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1. Back Batch Results Q iag Options Complete Batch 569294 amp Batch Comments a Included included Included WZ Included Unlock Batch Detailed Report GCL BCL REV WF Screened Name CustomerID Statistics Report GONZALEZ CARLOS ALFONSO Audit Report Batch Reports Based on your access level several reports are available from the Review Batch File Results and Batch Results pages Let s look at each one separately The available reports are as follows e Batch Run Report The purpose of this report is to gather the current status of a batch es based on watch lists scanned and items filtered by GCL BCL Removed None e Detailed Report the results set for the report contains the search attributes the input source data and the watch list entity information In addition the matched items are indicated with the GCL BCL Reviewed filtering status flag as well as any saved comments e Statistics Report consists of the search attributes such as threshold and watch lists screened against as well as any saved batch comments e Audit Report Displays any matched items added to GCL BCL or Reviewed for the batch The date and user who added the item is provided as well as the lists hit against Steps to run the Batch Run Report 1 From the Options menu of the Review Batch File Results page select Batch Run Report Review Batch File Results Options Batch Run Re
2. Nante al OS a a aaa s a a a TGP Re gl i a aaa T aa gl 4 The Name must be unique for the category selected Once the required fields have been completed the Save button will be enabled Clicking Save will prompt the user with a confirmation of the save and provide three options for the user to choose from Stay on this Page New P amp P Document or Back to P amp P Grid These options will only appear for the initial save of a new document Policy Saved P amp P Document Details successfully saved Would you like to create a new P amp P Document stay on this page or return to the grid Create New P amp P Document Stay on this Page Back to Grid 44 WatchDOG Elite Quick Start Guide 5 After the initial save buttons will appear at the bottom of the page If the category requires approval and the user has the Publish function a Submit for Approval button will be shown If the category does not require approval a Publish button will be shown Delete Draft The following fields are available on a document draft e Category o The category is required to create a document Inactive categories will not be present in the category drop down Categories that require approval will be notated with an icon to the nght of the category name n the Category drop down Select the question icon to view the intelligent content for this feature e Name o The name is required to create a docume
3. e Close Batch optionally set the status of the batch to Closed upon completion of the review and resolve process e Discard Batch optionally use this status if the batch was incorrectly sent or there were problems processing the batch e Lock Batch optionally use this status to prevent other users from saving data to the batch while one user has it opened e Add To Workflow the entire batch or one transaction may be assigned as a workflow item to another user of the system for review 31 WatchDOG Elite Quick Start Guide Steps to add Batch Comments 1 From the Options menu of the Batch Results page select Batch Comments Back Batch Results Q iad L A Options Done Batch 569294 Complete Batch Comments Included included Included Included lose Batch gt ie Discard Batch EE REN a NE Sa Screed Name Ba Sr Lock Batch GONZALEZ CARLOS ALFONSO 2 OFAC Detailed Report The batch comments along with the batch statistics will be opened in a separate window Batch Comments Date and time for comments are displayed as Eastern Standard Time Previous Batch Comments Add New Batch Comment Batch Statistics Batch Number Batch Name Run Date Record Count Total Searched 2 Inthe Add New Batch Comments box provide any remarks and click the Done button to return to the Batch Results page 3 From the Batch Comments pop up window you can also choose to Resend the
4. As questions are answered and saved the risk for each question answer as well as the overall Inherent Risk Residual Risk and Direction of Risk are automatically calculated upon saving the assessment In addition there 1s a Progress counter to keep track of how many questions have been answered Vendor Assessment Details 09 30 2014 gt 5of30 Vendor GLBA Vendor Category Computer Software Operational Area Compliance Training LS Kk ee Vendor Classification Impact Management Question Level of Risk 1 If a significant incident related to this vendor were to occur what is the possible severity of the Security impact on your organization Question Level of Risk 2 If a significant incident related to this vendor were to occur what is the possible severity of the Financial Stability Credit impact on your organization 94 WatchDOG Elite Quick Start Guide Intelligent Content Each question has an associated help icon that when selected displays content that describes the purpose of the question Vendor Classification v Impact Management Question Level of Risk 1 If a significant incident related to this vendor were to occur what is the possible severity of the Security impact on your organization Security Impact Security impact is often quantitatively represented as any event that compromises the assets operations and objectives of an organization Considerations for Security im
5. Earnings growth e sk 09 11 2014 A A j a Indicator Value The report includes search criteria for KRI Number Indicator Description Risk Category Modified Date and Modified By user 67 WatchDOG Elite Quick Start Guide The report can be exported to a CSV or Excel file format The report contains columns for the KRI Number Indicator Description Risk Category Modified Date and Modified By The report also includes the Action that was taken 1 e a value was changed or the indicator was set to Inactive along with the Old or previous Value and the New Value Key Risk Indicator Summary Report This report provides a summary of all the indicators in the system You can search the report by KRI Number Indicator Description Risk Category Status and Answered values Enter search information KRI Number Indicator Description Risk Category All Status Answered Yes Search of 2 gt bI Find Nex Search Criteria KRI Number Indicator Description Risk Category Status Answered KRI Number Indicator Description Use System Value Compliance Risk KRI 00001S Number of branches KRI 00004S Number of competitors in the area Current exam rating ALLL Total loans Asset growth rate Construction and development concentrations representing 100 percent or more of tier 1 capital Capital growth rate Earnings growth rate Interest and Fees on Loans one year growth ra
6. a al 0 OT re Fa ww Pen i A pel cece j Creating a new version of a document will carry over all fields except the Publish Date and Allow Delay Until fields The new version 1s created as a draft which means that all fields are editable There can only be one draft for any given document chain Ifthe user has created a new version draft the Create New Version option on the published documents detail page will now read View Draft Clicking View Draft will take you to the detail of that version draft Once you publish a draft of a previously published document that draft will have the highest version number for the chain The previously published version will be automatically archived The archived version will be viewable within the Version History grid on the detail page for that document chain Each Version 1s tracked separately for auditing and reporting purposes Archiving a Document A user with the Manage P amp P Documents function can archive a document manually by viewing the detail of a document and switching the archive toggle to Yes and clicking Save If archived the document will not be editable or visible to any end users An archived document cannot be un archived All auditing and reporting information for archived documents is retained Published documents that are replaced by a new version of that document chain will be automatically archived Viewing a Document s Version History U
7. If changes are needed a new assessment will have to be created You have decided to Opt Out of the High Risk assessment An explanation is required for the Opt Out reason If Opt Out of High Risk questions then an explanation must be Next Due Date 04 30 2015 provided prior to saving High Risk Questions Opt High Risk Opted out as not applicable Out Explanation 2 Prior to completing the process the Next Due Date is required Simply select the applicable date from the calendar control 3 Select the Finalize button to complete the process 4 Upon finalizing the assessment the details page 1s now read only No further changes can be made to the assessment The Vendor Assessment Detail Report 1s still available in the Options menu 102 WatchDOG Elite Quick Start Guide Vendor Assessment Details eI ress IT 09 30 2014 Finalized Vendor GLBA Vendor Category Computer Software Operational Area Compliance Training Vendor Contracts Via the Vendor Details an entry for each contract associated to the vendor can be created and a copy of the contract can be uploaded for storage Steps to create a contract entry 1 From the Vendor Details page of the applicable vendor select the Contracts tab Back Vendor Details Demographics Assessments Attachments Notes Sig 9 Contract Name Effective Date End Date Renewal Date Computer Services Inc 2 Select the plus
