6 Analyzing a Report

Use the Report Details page to investigate the selected report by analyzing the existing information about the report such as subject, transaction, service, narrative, and so on you can also add and manage the related information for the selected report.

Topics:

· Accessing Report Details

· Subject Information

· Transaction

· Services & Suspicion

· Entity and Additional Details

· Narrative

· Documents

· Audit

Accessing Report Details

To access the Report Details page, follow these steps:

1. On the Summary Report page, click the Report ID link. The Reports Details page is displayed. By default, the Subject Information pane is displayed.

2. To view the details of the selected report, click More Details on the top of the page. The Report Context window displays the details of the report such as Report Name, Report Status, Created By, and so on.

Subject Information

The Subject Information pane provides a list of the subjects (persons or organization) involved in the transaction. This pane also provides complete information about the subject’s details such as subject record, person or organization name, date of birth, country of citizenship, and other details that led to the creation of the report. You can also add a new involved subject if it is required.

To add a new involved subject, follow these steps:

1. On the Subject Information pane, Click Add Add . The Person/Organization Details pane is displayed.

2. Enter the required person or organization details.

The following describes the involved person or organization details. Fields marked with * asterisk are mandatory.

Table: person or organization Details
Fields	Description
Is Suspicious Matter Related to?	Select Yes, No-Other Person, or Unidentified to determine whether person or organization, another person, or unidentified entity is involved in the transaction. · If you select Yes, the information is recorded in Part -C of report. · If you select No-Other Person, the information is recorded in Part -D of report. · If you select Unidentified, the information is recorded in Part -E of the report.
Person Type	Select whether the involved person is an individual or an organization. NOTE: This field is enabled only if you have selected Yes, No-Other Person in the Is Suspicious Matter Related to? field.
Is Bank’s Customer?	Select whether the involved person is a bank’s customer or another person. NOTE: This field is enabled only if you have selected No-Other Person in the Is Suspicious Matter Related to? field.
Name of the Person/Organization	Enter the name of the person or organization. NOTE: This field is enabled only if you have selected Ind or Org in the Person Type field.
Date of birth	Enter the date of birth of the person. NOTE: This field is enabled only if you have selected Ind in the Person Type field.
Country Of Citizenship	Select the country of citizenship of the person. NOTE: This field is enabled only if you have selected Ind in the Person Type field.

3. Click Save. A confirmation message is displayed and a new subject is added.

You must add Main Address and Postal Address, Phone, and Alternate Name to this subject before you validate.

4. To validate the subject, go to the Subject Information list page, select the required subject and click Validate. If all the required criteria are met, the validation is successful. The color of the pane is marked with Green Green . If any validations fail, the color changes to yellow.

5. To remove the subject from the list, click Delete Delete .

Main Address and Postal Address, Phone, and Alternate Name

Use Main Address and Postal Address, Phone, and Alternate Name pane to add, edit, delete, and validate.

To add a new address, phone, and Alternate Name, follow these steps:

1. On the Subject Information page, select the required Subject Record. A Subject Information Details pane is displayed.

2. Go to the Main Address and Postal Address, Phone, or Alternate Name pane. Click Add Add . The respective window is displayed and enter the required details.

The following table describes the Main Address and Postal Address, Phone, or Alternate Name field details. Fields marked with * asterisk are mandatory.

