icon and
select the required file from the local machine.This section describes how to take action on the selected case(s).
The Actions menu has several options that you can take on a selected case(s). The options are based on the case type, case status, and the user role for the selected case(s).
NOTE:
· You should be assignee for the case to take an appropriate action except to the assignee action.
· If the case is locked, then you can assign the case to you and take the appropriate actions. For more information about assigning cases, see the Assigning the Cases section.
You can upload evidence to cases in order to provide more insight into the case being investigated.
NOTE:
· You should be assignee for the case to take action.
· You cannot take action when status of the case is closed.
To upload the evidence, follow these steps:
1. Click Actions menu and select Evidence. The Evidence pane is displayed.
2. Click Add icon and
select the required file from the local machine.
3. Click Open to add the evidence file.
4. Enter the comments about this evidence.
5. Click Upload. The evidence is uploaded successfully to the case.
NOTE:
· In the Current Evidence, you can view all the evidences that are uploaded to the case .
· For Bulk Action, user cannot view evidence history in the Current Evidence group.
NOTE:
· You should be assignee for the case to take action.
· To take action on a case for an Analyst User, the User should be mapped to the CM Analyst User Group (CMANALYSTGRP) along with the IHUB Analyst User Group (IHUBANALYSTGRP).
· To take action on a case for Supervisor User, the User should be mapped to the CM Supervisor User Group (CMSUPERVISORGRP) along with the IHUB Supervisor User Group (IHUBSUPERVISORGRP).
To update the status, follow these steps:
1. Click Actions menu and select Status. The Status pane is displayed.
2. Select Action from the drop-down list.
3. Select Reason from the drop-down list.
4. Enter the comments about this case status.
5. Click Submit. The status is updated successfully.
NOTE:
· If you want to take an action dependent on a dossier that you have created, you need to do that from within the dossier.
· In the Status History, you can view the statuses in the order from which they were entered to the most recent on top to view the case progress.
To close the case(s), follow these steps:
For a single AML_SURV case,
1. Create a dossier and select Close Case from the Action drop-down list. For more information on creating the dossier, see the Generating Dossier section.
2. Click Submit. The case is closed with attached dossier.
For a single CS case,
1. On the Case List View page, click Actions and select Status .The Status pane is displayed.
2. From the Action drop-down list, select the desired Close Action.
3. Click Submit. The case will be closed.
For Bulk Action,
1. On the Case List View page, select the cases that are to be closed.
2. Click Bulk Action and select Status. The Status pane is displayed.
3. From the Action drop-down list, select the desired Close action.
4. Click Submit. The selected cases will be closed.
If the case type is AML_SURV, the dossiers are created automatically for all the selected cases and then cases will be closed.
You can assign a case to another user to investigate the case.
To update the assignee, follow these steps:
1. Click Actions menu and select Assignee. The Assignee pane is displayed.
2. Select the user that you want to assign case from the Assignee drop-down list.
3. Click Submit. The case is updated with the new assignee.
NOTE:
In the Assignee History, you can view the assignees in the order from which they were entered to the most recent on top to view the case progress.
Use the Narrative option to capture any narrative surrounding the analysis of a case that has helped you decide how to dispose the case. The narrative exists as a single data element on a case, which allows you to add and maintain that narrative.
NOTE:
· You should be assignee for the case to take action.
· You cannot take action when status of the case is closed.
To update the narrative, follow these steps:
1. Click Actions menu and select Narrative. The Case Narrative pane is displayed.
2. Enter your analysis in the Message Text and format as required.
If you want to reset the previous narrative, then click Reset Case Narrative.
3. Click Save Case Narrative. The case is updated with the new narrative.
NOTE:
If you want to apply the current narrative as a template for the case then use Apply Template.
You can update the priority and due date of the selected case and provide comments.
NOTE:
· You should be assignee for the case to take action.
· You cannot take action when status of the case is closed.
To update the case details, follow these steps:
1. Click Actions menu and select Case Details. The Case Details pane is displayed.
2. Select case priority from the Priority drop-down list. The options are High, Medium, and Low.
3. Update the Due Date by entering a date into the text box or by selecting a date from the calendar.
4. Enter Comments about this case update.
5. Click Submit. The case is updated with new changes.
NOTE:
In the Update History, you can view the case's history in terms of case priority and due date related changes in the order from which they were entered to the most recent change on top.
You can add transactions of the selected case.
NOTE:
· You should be assignee for the case to take action.
· You cannot take action when status of the case is closed.
To add transactions, follow these steps:
1. Click Actions menu and select Transactions. The Transactions pane is displayed.
2. Select the required Transaction check box(es) and click Add Transactions. The selected transaction is added to the case.
NOTE:
To use the search bar options, see the Using Interactive Report section.
When an action is taken on a case that leads to a change of status or value, such as a transaction is added, the Case Assignee is updated, and so on, the change is recorded in the Audit History. This allows you to understand who performed an action, why it was taken, when the action occurred, and what the value was before the change was made.
To access the Audit History for AML_SURV case type, follow the step:
1. Click Actions menu and select Audit History. The Audit History for Case ID pane is displayed.
It displays record of all actions taken on a case with the following types of details:
§ Date: When the action was taken.
§ Action: The specific action which was taken.
§ Before: The value or status prior to this action being taken.
