17 Managing Batches

Oracle FCCM Cloud Service uses the Scheduler Service to create, schedule, execute and manage batches. A batch is a group of jobs that are scheduled to run at a defined interval of time, in sequence, automatically, without user involvement. Each batch begins with a StartBatch, includes any additional jobs that should be run in this batch, and then completes with the Endbatch.

Flow of Batch

To execute the batches, use the Schedule Batch feature in the Scheduler Service. For more information, see Scheduler Service. You can use the Scheduler Service to first define the batch, then define which tasks should be included in this batch. Next, you must schedule the batch. When the batch runs, you can monitor the batch to verify it is executing as intended. Click the Batch Scheduling Flow to navigate through the Scheduler Service.

Scheduler Service -- Batch Scheduling Flow

Pre-configured Batches

The application contains certain pre-configured batches that can be used to run the default data. You must create new batches to run customer-specific data. Execute the following pre-configured batches in the following sequence:

Pre-configured TM Batches and their Sequences

Sequence	Batch Name	Purpose
1	AMLDataLoad	Loads client data.
2	AMLHolidayMasterDataLoad	Loads Holiday and Non-Working day data.
3	Ingestion	Loads data from staging tables to business tables.
4	TMScenario	Uses the data that is prepared during ingestion and executes the scenario pipelines to generate events.
5	CMIngestion	Loads the data to Case Management Business tables.
6	AMLtoCaseManagement	Loads Event and Business data to Case Management tables.

NOTE:

The FinancialCrimeGlobalGraph batch for Investigation Hub should be executed after the ICIJ and TM/CM batches.

Pre-configured CS Batches and their Sequences

Sequence	Batch Name	Purpose
1	AMLDataLoadBatch	Loads client data.
2	Ingestion	Loads data from staging tables to business tables.
3	· CustomerFullLoad · CustomerDeltaLoad	Loads data into the search engine and creates the index.
4	· WLHMTLoad · WLDJWDeltaLoad · WLDJWLoad · WLWCPREMIUMLoad · WLWCPREMIUMDeltaLoad · WLWCSTANDARDLoad · WLWCSTANDARDDeltaLoad · WLOFACLoad · WLUNLoad · WLEULoad · WLPRIVATELoad	Download the respective advanced or private watchlist data and loads it into a search engine index.
5	· IndividualScreening · EntityScreening · Individual314aScreening · Entity314aScreening · IndividualDIScreening · EntityDIScreening · IndividuDIal314aDIScreening · Entity314aDIScreening	Runs the matching rules and generates the events. This is an out-of the box sample batch. You can create your own batch with specific parameters.
6	ScreeningToCaseManagement	Creates cases for the alerts.

Pre-configured TF Batches and their Sequences

Sequence	Batch Name	Purpose
1	AMLDataLoadBatch	Loads client data.
2	Ingestion	Loads data from staging tables to business tables.
3	· WLHMTLoad · WLDJWDeltaLoad · WLDJWLoad · WLWCPREMIUMLoad · WLWCSTANDARDLoad · WLWCSTANDARDDeltaLoad · WLOFACLoad · WLUNLoad · WLEULoad · WLPRIVATELoad	Download the respective advanced or private watchlist data and loads it into a search engine index.
4	· CityWatchlistLoad · CountryWatchlistLoad · GoodsWatchlistLoad · IdentifierWatchlistLoad · PortWatchlistLoad · StopKeyWordWatchlistLoad	Download the respective advanced or private watchlist data and loads it into a search engine index.

Pre-configured KYC Batches for Deployment Initiation and their Sequences

Sequence	Batch Name	Purpose
1	AMLDataLoadBatch	Loads client data.
2	Ingestion	Loads data from staging tables to business tables.
3	FullLoadKYCCustomer	Loads KYC data into search engine and creates the index.
4	· OFACWatchlistLoad · HMTWatchlistLoad · EUWatchlistLoad · DJWWatchlistLoad · UNWatchlistLoad · WCPremPlusWatchlistLoad · WCStandardWatchlistLoad · PrivateWatchlistLoad	Download the respective advanced or private watchlist data and loads it into a search engine index.
5	· KYCIndividualScreening · KYCEntityScreening	Runs the matching rules and generates the events. NOTE: This is an out-of the box sample batch. You can create your own batch with specific parameters.
6	KYCDeploymentInitiation	KYC is done for the Customers and the customers who are to be further investigated are decided.
7	CMIngestion	Loads the data to Case Management Business tables.
8	KYCToCaseManagement	Customers who require investigation are pushed to the Case Manager.

Pre-configured KYC Batches for Daily Batches and their Sequences

Sequence	Batch Name	Purpose
1	AMLDataLoadBatch	Loads client data.
2	CustomerChangeLog	Identifies changes in the Customer's Details. These customers are picked up for KYC.
3	Ingestion	Loads data from staging tables to business tables.
4	· OFACWatchlistLoad · HMTWatchlistLoad · EUWatchlistLoad · DJWWatchlistLoad · UNWatchlistLoad · WCPremPlusWatchlistLoad · WCStandardWatchlistLoad · PrivateWatchlistLoad	Download the respective advanced or private watchlist data and loads it into a search engine index. If this batch has already been run once, rerunning this batch is required only if there is new Watchlist data. NOTE: If this batch has already been run once, rerunning this batch is required only if there is new Watchlist data
5	KYCDaily	KYC is done for the Customers and the customers who are to be further investigated are decided.
6	CMIngestion	Loads the data to Case Management Business tables.
7	KYCToCaseManagement	Customers who require investigation are pushed to the Case Manager.

Possible Batch Flow

The following figure provides a possible batch flow for an Oracle client who has subscribed to Oracle FCCM Transaction Monitoring Cloud Service, Oracle FCCM Know Your Customer Cloud Service, and Oracle FCCM Customer Screening Cloud Service.

Possible Batch Flow

Porposed Batch Flow

The batch order shown above should be maintained. Batches shown in parallel can be executed and purged in any order.

NOTE:

· Batch purge order should always be maintained in the reverse order of execution for batches shown in series in the batch flow diagram.

· If an Ingestion batch is run for a given mis_date and dataorigin, CMIngestion must be run with the same mis_date and dataorigin before running a new Ingestion batch for a different date.

AMLDataLoad Batch Details

The AMLDataLoad batch loads data provided in the .csv templates into staging tables, which prepare the data for loading into the business tables. This batch must be run before Ingestion.

The following table provides the tasks that are configured for the AMLDataLoad batch. These tasks must be executed in the following order:

AMLDataLoad Batch Details

Sequence	Tasks for AMLDataLoad Batch	Jobs for AMLDataLoad Batch	Pipelines for AMLDataLoad Batch
1	StartDataLoad	Not Applicable	Not Applicable
2	WatchlistPipeline	Load Watchlist Staging Data	Load Watchlist Staging Data
3	TransactionPipeline	Load Transaction Staging Data	Load Transaction Staging Data
4	CustomerPipeline	Load Customer Staging Data	Load Customer Staging Data
5	AccountPipeline	Load Account Staging Data	Load Account Staging Data
6	InsurancePipeline	Load Insurance Staging Data	Load Insurance Staging Data
7	GatherStats	DLGatherStats	Gather Staging Data Statistics
8	EndDataLoad	Not Applicable	Not Applicable

Ingestion Batch Details

The Ingestion batch runs the data pipelines, filters the data and prepares the data for further processing. Therefore, the Ingestion batch must be run before the TMScenario batch .

This batch loads the data from the staging tables to the business tables in the specified order. The loading process receives, transforms, and loads Market, Business, and Reference data that is required for event detection.

