Equity Edge Diagnostic Utility

Transcription

1 Equity Edge Diagnostic Utility The Equity Edge 7.0 release now supports the Equity Edge Diagnostic Utility (EEDU), a tool that you can use to troubleshoot the Equity Edge program. This chapter describes the Equity Edge Diagnostic Utility and how it can be used. It contains the following sections: About the Diagnostic Utility System Requirements Accessing the Utility Resolving Fixable Issues Dealing with Non-Fixable issues Exporting Diagnostics Data Installing an Equity Edge Database Update Scrambling Data Log Files 1

2 : Equity Edge Diagnostic Utility About the Diagnostic Utility The Equity Edge Diagnostic Utility (EEDU) is a tool that you can use to analyze the various components of the Equity Edge program machine, company database(s) associated with the Equity Edge program, connections, and the Equity Edge application itself. You can use the results of the analyses to troubleshoot any fixable issues that may arise in association with any of the component categories. This diagnostic tool can be installed on server and client machines for both Enterprise and Workgroup Editions of the Equity Edge program. Note that, if the same machine hosts both the client and server applications, the server conditions and messages take precedence over the client conditions and messages. The Equity Edge Diagnostic Utility provides you with the following functionality: Analyze: Use the Analyze functionality to take a snapshot of the current system (machine, database, connectivity, and application components). The results of an analysis identifies issues in the current state of the component that you are analyzing. Additionally, for each issue that it reports, the utility informs you whether it can or cannot fix that issue. Apply Fix: Use the Apply Fix functionality of the utility to correct those issues that the utility has identified as being fixable. Back Up: Use the Backup functionality of the utility to create a backup of your company database prior to applying any fixes on identified issues. The backup process in the Equity Edge Diagnostic Utility is identical to the backup process in Equity Edge. Note: You will need to use the Equity Edge program to restore the database from a backup file. Apply Update: Use the Apply Update functionality of the utility to install the various updates to a company database. Once you store an Equity Edge update in a specified directory, that update will be available for you to apply from within the Equity Edge Diagnostic Utility. When, from within the Equity Edge Diagnostic Utility you select an update and execute the Install Update function in the Equity Edge Diagnostic Utility, the utility will automatically apply the update to the Equity Edge database to which it is connected. Create a Scrambled Backup: Use the data scrambling function of the Equity Edge Diagnostic Utility to create a scrambled backup of your company s Equity Edge 6.2 and later versions of the Equity Edge program database. This function is especially useful in safeguarding non-public sensitive data associated with participants when you send your company s Equity Edge database to another location, for example, E*TRADE FINANCIAL s Corporate Support group. 2 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

3 About the Diagnostic Utility How Does the Diagnostic Utility Work? The Equity Edge Diagnostic Utility works to detect inconsistencies in the four main components of the Equity Edge program machine, database, connection, and application in the following manner. 1. The Equity Edge Diagnostic Utility runs on the server or the client machine as required by you. 2. When you run the Analyze option of the utility, it checks the available information about your Equity Edge configuration against the standard set of recommended configuration information. Note: This configuration will vary between Server and Client and between Enterprise and Workgroup Editions of Equity Edge. 3. The utility checks to see if the selected element is found, and issues a Not Found message if it fails to find the element. If the system element is found, the utility checks the version of the element (if applicable). 4. The utility provides a complete analysis of each inconsistency it encounters. It specifies whether the inconsistency is fixable or not, and displays a message based on the condition of the client or server (based upon your selection). 5. Wherever possible, the utility enables you to apply suitable corrective steps to address the related issue. 6. After reviewing the recommended corrective step, you can implement the corrective step by employing the Apply Fix option of the utility. 7. You can save the results of the diagnosis and the fixes that you made, and additionally generate related reports. Important! The Equity Edge Diagnostic Utility does not correct critical errors. For reviewing errors of this type, please contact your company s IT department and/or the Corporate Support staff at E*TRADE FINANCIAL Corporate Services E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 3

4 : Equity Edge Diagnostic Utility Example Analysis The following figure shows the results of an example analysis performed by the Equity Edge Diagnostic Utility. Component Selected For Analysis Details of Current Setup of Your Machine Indicator of Inconsistency Found by Utility Description of Inconsistency Figure 1 Details of an Example Analysis As the figure shows, for each component within each category selected for analysis, the Equity Edge Diagnostic Utility displays the setting or value it discovered in the current setup of Equity Edge on your system. The icon alerts you to every inconsistency in the component category selected for analysis. The final column indicates the details of the inconsistency detected by the utility. Where space limits a full description, the utility displays the complete details for an issue in a pop-up window (when you select the corresponding Issue icon). 4 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