Table: Main Address and Postal Address, Phone, or Alternate Name Details
Fields	Description
Main Address and Postal Address
Full Street Address	Enter the full street address of the subject.
Country	Select the country from the drop-down list.
City/Town/Suburb	Enter city, town, or suburb details.
State	Select the state from the drop-down list.
Postal Code	Enter the postal code of the area.
Phone	Enter the country code and phone number
Alternate Name	Enter the required alternate name details.
Email Address	Enter the required email address details.
Account Information
Account Title	Enter the account title.
Account Balance	Enter the account balance.
BSB	Enter the Australian Bank State Branch (BSB) number of where the account is held, if applicable.
Account Type	Select the account type from the drop-down list. For example, Betting Account, Credit Account, and so on.
Account Number	Enter the unique account number.
Other Description	Enter the description about the account.
Account Open Date	Enter the account opening date.
Account Documentation	Enter account documentation details. The documents used to open an account.
Signatory	To add Signatory details, select the required account and click Signatory Details link. Enter signatory Name and click Save. A signatory is added to the account information.
Digital Currency Wallet	Enter the required digital currency wallet details.
Industry/Occupation
Type	Select the type of industry or occupation from the drop-down list.
ABN	Enter the Australian Business Number (ABN) of the person or organization.
Code	Enter the code number of the business.
ACN	Enter An Australian Company Number (ACN). ACNs are issued to companies registered in Australia by the Australian Securities and Investments Commission (ASIC).
Description	Enter the description of the business and industry.
ARBN	Enter an Australian Registered Body Number (ARBN). ARBNs are issued to foreign companies and certain Australian bodies by ASIC.
Identity Verification for Person/Org
ID Type	Select the unique identification from the drop-down list. For example, Birth Certificate, Bank Account, and so on.
Issuer	Enter the name of the authority who issued the ID.
Other ID Type	Enter other ID types if your ID type is not mentioned in the ID Type field.
Issuer Date	Select the date on which the ID was issued.
ID Number	Enter the ID number.
Expiry Date	Select the expiry date of the ID.
Issuer Country	Select the country that has issued ID.
Digital Data Verification	Click Configure Electronic Data Source to add a new electronic date source. Modify, delete, and validate an existing electronic data sources.
Configure Device	Click Configure Device Information. The Configure Device Information window is displayed. Enter the required device information.
Device Type	Select the device type from the drop-down list. For example, Internet Protocol Address, Secure Element ID, and so on.
Device Type Other	Enter the name of the device if it is not mentioned in the Device Type field.
Device Identifier	Enter device identifier. Internet Protocol address, Media Access Control address, and so on.
Is Person an Agent?
Agent to Suspicious Person	Select Yes or No to specify whether the other person is an agent to suspicious person.
Relation Type	Enter the relation of the suspicious person and the agent.
Evidence Document	Enter document details.

3. Click Save. A confirmation message is displayed.

4. To modify the existing Subject Information details, select the required IDs and click Edit Edit . Modify the required information and click Save.

5. To validate details, select the required IDs and click Validate. If all required criteria are met, the validation is successful.

6. To remove respective details from the list, click Delete Delete . The Subject Information list is updated.

Transaction

The Transaction page provides a list of transactions that led to the creation of a report. This pane also provides information about the transaction date, amount, reference number, and so on that led to the creation of the report. You can also add a new transaction if it is required.

To add a new transaction, follow these steps:

1. On the Transaction pane, Click Add . The Transaction Details pane is displayed.

2. Enter the transaction information in the required fields.

The following describes the fields in the transaction details. Fields marked with * asterisk are mandatory.

Table: Transaction Details
Fields	Description
Transaction Reference	Enter a unique reference number to define the transaction. A transaction reference number assigned to the transaction by the reporting entity, if any.
Transaction Date	Select the transaction date. NOTE: Must be the current or previous date.
Transaction Amount	Enter the total amount involved in the transaction.
Cash Amount	By default, it is disabled. if the transaction type is cash, then the same amount is displayed.
Was Completed?	Specify whether the transaction is completed.
Transfer Type	Select the type of transfer. For example, money or property.
Transfer Type Description	Enter the description for transfer type. NOTE: This field is enabled only if you have selected Property in the Transfer Type.
Transaction Type	Select transaction type. For example, account open, account deposit, and so on.
Other Transaction Type	Select other transaction types from the drop-down list (Other monetary value provided or Other monetary value received).

3. Click Save. A confirmation message is displayed and a new Transaction is added.

You must add and update Foreign Currency Involved, Digital Currency Involved, and Person Role in Transaction details to this transaction before you validate.

4. To validate the transaction, go to the Transaction list page, select the required transaction and click Validate. If all required criteria are met, the validation is successful. The color of the pane is marked with Green Green . If any validations fail, the color changes to yellow.

5. To remove the transaction from the list, click Delete Delete .

Foreign Currency Involved, Digital Currency Involved, and Person Role in Transaction

This section details the involvement of foreign currency, digital currency, and person in the transaction for the selected report.

Use the Foreign Currency Involved, Digital Currency Involved, and Person Role in the Transaction pane to add, edit, and validate.