The following table provides the tasks that are configured for the Ingestion batch. These tasks must be executed in the following order:

Ingestion Batch Details

Sequence	Tasks for Ingestion Batch	Jobs for Ingestion Batch	Pipelines for Ingestion Batch
1	StartBatch	Not Applicable	Not Applicable
2	ACCTTRXNINT	Load Intermediate Account and Transaction Data	Load Intermediate Account and Transaction Data
3	WatchList	Load and Prepare Watchlists	Load and Prepare Watchlists
4	Customer	Load Customer Data	Load Customer Data
5	CustomerAddData	Load Customer Add On Data	Load Customer Add On Data
6	AnticipatoryProfile	Load Customer Anticipatory Profile Data	Load Customer Anticipatory Profile Data
7	Account	Load Account Data	Load Account Data
8	AccountGroup	Load Account Group Data	Load Account Group Data
9	AccountAddData	Load Additional Account Data	Load Additional Account Data
10	AcctAnticipatoryProfile	Load Account Anticipatory Profile Data	Load Account Anticipatory Profile Data
11	CustMapData	Load Customer Mapping Data	Load Customer Mapping Data
12	SupplyInfo	Derive Risk and Load Supplementary Information	Derive Risk and Load Supplementary Information
13	Transaction	Load Transaction Data and Derive External Entities and Risk	Load Transaction Data and Derive External Entities and Risk
14	TrustedPair	Load Trusted Pair Data	Load Trusted Pair Data
15	LoanData	Load Loan Data	Load Loan Data
16	InsuranceData	Load Insurance Data	Load Insurance Data
17	CleanAMTempTables	CleanAMTempTables	Not Applicable
18	EndBatch	Not Applicable	Not Applicable

NOTE:

· Clients using Oracle FCCM KYC Cloud Service in an integrated TM & KYC setup must populate the FCC_CUST_KYC_RISK table via KYC Batch to calculate the KYC Risk Score.

· Oracle FCCM Transaction Monitoring Cloud Service considers the customer’s KYC Risk Score as of the prior day.

TMScenario Batch Details

The TMScenario batch uses the data that is prepared during ingestion and executes the scenario pipelines in the configured sequence to generate events. For detailed information about the pre-configured scenarios, see the Technical Scenario Description.

NOTE:

You cannot run the TMScenario batch before running the Ingestion batch.

The following table provides the tasks that are configured for the TMScenario batch. These tasks can be executed in the order required by your implementation, but must begin with a StartBatch, followed by Calendar, then the Jobs you will be running, and end with an EndBatch.

TMScenario Batch Details

A copy of the TMScenario batch is provided based on the frequency which each pre-configured scenario should be run, such as Daily, Weekly, Bi-Weekly, and Monthly. These batches contain only the scenario pipelines and jobs that will be run using this frequency. For detailed information about the frequency period for pre-configured scenarios, see the Technical Scenario Description. For information about how to set precedence for the Batch Group when creating your own scenario configuration, see Using the Scheduler Service.

KYCToCaseManagement Batch Details

The DM Utility job KYCToCaseManagement moves KYC Event and Business data to Case Management tables.

NOTE:

An ECMProcess must follow only one KYCProcess.

The following table provides the tasks that are configured for the KYCToCaseManagement batch. These tasks must be executed in the following order:

KYCToCaseManagement Batch Details

Sequence	Tasks for KYCToCaseManagement Batch	Jobs for KYCToCaseManagement Batch	Pipelines for KYCToCaseManagement Batch
1	ECMStartBatch	Not Applicable	Not Applicable
2	PipelineStart	Not Applicable	Not Applicable
3	LoadKYCEventData2CaseManagement	Load KYC Event Data to Case Management	Load KYC Event Data to Case Management
4	LoadKYCEventedCustomerData2CaseManagement	Load KYC Evented Customer Data to Case Management	Load KYC Evented Customer Data to Case Management
5	LoadKYCEventedAccountData2CaseManagement	Load Evented KYC Account Data to Case Management	Load Evented KYC Account Data to Case Management
6	EVCORR NOTE: For more information, see Defining Correlation Scoring Rules.	Not Applicable	Not Applicable
7	SCORING NOTE: For more information, see Managing Scoring Pipelines.	KYC Case Scoring	KYC Case Scoring
8	CASEGEN	Not Applicable	Not Applicable
9	CASELOAD	Load Case Data	Load Case Data
10	PRECSUPDT	Not Applicable	Not Applicable
11	UpdateCaseDtlsToKYC	Populate Case Details to KYC	Populate Case Details to KYC
12	PipelineEnd	Not Applicable	Not Applicable
13	ECMEndBatch	Not Applicable	Not Applicable

AMLtoCaseManagement Batch Details

The DM Utility job AMLtoCaseManagement moves Event and Business data to Case Management tables. Once the data is moved to consolidation tables, it is used for Correlation. Cases are generated after correlation.

NOTE:

You should run the TMScenario batch before running the AMLtoCaseManagement batch.

You must perform certain pre-batch configurations before executing the AMLtoCaseManagement batch. For more information, see Pre Batch Execution Configuration.

The following table provides the tasks that are configured for the AMLtoCaseManagement batch. These tasks must be executed in the following order:

AMLtoCaseManagement Batch Details

Sequence	Tasks for AMLtoCaseManagement Batch	Jobs for AMLtoCaseManagement Batch	Pipelines for AMLtoCaseManagement Batch
1	ECMSRTBTH	Not Applicable	Not Applicable
2	PL_SRT	Not Applicable	Not Applicable
3	SCRLOAD	Load Scenario Data to Case Management	Load Scenario Data to Case Management
4	EVNTPOP	Load Event Data to Case Management	Load Event Data to Case Management
5	EVCUSTLOAD	Load Evented Customer Data to Case Management	Load Evented Customer Data to Case Management
6	EVACCTLOAD	Load Evented Account Data to Case Management	Load Evented Account Data to Case Management
7	EVTRXNLOAD	Load Evented Transaction Data to Case Management	Load Evented Transaction Data to Case Management
8	EVEXTELOAD	Load Evented External Entity and Derived Address Data to Case Management	Load Evented External Entity and Derived Address Data to Case Management
9	EVCORR NOTE: For more information, see Defining Correlation Scoring Rules.	Not Applicable	Not Applicable
10	SCORING NOTE: For more information, see Managing Scoring Pipelines.	Case Scoring	Case Scoring
11	CASEGEN	Not Applicable	Not Applicable
12	CASELOAD	Load Case Data	Load Case Data
13	PRECSUPDT	Not Applicable	Not Applicable
14	CleanAMTempTables	CleanAMTempTables	Not Applicable
15	ECMEND	Not Applicable	Not Applicable

AMLHolidayMasterDataLoad Batch Details

The AMLHolidayMasterDataLoad batch loads holiday and non-working day data into the FCC_AM_HOLIDAY_MASTER and FCC_AM_DATAORIGIN_COUNTRY_MA tables. There are no tasks associated with this batch, however you must update the Data Origin and Batch Date parameters before running this batch.

CMIngestion Batch Details

The CMIngestion batch loads the data into the Case Management Business tables for further processing. The CMIngestion batch must be run as the next to last batch .

The following table provides the tasks that are configured for the CMIngestion batch. These tasks must be executed in the following order:

CMIngestion Batch Details

Sequence	Tasks for CMIngestion Batch	Jobs for CMIngestion Batch	Pipelines for CMIngestion Batch
1	ECMSRTBTH	Not Applicable	Not Applicable
2	PL_SRT	Not Applicable	Not Applicable
3	BCUSTLOAD	Load Scenario Data to Case Management	Load Customer Business Data to Case Management
4	BACCTLOAD	Load Account Business Data to Case Management	Load Account Business Data to Case Management
5	BTRXNLOAD	Load Transaction Business Data to Case Management	Load Transaction Business Data to Case Management
6	BEXTENLOAD	Load External Entity and Derived Address Data to Case Management	Load External Entity and Derived Address Data to Case Management
7	PL_END	Not Applicable	Not Applicable
8	ECMEnd	Not Applicable	Not Applicable

FullLoadCustomer Batch Detail

The following table provides the list of tasks in the FullLoadCustomer batch. These tasks must be executed in the following order:

FullLoadCustomer Batch Details

Sequence	Tasks for FullLoadCustomer Batch	Jobs for FullLoadCustomer Batch	Pipelines for FullLoadCustomer Batch
1	StartBatchCustomer	Not Applicable	Not Applicable
2	FullLoadCustomerTask	Full Load Customer Data To ES	Full Load Customer Data To ES
3	StartBatchCustomer	Not Applicable	Not Applicable

DeltaLoadCustomer Batch Detail

The following table provides the list of tasks in the DeltaLoadCustomer batch. These tasks must be executed in the following order:

DeltaLoadCustomer Batch Details

Sequence	Tasks for DeltaLoadCustomer Batch	Jobs for DeltaLoadCustomer Batch	Pipelines for DeltaLoadCustomer Batch
1	StartBatchCustomer	Not Applicable	Not Applicable
2	DeltaLoadCustomerTask	Delta Load Customer Data To ES	Delta Load Customer Data To ES
3	StartBatchCustomer	Not Applicable	Not Applicable

NOTE:

For the DeltaLoadCustomer batch, ensure the ingestion batches have the word 'ingestion' present as part of the

batch name. If the batch name is incorrect, the data will not be loaded.