5 About the Diagnostic Utility The Equity Edge Diagnostic Utility separates the inconsistencies into items that it can fix as Fixable and items that it cannot fix as Not Fixable. You may need to seek the help of the System Administrator at your installation for the items that the utility identifies as Not Fixable. You can select to resolve one/some/all of the issues that the utility has identified as being fixable. When the Equity Edge Diagnostic Utility completes its attempt to fix the issues that you have selected, it displays the results in the following window: Figure 2 Results of an Attempt to Resolve Selected Issues As shown infigure 2, of the three issues selected to be fixed, the utility was able to successfully resolve two issues related to database components Seed Data and Sequences. For each of these two components, the utility displays the entry Issue Fixed in the Result column and clears the corresponding Fix? checkbox. For the one issue in the above example that the utility did not fix, Invalid Objects, the utility displays in the Result column that the issue is not fixed and the Fix? checkbox continues to be selected for that entry. Whether you correct an issue with the help of the Equity Edge Diagnostic Utility, or otherwise, the corrections that result persist in the system. Subsequently, when you perform other analyses, the utility will display the updated values. Here is the display on analyzing the system after the utility resolved these issues E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 5

6 : Equity Edge Diagnostic Utility Figure 3 Example of Analysis Repeated After Resolving Issues When you compare the entries for Seed Data and Sequences in Figure 1 on page 4 with the entries in the above figure (Figure 2), you will see that the utility now no longer lists these two elements as issues to be resolved. Advantages of the Diagnostic Utility The Equity Edge Diagnostic Utility provides you with the following: Seamless incorporation of updates to Equity Edge database: You can use the File Database Apply Update command to apply updates to the company database. Diagnosis: You can run the Equity Edge Diagnostic Utility on the server or the client machine. If the client and the server are on the same machine, the server conditions and messages take precedence over the client conditions and messages. 6 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

7 Security Data Integrity: Throughout the diagnosis and correction procedure, the utility maintains the integrity of the contents of your company database. The utility provides you with the command to back up your company database. Prior to applying a fix from within the Equity Edge Diagnostic Utility, you should back up the company s Equity Edge database. Note: If, after reviewing the fix, you desire to revert to the previous state of the company database, launch the Equity Edge program and use the File Database Restore command to restore the company s database. Internal Log: The Equity Edge Diagnostic Utility maintains an internal log file containing the set of internal errors (if any are encountered), and a complete record of each issue that you attempted to fix along with the timestamp of the attempt. If you attempt to fix a component more than once, the log file will maintain a record of the recurring attempts to fix the component. This internal log file is not accessible through the utility. Security Company Users of the Equity Edge program can log in to the Equity Edge Diagnostic Utility application. The following table lists the privileges based on the Company User profile: Table 1 Security Access Privileges for Equity Edge Diagnostic Utility Security Profile Analyze Apply Fix Backup Apply Update Company User (previously known as Equity Edge User) Yes No For Equity Edge 6.2 and earlier versions: Yes For Equity Edge 7.0 and later versions: If the Back Up checkbox has been selected in the Company User record No Company User who has System Security privilege Yes Yes Yes Yes Enterprise Edition Users Only: If the new Row-level Security feature has been enabled in the Equity Edge program, and you are assigned to a security group, you can resolve any issue by executing the Apply Fix function in the Equity Edge Diagnostic Utility. Note that, when the utility resolves an issue, that corrective step may affect all the related records in your Company database, not just those records in your Security Group E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 7

8 : Equity Edge Diagnostic Utility System Requirements In order to run the Equity Edge Diagnostic Utility you will require one of the following versions of Microsoft TM Windows platform: Windows NT 4.0 Workstation Windows 2000 Professional Windows XP Professional Windows 2003 Server Equity Edge Versions Supported The Equity Edge Diagnostic Utility is available for the following versions of Equity Edge software: Equity Edge 7.0: By default, the Equity Edge Diagnostic Utility is installed along with the installation of Equity Edge 7.0. Equity Edge versions prior to Equity Edge 7.0: The Equity Edge Diagnostic Utility is also available as a separate install package for Equity Edge 6.x versions. It is not available for Equity Edge versions prior to Equity Edge 6.0. Default Location for the Utility The Equity Edge installer routine installs the Equity Edge Diagnostic Utility program under <DRIVE>:\PROGRAM FILES\. Utility installed with the Equity Edge program: If the Equity Edge Diagnostic Utility is installed on the same machine as the Equity Edge program, the installer routine installs the utility in the same directory where it installs the Equity Edge program. By default, the Equity Edge Diagnostic Utility will be a separate executable under Equity Edge in the directory <DRIVE>:\PROGRAM FILES\EQUITY EDGE\EEDU. Utility installed as Independent package: If the Equity Edge Diagnostic Utility is installed as an independent package, the installer routine installs the utility in the directory that you specify. By default, the Equity Edge Diagnostic Utility will be available in the directory <DRIVE>:\PROGRAM FILES\EEDU. 8 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