8. 12 2015 3 30 28 PM Lee Owens Comment Added am going to add this comment to show that it can be edited 10 12 2015 2 52 40 PM Lee Owens Comment Added Here is a new comment that am adding t Date 10 14 2015 Issue Comment Audit Report Copyright 2015 CSI Issue Categories Createand Manage 1 Select the Issue Categories link The Issue Category list will display By default there is one system defined category however your institution may elect to create additional categories to be used during the creation of issues 118 WatchDOG Elite Quick Start Guide Issue Categories Category Type test 10 test desc User Defined Inactive gt test 11 test desc User Defined Active gt test 12 test desc User Defined Active gr test 12a test desc User Defined Active gt test 14 test desc User Defined Active gt l mI A cr E O O a E Y SOOT EE E a P ae p eee W 3 o A 2 To create a new issue category click on the plus sign The Issue Category Details page will display 3 The Category Name is required The description is optional and by default the Status is set to inactive Make any necessary changes Issue Category Detail Add Issue Category Issue Category Category Name Best Example Category oo Category Description Best example category to use a Se i maT a t BV 4 APO maaa y W D ai e Om natn _ lt y e i y f ll ge gt Category Name o The category name is required to create a cat
9. Assessments Key Risk Indicators that have been given a value and are marked to Show on Assessments will display on relevant assessment questions on Risk Assessments The indicators will display below each question with the description and the value to help qualify responses to the assessment questions and make the answers more objective Back Risk Assessment Category Questions gt Credit Risk 11 14 2014 3 of 13 Inherent Risk Residual Risk 1 What is the organization s level of risk for loans outstanding relative to total assets and equity capital Impact o e Rare Unlikely Possible Likely Frequent Incidental Minor Moderate Major Extreme Strong Good Satisfactory Fair Key Risk Indicators Asset growth rate 9 Capital growth rate Earnings growth rate Loan growth rate Inherent Risk Residual Risk 2 What is the organization s level of risk of exceeding local regional and national economic and demographic trends and level of competition Impact Control Effectiveness e e e Rare Unlikely Possible Likely Frequent Incidental Minor Moderate Major Extreme Strong Good Satisfactory Fair Weak 66 WatchDOG Elite Quick Start Guide Key Risk Indicator Reports You can access a Key Risk Indicator Audit Report Export and a Key Risk Indicator Summary Report from the Options menu of the main Key Risk Indicators page Key Risk Indicators Options Key Risk Indicator Audit Report Expor
10. Attachment 1 From the Contract Details page select the paper clip associated to the question or select Add View Attachments from the Options menu The Attachments page will display Attachments File to Upload Choose File File Name Description Important File types of doc png docx pdf xls xlsx gif csv bt bmp jpg xml and tif can be uploaded Files cannot be larger than 2 MB in size Related Attachments A Uploaded Date File Name Description Uploaded By 2 4 2014 Contract File Training Purposes Admin User Delete Attachments 2 Select the icon in the far nght row of the attachments Depending on the file type the attachment will open 1n a separate window or you will be prompted to save the document locally and open 106 WatchDOG Elite Quick Start Guide View all Vendor related Attachments All attachments related to contracts and or assessment questions that have been uploaded to the site can be found in one repository via the Vendor Details Attachment s tab Vendor Details Computer Services Inc N Demographics Assessments Contracts Notes Uploaded Datee File Namee Related To l Description Uploaded By Assessment Attachments 01 30 2014 Training_File csy Information Technology Question 1 This is for demonstration purposes only Admin User Contract Attachments 02 04 2014 Contract File Software Vendor Contract One Training Purpose
11. BCL will not show up as new matches in subsequent screenings unless the search threshold 1s reduced or additional items are added to the watch list entity where originally matched Important Note If your institution performs single item screening via web service and a unique id 1s supplied with the request the customer can be assigned the GCL or BCL filter status Items are screened via the Screen a Single Item cannot be added to the GCL BCL 24 WatchDOG Elite Quick Start Guide Screen a Single Item Overview WatchDOG Elite provides the capability to screen against individual and non individual entities via the Screen a Single Item feature From these pages you can screen customer information against a variety of watch lists In addition there is an option to screen a sanctioned country against OFAC s sanctioned countries list and an option to complete an exact ID search on Social Security Numbers against the Death Master File DMF or search National Provider Identifiers against the National Plan amp Provider Enumeration System NPPES registry How to screen a single item This section provides the instructions on screening a single item via the user interface 1 From the Navigation toolbar select Screen a Single Item The Screen a Single Item page will display Screen a Single Item Non individuals Sanctioned Country Type Unknown Exact ID Match Item to Screen Address Line 1 Address Line 2 City Country Choo
12. Hit List Created Date BIN LADEN Usama Muhammed Awad Y N England HM Treasury AL QAIDA Y N England HM Treasury BIN LADIN Usama bin Muhammad bin Awad Office of Foreign Asse ISLAMIC ARMY Office of Foreign Asse Source Data Country Matches 0 SEARCH SUMMARY Country Name U N Code 1502 Description Max Score Osama Bin Laden No resu its found SUBMITTED DATA D i 7 Osama Bin Laden Steps to assign a matched item to the GCL BCL or Reviewed Status 1 Select the icon to show hide the Transaction Filter Status and Source Data 2 Optionally enter comments in the Add Comments box only applicable to non Exact ID Match searches 3 Select the GCL BCL or Reviewed status button GCL and BCL only applicable to non Exact ID Match searches 4 Click on the Save button 23 WatchDOG Elite Quick Start Guide Q A Y 5of7 Transaction Filter Status Status GCL BCL Reviewed Customer ID Created By n Entity Entity Name Created Date EIN LADEN AL QAIDA BIN LADIN Add Comments ISLAMIC AR Date and time for comments are displayed as Eastern Standard Time source Data Coun searcrisummary Country Nan 4 All Entities Osama Bin Laden No results fi Ch ee Select the applicable button and Save Optionally enter any remarks regarding the match here Input items added to the GCL and
13. Name Lorem Ipsum Document Editor Upload Document w Paragraph Times New Ror 5 18pt J AJZ B 7 U FSS S 0G i Fe 4 2 a x 2 2 ae oe ITAS PER Lorem ipsum dolor sit amet consectetur adipiscing elit sed do eiusmod tempor incididunt ut labore et dolore magna aliqua Ut enim ad minim veniam quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur Excepteur sint occaecat cupidatat non proident sunt in culpa qui officia deserunt mollit anim id est laborum Path p span PDF Preview Document Settings Publish Date 07 24 2015 E E E oe a ap aye a es a rare Va Bian mtahini hA mA P y oe a Ss ees V a v i ma Submit for Approval Delete Draft The following events occur when a document is submitted for approval gt An email is sent to the approver o The email includes a hyperlink that will take the approver to the application login page gt The document approval status changes from N A to Submitted for Approval gt All fields are locked down for any user except the document creator o The document creator is able to make changes but the approver will only be notified of the changes if the creator selects the Submit Changes for Approval button gt A gray bar appears on the document detail page showing th
14. Selections This section displays the last saved settings Threshold Accept the default threshold or enter a new one it 1s recommended to begin the threshold at 85 and test the number of hits If necessary increase the threshold to reduce the number of false positives Address Disqualification Select if you want to use addresses to disqualify items from appearing in your matched items Important Note In order to use address disqualification each element of the address such as city state postal code and country must be in a separate column or cell Search Street Address If checked the system will search where the name OR street address matches The user 1s allowed to optionally select the batch to include the street address search Year of Birth Disqualification Select if you want to use date of birth to disqualify names from appearing in your matched names Important Note In order to use DOB disqualification the date of birth field must be mapped Batch Notification Select to use the email notification as set up in Configuration Setting to On enables the Notification Settings section Notification Settings Optionally select predefined email groups to receive a notification upon completion of the batch processing 5 In Watch Lists select the Edit Watch Lists button to assign the applicable list s you want to use for matching against your customer data file 6 Click Save to retain your new settings 7 Pr
15. Starting Page Selection Getting Started Inline Help on Time Zone UTC 05 00 Eastern Time US amp Canada Observe Daylight Saving Time off Reset Password Current Password 3 After making the application changes select the Save button WatchDOG Elite Quick Start Guide Introduction to the Navigation toolbar The Navigation pane on the left side of the page contains links to the various application functions based on the security roles assigned to the currently logged n user The company and user id of the currently logged n user 1s displayed at the top of the pane via this link the user can reset the password The toolbar is separated into the following sections e Activity Monitor e Watch List Screening e Policies and Procedures e SmartRisk IQ e Vendor Management e Controls and Response e Workflow e System Reports e System Admunistration e Documentation WatchDOG Elite Quick Start Guide Self service Reset Passwords Via the Challenge Response feature end users have the ability to reset forgotten passwords To take advantage of the self service reset password feature first supply your Company and User ID and then click on the Forgot Password link via the Logon page CSI WatchDOcG Client jsmith Remember Wie Upon selecting the link a challenge question will be displayed Forgot Password o reset your password please answer the following question What wa