CustomerFullLoad Batch Detail

The following table provides the list of tasks in the CustomerFullLoad batch. These tasks must be executed in the following order:

CustomerFullLoad Batch Details

Sequence	Tasks for CustomerFullLoad Batch	Jobs for CustomerFullLoad Batch	Pipelines for CustomerFullLoad Batch
1	StartBatchCustomerFullLoad	Not Applicable	Not Applicable
2	CustomerFullLoad	Customer Full Load	Full Load Customer Data To OS
3	EndBatchCustomerFullLoad	Not Applicable	Not Applicable

KYCCustomerFullLoad Batch Detail

The following table provides the list of tasks in the KYCCustomerFullLoad batch. These tasks must be executed in the following order:

KYCCustomerFullLoad Batch Details

Sequence	Tasks for KYCCustomerFullLoad Batch	Jobs for KYCCustomerFullLoad Batch	Pipelines for KYCCustomerFullLoad Batch
1	StartBatchKYCCustomerFullLoad	Not Applicable	Not Applicable
2	KYCCustomerFullLoad	KYC Customer Full Load	KYC Customer Full Load
3	EndBatchKYCCustomerFullLoad	Not Applicable	Not Applicable

KYCDeploymentInitiation (DI) Batch Details

The KYCDeploymentInitiation batch uses the data that is prepared during ingestion and executes the pipelines in the configured sequence to generate assessments. The following table provides the tasks that are configured for the KYCDeploymentInitiation batch.

NOTE:

You can run the KYCDeploymentInitiation batch in the following ways:

· Using Multiple Data Origins in sequential batch runs.

· Using a Single Data Origin with Multiple Jurisdictions in a single batch.

ATTENTION:

Slicing the customer data is mandatory before running the KYCDeploymentInitiation batch. For more information on Slicing Customer data, see the FCCM Cloud Master Data Guide.

These tasks must be executed in the following order:

KYCDeploymentInitiation Batch Details

Sequence	Tasks for KYCDeploymentInitiation Batch	Jobs for KYCDeploymentInitiation Batch	Pipelines for KYCDeploymentInitiation Batch
1	StartBatch	Not Applicable	Not Applicable
2	StartDataPipelineServiceBatch	Not Applicable	Not Applicable
3	KYCClearProcessingData	KYC Clear Processing Data	KYC Clear Processing Data
4	LoadKYCCustomerFilter	preFilterDemo	Load Deployment Initiation KYC Customers
5	LoadKYCCustomerInterestedParties	Load KYC Customer Interested Parties	Load KYC Customer Interested Parties
6	Calendar	Calendar	Calendar
7	KYCScenarioBasedRiskFactor	KYC Transaction Based Risk Factors	KYC Transaction Based Risk Factors
8	KYCProcessingAccountData	Load KYC Account Processing Data	Load KYC Account Processing Data
9	KYCProcessingCustomerData	Load KYC Customer Processing Data	Load KYC Customer Processing Data
10	LoadKYCCustomerDataForScoring	Load KYC Customer Data For Scoring	Load KYC Customer Data For Scoring
11	LoadKYCCustomerMatchesDataForScoring	Load KYC Customer Matches Data For Scoring	Load KYC Customer Matches Data For Scoring
12	KYCRACreation	KYC Batch RA Creation	KYC Batch RA Creation
13	LoadKYCCustomerRiskScore	Load KYC Customer Risk Score	Load KYC Customer Risk Score
14	SlicingCompletionUpdate	KYC Customer Slicing Update	KYC Customer Slicing Update
15	KYCProcessingCustomerData	Load KYC Customer Processing Data	Load KYC Customer Processing Data
16	EndDataPipelineBatch	Not Applicable	Not Applicable
17	EndBatch	Not Applicable	Not Applicable

KYCDaily Batch Details

NOTE:

You can run the KYCDaily batch in the following ways:

· Using Multiple Data Origins in sequential batch runs.

· Using a Single Data Origin with Multiple Jurisdictions in a single batch.

These tasks must be executed in the following order:

KYCDaily Batch Details

Sequence	Tasks for KYCDaily Batch	Jobs for KYCDaily Batch	Pipelines for KYCDaily Batch
1	StartBatch	Not Applicable	Not Applicable
2	StartDataPipelineServiceBatch	Not Applicable	Not Applicable
3	KYCClearProcessingData	KYC Clear Processing Data	KYC Clear Processing Data
4	LoadKYCChangeLogData	Load KYC Change Log	Load KYC Change Log
5	LoadKYCCustomerFilter	preFilterDemo	Load Deployment Initiation KYC Customers
6	LoadKYCCustomerInterestedParties	Load KYC Customer Interested Parties	Load KYC Customer Interested Parties
7	Calendar	Calendar	Calendar
8	KYCScenarioBasedRiskFactor	KYC Transaction Based Risk Factors	KYC Transaction Based Risk Factors
9	KYCProcessingAccountData	Load KYC Account Processing Data	Load KYC Customer Account Data
10	KYCProcessingCustomerData	Load KYC Customer Processing Data	Load KYC Customer Processing Data
11	FullLoadKYCCustomerTask	Load KYC Daily Customer to ES	Load KYC Daily Customer to ES
12	KYCIndividualBatchScreening	KYC Individual Batch Screening	KYC Individual Batch Screening
13	EntityBatchScreening	KYC Customer Daily Load	KYC Customer Daily Load
14	LoadKYCCustomerDataForScoring	Load KYC Customer Data For Scoring	Load KYC Customer Data For Scoring
15	LoadKYCCustomerMatchesDataForScoring	Load KYC Customer Matches Data For Scoring	Load KYC Customer Matches Data For Scoring
16	KYCRACreation	KYC Batch RA Creation	KYC Batch RA Creation
17	LoadKYCCustomerRiskScore	Load KYC Customer Risk Score	Load KYC Customer Risk Score
18	KYCProcessingCustomerData	Load KYC Customer Processing Data	Load KYC Customer Processing Data
19	EndDataPipelineBatch	Not Applicable	Not Applicable
20	EndBatch	Not Applicable	Not Applicable

Using External Case Management Feedback

To consume External Case Management feedback into the KYC system, follow these steps:

1. Copy the existing KYCClearProcessingData task in the KYCDaily batch and give an appropriate new task name, new task code and $JOBNAME$ as Load External System Feedback To KYC.

2. Adjust the precedence by moving the newly created task associated to Load External System Feedback To KYC between LoadKYCCustomerRiskScore and EndDataPipelineBatch tasks.

3. Run the KYCDaily batch.

NOTE:

The N_REQUEST_ID, N_RA_ID and FIC_MIS_DATE are composite primary keys. Make sure to check the following points while feeding External Case Management feedback into KYC via STG_FCC_KYC_EXT_SYS_FEEDBACK.csv file.

· Each of N_REQUEST_ID, N_RA_ID and FIC_MIS_DATE columns can never be null.

· N_REQUEST_ID, N_RA_ID and FIC_MIS_DATE columns together must be unique such that for a given FIC_MIS_DATE, the N_RA_ID and N_REQUEST_ID combination cannot be repeated.

· All the batch RA records must always be having N_REQUEST_ID column value as 0.

Exporting KYC Risk Assessments

You can configure the KYCCustomerRAExport batch to export the risk assessment records in the following ways:

· Exporting for Integration with External CRM/Case Management System

· Exporting for Bulk Export of Records Displayed on Risk Assessment UI

Exporting for Integration with External CRM/Case Management System

You can configure the KYCCustomerRAExport batch to export the risk assessment records into a CSV file. This file can be fed to an external CRM or Case Management System for investigation.

The following table provides the list of tasks in the KYCCustomerRAExport batch. These tasks must be executed in the following order:

KYCCustomerRAExport Batch Details

Sequence	Tasks for KYCCustomerRAExport Batch	Jobs for KYCCustomerRAExport Batch	Pipelines for KYCCustomerRAExport Batch
1	StartBatch	Not Applicable	Not Applicable
2	startDataPipelineBatch	Not Applicable	Not Applicable
3	CSVUPLOAD	KYC Customer RA Export	KYC Customer RA Export
4	EndDataPipelineBatch	Not Applicable	Not Applicable
5	EndBatch	Not Applicable	Not Applicable

Before running this batch, configure the date field of the Dataset widget of the KYC Customer RA Export pipeline as required. Valid formats are as follows:

· TRUNC(SYSDATE): Exports Risk Assessments created on the same day. Use this condition if the task is added as part of the KYCDaily or KYCDeploymentInitiation batch.

· '24-NOV-2023': Exports Risk Assessments created on that day. The format is 'DD-MON-YYYY'.

