THOMSON REUTERS WORLD-CHECK ONE SCREENING AND CASE MANAGER USER GUIDE

Transcription

1 THOMSON REUTERS WORLD-CHECK ONE SCREENING AND CASE MANAGER USER GUIDE Issue Date: 31/05/2016

2 Legal Information Copyright Thomson Reuters All Rights Reserved. Thomson Reuters, by publishing this document, does not guarantee that any information contained herein is and will remain accurate or that use of the information will ensure correct and faultless operation of the relevant service or equipment. Thomson Reuters, its agents and employees, shall not be held liable to or through any user for any loss or damage whatsoever resulting from reliance on the information contained herein. This document contains information proprietary to Thomson Reuters and may not be reproduced, disclosed, or used in whole or part without the express written permission of Thomson Reuters. Nothing in this document is intended, nor does it, alter the legal obligations, responsibilities or relationship between yourself and Thomson Reuters as set out in the contract existing between us. Thomson Reuters recognizes that, in appropriate cases, some names used in this publication are the trademarks of their respective companies This software may only be used in conjunction with Thomson Reuters services. It may not be resold, transferred, reproduced or copied by any means whatsoever (except for back-up purposes). Thomson Reuters does not warrant the performance of non Thomson Reuters equipment or agree to support or maintain non Thomson Reuters equipment. Thomson Reuters does not warrant that non Thomson Reuters equipment will be compatible with the service. Screening and Case Manager User Guide Document Version 0.4

3 Contents Contents About this document... 6 Intended readership... 6 In this document... 6 Feedback... 6 Glossary... 6 Introduction... 7 Supported Searches... 7 Login... 8 Maintenance Mode Groups Navigation...12 Icons Accelus Search Menus Toolbars Mandatory Fields Additional Information Buttons Mandatory Actions Filters Quick Next/Previous Name Search Initial Screening...19 Single OR Batch Screening Zero Footprint Screening Individual Case Organization Case Vessel Case Unspecified Case Ongoing Screening (OGS)...33 Batch Screening...34 Screening and Case Manager User Guide Document Version 0.4

4 Contents Case Summary...35 User Activity Main Toolbar Screen Archive Edit Assign Ongoing Screening (OGS) Export Enhanced Due Diligence (EDD) World-Check...43 Individual Organization Vessel Unspecified Comparison Data World-Check Profile Example of Vessel Comparison Data Resolve Match Connection Risk Analyzer...58 How to access the Connection Risk Analyzer Key features of the CRA visualization page How to navigate on the Connection Risk Analyzer visualization page Zooming Moving the visualization on the page Display indirect connections Degrees of Separation/Levels Passport Check...67 Audit...68 Case Manager...69 Filter Types Reset Filters Search: Filters Exclude Archive Check Type Groups Batch Assignee Ongoing Screening Mandatory Actions Entity Type Screening and Case Manager User Guide Document Version 0.4

5 Contents Last Modified By World-Check Unresolved Case Manager Results Real Time Updates Case Manager Export...78 Report Status Example of Case Manager Summary Report Example of Case Manager Detailed Report Case Delete...85 Appendix A - Politically Exposed Person (PEP) Sub Category...87 Screening and Case Manager User Guide Document Version 0.4

6 About this document About this document Intended readership The World-Check One users and Thomson Reuters Client Services staff responsible for supporting World-Check One Users. In this document This document provides a Guide to Screening, Case Manager and Audit available in World-Check One. Feedback If you have any comments on this document please contact the Thomson Reuters Risk Documentation team. Glossary The following abbreviations are used throughout this document: TERM CRM DOB EDD ICAO IMO KYC LE OB OGS PEP RE DEFINITION Customer Relationship Management Date of Birth Enhanced Due Diligence International Civil Aviation Organization International Maritime Organization Know Your Customer Law Enforcement Other Bodies On Going Screening Politically Exposed Person Regulatory Enforcement Screening and Case Manager User Guide Page 6 of 88

7 Introduction Introduction This user guide is for Thomson Reuters World-Check One, a highly scalable solution built for single users or large teams to support a highly targeted approach for screening during KYC on-boarding, ongoing monitoring, and rescreening cycles. It makes remediation quicker and more intelligent and is adaptable to meet changes in regulation. It is part of Thomson Reuters unified platform, built to meet the needs of the governance, risk and compliance community. World Check one is built to maximize Thomson Reuters proprietary World-Check data, using: Advanced name matching algorithms Secondary matching Filtering Customizable workflow Case management Advanced administrative and reporting capability Batch uploads Ongoing monitoring for high volume client names. Supported Searches The following searches are supported: Initial search will create a case and allow a user to resolve the matches. Ongoing Search will automatically re-screen the case against all updates and changes to the World-Check dataset every day. Manual re-screen, existing cases can be manually re-screened if the Screening details have changed (for example single name changed to married name) or because the particular case is not included in the Ongoing Search process by user s choice. Zero Footprint Search it will not create a case and no record of the user making the search is kept. Refer to the World-Check One Zero Footprint Screening User Guide for further information. Screening and Case Manager User Guide Page 7 of 88

8 Login Login Start your web browser and enter the URL to launch the World-Check One login page. Note: The following web browsers are supported by World-Check One: Internet Explorer 8, 9 and 10 Firefox (latest) Google Chrome (latest) Apple Safari (latest) Note: By default there is no limit to the number of logon attempts you may make. But both successful and failed logons are recorded to the audit trail. If you have forgotten your password/username, click Forgot my username or password to obtain a new one. You will be prompted to select your problem then enter your address, a new temporary password will be sent to the provided address. This must be changed by the user upon login. Enter your unique Username and Password Click Sign In. If you have multiple user/roles defined in World-Check One, you will be prompted to select what user/role you would like to use. Screening and Case Manager User Guide Page 8 of 88

9 Login Each user will have an OnePass account, but it can be linked to several user/roles in the application for different groups (Administrator role in one role, but Screener role into another), for example the user is part of large organization with multiple business units that translate in multiple groups into World-Check One. Once you have selected your role, click Continue to complete the login process. If the User has been assigned only Case-related permissions The following is displayed once you have logged in: If the menu options are not listed, then click drop-down arrow to display the menu options for: Screening Case Manager Help Screening and Case Manager User Guide Page 9 of 88

10 Login A case can only be created from the Screening page where you first initiate the process of checking a specific entity by selecting the following screening criteria: Group Entity type (Individual, Organization, Vessel, Unspecified) Check type (World-Check and Passport-Check) Screening and Case Manager User Guide Page 10 of 88

11 Login Maintenance Mode When the World-Check One application is going under maintenance, the user that tries to log in will see the following screen: Please try and log in at a later time. Groups There is no particular limitation to the number of groups and hierarchical nesting in World-Check One. Typically an organization may set their groups up in such a way that it replicates, for example their business units or geographic footprint (German Office, UK Office etc). Groups are added through the related Admin feature. Within a group the following can be configured based by individual clients and/or groups needs and directly by the group Administrator user, who would be an individual in the user organization: Product Subscriptions Standard Premium Premium Plus Screen settings Score Threshold Sources Screening type Initial Ongoing Screening (OGS) Zero Footprint Screening (ZFS) Customizations Custom Fields Resolution Toolkit Auto-resolution Settings For further information on groups, refer to World Check One Client Administrator User Guide. Screening and Case Manager User Guide Page 11 of 88