16. Status and Source Data There is an option to show hide the transaction filter status and input source data Here the user can compare the input source data to the watch list entity data to determine a true or false positive match Then the Transaction Filter Status section provides the options to assign the matched item to the GCL BCL or Reviewed status and add comments to indicate why this is a false positive or true match When saved the information 1s retained with the transaciion Important Note Exact ID Matching on the SSA DMF and NPI NPPES registry do not include the capability to GCL BCL or add comments and dispositions Since these are exact matches only it is not necessary to determine a false positive match based on a possible threshold of matching entity data e The Source Data is divided into two sections Search Summary and Submitted Data e The Search Summary lists the fields that were input for single lookups and fields that were mapped for batches e The Submitted Data lists all the data that was submitted for screening whether it was searched or not 22 WatchDOG Elite Quick Start Guide Select this icon to show hide the Transaction Filter Status and Source Data Bar Transaction Details e 9 y Yy i a a Transaction Summary Transaction Filter Status OSAMA BIN LADEN 5 Status GCL BCL Reviewed Customer ID Created By p Eg Entity Matches 7 Entity Name Alias Hit Address
17. a user tries to navigate away from the P amp P Document Category Details page without saving the following message will appear You have unsaved changes Are you sure you want to leave the page o Chccking Ok will allow the user to leave the page and discard any changes made o Clicking Cancel will keep the user on the current page Important Note Categories cannot be deleted They can only be deactivated 43 WatchDOG Elite Quick Start Guide Editing a P amp P Document Category All categories with the exception of the System Default category can be edited at any time Other than the Category Type all of the category fields are editable In order to retain your changes you must save before leaving the Category Detail Page Managing a P amp P Document In this section we will discuss how to create and modify documents Creating a Document 1 Select the Manage P amp P Documents link The Manage P amp P Documents list will display 2 To create a document a user must click on the plus sign Manage P amp P Documents Diiument hama a Created Eya Pubdicher Publich Dataa Vieneiora Document Status Approval Statuss 3 Two fields are required to create a document Category and Name Note A category must exist before it 1s available within the Category drop down P amp P Document Details New P amp P Document N A Draft ategory and Mame ane Syetem Default x New Password Policy
18. an assessment until all questions have been answered or opted out of The Finalize Assessment option will remain grayed out until the assessment has been completed 76 WatchDOG Elite Quick Start Guide Risk Calculations The method used to calculate your Risk on each assessment is relatively simple As described previously each question category and assessment has an Inherent Risk score and a Residual Risk score Inherent Risk is based on the Likelihood and Impact of each risk factor before your Control Effectiveness is considered and Residual Risk is based on the Likelihood and Impact of each risk factor after your Control Effectiveness 1s considered Assessment Question Risk Levels Likelihood is measured using the following potential responses where each response is equally weighted and given a point value of 1 5 e Rare 1 poimt e Unlikely 2 points e Possible 3 points e Likely 4 points e Frequent 5 points Impact is measured the same way using the following potential responses where each response 1s equally weighted and given a point value of 1 5 e Incidental 1 point e Minor 2 points e Moderate 3 points e Major 4 points e Extreme 5 points The actual Risk levels given to both Inherent and Residual Risk represent a percent value range The Risk levels and their associated percent ranges are e Very Low 0 20 e Low 21 40 e Medium 41 60 e High 61 80 e
19. display a pop up that provides guidance about setting your risk appetite by category 59 WatchDOG Elite Quick Start Guide Compliance Risk Interest Rate Risk Operational Risk Reputation Risk Credit Risk Liquidity Risk Price Risk Strategic Risk Compliance Risk In evaluating the compliance risk appetite an institution must consider the level of risk they are willing to accept from violations of laws rules or regulations or from nonconiormance with prescribed practices internal policies and procedures or ethical standards This risk exposes an institution to fines civil money penalties payment of damages and the voiding of contracts Compliance risk can result in diminished reputation reduced franchise or enterprise value limited business opportunities and lessened expansion potential Compliance risk is not limited to risk from failure to comply with consumer protection laws it encompasses the risk of noncompliance with all laws and regulations as well as prudent ethical standards and contractual obligations It also includes the exposure to litigation known as legal risk from all aspects of banking traditional and nontraditional Institutions will need to determine their tolerance levels for all of these risk areas to determine the overall compliance risk appetite Top Credit Risk In evaluating the credit risk appetite an institution must consider the level of risk they are willing to accept from
20. earning assets 08 28 2014 01 57 PM KRI 00027S Gap ratio 08 28 2014 01 57 PM Active KRI 00028S Net loans Core deposits 9 08 28 2014 01 57 PM Active 64 WatchDOG Elite Quick Start Guide The Key Risk Indicator Detail page will display gt Back Key Risk Indicator Detail e Key Risk Indicator KRI 00027S Indicator Text Gap ratio Value 1 4 Use System Value Risk Category Interest Rate Risk Indicator Type System Defined Last Modified By Admin User Last Modified Date 08 28 2014 01 57 PM p 6 Show on Assessments No The available fields on the Key Risk Indicator Detail screen include Indicator Text Description This field displays read only text that describes the indicator System Defined KRI descriptions cannot be edited Value This field represents the actual value of the indicator for your institution for the current period This field 1s audited so any changes to the value over time are saved and stored for future reference however the value displayed 1s always the most recently entered and saved value Note that the Indicator Text Description contains a symbol representing the type of value the indicator should be provided in i e a percent a number or a dollar amount Use System Value This field allows you to toggle between using the value that 1s pulled from the UBPR versus overriding the UBPR value and entering your own This field will only be
21. from the Category drop down menu From the Assign To drop down menu select the user who will receive the workflow item Click on the Add To Workflow button Select the Done button to return to the Transaction Details page The user who was assigned the workflow item will receive an email notification making them aware of the assignment 19 WatchDOG Elite Quick Start Guide Upload an attachment From the Transaction Details page a document may be uploaded as an attachment Following are a list of guidelines for uploading attachments Back Transaction Details Ke ay non TT ABU TEIR MOHAMMED Options Transaction Detail Repo G Add Attachments yy Entity Matches 1 000 Entity Name Alias Hit Address Hit List Max Score ABU TEIR Mohammed Y N Office of Foreign Assets Control 1 000 gt AL FAQIH Abd al Rahman N N Office of Foreign Assets Control 0 980 gt e Only one document may be uploaded at one time e Valid file formats to upload are csv doc docx txt xls xml xlsx pdf bmp jpg tif gif and png e Each file uploaded cannot exceed 2MB Follow these steps to upload an attachment 1 From the Options menu of the Transaction Details page select Add Attachments The Upload Attachment window will be displayed Upload Attachment File to Upload Choose Fie lt File Name Supporting Documentation docx File Name Supporting Documentation docx Descrip
22. functions and reports as well as the functions required to access the features and functionality Navigation Most of the navigation within the application 1s driven through the left side Navigation toolbar Only those links which the user has access to via security functions will be available in the Navigation toolbar For Policies and Procedures the section will be displayed as oan Manage P amp P Documents onl P amp P Document Categories Creating a P amp P Document Category Prior to creating policies and procedures documents the categories must be created 1 Select the Manage P amp P Document Categories link The Manage P amp P Document Categories list will display 2 To create a P amp P document category a user must click on the plus sign The P amp P Documents Details page will display Category Description Category Type Sas When creating a new category a user will be able to update the following fields Category Name Category Description sae Approval Required No 42 WatchDOG Elite Quick Start Guide gt Category Name o The category name is required to create a category The category name must be unique within the chent This field can contain a maximum of 50 alphanumeric characters gt Category Description o This field can contain a maximum of 100 alphanumeric characters and 1s optional gt Status o This field is a toggle with the option to select a statu