· TRUNC(TO_DATE('2023-11-24','yyyy-mm-dd')): Exports Risk Assessments created on that day. The date is given here and the date format should be in sync

NOTE:

To execute the CSVUPLOAD task along with the KYCDaily or KYCDeploymentInitiation batch, follow these steps:

1. Create a new task in the KYCDaily or KYCDeplomentInitiation batch. (Refer to the CSVUPLOAD task in the pre-shipped KYCCustomerRAExport batch and set all the task parameters and execution URL accordingly.)

2. Set this task before the EndDataPipelineBatch task.

Bulk Export of Records Displayed on Risk Assessment UI

Similar to the Export Risk Assessments functionality in the KYC Customer Risk Assessment and KYC Prospect Risk Assessment screens, customer risk assessments can be exported using this batch in the form of a CSV file. The pipeline and the job required for this Customer Risk Assessment Export are pre-configured. By default, this pipeline exports Customer/Prospect Risk Assessments generated in the last 7 days.

To export the Customer risk assessments similar to the UI, follow these steps:

1. Copy the pre-configured CSV export batch, KYCCustomerRAExport, with an appropriate new name and code.

2. In the CSVUPLOAD task of this newly copied batch, replace the value of $JOBNAME$ to Customer Risk Assessment Export and execute the batch.

To export the Prospect Risk Assessments similar to the UI, follow these steps:

1. Copy the pre-configured CSV export batch, KYCProspectRAExport, with an appropriate new name and code.

2. In the CSVUPLOAD task of this newly copied batch, replace the value of $JOBNAME$ to Prospect Risk Assessment Export and execute the batch.

NOTE:

To export Risk assessments generated in a specific date range or based on any filter already available on the KYC RA screen, these filters can be configured in the pipeline before the batch is executed.

CustomerChangeLog Batch Details

The following table provides the list of tasks in the CustomerChangeLog batch. These tasks must be executed in the following order:

CustomerChangeLog Batch Details

Sequence	Tasks for CustomerChangeLog Batch	Jobs for CustomerChangeLog Batch	Pipelines for CustomerChangeLog Batch
1	StartBatch	Not Applicable	Not Applicable
2	startDataPipeline	Not Applicable	Not Applicable
3	populateCustomerChangeLog	ChangeLog
4	EndBatch	Not Applicable	Not Applicable

NOTE:

All columns in the changelog must be type2 in the Change Log pipelines. Visit support.oracle.com for the Customer Change Log attributes list.

Configuring Change Logs for Multiple Entities

By default, the CustomerChangeLog pre-configured batch has a populateCustomerChangeLog task with STG_PARTY_MASTER as the $CHGTBLNM$ parameter value.

To execute a change log for different entities in the same batch, follow these steps:

3. In the Scheduler Service, navigate to Define Task.

4. Select CustomerChangeLog from the Batch drop-down list.

5. Copy the populateCustomerChangeLog task and rename the Task Name and Task Code.

6. Edit the $CHGTBLNM$ parameter value for any entity other than STG_PARTY_MASTER and click Save.

§ The parameter value for country of residence is FCC_STG_PARTY_ADDRESS_VW.

§ The parameter value for source of wealth is FCC_STG_PARTY_DETAILS_VW.

ATTENTION:

Each new entity of the change log must have one new task copied and edited.

7. Edit the precedence for the newly created tasks. The tasks should follow one after the other. In the end, the endDataPipeline task should have the preceding task as the nth populateCustomerChangeLog task.

Example:

If the CustomerChangeLog batch has three populateCustxomerChangeLog tasks, then the task precedence should be set as:

a. The populateCustomerChangeLog task should be marked as the preceding task for populateCustomerChangeLog2.

b. The populateCustomerChangeLog2 task should be set as the preceding task for populateCustomerChangeLog3.

c. The populateCustomerChangeLog3 task should be the preceding task for endDataPipeline task.

This allows all the populateCustomerChangeLog tasks to be captured in one execution of the CustomerChangeLog Batch.

NOTE:

You can also run the CustomerChangeLog batch once per stage entity.

To do this by set the task parameter value of populateCustomerChangeLog, such as, $CHGTBLNM$, accordingly and trigger the batch.

Once that execution is complete, the same process can be repeated for other stage entities.

KYCIndividualScreening Batch Details

The following table provides the list of tasks in the KYCIndividualScreening batch. These tasks must be executed in the following order:

KYCIndividualScreening Batch Details

Sequence	Tasks for KYCIndividualScreening Batch	Jobs for KYCIndividualScreening Batch	Pipelines for KYCIndividualScreening Batch
1	KYCStartBatchIndividualScreening	Not Applicable	Not Applicable
2	KYCStartBatchIndividualScreening	KYC Individual Batch Screening	KYC Individual Batch Screening
3	EndBatchIndividualScreening	Not Applicable	Not Applicable

KYCEntityScreening Batch Details

The following table provides the list of tasks in the KYCEntityScreening batch. These tasks must be executed in the following order:

KYCEntityScreening Batch Details

Sequence	Tasks for KYCEntityScreening Batch	Jobs for KYCEntityScreening Batch	Pipelines for KYCEntityScreening Batch
1	StartBatchEntityScreening	Not Applicable	Not Applicable
2	EntityBatchScreening	KYC Entity Batch Screening	KYC Entity Batch Screening
3	EndBatchEntityScreening	Not Applicable	Not Applicable

Transaction Filtering Watchlist Batch Details

The following sections provide the list of tasks in the watchlist batches.

CityWatchlistLoad

These tasks must be executed in the following order:

CityWatchlistLoad Batch Details

Sequence	Tasks for CityWatchlistLoad Batch	Jobs for CityWatchlistLoad Batch	Pipelines for CityWatchlistLoad Batch
1	StartBatchCityList	Not Applicable	Not Applicable
2	LoadCityListData	Load City Watchlist	Load City Watchlist
3	EndBatchCityList	Not Applicable	Not Applicable

CountryWatchlistLoad

These tasks must be executed in the following order:

CountryWatchlistLoad Batch Details

Sequence	Tasks for CountryWatchlistLoad Batch	Jobs for CountryWatchlistLoad Batch	Pipelines for CountryWatchlistLoad Batch
1	StartBatchCountryList	Not Applicable	Not Applicable
2	LoadCountryListData	Load Country Watchlist	Country Data Load
3	EndBatchCountryList	Not Applicable	Not Applicable

GoodsWatchlistLoad

These tasks must be executed in the following order:

GoodsWatchlistLoad Batch Details

Sequence	Tasks for GoodsWatchlistLoad Batch	Jobs for GoodsWatchlistLoad Batch	Pipelines for GoodsWatchlistLoad Batch
1	StartBatchGoodsList	Not Applicable	Not Applicable
2	LoadGoodsListData	Load Goods Watchlist	Goods Data Load
3	EndBatchGoodsList	Not Applicable	Not Applicable

PortWatchlistLoad

These tasks must be executed in the following order:

PortWatchlistLoad Batch Details

Sequence	Tasks for PortWatchlistLoad Batch	Jobs for PortWatchlistLoad Batch	Pipelines for PortWatchlistLoad Batch
1	StartBatchPortList	Not Applicable	Not Applicable
2	LoadPortListData	Load Port Watchlist	Port Data Load
3	EndBatchPortList	Not Applicable	Not Applicable

IdentifierWatchlistLoad

These tasks must be executed in the following order:

IdentifierWatchlistLoad Batch Details

Sequence	Tasks for IdentifierWatchlistLoad Batch	Jobs for IdentifierWatchlistLoad Batch	Pipelines for IdentifierWatchlistLoad Batch
1	StartBatchIdentifierList	Not Applicable	Not Applicable
2	LoadIdentifierListData	Load Identifier Watchlist	Load Identifier
3	EndBatchIdentifierList	Not Applicable	Not Applicable

StopKeyWordWatchlistLoad

These tasks must be executed in the following order:

StopKeyWordWatchlistLoad Batch Details

Sequence	Tasks for StopKeyWordWatchlistLoad Batch	Jobs for StopKeyWordWatchlistLoad Batch	Pipelines for StopKeyWordWatchlistLoad Batch
1	StartBatchStopKeyword	Not Applicable	Not Applicable
2	LoadStopKeywordData	Load StopKeyword Watchlist	StopKeyword Watchlist
3	EndBatchStopKeyword	Not Applicable	Not Applicable

Watchlist Batch Details

The following sections provide the list of tasks in the watchlist batches.