12 Navigation Navigation Icons Icons are used to identify different entities in the system: Individual Organization Vessel Unspecified Note: Unspecified is used when you do not know what entity type you require or the entity does not naturally fall under the other 3 entity types(not an Individual, Organization or Vessel e.g. a Country). Screening and Case Manager User Guide Page 12 of 88

13 Navigation Accelus Search Accelus Search currently supporting World-Check profile search You can enter a World-Check ID in the Search field on the top left corner of the page, and then click Search to display the profile of the searched ID: Menus Accelus Menu options can be accessed by clicking the A (Accelus) icon; you can use the Logout menu item to log out from World-Check One. Main menu options are displayed on the left hand side. Once an option is selected, it changes color (for example Vessel below): Screening and Case Manager User Guide Page 13 of 88

14 Navigation Toolbars On the right top corner, toolbar options are available to the use, for example within a Case Summary Page: If you hover the mouse cursor over the option, the name is displayed and if you click on the option, it changes color and a window is displayed with new options: For further information on toolbars, refer to Main Toolbar section. Screening and Case Manager User Guide Page 14 of 88

15 Navigation Mandatory Fields Mandatory fields are marked with an asterisk (yellow). Mandatory fields must be populated before proceeding with screening. Additional Information If additional information is available for the field, it is marked with i (grey bubble). Click i to view additional information. Buttons Buttons area available on different pages to perform actions such as Screen, Save etc. for example: Screen button Save button Mandatory Actions You are alerted that there is a pending action by an exclamation mark! (in red bubble). For example from Case Manager: Screening and Case Manager User Guide Page 15 of 88

16 Navigation Click on the exclamation mark! to display a pop up message of the pending actions: The message indicates 12 unresolved matches in World-Check; you will have to click on the case name to access the World-check matches. Filters Filters are available to help you narrow the selection of relevant records. Filters can be identified by arrows preceding the name of the filter. Filters can be expanded and collapsed by click/unclicking the arrows. For example in Case Manager Entity Type (other filters: Archive, Check Type, Groups, and Assignee etc.) Screening and Case Manager User Guide Page 16 of 88

17 Navigation Once a filter is selected, you can add more filters: Click Choose More to display the following: You can select more filters by clicking on relevant the filter (highlighted in orange color) and click Apply. The selected filters will be added to the Entity Type filters. To reset the filters to default settings click Reset Filters. Screening and Case Manager User Guide Page 17 of 88

18 Navigation Quick Next/Previous Whenever multiple records/results are available based on your selection (for example filters), but you have selected one record/result, on the top left corner the system indicates which record is being viewed. You can click the back/forth arrows to move to previous and next record/result. Name Search You can enter a Name to search in the related Search entry field in Case Manager (Individual, Organization, Vessel or Unspecified): Once you enter a name, the name will be auto filtered in the results table. Screening and Case Manager User Guide Page 18 of 88

19 Initial Screening Initial Screening A case can only be created from the Initial Screening page where you first initiate the process of checking a specific entity by selecting the following screening criteria: Group Mode (Single Batch) Entity type (Individual, Organization, Vessel, Unspecified) Check type (World-Check and Passport Check). Note: If the Batch feature is not ON for your groups, you will not see the Mode, you will land on the Initial Screening Page in single mode directly. Screening and Case Manager User Guide Page 19 of 88

20 Initial Screening Single OR Batch Screening In the following selection, you are required to enter data relating to the Single screening criteria. On entering data into the form for the first time, a new case is created in one of two ways depending on the action you perform next: a) You perform a Save action. Once you click Save, the context is retained on the Screening page and you can continue to edit/save the case or go on to screen the case. b) You perform a Screen action. Once you click Screen, the context changes from the Screening page to the actual Case page for this entity. You can perform subsequent edit/save and screen actions from within the case itself. Screening and Case Manager User Guide Page 20 of 88

21 Initial Screening In the following selection, you are required to assign a Batch Name and upload a Batch file for Batch Screening: Refer to Batch Screening for further information. Zero Footprint Screening Zero Footprint Screening allows you to screen for names and no persistent record of the searched name is maintained. Refer to the World-Check One Zero Footprint Screening User Guide for further details. Individual Case The Individual case function is used to screen single names of individuals, who are on the watch list of the World Check Data or another Check Type. To do a search on an Individual, select a Group to the display the following: Screening and Case Manager User Guide Page 21 of 88

22 Initial Screening Select Entity Types (Individual is selected by default) and select the Check Types, for example World-Check (once selected it will be highlighted in orange). Note: Fields with an asterix(*) are mandatory, they must be populated in order to start the screening process. Populate the following fields on the SCREENING form: Screening and Case Manager User Guide Page 22 of 88

23 Initial Screening Name Enter the name of the Individual you are searching for. Name translation is supported by the matching summaengine allowing the entry of foreign language text and it will be translated and matched against the Latin dataset. Conversely subscribers of Premium Plus data will be able to match Latin to the foreign language aliases within the data When screening a name, the matching engine also performs Name Transposition. If there is a match found in World-Check data and parts of the name do not match the order of the name screened, then the match is likely to have low match strength, as the different order influences the final match score. For more details on the World-Check Matching Engine please refer to the Matching Overview Guide in the World-Check One help page. Optional: If you are a client who has requested the Name Transposition feature to be ON, you will see the following optional field. Select check box to Include name transposition feature. Screening and Case Manager User Guide Page 23 of 88

24 Initial Screening Case ID Custom Field(s) Select this option if you are screening a name of three or more parts and are unsure of the order. Enter a unique identifier for a case. If the user does not populate it with its own reference when creating a Case, then the system will by default assign a case ID. If you do add your own unique reference for a case, the system will check to make sure this reference has not already been used in that group removing duplication of cases/names in the system. e.g. Account Manager, Internal Reference, and Cat Code You can have as many Custom Fields as you need depending on your screening requirements, typically it will be an identifier of some kind or additional reference information used in your organization associated to the case. For example the custom field could be an Account Number or a reference from the Customer Relationship Management (CRM). This may be a Project Name, it could be the name of the organization the individual is related to or belongs to a division of a bank. (Required or Optional based on group settings). These fields can be marked as required or optional, depending on the selected group settings. The following fields are secondary match data fields: Gender Date of Birth Select the gender of the individual. Select the date of the birth of the individual using the drop down menu or if you don t know the full date of birth, you can select the year only. Country of Residence Select the country of residence from the drop down menu or type in the country name to enable auto suggest. Place of Birth Nationality Select the place of birth from the drop down menu. Select the nationality from the drop down menu Note: You can click Save to save the case for later use. Once its saved the following message is displayed: The secondary match data fields are used by the system based on the configuration settings on the selected group. For example, if the group has been configured for Individuals to auto-resolve as false results that have nationality not matching for PEP, then if a result is found for PEP for the individual but the nationality is different than the one entered for the Individual, then that result will be autoresolved by the system as False. For further information on the group auto- resolution settings, refer to World-Check One Client Administrator User Guide. Once you have populated all the relevant fields, click Screen to start the screening process. Once a match has been found the following is displayed. The following is an example for screening an individual named Jane Doe. Screening and Case Manager User Guide Page 24 of 88

25 Initial Screening The CASE page is displayed. Organization Case This function is used to screen names of organizations against data sources provided by World Check Data. To do a search on an Organization, select a Group to display the following: Select Entity Types, click Organization and select the Check Types as World Check. Note: Fields with an asterix(*) are mandatory, they must be populated in order to start the screening process. Populate the following fields on the SCREENING form: Screening and Case Manager User Guide Page 25 of 88