23. is an example issue description that I am entering to show all users how this can be done Issue Type Normal Due Date 10 23 2015 Please log in to WatchDOG Elite to view the issue Thanks System Support eT ee ee a a oe To complete this issue creation we will select to Stay on this Page 114 WatchDOG Elite Quick Start Guide Issue Details Edit ad Notice the Save button now a i reads Edit Brand New Example Issue HIGH OPEN This is an example issue Details eae A unique Issue has ee scr 365 been assigned to the new issue E Pa ene tenes See Issue Type Normal Initial Save has been aji es l sue open Severity High Due Date 11 13 2015 Category Other Area Vendor Management Section Vendors Item Assessment Assigned To Admin Robert Strickland Caroline Amala T dete a ae eer a ahann rd ae _ ih a te sais di C E a si ey ai a oA 8 Since the initial save was completed the Resolution Comments section is active and comments can be added to the new issue Refer to the Tssue Details Managing Resolution Comments section in the Admin User Manual for more details 9 Optionally add attachments to the new issue via the Options menu on the Issue Details page Refer to the Tssue Details Add View Attachments section in the Admin User Manual for more details Editing an Issue Refer to the full Admin User Manual for a complete list of edit
24. is editable for the system defined categories 83 WatchDOG Elite Quick Start Guide Vendor Operational Areas Create and Manage In this section we will discuss how to create and modify operational areas to be assigned to vendors Operational Areas are a way to identify the internal departments that are affected by the services categories provided by the vendor Operational Areas are used with categories to organize the vendors and their associated services Creating an Operational Area By default there are a set of system defined operational areas however your institution may elect to create additional areas System defined areas can be deactivated otherwise these cannot be edited Inactive areas can be reactivated 1 Select the Vendor Operational Areas link The Vendor Operational Areas list will display 2 To create an operational area a user must click on the plus sign Vendor Operational Areas Operational Area Operational Area Description Operational Area Type Status Accounting Accounting System Defined Active S Asset Management Asset Management System Defined Active gt 3 The Operational Area field 1s required to create an area gt Operational Area o The category name is required to create a category The category name must be unique within the client This field can contain a maximum of 50 alphanumeric characters gt Operational Area Description o This field c
25. manage the results of a batch screening e How to search and retrieve a previously searched item e Add names to the Good and Blocked Customer Lists e Managing the Internal Watch Lists Transaction Details Overview A transaction 1s a unit of work where the name address country or identifier 1s screened against one or more watch lists Each transaction has a system assigned unique id referred to as the Transaction ID The screening results for the transaction are viewed via the Transaction Details page where the possible match 1s used to compare the input data to the possible entity match to determine a true or false possible match Once a determination has been made the input name can be added to the Good Customer List the Blocked Customer List or flagged as a Reviewed status In addition a disposition can be assigned to the item to indicate the reason as to why it is or 1s not a true match Regardless of the screening method the actions to resolve the possible match are available on the Transaction Details page 1f a unique id 1s supplied Important Note names screened via the Screen a Single Item page cannot be added to the GCL or BCL The Transaction Details page 1s accessible via the following pages e The results of screening a single item e Batch Results page e Review Transactions The following example illustrates a search on a Full Partial Name of Osama bin Laden against the OFAC and the HM Treasury watch li
26. module in WatchDOG Elite will enable users to log and track a wide variety of findings matters issues and tasks related to Regulatory Compliance activities as part of the control remediation and response process This section currently contains the Issue Center and Issue Categories links Navigation The Controls and Response section will be displayed within the left side Navigation toolbar as Issue Categones Only those links which the user has access to via security functions will be available in the Navigation toolbar Following 1s an explanation of the links within this section Controls and Response Introduction Issue Center Features and Functions Issue Center can provide support in keeping track of assessment audit and exam findings as well as tasks that arise throughout the normal course of business Refer to the full Admin User Manual to review all Administrative and User Functions for this module Viewing and Navigating the Issue Center Page 1 Select the Issue Center link The Issue Center grid will display All issues have a unique issue number and are grouped by area 110 WatchDOG Elite Quick Start Guide Issue Center 340 tttyjuuuu Normal Best Example 10 15 2015 11 27 2015 Low Open gt 346 test 2 Normal 10 16 2015 12 25 2015 High Open gt 350 Main one Normal Other 10 16 2015 12 18 2015 High Open gt 351 Main two Normal 10 16 2015 10 23 2015 Low Open gt 352 Main thr
27. registry If there is not a match a gray circle with a zero 0 will appear The number of matches will always be either 1 match or 0 no match 2 Indicates the score for which the input item matched against the watch list data This will always either be 1 000 for a match or 0 000 for no match There are no thresholds since these are all an exact match in the ID entered 16 WatchDOG Elite Quick Start Guide 3 Use the icon to expand collapse the section Important Note There are no individual entity details for NPI Match so there 1s no disposition or comments section for these transactions Transaction Details Options menu Within the Options menu there are options to print the Transaction Detail Report add the transaction to as a workflow item and Add View Attachments The Detail Report presents a printable version of the screened data and the match information as well as all the criteria used to screen the item The Add To Workflow option allows the assignment of the transaction to another user of the system for review An email notification will be sent to the assigned person making them aware of the task Add View Attachments enables users to upload and then view supporting documents for the transaction Back Transaction Details 7 A VY 9 of 121 esse ie Transaction Summary Options m Transaction Detail Report OSAMA Add To Workflow Entity Matches n G Add View Attachm
28. that the client has access to in the WatchDOG Elite application The Section and Item values will depend on the Area selected from the dropdown 113 WatchDOG Elite Quick Start Guide 6 Optionally add up to 10 users to the new issue by selecting the Edit Assigned To button in the Assigned To section of the Details 7 Once all selections have been made select the Save button at the top of the page A confirmation message box will appear Confirmation Issue Details successfully saved Would you like to create a new Issue Stay on this Page or return to the grid Stay on this Page Back to Grid gt Clicking Create New Issue will present a blank Issue Details page with default values and give the user the ability to create a new issue gt Clicking Stay on this Page will allow the user to remain on the current page with the newly created issue gt Clicking Back to Grid will direct the user back to the Issue Center page to view the newly created issue in its respective area on the grid Note Once the issue has been successfully saved the Save button will now read Edit Also 1f there are any users assigned to the issue a notification email will be sent out to the assignees Issue Assignment Notification watchdognotifications csiweb com sent Mon 10 12 2015 10 59 AM To You have been assigned the following issue Issuel 126 Title Brand New Example Issue Description This
29. 7 PM Active Q KRI 00007S Number of mortgage loans serviced N 08 28 2014 01 57 PM Active Q KRI 00008S Compliance issues open greater than 12 months without approved management exceptions N 08 28 2014 01 57 PM Active gt KRI O0009S Number of new products and services implemented this quarter N 08 28 2014 01 57 PM Active gt KRI O0010S Number of deposit products offered N 08 28 2014 01 57 PM Active O gt KRI 00011S Number of lending products offered N 08 28 2014 01 57 PM Active gt KRI 00012S Products and services offered nationally 9 N 08 28 2014 01 57 PM Active O gt KRI 00013S Number of regulatory violations cited for the examination period N 08 28 2014 01 57 PM Active Q KRI 00014S ALLL Total loans 9 N 08 28 2014 01 57 PM Active l KRI 000155 Asset growth rate 95 98 28 2014 01 57 PM Active gt The grid displays a system generated KRI Number available simply for reference for each indicator The Indicator Description or name is provided in the grid along with an Answered column to specify which indicators have a value already provided and which need to be completed Finally the grid includes the Last Modified date and the status that shows whether the indicator 1s Active or Inactive 63 WatchDOG Elite Quick Start Guide The indicators are grouped by Risk Category to make it easier to find similar or related indicators You can also find indicators more easily by using the Filter items sear
