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Upgrade Utility Guide - Oracle Documentation

1. 40 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Installing and Configuring Scenarios Chapter 5 Customizing Subsystems You may choose to upgrade your Informatica repository using another approach but Oracle Financial Ser vices recommends the approach described here Note If you follow the approach described here you do not have to perform the folder migration steps described in the Upgrading the Informatica Repository section in the Oracle Financial Services Enterprise Case Management 6 1 Stage 1 Installation Guide Changes that were applied manually to correct a Oracle Mantas problem report do not have to be reapplied because the fix should be contained in the OFSECM 6 1 baseline Refer to the Resolved Issues section in the Oracle Financial Services Enterprise Case Management 6 1 Release Notes Refer to the Known Issues section in the Oracle Financial Services Enterprise Case Management 6 1 Release Notes for any known 6 1 issues that may require manual workarounds Installing and Configuring Scenarios Upgrading scenarios tends to be the greatest concern for clients This concern is heightened for scenarios that have been modified either to handle specific situations in the client s data or to implement a fix that OFSECM later resolved in the product Before deciding on the appropriate upgrade approach it is important to understand what occurs when OFSECM loads an updated scenario into a
2. Modifying Batch Processing Schedule Chapter 5 Customizing Subsystems set to true which means lost trade execution and order events are treated as errors If you want lost events to be processed as they are in pre Oracle Mantas 5 7 releases then you must override the default behavior by setting this parameter to false in the ECM_HOME ingest ion_manager config DataIngestCustom xml file Informatica Processing Over time Oracle Financial Services has changed several Informatica workflow dependencies added several new workflows and renamed several workflows If you use institutional money laundering IML scenarios or just want to calculate institutional account daily summaries you should add workflow w_p0650_build_IASD_from_ASMS to your batch This workflow is dependent on workflow w_p0290_join_instl_acct_activity_to_iasms and it is contained in the ORION_Production folder The w_p0320_update_asm_for_previous_month_activity workflow is no longer used and you should remove it from your batch The functionality provided by this workflow has been incorporated into w_p0310_update_asm_for_daily_activity The w_p0470_update_asm_for_net_worth workflow is no longer dependent on w_p0310_update_asm_for_daily_activity and w_p0320_update_asm_for_previous_month_activity Now it is only dependent on w_p0310_update_asm_for_daily_activity The w p0371 aggregate day trades to file workflow is
3. Verify that the current value for each sequence matches up with the current value for each sequence from your existing Informatica repository e Ifyou see sequence names in the existing repository that do not appear in the new repository then it means those sequences are no longer used The UpdateSeqGenVals pmrep command fails when trying to set the current value for a sequence that does not exist in the new repository but the script will continue to execute and thus update the current values for subsequent sequences e Ifyou see sequence names in the new repository that are not in the existing repository then it means those sequences were added in a later Oracle Mantas release and you do not need to change their current values To summatize only compare the current values for sequences that exist in both repositories e Ifvalues do not match they must be fixed before you can ingest any data You can also review and update the current values for sequences manually using the Informatica Designer tool To do this follow these steps 1 Launch the Designer 2 Connect to the Informatica repository 3 Open the ORION Common folder and drag individual sequences under the Transformations folder into the Transformation Developer tool You can then edit the sequence and view or change the current value on the properties tab For more information on using the Designer and Transformation Developer Tool refer to Informatica documen tation
4. Therefore you can remove the following type of job from your batch schedule for all reference data that is being loaded as a full refresh SMANTAS HOME ingestion manager scripts truncate table sh table name gt e Itis no longer necessary to execute an explicit truncate command to truncate the staging tables for front office transaction related data Therefore you can remove the following jobs from your batch SMANTAS HOME ingestion manager scripts truncate table sh FRONT OFFICE STAGE Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 43 Modifying Batch Processing Schedule Chapter 5 Customizing Subsystems SMANTAS_HOME ingestion_manager scripts truncate_table sh FRONT_OFFICE_PARTY_STAGE e Do not continue to truncate the table for WatchList data which is the WATCH_LIST_SOURCE table if you are currently truncating it Therefore remove any truncate job you have for this table Additionally if you do a full refresh for this data you must override the ingestion default behavior which truncates this table To overtide this behavior add the following entry to SMANTAS HOME ingestion manager DataIngestCustom xml lt xml version 1 0 standalone yes Datalngest lt XDL gt lt WatchList FullRefresh false gt ow lt XDL gt lt DataIngest gt e Truncate the table for WatchListEntry data which is the WATCH_LIST table if you are no
5. ACTION and their respective mapped action in NEW ACTION column of ACTION MAPPING xls b STATUS MAPPING sheet It contains the statuses which are to be migrated from Oracle Mantas 5 9 to OFSECM 6 1 basically it retrieves the statuses which are part of Casework lowmodel xml Map the corresponding status of Oracle Mantas 5 9 in this sheet to respective OFSECM 6 1 status Column OLD STATUS contains Oracle Mantas 5 9 status and Column NEW STATUS should be populated with respective OFSECM 6 1 status If any status of Oracle Mantas 5 9 does not have its equivalent status in ECM 6 1 then this status of Oracle Mantas 5 9 has to be inserted in OFSECM 6 1 For these statuses OLD_ STATUS and NEW STATUS values should be same Refer to Table 10 for the recommended mapping Table 10 Status mapping table Oracle Mantas 5 9 Action ECM 6 1 Action AC CCAC CCLM CCM REA CCEXA AR AR ET CCET CRO RO NVST INV Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 25 Migrating Case Data Chapter 3 Performing an Upgrade Table 10 Status mapping table Oracle Mantas 5 9 Action ECM 6 1 Action SARF FSAR CNW NW CCLD CCLD c CASETYPE_SUBTYPE_MAPPING sheet contains the casetype and subtype of Oracle Mantas 5 9 which are to be migrated to OFSECM 6 1 basically it retrieves the casetype and subtype which are part of Caseworkflowmodel
6. D REG REPORT STATUSS AC AC AC VY CAT CDS IVITY TYPE CD VY TYPE REVIEW STATUS SC RO CLASS ACTVY TYPES UPGRADE AUDIT LOG UPGRADE STATS 34 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide CHAPTER 5 Customizing Subsystems This chapter describes the steps to customize subsystems to upgrade the Oracle Mantas 5x release to Oracle Financial Services Enterprise Case Management OFSECM 6 1 This chapter explains following topics e Transferring Database Tools Configuration e Transferring Behavior Detection Subsystem Configuration e Transferring Data Ingestion Subsystem Configuration e Installing and Configuring Scenarios e Modifying Batch Processing Schedule e Updating Data Interface Specification DIS Transferring Database Tools Configuration In your prior installation review the install cfg file for any changes to be replicated into the new installation For example the value for the calendar 1lookBack parameter in ECM HOME database db tools mantas cfg install cfg has a default value of 365 days If you are running any scenarios with lookbacks that may be greater than a year for example Change in Behavior Scenarios it is recommended that you increase the value to accommodate 13 months that is increase it to at least 396 days Transferring Behavior Detection Subsystem Configuration I
7. create sequence cm case link seq start with 4001 increment by 1 cache 20 iv Grant the privileges by executing the following command grant select on cm case link seq to Alert ManagementSchema gt Note If the sequences have been altered after migrating the Open cases then there is no need to modify after migrating Closed Cases 5 Login to Case Management schema Recompile all the invalid objects and check that they compile successfully 6 After successful migration drop the tables temp map role temp map status temp map action temp map casetype subtype and temp map 7 Perform the below steps after migration of Case data Run the following scripts in Case Management schema when all the cases Open and Closed have been migrated alter index IDX CUST JRSDCN rebuild online alter index ACCT TYPE1 CD IDX rebuild online alter index ACCT BUS TYPE IDX rebuild online alter index ACCT HOLDR TYP IDX rebuild online alter index ACCT JRDCN IDX rebuild online Installing Scenario Manager OFSECM 6 1 includes a rebranded version of the Developer s Toolkit called Scenario Manager As you will see noted in the infrastructure sections for each Oracle Mantas 5 x product it requires a new version of the Sun JRE and the Oracle 11g database client Other than that upgrading this component only requires installing the new version into a new directory on the appropriate Windows workstations Applying Hotfixes and Patc
8. e The Jurisdiction code must exist in the KDD_JRSDCN table Migrating Case Data Follow these steps to migrate case and related data from Oracle Mantas 5 x to OFSECM 6 1 Note e Case Data Migration supports only AML and FR casetypes which are a part of OFSECM 6 1 e The utility provides the option to migrate cases which are in status Non closed Closed or both Non closed and Closed simultaneously In order to reduce the downtime of system it is recommended to migrate Non closed cases first and perform the Post Installation steps to get the system up and running The Closed cases can be migrated based on the business need 1 Execute the following scripts in Case Management Schema grant select update insert on KDD STATUS ACTION MAP to Alert Management Schema Owner grant select update insert on KDD CASETYPE ACTION MAP to Alert Management Schema Owner grant select update insert on KDD ROLE ACTION MAP to Alert Management Schema Owner alter index IDX CUST JRSDCN unusable alter index ACCT TYPEl1 CD IDX unusable alter index ACCT BUS TYPE IDX unusable alter index ACCT HOLDR TYP IDX unusable alter index ACCT JRDCN IDX unusable 2 Execute the following scriptin Alert Management Schema a Create synonym KDD STATUS ACTION MAP on CASE SCHEMA OWNER KDD STATUS ACTION MAP b Run the table and package creation script in the Alert Management s
9. 37 Transferring Data Ingestion Subsystem Configuration Chapter 5 Customizing Subsystems Synchronizing the Sequence Values To synchronize the sequence values between the new and existing Informatica environments follow these steps 1 As the Informatica schema owner login to your existing Informatica schema and run one of the following queries If your existing Informatica installation is 7 1 x or 8 1 1 execute the following query select seq_name cur_value from select max to_number a attr_value as cur_value b widget_name as seq_nam from rep_widget_attr a rep_all_transforms b Y oe where upper b widget name like SEQ and a attr id 4 and a widget type 7 and a widget id in select widget id from rep all transforms where widget type name like Sequence and a widget id b widget id group by b widget name order by 1 The queries return a colon delimited list of all the existing Informatica sequences and their current values The output is similar to the following SEQ NAME CUR VALUE Seq ACCT DAY TRD DLY ACIVY 10001 Seq ACCT SMRY MNTH 193001 Seq ACCT TRXN SMRY DAILY 1001 Seq CHG LOG 1 Seq CHG LOG SMRY 3001 Seq CLIENT BANK 1 I 2 Login to the Unix server where you installed Informatica 8 6 1 as the Informatica Unix account 3 Copy the list of sequences and values to a text file This file is the STRANSFORMATION INPUT FILE refer
10. Enter the appropriate database schema username and password when prompted Check for any errors in DB UPGRADE timestamp log file under FIC HOME ECM61 Upgrade logs 6 Run the following script for the Alert Management workflow upgrade upgrade utility sh WORKFLOW UPGRADE AM 7 Enter the appropriate database schema username and password when prompted 8 Check for any errors in WORKFLOW UPGRADE AM timestamp log file under SFIC_HOME ECM61_Upgrade logs 9 Log into Alert Management schema and check following tables for any errors Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 17 Upgrading Alert Management Chapter 3 Performing an Upgrade UPGRADE STATS table which displays the UPGRADE_STATS STATUS column as Successful IN or Unsuccessful Y UPGRADE AUDIT LOG table which provides error information when the UPGRADE_STATS STATUS column displays as Unsuccessful Y Note m Ifyou want to restore the original category codes execute the following script in Alert Management schema update KDD ACTIVITY TYPE CD c set ACTVY CAT CD select ACTVY CAT CD from KDD ACTIVITY TYPE CD BKP t where t actvy type cd 2c actvy type cd commit Run the Alert Management workflow upgrade m Any actions that were disabled in prior versions of Oracle Mantas should also be manually disabled in OFSECM 6 1 If you want to disable activi
11. IURE Ue eee en x Acronyms U sedan EhisGrulde oett e rete e REKER A ENAA A AE E xi CHAPTER 1 About Upgrade Ulility sssssssessseess 1 OV EL VLEW ses X 1 pgrade ori eile 2 Upgrading Alert Managermento i edi er E A E EE sauassouguonaphacasnsaudsanashutupnedastepuosgnassbe 3 Dperadineg Case Management dedico rmt e edat eo estopiet nita ie atero tosta pite neto E 3 CHAPTER 2 Pre TOguISIIBS eot ade ets Ede bb Edo a top iius 5 Taking Syst m Back Pisin 5 Upgrading Infrastructure and Third Party Software Components sse tenens 5 Oracle 11o Upgrade INotess i ims tte eter beide er bare RR RO E Ie EUR DR Ee ERR E 6 Copying and nzippine Upgrade Utility Kit Lii itte ote rede na iore rre de pe perderet 6 CHAPTER 3 Performing an Upgrade ssssssssssssse 7 Performance Recommendatiofis e eite tette iere tese Eee Po vth e reste stor i e es ertet ebbe beet eps 7 Dpegrade Sequence and Checle Uist utendo tr rper HP ne eret pipere tie Pob ete 8 Tastalline OBSBIDIE 5 1 StaoesT incunctanter Assassin espada ttes TUTE a TTS odisti agi 9 Preparing to Apply Data Base Scripts to Upgrade 5 x to 5 9 0 1 teens 9 Applying Database Upgrade Sctipts ei ritenere toties eoe torti toe k nikon tos iae dete ek eire o egre ed 11 Creating OFSECM 6 1
