User manual BUSINESS OBJECTS IQ WATCH 8.05C

[. . . ] IQ Watch User's Guide Version 8. 05c February 2006 How to use IQ Watch to check individuals and organizations against federal and financial interdiction lists Introduction to IQ8 components Notices Published in the United States of America by Firstlogic, Inc. , 100 Harborview Plaza, La Crosse, Wisconsin 54601-4071. Customer Care Technical help is free for customers who are current on their ESP. When you call, have at hand the user's manual and the version number of your Firstlogic product. Call from a location where you can operate your software while speaking on the phone. [. . . ] You must look at each match group, research each match, and determine that the record is either a false positive, or a true match. A false positive is a record that, even though it matched with a record in the interdiction lists, the match was coincidental, and the reviewer has some piece of evidence or knowledge refuting the match. For example, the names could be exactly alike as well as the date of birth, but the passport numbers are different. Or perhaps there is a previous match history on the record, and it was determined that the person was not the same as the listing on the interdiction list. 30 IQ Watch User's Guide Match description The picture below shows the transaction record and a record that had previously been determined to be a match. The reviewers job is to determine if the transaction record is the same as the match history record and the same as the interdiction list record (not shown). When you review groups in the Unreviewed Match Record pane, you can see if the record was reviewed and/or accepted by looking at its Match Definition. Shows if the record was reviewed. Shows if the record was accepted. Pre-existing match histories have one of three states in IQ Watch. State Description Not reviewed and not accepted Reviewed and accepted Reviewed and not accepted The reviewer hasn't performed the offline research necessary to determine if this record (customer/entity) is the same person/ entity as listed in the interdiction lists. The reviewer has performed the offline research and has determined that this customer/entity is acceptable to do business with. The reviewer has performed the offline research and has determined that this customer/entity is a match to the interdiction list record, and is not acceptable to do business with. If you encounter a match with this status, you should follow your company's compliance procedures. Chapter 3: Reviewer's tasks 31 Unreviewed matches The records that you need to review are in an unreviewed matches file until you review them. If the record is a true match, you need to mark it as not accepted. If the record is a false positive, you need to mark it as accepted. Save to match history How do the records get into match history?When you or another user encounter a match while performing a single record match or a wire transfer match, you click the Save to Match History button in the Match Results pane and IQ Watch adds the records to the list of records to be reviewed. Or, when you run a file match or a FinCEN list match, you can click Review Now to research the records immediately. These buttons appear at the bottom of the Match Results pane for single record matches and wire transfer matches. What's next? After the record(s) have been saved to match history, it is up to the reviewer to research each record to determine if the record is truly a match to the interdiction list record, or if it is a false positive, and an entity with which the organization can do business. "Set a filter to review match groups" on page 33 "Review (research) records" on page 35 "Set match status" on page 36 32 IQ Watch User's Guide Set a filter to review match groups Review Potential Matches pane You can control which match groups appear by setting filters in the Review Potential Matches pane. When you have set the desired filters, click Search, and IQ Watch assembles the match groups in the Unreviewed Match Records pane. Search for matches using one or all of the following filters: date user and group types record type task type Filter by date If you want to check records that were entered in a specific time frame, you can use date filters. Select Review Potential Matches from the Current Task list. There are two spaces for you to select a date. Click the drop-down list next to Time Period and select a beginning date from the calendar that appears. Click the second drop-down list (next to the word "to") to select an end date from the calendar that appears. 4. Click Search. Filter by user and group The content of the User and Group lists are based on what your administrator has set up. Select Review Potential Matches from the Current Task list. [. . . ] Set the Medium and Low ranges as necessary. Click the Comment drop arrow and enter applicable comments (for example, note your reasons for resetting the levels). Click OK. 56 IQ Watch User's Guide IQ8 Server settings IQ8 Server Settings window To process records against interdiction lists, IQ Watch uses the power of our IQ8 processing. Therefore, you need to enter information about where the server is in the IQ8 Server Settings window in order to "tell" IQ Watch where you installed the IQ8 components. [. . . ]