuration in the Administration page and select Configure Setup Access

Token. The Configure Setup Access Token window is displayed.

Figure 135: Administration Page

3. In the Configure Setup Access Token section, click Add. A new window is displayed.

Figure 136: Configure Setup Access Token

APPENDIX F: CONFIGURATIONS FOR THE BEARER TOKEN

GENERATE USER PASSWORD

CUSTOMER SCREENING ADMINISTRATION GUIDE | 150

4. Enter the username in the Client Setup Name field and click Generate Token. The token is

displayed in the Setup Access Token Details section.

Figure 137: Generate Token Button

5. Copy and save the text generated in the Setup Access Token Details section.

Figure 138: Setup Access Token Details

APPENDIX F: CONFIGURATIONS FOR THE BEARER TOKEN

CHANGE TOKEN VALIDITY

CUSTOMER SCREENING ADMINISTRATION GUIDE | 151

The STP_ACC_NM field displays the username. The STP_ENC_STR field displays the password.

6. Click Close and log out as the system administrator.

13.2 Change Token Validity

To generate a password for the user, follow these steps:

1. Log in as a system administrator.

2. Click System Configuration in the Administration page and select Configure System

Configuration. The Configuration window is displayed.

Figure 139: Administration Page

3. In the Configuration window, change the token validity time in the API token validity in

seconds field.

APPENDIX F: CONFIGURATIONS FOR THE BEARER TOKEN

GENERATE TOKEN

CUSTOMER SCREENING ADMINISTRATION GUIDE | 152

Figure 140: Configuration window with the API token validity in seconds field shown

4. Click Save.

13.3 Generate Token

After the password is generated, you can generate the token. To generate the token, open your API

client and follow these steps:

NOTE

6. You may use the desktop version of the Postman

client to perform these steps. Postman is an open-

source, collaborative platform for API development.

For more information, see Postman Docs.

7. You can also use any other API client, such as cURL.

For more information, see REST APIs for Oracle

Database.

1. Open the Postman client and click Create a request.

2. Select the request type as GET and enter the request URL in the following format:

http://[servername]:[portnumber]/[context]/v1/token

Figure 141: Request

APPENDIX F: CONFIGURATIONS FOR THE BEARER TOKEN

GENERATE TOKEN

CUSTOMER SCREENING ADMINISTRATION GUIDE | 153

3. Select the Authorization menu and then select the TYPE as Basic Auth.

Figure 142: Authorization

4. Enter the username and password.

The username is the value generated for the STP_ACC_NM attribute and the password is the

value generated for the STP_ENC_STR attribute.

5. Click Send. The token is displayed in the Response field.

Figure 143: Response

APPENDIX F: CONFIGURATIONS FOR THE BEARER TOKEN

SEND REQUESTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 154

13.4 Send Requests

Requests are sent using the POST request feature. Use the token generated to authorize the request

and pass the JSON in the correct format.

NOTE

8. You may use the desktop version of the Postman

client to perform these steps. Postman is an open-

source, collaborative platform for API development.

For more information, see Postman Docs.

9. You can also use any other API client, such as cURL.

For more information, see REST APIs for Oracle

Database.

1. In the Postman client, select the request type as POST and enter the request URL in the

following format:

http://[servername]:[portnumber]/[context]/restapi/RTScreening/RTScreen

ingRestService/service/IndividualScreen/EntityScreen

Figure 144: Request

2. In the Authorization menu, select the TYPE as Bearer Token.

Figure 145: Authorization

APPENDIX F: CONFIGURATIONS FOR THE BEARER TOKEN

SEND REQUESTS

CUSTOMER SCREENING ADMINISTRATION GUIDE | 155

3. Paste the token generated in the Token field.

4. Click Send. The JSON is displayed in the Response field. A sample JSON is shown:

{

"Jurisdiction": "AMEA",

"BusinessDomain":"d",

"FamilyName": "HAMMAD",

"GivenNames": "Fathi Ahmad"

}

APPENDIX G: ERROR LOGS

EDQ FAILURE

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14 Appendix G: Error Logs

The following are the types of failures you may encounter:

• EDQ failure

• Data Model Failure

• Batch Failure

• DM Utility Failure

14.1 EDQ Failure

If there is an EDQ failure, follow these steps.