12. Task Completed Y N Remarks Take the backup of the existing system Upgrade the infrastructure and third party software components Copy and unzip the upgrade utility Install OFSBDP 6 1 Stage 1 Prepare and apply data base scripts to upgrade 5 x to 5 9 0 1 Create OFSECM 6 1 system objects and case management schema objects Upgrade Oracle Mantas and business schema objects to OFSECM 6 1 CO N oO BY OJIN Install OFSAAI 7 3 Stage 2 co Upgrade the Alert Management workflow 10 Install Enterprise Case Management 6 1 Stage 3 11 Set up End Users 12 Migrate Case Data 13 Transfer Alert Case Management Documents 14 Apply Hot fixes and Patches 15 Modify the batch processing schedule 16 Update Data Interface Specification DIS 17 Complete Post Upgrade 18 Transfer the Database tools configuration 19 Transfer the behavior detection subsystem configuration 20 Transfer the data ingestion subsystem configuration 21 Install and configure scenarios 8 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Installing OFSBDP 6 1 Stage 1 Chapter 3 Performing an Upgrade Installing OFSBDP 6 1 Stage 1 Make sure that you apply all database related patches available at Oracle support till January 10 2013 on your Oracle Mantas 5 9 0 1 environment Follow the steps mentioned in the
13. WebSphere 7 Yes Yes Yes Yes Yes Yes Oracle WebLogic Yes Yes Yes Yes Yes Yes 10 3 Database Upgrade Required Oracle 11gR2 Yes Yes Yes Yes Yes Et ER Informatica Upgrade Required PowerCenter 8 6 1 Yes Yes Yes Yes Yes Java Upgrade Required Java 1 6 Yes Yes Yes Yes Yes Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 5 Copying and Unzipping Upgrade Utility Kit Chapter 2 Pre requisites Oracle Mantas 5 8 originally supported only Oracle 10g but was patched to permit use of Oracle 11g The Oracle Mantas 5 8 1 originally provided the option of Oracle 10g or 11g Verify which version your system is currently using Note If you are planning to upgrade to OFSECM6 2 then upgrading Informatica is not required as it is not being used 6 2 onwards The Informatica is replaced with Behavior Detection Framework BDF Oracle 11g Upgrade Notes Oracle 11gR2 64 bit does not contain the 11532 directory For Sun SPARC 64 bit Solaris server this can cause issues with the Informatica 8 6 1 PowerCenter server 32 bit installation Refer to the Oracle Financial Services Behavior Detection Platform 6 1 Stage 1 Installation Guide for instructions on how to resolve this Contact the Oracle support to get below list of items e Oracle Financial Services Behavior Detection Platform 6 1 Stage 1 Installation kit e Oracle Financial Services Behavior Detection Platform 6 1 Installatio
14. b Enter Alert Management Infodom Name lt Enter the Alert Management Infodom Name gt c Enter the types of Alerts Cases to be migrated OPEN O CLOSE C BOTH B Specify appropriate value Parameter for the above prompt O Non closed C Closed B Both Non closed and closed Check the log Document migration timestamp log created under FIC HOME ECM61 Upgrade logs for any errors Check upgrade_stats and upgrade audit log table of Alert Management schema for any errors Note If there are errors correct those errors and re run the utility to migrate the remaining documents 30 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide CHAPTER 4 Post Upgrade Configurations This chapter describes the post upgrade configuration steps to complete the upgrade from Oracle Mantas 5x release to OFSECM 6 1 This chapter explains following topics e Post Migration Steps e Installing Scenario Manager e Applying Hotfixes and Patches e Completing Post Upgrade Post Migration Steps 1 Login to OFSECM UI as ECM Administrator Navigate to Administration then select User Administration and select Security Management Attribute to map the OFSECM 6 1 users to casetypes 2 For the actions which are available for audit purpose the reference should be removed from kdd role action map 3 When migration of case data is performed the sequencing of case related data needs t
15. dependent on w ph2120 load ATPS from trade The w p0410 aggregate nm net worth to fil workflow had no dependencies Now it is dependent on workflow w 2010 update nm from ma Ihe w ph1060 aggregate abps to hhbps wotkflow was dependent on workflow w ph1005 truncate hhbps Now itis dependent on workflow w ph1005 truncate hhbps and workflow w ph1040 update abps option mktval long from app The w ph1040 update abps option mktval long from app workflow was dependent on wotkflow w ph1010 update abps asgmt risk from app Now itis dependent on workflow w phl010 update abps asgmt risk from app and workflow w ph1050 aggregate ap to abps The w ph1000 aggregate abps collateral to cbps workflow is no longer used Remove it from your batch Ihe w ph2120 calculate trade open clos wotkflow was dependent on wotkflow w ph2050 update bot reversals and workflow w ph2100 truncate atps Now itis only dependent on workflow w ph2100 truncate atps The w ph3080 update inst instn seq id workflow was renamed to w ph2192 update inst instn seq id The w p0301 write daily day trades to adtda workflow is no longer used and you should remove it from your batch The table it populated is not used by OFSECM in any way Added workflow w p0330 build ATxSD from ASM and then later changed the name to w p0630 build ATxSD from ASM This workflow is dependent Oracle Financial Services Alert and E
16. of the global path Changes for pre processing and loading data Informatica processing and post processing are outlined in the following sections Additionally the Oracle Financial Services Bebavior Detection Platform 6 1 Administration Guide contains detailed information on data ingestion scenario related post processing and various batch processing utilities If you add new data feeds or scenarios as part of upgrading your batch will change as a result For example e OFSECM has added several new workflows to accommodate the processing of insurance related data e There is also a new utility for ingesting portfolio manager related data If you decide to ingest new data you must add the approptiate ingestion processes Make sure to allocate enough time to make and test these changes You can start making changes in parallel with other upgrade activities but you should not start executing the batch with the new changes until you have finished all the upgrade activities Clients with newer versions of Oracle Mantas may already have many of the batch related changes mentioned in the following sections Pre processing and Loading Data Changes in this area include the following e Itis nolonger necessary to execute an explicit truncate command to truncate reference data tables when loading reference data with full refreshes The reference table being loaded is automatically truncated as part of the load process runDL sh lt datatype gt
17. xml Map the corresponding old case type code of Oracle Mantas 5 9 in this sheet to respective OFSECM 6 1 case type code subclass1 code and subclass2 code Column OLD_CASETYPE_CD OLD CASE SUBCLASS 7 Column NEW CASETYPE CD rAG CD contains Oracle Mantas 5 9 case type code and subclass tag NEW_CASE_SUBLASS1 NEW_CASE_SUBLASS2 contains OFSECM 6 1 case type code and subclass tags 10 METADATA POPULATION xls contains the metadata information of specifications like actions status case types and case sub types that needs to be newly inserted which is not a factory default of OFSECM 6 1 into OFSECM 6 1 It contains the following five sheets Note All the sheets in Mi ETADATA_POPULATION x1s will have the values which needs to be inserted into the database Make sure to have only the values which needs to be inserted and delete all the values which are already mapped according to mapping excel a KDD ACTION DATA sheet contains metadata Information about the actions to be inserted which do not have their equivalent OFSECM6 1 mapped actions The values under ACTION_CATEGORY_CODE column of above sheet can be updated with corresponding mapped values of OFSECM6 1 Refer to the values present in the kdd action cat cd table of the Case Management Schema of OFSECM 6 1 for information about the Category codes Note Refer the OPSECM6 1 User Guide for detai
18. 2 01 cfg For all the above commands enter the appropriate Database schema names and passwords when prompted by DB Builder Note Check for errors in the ECM HOME database db tools logs db builder 1og file If you encounter failures while executing database upgrade scripts with DB Builder you should correct the issue manually and re run the same DB Builder command line you executed originally If a script already finished successfully it is effectively executed again because the DB Builder utility does not pick up execution at the failure point instead it re runs all the scripts from the beginning The following table lists the directory location and the upgrade scripts which must be run in order to upgrade from a previous Oracle Mantas release Note Run the upgrade scripts based on the earliest release your system uses and continue until your system has been upgraded through Oracle Mantas 5 9 0 1 Table 7 Upgrade Scripts and Directories by Release Oracle Mantas Version Directory Location Upgrade Script 5 5 ECM HOME database mantas schema delta oracle 5 5 mantas5 5 delta cfg 5 5 ECM HOME database bus mkt schema delta oracle 5 5 delta plat5 5 cfg 5 7 ECM HOME database mantas schema delta oracle 5 7 mantas5 7 delta cfg 5 7 ECM HOME database bus mkt schema delta oracle 5 7 delta plat5 7 cfg 5 7 1 ECM HOME database mantas schema delta oracle 5 7 1
19. 33 Completing oed BipTaeTo M 34 CHAPTER 5 Customizing Subsystems sss 35 Transferrinp Database Tools Contipuration eet D be eere ouesbvoeucd iai i iiis 35 Transferring Behavior Detection Subsystem Configuration essent ntnnentetntnnentens 35 Transferring Data Ingestion Subsystem Configuration sss tenentes 36 Java based Ingestion siessasscscssessccecestscasivcesessiesesvasonoasevonsonvesesoesanosseuchobsovscustesussetusscsvsvavonsavassetussenesvsbarsesatoayenbaaprvanetoanas 36 Inf rmatica based Ingestion iac e e de bnt teg e tete Den E E E Ean 37 Installing and Confip ring Scenatios un une Hp RERO ee o dion e RO Ee dons ei Ea 41 Modifying Batch Processing Schedule sessi nente tenente teenteentenen 43 Pre processing and Loading Data ete eerte treten tesis ASEE S i edes 43 Informatica e P 45 Post match Generation PrOCESSIDg rers oreet nieto teorie p rige e E Un Ete uet PY COE rena 49 Updating Data Interface Specification DIS assessores eene tentent toni tnos tenen tonto testet sento besten totos Ear 49 vi Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide List of Tables Table 1 Conventions Used in this Guide sse x Table 2 Acronyms Used in this Guide eene xi Table 3 Sequence of Tasks to Migrate Alerts ssssseeeeeeeee
20. DT processing you must copy SMANTAS HOME ingestion manager data firm transform FDT cp to SECM HOME ingestion manager data firm transform FDT cp When calculating the firm reference price OFSECM includes trades that do not have a trader identifier In previous Oracle Mantas versions the firm reference price calculation did not include these trades Trades will not have a trader identifier if they do not have a firm type such as FP FE or FA as the seller type or the buyer type and they do not have an agent identifier Having a trade that does not have a trader identifier should be a rare occurrence because if the buyer or seller is not a firm type then the customer will most likely supply the trader identifier Changes that were applied manually to correct a problem report may not have to be reapplied if the fix is contained in the OFSECM 6 1 baseline When in doubt refer to the Resolved Issues section in the Oracle Financial Services Enterprise Case Management 6 1 Release Notes Refer to the Known Issues section in the Oracle Financial Services Enterprise Case Management 6 1 Release Notes for any known 6 1 issues that may require manual workarounds 36 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Transferring Data Ingestion Subsystem Configuration Chapter 5 Customizing Subsystems Informatica based Ingestion As part of this upgrade you must install Informatica 8 6 1 in ac
21. Data Chapter 3 Performing an Upgrade Table 9 Oracle Mantas 5 9 ECM 6 1 Actions Mapping Oracle Mantas 5 9 Action ECM 6 1 Action CA0010 CA64 CA0100 CA208 CA0110 CA203S CA0140 CA220 CA0200 CA4 CA0210 CA61 CA0230 CA75S CA0280 CA72S CA0300 CA75S CA0310 CA96S CA0350 CA73S CA0380 CA68S CA0390 CA69S CA0400 CA74S CA0410 CA5 CA0420 CA2 CA0430 CA96S CA0450 CA87A CA0460 CA48 CA0480 CA98S CA0495 CA99A CA0497 CA234A CA0498 CA222S CA0700 CA35 CA0710 CA101S CA0720 CA102S CA0800 CA220 CA1000 CA88S CA1020 CA87S CA1100 CA91S CA1600 CA103S CA1700 CA207S CA1800 CA8 CA1810 CA6 CA1830 CA101A CA1844 CA94S CA1848 CA95S CA1850 CA114 CA1870 CA102A 24 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Migrating Case Data Chapter 3 Performing an Upgrade Table 9 Oracle Mantas 5 9 ECM 6 1 Actions Mapping Oracle Mantas 5 9 Action ECM 6 1 Action CA1880 CA16 CA1881 CA18 CA1890 CA27 CA1891 CA27 CA1892 CA27 CA1893 CA2048 CA1894 CA42 CA1895 CA210 CA1896 CA7 CA1897 CA27 CA1898 CA27 CA1900 CA211SE CA1901 CA213C CA1902 CA211C CA1903 CA213C CA1904 CA214C CA1905 CA17 CA2045 CA254 Note If the action CA0010 doesn t come from Caseworkflowmodel xml add the entry CA0010 in column OLD
22. M61_Upgrade bin 2 Execute the following command upgrade_actvty_cat sh c category_list txt 3 Enter the appropriate database schema username and password when prompted 4 Check for any errors in WORKFLOW UPGRADE AM timestamp 1log file under SFIC_HOME ECM61_Upgrade logs 5 Log into Alert Management schema and check following tables for any errors UPGRADE STATS table which displays the UPGRADE STATS STATUS column as Successful IN or Unsuccessful Y UPGRADE AUDIT LOG table which provides error information when the UPGRADE STATS STATUS column displays as Unsuccessful Y If there are any errors re run the upgrade actvty cat sh c category list txt command after cor recting the error Option 2 This option requires selecting a new action category for individual actions by modifying the entity list txt file available at F IC_HOME ECM61 Upgrade conf folder In this file the first column contains the activity codes and the second coulumn contains the new category code Both the fields are separated by Clear the contents of the file entity list txt and map activity codes to one of the new category codes Modity the file and follow these steps 1 2 Change the directory to FIC HOME ECM61 Upgrade bin Run the following command upgrade actvty cat sh i entity list txt Enter the appropriate database schema username and password when prompted Check for any errors in WORKFLOW UPG