1. To add a new Foreign Currency Involved, Digital Currency Involved, and Person Role in Transaction on the Transaction Summary page, select the required Transaction. A Transaction Details pane is displayed.

2. Go to the Foreign Currency Involved, Digital Currency Involved, or Person Role in Transaction pane, click Add Add . The respective window is displayed.

3. Enter the required details in the fields.

The following table describes the fields in the Foreign Currency Involved, Digital Currency Involved, or Person Role in Transaction. Fields marked with * asterisk are mandatory.

Table: Foreign Currency Involved, Digital Currency Involved, and Person Role in Transaction Details
Fields	Description
Foreign Currency Involved
Currency Code	Select the currency code from the drop-down list. For example, Australian dollar or US dollar.
Currency Value	Enter the value of the currency.
Digital Currency Involved
Blockchain Transaction ID	Enter the unique number for blockchain transaction.
Digital Currency Code	Select digital currency code. For example, Bitcoin, Letecoin, or Australian Dollars. The code or symbol associated with the digital currency.
# of Units	Enter the number of units. The number of units or value of the digital currency. If more than 10 decimal places, truncate to 10 decimal places.
Backing Assets	Enter the backing asset. The description of the commodity, product, object, or thing the digital currency is backed by or pegged to. For example, gold, exchange-traded funds, US dollars.
Fiat Currency Code?	Select the fiat currency code. For example, Australian Dollars or American Dollars. The monetary or settlement value of the digital currency in fiat currency (for example. Australian dollars, US dollars, Euros), including the three-letter ISO currency code for the fiat currency.
Fiat Value	Enter the fiat value.
Person Role in Transaction
Person Name	Select the person’s name from the drop-down list.
Party Role	Select party role from the drop-down list.

4. Click Save. A confirmation message is displayed and details are updated in the Foreign Currency Involved list.

5. To modify the existing foreign currency involved details, select the required Foreign Currency code and click Edit Edit . Modify the required information and click Save.

6. To validate the foreign currency involved, select the required Foreign Currency Code and click Validate. If all required criteria are met, the validation is successful.

7. To remove the foreign currency involved, from the list, click Delete Delete . The Foreign Currency Involved list is updated.

Services & Suspicion

All suspicious transactions and activities need to be reported to AUSTRAC within three (3) business days of forming the suspicion.

Use this page to update the designated service to which the matter is related, the designated service, and specify suspicion.

To update services and suspicion details, follow these steps:

1. On the Services & Suspicion pane, go to Designated Service to which the matter is related, Was the designated Service, or Specify Suspicion panes and select the required options from each pane.

2. Click Save. A confirmation message is displayed.

3. To validate the services and suspicion, click Validate. If all required criteria are met, the validation is successful. The color of the pane is marked with Green Green .

Entity and Additional Details

The Entity and Additional Details pane allows you to add and manage entity details, previous report details, and other Australian Government bodies.

Topics:

· Entity Details

· Previous Report Details and Other Australian Government Body

Entity Details

Use this pane to add information pertaining to business/residential address, details of person submitting the report, and services and suspicion.

To add the entity details, follow these steps:

1. On the Entity and Addition Information page, go to the Entity Details pane.

2. Enter the required entity details in the Business/Residential Address, Details of person submitting the Report, and Services & Suspicion panes.

The following table describes the fields in the Entity Details. Fields marked with * asterisk are mandatory.

Table: Entity Details
Fields	Description
Entity Name	Select the entity name.
Transaction Branch/Location	Select the transaction branch and location.
Business/Residential Address	Enter address, state, city, and postal code.
Details of person submitting the Report	Enter name, title, email, and phone number.
Part-G	Select offence type. For example, Money laundering, Financing of terrorism, and so on. Select Yes or No to specify the intercept flag.

3. Click Save. A confirmation message is displayed and entity details are added.

You must update Previous Report Details and Other Australian Government Body to this entity before you validate.

4. To validate the subject, go to the Entity and Additional Details list page, select the required subject and click Validate. If all required criteria are met, the validation is successful. The color of the pane is marked with Green Green .

Previous Report Details and Other Australian Government Body

This section provides the details of the other Australian government body this suspicious matter has been or will be reported to.

Use this pane to manage Part-G, previous reports, and other Australian government body details.