1. Go to the following path, where the EDQ is installed.

{domain_path}/servers/edq_server1/logs/edq/logs

2. Open the file name (main0.log).

3. Rectify the errors that you find in the logs.

14.2 Data Model Failure

If there is a data model failure, follow these steps.

1. Go to the following path.

{ftpshare_path}/{infodom}/logs.

2. Check for the latest file and rectify the error according or raise an SR to support.

14.3 Batch Failure

If there is batch failure, follow these steps.

1. Go to the following path.

{ftpshare_path}/logs/{BatchDate}/{infodom}/TRANSFORM DATA.

2. Search for the log file with task ID. Rectify the relevant error.

14.4 DM Utility Failure

If there is DM Utility failure, follow these steps.

1. Log in to Atomic Schema and search for the table FCC_DM_AUDIT.

2. This table has all the logs for the current running batch.

3. Rectify the relevant error.

APPENDIX H: OUT OF BOX PROCESS TO MOVE ALERTS FROM CS_ALERTS OF ONE DB INSTANCE TO FCC_ZCS_ALERTS OF ANOTHER DB INSTANCE

DM UTILITY FAILURE

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15 Appendix H: Out Of Box process to move Alerts

from CS_ALERTS of one DB instance to

FCC_ZCS_ALERTS of another DB instance

The Oracle_CS_Zipper_Processing run, present under the Run screen of Rule Run Framework,

handles data movement from the CS_ALERTS to FCC_ZCS_ALERTS. It is configured to Out of Box

(OOB) to move this data on the same instance.

The following are the steps to move data from one DB instance to another:

NOTE

The following configurations should be done on the instance

where the Zipper UI is present.

The Oracle_CS_Zipper_Processing run intern calls Loading_Oracle_CS_Alerts process,

which is present under the Process screen of Rule Run Framework. This process is responsible for

moving the CS_ALERTS data from the source system to the destination system.

1. Create a DB link in the Zipper UI database by giving the DB details of source system database

details where CS_ALERTS are present.

2. Login with CS Admin in the Zipper UI instance and navigate to Common Tasks > Rule Run

Framework>Process.

3. Select the check box for Loading_Oracle_CS_Alerts process name and click on Edit.

4. In the process details screen, you will see that in the parameters column, SOURCENAME and

LOADTYPE is value is empty by default as shown in the below screenshot. Make sure to update

these parameters with the following values.

SOURCE NAME: Enter the name of the DB link which is created in Step 1.

LOADTYPE: Enter the value as DBLINK.

Example:"SOURCENAME=SOURCE1_DB_LINK_NAME","DATAMOVEMENTCODE=FCC_ZCS_CUST","

LOADTYPE=DBLINK","DATAMOVEMENTOPERATION=IS".

Figure 146: Master Information

APPENDIX H: OUT OF BOX PROCESS TO MOVE ALERTS FROM CS_ALERTS OF ONE DB INSTANCE TO FCC_ZCS_ALERTS OF ANOTHER DB INSTANCE

DM UTILITY FAILURE

CUSTOMER SCREENING ADMINISTRATION GUIDE | 158

5. Click the Component button to edit the parameters.

6. In the Component Selector popup, on the TASK in the ROOT section on the right side, against

each FCCDataMovement, click on the down arrow button to edit the parameters as shown in

below screenshot.

Figure 147: Component Selector

7. Give the value for SOURCENAME and LOADTYPE as suggested in Step d and click OK to save.

8. Update the above values mentioned in step 7 to all the FCCDataMovement where

SOURCENAME and LOADTYPE are empty.

9. Now, if you create a batch out Oracle_CS_Zipper_Processing run in ZIPPER UI Instance

and execute it, it will pull the CS_ALERTS from the source system and create a zipper alert

Zipper UI instance.