30. Batch Notification to the original recipients 32 WatchDOG Elite Quick Start Guide ul ee a acter DE n aia Update Searched Lists OFAC 08 27 2014 Notification n a Email s Notification Angela Email Group s Angela Test 4 Resend Batch Notification Scroll to the bottom of the Batch Comments pop up and select the Resend Batch Notification button A copy of the original email will be sent to the original recipients Steps to Close a Batch 1 From the Options menu of the Batch Results page select Close Batch Back Batch Results Status Options Batch 569294 Complete Batch Comments gt Included Included Included Included close Batch w Discard Batch gt RSE eer Ui aene Meme pemee i Lists i MB tock atch GONZALEZ CARLOS ALFONSO 2 OFAC The confirmation box will be opened in a separate window There are options to either continue with the closing of the batch or to cancel the action Close Batch Request You have selected to clase a batch To continue with this action means you cannot remove matches from the possible match list or add matches to the GCL BCL from this batch Click the Cancel button to cancel this request Close Batch Cancel 2 Select Close Batch to continue with the action the focus will remain on the Batch Results Select Cancel to remain on the Batch Results page without closing the batch 33 WatchDOG Elite Quick Start Guide Ste
31. Center Best Example 10 15 2015 11 27 2015 Low 346 test 2 Normal 10 16 2015 12 25 2015 High 350 Main one Normal Other 10 16 2015 12 18 2015 High SAS a 00 am ages aana aft 10 16 2015 ayaa anag fp 6 The Issue Details page will be displayed Issue Center Create and Manage a New Issue Create a New Issue 1 Select the Issue Center link The Issue Center grid will display 2 To create an issue select the green plus sign The Issue Details page will display 112 WatchDOG Elite Quick Start Guide Issue Center Issue Details 119 New Issue LOW OPEN 113 120 Si EOP ORE LAr S Vendor M issue Type Normal v gt ike Resolution Comments Status Open Severity Low Due Date 11 13 2015 Area Other SECON Assigned No User s Assigned Edit Assigned To 3 In the required Title field provide a title that contains a maximum of 100 alphanumeric characters 4 Optionally provide an Issue Description that contains no more than 1000 alphanumeric characters 5 Select the applicable choices for the Issue Type Status Severity Due Date Category Area Section and Item fields if their values differ from the default values given Note For a user with the Issue Maintenance function the Status dropdown will have an additional choice called Approved Exception The Area field defaults to Other The selections on this dropdown depend on the product areas
32. Document toggle 1s set to No o A document can be published with no assigned users but no users will see it until they have been assigned to the document o Ifa user that was previously assigned is deactivated t will be up to someone with the Manage P amp P Document function to remove the user from the Assigned Users List e Send Email Notification o This toggle can be set to yes if the creator would like to send an email notification to assigned users o The notification message will read as follows O You have a new document to review for acceptance and or view in your Document Library Document Name name of document Created By name of document creator Created Date date document was created Please log in to WatchDOG Elite to view the document e Copy Me o This toggle can be set to yes if the creator would like to also receive an email notification for a document o The Copy Me toggle is only available if the Send Email Notification toggle is set to yes e Delete Draft Button o This will permanently delete the document draft Only document drafts can be deleted The following fields will only be available to a user with the Publish P amp P Document function e Publish Date o The publish date 1s the day users can view the document for acceptance or in their Document Library if acceptance 1s not required The Publish Date must be greater than or equal to the 47 WatchDOG Elite Quick Sta
33. F Match Name Date of Birth Date of Death OLIVE E RAND 08 14 1911 05 17 2004 1 The red circle indicates that there was a match for the SSN entered in the search to the SSA DME hist If there 1s not a match a gray circle with a zero 0 will appear The number of matches will always be either 1 match or 0 no match 2 Indicates the score for which the input item matched against the watch list data This will always either be 1 000 for a match or 0 000 for no match There are no thresholds since these are all an exact match in the ID entered 3 Use the icon to expand collapse the section Important Note There are no individual entity details for SSA DMF Match so there is no disposition or comments section for these transactions Transaction Details for NPI Screening Referencing the numbers n the following image let s learn about the composition of the Transaction Details page for Exact ID Match screening against the NPI National Provider Identifier number registry Transaction Details Possible Matches Transaction Summary 1003000209 NPI Number Provider Provider Location Address Authorized Official Name Authorized Official Phone 1003000209 KOPELMAN FAMILY CHIROPRACTIC INC 411 MASS AVE SUITE 102 ACTON MA 01720 3739 DANIEL L KOPELMAN 617 388 6462 1 The green circle indicates that there was a match for the NPI entered in the search to the NPPES National Plan amp Provider Enumeration System NPI
34. HIGH MEDIUM Compliance Risk 7 22 2014 06 52 AM Admin Use Appetite Changed Liquidity Risk 7 22 2014 05 35 AM Appetite Changed Strategic Risk 7 22 2014 05 35 AM Appetite Changed MEDIUM Reputation Risk 7 22 2014 05 34 AM Appetite Changed Interest Rate Risk Appetite Changed VERY HIGH The report includes the Risk Category the date on which that category s appetite was changed who made the change what action was taken what the previous value was what the new value is and how that affected the Calculated Assessment Value You can search and filter the report using the criteria provided This report can be exported to Excel PDF or Word Risk Categories Selecting the Risk Categories menu option under SmartRisk IQ will display a list of the eight Risk Categories from the OCC that are standard to the Elite Risk Management application 61 WatchDOG Elite Quick Start Guide Risk Categories Category Name Category Description z Category Type Status Compliance Risk Risk arising from violations of laws rules regulations or internal policies System Defined Active Credit Risk Risk arising from an obligor s failure to meet terms of contracts or perform as agreed System Defined Active Interest Rate Risk Risk arising from movements in interest rates System Defined Active Liquidity Risk Risk arising from an inability to meet obligations when they come due System Defined Active Operational Risk Risk arising fr
35. IO Creating a New Version Of a DOCUIICK bissccccccccsssssseeeeeeeeeeseececccsscccccccccsscccccceceeeeeeeeesseees 0 Archiving a Document x Rx ece Iocccnnensccesscccccsnncccccsssccasscncccccessscessscaccccesssccassees JI Viewing a Document s Version HIStory wiccsccccccscccccccccccccececeeccccccccccceceessesscccccceeceeeesssssees II P amp P DOCUMENT RIINA ORU STIR cccxicsosssenesvnenvansnacnewevasuvecsicsisanserseaeueunieureeueseeeeneusen 54 Viewing Docum Mg LOP SQ CCCDLALICE cccccccccccececccccccccccccccccccccccccccccccceccccccccccscccescsccceeseeeees OA Jes gl LO GMI Cee ee ee 56 Document SUBRTTTAFPUMMEIROLT cccccccccscsscccccsscccccssssssccccesssssccsccessssccnccccccccccccesssssecssscsssssceees IO User LpO CUM aL CHO RED OT bi ccccccccccssssnnsssssssvcccccessssssccscccssssscnccccccccccccccssssssesssecssssnceees IO AJ OCUMIENT AUG KO visser rctossnancnancsiessdsscdcesdsssdecevesssssdcdddsssddsndddddesddecedvesdansaessdesaddacdee JO Document Detail RePOrtirsccccccccccccccccecsccsccscssccccccccccccccccccccccccccscccsscccccccescececsccecssccssssceeees IO MD CUMIN TMM GRY scz2encecadnesenescecdeeadoaesceetesecusccaedsaesosecenadgsaceesdcadcusscaedeassouececdeneserecesadacet 50 Doca e as Gio T A e eee moe meen OL yi eee OV TAY LGV ssseseeesssesssssseesssececccrserreesssssseessssseeccreeereesssssssessssseeeeeseereessssss 58 RISK MANAGEMENT SETTINGS censis trin i r n n EEE 58 OAC E E E IG Risk Appetite Audit REDO ucccccccccccccccccccccccccccccccccccc
36. T oe ma N From the main grid of the P amp P Document Review page users can delay any document that has an Allow Delay Until date that is set in the future If all documents can be delayed there will be a Delay All button at the bottom of the grid Once a single document cannot be delayed the Delay All button will no longer be available To review a document a user will need to select the review icon for the document they wish to review Policies amp Procedures Document Review Password Management 2015 9 20 2013 9 20 2013 Floating Holidays 9 20 2013 9 28 2013 Important Note If the document policy was uploaded instead of written in the text editor the end user will need to perform another step after selecting the review icon After selecting the icon another page will display a View Document button Select the button to review the document Close after reviewing and then Accept or Decline the policy 54 WatchDOG Elite Quick Start Guide The document will be presented with the instructions and the read only text of the document they are reviewing Once the document has been reviewed the user will have the ability to Accept Decline or Delay if available using the buttons at the bottom of the page Users are able to print the document from the document review page No instructions at this time Lorem ipsum dolor sit amet consectetur adipiscing elit sed do eiusmod tempor incididunt ut labore et d