26 Initial Screening Name Enter the name of the Organization you are searching for. Name translation is supported by the matching engine allowing the entry of foreign language text and it will be translated and matched against the Latin dataset. Conversely subscribers of Premium Plus data will be able to match Latin to the foreign language aliases within the data. When screening a name, the matching engine also performs Name Transposition. If there is a match found in World-Check data and parts of the name do not match the order of the name screened, then the match is likely to have low match strength, as the different order influences the final match score. For more details on the World-Check Matching Engine please refer to the Matching Overview Guide in the World-Check One help page. Optional: If you are a client who has requested the Name Transposition feature to be ON, you will see the following optional field. Select check box to Include name transposition feature. Case ID Custom Field(s) Select this option if you are screening a name of three or more parts and are unsure of the order. Enter a unique identifier for a case. If the user does not populate it with their own reference, when creating a Case, then the system will by default assign a case ID. For example Account Manager, Internal Reference, and Cat Code You can have many Custom Fields, depending on your screening requirements, typically it will be an identifier of some kind or additional reference information used in your organization associated to a case. Screening and Case Manager User Guide Page 26 of 88

27 Initial Screening For example the custom field could be an Account Number or a reference from the Customer Relationship Management (CRM). This may be a Project Name, it could be the name of the organization the individual is related to or belongs to a division of a bank. (Required or Optional based on group settings). These fields can be marked as required or optional, depending on the selected group settings. The following field is a secondary match data field: Registered Country Select the registered country from the drop down menu The secondary match data fields are used by the system based on the configuration settings on the selected group. For example if the group has been configured for organizations to auto-resolve as false results that have registered country not matching for Other Bodies, then if a result is found for Other Bodies for the organization but the registered country is different than the one entered for the organization, then that result will be auto-resolved by the system as False. For further details on the group resolution settings, refer to World-Check One Client Administrator User Guide. Once you have populated all the relevant fields, click Screen to start the screening process. Once the Name is screened, the CASE page is displayed. Vessel Case The Vessel function is used to screen names of Vessels against data sources provided by World Check Data or another CheckType. To do a search on a Vessel, select a Group to the display the following: Screening and Case Manager User Guide Page 27 of 88

28 Initial Screening Select Entity Types, click Vessel and select the Check Types as World Check. Note: Fields with an asterix(*) are mandatory, they must be populated in order to start the screening process. Populate the following fields on the SCREENING form: Name Enter the name of the Vessel you are searching for. Name translation is supported by the matching engine allowing the entry of foreign language text and it will be translated and matched against the Latin dataset. Conversely subscribers of Premium Plus data will be able to match Latin to the foreign language aliases within the data. When screening a name, the matching engine also performs Name Transposition. If there is a match found in World-Check data and parts of the name do not match the order of the name screened, then the match is likely to have a low match strength, as the different order influences the final match score. Screening and Case Manager User Guide Page 28 of 88

29 Initial Screening For more details on the World-Check Matching Engine please refer to the Matching Overview Guide in the World-Check One help page. Optional: If you are a client who has requested the Name Transposition feature to be ON, you will see the following optional field. Select check box to Include name transposition feature. Case ID Custom Field(s) Select this option if you are screening a name of three or more parts and are unsure of the order. Enter a unique identifier for a case. If the user does not populates it with their own reference, when creating a Case, then the system will by default assign a case ID. For example Account Manager, Internal Reference, and Cat Code You can have many Custom Fields, depending on your screening requirements, typically it will be an identifier of some kind or additional reference information used in your organization associated to a case. For example the custom field could be an Account Number or a reference from the Customer Relationship Management (CRM). This may be a Project Name, it could be the name of the organization the individual is related to or belongs to a division of a bank. (Required or Optional based on group settings). These fields can be marked as required or optional, depending on the selected group settings. The following field is a secondary match data field: IMO Number Type the International Maritime Organization (IMO) number of the vessel. The secondary match data fields are used by the system based on the configuration settings on the selected group. For example if the group has been configured for Vessels to auto-resolve as false results that have IMO not matching for Sanctions, then if a result is found for Sanctions for the vessel but the IMO is different than the one entered for vessel, then that result will be auto-resolved by the system as False For further details on the group resolution settings, refer to the World-Check One Client Administrator User Guide Once you have populated all the relevant fields, click Screen to start the screening process. Once the screening process is completed, the following CASE page is displayed. Screening and Case Manager User Guide Page 29 of 88

30 Initial Screening Unspecified Case The Unspecified function is used to screen Unspecified entity (could be an Individual, Organization or Vessel) names, against the data sources provided by World Check Data.. To do a search on an Unspecified name, select a Group to display the following: Select Entity Types, click Unspecified and select the Check Types, for example World Check. Screening and Case Manager User Guide Page 30 of 88

31 Initial Screening Note: Fields with an asterix(*) are mandatory, they must be populated in order to start the screening process. Populate the following fields on the SCREENING form: Name Enter the Unspecified name you are searching for. Name translation is supported by the matching engine allowing the entry of foreign language text and it will be translated and matched against the Latin dataset. Conversely subscribers of Premium Plus data will be able to match Latin to the foreign language aliases within the data. When screening a name, the matching engine also performs Name Transposition. If there is a match found in World-Check data and parts of the name do not match the order of the name screened, then the match is likely to have a low match strength, as the different order influences the final match score. For more details on the World-Check Matching Engine please refer to the Matching Overview Guide in the World-Check One help page. Optional: If you are a client who has requested the Name Transposition feature to be ON, you will see the following optional field. Select check box to Include name transposition feature. Case ID Custom Field(s) Select this option if you are screening a name of three or more parts and are unsure of the order. Enter a unique identifier for a case. If the user does not populate it with its own reference, when creating a Case, then the system will by default assign a case ID. For example Account Manager, Internal Reference, and Cat Code Screening and Case Manager User Guide Page 31 of 88

32 Initial Screening You can have many Custom Fields, depending on your screening requirements; typically it will be an identifier of some kind or additional reference information used in your organization associated to a case. For example the custom field could be an Account Number or a reference from the Customer Relationship Management (CRM). This may be a Project Name, it could be the name of the organization the individual is related to or belongs to a division of a bank. (Required or Optional based on group settings). These fields can be marked as required or optional, depending on the selected group settings. Once you have populated all the relevant fields, click Screen to start the screening process. Once the screen process is completed, the CASE page is displayed. Screening and Case Manager User Guide Page 32 of 88

33 Ongoing Screening (OGS) Ongoing Screening (OGS) Note: You need to be assigned to a role with permission to set Ongoing Screening on the case (permission = Case OGS ). OGS allows you to automatically set the screening name against updates the enabled data sources on an ongoing basis. The case has to be initially screened prior enabling OGS. You can also use this feature to disable OGS for case(s). If you want to set the case to OGS, from the main toolbar select Ongoing Screening. Note: You can select multiple cases from the Case Manager for OGS. Select Enable Ongoing Screening check box and click Apply. Once enabled the following message is displayed: To turn off OGS, click and remove the tick from Enable Ongoing Screening check box. Then click Apply, once turned off the following message is displayed. Screening and Case Manager User Guide Page 33 of 88

34 Batch Screening Batch Screening The World-Check One Batch Screening facility creates the ability to bulk upload and screen batches of names in a secure cloud-based environment for screening during KYC on-boarding, ongoing monitoring, and rescreening cycles. For a detailed description on Batch Screening, refer to the World-Check One Batch User Guide. Screening and Case Manager User Guide Page 34 of 88