The following are the steps to pull data from multiple source systems in the zipper UI instance:

i. Enter a DB details of source system database where CS_ALERTS are present to create a

DB link in the Zipper UI database for each source system.

ii. Login as a CS Admin in the Zipper UI instance and navigate to Common Tasks>Rule

Run Framework>Process.

iii. Select the check box for Loading_Oracle_CS_Alerts process name and click Copy

to create a copy. Create the copies for all source systems.

iv. Now, select Individual Process and click Edit and follow the above steps from 4 to 7 and

give the respective SOURCENAME value and LOADTYPE as DBLINK.

v. Navigate to Common Tasks>Rule Run Framework>Run.

vi. Select the check box for Oracle_CS_Zipper_Processing run name and click Copy

to create a copy.

vii. In the RUN details, enter a Folder name and give a different name for Code and Name

fields.

viii. Click on the Selector button and then select Job.

APPENDIX H: OUT OF BOX PROCESS TO MOVE ALERTS FROM CS_ALERTS OF ONE DB INSTANCE TO FCC_ZCS_ALERTS OF ANOTHER DB INSTANCE

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ix. From the tasks section on the right side, remove the Loading_Oracle_CS_Alerts,

map the respective process created for a particular source system, and click OK.

x. Verify the Run Details screen to see processes are mapped correctly and proceed to

finish the steps to complete copying of process.

xi. Create a different run for each source system by following the above steps from Step vi

to x.

xii. Now, if you create a batch out individual source system runs created in ZIPPER UI

Instance and execute it, it will pull the CS_ALERTS from the respective source system

and create zipper alert in Zipper UI instance.

APPENDIX I: API TO CREATE THE ALERTS IN THE ZIPPER ALERTS TABLE (FCC_ZCS_ALERTS)

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16 Appendix I: API to create the Alerts in the Zipper

Alerts table (FCC_ZCS_ALERTS)

Multiple CS Instances are used for an ad-hoc Screening of Customer and External Entity from the

Real-time Screening UI. Following are the steps to configure these systems to create zipper alerts in

separate Zipper UI Instances:

1. Navigate to ##FIC_HOME##/ficdb/bin folder of CS instance, used for ad-hoc screening of

Customer and External Entity from Real-time Screening UI.

2. Execute EDQInsert.sh bypassing infodom along with it.

Example: ./EDQInsert.sh TFLTINFO

3. Initially, enter the EDQ server details.

4. If you want to use the Enterprise Case Management Application (ECM) or Customer

Screening Alert Management (CSAM) as an L1 investigation for Real-Time Screening, enter

CSAM.

5. Enter the URL of the Zipper UI instance used for Zipper alerts, and if the Customer Screening

Alert Management (CSAM) application is in the same installation, enter N.

6. Enter the user name and password to access the Zipper UI instance URL.

7. Now, if you perform an ad-hoc screening of Customer and External Entity from Real-time

Screening UI from CS instance, it will create zipper alerts in Zipper UI instance.

8. Follow the above steps 1 to 7 in all the multiple CS instances used for ad-hoc screening of

Customer and External entity from Real-time Screening UI.

NOTE

The source systems are configured with the Rest URL of the

CS Instance used for ad-hoc screening of Customer and

External Entity from the Real-time Screening UI. In this case, it

will still use the same configuration done in the above steps 1

to 7 and creates zipper alerts in the Zipper UI instance.

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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17 Appendix J: PMF Configurations for Pool of

Analyst

To configure the PMF Pool of Analyst configuration to set the new statuses, follow these steps:

1. Perform the following queries and introduce new status in the following tables.

▪ Select t.*,rowid from AAI_WF_STATUS_B t where t.v_app_package_id in

('OFS_CS_RT');

▪ Select t.*,rowid from AAI_WF_STATUS_TL t where t.v_app_package_id in

('OFS_CS_RT');

▪ Create unique v_status_id in AAI_WF_STATUS_B table and map the same in the

AAI_WF_STATUS_TL table and fill all the other columns data. This data will show in the

PMF screen while mapping new status.

Figure 148: Example 1

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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2. Perform the following query and introduce new Outcome in both the following tables.

▪ Select t.*, rowid from AAI_WF_OUTCOME_B t;

▪ Select t.*, rowid from AAI_WF_OUTCOME_TL t;

▪ Create unique outcome id in AAI_WF_OUTCOME_B table and map the same in

AAI_WF_OUTCOME_TL table and provide other columns data.