9 Accessing the Utility Accessing the Utility Initial Access As stated earlier, any Company User can log in to the Equity Edge Diagnostic Utility. In order to access the Equity Edge Diagnostic Utility: Locate the eedu.exe file in the directory where you have installed the diagnostic utility. Double-click on the entry for the eedu.exe file. Or, Select START PROGRAMS EQUITY EDGE EEDU if you have installed the utility under the Equity Edge folder. Otherwise, select START PROGRAMS EEDU. When you initially launch the Equity Edge Diagnostic Utility, and there is no information pertaining to a company database currently stored on your machine, the utility will display one of the following versions of the Connection Manager window: Figure 2 Connection Manager Window Requiring Information By Equity Edge Version Note that, in the above windows, you need to enter all the information required to access a company database. Ongoing Access When information exists for one or more company database(s), the utility will display one of the following Logon windows: 2007 E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 9

10 : Equity Edge Diagnostic Utility Figure 3 Logon Window Requiring Company User Record Information Note that, in the Logon windows shown above, the utility requires only the Equity Edge Username and Equity Edge Password associated with a Company User record. For the remaining fields, the utility defaults to the information associated with the most recently accessed company database from the Equity Edge program. Enter the required values in the appropriate window and select OK. (The fields on the windows are described under Input Fields For Connection Manager and Logon Windows on page 12.) If the Equity Edge Diagnostic Utility validates your input, the utility displays the main window where you can perform the necessary analysis: Figure 4 Main Window of the Equity Edge Diagnostic Utility (Including Database) In this version of the main window, the Equity Edge Diagnostic Utility can be used to perform an analysis of the components related to machine, database, connectivity, and application. 10 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

11 Accessing the Utility Access without a Company Database When you select the Cancel button in the Connection Manager window or in the Logon window of the Equity Edge Diagnostic Utility, the utility displays the following main window: Figure 5 Main Window of the Equity Edge Diagnostic Utility (excluding Database) Note that in this version of the window, the utility does not display the System Component category called Database and it allows you to perform an analysis of the remaining three components. Additionally, the Exclude Database Structure Analysis checkbox (Figure 1) is not displayed in this version of the window. Such an analysis would be especially useful when you have not yet set up any database connections. For instance, you may want to run this utility on a personal computer to check if it meets the minimum hardware requirement and so on. For this type of access, you do not need not log in to a company database. The utility will provide you with an analysis of the current state of your machine with respect to machine components, connectivity, and application components. Error Conditions If the Equity Edge Diagnostic Utility is unable to validate your entries in the Connection Manager window or the Logon window, it will issue an appropriate error message E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 11

12 : Equity Edge Diagnostic Utility Input Fields For Connection Manager and Logon Windows The following table shows the status of the fields in the Logon window (Figure 2) and Connection Manager window (Figure 3): Table 2 Input Fields on the Logon and Connection Manager Windows Field on Window Equity Edge 7.0 (and later) Equity Edge 6.2 (and earlier) Equity Edge Username Equity Edge Password Required Entry; Enter Equity Edge User ID Required Entry; Enter Equity Edge Password Required Entry; Enter Equity Edge User ID Not required; Enter Equity Edge Password Equity Edge Version Required field; Select appropriate Equity Edge version from drop-down list Required field; Select appropriate Equity Edge version from drop-down list Database Username Database Password Company Schema Connection Name Not required; Blank Display Not required; Blank Display Required Entry; Enter appropriate Equity Edge Company/Schema Required Entry; Workgroup Users: Enter appropriate Database connection name Enterprise Users: Enter appropriate TNS connect string to the Oracle database server Required Field; Enter appropriate Database User ID Required Field; Enter appropriate Database Password Not required; Blank Display Required Entry; Workgroup Users: Enter appropriate Database connection name Enterprise Users: Enter appropriate TNS connect string to the Oracle database server Command Buttons in the Logon and Connection Manager Windows The Logon and Connection Manager windows have the following command buttons: OK: When you select OK, if you have provided valid entries, the Equity Edge Diagnostic Utility will log you in and display the main window as shown in Figure 4 on page 10. If your input values are not valid for any currently stored connection information, the utility will issue an appropriate error message. Cancel: As already described, the Cancel button displays the main window where you can analyze the non-database related components. 12 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

13 Performing an Analysis Performing an Analysis The Equity Edge Database utility can be used to obtain a complete picture of the four main system components of the Equity Edge program machine, database, connection, and application. Alternately, you can launch the utility to perform analysis of the non-database components. In either scenario, you can also select specific component(s) of the system and limit your analysis. When you execute the Analyze function in the Equity Edge Diagnostic Utility, it provides you with the required analysis. You can save this analysis and review it using an appropriate text editor application. Steps to Perform an Analysis In order to analyze one or more components of the Equity Edge program, 1. Launch the Equity Edge Diagnostic Utility. Based on your input, the main window appears (as shown in Figure 4 and Figure 5). 2. Select the Analyze tab. 3. Select the checkbox(es) corresponding to the System Component(s) you wish to analyze. 4. If the client and the server both reside on the same machine, then, by default, the checkbox to analyze as Server is selected. Select whether you wish to analyze the client or the server aspect of the system. Figure 3 Components Selected For Analysis 5. Select the Analyze System command button E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 13