35 Case Summary Case Summary On running a search, the match summary page is displayed. This shows the search summary and lists all the Key Findings, Activity of the case and details of the Case Profile. Note: You can click on any of the POSITIVE or POSSIBLE matches to view the World-Check profile details. Optional: If you are a client who has requested Name Transposition feature to be ON, you will see the following optional field in the Case Profile section to indicate if the name transposition feature was used for the case. Case Profiles will differ depending on the type of screening done (Individual, Organization or Vessel): Screening and Case Manager User Guide Page 35 of 88

36 Case Summary Name ID Ongoing screening Status IMO Outcome Registered Country Date of Birth Nationality Country of Residence Place of Birth Name of the Individual, Organization or Vessel User inputted ID of the case or an auto generated ID is assigned Indicates if ongoing screening is applied. Status of case, for example archive/un-archived. International Maritime Organization (IMO) number of the Vessel Outcome of the case Registered country of the organization. Date of Birth of the Individual Nationality of the individual Country of residence of the individual Place of birth of the individual Key Findings shows only possible and positive matches (this is only populated once you have resolved your matches): Once you have resolved your matches, the following is displayed. Resolution Status Type Match status of the screened search. Any matches found are listed by data source, grouped together under the following data categories: Sanctions (S) Law Enforcement (LE) Regulatory Enforcement (RE) Screening and Case Manager User Guide Page 36 of 88

37 Case Summary Matching Entity Resolved on Match Strength Risk Resolution Reason Resolution Comment Other Bodies (OB World-Check Research) Politically Exposed Person (PEP), for further details, refer to Appendix A - Politically Exposed Person (PEP) Sub Category Name of the matching entity Date the case was resolved on Activity section displays the latest case related activities: Match strength score of the matching entity compared to the name screened Risk assigned by the User to the matching entity, for example High, when resolving the match. Reason assigned by the User to the matching entity, for example Possible, when resolving the match. Resolution note optionally entered by the user when resolving the match, for example DOB not matching. Case Created Last Activity Last Activity Date Last Screening Date Assignee Case created date Last activity of the case, for example Case assigned Last time the case was accessed Last time the case was screened Name of the user who was assigned to the case User Activity The User Activity section displays if another user is viewing the same case as you; zero indicates only you are viewing it: If there is one or more number in the numeric field, this indicates that another user is viewing it: You can click on the exclamation mark to see the name of the User(s). Screening and Case Manager User Guide Page 37 of 88

38 Case Summary You will get a prompt message on your screen another user is viewing the same case. If the user leaves viewing the case, you will get the following prompt message on your screen: You can add a note through the Audit page to the other User(s) viewing the case and collaborate on the case, for example: You can see a user has left a note to the current user to review the case and let them know if the resolution is ok. Main Toolbar The main toolbar in the summary page has the following options: Archive Edit Screen Enhance Due Diligence Assign Ongoing Screening Export Screen Note: You need to be assigned to a role with permission to screen names (permission = Screen a Case ). Screen allows screening a case that has yet to be screened, for example if you originally entered the case information and selected Save instead of Screen on the Screening page. Screening and Case Manager User Guide Page 38 of 88

39 Case Summary It also allows rescreening a case after a Case is edited. The case is screened against the enabled check types (e.g. World-Check and Passport Check). Once you click Screen icon, it will start the screening process and once complete the following message is displayed: Archive Note: You need to be assigned to a role with permission to archive (permission = Archive a Case ). Archive allows archiving and un-archiving cases. For historical and audit purposes you can retain Cases in the system that are no longer needed on daily basis. You can archive a Case and it will be retained in the system, but in archived state and it can be filtered out from Case Manager page. If the Case has Ongoing Screening turned ON, the ongoing screening will cease upon archiving. The Case status is changed to Archived. To archive a case, from the main toolbar click Archive and select Archive check box and click Apply. The following message is displayed once archived successfully: If you want to re-instate a Case that has been archived in the past, for example the Entity is again in active business relationship, you can use the Archive option to un-archive the Case by removing the tick from the check box, then click Apply. The Case status is changed to Unarchived and the following message is displayed: Edit Edit allows you to edit the details that were entered on a Case. You can use this feature for example to correct typos on Organization name, or enter/amend secondary matching fields, for example the Nationality of the Individual was not known when the case was originally submitted, but the individual has provided the information in due course. You can then screen/re-screen the case with the edited information, which will take the case re-screen to manual mode (taking it out of OGS). If you still want the case on OGS, then you will have to turn OGS again on the case via the main toolbar. If you save without screening, the case is not rescreened again and it is not on OGS any longer, because when you save a case as you can do on the initial screening page, it is in the system but it is not screened or on OGS. Screening and Case Manager User Guide Page 39 of 88

40 Case Summary For example select a case to edit, then from the main toolbar click Edit to display the following: You can edit the entity details and click Screen to start screening and get an updated results or click Save to screen at a later date. Optional: If you are a client who has requested the Name Transposition feature to be ON, you will see the following optional field, when you open an existing case. Select check box to Include name transposition for an existing case. Select this option if you are screening a name of 3 or more parts and are unsure of the order When screening a name, the matching engine also performs Name Transposition. If there is a match found in World-Check data and parts of the name do not match the order of the name screened, then the match is likely to have a low match strength, as the different order influences the final match score. For more details on the World-Check Matching Engine please refer to the Matching Overview Guide in the World-Check One help page. Then click Save. If you had the name transposition feature selected on a case already and want to remove it, then click to remove check box tick. Screening and Case Manager User Guide Page 40 of 88

41 Case Summary Then click Save. Assign Note: You need to be assigned to a role with permission to Assign (permission = Assign a Case ). Assign allows you to assign cases to another user within the product or un-assign cases. On the Case Manager page it is possible then to filter and sort assigned cases by users (Assignee). From the main toolbar click Assign to display the following: Two options are available: My Group allows the 'assignor'(you) to assign a case to another user who is a member of at least one group that the 'assignor' is a member of. All Group allows 'assignor' (you) to assign a case to another user who is NOT a member of the groups that 'assignor' user is a member of. Select Assign To User drop down menu to select the user the case needs to be assigned to. You can use the drop down menu in one of two modes: Standard drop-down mode - By clicking the triangular control (on the left-hand side of the field) a drop-down panel slides down to reveal the entire list of users. Lookup mode - On clicking into the blank 'text' area and entering character(s), a panel slides down dynamically auto-populating with matching users as you continue to type. Click Assign to assign the case to the selected user or click Cancel to discard the assign action. Once assigned, the following message is displayed: Ongoing Screening (OGS) Note: You need to be assigned to a role with permission to set OGS (permission = Case OGS ). Screening and Case Manager User Guide Page 41 of 88

42 Case Summary OGS allows you to automatically screen the name against updates from the enabled data sources on an ongoing basis. The case has to be initially screened prior to enabling OGS. For further details refer to Ongoing Screening (OGS). Click Apply to place the case on OGS or click Cancel to discard the action. Once OGS is enabled, the following message is displayed: Export Export allows you to export the case information to either a pdf (portable document format) or csv (comma separated value) file formats. For further information, refer to Case Manager Export. Enhanced Due Diligence (EDD) EDD allows you to request Enhanced Due Diligence Reports, an additional chargeable service offered as part of Thomson Reuters World-Check One. For further information, refer to Please complete the mandatory fields, agree to terms and conditions and submit the form. Note: The Submit Details button is only enabled once you agree to the terms and conditions. Screening and Case Manager User Guide Page 42 of 88