Figure 149: Example 2

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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3. In the atomic schema, do the configuration for the following tables:

Select t.*,rowid from FCC_ZCS_STATUS_dim t;

Select V_STATUS_CODE, V_STATUS_CODE from fcc_zcs_status_dim;

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4. In the following table do the security attribute mapping for the new workflow:

Select t.*, rowid from FCC_ZCS_SECURITY_ATTR_GRP_MAP t;

In the following table, add the two entries:

Select * from cs_appln_params;

For the entry ZCS_ENBL_ANLYST_POOL, the value must be Y and for the entry

POA_CHECK_STS_CODES, add the status code of the newly created status.

5. Create Human task in PMF screen that you want to introduce in-between existing status or you

want to introduce new status or create separate status.

Activity

--------------

Activity Name*

Activity Description

Status* - New Status Name.

Outcomes - Where has to go (Destination Status).

Example: If we have to introduce a new status between Investigation to Pending Review, first add the

new activity as shown in the following Figures (Pending Test Review).

Figure 151: Activity Statuses

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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Transitions

------------------

Add ->

Transition Name - Unique Name for the particular Transition.

Connected To – Destination status.

Decision Rule - Map to decision rule for particular status.

Order - 1

Stroke – Default.

Example: First Transition between Investigation to Pending Test Review the next one

between Pending Test Review and Pending Review.

Figure 152: Edit Transaction – Pending Test Review

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Figure 153: Edit Transaction – Pending Review

In Transition Decision Rule Map the specified rule for the current status. Or create as per business

requirement.

Example: For the decision rules, add the following 2 decision rules.

Figure 154: Rule Details – Decision Rule 1

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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Figure 155: Rule Details – Decision Rule 2

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

LIST OF ATTRIBUTES PASSED TO WORKFLOW

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Edit the existing decision rule, by adding the ZP_POOL_ANALYST_FL.

17.1 List of Attributes Passed to Workflow

The following table provides the list of Attributes passed to workflow:

Table 3: Attributes Passed to Workflow

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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Attributes

Description

CS_ROLE_CODE

Logged in User.

CS_STATUS

Status code.

TF_ALERT TYPE

Alert type of the message (1 or 2).

ZP_POOL_ANALYST_FL

Allowed values are Y/N based on the

CS_appln_params Configuration.

ZP_POA_LOGGED_USER_ACTED_FIRST

If the Logged in User is the user who

performed the first action on the POA

status, then the value of

ZP_POA_LOGGED_USER_ACTED_FIRST

is Y else it’s N.

APPENDIX J: PMF CONFIGURATIONS FOR POOL OF ANALYST

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17.2 Attribute to Configure the Auto Refresh in Queue

Management

The following table provides the list of Attribute to configure the Auto Refresh in Queue Management:

Table 4: Q_AUTO_REFRESH_TIME Attribute

Attributes

Description

Q_AUTO_REFRESH_TIME

Provide the time in mille second for the

attribute in CS_APPLN_PARAMS table.

By default it’s 25000 i.e 25 seconds but the

value is editable.

APPENDIX K: INVOKING THE PMF WORKFLOW FROM BACKEND

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18 Appendix K: Invoking the PMF Workflow from

backend

This appendix describes invoking the Process Modeller Framework (PMF) workflow from the backend

for the alert.

Table 5 provides the PMF workflow invoking parameters.

Table 5: PMF Workflow Invoking Parameters

Parameter Name

Parameter Description

Object ID

This represents the unique object ID. For Sanctions, the object ID can be

alert ID or Good Guy Whitelist ID.

Object Type

This represents the object type for the object ID. For Sanctions, the

object type will be 301 for alert and 302 for Good Guy Whitelist.

Infodom

This represents the name of the infodom in which Sanctions are

installed.

Segment

This represents the name of the segment. For Sanctions, it will be

TFLSEGMENT.

User ID

This represents the User ID that is triggering the workflow. Pass the

value as SYSTEM.

Locale

This represents the locale. Pass the value as en_US.

Application Params

This represents the list of workflow data fields with their respective

value.

Security Params

This represents the list of workflow security data fields with their

respective value.