14 : Equity Edge Diagnostic Utility 6. The Equity Edge Diagnostic Utility begins the analysis of your selection(s). A progress bar appears as shown below: Figure 4 Status Bar Showing Progress of an Analysis Note: If you select Cancel during an Analyze operation, the utility will abort the analysis and return you to the Analyze tab. However, the utility will display the results for those items for which it was able to complete the analysis (before it aborted the attempt). 7. When the utility completes the analysis, it populates the Analyze tab with its findings: Figure 5 Results of a Sample Analysis 8. Select the Save button. The utility displays a Save As browser window. 14 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

15 Performing an Analysis 9. Select an appropriate location (and if necessary, enter a different name) for the results of the current analysis. By default, the file is called Analyze.txt and is in text format. 10. Select OK. The Equity Edge Diagnostic Utility saves the current analysis under the name you provided and in the location you selected. It displays a Confirmation message as shown below: Figure 6 Confirmation Message Indicating Success in Storing Contents of an Analysis 11. Select OK to close this window. The Equity Edge Diagnostic Utility closes the dialog window and returns you to the Analyze tab of the utility for further action. Contents of the Analyze Tab Figure 7 Analyze tab The following window elements are displayed under the Analyze tab. System Information Grid Exclude Database Structure Analysis Checkbox 2007 E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 15

16 : Equity Edge Diagnostic Utility Analyze as Client Checkbox Analyze as Server Checkbox Analyze System Command Button Save Command Button The System Information is displayed under the following columns: System Components, Issue, Value, and Issue. System Components The System Components column lists the four component categories Machine, Database, Connectivity, and Application. Each System Component category is associated with a checkbox and an expandable field indicator with the icon. In order to view the items that belong to a component category, select on the icon. The diagnostic utility displays all the items in the category to which the selected icon belongs. (The + sign in the icon changes to a - sign.) By default, all the checkboxes are cleared. The diagnostic utility performs an analysis on a component category only if you have selected its corresponding checkbox. Issue (Icon) If an analysis discovers an inconsistency in one or more items in a component category, the Issue (Icon) column will display the icon both at the main level for the category and at the individual item level for which the inconsistency was found. Figure 8 Example of Database-Related Issues Discovered by an Analysis Note: When you save the contents of the System Information grid, the utility replaces each instance of the Issue icon with a Yes entry in the saved file. 16 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

17 Performing an Analysis When you double-click on an Issue icon at the individual item level, the utility displays the corresponding details in a dialog box. For example, in the above window, the System Component entry called Missing Objects has an Issue icon and the corresponding entry in the Issue column reads Missing Objects (8). When the user double-clicks on the corresponding Issue icon (Missing Objects in the example), the utility displays the contents in a pop-up window named for the system component as shown below. When you see a hierarchical display as shown below, select each icon to expand that node in the hierarchy. Figure 9 Details of a Database Related Issue Select Close in the pop-up window to close it and return to the Analyze tab. Value For each individual item in a component category, the utility displays the current configuration as shown below. Figure 10 Example of the Contents of the Value Column for One Category 2007 E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 17

18 : Equity Edge Diagnostic Utility If there is an inconsistency, the utility displays the corresponding information as an issue. Issue (Details) The final column in the grid, Issue, displays the details of the inconsistency located at the individual item level in a selected component category. When the display details exceed the column width, the utility adds a... at the end of the text, as displayed for the Seed Data in Missing/changed seed data in RprtR... under the Issue column in Figure 11. When you double-click on the issue icon for such an entry, the utility displays the complete description in a pop-up window: Figure 11 Issue Details Expanded in Pop-up Window Select Close to close the pop-up window. Exclude Database Structure Analysis Checkbox This checkbox is displayed only if you are working with Equity Edge 7.0 database and later versions. By default, this checkbox is shown as selected, indicating that the program includes analysis of the database structure. Analysis of some database issues may tend to hang the Equity Edge Database Utility. As a result, in order to avoid this situation, clear the Exclude Database Structure Analysis checkbox before you execute an analysis. Analyze as Client (or Server) Checkboxes The two checkboxes Analyze as Client and Analyze as Server are mutually exclusive. If the client and server both reside on the same machine, then, by default, the Analyze as Server checkbox is selected. Select the required checkbox to perform the analysis on the client or the server machine. 18 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