43 World-Check World-Check In the CASE page, on the left hand side panel, World-Check section displays the World-Check data matches. Red exclamation mark indicates matches found and if you move the mouse cursor over the exclamation mark, it will display how many unresolved matches found. If you are accessing the CASE page from the CASE MANGER page, click World-Check to display the list of matches. Screening and Case Manager User Guide Page 43 of 88

44 World-Check Individual The match list displays the following key data on an Individual: Name Alias Gender Date of Birth Identification Residence Type Category Match Strength Name of the match or variation as it appears on the World-Check Data. You can filter on key secondary data, such as Gender, Date of Birth, country of residence, origin, nationality to quickly remove false positives or focus on true matches. An a in this column indicates that the match is not against the World-Check primary name but against an alias in the profile. Gender of the individual matched. Date of birth of the individual matched, if available. Identification details of the individual matched, if available. Country of residence of the individual matched. Type of the matches found are listed by data source, grouped together under the following data categories: Sanctions (S) Law Enforcement (LE) Regulatory Enforcement (RE) Other Bodies (OB) Politically Exposed Person (PEP). World-Check Category. Matching score strength of the match; the match can be exact, strong, medium or weak. This enables you to focus on the more accurate matches first. This depends on the matching engine results configuration done in Admin. You can configure the fuzziness on a sliding bar from exact matching through to very loose Fuzzy matching settings. The following panel allows you to filter on key secondary filters, to help you identify and quickly concentrate on the relevant matches and/or remove possible false positives: Screening and Case Manager User Guide Page 44 of 88

45 World-Check Matched Name Type You can filter the matches by the matched name type e.g. Alias. Gender Date(s) Of Birth Identification You can filter the matches by Gender. You can filter the matches by Date of Birth You can filter the matches by the type of identification. Country of Residence You can filter the matches by the country of residence. For example, 12 matches are from the US and 1 match from Ireland. Type You can filter the matches by Type (Sanctions, Law Enforcement, Regulatory Enforcement, PEP, and Other Bodies). For example if you would like to review first the matches related to Law Enforcement, then you can click Law Screening and Case Manager User Guide Page 45 of 88

46 World-Check Enforcement to highlight only the relevant matches, which will narrow down your search. Category You can filter the matches by World-Check Category. For example if you would like to review first the matches related to Crime Financial, then you can click CRIME FINANCIAL to highlight only the relevant matches, which will narrow down your search. Once all matches have been resolved, the following is updated to reflect your resolution status. Match Strength You can filter the matches by Match Strength (Weak, Medium Strong, Exact). For example if you would like to discard the Weak matches first by matching them as false, then you can click Weak to highlight the weak matches and resolve them all as False at once. Screening and Case Manager User Guide Page 46 of 88

47 World-Check You can use the Reset Filter button to clear the current filter selection. Organization The match list displays the following key data filters on an Organization: Name Note: Name of the match or variation. This depends on the matching engine results configuration done in Admin. You can configure the fuzziness on a sliding bar from exact matching through to very loose Fuzzy matching settings. You can filter on key secondary data, such as Registered Country to quickly remove false positives or focus on true matches. Alias Registered Country Type Category Match Strength An a in this column indicates that the match is not against the World-Check primary name but against an alias in the profile. Country of registration of the Organization matched. Type of the matches found are listed by data source, grouped together under the following data categories: Sanctions (S) Law Enforcement (LE) Regulatory Enforcement (RE) Other Bodies (OB) Politically Exposed Person (PEP) World-Check Category. Matching score strength of the match; the match can be exact, strong, medium or weak. This enables you to focus on the more accurate matches first. Screening and Case Manager User Guide Page 47 of 88

48 World-Check Vessel The match list displays the following key data filters on a Vessel: Name Note: Name of the match or variation. This depends on the matching engine results configuration done in Admin. You can configure the fuzziness on a sliding bar from exact matching through to very loose Fuzzy matching settings. You can filter on key secondary data, such as IMO to quickly remove false positives or focus on true matches. Alias Identification Type Category Match Strength Displays associated aliases with the name, a indicates associated aliases Identification (IMO) details of the Vessel matched, if available. Category of the matches found is listed by data source, grouped together under the following data categories: Sanctions (S) Law Enforcement (LE) Regulatory Enforcement (RE) Other Bodies (OB) Politically Exposed Person (PEP) World-Check Category. Matching score strength of the match; the match can be exact, strong, medium or weak. This enables you to focus on the more accurate matches first. Unspecified The match list displays the following key data filters on Unspecified: Entity Type Name Entity Type of the match: Individual, Organization, Vessel. Name of the match or variation. This depends on the matching engine results configuration done in Admin. You can configure the fuzziness on a sliding bar from exact matching through to very loose Fuzzy matching settings. Note: Alias You can filter on key secondary data, such as IMO to quickly remove false positives or focus on true matches. An a in this column indicates that the match is not against the World-Check primary name but against an alias in the profile. Screening and Case Manager User Guide Page 48 of 88

49 World-Check Type Category Match Strength Type of the matches found are listed by data source, grouped together under the following data categories: Sanctions (S) Law Enforcement (LE) Regulatory Enforcement (RE) Other Bodies (OB) Politically Exposed Person (PEP) World-Check Category. Matching score strength of the match; the match can be exact, strong, medium or weak. This enables you to focus on the more accurate matches first. Comparison Data You can use the comparison data to quickly compare your submitted data and the related information in World-Check profile. Click on the name of the match to display the comparison data table showing the data searched (for example Name and Gender) compared to the key data from the World-Check profile. The World- Check ID is shown on the right-hand side for reference. A green tick indicates that the submitted data has matched correctly with World-Check data. You can click Show More to see if any other secondary identifier entered on the Screening page has been matched against the profile. If you click Show Less the Comparison Data section is collapsed again. Screening and Case Manager User Guide Page 49 of 88

50 World-Check World-Check Profile There are six data tabs which contain important relevant information about the matched World-Check Profile; you can view them to help you come to a decision on resolving the selected match. Key Data displays the overall data of the match. Its displays the World-Check category and key information of the entity (for example Individual DOB). Users belonging to the clients/groups with subscriptions as Premium or Premium Plus will be able to view the update categorization (C1, C2, C3, C4). You can identify what the categorization corresponds to by clicking on the categorization value (for example C4). The Update Categorization is particularly useful for profiles that are flagged as needing review post OGS processing. The Update Categorization helps the user identifying what type of information has been updated by the World-Check Research team on the profile and therefore assess whether it could change the risk associated to the match. Screening and Case Manager User Guide Page 50 of 88

51 World-Check The Update Categorization value could be blank (no update), C1, C2, C3 or C4 based on the table below: Screening and Case Manager User Guide Page 51 of 88

52 World-Check Biography displays a more detailed description on the match,including bio, information on its relatives and any relevant reports and details Aliases display other known names of the match. Keywords display keywords of the match with a brief description and the country it is associated with. Connections/Relationships displays details of companies and individuals the match is linked to and what category they are in. You can click on the links to read further information. Sources displays external sources that are related to the match, it contains links to news feed and other public sources which contain detailed information on the match. Screening and Case Manager User Guide Page 52 of 88

53 World-Check Note: If you want to return to the full grid of World-Check matches, you can click on the tab World-Check. Example of Vessel Comparison Data Comparison Data: Key Data: Screening and Case Manager User Guide Page 53 of 88

54 World-Check Biography: Aliases: Keywords: Connections/Relationships: Screening and Case Manager User Guide Page 54 of 88