To trigger the workflow for Sanctions Alerts, follow the below code snippet:

DECLARE

lv_infodom varchar2(4000);

lv_segment varchar2(4000);

TYPE alert_record_ids IS TABLE OF fsi_rt_alerts.n_grp_msg_id%TYPE;

l_alert_record_ids alert_record_ids;

appParams array_varchar := array_varchar();

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secMap array_varchar := array_varchar();

BEGIN

appParams.extend();

appParams(1) := 'TF_ACTION=MANUAL_CLOSE';

appParams.extend();

appParams(2) := 'Role=SYSTEM';

select t.v_attribute_value1

into lv_infodom

from setup_rt_params t

where t.v_param_name = 'TFLT_INFODOM';

select t.v_attribute_value1

into lv_segment

from setup_rt_params t

where t.v_param_name = 'TFLT_SEGMENT';

select t.n_grp_msg_id bulk collect

into l_alert_record_ids

from fsi_rt_alerts t

where t.n_status_cd in (1,2);

FOR recId IN 1 .. l_alert_record_ids.COUNT loop

startWorkflowForExpireRecord(l_alert_record_ids(recId),

'301',

lv_infodom,

lv_segment,

'SYSTEM',

'en_US',

appParams,

secMap);

end loop;

EXCEPTION

WHEN OTHERS THEN

dbms_output.put_line(SQLCODE || SQLERRM);

ROLLBACK;

END;

APPENDIX L: TIME ZONE CONFIGURATION

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19 Appendix L: Time Zone Configuration

This appendix contains information on the expected user input to set up the time zone preference for

any user in the database. You can configure the time zone for each user ID.

If no time zone is specified for a user, the default time zone is the time zone specified in the user’s

browser.ss.

To update the time zone for a user, follow these steps:

1. Run the following script:

select * from AAI_USR_PREFERENCE_DETAIL t where t.v_preference_id =

'TIME_ZONE';

2. Update the time zone name in the following V_PREFERENCE_VALUE column:

Table 6: User IDs for Time Zones

V_USER_ID

V_PREFERENCE_ID

V_PREFERENCE_VALUE

Administrator

TIME_ZONE

Asia/Kolkata

Analyst

TIME_ZONE

Africa/Abidjan

Supervisor

TIME_ZONE

Africa/Accra

Senior Supervisor

TIME_ZONE

etc/UTC

The following table shows the country code and the respective time zone name. The following

country codes listed here are only for reference. For each country code, the respective time

zone name must be used to update the time zone.