23. ORACLE Oracle Financial Services Alert and Enterprise Case Management Upgrade Utility Guide Release 6 1 June 2013 ORACLE FINANCIAL SERVICES Oracle Financial Services Alert and Enterprise Case Management Upgrade Utility Guide Release 6 1 June 2013 Document Control Number 1543101 0001 Document Number UUG 13 UG 6 1 03 Oracle Financial Services Software Inc 1900 Oracle Way Reston VA 20190 Document Number UUG 13 UG 6 1 03 First Edition June 2013 Copyright 2013 Oracle and or its affiliates All rights reserved Printed in U S A No part of this publication may be reproduced stored in a retrieval system or transmitted in any form or by any means electronic mechanical photocopying recording or otherwise without the prior written permission Trademarks Oracle is a registered trademark of Oracle Corporation and or its affiliates Other names may be trademarks of their respective owners Oracle Financial Services Software Inc 1900 Oracle Way Reston VA 20190 Phone 703 478 9000 Fax 703 318 6340 Internet www oracle com financialservices Contents List of Tables E vii About this Guide M ix Who Should se this Guide bic tte leer o eet io a Saee PEE e AER EEE cuatess e EEE SETA ix Scope OF dCi ix Where to Pind More Information te ette rte rien EiS EE ooi i S n E DEE i iska ix Conventions Used in Lhis Guide cce tn od dH
24. Oracle Financial Services Behavior Detection Platform Installation Guide Stage 1 to install OFSBDP 6 1 Stage 1 into a SECM_HOME directory that is separate from the existing Oracle Mantas installation base directory During this process it is important to skip all the steps listed from section 3 4 onwards in the Oracle Financial Services Behavior Detection Platform 6 1 Installation Guide Stage 1 Note e Ifthe user executes the steps listed in section 3 4 Installing the Data Model the upgrade process may encounter errors at a later stage e While installing OFSBDP 6 1 provide the same schema names that exist for the Oracle Mantas 5 9 installation This will ensure that Database subsystem is configured to run the dbbuilder for upgrading the existing schemas Preparing to Apply Data Base Scripts to Upgrade 5 x to 5 9 0 1 All the scripts are executed using the DB Builder Utility The Database Builder utility DB Builder checks the SECM_HOME database db_tools mantas_cfg install cfg file for database account information If the database account required to execute a specific script present in this file DB Builder uses the information from the file If a required database account is not present in this file DB Builder prompts the user to provide the database account as needed The file contains following account information db util user account kdd mnr user account ingest user account mantas schema acc
25. RADE AM timestamp log file available at the following location SFIC HO I ECM61_Upgrade logs Log into Alert Management schema and check following tables for any errors UPGRADE STATS table which displays the UPGRADE_STATS STATUS column as Successful IN or Unsuccessful Y UPGRADE AUDIT LOG table which provides error information when the UPGRADE STATS STATUS column displays as Unsuccessful Y e If there are any errors re run the upgrade actvty cat sh i entity list txt command after correcting the error Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 19 Installing Enterprise Case Management 6 1 Stage 3 Chapter 3 Performing an Upgrade Installing Enterprise Case Management 6 1 Stage 3 This section explains how to install Enterprise Case Management 6 1 Stage 3 For more information refer to Oracle Financial Services Enterprise Case Management 6 1 Installation Guide Stage 3 Setting Up End Users The following sections describe the updates related to the end users of Oracle Financial Services Behavior Detection Platform 6 1 Configuring User Access Permission User configuration data stored in the LDAP has to be manually created in Security Management System SMS To do this create users and map user roles in SMS For providing the access permission to the user s refer to Oracle Financial Services Behavior Detection Platform A
26. SDM Reference Guide Vol 3 Case Management Data e Oracle Financial Services Behavior Detection Platform Services Guide Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide About this Guide e Oracle Financial Services Behavior Detection Platform Configuration Guide e Oracle Financial Services Analytical Applications Infrastructure 7 3 User Manual e Oracle Financial Services Behavior Detection Platform Installation Guide Stage 1 e Oracle Financial Services Analytical Applications Installation and Configuration Guide 7 3 e Oracle Financial Services Enterprise Case Management Installation Guide Stage 3 Conventions Used in This Guide Table 1 lists the conventions used in this guide Table 1 Conventions Used in this Guide Convention Meaning Italics e Names of books chapters and sections as references e Emphasis Bold Object of an action menu names field names options button names in a step by step procedure Commands typed at a prompt User input Monospace Directories and subdirectories File names and extensions Process names Code sample including keywords and variables within text and as separate paragraphs and user defined program elements within text Variable e Substitute input value x Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide About this Guide Acronyms Used in This Guide T
27. System and Case Management Schema Objects sse 15 Upgrading Oracle Mantas and Business Schema Objects to OFSECM 6 1 sse 16 Installing OPSAAL 7 5 Stage 2 15iaieeiceitanstiesti steterit terere tede eee toO es FERE iiaae SENSA TEISSE aa eod Eos 17 Upgrading Alert Management E M 17 Alert Management Workflow for OFSECM 6 1 ener tettenenteentenentenentenententnteentens 17 Cateeorize Activity Codesn OFSIECM 6 1 siete tiet oie tei io ore e ee Ao b ehe Mr pke ite 18 Installing Enterprise Case Management 6 1 Stage 3 tnnetetenns 20 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide V Contents Setting Up End BEC M 20 Gonfiourme User Access Dermissioni ciu ee ete dace ee t tente e e e pie e p tope us 20 Migrating Role Action Mapping io RR i REI eee EA ehe ERBEN ER DER eH MR E RR ERS ERES ER bR asd 20 Miotaine Case ata coerente Ete pr peu edipi a terat tici i E E RSS 22 Transferring Alert Case Management Documents assoeseciee titre D EREREMAS RATEN PHEHURNR FREE UEBER URGENTE IUS 29 lucu c a iS 29 CHAPTER 4 Post Upgrade Configurations sesssssssssss 31 POStMIS TATIONS Fe PS oe e ae d ete i E a a M M cce EH E 31 Installmg Scenario Manapet cer een nere teinte qe e nene testem ec ee RIDERS 33 Applying Hotfixes and Patches teet tein e ES EEEN NEES estin EES Ei SEE EERE
28. The case data migration process uses the following parameters which can be used to obtain the optimized migration time by employing parallel and batch execution Default values of these parameters are given in file upgrade cm schema sh which is available under the path FIC HOM Cases max rec 1 imit E ECM61 Upgrade bin max process 5 Numbet of parallel process for Case Data Migration max rec limit 100 Max number of cases to be process which can be less or equal to Total max rec in batch 10 Number of cases in per batch which can be less or equal to Note For optimal performance of case data migration you can increase the value of max process and their respective max rec in batch on the basis of the hardware configuration and the workload on the server 28 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Transferring Alert Case Management Documents Chapter 3 Performing an Upgrade After the above patameters are configured navigate to F IC_HOME ECM61_Upgrade bin and execute the fol lowing shell script to commence the Case data migration Upgrade utility sh CASEDATA MIGRATION Enter the following details when prompted a Enter UserID for Alert Management User Enter the name of the Alert Management Schema b Enter Password for Alert Management User Enter the Password for Alert Management Schema c Enter the value to migr
29. UE SINFABIN pmrep UpdateSeqGenVals f TRANSFORMATION FOLDER t TRANSFORMATION NAME c SCURRENT VALUE done lt STRANSFORMATION INPUT FILE Note The SINFABIN pmrep UpdateSeqGenVals command line ends with SCURRENT VALUE and the entire command line should be on one line in your sctipt 6 Specity values specific to your Informatica 8 6 1 environment for the following parameters INFA HOME is the Informatica 8 6 1 installation directory INFA DOM is the Informatica 8 6 1 domain name INFA REPO is the Informatica 8 6 1 repository service name REPO ADMIN is the Informatica 8 6 1 repository administrator account REPO ADMIN PASS is the Informatica 8 6 1 repository administrator encrypted password You must use the INFA BIN pmpasswd command to obtain th ncrypted version of the password Make sure to keep the single quotes around the string If you do not want to use an encrypted password then set REPO ADMIN PASS to the unencrypted password with single quotes Also change the following line SINFABIN pmrep connect r SINFA_REPO d INFA DOM n SREPO ADMIN X REPO ADMIN PASS To SINFABIN pmrep connect r SINFA_REPO d SINFA_DOM n SREPO_ADMIN x SREPO_ADMIN_PASS TRANSFORMATION INPUT FILE is the file with the list of sequences and values you created in Step 3 This can be a full path name if the file is not locat
30. _dbbuilder_utility sh mantas5 7 2 delta cfg Change the directory to ECM HOME database bus mkt schema delta oracle 5 7 2 and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 7 2 f db tools bin run dbbuilder utility sh delta plat5 7 2 cfg Change the directory to ECM_HOME database mantas_schema delta oracle 5 8 and execute the following command to upgrade Alert Management Schema to Oracle Mantas version 5 8 f db tools bin run dbbuilder utility sh mantas5 8 delta cfg Change the directory to ECM HOME database bus mkt schema delta oracle 5 8 and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 8 db_tools bin run_dbbuilder_utility sh delta plat5 8 cfg Change the directory to ECM_HOME database mantas_schema delta oracle 5 8 1 and execute the following command to upgrade Alert Management Schema to Oracle Mantas version 5 8 1 db_tools bin run_dbbuilder_utility sh mantas5 8 1_delta cfg Change the directory to ECM_HOME database bus_mkt_schema delta oracle 5 8 1 and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 8 1 db_tools bin run_dbbuilder_utility sh delta plat5 8 1 cfg Change the directory to ECM HOME database mantas schema delta oracle and execute the following comm
31. able 2 lists the Acronyms used in this guide Table 2 Acronyms Used in this Guide Acronyms Description OFSECM Oracle Financial Services Enterprise Case Management BC Brokerage Compliance TC Trading Compliance LDAP Lightweight Directory Access Protocol SMS Security Management System Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide xi About this Guide xii Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide CHAPTER 1 About Upgrade Utility This chapter explains the overview of the Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility and its objectives recommendations and limitations This chapter covers the following topics e Overview e Upgrade Workflow e Upgrading Alert Management e Upgrading Case Management Overview Alert and Enterprise Case Management 6 1 Upgrade Utility upgrades the existing Oracle Mantas 5 x to Alert and Enterprise Case Management The utility migrates all the data with respect to an alert or a case This document provides steps on the pre requisites process of migrating the data from one version to the other without losing the data which is already existing Alert Migration Utility migrates all the data with respect to both closed and non closed alerts All the actions performed on an alert is also migrated Attachments related to the closed alerts can b
32. and to upgrade Alert Management Schema to Oracle Mantas version 5 9 db tools bin run dbbuilder utility sh mantas5 9 delta cfg Change the directory to ECM HOME database bus mkt schema delta oracle and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 9 db tools bin run dbbuilder utility sh delta plat5 9 cfg 12 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Applying Database Upgrade Scripts Chapter 3 Performing an Upgrade 16 T7 Change the directory to ECM_HOME database mantas_schema delta oracle and execute the following command to upgrade Alert Management Schema to Oracle Mantas version 5 9 0 1 db tools bin run dbbuilder utility sh mantas5 9 0 1 delta cfg 1 b01 01 delta cfg l b02 delta cfg 1 b02 01 delta cfg 1 b02 02 delta cfg db tools bin run dbbuilder utility sh mantas5 db tools bin run dbbuilder utility sh mantas5 db tools bin run dbbuilder utility sh mantas5 TA TR NOS SO OO OO oO Oy Or oc db_tools bin run_dbbuilder_utility sh mantas5 Change the directory to ECM_HOME database bus_mkt_schema delta oracle and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 9 0 1 db_tools bin run_dbbuilder_utility sh delta plat5 9 0 1 cfg db_tools bin run_dbbuilder_utility sh delta plat5 9 0 1 b0
33. apply_cust_KYC_risk has a sequence number of 3 Workflow w_ph3091_create_PartyNmEE_from_fotps has a sequence number of 2 e 1n5 8 1 Summary Workflows AML Banking workflows 0146 and 0760 moved from sequence 20 to sequence 21 e 1n5 8 1 Summary Workflows Broker Compliance workflow 0471 moved from sequence 19 to sequence 20 e 1n5 8 1 Summary Workflows Fraud Detection workflow 0760 moved from sequence 20 to sequence 21 For more information on Informatica workflows refer to OFSECM 6 1 Informatica Workflows on page 39 which illustrates the Informatica dependencies and to the Oracle Financial Services Behavior Detection Platform 6 1 Administration Guide 48 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Updating Data Interface Specification DIS Chapter 5 Customizing Subsystems Post match Generation Processing For post match generation processing use the following order 1 Match Scoring Multi match Alert Creation optional Single match Alert Creation Alert Correlation Update Alert Financial Data Alert Scoring Alett Assignment Alert Highlight Creation So 0 DA B UD lI Auto Close optional A j Alert Suppression jx Flag Duplicate Alerts optional N Pre Historical Data Copy HDC statistics generation HDC e A o0 Post HDC statistics generation Note Some post pro