55 World-Check Sources: Resolve Match The Resolution tab allows you to perform a resolution action on matches, which is available within a case on the CASE/World-Check page and CASE/Matching World-Check Profile page. Once you have come to a decision after reviewing all the comparison data, you can resolve the match from the Resolution tab: Note: You do not have to be in the Matching World-Check Profile page to resolve a match. You can do it from the CASE page by selecting the check box and resolving one or more matches through the Resolution tab. Resolution Status Risk Level To resolve a match, you must specify a resolution status, which allows you to resolve a match to one of four resolution statuses. The statuses are available as default predefined values or can be custom configured by the client user. You have the following pre-defined resolution statuses: Unspecified False Possible Positive The resolution status is stored against the match for future audit review. You have the following risk levels: Screening and Case Manager User Guide Page 55 of 88

56 World-Check Resolution Reason Free Form Notes (text field) Resolve Unknown Low Medium High The Match Review tab displays the following: However what risk level(s) is selectable by Resolution Status depends on how the Resolution toolkit has been configured for your group. Refer to the World-Check Client Administrator User Guide for further information. You have the ability to add a risk to each match (although probably not for False matches). It enables you to allocate a risk to matches at point of resolution. Configured through Admin, the resolution reasons offer a dropdown of structured notes for each resolution dispensing with the need to constantly type free form notes for resolutions. As well as providing a consistent approach to resolution according to your internal policies/procedures. The notes field is a free text field allowing you to enter an additional note to the resolved match. The field can be pre-configured to be Mandatory or optional according to your internal policies/procedures. Click Resolve to action the match to the resolution status and risk level specified. Note Review A match that has already been allocated a match status can be reviewed as part of a profile update or as an audit event enabling you to add review notes to the match or matches in question. Click Review to include the match as part of a profile update or an audit event. Depending on the resolution status selected, the match will then increment the False, Positive, Possible or Unspecified count and will be available in the related tab. Screening and Case Manager User Guide Page 56 of 88

57 World-Check Once you have resolved your match, the Current Status on the Case/Matching World-Check Profile page is updated, for example: Resolution Status Risk Level Resolution Remark Review Comment Last Updated Displays the resolution status of the resolved match. Displays the risk level of the resolved match. Displays the resolution remark (if inserted) of the resolved match. Displays the review comment (if inserted) of the resolved match. Displays the date-time stamp of when it was last updated. Screening and Case Manager User Guide Page 57 of 88

58 Connection Risk Analyzer Connection Risk Analyzer The Connection Risk Analyzer (CRA) is a feature that allows users to visualize the connections of a World-Check entity that has been identified as a match in a case. For a user of World-Check One resolving or reviewing a match, it could unveil hidden risk by relationship, as it displays first, second and third level connections to an entity and the World-Check categories they are associated to. Once a user has explored the connections by using the CRA and potentially uncovered any risk due to connections with other World-Check entities, the user can go back to the resolution toolkit and resolve or review the match. Then Choose the appropriate risk level and have the option of leaving a note where the user can state the connection that consequently caused that risk level for the match. Note: The Connection Risk Analyzer is supported by the latest publicly available versions of the following browsers : Internet Explorer IE9 and newer (*) Chrome Firefox Safari How to access the Connection Risk Analyzer The Connection Risk Analyzer is available on the Connections and Relationships tab for any Worldcheck profile that has at least one connection/relationship (otherwise the tab is dimmed) You can access Connection Risk Analyzer either when you are resolving matches or a case, or reviewing an existing case, selected on the Case Manager page. For example, the User is resolving matches for a case, having screened John Smith: You select a match from the match grid (WC Profile) Screening and Case Manager User Guide Page 58 of 88

59 Connection Risk Analyzer You click on the Connections / Relationships tab. You click on the Connection Risk Analyzer button which opens the visualization page: Screening and Case Manager User Guide Page 59 of 88

60 Connection Risk Analyzer The page by default shows the name of the selected World-Check profile as the central node and shows the first level of connections, group by key categories, which have been color-coded for ease of identification. For example, above the purple node groups the connected World-Check profiles categorized as Individual. Key features of the CRA visualization page The Key Category pane lists the World-Check Categories that have been grouped and color-coded. The pane can be visible or hidden by using the expand/collapse icon next to Key Category. Beside the existing World-Check Category groupings, there are 2 additional keys: Other - covers the eventuality of a brand new category added by the World-Check Research team and that category has yet to be assigned to one of the existing category groupings. Unspecified - covers the eventuality of a World-Check profiles that are connected to the profile you are examining, but they have not been assigned a category yet by the World-Check Research team The visualization area shows the connected nodes and on the bottom right corner, you can zoom in and zoom out. If the node is expandable, you will see a plus sign on the node that you can click to expand. The indirect connections between entities are also displayed and indicated by a dotted line. Once the node is expanded, you can collapse again by clicking on the minus sign on the node (replacing the plus sign). Screening and Case Manager User Guide Page 60 of 88

61 Connection Risk Analyzer Each node representing a category is labeled with the category name, it can be expanded and collapsed and it also shows the total number of profiles that can be accessed once expanded (e.g. below 4). Note: The category groupings node can be expanded only if they group less than 100 World- Check profiles, otherwise you see on the node the note too many connections to expand (over 100 connections the usability of the visualization become poor). However, you will be able to see the full list of connections if you select the node. The full list of connections can be seen on the Connections pane on the right (see below for more details). The mini-profile pane shows key information on the profile selected on the visualization. You can see the full profile, by clicking on the profile name. You can also export the full profile as a PDF, by clicking the Export icon on the Profile dialog-box. Screening and Case Manager User Guide Page 61 of 88

62 Connection Risk Analyzer The Connections pane shows the list of connections (total number as well as the detailed scrollable list) of the selected node. You can click on the name of the connected entity and access the full profile. The World-Check Profile button allows closing the Connection Risk Analyzer and going back to the World-Check profile selected on the Case page. You can use the button World-Check Profile to close the Connection Risk Analyzer and go back to the World-Check profile you selected on the Case page. How to navigate on the Connection Risk Analyzer visualization page You can explore the visualization, expanding World Check category nodes to see which entities they are connected to (for example if they are only interested in Terrorism the user can leave all other category nodes collapsed and only expand the Terrorism category node, by clicking on the plus sign) Screening and Case Manager User Guide Page 62 of 88

63 Connection Risk Analyzer Zooming You can zoom in/out the visualization page by either sliding the zoom towards the minus sign to zoom out or towards the plus sign to zoom in. Alternatively, you can use the wheel on your mouse to zoom in and out. Moving the visualization on the page You can click on the visualization area and move by dragging the visualization on the page. This is particularly useful if you would like to analyze connections that are shown at the edge of the page. You can pin or hover over nodes to see the mini-profile to get a glimpse of the key data for a profile as well as the list of connections for a profile. Screening and Case Manager User Guide Page 63 of 88

64 Connection Risk Analyzer Screening and Case Manager User Guide Page 64 of 88

65 Connection Risk Analyzer If you would like to highlight the connection between entities and visualize the risk associated, you can click on the entity and it will highlight the critical path. You can also export the critical path as a PDF. Display indirect connections You can show or hide indirect connections by using the display indirect connections checkbox. Degrees of Separation/Levels You can continue exploring possible hidden risk further away from the World-Check profile you have originally selected on the Matches grid. The CRA allows you to explore and visualize at once up to 3 degrees of separations or levels. Screening and Case Manager User Guide Page 65 of 88