37. Very High gt 81 For Inherent Risk the percentage is calculated by multiplying the Likelihood and Impact scores and dividing that by the maximum points available that being 25 points For example you respond on a question that your Likelihood that the risk factor will occur 1s Possible so you receive 8 out of 5 points for Likelihood You respond that the Impact of the risk factor 1s Major so you receive 4 out of 5 points for Impact The formula then becomes 3 points for Likelihood x 4 points for Impact 25 maximum points 48 or 48 This gives you an Inherent Risk of Medium Tf WatchDOG Elite Quick Start Guide To calculate the Residual Risk the Inherent Risk score is multiplied by the Control Effectiveness which simply consists of weighted values based on the response e Strong 525 e Good 625 e Satisfactory 725 e Fair 825 e Weak 925 The Residual Risk is calculated by multiplying the Inherent Risk score by the Control Effectiveness value based on the response given on the question The higher the Control Effectiveness the more your Inherent Risk is mitigated and therefore the lower your Residual Risk percentage For example if your Inherent Risk 1s 48 Medium and your Control Effectiveness is Good 625 your Residual Risk would be 30 or Low Inherent Risk 48 x Control Effectiveness 625 30 or 30 Low Residual Risk So even though the Inherent Risk might be Medium if you h
38. WatchDOG Elite Quick Start Guide WatchDOG Elite Quick Start Guide Watch List Screening Policies and Procedures SmartRisk IQ Vendor Management Controls and Response CSI Regulatory Compliance 13860 Ballantyne Corporate Place Suite 200 Chanotte NC 28277 Telephone 888 494 8449 Copyright 2015 CSI WatchDOG Elite Quick Start Guide WatchDOG Elite Quick Start Guide The information in this document is confidential and is proprietary to CSI It is intended solely for the addressee Access to this document by anyone else is unauthorized If you are not the intended recipient any disclosure copying or distribution or any action taken or omitted to be taken in reliance on it is prohibited and may be unlawful If this document is received by anyone other than the addressee please contact CSI Regulatory Compliance at 888 494 8449 Thank you Table of Contents A Dl fC ene ene ne nem ve On E On ROSE ve NP One OE NR nee 1 PNT TRS SIG UPD Et rrr E N 1 VDO T e A AAA 1 Policies and Procedures P amp P 0a000000000000000000000000000000rseooeoroeesoorseoreeesoeesoeeseoseeesoerseereee SmartR sk IQ icsecccsseccscccccccccscccscccecccecccscccssccsscenscccscccssccnscssscsecccsscctscesecsnecscescecscenscenscsnecees 2 ador N O C E EE E EEEE EEE 2 E tak C1110 E 61 co 015 10 AEN E EA E E ne ear Z FACOG GRA Documental Oleiros ee e AAAS Ea 3 BOS Ek BO EE INS ec ctnecte tare gee teterrete tatee se ae
39. able fields per function Steps to Edit an Issue 1 Select the Edit button at the top of the Issue Details page Depending on the users function assignment fields will open for editing The Edit button now reverts back to read Save Issue Details Brand New Example Issue HIGH OPEN 7 g FS V we wm F ar Sa r a a a ae ea at rT a PO e r A F a y es 2 Once all updates to the issue have been made select the Save button to accept the changes A message will appear This issue was saved successfully 115 WatchDOG Elite Quick Start Guide Issue Details Deleting an Issue Steps to Delete an Issue 1 Select the issue to be deleted from the Issue Center page The Issue Details page for that issue will be opened 2 Scroll down to the bottom of the page below the Attachments grid to view the Delete Issue button re s amen ae PEG Eida ps YY ot ine 2 lt r g D ahd D s gt LeTo Ya t i ts PAED TT T K Sin eres 2 A wen m lt OI AA T E a erin ns we pr T Po a te oF P se ny a ie F i Sie e a 4 Ps s 3 el gy pe pa 4 bod haw Sia ano EO Lare TION aa 5 ee LIFA 2 E ae ee OT ee Attachments Uploaded Date File Name Description Uploaded By 10 13 2015 My Directory docx Any Description here Lee Owens r OU a gt sere s OT aa want cee Mi aT site Mia at pies 3 Select the Delete Issue button at the bottom of the page A Delete Warning me
40. act Financial impact is the possibility that shareholders will lose money when they invest in a company that has debt if the 95 WatchDOG Elite Quick Start Guide Uploading Attachments to questions With each question is an option to attach a document s Each file cannot be larger than 10MB in size Vendor Classification v Impact Management Question Level of Risk 1 If a significant incident related to this vendor were to occur what is the possible severity of the Security impact on your organization Steps to upload an Attachment 1 Select the attachment icon The Attachments page will display in a separate window Attachments File to Upload Choose File File Name Description Important File types of doc png docx pdf xls xlsx gif csv txt bmp jpg xml and tif can be uploaded Files cannot be larger than 2 MB in size Related Attachments A Uploaded Date File Name Description Uploaded By Delete Attachments 2 Click on the Choose File button to browse and select the file to upload Important Note The list of acceptable file formats to upload is listed under the Description field 96 WatchDOG Elite Quick Start Guide 3 The File Name field will automatically populate with the file name of the file being uploaded If applicable the file name can be changed 4 Optionally provide a description 5 Select the Add Attachment button Th
41. an contain a maximum of 100 alphanumeric characters gt Status o This field will be a drop down with the option to select a status of active or inactive The default will be set to active o An inactive operational area will not be available for assignment to a vendor Inactive operational area can be reactivated Important Note A system defined operational area can be set to inactive if your institution does not use Vendor Operational Area Details Add Vendor Operational Area Operational Area Training Area Operational Area Description This is an area used for training Status Active 84 WatchDOG Elite Quick Start Guide 4 Once the required fields have been completed the Save button will be enabled Clicking Save will prompt the user with a confirmation of the save and provide two options for the user to choose from Create New Area or Back to Grid These options will only appear for the initial save of the area Contirmation Vendor Operational Area successtully saved Would you like to create a new area or return to the grid Create New Area Back to Grid In the next section you will learn how to create and manage vendors Vendors Create and Manage Create and manage the Vendor Demographics 1 Select the Vendors link The Vendors list will display 2 To create a vendor select the plus sign 3 The Vendor Details page will display Following is an explanation of the various fie
42. an obligor s failure to meet the terms of any contract with the institution or otherwise perform as agreed The level of acceptable risk should also be considered for all activities in which settlement or repayment depends on counterparty issuer or borrower performance Credit risk also exists any time the institution s funds are extended committed invested or otherwise exposed through actual or implied contractual agreements whether reflected on or off the balance sheet and should therefore be considered in Ce noa the credit risk sappens Other factors an institution should consider in Sas the credit risk apps are Risk Appetite Audit Report Select the Options menu icon in the top right corner of the Risk Management Settings screen to access a Risk Appetite Audit Report m Risk Appetite Audit Report Tg rh This report provides a detailed list of all the changes that have been made to your Category Risk Appetite settings over time 60 WatchDOG Elite Quick Start Guide Enter search information Risk Category Modified Date 07 05 2014 08 05 2014 gE Modified By Search Done id 4 ji ofi gt pi lt a Find Nex Risk Appetite Audit Report Elite Search Criteria Risk Category Modified Date 07 05 2014 08 05 2014 Modified By f Calculated Risk Category Modified Date Modified By Action Old Value New Value P A TET E EE Compliance Risk 07 31 2014 08 12 AM Admin U Appetite Changed
43. arch Period the options are Current or Archived defaults to Current To search for data entered in the past 13 months use Current and change the Start Date and End Date accordingly if applicable To search for data older than 13 months use the Archived option and change the Start Date and End Date accordingly if applicable 4 Define any additional search criteria as desired from the available search fields 5 Upon defining the search criteria select the Search button The results set will be displayed in the Review Transactions grid Review Transactions Search Critena User ID Search Period Al Current 3 Date Range Begin Time End Time 10 09 2014 10 10 2014 zE v Both f Screened Item Batch Number Transaction ID Transaction Type 2 Al 2 Include GCL Include BCL Include Reviewed Include Workflow on ei Only Assigned To Me Off Show Results with Matches Customer ID This completes the Watch List Screening section 40 WatchDOG Elite Quick Start Guide 41 WatchDOG Elite Quick Start Guide Policies and Procedures Overview Important Note This guide is written with the assumption that all roles and users have been defined and created within the application Please see Chapter 9 in the full user manual which can be accessed via the Product Documentation link in the Navigation toolbar for a more detailed explanation of all