34. arios that have not been customized Oracle Financial Services recommends upgrading to the 6 1 product baseline Upgrading has the following advantages e Most scenarios are enhanced between releases to incorporate feedback from OFSECM customers Upgrading gives you access to these enhancements Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 41 Installing and Configuring Scenarios Chapter 5 Customizing Subsystems e Any OFSECM scenario updates or hotfixes will be released against the latest baseline of the scenario So if you are running an older version of a scenario in a OFSECM 6 1 environment you will not be able to apply product updates to the scenario or if you do the update will end up upgrading your scenario as described above The primary disadvantage to upgrading the scenarios with the product is that the testing and validation component of the upgrade project can be lengthened The degree to which it is lengthened depends on how many scenarios and threshold sets you are using and your internal test practices For scenarios that have been customized for your deployment there are more considerations You need to determine the type of customization There are generally three types e Functional Changes scenatio improvements If your customized scenario was functionally changed to improve the way it works in general not specific to your data then you need to review the re
35. ate Open O Close C Both B Cases Specify appropriate value Parameter for the above prompt O Open Cases C Closed Cases B Both open and closed cases 16 Check the log CASEDATA MIGRATION timestamp log created under FIC_HOME ECM61_Upgrade logs for any errots 17 Check upgrade stats and upgrade audit log table of Alert Management schema for any errors Transferring Alert Case Management Documents Prior to Oracle Mantas 6 0 the documents related to Alert Management and Case Management were stored in the database as BLOB objects As part of OFSECM 6 1 the documents are stored in the file system and the metadata entries for the documents are maintained in the database Pre requisite Prior to transferring the documents verify that enough space is available in the file system of the Application layer where the OFSAAI APP Layer is installed To determine the required disk space execute the following SQL Query in the alert management schema select ceil sum FILE SIZE 1024 1024 MB from KDD DOC Note e Ensure that the OFSAAI Application Server is running before starting the Document Migration e Login to the configuration schema and make sure that DOCUMENT UPLOAD SAVE DOCUMENT UPLOAD TEMP WS and DOCUMENT UPLOAD TEMP parameters present in configuration table have valid values 1 Check the FIC HOME ECM61 Upgrade lib directory for the availabili
36. be customized manually as they were for the existing installation This approach enables you to benefit from improvements in the OFSECM 6 1 baseline scenarios 42 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Modifying Batch Processing Schedule Chapter 5 Customizing Subsystems You will need to select an approach for scenatio upgrades that best fits your business and timeline requirements It is common for the order of scenario highlight fields to change from release to release and this change may not be documented Additionally this change may impact the manner in which compliance analysts perform their work within the User Interface and therefore it is recommended to identify any such changes as early as possible during the upgrade to enable the analysts to assess the impact of the changes on their investigative procedures Modifying Batch Processing Schedule The syntax for executing batch processes has not changed in any way To modify the batch processing schedule follow these steps 1 Install OFSECM 6 1 software to a different directory than your current installation This difference alone may impact your batch schedule as the directory in which scripts and logs reside will change unless you have setup a symbolic link that you can point to the new directory 2 If another approach was used such as a global path variable in a scheduling tool then you will need to modify the value
37. ble 8 Role Mapping V ROLE CODE 5 x V ROLE NAME 6 1 AMANALYST1 AM Analyst AMANALYST2 AM Analyst II AMANALYST3 AM Analyst III AMSUPVISR AM Supervisor AMEXCUTIVE AM Executive AMINAUDITR AM Internal Auditor AMEXAUDITR AM External Auditor AMDATAMNR AM Data Miner AMMANADMN Mantas Administrator The following are the security management attributes and the rules according to which the users are migrated to SMS Organizations e Must have at least one assigned unique Member e Must be a unique Member of one or more business domains e Must be a unique Member of one or more scenario groups e Must be a unique Member of one ot more jurisdictions Scenario Groups e Must have at least one assigned unique Member e Must have at least one scenario assigned e The scenarios referenced must exist in the KDD_SCNRO table Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 21 Migrating Case Data Chapter 3 Performing an Upgrade e The scenarios referenced must exist in only one scenario group in the KDD_SCNRO_GRP_MEMBERSHIP table e The scenario group name must be exactly the same as the scenario class name in the KDD_SCNRO_GRP SCNRO_GRP_NM table Business Domains e Must have at least one assigned unique Member e The business domain code must be in the KDD_BUS_DMN table Jurisdictions e Must have at least one assigned unique Member
38. cessing jobs may be new for you Oracle Financial Services Software Inc recommends comparing this set of post processing tasks to your existing set of post processing jobs to determine if you need to ot want to add any new jobs Updating Data Interface Specification DIS Over time Oracle Financial Services has added new DIS fields for various reasons If you want to take advantage of these changes then you must make the appropriate changes to your DIS files Making these changes may be time consuming therefore make sure to allocate enough time for implementing them You can start working on these changes in parallel with the other upgrade activities but you cannot start ingesting modified files until the upgrade is complete Additionally if you incorporate any DIS related changes introduced between your existing installation and OFSECM 6 1 you cannot ingest the changed DIS files using your existing installation Note DIS changes are not mandatory as the 6 1 DIS is backwards compatible with previous Oracle Mantas versions With one exception when new fields have been added they have been added to the end of the record and it is not necessary to pad the records with empty fields if they are not being used The Ingestion Manager assumes any fields not included at the end of the file are nulls The one exception is the Service Team Member DIS file Oracle Financial Services added the Employee Identifier as the fourth field in the data record m
39. chema which is available at SFIC HOME ECM61 Upgrade db scripts CaseMigrationObject sql To execute the script follow these steps 22 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Migrating Case Data Chapter 3 Performing an Upgrade i Login to Alert Management Schema via linux console ii Set Scan Off lii Execute CaseMigrationObject sql 3 Load the environment variables by executing the following command profile 4 Navigate to following Oracle Mantas 5 x Deployed location and copy Caseworkflowmodel xml to SFIC HOME ECM61 Upgrade lib alert mgmt web app deployed area WEB INF classes conf ui config ui 5 Copy 1og4j xml from FIC HOME ECM61 Upgrade conf to the FIC HOME ECM61 Upgrade lib Configure the 10g43 xm1 by providing the absolute path for the logs by changing the following parameter value param name file value home miguser log log 6 Go to FIC HOME ECM61 Upgrade lib and provide 750 permission 7 To start the CaseWorkflow migration go to FIC HOME ECM61 Upgrade following command java jar Case Workflow jar READ by executing chmod R 750 lib directory and execute the After executing this command the utility will prompt for the following inputs a Enter the JOBC URL lt enter JDBC CONNECTION STRING gt For example jdbc oracle t
40. cordance with the Informatica installation documentation If you intend to reuse or overwrite the Informatica schema of your existing installation Oracle Financial Services recommends you to make a separate backup of it You should perform Step 1 given below before you no longer have access to your existing Informatica schema In general Informatica 8 6 1 has a service oriented architecture Services belong to domains The primary services in a domain are the license repository and integration services You must configure each of these services for Informatica 8 6 1 Additionally when installing the base Informatica 8 6 1 software set your locale to UTF8 by setting the LANG environment variable appropriately In the United States a typical UTF8 setting is en US UTF 8 ot en US utf8 The locale a Unix command outputs a list of the available locales on your server Consult your system administrator for the UTF8 setting that should be used for your deployment if it is not clear After installing the Informatica software you must configure the environment Refer to the Informatica installation documentation for information on setting up a domain service and a licensing service Refer Oracle Financial Services Enterprise Case Management 6 1 Stage 1 Installation Guide for more information on the following topics e Configuring a repository service for OFSECM 6 1 e Configuring an integration service for OFSECM 6 1 e Loading the OFSECM 6 1 Informa
41. curity XML should be transferred to the Windows desktop e If there are multiple web deployments and the Oracle Mantas Security XML is different for all the deployments then all the Oracle Mantas Security XMLs should be transferred to the Windows desktop Transition of Data from LDAP in 6 1 To migrate data from LDAP follow these steps 1 Copy the Excel template Mantas Security xlsx from FIC_HOME ECM61_Upgrade conf to your workstation 2 Copy the Mantas_security xml file from the deployment location 20 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Setting Up End Users Chapter 3 Performing an Upgrade 3 Follow the instructions listed on the Excel template 4 Copy and execute the scripts generated from the Mantas Security xlsxin Alert Management Schema Note W You may ignore any unique constraints errors which may occur while running the queries generated from LDAP when transitioning data using the Excel macro to the kdd role activity type table m Incase you are planning to re run the above process related to Case execute following script in Alert Management schema delete from temp map where map link ROLE ACTION Alert Management Users All usets must be authorized after creation Refer to the following table to see the mapping for existing Oracle Mantas 5 x role mappings to the OFSECM 6 1 equivalent role mapping using OFSAAT s SMS interface Ta
42. d Enterprise Case Management 6 1 Upgrade Utility Guide 47 Modifying Batch Processing Schedule Chapter 5 Customizing Subsystems e The w_p0280_create_clog_activity_records workflow is no longer a predecessor for workflow w_p0310_update_asm_for_daily_activity In fact given that workflow w_p0280_create_clog_activity_records is now dependent on workflow w_p0470_update_asm_for_net_worth workflow w_p0280_create_clog_activity_records must be executed later than workflow w_p0310_update_asm_for_daily_activity Additionally workflow w_p0310_update_asm_for_daily_activity is only dependent on workflow w_p0270_join_retail_acct_activity_to_asms e The w_ph2030_load_cls_from_cl workflow is no longer used and you should remove it from your batch If you load change log data refer to Pre processing and Loading Data on page 43 for more information on this change e Added workflow w ph3091 create PartyNmEE from fotps This workflow is not dependent on any other workflows and it is contained in the ORION Common folder If you run workflow w ph3051 create addresses from fotps then you should run workflow 3091 because it replaces some of the functionality in workflow 3051 In general if you have front office transactions you should run workflow 3091 e In addition to its existing dependencies workflow w ph3150 load staging and validate watch list is now also dependent on workflow w p
43. ding Alert Management Chapter 1 About Upgrade Utility Upgrading Alert Management The Upgrade Utility gives the user flexibility to migrate alerts Table 3 lists the sequence of tasks to be carried out in order to migrate alerts Table 3 Sequence of Tasks to Migrate Alerts S No Task Operation Type 1 Apply the database scripts on 5 x system to bring it to Oracle Mantas 5 9 0 1 Scripts 2 Create OFSECM 6 1 Alert Management System Objects Scripts 3 Upgrade Mantas and Business Schema objects to OFSECM 6 1 Scripts 4 Work Flow upgrades for Alert Management Scripts 5 Install Oracle Financial Enterprise Case Management Stage3 Scripts 6 Setup End Users Manual 7 Transition of user role access permissions from LDAP to OFSECM 6 1 System Macro 8 Transferring Alert Documents Scripts Upgrading Case Management The Upgrade Utility gives the user flexibility to migrate the cases Table 4 lists the sequence of tasks to be carried out in order to migrate case Table 4 Sequence of Tasks to Migrate Case S No Task Operation Type 1 Create OFSECM 6 1 Case Management System Objects Scripts 2 Setup End Users Manual 3 Transition of user role access permissions from LDAP to OFSECM 6 1 System Macro 4 Migrate Case Data Scripts 5 Transferring Case Documents Scripts Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 3 Upg
44. directory ECM HOME SECM HOME database mantas schema delta oracle ECM61 Upgrade conf to the directory create 61 new system objects cfg create 61 case user objects cfg Change the directory to SECM_HOME database mantas_schema delta oracle To create the new system objects run the following command db tools bin run dbbuilder utility sh create 61 new system objects cfg Note This calls the migrate 59 to 61 system sql script This script creates the new case management tablespaces and the USERS tablespace It also creates the case management schema and the new configuration schema When prompted enter the appropriate database schema username and password Check for errors in the SECM_HOME database db_tools logs db_builder log file Navigate to the following location SECM HOME database mantas schema delta oracle To create the Case Management Schema objects run the following command db tools bin run dbbuilder utility sh create 61 case user objects cfg Note This calls the create case objects case sql which creates the case management schema objects When prompted enter the appropriate database schema username and passwotd Check for errors in the SECM_HOME database db_tools logs db_builder log file Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 15 Upgrading Oracle Mantas and Bu