66 Connection Risk Analyzer Screening and Case Manager User Guide Page 66 of 88

67 Passport Check Passport Check The Passport-Check feature is structured to help verify Machine Readable (MRZ) passports and travel documents printed in accordance with the standards established by the International Civil Aviation Organization (ICAO). The ICAO Council adopts standards and recommended practices concerning air navigation, prevention of unlawful interference, and facilitation of border-crossing procedures for international civil aviation. More information on the ICAO can be found at: Note: World-Check is not directly affiliated with the ICAO. For further information on Passport Check functionality, refer to the World-Check One Passport Check User Guide. Screening and Case Manager User Guide Page 67 of 88

68 Audit Audit Audit section displays a log of events that have taken place on the system. These will typically include: Date and time of the event Actioned By (which maybe the system) that initiated the event Action: The type of event which may also include the outcome Note: Note added by a user These are displayed as a list in chronological order. You can filter the audit events based on who it was Actioned By, the Action Type and between a specific Audit Date. You can toggle ON/OFF to show all audit events. You can add an event note in the audit log. Type a note in the text field, and then click Create. A prompt message is displayed to indicate the note has been added. Screening and Case Manager User Guide Page 68 of 88

69 Case Manager Case Manager The key work space for managing Cases is the Case Manager. This is effectively a list of Cases with key information displayed that will inform and assist a user in managing Cases. For example multiple cases could be selected and assigned to a User. Note: You need to be assigned to a role with permission to maintain cases depending of the action you would like to do (permission = Review a Case, Archive a Case, Assign a Case etc). To access the Case Manager, from the main menu select Case Manager. The Case Manager page is loaded: On the left-hand side you can Search Names or use the filter to restrict/expand the Case Manager List. Batch filter is only displayed if you have done Batch Screening. Screening and Case Manager User Guide Page 69 of 88

70 Case Manager Filter Types The following filters are available to the user: Reset Filters If you have specified any filter and would like to see the full list of results again, click Reset and filters will be reset. Search: Search allows you to search a Case Name, regardless if it s an Individual, Organization, Vessel or Unspecified. Filters Click on any of the horizontal arrows to expand the related filter section e.g. Check Type Screening and Case Manager User Guide Page 70 of 88

71 Case Manager Click on the vertical arrow to collapse the related filter section again. Exclude Archive Click ON to Include archived cases. Click OFF to include archived cases from the list. Check Type You can filter by the Check Type to isolate cases that were subject to one or more Check Type by clicking on the Check Type (World-Check and Passport Check). Your selection will be highlighted in orange. If you belong to a Client and/or Group that is enabled only to one Check Type, then you will be only allowed to filter by that Check Type. Groups You can filter by the Groups to which you selected to screen the Case initially. If you have permissions to more than one group, then you can select more Groups to be added in the filter process by using the Choose More button. Batch You can refine the results to only show those cases for a particular batch screening, using the Batch filter category. Click on the Batch screening name to display the cases created for that particular batch screening, for example Retail. Screening and Case Manager User Guide Page 71 of 88

72 Case Manager If you hover the mouse over the batch name, it will display the group it is associated with. Click Choose More to display all batch screening names and their associated groups. Screening and Case Manager User Guide Page 72 of 88

73 Case Manager Assignee You can filter by the user that has been assigned to the case(s), by selecting the Assignee name from the list. If you select one or more individual and then would like to add more assignee, then click Choose More button. Ongoing Screening You can filter cases that have Ongoing Screening turned ON (Yes) or OFF (No).You can select by clicking on the Ongoing Screening Yes or No. Your selection will be highlighted in orange. Mandatory Actions You can filter cases that have pending actions associated, for example unresolved matches. Mandatory Actions will show as red exclamation marks in the Actions column of the Case Manager Page. For example, you can select cases with Mandatory Actions by clicking on Yes. Your selection will be highlighted in orange. Entity Type You can filter cases created for Individual, Organization, Vessels and/or Unspecified. For example, you can select cases for Individual and Organization by clicking on the related items. Your selection will be highlighted in orange. Screening and Case Manager User Guide Page 73 of 88

74 Case Manager Last Modified By You can filter cases based on the last person who modified the case. If you have selected one or more value from the list (for example Individual and Organization you can include the other value(s) by using the Choose More button. World-Check Unresolved Note: World-Check Unresolved match filters will be available in the near future. World-Check Unresolved filter helps you to prioritize the cases to be reviewed by showing the number of unresolved matches per source type. Allowing you to focus on the matches relevant for your organizational workflow. Screening and Case Manager User Guide Page 74 of 88

75 Case Manager Case Manager Results The list of the cases loaded depends on the Filters you are using. Cases can be sorted ascending/descending by using any of the column labels (for example Case Name). Toolbar Results Table Paging before/after Number of record per page Checkbox Entity Type Case Name ID World-Check Unresolved For further information on Toolbar, refer to User Activity. Displays the results shown on the page over the total results returned overall (e.g of 216 results) You can use the arrows to move to next page/previous page. You can select how many records are displayed on each page by clicking on the drop down, for example.5, 15, 25. You can use the checkbox to select one or more records and by using the toolbar, you could Archive them, Assign them etc. Indicates if the case is related to an Individual, Organization, Vessel or Unspecified (related icons). It is the Name that you entered initially. It could be an Individual, Organization, Vessel or Unspecified Name depending on the Type. Clicking on any Case name will load the case page. The Case ID, if you entered a specific case ID when the Case was created, then the value shown will be the user-entered case id. Otherwise it will be the system generated case ID. You can prioritize the cases to be reviewed based on unresolved matches per source type: Sanctions (s) Regulatory Enforcement (RE) Law Enforcement (LE) Politically Exposed Person (PEP) Other Bodies (OB) The numbers below the source type represent the total unresolved matches for that particular source type for the case. Screening and Case Manager User Guide Page 75 of 88

76 Case Manager If a match has been tagged for more than one source type (for example S and RE) then the match is counted in all the relevant source columns (for example 1 in S and 1 in RE). You can sort the columns in descending or ascending order. The default sort order when landing on the case manager for the first time will be the following: Matches Archived OGS Actions Assignee Modified By Modified On Activity Sorting by Sanctions in descending order. Sorting by Actions in descending order (displays cases which have action icons). Sorting by Last Modified Date in descending order Sorting by Last Modified By in ascending order. Numbers represents sum of resolved and unresolved matches of the case. Tooltip text is displayed to clarify what total matches represent. Indicates if the case is Archived (YES/NO) Ongoing Screening, if the Case has Ongoing Screening turned ON, the value in the column will be = Yes. Otherwise it will be = No. Indicates if there are any actions pending for the case, in which case an exclamation mark in a red bubble is displayed. By clicking on the exclamation mark, the system will show the pending actions description (for example. World-Check 12 Unresolved Matches) You can then click on the Case name to find out and do any pending actions (for example. resolve World-Check Match/Matches) If the case has been assigned to a specific user, the name of the user will be show on this column, otherwise the assignee is not populated (case is not assigned to a specific individual). Displays the last user who modified the case. Displays when the case was last modified. If there is any activity for this case, there will be an icon displayed and by clicking the icon, you will be able to see the details, for example users collaborating on the case. Screening and Case Manager User Guide Page 76 of 88

77 Case Manager Real Time Updates The Case manager supports real time updates: The refresh bar is displayed if the following actions are done by the user: A user performing any action on the Case Manager: If any case is changed while the user is looking at the cases on the page, refresh bar will appear. When a user performs actions on the Case Manager, refresh bar will appear. In this scenario it can be any of the following: Archive Assign OGS All Matches are resolved at the same time Two users having same view of Case Manager or viewing the same case: If any of the following actions are made by a user on the Case Manager, the other user will see the refresh bar on top of the Case Manager: Archive Assign All Matches are resolved at the same time Screening and Case Manager User Guide Page 77 of 88

