APPC Alert Dossier Creation Provider

🎯 Functional documentation

This scheduled provider polls SAS AML for alerted parties and automatically creates or updates an alert Dossier per SAS AML alert in Harmoney.

For each alerted party, the provider fetches the full alert details from SAS AML and:

• Creates or updates a Dossier of type ALERT and service ALERT for each SAS alert, identified by the alert's external identifier (alert ID).
• Maps the alerted party's watch list information (name, date of birth, citizenship, PEP flag, identification, sanction lists, etc.) to the associated party on the Dossier.
• Generates a PDF report for the alert and attaches it as a document on the Dossier.

If a Dossier or alert PDF already exists for a given alert ID, it is not recreated.

⚙️ Configuration

• Implementation class: AppcAlertDossierCreationScheduledProvider
• Resource URI: https://conformite-appc.com/SASBIWS/rest/storedProcesses/Products/SAS%20Compliance%20Solutions%20FCFBU_${APPC_URI_VAR_1}/Stored%20Processes

Allows the use of a variable ${APPC_URI_VAR_1} which is taken from the external metadata of the FSP.

Settings

Settings Configuration

Examples

Additional information about the settings:

• For the SYSTEM_USER see gateway user

Event action: AppcAlertDossierCreationEvent

Configuration

1. Add the action AppcAlertDossierCreationEvent.
2. Link this action to an appropriate event or status transition (e.g., a GENERATE_APPC_ALERT_DOSSIER for a specific status).

The action fetches detailed alert data from SAS AML (API_Export_Alert_Json) using the authentication credentials configured in its own settings.

Settings

Settings Configuration

Examples

Mapped data

One Dossier is created per AlertInfo in the APPC response.

Dossier fields

Dossier field	Source (AlertInfo)	Notes
number	alert_id	Stored as string
externalIdentifier	alert_id	Stored as string
name	alerted_entity_name
description	alert_description
externalStatus	alert_status_code	ACT -> OPEN, CLS -> DONE
type	hardcoded	DossierType.ALERT
service	hardcoded	DossierService.ALERT
client	primary_entity_number	Stored as externalIdentifier on the client reference

Metadata fields

All metadata is stored on the dossier under the key metadata.

Metadata key	Source (AlertInfo)	Notes
money_laundering_risk_score	risk_scores.money_laundering_risk_score
terror_financing_risk_score	risk_scores.terror_financing_risk_score
total_transaction_amount	total_transaction_amount
run_date	run_date	SAS datetime string
create_date	create_date	SAS datetime string
entity_segment_id	entity_segment_id
scenario_name	scenario_name	Name of the triggered AML rule
actual_values_text	actual_values_text	Raw evidence string from APPC
watch_list_category	watch_list_info.category_desc
watch_list_type	watch_list_info.type_desc
entity_watch_list_number	watch_list_info.entity_watch_list_number
politically_exposed_person_ind	watch_list_info.politically_exposed_person_ind
citizenship_country_code	watch_list_info.citizenship_country_code
citizenship_country_name	watch_list_info.citizenship_country_name
watch_list_programs	watch_list_info.programs
identification_id	watch_list_info.identification_id
identification_type_desc	watch_list_info.identification_type_desc
sanction_list_references	watch_list_info.complementary_watch_list_info.sanction_list_info[].sanctions_list_reference	Multiple references joined with "; "

Associated party fields

One PartyDTO is created per alert when primary_entity_number is present.

Party field	Source	Notes
externalIdentifier	primary_entity_number
individual.firstName	watch_list_info.first_name	Falls back to alerted_entity_name when absent
individual.lastName	watch_list_info.last_name	Falls back to alerted_entity_name when absent
individual.dateOfBirth	watch_list_info.date_of_birth	Parsed from SAS datetime format (ddMMMyyyy:HH:mm:ss)
individual.occupation	watch_list_info.occupation_desc
individual.nationality	watch_list_info.citizenship_country_code	Mapped to ISO 3166-1 alpha-2 via HarmoneyUtils
individual.nationalRegistrationNumber	watch_list_info.identification_id
individual.placeOfBirth	watch_list_info.complementary_watch_list_info.birth_date_info[0].place_of_birth
state	watch_list_info.deceased_ind	Set to "deceased" when value is "Y"