WLHMTLoad Batch Details

These tasks must be executed in the following order:

WLHMTLoad Batch Details

Sequence	Tasks for WLHMTLoad Batch	Jobs for WLHMTLoad Batch	Pipelines for WLHMTLoad Batch
1	StartBatchWLHMTLoad	Not Applicable	Not Applicable
2	WLHMTLoad	WL HMT Load	WL HMT Load
3	EndBatchWLHMTLoad	Not Applicable	Not Applicable

WLDJWDeltaLoad Batch Details

These tasks must be executed in the following order:

WLDJWDeltaLoad Batch Details

Sequence	Tasks for WLDJWDeltaLoad Batch	Jobs for WLDJWDeltaLoad Batch	Pipelines for WLDJWDeltaLoad Batch
1	StartBatchWLDJWDeltaLoad	Not Applicable	Not Applicable
2	WLDJWDeltaLoad	WL DJW Delta Load	WL DJW Delta Load
3	EndBatchWLDJWDeltaLoad	Not Applicable	Not Applicable

WLDJWLoad Batch Details

These tasks must be executed in the following order:

WLDJWLoad Batch Details

Sequence	Tasks for WLDJWLoad Batch	Jobs for WLDJWLoad Batch	Pipelines for WLDJWLoad Batch
1	StartBatchWLDJWLoad	Not Applicable	Not Applicable
2	WLDJWLoad	WL DJW Load	WL DJW Load
3	EndBatchWLDJWLoad	Not Applicable	Not Applicable

CustomerDeltaLoad Batch Details

These tasks must be executed in the following order:

CustomerDeltaLoad Batch Details

Sequence	Tasks for CustomerDeltaLoad Batch	Jobs for CustomerDeltaLoad Batch	Pipelines for CustomerDeltaLoad Batch
1	StartBatchCustomerDeltaLoad	Not Applicable	Not Applicable
2	CustomerDeltaLoad	Customer Delta Load	Customer Delta Load
3	EndBatchCustomerDeltaLoad	Not Applicable	Not Applicable

NOTE:

For the CustomerDeltaLoad batch, ensure the ingestion batches have the word 'ingestion' present as part of the

batch name. If the batch name is incorrect, the data will not be loaded.

WLWCPREMIUMLoad Batch Details

These tasks must be executed in the following order:

WLWCPREMIUMLoad Batch Details

Sequence	Tasks for WLWCPREMIUMLoad Batch	Jobs for WLWCPREMIUMLoad Batch	Pipelines for WLWCPREMIUMLoad Batch
1	StartBatchWLWCPREMIUMLoad	Not Applicable	Not Applicable
2	WLWCPREMIUMLoad	WL WC PREMIUM Load	WL WC PREMIUM Load
3	EndBatchWLWCPREMIUMLoad	Not Applicable	Not Applicable

WLWCPREMIUMDeltaLoad Batch Details

These tasks must be executed in the following order:

WLWCPREMIUMDeltaLoad Batch Details

Sequence	Tasks for WLWCPREMIUMDeltaLoad Batch	Jobs for WLWCPREMIUMDeltaLoad Batch	Pipelines for WLWCPREMIUMDeltaLoad Batch
1	StartBatchWLWCPREMIUMDeltaLoad	Not Applicable	Not Applicable
2	WLWCPREMIUMDeltaLoad	WL WC PREMIUM Delta Load	WL WC PREMIUM Delta Load
3	EndBatchWLWCPREMIUMDeltaLoad	Not Applicable	Not Applicable

WLWCSTANDARDLoad Batch Details

These tasks must be executed in the following order:

WLWCSTANDARDLoad Batch Details

Sequence	Tasks for WLWCSTANDARDLoad Batch	Jobs for WLWCSTANDARDLoad Batch	Pipelines for WLWCSTANDARDLoad Batch
1	StartBatchWLWCSTANDARDLoad	Not Applicable	Not Applicable
2	WLWCSTANDARDLoad	WL WC STANDARD Load	WL WC STANDARD Load
3	EndBatchWLWCSTANDARDLoad	Not Applicable	Not Applicable

WLWCSTANDARDDeltaLoad Batch Details

These tasks must be executed in the following order:

WLWCSTANDARDDeltaLoad Batch Details

Sequence	Tasks for WLWCSTANDARDDeltaLoad Batch	Jobs for WLWCSTANDARDDeltaLoad Batch	Pipelines for WLWCSTANDARDDeltaLoad Batch
1	StartBatchWLWCSTANDARDDeltaLoad	Not Applicable	Not Applicable
2	WLWCSTANDARDDeltaLoad	WL WC STANDARD Delta Load	WL WC STANDARD Delta Load
3	EndBatchWLWCSTANDARDDeltaLoad	Not Applicable	Not Applicable

WLOFACLoad Batch Details

These tasks must be executed in the following order:

WLOFACLoad BatchDetails

Sequence	Tasks for WLOFACLoad Batch	Jobs for WLOFACLoad Batch	Pipelines for WLOFACLoad Batch
1	StartBatchWLOFACLoad	Not Applicable	Not Applicable
2	WLOFACLoad	WL OFAC Load	WL OFAC Load
3	EndBatchWLOFACLoad	Not Applicable	Not Applicable

WLUNLoad Batch Details

These tasks must be executed in the following order:

WLUNLoad Batch Details

Sequence	Tasks for WLUNLoad Batch	Jobs for WLUNLoad Batch	Pipelines for WLUNLoad Batch
1	StartBatchWLUNLoad	Not Applicable	Not Applicable
2	WLUNLoad	WL UN Load	WL UN Load
3	EndBatchWLUNLoad	Not Applicable	Not Applicable

WLEULoad Batch Details

These tasks must be executed in the following order:

WLEULoad Batch Details

Sequence	Tasks for WLEULoad Batch	Jobs for WLEULoad Batch	Pipelines for WLEULoad Batch
1	StartBatchWLEULoad	Not Applicable	Not Applicable
2	WLEULoad	WL EU Load	WL EU Load
3	EndBatchWLEULoad	Not Applicable	Not Applicable

WLPRIVATELoad Batch Details

These tasks must be executed in the following order:

WLPRIVATELoad Batch Details

Sequence	Tasks for WLPRIVATELoad Batch	Jobs for WLPRIVATELoad Batch	Pipelines for WLPRIVATELoad Batch
1	StartBatchWLPRIVATELoad	Not Applicable	Not Applicable
2	WLPRIVATELoad	WL PRIVATE Load	WL PRIVATE Load
3	EndBatchWLPRIVATELoad	Not Applicable	Not Applicable

Screening Batches Details

The following sections provide the tasks required to run the Screening batches.

NOTE:

You can execute multiple screening batches concurrently. For more information, see Parallel Batch Execution.

IndividualScreening Batch Details

The following table provides the list of tasks in the IndividualScreening batch. These tasks must be executed in the following order:

IndividualScreening Batch Details

Sequence	Tasks for IndividualScreening Batch	Jobs for IndividualScreening Batch	Pipelines for IndividualScreening Batch
1	StartBatchIndScreening	Not Applicable	Not Applicable
2	IndBatchScreeningTask	IndBatchScreeningJob	IndBatchScreeningJob
3	EndBatchIndScreening	Not Applicable	Not Applicable

EntityScreening Batch Details

The following table provides the list of tasks in the EntityScreeening batch. These tasks must be executed in the following order:

EntityScreening Batch Details

Sequence	Tasks for EntityScreening Batch	Jobs for EntityScreening Batch	Pipelines for EntityScreening Batch
1	StartBatchEntityScreening	Not Applicable	Not Applicable
2	EntityScreeningScreeningTask	EntityScreeningJob	EntityScreeningJob
3	EndBatchEntityScreening	Not Applicable	Not Applicable

Individual314aScreening Batch Details

The following table provides the list of tasks in the Individual314aScreening batch. These tasks must be executed in the following order:

Individual314aScreening Batch Details

Sequence	Tasks for Individual314aScreening Batch	Jobs for Individual314aScreening Batch	Pipelines for Individual314aScreening Batch
1	StartBatchInd314aScreening	Not Applicable	Not Applicable
2	Ind314aBatchScreeningTask	Ind314aBatchScreeningJob	Individual 314 A Batch Screening
3	EndBatchInd314aScreening	Not Applicable	Not Applicable

Entity314aScreening Batch Details

The following table provides the list of tasks in the Entity314aScreening batch. These tasks must be executed in the following order:

Entity314aScreening Batch Details

Sequence	Tasks for Entity314aScreening Batch	Jobs for Entity314aScreening Batch	Pipelines for Entity314aScreening Batch
1	StartBatchEntity314aScreening	Not Applicable	Not Applicable
2	Entity314aBatchScreeningTask	Entity314aScreeningJob	Entity314aScreening
3	EndBatchEntity314aScreening	Not Applicable	Not Applicable

IndividualDIScreening Batch Details

The following table provides the list of tasks in the IndividualDIScreening batch. These tasks must be executed in the following order:

ATTENTION:

You can slice the customer data and execute the slices instead of executing extensive data. The Data Slicing functionality empowers you to partition the data on the Day 0/Initial screening, facilitating the screening of smaller, more manageable chunks or slices of customer data. Consequently, this reduces resource requirements and the time needed for the screening process. For more information on Slicing Customer data, see the FCCM Cloud Master Data Guide.