78 Case Manager Export Case Manager Export The Case Manager Export feature allows extracting case information to a csv (comma separated value) file format. The CSV export is currently available for Case Manager Summary list and Case Manager Detailed list. The Summary list is the output of the information on the Case Manager page for the selected cases while the Detailed report lists for all selected cases, not only the information shown on the Case Manager page, but also the details of any World-Check match for those cases. Note: If no rows on the Case Manager grid are selected, all the tool bar options are disabled, except Export. If one or more rows on the Case Manager table are selected, all the tool bar options are enabled. The Export button is always enabled. Click Export from the case profile toolbar to display the Export options: You can do the following: Specify a name (*) for the list to be generated using the Report Name entry field. If no name is specified, the system will name the report as 'Report_<Date>_<Timestamp>. Select the report type: What to export: Summary Cases (existing Case Manager CSV) Detailed Cases with the related match information Export Selected cases - export only those case in Case Manager that have been selected by you (on the current page, not across pages). Note that even if cases are selected you may still export all Export All - export all the Case Manager cases (with or without filters applied). All cases imply those that are not displayed on the current page are also included. If cases have been selected the default option selected in the pop-out is Export selected. If no cases are selected, the Export selected option is disabled, only Export All option is available. Screening and Case Manager User Guide Page 78 of 88

79 Case Manager Export There may be limits on what you can export. If the current cases to be exported exceed the limit, a warning message is displayed in the Export pop-out to inform you that they need to reduce the number of cases before exporting. Once you have selected the export options, click Export and the following message is displayed: Note: The selected report is generated on the background, so the user session is not locked. The report completion time will vary depending on the number of cases selected by the User. Once the list is generated, you will receive an notification. The exported file type is ready for download from the Report Status page, On the Report Status page, once you click on the on the download link the report will be minimized and displayed at the bottom of the screen. For the example, the following is a Summary Case manager list Report Status You can access the Report Status page by selecting the Report Status option on the main menu: Note: Reports will be available on the Report Status page for a minimum of 72 hours post completion (date-time), then permanently removed by the system. You can only view and download reports that you have generated. Screening and Case Manager User Guide Page 79 of 88

80 Case Manager Export Report Name Report Type Start Date Completion Date Status Summary Report Link Specified by user OR system generated Summary Detail Date-time the report generation was initiated Date-time the report generation was completed If successful Completed If report was not generated Failed If report is being generated In Progress Indicated number of records (cases) exported Once report is successfully completed, you can click on the link to open /print the report Note: To view the latest status of any report, you can refresh the Report Status page by clicking on the refresh icon on your browser. Report Status Notification When the report generation is completed, an is sent out to the user that submitted the report: The confirms that the report generation has been completed as well as the status of the report (In Progress / Competed / Failed); if the report was successfully completed, it will be ready to be downloaded. The Summary Report is downloaded in csv format while the Detailed Report is downloaded in compressed (or zip) file or folder format. Screening and Case Manager User Guide Page 80 of 88

81 Case Manager Export You can download a report as follows: 1. On the World-Check One menu, click Report Status. The Report Status page is displayed. The Status column shows the status of the report generation (progress/completion/failed). When completed, you can download the report(s). 2. In the Report Link column, click on the download link. The report is downloaded in a csv (Summary Report) or compressed (or zip) (Detailed Report) folder format. To extract (or unzip) files or folders from a compressed folder: If you have WinZip installed on your system, the compressed file or folder will be extracted automatically if not you need to install the Winzip and then extract the compressed file or folder. To extract (or unzip) the contents of the compressed folder, do as follows: a. Right-click the folder, click Extract All. b. Follow the instructions to open the report. Screening and Case Manager User Guide Page 81 of 88

82 Case Manager Export Example of Case Manager Summary Report The Summary Case Manager export CSV lists the following information: Case Name Case ID Group Total Matches Unresolved Matches number by Source Type (Sanctions, Regulatory Enforcement, Law Enforcement, PEP, Other Bodies) On-going Screening (OGS) set to Yes or No on the Case Archive status (Yes, No) Assignee Last Modified On and By Screening and Case Manager User Guide Page 82 of 88

83 Case Manager Export Example of Case Manager Detailed Report Case Information: Match Information: The Summary Case Manager export CSV lists the following Case information: Group Name Screened (case name) Case ID Entity Type (selected on Screening page) Gender (optional - if entity type = Individual) Date of Birth (optional - if entity type = Individual) Country of Residence (optional - if entity type = Individual) Place of Birth (optional - if entity type = Individual) Nationality (optional - if entity type = Individual) Registered Country (optional - if entity type = organization) IMO (optional - if entity type = Vessel) Case Created (date the case was created) Last Modified On (date) Last Modified By (user that last modified the case) Last Screening Date OGS (indicates if the case is on OGS) Archived (indicates if the case has been archived) Assignee (indicates if the case has been assigned to a specific user) Screening and Case Manager User Guide Page 83 of 88

84 Case Manager Export Batch (Batch name(s) related to the case) The Detailed Case Manager export CSV lists the following Match information: Name (matched name) Alias indicator (indicates whether the case name was matches with a W-C alias) Match Entity Type (indicates what entity type the W-C profile is) UID (W-C unique id) Date of Birth (if available on the W-C profile for Individuals) Gender (if available on the W-C profile for Individuals) Identification (if available on the W-C profile for Individuals) Location (if available on the W-C profile for Individuals) Place of Birth (if available on the W-C profile for Individuals) Nationality (if available on the W-C profile for Individuals) Registered Country (if available on the W-C profile for Organizations) IMO (if available on the W-C profile for Vessels) Source Type (S, LE, RE, PEP, OB) Keyword(s) (W-C Keyword(s)) W-C Category (W-C Category) Match Strength (match strength calculated by the Matching Engine for the match) Resolved On (last date resolved) Resolution Status (latest Resolution Status assigned by the user resolving the match) Risk (latest Risk assigned by the user resolving the match) Reason (latest Reason assigned by the user resolving the match) Notes (latest Notes entered by the user resolving the match) Update Categorization (Latest Update categorization on the W-C match) Screening and Case Manager User Guide Page 84 of 88

85 Case Delete Case Delete The delete icon is disabled on the Case Manager main toolbar if you have not been granted the delete permission or your client account has the Delete case feature set OFF. The delete icon is available in the Case Manager main toolbar if you have been granted the delete permission and your client account has the Delete case feature set ON. The delete option is only available (selectable) if the case has been archived. You can select archived cases for deletion by using the Archive filter on the Case Manager Filter pane. If you are a client who does not have the delete feature set ON or a user who does not have the delete permission upon filtering Archived Cases, the Delete icon on the main toolbar is disabled: If you are a client who has the delete feature set ON or a user who has the delete permission upon filtering Archived Cases. Then once you select an archived case or cases the Delete icon is enabled. Click Delete icon to delete the selected archived cases, the following prompt message is displayed: Screening and Case Manager User Guide Page 85 of 88

86 Case Delete Click OK to permanently delete the archived cases. A confirmation message is displayed, indicating that the selected cases have been deleted successfully: You will need to click refresh to refresh the page using the real-time update prompt so that Delete cases are no longer listed. Screening and Case Manager User Guide Page 86 of 88