45. dministration Guide 6 1 for loading client specific organizations creating users and defining user access In OFSECM 6 1 a new table KDD ORG has been added to maintain the organization details The entries of the table should be entered after verifying the entries in LDAP Refer to the section Oracle Financial Services Data in Oracle Financial Services Behavior Detection Platform Release 6 1 FSDM Volume 2 for more information Migrating Role Action Mapping To assist in migration of user information like mapping of user roles to activity codes OFSECM 6 1 provides a Microsoft Excel template to extract the required information from the Oracle Mantas Security XML This XML is written to the log when starting the Oracle Mantas 5 x instance with trace logging enabled The template generates the SQLs that should be executed in the alert management schema In general the Excel template gathers user role related configuration information from the Oracle Mantas Security XML that is generated from the LDAP server and translates into the SQL insert scripts in accordance with the OFSECM 6 1 user role related configuration requirements The tool does not fully automate the user migration process but it does simplify much of the effort Directions on the proper use of the template are included with the template itself Additionally here are some helpful pointers on using the template and migrating the information into the OFSECM 6 1 e The Oracle Mantas Se
46. do not load the new scenarios with OFSECM 6 1 then you must consider the appropriate approach to take on a scenario by scenario basis There are two basic approaches e Continue to Use Customized Scenario After upgrading the database you may extract the existing scenarios using the OFSECM 6 1 Scenario Migration Tool This step provides a backup of the original scenarios in 6 1 format with the original customizations Note that it is not possible to load pre 6 0 scenario files into the OFSECM 6 1 data model due to the addition of metadata structures related to deactivating thresholds and scoring by threshold At this time if dataset override files are used in the existing installation they should be integrated into the new OFSECM 6 1 installation With this approach the scenario customizations made for the existing deployment are retained However you do not get the benefit of scenario improvements made in OFSECM 6 1 and you are unable to accept any scenario hotfixes Also if you eventually plan to use the OFSECM 6 1 baseline scenarios then you can upgrade the scenarios to the 6 1 baseline scenarios gradually over a period of time after the infrastructure and software upgrades Reapply Customizations You can choose to load the OFSECM 6 1 baseline scenarios execute them and analyze the results It may be that the 6 1 baseline scenarios satisty your requirements with no or minimal modifications If they do not then the scenarios may have to
47. e alternate versions are no longer supported by Oracle Financial Services Software Inc At one time this workflow was named w_ph3220_populate_pair_stage_tables Later this workflow was renamed to w_ph2210_populate_pair_stage_tables Add new watch list related processing workflow w_ph3000_Adjust_WL_WLS to your batch This workflow is dependent on workflow w_ph2180_instn_identification and it is contained in the ORION_Common folder Add new workflow w_ph2130_update_fot_unrelated_party_code to your batch if you want OFSECM to determine if the internal accounts on a front office transaction are related unrelated party indicator in the DIS 46 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Modifying Batch Processing Schedule Chapter 5 Customizing Subsystems Note OFSECM only attempts to determine if the accounts are related if you have indicated they are not related in the transaction record If you indicate the accounts are related OFSECM accepts that value without further processing or verification This workflow is dependent upon workflow w ph2110 update bot unrelated party code and it is contained in the ORION Common folder e hew ph3070 load watch list staging table workflow was dependent on workflows w ph2180 instn identification and w ph3030 truncate wls Now itis dependent on workflows w ph3000 Adjust WL WLS and w ph3030 truncate wls e The w ph3140
48. e migrated after the non closed alerts are migrated to enhance the process of non closed alert migration Enterprise Case management utility migrates all the data with respect to both closed and non closed cases All the actions performed on a case is also migrated For closed cases the utility migrates the entity related data from the archive tables For non closed cases it migrates the data from the main tables Trading Compliance TC Broker Compliance BC cases are not supported in OFSECM 6 1 For any deviations or additional features as compared to 5 x refer to the OFSECM 6 7 Release Notes The primary objectives of this utility are as follows e Upgrading Alert Management System e Upgrading Case Management System e Migrating Alert Case Documents Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 1 Upgrade Workflow Chapter 1 About Upgrade Utility Upgrade Workflow The following workflow diagram depicts the high level flow of the upgrade process GF Install Stage 1 BDP B DBUpgrade Scripts Stage2 OFSAAI Patches O Runtne DF Install Stage 3 o funt O rune nume Rum tve E Document maraton Uy fr M CH Figure 1 Upgrade Utility Installation Workflow Note Document Migration for Alert and Case Management can run parallel with Case Migrations 2 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Upgra
49. eaning the commission split percentage and the source system fields were each Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 49 Updating Data Interface Specification DIS Chapter 5 Customizing Subsystems moved over one in the record and thus became the fifth and sixth fields respectively Oracle Financial Services also added the service team type field to the end of the record which is consistent with the approach used for adding other fields Oracle Financial Services added two fields to the end of the AccountCustomerRole record e OwnershipIndicator e GuardianshipIndicator The Oracle Financial Services Behavior Detection Platform 6 1 DIS states that a value must be provided for these fields While it is true that OFSECM requires values for these fields you do not have to provide a value in the DIS file because each field will use a default value if one is not explicitly provided The default value for each field is N If you have any doubt about whether or not you have to provide a value for a field refer to the datamaps in ECM HOME ingestion manager config datamaps Each DIS file has a corresponding datamap that defines its format and allowable values You can also contact Oracle Financial Services as needed Refer to the Revision History section of the Oracle Financial Services Behavior Detection Platform 6 1 DIS to review a history of changes Note the revision history for t
50. ed in the same directory as the script This script reads through the TRANSFORMATION INPUT FILE one line at a time and extracts each Oracle Mantas sequence name and current value The script then uses the Informatica UpdateSeqGenVals pmrep command to update the current value for each sequence in the OFSECM 6 1 Informatica 8 6 1 repository Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 39 Transferring Data Ingestion Subsystem Configuration Chapter 5 Customizing Subsystems Note When you use the pmrep connect command the Informatica connection information is stored in the SINFA REPCNX INFO file This file is owned by the Informatica Unix account and has Unix permissions of 600 meaning it can only be used by the Informatica Unix account However if you prefer you can remove this file after you update the sequences 7 After the script is finished login to the new Informatica 8 6 1 repository as the Informatica schema owner and run the following query select seq_name cur_value from select max to_number a attr_value as cur_value b widget_name as seq_nam from rep_widget_attr a rep_all_transforms b Y oe where upper b widget name like SEQ and a attr id 4 and a widget type 7 and a widget id in select widget id from rep all transforms where widget type name like Sequence and a widget id b widget id group by b widget name order by 1
51. enced in Step 6 4 Make sure the Informatica processes are running by executing the SINFA HOME server tomcat bin infaservice sh startup command as the Informatica Unix user For more information on starting Informatica refer to the Informatica documentation 5 Create a script similar to the following bin sh export INFA_HOME lt Informatica 8 6 1 0 0 3 installation directory gt export INFABIN SINFA_HOME server bin export INFA_REPCNX_INFO SINFABIN pmrep cnx export INFA_DOM lt Informatica 8 6 1 0 0 3 domain name gt export INFA_REPO lt Informatica 8 6 1 0 0 3 repository service name gt 38 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Transferring Data Ingestion Subsystem Configuration Chapter 5 Customizing Subsystems export REPO ADMIN Informatica 8 6 1 0 0 3 repository administrator account export REPO ADMIN PASS Informatica 8 6 1 0 0 3 repository administrator encrypted password export RANSFORMATION FOLDER ORION Common export TRANSFORMATION INPUT FILE file with list of sequences and values created previ ously gt SINFABIN pmrep connect r SINFA_REPO d SINFA_DOM n REPO_ADMIN X REPO ADMIN PASS while read line do TRANSFORMATION NAME echo line cut d f1 CURRENT VALUE echo line cut d f2 echo Updating sequence TRANSFORMATION NAME with current value CURRENT VAL
52. enete 3 Table 4 Sequence of Tasks to Migrate Case 3 Table 5 Software Upgrade Requirements by Oracle Mantas Release 5 Table 6 Upgrade Sequence and Checklist sse 8 Table 7 Upgrade Scripts and Directories by Release cece sss 13 Table 8 Role Mapping ieieteieeet teinte tintoset riri tees sIr agire iori anain eda 21 Table 9 Oracle Mantas 5 9 ECM 6 1 Actions Mapping 24 Tabl 10 StatusmappitietablE scere oreet o n e Poniente 25 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide vii List of Tables viii Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide About this Guide This guide explains the concepts behind the Oracle Financial Services Alert and Enterprise Case Management Upgrade Utility and provides step by step instructions for navigating through the Oracle Financial Services Alert and Enterprise Case Management Upgrade Utility This chapter focuses on the following topics e Who Should Use this Guide e Scope of this Guide e Where to Find More Information e Conventions Used in This Guide Who Should Use this Guide The Oracle Financial Services Alert and Enterprise Case Management Upgrade Utility Guide Release 6 1 is designed for use by the Application Installers and System Administrators Their roles and responsibilities include the following e Application Installer Thi
53. f MAPPING EXCEL xls for populating data in this sheet Columns contained in this excel are i CASE TYPE CLASS SEQ ID this should be unique ID in KDD TYPE CLASS MAP table ii CASE TYPE SUBTYPE CD Pris CASE_SUBCLASS1_CD iv CASE_SUBCLASS2_CD KDD_SUBCLASS1_SHEET User has to enter the information of the subclass1 to be newly inserted in OFSECM 6 1 by referring the information corresponding to casesubtypes entered in KDD_CASE_TYPE_SUBTYPE_DATA_SHEET and KDD_TYPE_CLASS_MAP_SHEET KDD_SUBCLASS2_SHEET User has to enter the information of the subclass2 to be newly inserted in OFSECM 6 1 by referring the information corresponding to case subtypes entered in KDD_CASE_TYPE_SUBTYPE_DATA_SHEET and KDD_TYPE_CLASS_MAP_SHEET Note Save both METADATA _POPULATION xls and MAPPING EXCEL xls in 1997 2003 excel format 11 Copy the updated excels to FIC HOME ECM61 Upgrade lib 12 Go to FIC_HOME ECM61_Upgrade 1ib and execute the following command to populate case management schema with metadata and corresponding mappings java jar Case Workflow jar INSERT After executing the command user is prompted for the following inputs a e Enter the JDBC URL lt enter JDBC CONNECTION STRING gt For example jdbc oracle thin 10 184 134 134 1522 ecmo
54. h3091 create PartyNmEE from fotps e Thew ph3501 Exp and Risk Review TP and w ph3502 Flag Trusted Trxn wotkflows were added to the Post Watch List Workflows for AML Banking AML Brokerage and Fraud Detection e The w ph0150 truncate CBPTxSM workflow was renamed to w ph0145 truncate CBPTxSM in AML Banking e The w_ph0160_CBSM_to_ CBPTxSM workflow was renamed to w ph0146 CBSM to CBPTxSM in AML Banking e Several new workflows were added for processing insurance related data If you intend to add insurance data to your deployment you should add these workflows Refer to the Oracle Financial Services Behavior Detection Platform 6 1 Administration Guide or consult Oracle Financial Services for more information on these workflows e Ifyou use the Oracle Financial Services Software Inc recommended workflow groupings for executing Informatica workflows concurrently then refer to the Oracle Financial Services Behavior Detection Platform 6 1 Administration Guide to get the sequence number for new workflows and to make sure your existing workflows have the same sequence numbers they previously had The sequence values for workflows w_ph2450_populate_ACCT_SRVC_TEAM w_ph3005_apply_cust_KYC_risk and w_ph3091_create_PartyNmEE_from_fotps ate not mentioned in the Oracle Financial Services Behavior Detection Platform 6 1 Administration Guide Workflow w_ph2450_populate_ACCT_SRVC_TEAM has a sequence number of 2 Workflow w_ph3005_
55. he Service Team Member DIS file is updated 50 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide ORACLE
56. he failure point instead it re runs all the scripts from the beginning Applying Database Upgrade Scripts The upgrade utility requires that Oracle Mantas version be 5 9 0 1 If the working Oracle Mantas version is 5 0 or 5 9 or any version between them then you must upgrade to 5 9 0 1 In order to upgrade from the previous Oracle Mantas version to OFSECM 6 1 Database Upgrade scripts must be applied Refer to Table 7 to upgrade sequentially from 5 x to 5 9 0 1 Note Contact Oracle Support to get the following list of Patches fecm_ fecm_ fecm_ fecm_ fecm_ hotfix_20130416 01 hotfix_20130422 03 hotfix_20130508 02 hotfix_20130515 01 hotfix_20130607 01 Make sure these patches are applied successfully over the existing Mantas version before upgrading it to Oracle Mantas version 5 9 0 1 If you are in Oracle Mantas version 5 0 follow these steps to upgrade the database to Oracle Mantas version 5 9 E database mantas schema delta oracle 5 5 and execute the 1 Change the directory to ECM HOM following command to upgrade Alert Management Schema to Oracle Mantas version 5 5 ees db tools bin run dbbuilder utility sh mantas5 5 delta cfg Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 11 Applying Database Upgrade Scripts Chapter 3 Performing an Upgrade 10 11 12 13 14 15 Change the directory to ECM HOME database bus