Table 5: Country Codes for Time Zones

Country Code

Time Zone Name

Africa/Abidjan

Africa/Accra

Africa/Addis_Ababa

Africa/Algiers

Africa/Asmara

Africa/Bamako

Africa/Bangui

Africa/Banjul

Africa/Bissau

Africa/Blantyre

Africa/Brazzaville

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Africa/Bujumbura

Africa/Cairo

Africa/Casablanca

Africa/Ceuta

Africa/Conakry

Africa/Dakar

Africa/Dar_es_Salaam

Africa/Djibouti

Africa/Douala

Africa/El_Aaiun

Africa/Freetown

Africa/Gaborone

Africa/Zimbabwe

Africa/Johannesburg

Africa/Juba

Africa/Kampala

Africa/Khartoum

Africa/Kigali

Africa/Kinshasa

Africa/Lagos

Africa/Libreville

Africa/Lome

Africa/Luanda

Africa/Lubumbashi

Africa/Lusaka

Africa/Malabo

Africa/Maputo

Africa/Maseru

Africa/Mbabane

Africa/Mogadishu

Africa/Monrovia

Africa/Nairobi

Africa/Ndjamena

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Africa/Niamey

Africa/Nouakchott

Africa/Ouagadougou

Africa/Porto-Novo

Africa/Sao_Tome

Africa/Timbuktu

Africa/Tripoli

Africa/Tunis

Africa/Windhoek

America/Adak

America/Anchorage

America/Boise

America/Chicago

America/Denver

America/Detroit

America/Indianapolis

America/Knox

America/Marengo

America/Petersburg

America/Tell_City

America/Vevay

America/Vincennes

America/Winamac

America/Juneau

America/Louisville

America/Monticello

America/Los_Angeles

America/Menominee

America/Metlakatla

America/New_York

America/Nome

America/Beulah

America/Center

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

America/New_Salem

America/Phoenix

America/Sitka

America/Yakutat

America/Honolulu

America/Anguilla

America/Antigua

America/Buenos_Aires

America/Catamarca

America/Cordoba

America/Jujuy

America/La_Rioja

America/Mendoza

America/Rio_Gallegos

America/Salta

America/San_Juan

America/San_Luis

America/Tucuman

America/Ushuaia

America/Aruba

America/Asuncion

America/Atikokan

America/Blanc-Sablon

America/Cambridge_Bay

America/Creston

America/Dawson

America/Dawson_Creek

America/Edmonton

America/Fort_Nelson

America/Glace_Bay

America/Goose_Bay

America/Halifax

America/Inuvik

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

America/Iqaluit

America/Moncton

America/Nipigon

America/Pangnirtung

America/Rainy_River

America/Rankin_Inlet

America/Regina

America/Resolute

America/St_Johns

America/Swift_Current

America/Thunder_Bay

America/Toronto

America/Vancouver

America/Whitehorse

America/Winnipeg

America/Yellowknife

America/Araguaina

America/Bahia

America/Belem

America/Boa_Vista

America/Campo_Grande

America/Cuiaba

America/Eirunepe

America/Fortaleza

America/Maceio

America/Manaus

America/Noronha

America/Porto_Velho

America/Recife

America/Rio_Branco

America/Santarem

America/Sao_Paulo

America/Bahia_Banderas

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

America/Cancun

America/Chihuahua

America/Hermosillo

America/Matamoros

America/Mazatlan

America/Merida

America/Mexico_City

America/Monterrey

America/Ojinaga

America/Tijuana

America/Barbados

America/Belize

America/Bogata

America/Caracas

America/Cayenne

America/Cayman

America/Costa_Rica

America/Curacao

America/Danmarkshavn

America/Godthab

America/Scoresbysund

America/Thule

America/Dominica

America/El_Salvador

America/Grand_Turk

America/Grenada

America/Guadeloupe

America/Guatemala

America/Guayaquil

America/Guyana

America/Havana

America/Jamaica

America/Kralendijk

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

America/La_Paz

America/Lima

America/Lower_Princes

America/Managua

America/Marigot

America/Martinique

America/Miquelon

America/Montevideo

America/Montserrat

America/Nassau

America/Panama

America/Paramaribo

America/Port_of_Spain

America/Port-au-Prince

America/Puerto_Rico

America/Punta_Arenas

America/Santiago

America/Easter

America/Santo_Domingo

America/St_Barthelemy

America/St_Kitts

America/St_ Lucia

America/St_Thomas

America/St_Vincent

America/Tegucigalpa

America/Tortola

Antarctica/Casey

Antarctica/Davis

Antarctica/DumontDurville

Antarctica/Mawson

Antarctica/McMurdo

Antarctica/Palmer

Antarctica/Rothera