IndividualDIScreening Batch Details

Sequence	Tasks for IndividualDIScreening Batch	Jobs for IndividualDIScreening Batch	Pipelines for IndividualDIScreening Batch	Comment
1	StartBatchIndDIScreening	Not Applicable	Not Applicable
2	IndBatchDIScreeningTask	IndBatchScreeningJob	IndBatchScreeningJob	Data Origin ($DATAORIGIN$) and Slice Name ($SLICENAME$) are mandatory parameters.
3	ValidateIndDIBatch	Not Applicable	Not Applicable	· Slice Name ($SLICENAME$) is a mandatory parameter. · You cannot repeat the slice name if a batch is ongoing with the same slice name. The ValidateIndDIBatch task will show an error message if you repeat the slice name in a progressing batch. After the successful execution of the batch, you can use the slice name again.
4	EndBatchIndDIScreening	Not Applicable	Not Applicable

EntityDIScreening Batch Details

The following table provides the list of tasks in the EntityDIScreening batch. These tasks must be executed in the following order:

ATTENTION:

EntityDIScreening Batch Details

Sequence	Tasks for EntityDIScreening Batch	Jobs for EntityDIScreening Batch	Pipelines for EntityDIScreening Batch	Comment
1	StartBatchEntityDIScreening	Not Applicable	Not Applicable
2	EntityDIBatchScreeningTask	EntityScreeningJob	EntityScreeningJob	Data Origin ($DATAORIGIN$) and Slice Name ($SLICENAME$) are mandatory parameters.
3	ValidateEntityDIBatch	Not Applicable	Not Applicable	· Slice Name ($SLICENAME$) is a mandatory parameter. · You cannot repeat the slice name if a batch is ongoing with the same slice name. The ValidateEntityDIBatch task will show an error message if you repeat the slice name in a progressing batch. After the successful execution of the batch, you can use the slice name again.
4	EndBatchEntityDIScreening	Not Applicable	Not Applicable

IndividuDIal314aDIScreening Batch Details

The following table provides the list of tasks in the EntityDIScreening batch. These tasks must be executed in the following order:

ATTENTION:

IndividuDIal314aDIScreening Batch Details

Sequence	Tasks for IndividuDIal314aDIScreening Batch	Jobs for IndividuDIal314aDIScreening Batch	Pipelines for IndividuDIal314aDIScreening Batch	Comment
1	StartBatchInd314aDIScreening	Not Applicable	Not Applicable
2	Ind314aDIBatchScreeningTask	Ind314aBatchScreeningJob	Individual 314 A Batch Screening	Data Origin ($DATAORIGIN$) and Slice Name ($SLICENAME$) are mandatory parameters.
3	ValidateInd314aDIBatch	Not Applicable	Not Applicable	· Slice Name ($SLICENAME$) is a mandatory parameter. · You cannot repeat the slice name if a batch is ongoing with the same slice name. The ValidateInd314aDIBatch task will show an error message if you repeat the slice name in a progressing batch. After the successful execution of the batch, you can use the slice name again.
4	EndBatchInd314aDIScreening	Not Applicable	Not Applicable

Entity314aDIScreening Batch Details

The following table provides the list of tasks in the Entity314aDIScreening batch. These tasks must be executed in the following order:

ATTENTION:

Entity314aDIScreening Batch Details

Sequence	Tasks for Entity314aDIScreening Batch	Jobs for Entity314aDIScreening Batch	Pipelines for Entity314aDIScreening Batch	Comment
1	StartBatchEntity314aDIScreening	Not Applicable	Not Applicable
2	Entity314aDIBatchScreeningTask	Entity314aScreeningJob	Entity314aScreening	Data Origin ($DATAORIGIN$) and Slice Name ($SLICENAME$) are mandatory parameters.
3	Validate314aEntityBatch	Not Applicable	Not Applicable	· Slice Name ($SLICENAME$) is a mandatory parameter. · You cannot repeat the slice name if a batch is ongoing with the same slice name. The Validate314aEntityBatch task will show an error message if you repeat the slice name in a progressing batch. After the successful execution of the batch, you can use the slice name again.
4	EndBatchEntity314aDIScreening	Not Applicable	Not Applicable

ScreeningToCaseManagement Batch Details

The following table provides the list of tasks in the ScreeningToCaseManagement batch. These tasks must be executed in the following order:

ScreeningToCaseManagement Batch Details

Sequence	Tasks for ScreeningToCaseManagement Batch	Jobs for ScreeningToCaseManagement Batch	Pipelines for ScreeningToCaseManagement Batch
1	ECMStartBatch	Not Applicable	Not Applicable
2	CASEGEN	Not Applicable	Not Applicable
3	CASELOAD	Load Case Data	Load Case Data
4	CustomerEventEntityMap	Loading Screening Customer Event Entity Map	Loading Screening Customer Event Entity Map
5	ECMEndBatch	Not Applicable	Not Applicable
6	EVCORR	Not Applicable	Not Applicable
7	LoadingScreeningCustomersEvented	Loading Screening Customers Evented	Loading Screening Customers Evented
8	LoadingScreeningEvents	Loading Screening Events	Loading Screening Events
9	LoadingScreeningMatchedWatchlist	Loading Screening Matched Watchlist	Loading Screening Matched Watchlist
10	LoadingScreeningMatches	Loading Screening Matches	Loading Screening Matches
11	LoadingScreeningWatchlistEventEntityMap	Loading Screening Watchlist Event Entity Map	Loading Screening Watchlist Event Entity Map
12	LoadingscreeningWatchlistMap	Loading Screening Watchlist Map	Loading S14creening Watchlist Map
13	PRECSUPDT	Not Applicable	Not Applicable
14	PipelineEnd	Not Applicable	Not Applicable
15	PipelineStart	Not Applicable	Not Applicable
16	SCORING	SCREENINGSCORING	SCREENINGSCORING

Purge Batches Details

If your batch has not executed successfully, has been explicitly interrupted or cancelled, or was put on hold during the execution process, first try to restart the batch following the steps in Re-start a Batch Group. If this is not successful, then you can purge the data and execute the batch again.

NOTE:

Purge batches are not a regular required activity. They should only be used when other methods to re-run the batches are not successful.

To purge the data which was partially processed during the interrupted or canceled batch execution, follow these steps:

a. If the AMLDataLoad batch fails to execute, follow these steps:

b. Run the PurgeStagingTables batch for the batch date and data origin on which the batch failed.

c. Execute the AMLDataLoad batch for the batch date.

· If the Ingestion batch fails, follow these steps:

a. Run the PurgeAMTables batch by providing the failed batchrunID as input parameter in the field $FCCBATCHRUNID$.

b. Execute the Ingestion batch for the batch date.

· If any Case Management batch fails to execute, follow these steps:

a. Run the PurgeCMTables batch by providing the failed batchrunID as input parameter in the field $FCCBATCHRUNID$.

b. Execute the Case Management batch for the batch date.

· If the KYC batch fails to execute, follow these steps:

a. Run the PurgeKYCTables batch by providing the failed batchrunID as input parameter in the field $FCCBATCHRUNID$.

b. Execute the KYC batch for the batch date.

· If the KYC DeploymentInitiation batch fails to execute, follow these steps:

a. Run the PurgeKYCTables batch by providing the failed batchrunID as input parameter in the field $FCCBATCHRUNID$.

b. Run the PurgeCustomerSlicing batch by providing the failed SliceName as input parameter in the field $SLICENAME$ and AppID as input in the field $APPID$

c. Execute the KYC batch for the batch date.

· If the CS batch fails to execute, follow these steps:

a. Run the PurgeCSTables batch by providing the failed batchrunID as input parameter in the field $FCCBATCHRUNID$.

b. Execute the CS batch for the batch date.