57. hes Pay close attention to Oracle Financial Services software updates also known as hotfixes Some software updates may be best applied when working with that component of the software rather than waiting for installation to be complete For example a software update that contains an Informatica Repository replacement could be applied and used in lieu of the repository provided by the installer If in doubt wait until you have finished upgrading the various components to apply the software updates Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 33 Completing Post Upgrade Chapter 4 Post Upgrade Configurations In general Oracle Financial Services recommends you install OFSECM 6 1 and OFSAAI 7 3 software updates that are applicable to your installation The possible exception is related to the approach used for scenarios Make sure you have an up to date list of OFSECM 6 1 software updates Contact Oracle Financial Services if necessary OFSECM 6 1 includes a new Patch Update Utility Refer to the Oracle Financial Services Behavior Detection Platform 6 1 Administration Guide for more details Completing Post Upgrade After verifying that the upgrade to OFSECM6 1 is successful follow these steps 1 Drop the following log tables used during upgrade activity from the alert management schema KD KD KD KD KD KD D D D D D RE VIEW STATUSS
58. hin 10 184 134 134 1522 ecmorc b Enter ALERT MANAGEMENT SCHEMA USER lt Enter the Us Schema gt c Enter ALERT MANAGEMENT SCHEMA PWD lt Enter the Pas Schema gt 1 ername of the Alert Management sword of the Alert Management Note Read Parameter implies that the mapping excels METADATA_POPULATION xls and MAPPING_EXCEL x1s required for migrations would be generated at FIC HOME ECM61 Upgrade lib directory 8 Save both these excels files generated above in 1997 2003 excel format on 9 MAPPING_EXCEL x1s contains the following three sheets your windows desktop a ACTION_MAPPING sheet It contains the actions which are to be migrated from Oracle Mantas 5 9 to OFSECM 6 1 basically it retrieves the actions which are part of Casework lowmodel xml Map the corresponding actions of Oracle Mantas 5 9 in this sheet to the respective OFSECM 6 1 actions Column OLD_ACTION contains Oracle Mantas 5 9 actions and Column NEW_ACTION should be filled with respective OFSECM 6 1 actions If any action of Oracle Mantas 5 9 does not have its equivalent action in OFSECM 6 1 then this action of Oracle Mantas 5 9 has to be inserted in OFSECM 6 1 as a new action For these actions OLD ACTION and NI Refer to Table 9 for the recommended mappings EW ACTION values should be same Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 23 Migrating Case
59. le Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Applying Database Upgrade Scripts Chapter 3 Performing an Upgrade e For daily hybrid partitions make the Dat aDumpDt_minus_0_name parameter equal to the partition name of the most recent partition for ACCT based on this value e For weekly partitions make the most recent partition for TRAD BAL POSN SMRY Then set all the other daily partition related parameters EndThisWeek minus 00 name parameter equal to the partition name of the E Then set all the other weekly partition related values based on this value e For monthly partitions make the StartNextMnth minus 00 name parameter equal to the partition name of the most recent partition for CASH TRXN Then set all the other monthly partition related values based on this value Itis necessary to set the most recent partition name to StartNextMnth minus 00 name father than to StartNextMnth minus 01 name because the database DDL scripts create monthly partitions with one future partition Setting the partition values as described here will account for this fact Note If you encounter failures while executing database upgrade scripts with DB Builder you should correct the issue manually and re run the same DB Builder command line you executed originally Ifa script already finished successfully it is effectively executed again because the DB Builder utility does not pick up execution at t
60. lease notes for all Oracle Mantas products released since you installed the scenario to determine if your functional changes were added to the product baseline For example if you ate on Oracle Mantas 5 0 the enhancements you want may have been added in 5 5 and consequently they are not described in the 5 8 1 release notes If you enteted a change request with Oracle Mantas for the functional change then Oracle Financial Services Professional Services or Customer Support should be able to verify whether the change was made in the product baseline Functional Changes specifics of your business If you modified the scenario due to specifics of your business such as added filters on custom fields then you can be certain those changes will not be in the new version of the scenario It is possible that another functional change will have been introduced that is a good substitute for the change you made but it is not likely Performance Tuning If the scenario has been modified to perform better in your environment then the correct approach can vary In some cases performance enhancements will no longer be necessary with the new scenario because it may take a different approach or the enhancements implemented in your environment may have been rolled into the product version In other cases the new scenario may not perform well out of the box and the enhancements you applied or different enhancements may need to be implemented again If you
61. led description about the OFSECM6 1 Action Category Codes The values under N EXT RE VI EW STATUS CD column in the above sheet has to be modified by referring to STATUS MAPPING sheet of MAPPING EXCEL xls ot the statuses available in OFSBDP Administration Guide Note To perform a custom action which is not available in OFSECM 6 1 refer to the OFSBDP Configu ration Guide The E mail Action category code EML is programmed to take values from the kdd_Code_set_trnin table Make sure that no custom action is having its category code as EML 26 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Migrating Case Data Chapter 3 Performing an Upgrade KDD_STATUS_DATA SHEET This sheet contains metadata information about the new statuses to be inserted which do not have their OFSECM6 1 equivalent mapped statuses User has to modify the information in the column VIEWD BY OWNER ACTVY TYPE CD of this excel with OFSECM 6 1 action code by referring to ACTION MAPPING sheet of MAPPING EXCEL xls KDD CASE TYPE SUBTYPE DATA sheet Make sure that this sheet has custom case types and sub types which are not obsolete in OFSECMO 1 Delete rest of the case types from the sheet KDD TYPE CLASS MAP SHEET This sheet contains the mapping between the custom casetype subtype and sub classes Refer to the CASETYPE SUBTYPE MAPPING sheet o
62. lows Ihe w p2060 truncate nuam and w p2080 load nuam wotkflows are no longer used and you should remove them from your batch If you have employee focused scenarios and want to relate employees to accounts and customers you should use SMANTAS HOME ingestion manager scripts runNUAM sh instead You should execute this process after you have finished preprocessing and loading all account customet and employee related data Oracle Financial Services Software Inc has plans for peer profiling If you intend to use peer profiling in the future then it is a good idea to start collecting peer profile data now Consequently you should start using workflows w ph0760 ASM to APGTxSM accounts and w ph0780 CSM to CPGTxSM customers Each of these workflows is dependent on workflows w_p0470_update_asm_for_net_worth and w_p0471_update_asm_for_profit_and_loss and they are contained in the ORION_Product ion and the MLM_Brokerage_Production folders respectively Contact Oracle Financial Services to learn more about plans for peer profiling The populate pairs workflow is no longer used and you should remove it from your batch This workflow only provided value for specific alternate pattern versions of the Patterns of Recurring Originators Beneficiaties scenarios These alternate versions were designated with S and described as high EFT volume versions in the Oracle Financial Services Technical Scenario Description document Thes
63. mantas5 7 1 delta cfg 5 7 1 ECM HOME database bus mkt schema delta oracle 5 7 1 delta plat5 7 1 cfg 5 7 2 ECM HOME database mantas schema delta oracle 5 7 2 mantas5 7 2 delta cfg 5 7 2 ECM HOME database bus mkt schema delta oracle 5 7 2 delta plat5 7 2 cfg 5 8 ECM HOME database mantas schema delta oracle 5 8 mantas5 8_delta cfg 5 8 ECM HOME database bus mkt schema delta oracle 5 8 delta plat5 8 cfg 5 8 1 ECM HOME database mantas schema delta oracle 5 8 1 mantas5 8 1 delta cfg 5 8 1 ECM HOME database bus mkt schema delta oracle 5 8 1 delta plat5 8 1 cfg 5 9 ECM HOME database mantas schema delta oracle mantas5 9 delta cfg 5 9 ECM HOME database bus mkt schema delta oracle delta plat5 9 cfg 5 9 0 1 ECM HOME database mantas schema delta oracle mantas5 9 0 1 delta cfg Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 13 Applying Database Upgrade Scripts Chapter 3 Performing an Upgrade Table 7 Upgrade Scripts and Directories by Release Oracle Mantas Version Directory Location Upgrade Script 5 9 0 1 ECM_HOME database mantas_schema delta oracle mantas5 9 0 1_b01 01_delta cfg 5 9 0 1 ECM_HOME database mantas_schema delta oracle mantas5 9 0 1_b02_delta cfg 5 9 0 1 ECM_HOME database mantas_schema delta oracle mantas5 9 0 1_b02 01_delta cfg 5 9 0 1 ECM_HOME database mantas_schema delta oracle mantas5 9 0 1_b02 02_delta cfg 5 9 0 1 ECM_HOME database bu
64. mkt schema delta oracle 5 5 and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 5 db_tools bin run_dbbuilder_utility sh delta plat5 5 cfg Change the directory to ECM_HOME dat abase mantas_schema delta oracle 5 7 and execute the following command to upgrade Alert Management Schema to Oracle Mantas version 5 7 Ab_tools bin run_dbbuilder_utility sh mantas5 7 delta cfg Change the directory to ECM HOME database bus mkt schema delta oracle 5 7 and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 7 db_tools bin run_dbbuilder_utility sh delta plat5 7 cfg Change the directory to ECM HOME database mantas schema delta oracle 5 7 1 and execute the following command to upgrade Alert Management Schema to Oracle Mantas version 5 7 1 db_tools bin run_dbbuilder_utility sh mantas5 7 1_delta cfg Change the directory to SECM_HOME database bus_mkt_schema delta oracle 5 7 1 and execute the following command to upgrade Business and Market Schemas to Oracle Mantas version 5 7 1 dAb_tools bin run_dbbuilder_utility sh delta_plat5 7 1 cfg Change the directory to ECM_HOME database mantas_schema delta oracle 5 7 2 and execute the following command to upgrade Alert Management Schema to Oracle Mantas version 5 7 2 db_tools bin run
65. n Guide Stage 1 e Oracle Financial Services Analytical Applications 7 3 Installation kit e Oracle Financial Services Analytical Applications Installation and Configuration Guide 7 3 e Oracle Financial Services Enterprise Case Management 6 1 Stage 3 installation kit Oracle Financial Services Enterprise Case Management 6 1 Installation Guide Stage 3 e All the patches to be applied on Oracle Mantas 5 9 0 1 e Allthe patches to be applied on Oracle Financial Services Analytical Applications 7 3 Copying and Unzipping Upgrade Utility Kit To copy and Unzip Upgrade Utility follow these steps 1 Copy the ECM61 Upgrade zip to the server 2 Unzip the package using the following command unzip a ECM61 Upgrade zip The ECM61 Upgrade directory is unzipped This directory contains the Upgrade Utility 3 Make sure the folder has following permission by giving the following command chmod R 755 ECM61 Upgrade Note The ECM61 Upgrade folder that is unzipped above will be moved to various locations in the upcoming chapters 6 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide CHAPTER 3 Performing an Upgrade This chapter describes step by step information to perform an upgrade activity This chapter explains following topics Performance Recommendations Upgrade Sequence and Check List Installing OFSBDP 6 1 Stage 1 Preparing to Apply Data Base Scripts to Upgrade 5 x t
66. n environment where the scenario exists When a scenario is loaded the following actions take place e The scenario logic is replaced by the incoming scenario e Dataset definitions are replaced by the incoming scenario e Product thresholds are loaded and threshold sets are checked and modified for the following conditions m If the scenario contains new thresholds they are added to any threshold sets and assigned the default value for the base threshold m If the existing threshold sets contain thresholds that the new scenario does not the thresholds are deactivated in the existing threshold sets m Thresholds in existing threshold sets with Use Base Value set meaning they inherit the value of the base threshold are updated to the value of the base threshold in the incoming scenario This can be turned off by setting a flag in the scenario migration configuration files to NOT update values when loading the scenario m For thresholds in the existing threshold sets if the display name does not match the display name of the corresponding base threshold then the name is updated e Jobs that run the scenario with custom threshold sets are updated to reference any changed datasets or patterns After loading the updated scenarios your scenarios with threshold settings will run as expected Review your threshold settings after the load to see if any of the new thresholds should be modified to meet your business requirements For scen
