INSTALLATION INSTRUCTIONS FOR HOT FIX 14AML05 ON WINDOWS OR UNIX IMPORTANT NOTES - These installation instructions are not valid for upgrades from 14AML01, 14AML02, 14AML03 or 14AML04. Contact Technical Support for assistance if you have an existing AML 1.4 database and have already applied the 14AML01, 14AML02, 14AML03 or 14AML04 hotfixes. - The changes to bridge table primary keys described below will affect the bridge processing component of your ETL. Please read this section carefully. - The SAS Anti-Money Laundering Installation Manual referenced below is available for download from the SAS Anti-Money Laundering Resource Center - a password - protected site for Anti-Money Laundering customers only. If you need the URL and password, please contact SAS Technical Support. AFTER DOWNLOADING HOTFIX I. Database Updates (SN-014407, SN-014885, SN-014886): NOTE: THE FOLLOWING DATABASE UPDATE TASKS MUST BE PERFORMED BY A QUALIFIED DBA. A. If this is a new 1.4 installation on Oracle or DB2: 1. Replace the following files with the new versions in the 14AML05 hot fix. oracle_base_core_ddl.sql oracle_full_core_ddl.sql oracle_base_knowledge_center_ddl.sql oracle_full_knowledge_center_ddl.sql oracle_sar_ddl.sql db2_base_core_ddl.sql db2_full_core_ddl.sql db2_base_knowledge_center_ddl.sql db2_full_knowledge_center_ddl.sql db2_sar_ddl.sql 2. Follow the instructions in Chapter 2 of the SAS Anti-Money Laundering Installation Manual. B. If you have already installed 1.4 on Oracle: 1. Replace the following files with the new versions in the 14AML05 hot fix. oracle_base_core_ddl.sql oracle_full_core_ddl.sql oracle_base_knowledge_center_ddl.sql oracle_full_knowledge_center_ddl.sql oracle_sar_ddl.sql db2_base_core_ddl.sql db2_full_core_ddl.sql db2_base_knowledge_center_ddl.sql db2_full_knowledge_center_ddl.sql db2_sar_ddl.sql 2. Connect to the database as AMLCORE using SQL*PLUS or other SQL command-line utility. 3. Execute the patch_oracle_base_core_ddl.sql script. 4. Connect to the database as AMLCTR using SQL*PLUS or other SQL command-line utility. 5. Execute the patch_oracle_base_kc_ddl.sql script. 6. Execute the patch_oracle_sar_ddl.sql script. C. If you have already installed 1.4 on DB2: 1. Replace the following files with the new versions in the 14AML05 hot fix. oracle_base_core_ddl.sql oracle_full_core_ddl.sql oracle_base_knowledge_center_ddl.sql oracle_full_knowledge_center_ddl.sql oracle_sar_ddl.sql db2_base_core_ddl.sql db2_full_core_ddl.sql db2_base_knowledge_center_ddl.sql db2_full_knowledge_center_ddl.sql db2_sar_ddl.sql 2. Ensure that you have a valid backup of the following bridge tables: FSC_HOUSEHOLD_ACCOUNT_BRIDGE FSC_HOUSEHOLD_PARTY_BRIDGE FSC_PARTY_ACCOUNT_BRIDGE 3. Change the 'change_begin_date' column in each of the bridge tables to a 'NOT NULL' column. This will requre you to drop, re-create, and repopulate the tables. The best method for accomplishing this task will depend on the disk resources at your site, volume of data, and DBA preference. It is important that this step be performed by a qualified DB2 DBA. 4. Execute the patch_db2_base_core_ddl.sql script. 5. Execute the patch_db2_base_kc_ddl.sql script. 6. Execute the patch_db2_sar_ddl.sql script. II. Configuration updates (SN-014620): A. If this is a new 1.4 installation 1. Replace sas_web_config.zip/sas_web_config.tar.gz with the file in Hot fix B. If this is an existing 1.4 installation: 1. Back up your current Investigation Configuration Home directory. 2. Replace the files in Investigation Configuration Home with the files in sas_web_config.tar.gz/sas_web_config.zip. 3. Update sasaml.config using the information in the old configuration. 4. Update the configuration files for user authentication using the instructions in Chapter 5 of the SAS Anti-Money Laundering Installation Manual (Second Edition). III. Deploy sasaml.war updates (SN-014408, SN-014620, SN-014894, SN-014895, SN-014896, SN-014897, SN-018053, SN-018063, SN-018063, SN-018063, SN-018060, SN-018061, SN-018061, SN-018063, SN-018064, SN-018063): 1. Replace sasaml.war with sasaml.war provided with the 14AML05 hot fix. 2. Follow the instructions in Chapter 5 of the SAS Anti-Money Laundering Installation Manual (Second Edition). 