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Antarctica/Syowa

Antarctica/Troll

Antarctica/Vostok

Arctic/Longyearbyen

Asia/Aden

Asia/Almaty

Asia/Aqtau

Asia/Aqtobe

Asia/Atyrau

Asia/Oral

Asia/Qyzylorda

Asia/Amman

Asia/Ashgabat

Asia/Baghdad

Asia/Bahrain

Asia/Baku

Asia/Bangkok

Asia/Anadyr

Asia/Barnaul

Asia/Chita

Asia/Irkutsk

Asia/Kamchatka

Asia/Khandyga

Asia/Krasnoyarsk

Asia/Magadan

Asia/Novokuznetsk

Asia/Novosibirsk

Asia/Omsk

Asia/Sakhalin

Asia/Srednekolymsk

Asia/Tomsk

Asia/Ust-Nera

Asia/Vladivostok

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Asia/Yakutsk

Asia/Yekaterinburg

Europe/Astrakhan

Europe/Kaliningrad

Europe/Kirov

Europe/Moscow

Europe/Samara

Europe/Saratov

Europe/Ulyanovsk

Europe/Volgograd

Asia/Beirut

Asia/Bishkek

Asia/Brunei

Asia/Choibalsan

Asia/Hovd

Asia/Ulaanbaatar

Asia/Colombo

Asia/Damascus

Asia/Dhaka

Asia/Dili

Asia/Dubai

Asia/Dushanbe

Asia/Famagusta

Asia/Gaza

Asia/Ho_Chi_Minh

Asia/Hong_Kong

Asia/Jakarta

Asia/Jayapura

Asia/Makassar

Asia/Pontianak

Asia/Jerusalem

Asia/Kabul

Asia/Karachi

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Asia/Kathmandu

Asia/Kolkata

Asia/Kuala_Lumpur

Asia/Kuching

Asia/Kuwait

Asia/Macau

Asia/Manila

Asia/Muscat

Asia/Phnom_Penh

Asia/Pyongyang

Asia/Qatar

Asia/Rangoon

Asia/Yangon

Asia/Riyadh

Asia/Samarkand

Asia/Tashkent

Asia/Seoul

Asia/Shanghai

Asia/Urumqi

Asia/Singapore

Asia/Taipei

Asia/Tbilisi

Asia/Tehran

Asia/Thimphu

Asia/Tokyo

Asia/Vientiane

Asia/Yerevan

Atlantic/Azores

Atlantic/Madeira

Atlantic/Bermuda

Atlantic/Canary

Atlantic/Cape_Verde

Atlantic/Faroe

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Atlantic/Reykjavik

Atlantic/South_Georgia

Atlantic/St_Helena

Atlantic/Stanley

Australia/Adelaide

Australia/Brisbane

Australia/Broken_Hill

Australia/Canberra

Australia/Currie

Australia/Darwin

Australia/Eucla

Australia/Hobart

Australia/Lindeman

Australia/Lord_Howe

Australia/Melbourne

Australia/Perth

Australia/Sydney

Australia/Yancowinna

Europe/Amsterdam

Europe/Andorra

Europe/Athens

Europe/Belfast

Europe/Belgrade

Europe/Berlin

Europe/Bratislava

Europe/Brussels

Europe/Bucharest

Europe/Budapest

Europe/Busingen

Europe/Chisinau

Europe/Copenhagen

Europe/Dublin

Europe/Gibraltar

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Country Code

Time Zone Name

Europe/Guernsey

Europe/Helsinki

Europe/Isle_of_Man

Europe/Istanbul

Europe/Jersey

Europe/Kiev

Europe/Lisbon

Europe/Ljubljana

Europe/London

Europe/Luxembourg

Europe/Madrid

Europe/Malta

Europe/Mariehamn

Europe/Minsk

Europe/Monaco

Europe/Nicosia

Europe/Oslo

Europe/Paris

Europe/Podgorica

Europe/Prague

Europe/Riga

Europe/Rome

Europe/San_Marino

Europe/Sarajevo

Europe/Simferopol

Europe/Uzhgorod

Europe/Skopje

Europe/Sofia

Europe/Stockholm

Europe/Tallinn

Europe/Tirane

Europe/Tiraspol

Europe/Vaduz

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Europe/Vatican

Europe/Vienna

Europe/Vilnius

Europe/Warsaw

Europe/Zagreb

Europe/Zurich

Indian/Antananarivo

Indian/Chagos

Indian/Christmas

Indian/Cocos

Indian/Comoro

Indian/Kerguelen

Indian/Mahe

Indian/Maldives

Indian/Mauritius

Indian/Mayotte

Indian/Reunion

Pacific/Apia

Pacific/Auckland

Pacific/Chatham

Pacific/Bougainville

Pacific/Chuuk

Pacific/Easter

Pacific/Efate

Pacific/Fakaofo

Pacific/Fiji

Pacific/Funafuti

Pacific/Galapagos

Pacific/Gambier

Pacific/Marquesas

Pacific/Tahiti

Pacific/Guadalcanal

Pacific/Guam

APPENDIX L: TIME ZONE CONFIGURATION

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Country Code

Time Zone Name

Pacific/Honolulu

Pacific/Enderbury

Pacific/Kiritimati

Pacific/Tarawa

Pacific/Kosrae

Pacific/Majuro

Pacific/Midway

Pacific/Wake

Pacific/Nauru

Pacific/Niue

Pacific/Norfolk

Pacific/Noumea

Pacific/Pago_Pago

Pacific/Palau

Pacific/Pitcairn

Pacific/Pohnpei

Pacific/Port_Moresby

Pacific/Rarotonga

Pacific/Saipan

Pacific/Samoa

Pacific/Tongatapu

Pacific/Wallis

APPENDIX M: MAPPING THE PMF WORKFLOW FOR DIFFERENT JURISDICTION AND DOMAIN

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20 Appendix M: Mapping the PMF Workflow for