67. n your prior installation review the install cfg file for any changes to be replicated into the new installation Por example if you have edited the SMANTAS HOME behavior detection algorithms MTS mantas cfg install cfg file to decrease the number of simultaneous jobs the dispatch process will execute then you must reapply this change in the new installation Additionally if you are using the dataset override feature the kdd custom dataset dir parameter in the SECM_HOME behavior _detection algorithms MTS mantas_cfg install cfg must be set to the directory that contains the dataset override text files The dataset override files must be copied to that directory unless it is the same directory in which the files already exist It may be unnecessary to continue to use the dataset override functionality Refer to the Oracle Financial Services Enterprise Case Management 6 1 Release Notes for any known 6 1 issues that may require manual workarounds Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 35 Transferring Data Ingestion Subsystem Configuration Chapter 5 Customizing Subsystems Transferring Data Ingestion Subsystem Configuration Installing the Data Ingestion Subsystem component upgrades ingestion related files in two main areas Java based ingestion and Informatica based ingestion The following sections describe these upgrades e Java based Ingestion e Informatica ba
68. nterprise Case Management 6 1 Upgrade Utility Guide 45 Modifying Batch Processing Schedule Chapter 5 Customizing Subsystems w_p0310_update_asm_for_daily_activity and it is contained in the ORION_Production folder Clients with transactions should execute this workflow Added workflow w_p0340_build_ATdSD_from_ASMs and then later changed the name to w p0640 build ATdSD from ASMS This workflow is dependent w p0310 update asm for daily activity and it is contained in the ORION Production folder Clients with trades should execute this workflow Added workflow w p0350 build IASD from ASMS and then later changed the name to w p0650 build IASD from ASMS This workflow is dependent on workflow w p0290 join instl acct activity to iasms and it is contained in the ORION Production folder Clients with IML scenarios or who use institutional summaries should execute this workflow The w p0280 create clog activity records workflow is no longer dependent on wotkflow w p0270 join retail acct activity to asms ltis now dependent on w p0470 update asm for net worth Several new workflows were added to process insurance related data If you intend to start ingesting this type of data contact Oracle Financial Services for more information The w ph3051 create addresses from fotps workflow is no longer dependent on workflow w ph2190 fotps instn processing Now itis not dependent on any other workf
69. o 5 9 0 1 Applying Database Upgrade Scripts Creating OFSECM 6 1 System and Case Management Schema Objects Upgrading Oracle Mantas and Business Schema Objects to OFSECM 6 1 Installing OFSAAI 7 3 Stage 2 Upgrading Alert Management Installing Enterprise Case Management 6 1 Stage 3 Setting Up End Users Migrating Case Data Transferring Alert Case Management Documents Performance Recommendations Note Performing this upgrade requires a minimum system downtime of 24 hours Following are the performance recommendations Document Migration fort alert and case management can be done after successful installation of OFSECM 6 1 Stage 3 The upgrade utility provides the flexibility to migrate Closed cases with related documents and Non Closed cases with related documents separately If the Closed cases and related documents are low priority the Non Closed cases and related documents can be migrated first Closed cases and related documents can be migrated later in batches as per need Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Upgrade Sequence and Check List Chapter 3 Performing an Upgrade Upgrade Sequence and Check List To upgrade Oracle Mantas 5x to OFSECM 6 1 you need to upgrade many components that comprise the overall OFSECM system The following table lists the general order of operations for performing the upgrade Table 6 Upgrade Sequence and Checklist S No
70. o be modified 4 Login to the Case Schema and alter the mentioned sequences as described below a For Cases Sequences follow the following steps i i lii iv Execute the following on case Schema to get max_note_id for example result is 4000 select max review id from kdd_review to get max review id fot example result is 4000 Drop the sequence by executing the following query drop sequence cm cases seq Create Sequence by executing the following query create sequence cm cases seq start with max review id 1 increment by 1 cache 20 For example Cfeate sequence cm cases seq staft with 4001 increment by 1 cache 20 Grant the privileges by executing the following command grant select on cm cases seq to Alert ManagementSchema gt b For case action sequence follow the following steps i Execute following query Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 31 Post Migration Steps Chapter 4 Post Upgrade Configurations i lii iv SELECT MAX actvy_id FROM kdd_activity on case schema to get max_action_id for example result is 3000 Drop the sequence by executing the following query drop sequence cm case action seg Create Sequence by executing the following query create sequence cm case action seq start with max action id 1 increment by 1 cache 20 For example create sequence cm case acti
71. on seq start with 3001 increment by 1 cache 20 Grant the privileges by executing the following command grant select on cm case action seq to Alert ManagementSchema c For Case Note History sequence follow these steps i i lii iv Execute following query SELECT MAX note_id FROM KDD_NOTE_HIST on case schema to get max_note_id for example result is 4000 Drop the sequence by executing the following query drop sequence cm note id seq Create Sequence by executing the following query create sequence cm note id seq statt with max note id 1 increment by 1 cache 20 For example cteate sequence cm note id seq start with 4001 increment by 1 cache 20 Grant the privileges by executing the following command grant select on cm note id seq to Alert ManagementSchema d For case link sequence follow these steps L Execute following query SELECT MAX link seq id FROM kdd case links on case schema to get max link id For example 32 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Installing Scenario Manager Chapter 4 Post Upgrade Configurations result is 4000 ii Drop the sequence by executing the following query drop sequence cm case link seq iii Create Sequence by executing the following query create sequence cm case link seq statt with max link id 1 increment by 1 cache 20 For example
72. orkflow w ph2450 populate ACCT SRVC TEAM to your batch This workflow is not dependent on any other workflows and it is contained in the ORION Common folder e Ifyou load loan related data you should add new workflow w_ph2600_loan_smry_mnth to your batch This workflow is not dependent on any other workflows and it is contained in the ORION_Common folder e Thew ph3005 apply cust KYC risk workflow was added to modify the process for determining account effective risk customer effective risk and front office transaction party risk Changes were implemented to support Know Your Customer KYC requirement but regardless of whether or not the Oracle Financial Services KYC product is used all clients should add this workflow to their batch This workflow is not dependent on any other workflows and it is contained in the ORION Common folder e hew ph3160 write inst associations to ls workflow was dependent on workflow w ph3010 truncate ls and workflow w ph3120 creat xternal entities from inst Now itis dependent on workflow w ph3010 truncate 1s wotkflow w ph3041 create addresses from inst and workflow w ph3120_creat xternal_entities_from_inst e The w ph3190 apply risk to nonacct entities workflow was dependent on workflow w ph3170 update staging list risk Now itis dependent on workflows w ph3005 apply cust KYC risk and w ph3170 update staging list risk Oracle Financial Services Alert an
73. orks for the database from the OFSBDP 6 1 installed home directory path SECM HOME 2 Change the directory to ECM HOME database db tools mantas cfg 3 Take a backup of the do variables ctg file 4 Update the db variables cfg file Appendix C of the Oracle Financial Services Behavior Detection Platform 6 1 Stage 1 Installation Guide describes the parameters in this file Note If you have the db_variables cfg files from your original Oracle Mantas installation you can use them to help you fill out the file appropriately Make sure you synchronize the partition dates between the new and existing tables Additionally there are new partitioned tables created during this upgrade The Oracle Financial Services Software recommends you to synchronize the partitions for the new tables with the partitions for the existing tables To do this edit the partition dates in db_variables cfg to match the dates of your existing partitions While doing this remember there are three primary types of partitioned tables e Daily which also includes hybrid or X partitioned tables e Weekly e Monthly For each type of partition table determine the most recent partition for a representative table For example refer ACCT BAL POSN SMRY for daily hybrid refer TRADE for weekly and refer CASH for monthly Make a note of the most recent partition for each one When you edit db variables cfg perform the following 10 Orac
74. ount business schema account market schema account kdd_altio account market account Case schema account Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 9 Preparing to Apply Data Base Scripts to Upgrade 5 x to 5 9 0 1 Chapter 3 Performing an Upgrade For example e Ifa database script must be executed by the kdd_mnr account DB Builder obtains the account ID for this user account from the install cfg file If a database script must be executed by the mantas schema account DB builder obtains the account ID from install cfg but it prompts the user for the password e Ifa database script must be executed by an Oracle system account DB Builder prompts the user for the account ID and password because neither of these values appears in install cfg The DB Builder also uses db variables cfg to replace the variables in the scripts with values associated with the variables Appendix C of the Oracle Financial Services Behavior Detection Platform 6 1 Stage 1 Installation Guide describes the parameters in this file It is important that the values are appropriately set for the current system to ensure that the upgrade runs correctly To prepare to apply the database upgrade scripts follow these steps 1 Copy ECM61_Upgrade directory obtained from step 2 of Prerequisites to the ECM_HOME directory of the OFSBDP 6 1 installation Note Verify that TNSPNG w
75. rading Case Management Chapter 1 About Upgrade Utility 4 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide CHAPTER 2 Pre r equisites This chapter explains the following topics e Taking System Backup e Upgrading Infrastructure and Third Party Software Components e Copying and Unzipping Upgrade Utility Kit Taking System Backup Before upgrading to OFSECM 6 1 take a backup of the existing database If you decide to rollback to the existing release part way through or after upgrading you must restore the system using this database backup Upgrading Infrastructure and Third Party Software Components The Upgrade Utility is designed to reuse the existing database and upgrade and transform data and structures in place For the application and web servers you can either deploy on the same hardware or on new hardware When deploying on existing hardware you may need to upgrade the operating system and other third party software The following table identifies the third party software versions supported by OFSECM 6 1 For each potential starting point for the upgrade Table 5 Software Upgrade Requirements by Oracle Mantas Release OFSECM 6 1 Supported Software 5 0 5 5 5 7 5 7 1 5 7 2 5 8 5 8 1 5 9 5 9 0 1 Operating System Upgrade Required RHEL 5 3 Yes Yes Yes Yes Yes Solaris 10 Web Application Upgrade Required IBM
76. rcl Enter Case SCHEMA USER lt Enter the Username of the Case management Schema gt Enter Case SCHEMA PWD lt Enter the Password of the Case management Schema gt Enter Alert Management SCHEMA USER lt Enter the Username of the alert management Schema gt Enter Alert Management SCHEMA PWD lt Enter the Password of the alert management Schema gt 13 Check upgrade_stats and upgrade_audit_log table of Alert Management schema for any errors 14 The following steps should be executed for successfully migrating different case related informations Account House Hold Investment Advisor and so on from Oracle Mantas 5 9 to OFSECM 6 1 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 27 Migrating Case Data Chapter 3 Performing an Upgrade Follow the following steps to insert the records related to custom CASE this upgrade SUBTYPES which are newly inserted in For example you have Case Subtype as AML_SURV then the actions you have to perform are listed below a Get the max sequence ID for the column CASE_CASETYPE_ACTION_MAP_SEQ using Query Select max CASE_CASETYPE_ACTION_MAP_SEQ from KDD_CASETYPE_ACTION_MAP Suppose you get the
77. result 330 by executing the above query follow the steps b Insert the following records into the table KDD_CASETYPE_ACTION_MAP Insert intoKDD CASETYPE ACTION MAP case casetype act ion map seq action cd case type subtype cd values 331 SPTCAC A L_SURV Insert into KDD CASETYPE ACTION MAP case_casetype_action_map_seq action_cd case type subtype cd values 332 SPTCCB A L_SURV Insert into KDD CASETYPE ACTION MAP case casetype action map seq action cd case type subtype cd values 333 MTSPTCCU A L_SURV Insert into KDD_CASETYPE_ACTION_MAP case case type action map seq action cd case type subtype cd values 334 MTSPTCEN A _ SURV Insert into KDD CASETYPE ACTION MAP case casetype action map seq action cd case type subtype cd values 335 MTSPTCHH A L SURV Insert into KDD CASETYPE ACTION MAP case casetype action map seq action cd case type subtype cd values 336 MTSPTCIA A L_SURV Insert into KDD_CASETYPE_ACTION_MAP case case type action map seq action cd case type subtype cd values 337 MTSPTCTN A L SURV Insert into KDD CASETYPE ACTION MAP case casetype action map seq action cd case type subtype cd values 338 MTSPTCEE A _ SURV Insert into KDD CASETYPE ACTION MAP case casetype action map seq action cd case type subtype cd values 339 SPTCNAR AML SURV Note If any other Case Subtype is the type XXX also there such as XXX then you have to insert the above records for 15