NOTE:

· After executing the purge batch, the metering records for that run will get deleted. To get the updated data for the metering in the Dashboard UI, you must run AMLMetrics from the Scheduler screen. Otherwise, you must wait until the next day for the latest data to reflect in the UI.

· If you are purging a DI batch, you must enter the exact slice name label used in the failed DI batch as the slice name ($SLICENAME$) parameter in the PurgeCSTables batch.

· If the CMIngestion batch fails to execute, follow these steps:

a. Run the PurgeCMIngestion batch by providing the failed batchrunID as input parameter in the field $FCCBATCHRUNID$.

b. Execute the CMIngestion batch for the batch date.

ATTENTION:

· The batch should not be executed for any past dates, but only for the batch date on which the batch failed.

· Purge Batches should be run in the reverse order of batch execution. For example, if batches are run in the order of Ingestion > TMScenario > CMIngestion and AMLtoCaseManagement, then the purge batch order should be: AMLtoCaseManagement > CMIngestion > TMScenario > Ingestion.

Maintenance Batch Details

The Maintenance batch configures and creates table partitions for Common Staging Area and Transaction Monitoring business tables. This batch is run to enhance performance, maintainability and to support archival/retention (planned for future release) implementation.

Partitions are created on the FIC_MIS_DATE and DATA ORIGIN parameters where applicable. You must provide the Data Origination input. The FIC_MIS_DATE partition will be created automatically by the application.

NOTE:

· Maintenance batch creates the partition on FIC_MIS_DATE and DATA ORIGIN (wherever applicable). Oracle will internally handle auto-partition creation on FIC_MIS_DATE. You only need to provide Data Origin as an input parameter.

· This out of box batch should only be used during the Maintenance window and should not be copied or customized.

· Execution of this batch is mandatory before any other batches are executed, starting from Release 23.11.1.

· Skipping this Maintenance batch may impact performance and batch execution.

To run the Maintenance batch in an existing or upgrading implementation, you must provide a downtime maintenance window and run the Maintenance batch so that historical business and staging data is partitioned. To add a new data origin at another time, run the Maintenance batch in the downtime maintenance window, giving the new data origin as the input parameter.

New implementations should run the Maintenance batch after installation with the respective data origin as input to create partitions. To add a new data origin at another time, run the Maintenance batch in the downtime maintenance window, giving the new data origin as the input parameter.

The following table provides the list of tasks in the Maintenance batch. These tasks must be executed in the following order:

Maintenance Batch Details

Sequence	Tasks for Maintenance Batch	Jobs for Maintenance Batch	Pipelines for Maintenance Batch
1	StartBatch	Not Applicable	Not Applicable
2	Partition_Maintenance	Partition Maintenance	Partition Maintenance
3	EndBatch	Not Applicable	Not Applicable

AMLRedaction Batch Details

The AMLRedaction batch redacts Personal Identifying Information (PII) in order to comply with General Data Protection Regulation (GDPR) regulations. When this batch is run, PII will display in AML cases as XXXX. See Access Case Details for more information about which fields are redacted.

To provide users access to view these fields, you must map the user role to the Unredacted data function code in the Admin Console. For more information about how to map user roles, see Mapped Roles.

Pre Batch Execution Configuration

You must perform the following pre-batch configurations before executing the AMLtoCaseManagement Batch.

· Start the AMLtoCaseManagement Batch

· Correlation Case Type Mapping

Starting the AMLtoCaseManagement Batch

In order to generate cases, you must define and start the AMLtoCaseManagement batch. Follow these steps before starting the AMLtoCaseManagement batch:

1. Navigate to the Transaction Monitoring page.

2. Click to access the Navigation List. The Navigation List displays the list of modules.

3. Click Scheduler in the Navigation List. The Scheduler Service page opens in a new window.

4. Click Define Batch.

5. Click to copy the pre-configured AMLtoCaseManagement batch. Update the Batch Details as needed.

6. Click Define Tasks. Select the copy of the AMLtoCaseManagement batch that you just created.

7. Add a Scoring pipeline to this batch and configure the Scoring rules. For information about how to create and configure scoring pipelines, see the Creating_Scoring_Pipelines section.

ATTENTION:

A Scoring pipeline must be configured and associated with this batch, or no cases will be generated.

8. Define tasks for the ECMSRTBTH task in the AMLtoCaseManagement Batch. For more information on defining tasks to batches, see the Define Tasks section.

9. Add the following parameters to the ECMSRTBTH task in the AMLtoCaseManagement Batch.

Parameters in AMLtoCaseManagement Batch

Parameter Name	Expected Value
DATAORIGIN	MAN ATTENTION: CMCSMAN is reserved for Manual Events. Using this field to send data may result in batch failure due to the same dataOrigin of multiple events containing the same event code.
FICMISDATE	FICMISDATE
BATCHTYPE	DATA
BATCHRUNID	BATCHRUNID
component	ALL
dataorigin	MAN
sourcebatch	-
currentbatch	ALL

10. When the Start Batch run is executed, it loads the data to the FCC_CM_BATCH_RUN table.

Correlation Case Type Mapping

Define the Case Type mapping before executing the batch. This is performed using the Case Type Admin function. For more information, see the Case Types section.

Creating and Configuring New Batches

You must create new batches to run customer-specific data. To create and configure a new batch, follow these steps:

1. Navigate to the Scheduler Service page.

2. Define a batch. This option enables you to create a new batch. For more information, see the Defining Batches section.

3. Define a task. This option enables you to add new tasks to the selected batch definition.

For more information, see the Define Tasks section.

For information on configuring tasks for batches, see Defining Tasks section.

4. Schedule a batch. This option enables you to run a batch. For more information, see Scheduler Service.

5. Monitor a batch. This option enables you to view the status of the executed Batch along with the details of the task. For more information, see the Monitor Batch section.

Defining Batches

To define batches, you must configure the batches. The following table lists the fields which should be configured.

Defining Batches

Field Name	Description	Batches for Data Redaction	Batches for Data Pipeline	Batches for Scenario Pipeline	Batches for Case Management
Batch Name	Indicates the batch name.	To be configured	To be configured	To be configured	To be configured
Batch Description	Indicates the batch description.	To be configured	To be configured	To be configured	To be configured
Service URL Name	Indicates the Service URL name.	To be configured	To be configured	To be configured	To be configured
Service URL	Indicates the Service URL.	To be configured	To be configured	To be configured	To be configured

NOTE:

You cannot run both a data pipeline and scenario pipeline in the same batch.

Parameter Details for Defining the Batches

Parameter Name	Description	Batches for Data Redaction	Batches for Data Pipeline	Batches for Scenario Pipeline	Batches for Case Management
$LOADRUNID$	Indicates the load run ID.	Not Applicable	To be configured	Not Applicable	Not Applicable
$GROUPNAME$	Indicates the group name.	To be configured	To be configured	To be configured	Not Applicable
$DATAORIGIN$	Indicates the type of the source of the data.	To be configured	To be configured	To be configured	Pre-configured
$RUNTYPE$	Indicates the run type.	Not Applicable	Not Applicable	To be configured	Not Applicable
$FICMISDATE$	Indicates the date on which you want to run the batch.	To be configured	Pre-configured	Pre-configured	Pre-configured
$BATCHTYPE$	Indicates the type of pipeline to run as part of this batch.	To be configured	To be configured	To be configured	Pre-configured
$PREVMISDATE$	Indicates the date previous to the FICMISDATE	Not applicable	To be configured	To be configured	Not Applicable
$BATCHRUNID$	Indicates the batch run ID.	To be configured	Pre-configured	Pre-configured	Pre-configured

Defining Tasks for Batches

To define tasks, you must configure the batches as follows:

Task Details for Defining the Batches

Field Name	Description	StartBatch Task	EndBatch Task	Other Task
Task Name	Indicates the task name.	To be configured	To be configured	To be configured
Task Description	Indicates the task description.	To be configured	To be configured	To be configured
Task Type	Indicates the task type.	Pre-configured	Pre-configured	Pre-configured
Batch Service URL	Indicates the batch service URL.	Pre-configured	Pre-configured	Pre-configured
Task Service URL	Indicates the task service URL.	To be configured as /StartBatch	To be configured as /EndBatch	To be configured as /ExecutePipeline

Parameter Name	Parameter Value
$GROUPNAME$	These values are obtained from the Batch Configuration.
$DATAORIGIN$
$FICMISDATE$
$BATCHTYPE$
$PREVMISDATE$
$BATCHRUNID$
$JOBNAME$	You must add this parameter and mention the corresponding job name that you want to execute as part of this task.
component	This is applicable only for the ECM start batch task. For more information, see Start a Batch.
dataorigin
sourcebatch
currentbatch

View Batch Logs

Log files are generated when the following services are executed as batches:

· AMLDataLoad

· Ingestion

· TMScenario

You can view these log files in the View Logger.