19 Fixable and Not Fixable Issues Command Buttons The Analyze tab contains the following command buttons: Analyze System: When you click the Analyze System command button, the diagnostic utility starts the analysis on the selected component category/categories. Save: When, after an analysis, you click the Save button, the diagnostic utility saves the results to a.txt file at a location specified by you. List of Diagnostic Messages A complete set of the diagnostic messages that the Equity Edge Diagnostic Utility displays can be found in the chapter titled Equity Edge Diagnostic Utility (Tables) in the Equity Edge 7.0 Supplement. Fixable and Not Fixable Issues The Equity Edge Diagnostic Utility breaks down inconsistencies into two categories: Fixable and Not Fixable. Fixable: The utility identifies an issue related to a System component as Fixable if it can resolve the inconsistency associated with that component. The Apply Fix function of the diagnostic utility is provided in order for you to easily resolve the inconsistency. Not Fixable: The Equity Edge Diagnostic Utility identifies an issue related to a System component as non-fixable, if it determines that the correction of the related inconsistency is beyond the scope of the utility. Such an issue will require further action on your part. For example, if the diagnostic utility detects that the Oracle client version at your installation is not the recommended version, it will not take any further action to correct this issue. In such a situation, you will need to contact the appropriate persons in your IT department and upgrade your system accordingly. In other situations associated with issues that are not fixable, you may need to contact the Corporate Support group of E*TRADE FINANCIAL Corporate Services E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 19

20 : Equity Edge Diagnostic Utility Resolving Fixable Issues The Apply Fix tab of the Equity Edge Diagnostic Utility displays the issues that the utility can fix. Beginning with the Equity Edge 7.0 release, the utility will display a cumulative record of all the issues that it has fixed. For the earlier versions of the Equity Edge program, the utility will display a cumulative record of all the issues that it has fixed for the duration of the current session only. The Equity Edge Diagnostic Utility enables the Apply Fix tab once it has completed an analysis. Steps to Resolve a Fixable Issue Figure 12 List of Fixable Issues Before you attempt to resolve any issue with the help of the Equity Edge Diagnostic Utility, check that your Equity Edge Company User record has been given the System Security privilege. Additionally, you should create a backup of your company s Equity Edge database before you proceed to resolve any issue with the help of the Equity Edge Diagnostic Utility. 20 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

21 Resolving Fixable Issues The steps necessary to resolve an issue with the help of the utility are: 1. Select the Apply Fix Tab in the Equity Edge Diagnostic Utility. And within that tab, select the Fixable tab. The utility lists all the issues that the diagnostic utility has identified as fixable, and the component to which each issue belongs. As shown in Figure 12, if this is your initial attempt at applying a fix, the utility will not enable the Fixed tab at this time. This tab will be enabled once the utility succeeds in resolving an issue successfully. 2. By default, note that the utility displays the checkbox in the Fix? column as selected for every item displayed in the System Component column. Therefore, by default, the utility will attempt to fix every issue listed in the Fixable tab. If you do not wish to fix a specific issue at this time, clear the corresponding checkbox in the Fix? column for that issue. 3. Select the Apply Fix command button. 4. The diagnostic utility alerts you to create a backup of the Equity Edge database before proceeding with a correction. Figure 13 Warning to Back Up Database Before Reconciling an Issue To Create a Backup: If you have not already created a backup of your current company database, select No in the Back Up Warning window. Back up the company database as described in the section Installing an Equity Edge Database Update on page 32. Then select the Apply Fix command button. To Continue with the Apply Fix: Select Yes in the Back Up Warning window (see Figure 13) E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 21

22 : Equity Edge Diagnostic Utility 5. The diagnostic utility proceeds to resolve the issue(s) that you require fixed. A progress bar displays the status of the correction procedure. Note: If you select Cancel in this window, the utility will abort the correction procedure and return you to the Apply Fix tab. However, the utility will display the results for those items that it was able to fix (before it aborted the attempt.) 6. When the utility completes the correction procedure, it populates the Result column in the Fixable tab with the results of its actions. In addition, for each system component selected to be resolved, the utility displays a timestamp to identify when the utility attempted to resolve the issue. Figure 14 Results Displayed After Executing an Apply Fix Command Note that, once the utility has an entry in its record of issue(s) that it has fixed, the utility enables the Fixed tab in the above window. (Compare with Figure on page 20.) 7. Once you are satisfied with the results, if you wish to maintain a record of the results, select Save. A Save As browser window appears requiring you to select a location for the file. Select a location and, if necessary, a different name from the system default name fixable.txt for this file. 8. Select OK. The utility saves the contents of the display in the Fixable tab in a text file at the location and in the file you specified in the Save As window. 22 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

23 Resolving Fixable Issues If you now return to the Analyze tab, select the component categories which you resolved, and select the Analyze System command, you will see the updated information in the resulting analysis. Figure 15 Results of Second Analysis (after resolving issues) For example, in the above figure, the entries in the Value and Issue columns for the two items, Seed Data and Sequences differ from what was shown by the utility before these issues were resolved ( Figure 5 on page 14). The following section describes the window elements of the Fixable tab E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 23

