5.2.4.6 Obtain the SAR Information

This section provides information about how to Obtain the SAR Information.

Populate Investigated Entity Details

SM_SAR_Extraction batch is available in the out-of-the-box for the Scenario Model framework. This is a pre-seeded batch and will be available in all the workspaces.

This batch loads SAR Information to AIF_INVESTIGATED_ENTITY table.

Batch and Task Parameters

The batch contains a single task named SAR_Extraction.

Figure 5-45 Define Task for SAR_Extraction


Description of Figure 5-45 follows
Description of "Figure 5-45 Define Task for SAR_Extraction"

Task: SAR_Extraction, Task Parameters
  • Objective folder for this task:
    Home / Model Pipelines / ML4AML / Scenario Model / Batch / SAR Extraction
  • Do not change any parameter, except Optional Parameters.
  • Optional Parameters:
    • mode: Extraction Mode to be used. This parameter is case-sensitive, and the option is either FILE or ECM.
    • if_exists: This parameter is used to set the behavior of data insertion. This parameter is case-sensitive, and the option is either OVERWRITE or APPEND.
      • OVERWRITE: Overwrites the rows where ENTITY_ID, ALERT_DATE, and LABELLED_SCENARIO are matched and inserts the rest of the rows.
      • APPEND: Ignores the rows where ENTITY_ID, ALERT_DATE, and LABELLED_SCENARIO are matched and inserts the rest of the rows.
    • ecm_datastore_name: Data Store created in the Compliance Studio UI for ECM atomic schema from where we need to extract the investigated labels.
    • processing_batch: Value for v_data_origin column from the fcc_events table in ECM.
    • from_date: Value for d_mis_date from the fcc_events table in ECM. The format should be DD-Mon-YYYY.
    • to_date: Value for d_mis_date from fcc_events table in ECM. The format should be DD-Mon- YYYY.
  • Example: mode=ECM,if_exists=OVERWRITE,ecm_datastore_name=SM_ECM, processing_batch=DLY,from_date=01-Nov-2015,to_date=30-Dec-2015
  • Edit Task Parameters & Save.

    Figure 5-46 Edit Task for SAR_Extraction


    Description of Figure 5-46 follows
    Description of "Figure 5-46 Edit Task for SAR_Extraction"

Obtain the SAR from the CSV file

For loading data using a CSV file, the SM_SAR_Extraction batch should be executed using the following parameters:

mode = FILE, if_exists = OVERWRITE or APPEND.

Note:

The remaining parameters can be ignored but should not be removed while running the batches.

A sample CSV is shipped with Compliance Studio named sar.csv in the <COMPLIANCE_STUDIO_INSTALLATION_PATH>/deployed/ml4aml/demodata/sar.csv directory.

This sample CSV is shipped with headers that resemble the structure of the AIF_INVESTIGATED_ENTITY table and two sample rows showing the format of each column.

Figure 5-47 Snapshot of sar.csv


Description of Figure 5-47 follows
Description of "Figure 5-47 Snapshot of sar.csv"

When running the SM_SAR_Extraction batch with mode = FILE, the user should ensure that the following columns are available with the required values in the CSV files:
  • ENTITY_ID: Customer ID or Account ID.
  • SUSPICIOUS_FLAG: This flag has two options and they are 1 (Suspicious) and 0 (Nonsuspicious).
  • ALERT_DATE: SAR/EVENT generation date. The format should be YYYY-MM-DD.
  • CREATED_ON: CSV file creation date. The format should be YYYY-MM-DD.
  • CREATED_BY: CSV file created by
  • UPDATED_ON: CSV file updated date. The format should be YYYY-MM-DD.
  • UPDATED_BY: CSV file updated by
  • LABELLED_SCENARIO: Scenario ID corresponding to the entity_id and alert_date.
  • ENTITY_CD: This parameter has the following options:
    • CUSTOMER
    • ACCOUNT
    • EXTERNAL ENTITY
    • CLIENT_BANK
The batch will read this file from its default location and load data to AIF_INVESTIGATED_ENTITY based on the if_exists condition.

Note:

In the CSV file, the user is expected to populate Non-Null data for all the columns except UPDATED_ON and UPDATED_BY.

Obtain the SAR from ECM

For loading data from ECM, the SM_SAR_Extraction batch should be executed using mode = ECM along with all the other parameters.

For example,

mode=ECM, if_exists=OVERWRITE, ecm_datastore_name=SM_ECM, processing_batch=DLY, from_date=01-Nov-2015 to_date=30-Dec-2015

The SM_SAR_Extraction batch runs with mode = ECM, will fetch data from ECM tables and load data to AIF_INVESTIGATED_ENTITY based on the if_exists condition.

The query used for fetching the data from ECM can be found in the proc_ecm_sar_query procedure under the pkg_scenario_model package.

The query expects the following ECM tables to have data:
  • FCC_EVENTS
  • FCC_EVENT_ENTITY_MAP
  • FCC_EVENT_DETAILS
  • FCC_SCENARIO_MASTER
  • FCC_EVENT_INVESTIGATION_STATUS
  • FCC_EVENT_STATUS_B
  • KDD_CASE_LINKS
  • KDD_CASES
  • KDD_REVIEW_OWNER
  • KDD_STATUS