44. ating and editing Categories associated with Vendors Creating and editing Operational Areas associated with Vendors Creating and managing Vendors Creating and managing Vendor Assessments Creating entries for Vendor Contracts Uploading attachments and notes to Vendors Accessing Vendor Reports Controls and Response Creating and editing Categories within Issue Center Creating and managing Issues Adding and editing comments as issues are in progress Uploading and managing attachments Accessing Issue Reports User Guide Conventions The user guide uses the following conventions to relate information Buttons Links Fields Pages Windows e Buttons Links Where mentioned the buttons and links are in a bold font e Fields Field names are capitalized 1 e Individual Name field e Pages and Windows Referenced as capitalized such as Batch Results page WatchDOG Elite Quick Start Guide Additional Documentation A full user reference manual is available via the Product Documentation link in Navigation toolbar WatchDOG Elite Quick Start Guide System Requirements WatchDOG Elite requires the following Supported Browsers e Internet Explorer version 9 10 and 11 all in native mode Chrome and Firefox Browser Settings Browser configured to support e Cookies Allow cookies verify that Always allow session cookies 1s checked e Pop ups Allow pop ups verify that Block pop ups is unchec
45. ave good controls in place your Residual Risk is reduced to Low Category Risk Levels At the Risk Category level the Inherent and Residual Risk scores are simply the average percentages for all the questions that have been answered Assessment Risk Levels The Assessment Inherent and Residual Risk scores are also the average percentages of all the Risk Category scores in which the Risk Category has at least one completed question A completed answered question is one that has a Likelihood and Impact response selected and saved If no Control Effectiveness has been selected it is assumed to be 0 for the purposes of the Residual Risk calculation Once a Control Effectiveness response is saved the Residual Risk will update SmartRisk IQ Reporting There are several reporting options within the SmartRisk IQ area of Elite Reporting is generally divided into three categories Audit Reporting Detail Reporting and Summary Reporting All reports can be accessed via the Options menus either on the Risk Assessment Details or the Risk Assessments main page Risk Assessment Detail Report To access a detailed printable report that includes all the questions responses attachment names comments and risk ratings at the assessment and question levels across all Risk Categories for an assessment go to the Options menu on the Risk Assessment Details and select Risk Assessment Detail Report 78 WatchDOG Elite Quick Start Gu
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47. cccccccccscccccccccseccecccccccccsscccessssssssseeeecs 60 PECAT COR Oc ee nee at ee eee 61 MSY ERT SIR IN NC TTO se cece steecece E E N EE E RRR 62 DADO TE TI TIC OIG correi rin sE E E E 02 Aer Kisk Indicator Detalls sserciererer onttroon ENEE TOE EE EER EDENE I EEES 64 Key Risk Indicators on ASSCSSINICIUS visccsssceesseveeeeeeeeeeeeccccccscccccccscccccceceeseeseeesesssssssccssseees 66 ICY TRIS TG CHO TC DOT E aana OO 07 Key Risk Indicator Audit Report Export Key Risk Indicator Summary Report KEA SSS MIN pcesaatatsaaanananecemeneconasececnsnossacstaanbacstacotecabacosennsnassacstasnbacetacutecabecsecnsansiacs Create a New RISK ASSCSSITICI sicccsseessccccccccesecccccccsseccccccccssesscccccssssscccscsssesscssscssesscesssens Risk Assessment Detail svscccssiessescespsuioersssesesgnnascnsnesstieasdoassussiussunsbesstovsuieenseatoessunssansuess TUSK Asesmen CUr CICS ODS secre rr E OD Ou Ol DCO aaa Terrie Er EEEE EEEE EEE EEEE EEEE REEERE EEE EEEE EEE CRECER EERE EERE EREE EEE EEEE EEE EEE Edit Assessment Detalls cccccccosccvssccccccsveseccrcnccessccsccsvesscessccscesscesccscesscesccoecescessessceses Tinal ze AOST o arr EE E EE EEE Risk CDC VO ese cscs occe cecdenedeccdeenccacccecsedecesecescedeceseesecedsecdendccnecesacecdecapecteeeeceseeceee Assessment Question Risk Levels Category Risk Levels Assessment Risk Levels SMARTRISK IQ gO dN Cee te eee ee ee ee Mes ee eee Risk Assessment Detail R DO7 bt ucccccccccccccccssssccsscccccccscc
48. ccccccsscsecsecees Questions Answers Intelligent Content Uploading Attachments to questions Steps to upload an Attachment Review the Attachment Assessment Question Comments Assessment Options Menu Vendor Assessment Detail Report Edit Assessment Details Finalize Assessment VENDOR CO NAS acerca teenceascatecaccaeseaasaaccasesanacnseatedsncaseadstandeneseatsenecantanseanesacadatcdseces Steps to create a contract entry Steps to upload an Attachment Review the Contract Attachment View all Vendor related AttaChime nt cccccscevvesecesssccccccvcscceessccccscceccecessscccsscvccceessccesses VENDOR REPORTS Re rere eee reer ee eee cee ee ee ere ee 108 Assessment Audit Repolt sseeeeereeeereeeeeesseeeeeeeeeeccecereeeeeesseeeeeeeeeeeeeereeeeeeeseeeeeeeeeeeeeeee 108 Assessment Question Detail RCDOUt issccssccccssescccccccccccccccccccsssseesssseseessscscssscssccecseseeeeees 108 Assessment Summary Repot sssssssessesseeseseseeseesssesssssesssssssssssssssssssssesssssesssssssssesssseeeeee 108 E E OE E O y PAAA AA 108 OEE E ICD OU E 108 Penor i C And TRC DOI orrs irisi iae E ONENE NONONONO 108 Demoraphic Summar REPO etn Pre ern e RPT eEE PRCERE EENE ENNE 108 Vendor ummary ICPOlL csissiossivosssvoroveroresevesevesevesevesevesevaseveseverevereverevenepierievseveseses 109 Vendor Batch Screening Report Expor b sescccssesessssssssccccccsssceecesceceeceeccsecsssassccesssseeeees 109 Vendor Batch Screening Contacts Report EXPO sescccccccccccccsssssesee
49. cccsccse Mee ALe eoe Assessment Audit RepoIt ssssersesessssrroneeeseecccccceeeeeeesn Neee MMistuis Npwiaisdeveoessieteeees Assessment Executive Repolt sssssssssessseecercccccccreee Meee Mere Mevsssnncccnssscceeees Assessment Question Detail RCDOUt iiscscccssessececcccesccctecscccccnnnsseesseessessecessssscacecscesseeeees Assessment Summary Repolt cccceeeeeesecvccccessssccccce Wysecncceeces MMmgfsssscccccccssssccccccesscceeeee Risk Appetite Trend Report ecccccccccececceee11 gt MIs Nesecsssssbecsssssssccccesssssscssccsssssceees VENDOR MANAGEMENT OVERVIEW Fis ri Meriva VENDOR CATEGORIES CREATE AND MANAGE sccccccssssssseecceccesssssssececceeessssssseneaes Editing a Vendor Category PAn Bs Mfivssscessscccsscnccccccssscecssnacsccesssceesssnecsees VENDOR OPERATIONAL AREAS CREATE AND MANAGE ccccsssssssececceecceeseeseeseessssens Creating an Operational Aga ibgesccssesMpecccccccsccccccssscccccsssssscecccsssssccccccccccccecessssssesces VENDORS CREATE AND MANAGE c csssccccccsssssssseccccccesssssssecccccesssssssneneeceesessssseenaecs Create and manage the Vendor Demographics vissssssssssssesessccsccecccssscccccccssssssssssssesseees Add Vendor Contacts Edit Contact Information Delete a Contact Assign Dependencies VENDOR ASSESSMENTS CREATE AND MANAGE ccssccccsssssecceessssseecceeessssesceeesssseeees Introduction to the Assessment Details page vicccccccccccccccccccccccccccccccccccccccccc
50. ch above the grid Simply start typing a key word or phrase and the list will automatically filter for those terms Key Risk Indicators TO asse J KRI Number Indicator Description Answered Last Modified Status Credit Risk KRI 00015S Asset growth rate N 08 28 2014 01 57 PM Active gt KRI 00022S ORE loans Average assets N 08 28 2014 01 57 PM Active 2 KRI 00026S Change in average earning assets N 08 28 2014 01 57 PM Active amp Additionally you can search for indicators using the Search option Select the magnifying glass icon in the top right corner of the Key Risk Indicators screen to open the search window Key Risk Indicators Search Critena KRI Number Category crip All ng Answered Status Al Al Dra i 7 ompetitors in the area Y 09 04 2014 07 46 AM Active E Enter a KRI reference number to search for a specific indicator if you know its number Select a Category to search for the indicators grouped into a specific Risk Category Select Yes or No to search for the indicators that do or do not have data values already assigned to them Select Active or Inactive to search for the indicators that have been set to an active or inactive status Key Risk Indicator Details To access the details of a specific indicator select the arrow icon on the right hand side of the desired row or click anywhere in the row Interest Rate Risk KRI 00026S Change in average
51. d document This report will only display information for the document it 1s opened from Document Detail Report The Document Detail Report can be found in the Options menu of the P amp P Document Details Page This report is a snapshot of the actions users have taken on the document it 1s opened from Document Library The Document Library allows the current logged in user to view all documents assigned to them The Document Library link is located under the Documentation section in the side Navigation bar and will be visible to all active WatchDOG Elite users Document Library Sp Quick Start Guide Product Documentation Important Note Currently documents must be created and assigned to users within the Policies amp Procedures area of the WatchDOG Elite application in order to be viewed in the Document Library Documents that have been Accepted Delayed or Declined can be viewed in the Document Library In addition to these documents that did not require employee acceptance but were made public or assigned to the logged in user can be viewed here as well 56 WatchDOG Elite Quick Start Guide Document Library Document Mame s Created By 4 Created Date amp Veron s Lact Action Date t Action test 72001 tha Admin User Fonte Adin Usa OF 20 2015 1 0 OF 2015 W Geert Poed Evatuation Plan 2 Surekha Admin User Ranga Admin User OFfazr2015 20 OF ia 2015 HIA a Dies Code Policy Rosali