To manage previous report details, follow these steps:

1. To add a new previous report or other Australian government body details, click Add . A respective pane is displayed.

2. Enter the required previous report or other Australian government body details.

TThe following table describes the fields in the Previous Report and Other Australian Government Body details. Fields marked with * asterisk are mandatory.

Table: Previous Report and Other Australian Government Body Details
Fields	Description
Previous Report
Earlier Report Date	Select earlier report date. A Date on which a previous suspicious matter report, relating to the person(s) or organisation(s) in which this suspicious matter relates, was given to AUSTRAC.
Report ID	Enter report unique identification. The reporting entity's internal reference number of the previous report, if any.
Other Australian Government Body
Name	Select the name from the drop-down list. Details of the other Australian government body this suspicious matter has been or will be reported to.
Full Street Address	Enter the full street address.
State, City, Pin Code	Enter state, city, pin code details. The address of the Australian government body.
Date to be Reported	Select the date to be reported. The date on which this suspicious matter had or will be reported to this Australian government body.
Information Provided to this Australian Body	Enter the information provided to this Australian body. A description of the information provided to the other Australian government body, if any.

3. Click Save. A confirmation message is displayed and previous report or other Australian government body is added to the list.

4. To validate the previous report, or other Australian government body select the required Previous Report or Other Australian Government Body Number and click Validate. If all required criteria are met, the validation is successful.

5. To remove the previous report or other Australian government body, from the list, click Delete Delete . The Previous Report or Other Australian Government Body list is updated.

Narrative

Use the Narrative option to summarize suspicious activity and mention the action taken by the reporting entity.

To use the Narrative option, follow these steps:

1. On the Reports Details page, click the Narrative icon. The Narrative page is displayed.

2. Enter the narration for the selected report.

3. Click Save to update the narration of suspicious activity.

The Audit pane tracks comments entered while performing the Narrative action.

Documents

While filing the report with regulatory authorities, you can also send additional documents. This additional information aids in taking the correct decision on the report. When you attach a document to a report, the status of that report does not change. However, the attachment is added to the report’s history.

An Analyst or a Supervisor can attach, modify, or delete documents in all statuses except when the report is in View Only mode. For more information on user roles, see Table 4 .

To modify or attach a document, follow these steps:

1. On the Reports Details page, click the Document tab and click Add to attach a new document to the selected report. The Add Document window is displayed.

2. Enter the information as described in the following table.

Table: Add Document
Fields	Description
Description	Enter a brief description of the document attached.
Type of File	Enter the document type Only JPEG, PNG, XLSX, or PDF formats are allowed.
Document Date	Enter the date on which the document was created.
Sending Option	Enter the document sending option. Mention the name of the file format.

NOTE: You can attach only .jpeg, .png, .xlsx,and .pdf format with no limit on the document size. file.

3. Click Drop Files Here to select the document from your computer. The selected file is displayed in the document list. The document list provides the information of the document such as file name, size of the document, and type of document.

4. Click Upload. The attached file is uploaded.

NOTE: You can upload a single file at a time.

Audit

Use the Audit tab to view the audit history of a report. It provides details of actions performed on the report and comments provided by the users in the various statuses.

To use the Audit tab, follow these steps:

1. On the Reports Details page, click the Audit tab. The Audit window is displayed.

A record is created in the Audit tab when a user performs any of the following actions:

§ Created From Case

§ Created Manually

§ Modified Reporting Entity

§ Modified Account Involved Details

§ Modified Person or Account Owner details

§ Modified Transaction Details

§ Modified Suspicious Activity Description

§ Modified Narrative and Action

§ Added New Document

§ Modified Document

§ Removed Document

§ Edit/ Delete Report

o Originating Report

o New Report

§ E-File Generation Unsuccessful

§ Acknowledgment Details

o If the report is accepted then Upload Acknowledgment (Comments displayed - Report is Accepted)

o If the report is rejected then Upload Acknowledgment (Comments displayed- Report is Rejected along with error message)

The Actions pane displays all the actions taken on the report. This pane displays the fields described in the following table.

Table: Actions Grid Field Description
Fields	Description
Date	The date on which the action has occurred.
Action By	The name of the user who acted on this.
Action	A short description of the action.
Comments	The comments entered while performing an action.