78. s user installs and configures the Oracle Financial Services Alert and Enterprise Case Management and the client specific solution sets at a deployment site The Application Installer also upgrades additional solution sets and requires access to deployment specific configuration information for example machine names and port numbers e System Administrator This user configures maintains and adjusts the utility and is usually an employee of a specific Oracle Financial Services client The System Administrator maintains user accounts and roles archives data and loads data feeds Scope of this Guide This guide provides instructions for upgrading and configuring the Oracle Financial Services Alert and Enterprise Case Management system subsystem components and the related third party software needed to operate the system Where to Find More Information For more information about Oracle Financial Services Enterprise Case Management Upgrade Utility Release 6 1 refer to the following documents e Oracle Financial Services Behavior Detection Platform Scenario Manager User Guide e Oracle Financial Services Behavior Detection Platform Administration Tools User Guide e Oracle Financial Services Behavior Detection Platform FSDM Reference Guide Vol 1 Business Data e Oracle Financial Services Behavior Detection Platform FSDM Reference Guide Vol 2 Oracle Financial Services Data Model e Oracle Financial Services Behavior Detection Platform F
79. s_mkt_schema delta oracle delta plat5 9 0 1 cfg 5 9 0 1 ECM HOME database bus mkt schema delta oracle delta plat5 9 0 1 b02 01 cfg 14 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Creating OFSECM 6 1 System and Case Management Schema Objects Chapter 3 Performing an Upgrade Creating OFSECM 6 1 System and Case Management Schema Objects To create OFSECM 6 1 System Objects and Case Management Schema Objects follow these steps Li 10 11 12 Verify the following files that have been configured for your environment based on information provided in the Oracle Financial Services Behavior Detection Platform 6 1 Stage 1 Installation Guide SECM_HOME database db_tools mantas_cfg install cfg SECM_HOME database db_tools mantas_cfg db_variables cfg Modify install cfg in ECM HOME database db tools mantas cfg as shown following line Change line Oracle ObjectExists 955 2260 2275 1430 1442 1451 957 1408 2261 to Oracle ObjectExists 955 2260 2275 1430 1442 1451 957 1408 2261 1543 adding error code 1543 Copy the following SQL scripts files from the directory ECM_HOME ECM61_Upgrade db_scripts to the directory SECM_HOME database mantas_schema delta oracle migrate_59_to_61 system sql create_case_objects case sql n Copy the following cfg files from the
80. se software using the product installer and an appropriate silent installation properties file Refer to the Oracle Financial Services Analytical Applications Installation and Configuration Guide 7 3 for more information on installation and configuration Note Contact Oracle Support to get latest patches for OFSAAI 7 3 Upgrading Alert Management Compared to previous Oracle Mantas 5 x versions in OFSECM 6 1 new activities and new categories for activities have been added Hence as part of Alert Management Upgrades the activities including customized activities should be mapped to these new categories by using Alert Management work flow utility process as explained in the below sections Alert Management Workflow for OFSECM 6 1 To create the required temporary lookup and log tables used during the upgrade process and to upgrade the Alert Management workflow follow these steps 1 Copy the ECM61 Upgrade directory obtained from step 2 of Prerequisites to the FIC HOME directory of the OFSAAT 7 3 installation 2 Log in to Alert Management schema and take a backup of the Kbb ACTIVITY TYPE CD table as KDD ACTIVITY TYPE CD BKE Note The backup name of this table should be the same as in step number 2 3 Change the directory to FIC HOME ECM61 Upgrade bin 4 Run the following script to create the required temporary lookup and log tables used during the upgrade process upgrade utility sh DB UPGRADE 5
81. sed Ingestion Java based Ingestion Java based ingestion components are used for processes such as fuzzy name matching pre processing loading trade processing and market data processing These components are located in the ECM_HOME ingestion_manager file and are upgraded by installing the OFSECM 6 1 Data Ingestion component However if the configuration information for these processes were changed in the existing installation to meet your specific requirements then these changes may have to be implemented in the new installation It is possible that OFSECM 6 1 already contains a change that was a customization for an earlier version of Oracle Mantas The following describes examples of customizations e Changes to the match thresholds for fuzzy name matching e Changes in DataIngest xml such as specifying full updates or refreshes for specific types of data or using direct loads for certain data The following lists specific files to consider 3SMANTAS HOME ingestion manager fuzzy match mantas cfg install cfg e 5 AS HOME ingestion manager config DataIngest xml Customizations for this file should be lemented in DataIngestCustom xml in the same directory E AS HOME ingestion manager config install cfg A P ANTAS HOME ingestion manager config DatalIngest properties A A ur od un AS HOME ingestion manager scripts env sh If you have trade related data and run F
82. siness Schema Objects to OFSECM 6 1 Chapter 3 Performing an Upgrade Upgrading Oracle Mantas and Business Schema Objects to OFSECM 6 1 To upgrade Oracle Mantas and Business Schema Objects to OFSECM 6 1 follow these steps 1 Copy the following SQL scripts files from directory ECM_HOME ECM61_Upgrade db_scripts to the directory ECM_HOME database mantas_schema delta oracle migrate_59_to_61 business sql migrate_59_to_61 mantas sql 2 Copy the following cfg file from the directory ECM_HOME ECM61_Upgrade conf to the directory SECM_HOME database mantas_schema delta oracle create 61 bus am objects cfg 3 Navigate to the following directory SECM_HOME database mantas_schema delta oracle 4 Run the following command db tools bin run dbbuilder utility sh create 61 bus am objects cfg Note This calls the migrate 59 to 61 business sql and migrate 59 to 61 mantas sql scripts 5 When prompted enter the appropriate database schema username and passwotd 6 Check for errors in the SECM_HOME database db_tools logs db_builder 1log file 16 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Installing OFSAAI 7 3 Stage 2 Chapter 3 Performing an Upgrade Installing OFSAAI 7 3 Stage 2 Install the Oracle Financial Services Analytical Applications Infrastructure OFSAAT 7 3 ba
83. t currently truncating it OFSECM has changed the WatchList processing and as a result Oracle Financial Services Software recommends truncating the WATCH LIST table each day If full refreshes are used then the WATCH LIST table will be automatically truncated when loading the WatchListEntry data e Oracle Financial Services recommends providing watch list data each day The previous day s watch list is compared to the current day s watch list and therefore it is important to provide watch list data each day If the watch list data is not provided then the system will think there should not be any entries on the watch list If you want the previous day s watch list to be used again without having to provide the data again you can provide a zeto byte WatchListEntry file e Do not specify a log path for the Data Retention Manager DRM on the command line The DRM log location is now specified in the MANTAS HOME database db tools mantas cfg install cfg By default the DRM writes to a log file under DB TOOLS HOME 10gs As part of this change it is also no longer necessary to set the UTL FILE DIR database parameter to match this location e Account profit and loss data should be loaded as a DIS file with runDP sh AccountProfitAndLoss and runDL sh AccountProfitAndLoss This data is no longer loaded using Informatica e OFSECM no longer uses Informatica workflows for change log processing There is a new runUtility sh process that sho
84. tica 8 6 1 repository e Copying Informatica files to the Informatica 8 6 1 PMRootDir If you have made any changes to the Informatica files in your existing installation to meet customer specific requirements you must implement these changes in the new installation For examples e Changing the MIN GEO RISK value or the PARALLEL NUM value in the SPMRootDir ParamFiles prod orion parm file e Changing the same day trade win loss difference percentage PERCENTDIFF in the SPMRootDir ParamFiles prod bsm parm file Update env sh with the encrypted version of the password for the user that runs the Informatica processes For information about making this change refer to Oracle Financial Services Enterprise Case Management 6 1 Stage 1 Installation Guide After you setup the Informatica environment follow these steps 1 Load the OFSECM 6 1 Informatica repository 2 Verify the current values of the Informatica sequences in your new environment and match the values in your existing environment New environment refers to the Informatica 8 6 1 environment and existing environment refers to the Infor matica 7 1 x 8 1 1 environment for a given deployment environment that is for the production environment Note If you do not synchronize the values Informatica will reject records when you start ingesting data in the new environment Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide
85. ty codes CSTO01 CST002 then perform the following steps i Login to Alert Management Schema ii Execute the following commands delete from KDD ROLE ACTIVITY TYPE where ACTVY TYPE CD in CSTOOI CST002 5 Commit Categorize Activity Codes in OFSECM 6 1 Perform the following steps if the existing Oracle Mantas installation has customized activity codes for alerts In OFSECM 6 1 all the activity codes must be mapped to product defined activity categories Execute one of the following options to update activity categories for any customized activity codes Option 1 This option maps all legacy action categories to product default categories of OFSECM 6 1 Activity codes must be configured in the category list txt file available at FIC_HOME ECM61 Upgrade conf folder The file contains two columns separated by The first column is for the old category code and the second column is for the new one Clear the contents of the file category list txt and map old category codes to one of the following new categories e Actions e Disposition e E mail e Export e Reassign e Reg Reporting e Review 18 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide Upgrading Alert Management Chapter 3 Performing an Upgrade After modifying the file follow these steps 1 Navigate to the following directory FIC_HOME EC
86. ty of following jar files AESCryptor jar riCClient jar Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide 29 Transferring Alert Case Management Documents Chapter 3 Performing an Upgrade FICServer jar 3j2ssh core 0 2 5 jar 10g4j 1 2 12 jar ojdbcl4 jar Upgrade jar 2 Login to the alert management schema and run the following update statement update KDD ACTIVITY DOC set delete fl N where delete fl N 3 Commit the changes 4 In order to fine tune the Document Migration process for optimal performance open the run sh file available at SFIC HOME ECM61 Upgrade bin and modify the values of the following parameters a BATCH SIZE This will determine the number of documents that the utility will load in memory at a time for migration Modify this variable as per your server configuration b BATCH TOTAL This will determine the number of documents that has to be migrated in a single run Note Consider the Hardware Configuration and server workload to derive the optimal values for the above mentioned parameters 5 Navigate to FIC HOME ECM61 Upgrade bin and execute the following command upgrade utility sh DOC UPGRADI Gl The user needs to enter the following details when prompted a Enter Module Name AM CM lt Enter AM for Alert Management documents or CM for Case Management documents gt
87. uld be used for change log processing This utility includes new capabilities to calculate changes in support of KYC integration Also you can still load the ChangeLog DIS file Refer to the Oracle Financial Services Bebavior Detection Platform 6 1 Administration Guide for mote information on change log processing in OFSECM 6 1 e OFSECM data pre processing runDP sh is now multi threaded The NumberOfThreads parameter in the XDP section of the SECM HOME ingestion manager config DataIngest xml file controls the number of threads By default runDP sh is configured for two threads You can override the default setting by specifying a new value in the DataIngestCustom xnl file e Inpre Oracle Mantas 5 7 releases FDT automatically stores lost trade execution and order events in files in anticipation that a New Cancel or Replace event will occur in a subsequent batch which is more likely to occur for customers with intraday batch processing than for customers with single end of day batch processing In Oracle Mantas 5 7 FDT is configurable with respect to treating lost trade execution and order events as errors or storing lost events in files as in pre Oracle Mantas 5 7 releases The TreatLostEvent sAsErrors parameter in the SECM_HOME ingestion_manager config DataIngest xml file controls this behavior and by default it is 44 Oracle Financial Services Alert and Enterprise Case Management 6 1 Upgrade Utility Guide
88. write fotps associations to ls workflow was dependent on workflow w ph3010 truncate ls and workflow w ph3090 creat xternal entities from fotps Now itis dependent on workflow w ph3010 truncate 1s wotkflow w ph3051 create addresses from fotps and workflow w ph3090 creat xternal entities from fotps e Add new workflow w ph2220 update fot reversals to your batch It enables OFSECM to handle transactions that are adjustments to or reversals of previous front office transactions This workflow is dependent on workflow w ph2200 build trxn tables from fotps and it is contained in the ORION Common folder e The w ph0490 truncate hhsm workflow was dependent on w p0320 update asm for previous month activity w p0470 update asm for net worth and w p0471 update asm for profit and loss Now itis dependent on w p0310 update asm for daily activity only e Thew ph0500 aggregate asm to hhsm workflow was dependent on workflow w_ph0490_truncate_hhsm Now it is dependent on w p0470 update asm for net worth w p0471 update asm for profit and loss and w ph0490 truncate hhsm e Ifyou use managed account summary information you should add workflow w p0431 build MASD from MASMS to your batch Additionally this workflow is dependent on workflow w p0430 join daily activity to masms and it is contained in the BSM Production folder If you use account service teams you should add new w

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