24 : Equity Edge Diagnostic Utility Contents of the Fixable Tab Figure 16 The Fixable Tab The Fixable tab displays the information relevant to the fixable issues, and the Select All, Clear All, Apply Fix, and Save command buttons. Fixable Issues The grid in the Fixable tab (Figure 16) displays the details of each fixable issue under the following columns: Fix?: This column entry contains a checkbox which displays as selected or cleared indicating whether or not an issue relating to a component is to be fixed by the utility. If there is an entry in the System Component column, then, by default, the utility will display the checkbox in the Fix? column as selected indicating that the issue is to be fixed. If you click Apply when this checkbox is selected for a corresponding entry in the System Component column, the utility will attempt to fix the issue relating to that component. System Component: The System Component column displays the individual component within the main categories Machine, Database, Connectivity, and Application with which the utility detected an issue. This entry can also be seen in the results under the Analyze tab as shown in Figure 5 on page 14. Issue: The Issue column displays the inconsistency that the diagnostic utility detected with respect to the corresponding entry in the system component. This entry can also be seen in the results of the analysis for the corresponding entry under the Analyze tab as shown in Figure 5 on page Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

25 Resolving Fixable Issues Double-click on an entry in the Issue column to view its full description. The utility displays a pop-up window named for the selected item, as shown here: Figure 17 Detail Shown For a Selected Issue Select the Close button in the pop-up window to close it. Result: The Equity Edge Diagnostic Utility populates the Result column after it completes an Apply Fix command given by you (when you select the Apply Fix button). Each entry in this column indicates whether the correction procedure was successful or unsuccessful. If the utility was successful in correcting the issue related to the selected system component, it displays the entry Issue Fixed in this column. Otherwise, the utility displays the entry Issue Not Fixed in this column for that component. TimeStamp: The Equity Edge Diagnostic Utility populates the Timestamp column after it completes an Apply Fix command given by you (when you select the Apply Fix button). Each date and time entry in this column is in MM/DD/YY HH:MM:SS AM or PM format and indicates when the utility attempted to resolve the corresponding issue. Command Buttons The Fixable tab in the Equity Edge Diagnostic Utility contains the following command buttons: Select All: When you choose the Select All command button, the utility selects every checkbox displayed in the Fix? column. When you now select Apply Fix, the utility will attempt to fix every item displayed in the System Component column. Clear All: When you choose the Clear All command button, the utility clears every checkbox displayed in the Fix? column, indicating that you do not require any issue displayed on the grid to be fixed E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 25

26 : Equity Edge Diagnostic Utility Apply Fix: The Apply Fix command button in the Fixable Tab will be disabled if your Equity Edge Company User record has not be provided with System Security privilege. When you choose the Apply Fix command button, the utility attempts to fix every issue for which you have selected the corresponding checkbox in the Fix? column. Save: When you choose the Save command button, the utility saves the contents of the current display in a text file at a location selected by you. The name of the file is based on the current tab: Fixable: The default name for the text file saved from the Fixable tab is Fixable.txt. Fixed: The default name for the text file saved from the Fixed tab is Fixed.txt. Not Fixable: The default name for the text file saved from the Not Fixable tab is NotFixable.txt. Reviewing Fixed Issues For Equity Edge 7.0 release, the Equity Edge Diagnostic Utility maintains a history of the corrections it successfully makes to the various components of the Equity Edge program. (For earlier versions of the Equity Edge program, the utility maintains the history only for the duration of a single session.) This history is presented in a grid format under the Fixed tab. Figure 18 Fixed Tab 26 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

27 Reviewing Fixed Issues The contents of the Fixed grid are previously explained under Fixable Issues on page 24. You can save the contents of the grid by selecting the Save command button and specifying a desired location. History of Issues Corrected by Utility For Equity Edge release versions prior to the Equity Edge 7.0 release, the Equity Edge Diagnostic Utility maintains a history of the issues that you fixed only for the current session, that is until you log out of the utility. When you log out of the Equity Edge Diagnostic Utility, the utility discards that list of fixed issues along with the results of any analysis it displayed for the session. Beginning with the Equity Edge 7.0 release, the Equity Edge Diagnostic Utility maintains a history of the issues that you fixed until you delete the entries from the Fixed tab using the Clear table command. Clearing Correction History The Clear Table command will clear all the entries in the grid shown in the Fixed tab. When you select this command, the utility requests a confirmation by displaying the following dialog box: Figure 19 Confirmation Required to Clear Correction History Yes: Select Yes to clear the entries. The Equity Edge Diagnostic Utility will clear the entries permanently from the Fixed tab. No: Select No to revoke the Clear Table command and close the Clear Table Warning window. The Equity Edge Diagnostic Utility continues to maintain and display the list of fixed issues in the Fixed tab E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 27