§ After: The updated value or status after this action was taken.
§ Comments: Comments given by the user when the action was taken. If the action was taken by the system, such as an automated status update, this field will be blank.
§ Action Taken By: Who the action was taken.
For CS case type,
On Case Summary page, click Audit History to view record of all actions taken on the selected case.
NOTE:
To use the search bar options, see the Using Interactive Report section.
Users can take action on multiple cases using Bulk Action instead of taking individual case for action.
NOTE:
The Bulk Action button is enabled, if at least one Case ID is selected.
To take action on the multiple cases, follow these steps:
1. On the Case List View page, select the cases.
2. Click Bulk Action and select Actions. The actions are Evidence, Status, Assignee, and Case Details.
For more information on the case actions, see the Using_Actions section.
NOTE:
The Bulk Action is possible only for the following cases:
· You should be the assignee for all the selected cases except Assignee action where any users can change assignee of the case.
· The case type and case status should be the same for all the selected cases.
The dossier will be created after reviewing all the case information and a summary of the relevant case information and the dossier will be used for regulatory reporting.
NOTE:
· You should be assignee for the case to generate dossier.
· This section is applicable only for the AML_SURV case type.
· You cannot take action when status of the case is closed.
To generate a dossier for the case, follow these steps:
1. Navigate to the Case Summary page.
2. From the Dossier menu, select Generate Dossier. The Dossier for Case ID Investigation page is displayed.
3. Click Start to generate a dossier by the following process.
This section describes the Case Details and Description, Primary Entity, case narrative, case events, evidence details and alerted transactions of the selected case.
You can verify details and update the following groups if required:
· Case Narrative
§ Click Update Narrative, enter your analysis in the Case Narrative field and format as required.
§ Click Save Case Narrative. This is the final opportunity to make any changes to the Case Narrative which will be used in the final dossier and any regulatory filing.
· Case Events: Displays the case events associated with the case.
§ Update Relevant Events
o Click the Update Relevant Events button and the Update Dossier Relevant Events pane is displayed. Select the required event by clicking the check box and click Update. The selected event(s) is marked as "Relevant".
o This is an opportunity to mark which alerts are relevant for the final case summary and regulatory filing.
· Alerted Transactions: Click on the Alerted Transactions tab to view the list of all transactions for this case. This is the final opportunity to add/remove transactions for the final case summary and regulatory filing.
§ Add Transactions: Click Add Transaction and the Add Transaction pane is displayed. Select the required transaction by clicking the check box and click Add Transaction.
The selected transaction is added successfully to the dossier.
§ Remove Transactions: Click Remove Transaction and the Remove Transaction pane is displayed. Select the required transaction by clicking the check box and click Remove Transaction.
The selected transaction is removed successfully from the dossier only and not from the case.
· Evidence Details: Users can add/view evidence in the cases.
§ Add/View Evidence: Click Add/View Evidence. The Evidence pane is displayed. For more information on uploading evidence, see the Uploading the Evidence section.
After verifying all the details, click Continue to navigate to the Entity details & related entities page.
NOTE:
· Click Skip to skip the particular section, assuming all the data is correct, and move to the next section to generate the dossier.
· Click Save to save the changes.
· Click Cancel to cancel the process for generating the dossier.
This section describes the number of entities and related entities associated with the selected case. You can add/remove entities in this section using the Add Entity and Remove Entity buttons.
To add a new entity, follow these steps:
1. Click Add Entity. The Add Entity pane is displayed.
2. Select the entity that you want to add to this case using the corresponding check box.
You can also search for the entity name in the Search box and select the check box with the applied filter.
3. Click Add Entity. The selected entity is added successfully into the case.
To remove the entity, follow these steps:
1. Click Remove Entity. The Remove Entity pane is displayed.
2. Select the entity that you want to remove from this case using the corresponding check box.
3. Click Remove Entity. The selected entity is removed successfully.
NOTE:
You cannot remove the Primary Entity. The entity will be removed from the dossier only and not from the case.
After viewing the entity details, click Continue to navigate to the Accounts page.
This section describes the number of accounts associated with the selected case.
To add a new account, follow these steps:
1. Click Add Account. The Add Account pane is displayed.
2. Click on the Search box and select Account Type.
3. Select the account that you want to add to this case using the corresponding check box.
4. Click Add Account(s). The selected account is added successfully to the case.
To remove the account, follow these steps:
1. Click Remove Account(s). The Remove Account(s) pane is displayed.
2. Select the account that you want to remove from this case using the corresponding check box.
3. Click Remove Account(s). The selected account is removed successfully.
NOTE:
The account will be removed from the dossier only and not from the case.
After viewing the account details, click Continue to navigate to the Graph page.
This section displays the graph snapshot and transactions list of the selected case. By default, graph visualization is displayed and click the Transactions tab to view transaction information associated with the case.
NOTE:
For more information about the graph, see the Viewing an Entity Graph section.
After viewing the graph details, click Continue to navigate to the Review page.
This section displays all the details that are associated with the case. You can review the details and click Continue to navigate to the Complete page.
To complete the dossier, follow these steps:
1. Select Action from the drop-down list.
2. Select Reason from the drop-down list.
3. Enter your comments in the Comments field.
4. Click Continue. The dossier is generated successfully for the case and it will be used for regulatory reporting.