3. To make the Norwegian SAR form available a row must be added to the current SAR_TYPE_CODES table in the Knowledge Center. The following information must be included in the row. SAR_TYPE SAR_TYPE_DSCR SAR_TYPE_SHORT_DSCR ACTIVE_FLAG N1 Norwegian SAR Form Norwegian SAR X The information in the SAR_TYPE_DSCR and SAR_TYPE_SHORT_DSCR fields may be changed as required they are labels only the SAR_TYPE indicates the SAR form to be used and the ACTIVE_FLAG determines if the form is active in the user interface. SQL for inserting row into Oracle or DB2: insert into AMLCTR."SAR_TYPE_CODES" ("SAR_TYPE", "SAR_TYPE_DSCR", " SAR_TYPE_SHORT_DSCR", "ACTIVE_FLAG") values ('N1', 'Norwegian SAR Form', 'Norwegian SAR', 'X') IV. Java extention directory updates (SN-014408, SN-014409): (Required only if you have already installed 1.4.) Remove the following files from Java extention directory. amlJaas.jar log4j-*.jar jaas.jar V. Update the sasmacr catalog for the following entries: (SN-014887, SN-014888, SN-014889) append_bayes calculate_bayes combine_alerts getmaxsurrogatekey replicateprofile replicatetransactions riskranking separate_alerts separate_weights suppression trim_risk trim_risk_acc 1. Copy the appropriate compiled macro for your system: aix_14aml05 - AIX 64bit hp_14aml05 - HP-UX PA-RISC 64bit lnx_14aml05 - Linux 32bit sol_14aml05 - Solaris 64bit win_14aml05 - Windows 32bit to a directory on the Alert Generation server. 2. Using the code provided in the Hot fix named 14AML05_install_macro.sas copy the updated catalog entries to your installed AML SOURCE library. Start a SAS session and open the code 14AML05_install_macro.sas. Follow the instructions in the code and then submit the program. 3. Validate that your catalog SOURCE.SASMACR now has the following files: old_combine_alerts.sas old_getmaxsurrogatekey.sas old_replicatetransactions.sas old_suppression.sas as well as: append_bayes calculate_bayes combine_alerts getmaxsurrogatekey replicateprofile replicatetransactions riskranking separate_alerts separate_weights suppression trim_risk trim_risk_acc 4. Test your installed system. VI. Update QKB_build_match_codes.sas (SN-014411, SN-015679): 1. Invoke SAS using !AMLROOT/metadata/cntl/config/autoexec.sas. 2. Rename !AMLROOT/metadata/cntl/source/watchlist/QKB_build_match_codes.sas to QKB_build_match_codes.old. Save the corrected module (QKB_build_match_codes.sas) to the directory: !AMLROOT/metadata/cntl/source/watchlist 3. From the SAS Program Editor, submit the QKB_build_match_codes.sas code. This will recompile the macro and store it in the SOURCE.SASMACR catalog. VII. Update various sas code files: (SN-014890, SN-014891, SN-014892, SN-014893, SN-018068) 1. NOTE: Be sure to save a copy of each of the existing files before replacing them with the new ones. 2. Copy the following scenario code files to !AMLROOT/scenario/scenario_source: SAS10007.sas SAS10020.sas SAS10028.sas SAS10079.sas SAS10080.sas SAS10082.sas 3. Copy the aml_alert_age_report.sas file to !AMLROOT/metadata/cntl/source/reports. 4. Copy the watchlist header file Party_Watch_list_header.sas to !AMLROOT/scenario/header_code_active. 5. Set the WATCH_LIST_PROCESSING_METHOD parameter in the server's autoexec file. This parameter designates how watch list scenarios use memory, and should be set to HASH_ARRAY for 64-bit environments and INDEX_ARRAY for 32-bit Windows environments. VIII. Update Metadata Tables: (SN-015680) 1. Replace the table_expression_text in the FSK_UI_TABLE Where table_ui_name = "alert" with: (select a.*, b.event_description from fsk_alert a left join fsk_alert_event b on a.alert_id=b.alert_id and b.event_type_code='CLS') 2. Add the following row to the FSK_UI_COLUMN table: TABLE_UI_NAME=alert COLUMN_UI_NAME=eventDescription GROUP_UI_NAME=generalInformation COLUMN_EXPRESSION_TEXT=event_description COLUMN_LABEL_DESC=Close Reason COLUMN_POSITION_NUMBER=750 FORMAT_CODE=STR FORMAT_MODIFIER_TEXT= COLUMN_DISPLAY_LEVEL_CODE=LIT COLUMN_SEARCH_LEVEL_CODE=LIT SORTED_BY_POSITION_NUMBER=0 COLUMN_ACTIVE_IND=Y LOCAL_KEY_DB_NAME= REMOTE_KEY_DB_NAME= REMOTE_TABLE_UI_NAME= SQL for inserting row into Oracle or DB2: insert into schema.FSK_UI_COLUMN (TABLE_UI_NAME, COLUMN_UI_NAME, GROUP_UI_NAME, COLUMN_EXPRESSION_TEXT, COLUMN_LABEL_DESC, COLUMN_POSITION_NUMBER, FORMAT_CODE, FORMAT_MODIFIER_TEXT, COLUMN_DISPLAY_LEVEL_CODE, COLUMN_SEARCH_LEVEL_CODE, SORTED_BY_POSITION_NUMBER, COLUMN_ACTIVE_IND, LOCAL_KEY_DB_NAME, REMOTE_KEY_DB_NAME, REMOTE_TABLE_UI_NAME) values ('alert', 'eventDescription', 'generalInformation', 'event_description', 'Close Reason', 750, 'STR', '', 'LIT', 'LIT', 0, 'Y', '', '', ''); IX. Custom Tab Feature A. To enable the custom tab feature, edit the sasml.config file and change the config property, sasaml.customtab, to have the value "enable." B. General Usage 1. Enabling the custom tab displays a default tab. 2. This tab is displayed via a Struts action defined in the struts-config.xml file. This action is defined as the Main Customizer Action. 3. The default action displays the customizer/customizer.jsp file. The jsp displays default text as defined in the CustomizerResources.properties file. 4. There are two ways to replace the default action with your own tab action: a. Use the same default Struts action, but replace the functionality of the customizer.jsp file with your own version of customizer.jsp. b. Change the default Struts action to point to another Struts action or another JSP file. The path of the Struts action must remain path="/Customizer." This completes the installation of hot fix 14AML05.