28 : Equity Edge Diagnostic Utility Dealing with Non-Fixable issues As stated earlier, a non-fixable issue is one which the Equity Edge Diagnostic Utility will not attempt to correct. Such an issue will require further action on your part. When you perform an analysis, the diagnostic utility reports all such non-fixable issues in the grid under the Not Fixable tab, as shown below. Figure 20 Not Fixable Issues Grid The contents of the Not Fixable grid have been described earlier on page 24. As with the remaining results of any analysis displayed by the utility, these entries persist only for the duration of your current session. When you exit from the current session of the Equity Edge Diagnostic Utility, it discards the entries. In order to resolve the issues identified by the utility as being non-fixable, 1. Select the Save command button on this tab. The utility displays the Save As browser window. 2. Select a desired location, and, if necessary, provide another name to override the system default NotFixable.txt. 3. Select the Save command in the Save As browser window. Use an appropriate text editor application to access the contents of the saved file and take further action to resolve each issue. In most cases, your IT department will be able to assist you in reconciling the inconsistencies reported by the Equity Edge Diagnostic Utility. However, there may be instances where you will need to contact Corporate Support. 28 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

29 Exporting Diagnostics Data Creating a Backup of Your Database The Equity Edge Diagnostic Utility is equipped with the backup function currently in Equity Edge. Steps to Create a Backup Using the Equity Edge Diagnostic Utility The Backup function will create a.dmp file and place it in a location specified by you. In order to create a backup of your company s Equity Edge database from within the Equity Edge Diagnostic Utility, 1. Select File Database Back Up. 2. The application prompts you to specify a folder for the backup in the Back Up To window. 3. Select a desired location for the destination folder. (For databases that need to be accessed by more than one Test Machine, save this backup file on a network location.) 4. Enter an appropriate name. Note that there should be no blank spaces in the name you specify for the backup file. 5. Choose the Save button. The backup is complete when the Database Backup is Complete message appears. Note: The backup is complete when the Database Backup Completed message appears. If you receive the Error 53 File not found error during the database backup, please contact your DBA and confirm that the Oracle client is installed and that the Oracle Utilities exp.exe program is also installed. Exporting Diagnostics Data The Equity Edge Diagnostic Utility enables you to export the diagnostic data through a set of reports. When you select a report for export, the utility opens the selected file in the window of an appropriate text editor application. The exports contain the information displayed in each of the tabs in the utility. Each report includes the date and time at which it was created. If there is no data available for a selected report, the Equity Edge Diagnostic Utility displays the message, No data found. The individual exports are: Analyze: The Analyze export contains the information displayed when you select the Analyze tab in the utility. Apply Fix-Fixable: The Apply Fix-Fixable export contains the information displayed when you select the Fixable tab under the Apply Fix tab in the utility E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 29

30 : Equity Edge Diagnostic Utility Apply Fix-Fixed: The Apply Fix-Fixed export contains the information displayed when you select the Fixed tab under the Apply Fix tab in the utility. Apply Fix-Not Fixable: The Apply Fix-Not Fixable export contains the information displayed when you select the Not Fixable tab under the Apply Fix tab in the utility. Combine All: This export combines all the above reports. If there is no data under any of the groups, the report displays no data under each section. Steps to Create an Export In order to create an export of the values displayed by the utility, 1. Select File Export. The File Export window appears as shown below. Figure 21 File Export window 2. Select the required file to export from the drop-down list for the Report Title field. 3. Select the Export Preview command. The utility opens the selected file in the window of an appropriate text editor application as shown below: Figure 22 Fixable Export 4. Use the text editor application commands to save the exported text file, if necessary. 5. Close the text editor application window to return to the Equity Edge Diagnostic Utility. 30 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

31 Exporting Diagnostics Data File Export Window The File Export window contains the following elements: Report Title: This is a drop-down list of the set of reports available from the diagnostic utility. The available selections are: Combine All: Combines the data from all the reports available in the utility into one report. Analyze: Export the details of the current analysis displayed in the Analyze tab. Apply Fix - Fixable: Export the details of the fixable issues as currently displayed in the Fixable tab. Apply Fix - Fixed: Export the details of the issues that were fixed by the diagnostic utility as currently displayed in the Fixed tab. Apply Fix - Not Fixable: Export the details of the issues that cannot be fixed by the utility as currently displayed in the Not Fixable tab. Export Preview: This command button displays a preview of the selected report output. The preview is displayed in the window of an appropriate text editor application. Close: The Close button closes the File Export window E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 31

32 : Equity Edge Diagnostic Utility Installing an Equity Edge Database Update The Equity Edge Diagnostic Utility also successfully installs updates to the Equity Edge 7.0 database and maintains an internal history of the updates that it applies. If you are working with a version of the Equity Edge database prior to Equity Edge 7, the program disables the required command from the File menu, as shown below: The utility will not install an update if that update is out of sequence. For example, if the current version of your company s Equity Edge database is 7.0.1, and if the Equity Edge Diagnostic Utility detects that you have not installed the update version, it will not install an update with a version number Important! This feature is available only for Equity Edge versions beginning with Equity Edge 7.0. Security In order to be able to install an Equity Edge database update with the Equity Edge Diagnostic Utility you need to have the appropriate security profile with System Security Administrator privilege. Important! When a Company user is attempting to correct an issue with the help of the Equity Edge Diagnostic Utility, no other Company user should access that Equity Edge database at the same time. The corrections made by the diagnostic utility may affect some or all of the accounts in the Company database. Types of Updates The Equity Edge Diagnostic Utility installs two types of updates General Equity Edge database updates and Customer-specific database updates. 32 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