Different Jurisdiction and domain

The AAI_WF_APP_DEFINITION_MAP table in Config Schema stores the mapping of object type data

to the rocess Modeller Framework (PMF) workflow that is to be used.

The AAI_WF_APP_DEFINITION_MAP table also captures the values for crucial business decisions

such as jurisdiction and business domain.

To map a particular workflow to an object type for a combination of jurisdiction and business domain

follow these steps:

1. Insert V_KBD_1 and V_KBD_2 columns values into the AAI_WF_APP_DEFINITION_MAP

table.

NOTE

V_KBD_1 represents Jurisdiction code and V_KBD_2

represents Business Domain code.

2. Restart the web server after inserting the values into AAI_WF_APP_DEFINITION_MAP table.

APPENDIX N: USER GROUP CUSTOMIZATION

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21 Appendix N: User Group Customization

When a new user group for Customer Screening is created from Oracle Financial Services Analytical

Applications (OFSAA) user Interface (UI), you must insert an entry in the CSSMS_GROUP_MAST_PACK

table manually with the product id OFS_CS.

APPENDIX O: FUNCTION CODES FOR USER GROUPS

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22 Appendix O: Function Codes for User Groups

All actions or functions in the Customer Screening (CS) application is configured with a function code.

You can define the functionalities for the particular user group by assigning the required functional

code to the user group. If a function code is mapped to the user group, the functionality

corresponding to the functional code is enabled in the UI.

Table 6 provide the list of OOB functional codes assigned for different user groups.

Table 6: Function Codes for User Groups

Function

Codes

Function Description

CSANYST

CSSUPRV

CSSNRSU

PER

CSREAD

ONLY

CSRT

CSQALLALRT

Access to View All Alerts in List

Page through Queue

✓

CSACSALLQ

Access to open any queue in

Queue dashboard

✓

CSQGETNEXT

Access to get the next queue

alerts in details page

✓

CSQGNXTALL

Access to view all alerts from get

next in queue

✓

CSALRTASGN

Access to assign alerts when the

user opens alert

✓

CSALRTATTH

Access to select and save

attachments for an alert in List

Page

✓

CSBLKACNT

This function gives access to Bulk

Update in List Page.

✓

CSADATTH

Access to select and save

attachments for an alert in

Details Page

✓

CSEVNTDEC

Access to take event level action

in alert Details Page

✓

CSEVNTCOM

Access to add or update event

level comments in alert Details

Page

✓

CSSCN

This function gives access to Scan

Button in RealTime Screening

Page

✓

CSSCNINVST

This function gives access to Scan

& Investigate Button in RealTime

Screening Page

✓

APPENDIX O: FUNCTION CODES FOR USER GROUPS

ATTRIBUTE TO CONFIGURE THE AUTO REFRESH IN QUEUE MANAGEMENT

CUSTOMER SCREENING ADMINISTRATION GUIDE | 191

NOTE

If you configure any of the following function codes to a user

group, you must also configure the CSALRTASGN function

code to the user group as a mandatory function code:

• CSADATTH

• CSEVNTDEC

• CSEVNTCOM

APPENDIX O: FUNCTION CODES FOR USER GROUPS

ATTRIBUTE TO CONFIGURE THE AUTO REFRESH IN QUEUE MANAGEMENT

CUSTOMER SCREENING ADMINISTRATION GUIDE | 192

OFSAA Support

Raise a Service Request (SR) in My Oracle Support (MOS) for queries related to the OFSAA

applications.

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CUSTOMER SCREENING ADMINISTRATION GUIDE | 193

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