To view the log files, follow these steps:

1. In the Monitor Batch page, select one of the following batches from the Select Batch drop-down list.

2. Select the Run ID for the batch you want to view log files for from the Run ID drop-down list. The Batch Details display.

3. In the List View tab, click View Logger for the task you want to view the log files for. The View Logger window opens and displays the log for this task.

4. You can download the log file by clicking Download Download Log .

Parallel Execution of CS Batches

You can execute multiple screening batches concurrently without waiting to complete the previous batch. The Parallel Execution of Customer Screening Batches supports the following case of batch run:

· Multiple Data Origins in a parallel batch run. You can execute multiple screening batches concurrently if the screening batches have different Data Origin value. You must add $DATA_ORIGIN$ as the task parameter for the screening batch for the parallel execution.

NOTE:

Data Origin is a mandatory field and Jurisdictions is an optional field.

· Single Data Origin with Multiple Jurisdictions in a single batch. You can execute screening batches concurrently if the screening batch have the same Data Origin and different Jurisdictions. You must add $JURISDICTION$ as the task parameter for the screening batch for the parallel execution.

NOTE:

· Data Origin is a mandatory field and Jurisdictions is an optional field.

· If you have multiple tasks of different jurisdictions in the same screening batch do not point to the same pipeline.

Sequence	Tasks for TMScenario Batch	Jobs for TMScenario Batch	Pipelines for TMScenario Batch
1	StartBatch	Not Applicable	Not Applicable
2	CALENDAR	Load Calendar Data	Load Calendar Data
3	HRECUST	Focal High Risk Entity - Customer Focus	Focal High Risk Entity - Customer Focus
4	HRGACCT	High Risk Geography - Account Focus	High Risk Geography - Account Focus
5	POSSIBLECTRCUST	Possible Currency Transaction Report - Customer Focus	Possible Currency Transaction Report - Customer Focus
6	LRTCUST	Large Reportable Transaction - Customer Focus	Large Reportable Transaction - Customer Focus
7	FTNINTCUST	Patterns of Funds Transfers Between Internal Accounts and Customers - Customer Focus	Patterns of Funds Transfers Between Internal Accounts and Customers - Customer Focus
8	FTNEXTCUSTC	Patterns of Funds Transfers Between Receiving Customers and External Entity - Customer Focus	Patterns of Funds Transfers Between Receiving Customers and External Entity - Customer Focus
9	FTNEXTCUSTD	Patterns of Funds Transfers Between Sending Customers and External Entity - Customer Focus	Patterns of Funds Transfers Between Sending Customers and External Entity - Customer Focus
10	RMFCUST	Rapid Movement of Funds - Customer Focus	Rapid Movement of Funds - Customer Focus
11	LDACCT	Large Depreciation of Account Value - Account Focus	Large Depreciation of Account Value - Account Focus
12	HREEE	Focal High Risk Entity - External Entity Focus	Focal High Risk Entity - External Entity Focus
13	HRGEE	High Risk Geography - External Entity Focus	High Risk Geography - External Entity Focus
14	LRTEE	Large Reportable Transactions - External Entity Focus	Large Reportable Transactions - External Entity Focus
15	POSSIBLECTREE	Possible Currency Transaction Report - External Entity Focus	Possible Currency Transaction Report - External Entity Focus
16	HUBSPOKE	Hub and Spoke - Customer Focus	Hub and Spoke - Customer Focus
17	HRCPAC	High Risk Counter Party - Account Focus	High Risk Counter Party - Account Focus
18	HRCPCU	High Risk Counter Party - Customer Focus	High Risk Counter Party - Customer Focus
19	HRCPEE	High Risk Counter Party - External Entity Focus	High Risk Counter Party - External Entity Focus
20	CIBFAAF	CIB Foreign Activity - Account Focus	CIB Foreign Activity - Account Focus
21	CIBHRGAAF	CIB High Risk Geography Activity - Account Focus	CIB High Risk Geography Activity - Account Focus
22	CIBSCPAAAF	CIB Significant Change From Previous Average Activity - Account Focus	CIB Significant Change From Previous Average Activity - Account Focus
23	CIBSCPPAAF	CIB Significant Change From Previous Peak Activity - Account Focus	CIB Significant Change From Previous Peak Activity - Account Focus
24	EIIAF	Escalation in Inactive Account - Account Focus	Escalation in Inactive Account - Account Focus
25	RMFAAAF	Rapid Movement of Funds All Activity - Account Focus	Rapid Movement of Funds All Activity - Account Focus
26	STRAVCRAC	Structuring - Avoidance of Reporting Thresholds Credit - Account Focus	Structuring - Avoidance of Reporting Thresholds - Account Focus
27	STRAVDBAC	Structuring - Avoidance of Reporting Thresholds Debit - Account Focus	Structuring - Avoidance of Reporting Thresholds - Account Focus
28	STRAVCRCU	Structuring - Avoidance of Reporting Thresholds Credit - Customer Focus	Structuring - Avoidance of Reporting Thresholds - Customer Focus
29	STRAVDBCU	Structuring - Avoidance of Reporting Thresholds Debit - Customer Focus	Structuring - Avoidance of Reporting Thresholds - Customer Focus
30	STRAVCREE	Structuring - Avoidance of Reporting Thresholds Credit - External Entity Focus	Structuring - Avoidance of Reporting Thresholds - External Entity Focus
31	STRAVDBEE	Structuring - Avoidance of Reporting Thresholds Debit - External Entity Focus	Structuring - Avoidance of Reporting Thresholds - External Entity Focus
32	STRDEPWDCRCU	Structuring - Deposits Withdrawals of Mixed Monetary Instruments Credit - Customer Focus	Structuring - Deposits Withdrawals of Mixed Monetary Instruments - Customer Focus
33	STRDEPWDDBCU	Structuring - Deposits Withdrawals of Mixed Monetary Instruments Debit - Customer Focus	Structuring - Deposits Withdrawals of Mixed Monetary Instruments - Customer Focus
34	TRAEFTEEF	Transactions in Round Amounts EFT - External Entity Focus	Transactions in Round Amounts EFT - External Entity Focus
35	TRAMAF	Transactions in Round Amounts - Account Focus	Transactions in Round Amounts - Account Focus
36	TRAMIEEF	Transactions in Round Amounts MI - External Entity Focus	Transactions in Round Amounts MI - External Entity Focus
37	STRPOTCRCU	Structuring - Potential Structuring in Cash and Equivalents Credit - Customer Focus	Structuring - Potential Structuring in Cash and Equivalents Credit - Customer Focus
38	STRPOTDBCU	Structuring - Potential Structuring in Cash and Equivalents Debit - Customer Focus	Structuring - Potential Structuring in Cash and Equivalents Debit - Customer Focus
39	ATMFTAC	Anomalies in ATM Bank Card - Foreign Transactions - Account Focus	Anomalies in ATM Bank Card - Foreign Transactions - Account Focus
40	ATMFTCU	Anomalies in ATM Bank Card - Foreign Transactions - Customer Focus	Anomalies in ATM Bank Card - Foreign Transactions - Customer Focus
41	LSTCU	Single or Multiple Cash Transactions - Large Significant Transactions - Customer Focus	Single or Multiple Cash Transactions - Large Significant Transactions - Customer Focus
42	HREAC	Focal High Risk Entity - Account Focus	Focal High Risk Entity - Account Focus
43	ATMEWAC	Anomalies in ATM, Bank Card- Excessive Withdrawals - Account Focus	Anomalies in ATM, Bank Card- Excessive Withdrawals - Account Focus
44	ATMEWCU	Anomalies in ATM, Bank Card- Excessive Withdrawals - Customer Focus	Anomalies in ATM, Bank Card- Excessive Withdrawals - Customer Focus
45	AFEARLYPAYOFF	Early Payoff or Paydown of a Credit Product - Account Focus	Early Payoff or Paydown of a Credit Product - Account Focus
46	CFEARLYPAYOFF	Early Payoff or Paydown of a Credit Product -Customer Focus	Early Payoff or Paydown of a Credit Product -Customer Focus
47	CleanAMTempTables	CleanAMTempTables	CleanAMTempTables
48	EndBatch	Not Applicable	Not Applicable