33 Installing an Equity Edge Database Update General Equity Edge Database Updates The General Equity Edge database updates result from changes that address general issues common to all customers and that affect the general schema. Whenever there is a new update, it will be made available for you to download from the Corporate Services website at us.etrade.com/e/t/corporateservices. The Equity Edge Diagnostic Utility specifies the location where you need to place these updates when you download them from the website. (This is described in Required Storage Location For All Downloaded Updates on page 33.) General Equity Edge database updates are named as EEDBUpdateX.Y.Zsql or EEDBUpdateX.Ysql and so on (for example, EEDBUpdate7.0.2sql or EEDBUpdate7.1sql). The Equity Edge Diagnostic Utility installs each general Equity Edge database update only once. Customer-specific Equity Edge Database Updates Customer-specific Equity Edge database updates may result when a very specific change is made to address an issue relating to an individual customer s Company database. Such an update is made available only to the specific client for whom it was created and is not available from the Corporate Services website. You need to copy such an update to the same location that the Equity Edge Diagnostic Utility specifies for the general Equity Edge database updates. (This is described in Required Storage Location For All Downloaded Updates on page 33.) Customer-specific Equity Edge database updates are named as EEDBUpdateX.Y.Z.Csql (for example, EEDBUpdate sql or EEDBUpdate sql). In some instances, a Customer-specific Equity Edge database update file will be enabled to be installed multiple times. You can install such a Customer-specific Equity Edge update more than once, as is necessary. The Equity Edge Diagnostic Utility will maintain and display the count of the number of times that it has installed such a Customer-specific Equity Edge database update. Required Storage Location For All Downloaded Updates The installer routine creates a special directory called EEDU Updates under the EEDU directory. The Equity Edge Diagnostic Utility specifies this directory as the location where you must place the updates you download from the website or the customer-specific updates created to meet your special requirement. You should locate the updates that you download into the EEDU Updates only E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 33

34 : Equity Edge Diagnostic Utility Note: In order for the Equity Edge Diagnostic Utility to install your updates, you must use only the specified (EEDU Updates) directory to store the updates that you download from E*TRADE FINANCIAL s corporate service s website. Downloading an Equity Edge Update In order to download an update to the Equity Edge 7.X database, 1. Locate the required update in the E*TRADE FINANCIAL s Corporate Website: a) The installer file for each update will be located at the Corporate Services website at b) The installer file for the update will be located under the appropriate folder, for example EEDBUpdate7.1sql. c) In order to be able to download the installer file, enter your contact information and the access code provided by E*TRADE FINACIAL Corporate Support or the implementation team. 2. Check to see if the update you plan to download is in a compressed format (that is, the file name is EEDBUpdateX.Ysql.zip). Important! The Equity Edge Diagnostic Utility will not install updates that are stored as compressed files. Place only the extracted file in the EEDU Updates folder. Update in Compressed Format: If, for any reason, you receive an update that has been compressed then, a) Download the compressed file to another location (and not the EEDU Updates folder). b) Use the WinZip application to extract the update file (for example EEDBUpdateX.Ysql file.). 3. Save the extracted update file (for example, the EEDBUpdate7.1sql) in the required EEDU Updates folder on your computer. The EEDU Updates directory on your computer now contains the currently downloaded update to the Equity Edge database. 34 Equity Edge 7.1 Tech Alert 2007 E*TRADE FINANCIAL Corp.

35 Installing an Equity Edge Database Update Applying an Equity Edge Update Figure 23 Install Update Screen (Initial and Example Views) Initially, when you have not installed any updates through the Equity Edge Diagnostic Utility, you will see the screen shown on the left in the above figure. Once you have downloaded Equity Edge update(s), you will see the window populated by the names of the update(s) located in the EEDU Updates folder. Note that, the utility checks the EEDU Updates folder and displays the contents in the appropriate section of the Apply Equity Edge Update window. The figure on the right shows that there are two updates that are located in the EEDU Updates folder and available for installation. While both the updates are available to be installed, one of them EEDBUpdate7.0.3sql cannot be installed because the utility detects that the user needs to install another update before installing this update. In order to apply an Equity Edge update, 1. Ascertain that you have downloaded the required update(s) into the EEDU Updates directory. (Note that, if the downloaded update was in a compressed format, only the extracted file should be placed in this location.) 2. Ensure that, at the time you plan to install the update(s), no other Company User is logged into the Equity Edge database to which you are attempting to apply the update. 3. Start the Equity Edge Diagnostic Utility, if necessary E*TRADE FINANCIAL Corp. Equity Edge 7.1 Tech Alert 35