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Compliance Officer Guide PATRIOTcompliance Starter Kit 2.2

Chapter 7 Using TightLink CIS

Chapter 7

Using TightLink CIS

This chapter explains how to investigate a case using TightLink CIS.

Launching TightLink

Follow the instructions in this section to launch TightLink.

1. Click the Investigation button on the Enterprise Portal navigation bar. Optionally, the TightLink CIS system can be accessed directly at http://<machine_name>:8080/TLService/ISupport?cid=100.

2. At the log in screen, enter your TightLink login.

   TightLink is not linked to your Enterprise Portal account, although it is possible to set the username and password to be the same. See Chapter 11 of the TightLink CIS User Guide for more information about TightLink login.

3. After a successful login, the home page displays. The home page is the work area. An example is shown below. The home page contains:

   • Global navigation tabs.

   • The My Investigation Cases grid, which contains the investigation cases that the user is currently working on as owner or collaborator.

   • The Available Cases grid, which contains investigation cases awaiting ownership or collaboration.

   • Filters and other productivity tools.

4. Click on any investigation in the Available Cases grid to assign it to yourself.

Using the Investigation Case page

When you select a case, the Investigation Case page displays.

Investigation cases are the basic unit for collaborative resolution in TightLink CIS. An investigation case provides a permanent record of interaction threads and accompanying documents related to a specific, suspicious financial transaction, customer, or employee. Investigation cases provide structure, history, and accountability using a "shared page" design.

An investigation case follows a workflow that is based on the company's business processes. A case's progress through the workflow can be automatic or can be initiated by the user. Other users may be engaged to collaborate and assist with issue resolution.

A closed investigation case represents suspicious activity that has been resolved. A resolved case has either been cleared or reported to a government agency via a Suspicious Activity Report (SAR).

1. Use the Investigation Case page to make field changes, select Route and Collaboration options, update the Status field, and add interactions.

2. To add a new interaction, click Interactions on the "On this page" bar.

3. You can also add a Knowledge Base article from this screen. To do this, click Add Knowledge Base.

4. Choose the Knowledge Base category you want from the pop-up window. Then choose the article you want to add to the interaction.

5. To change the progress status, choose the appropriate status from the Progress drop-down list. Click Save.

6. To close the case, click the Close radio button before saving.

Working with Suspicious Activity Reports

The user creates a Suspicious Activity Report (SAR) when the collaborative, investigative process confirms that suspicious activity should be communicated to a governmental agency. Generate a SAR after an investigation case has been resolved and deemed to be in need of appropriate reporting.

A SAR comprises these sections:

• Reporting Financial Institution Information

• Suspect Information

• Suspicious Activity Information

• Contact for Assistance

• Suspicious Activity Information Explanation/Description

Creating a new SAR

To create a new SAR:

1. Click the SAR tab on the Find Investigation Case screen.

2. Click the New SAR link. The New SAR screen displays.

3. Complete the fields on the screen. Information for some fields can be retrieved automatically. To do this, click the Look Up button to the right of the suspicious customer.

4. Click Save when you have completed all the fields.

Displaying customer information

To display detailed information about a specific customer, choose the Customer link in the top navigation bar. Then select a specific customer.

Working with Knowledge Base

Knowledge Base is a central reference library designed to:

• Assist users in case resolution

• Assist new employees in learning policy and procedure information

Knowledge Base content is organized into categories and sub-categories. A company may decide which categories and sub-categories are viewable, based on user roles.

To access Knowledge Base, click the Knowledge Base tab. The information for which the user has view permission displays.

Using the reporting tool

Use the reporting tool to manage and measure investigation case and other operational trends. Reports are organized into categories; a company may decide which categories are viewable based on user roles.

A user with appropriate permissions may create additional categories to meet the company's evolving business needs.

To access the standard reports list, click the Reports tab. The reports for which the user has view permission display.

Using the administrative options

Click the Admin tag to go to the Administrative Options. User access to administrative tasks depends on company business processes and resources. Administrative capabilities are based on user roles, where users are assigned permissions.

The permission definitions associated with business objects for view, edit, create, and delete functions are consistent for all business objects. An administrator may have some or all of these functions for the following TightLink CIS business objects:

• Alarms

• Business hours

• Employees

• Financial accounts

• Hits

• Organizations

• Suspicious employee profiles

• Transactions

• Workgroups

Other administrative functions include:

• Spell check dictionary maintenance

• email transmission monitoring

• Interaction Template maintenance

• Knowledge Base content maintenance

• Report maintenance