52. dicator metrics Important Note This guide is written with the assumption that all roles and users have been defined and created within the application Please see Chapter 11 in the full user manual which can be accessed via the Product Documentation link in the Navigation toolbar for a more detailed explanation of all functions and reports as well as the functions required to access the features and functionality Navigation Most of the navigation within the application 1s driven through the left side Navigation toolbar Only those links which the user has access to via security functions will be available in the Navigation toolbar For SmartRisk IQ the section will be displayed as ARI Key Risk Indicators l Risk Assessments i Risk Categories M Risk Management Settings Risk Management Settings Let s start with your Risk Management Settings The WatchDOG Elite Risk Management system 1s built on the OCC Risk Management regulatory guidelines and framework There are eight 8 risk categories defined by the OCC that should be monitored and assessed for compliance e Compliance Risk e Operational Risk e Credit Risk e Price Risk e Interest Rate Risk e Reputational Risk e Liquidity Risk e Strategic Risk The Risk Management Settings page allows you to set your tolerance or risk appetite for each of the eight Risk Categories to determine the amount of risk you are willing to accept in each area The toleranc
53. displayed The file types of doc pdf docx png xls xlsx gif csv txt bmp jpg and xml can be uploaded listed on the upload page 45 WatchDOG Elite Quick Start Guide After uploading and before saving selecting the Clear button will clear the file giving the user another opportunity to upload a different file Once the file 1s uploaded it cannot be edited If edits are required delete the uploaded file and upload the edited version If the document requires employees to either accept or decline the Require Employee Acceptance toggle within the Document Settings section must be switched to Yes and the following fields within the Acceptance Settings section will be available on a document draft 4 l Publish Date Require Employee Acceptance v Created By Surekha_Admin User Ranga The Acceptance Settings section will only display once the Require Employee Acceptance toggle is set to Yes Created Date 07 20 2015 Recurrence Never amp Allow Delay Until i a If declined send email to Description Instructions ha Ee ee ee O OH we eget ert inne enn S BO ee Yo ae e Recurrence o By default a document will never renew o Ifa document is set to renew it will renew annually based on the original publish date o A document that renews will have separate reporting for each renewal e If declined send email to o Auser can enter one or multiple email add
54. e Griebel Orfei2o015 1 0 Of 1ly201s WJA a New Password Policy surekha_Admin User Ranga_Admin User Orfai201s 1 0 OF 2 2015 Ceeclined Q Latest Deia Rept Surekha Admin User Rira Admin Usar 07720 2015 10 OT A0 2015 HA O Loren ipsu Surekha Admin User Ranga Admin User OTf21f2015 1 0 OF f2f2015 Actepted g menidi b Ea eT a a ne E a T a a a a a N a T eee aa The Document Library will display the following data for each item in the grid e Document Name e Created By e Created Date e Version e Last Action Date e Action The user can select the icon to display a read only view of the document Document Library Search The logged in user can perform a search from the Document Library page by selecting the search icon in the top right corner Document Library Search Criteria Document Name Approval Category test 72001 Al amp Genera Proce wes Evacuation Plan 2 Surekha_Admin User Ranga_Admin User 07 22 2015 20 07 22 2015 N A n Select the Last Action Date Range via the calendar control and or the Action via the drop down and click the Search button to retrieve results This completes the Policies and Procedures section of WatchDOG Elite Quick Start Guide SmartRisk IQ Overview This section of the Elite Quick Start guide details the steps to create and manage Risk Assessments as well as view the eight OCC Risk Categories set risk tolerances via the Settings and complete Key Risk In
55. e a single item screening l D O a EEE EES l Steps to add Batch Comments 32 Steps to Close a Batch 33 Steps to Lock a Batch 34 Steps to Unlock a Batch 35 DUT PO aR eA AAA AAA AEAEE AEEA BD Steps to run the Batch Run Report 35 Steps to run the Detailed Batch Report 36 Steps to run the Statistics Report 38 Steps to run the Audit Report 38 REVIEW TRANSACTIONS OVERVIEW ccccsssssccssssssnecccesssssnscccssssssseceetllbinersssssssseticesssses 39 Steps to search for a previously screened ICID veseseseceeeeceeeccccssececececcecteccenceeseesseseeeeeeeeeees 39 POLICIES AND PROCEDURES OVERVIEW eeeeeeeee AEN n Mecgesssscecececcccseees 42 CREATING A P amp P DOCUMENT CATEGORY 000c015 Qeee Meee MDL escssescenssssesenseseees 42 Editing a PP Document Category viccccsseeessecececesecccnceeeceecccccsccaceeeeeesscssccccceceeeeessssssceeeees 44 MANACINCAPS P DOCUMEN Vic ciccs cegonsreastnte niei Nieta oe Be acd E REEE 44 Creating a Document seeseeesssseseeeeeceeceeeengsneee Mg COD scssccescccccssssccccccccccccccesssssseeees 44 Viewing the Manage P amp P Documents Gril iccccccccccsssssseeecseeccccccccccceeeeessssccccccceeeeeescessees 48 Viewing Document Details and Editing a DOCUINICKItiiiecccccccceccssseeeseessecccccccceeeeeesesseeees 48 Publishing a Document that does not Require APPTOVAL vassssccccccccccccccccccccccccccccccccsseeees 0 Publishing a Document that Requires APPIOVAL eesscccscccecessssssscsccccessssseesssesesscecccssssenees
56. e file will be uploaded and placed in the Related Attachments grid Select the Done button located in the top right of the window to retain the attachments and return to the Assessment Details page 6 The attachment icon has now changed from a plus sign to a paper clip Important Note To attach another document to the question simply select the paper clip icon to launch the Attachments page Vendor Classification v Question Level of Risk 1 If a significant incident related to this vendor were to occur what is the possible severity of the Security impact on your organization Review the Attachment 1 From the Assessment Details page select the paper clip associated to the question The Attachments page will display 97 WatchDOG Elite Quick Start Guide Attachments File to Upload Choose File File Name Description Important File types of doc png docx pdf xls xlsx gif csv tt bmp jpg xml and tif can be uploaded Files cannot be larger than 2 MB in size Related Attachments A Uploaded Date File Name Description Uploaded By Pa 1 30 2014 Training_File csv This is for demonstration purposes only Admin User LE Delete Attachments 2 Select the icon n the far nght row of the attachments Depending on the file type the attachment will open in a separate window or you will be prompted to save the document locally and open 98 WatchDOG Elite Quick Start Gu
57. e name of the user that submitted the document for approval and when the document was submitted PRP Document Details P amp P Document Details WatchDOG Elite Quick Start Guide o The comments will stay with the document for the life of the document o The actions Approve Deny Reset and Submit changes will create an entry with a timestamp 1n the comments o The assigned approver will have the option to approve or deny the document from this section gt The buttons Submit Changes for Approval Reset and Delete are available o Submit Changes for Approval is used to notify the assigned approver that changes have been made to the document This button will reset any Approval Status back to Submitted for Approval o Reset is used when the assigned approver for the category has been changed The new assigned approver will receive an email notifying them that a document has been submitted to them for approval o Delete will permanently erase the draft document including any comments that are attached to it During the approval process the approver will need to review the submitted document The document can be found on the Manage P amp P Documents page and will be located under the category in which the document was created It will have a status of Ready for Approval Lorem Ipsum Surekha Admin User Ranga Ad N A 07721 2015 N A Draft _ gt Ready for Ap
58. e previous version to become archived Publishing a Document that does not Require Approval but Requires Employee Acceptance A document with these settings can be published once the Name Category Document Body and Publish Date fields have been populated Publishing a document makes it available to users on the document s publish date The following actions occur when a document that does not require approval but does require employee acceptance 1s published On the publish date the assigned user s will be able to review the document and choose to accept or decline it e Ifan Allow Delay Until date is set users will be able to delay reviewing a document until that date arrives e Once the assigned user s selects either to accept decline or delay the document the document can then be viewed in the Document Library e For publish dates set beyond the current date documents will be published shortly after 12 00am on the day the document 1s set to publish If the published document is a new version it will cause the previous version to become archived Publishing a Document that Requires Approval A document can be submitted for approval once the Name Category Document Body and Publish Date fields have been populated 50 WatchDOG Elite Quick Start Guide P amp P Document Details New P amp P Document N A Draft Category and Name _ Category WD Elite Documentation BA v h
59. eccssssssssssecessseeees 109 TECHNICAL SUPPORT AND CONTACT INFORMATION c tn eee eeee 121 WatchDOG Elite Quick Start Guide Introduction Welcome to WatchDOG Elite This application allows users to perform the essential functions of an effective regulatory compliance program including conducting restricted party watch list screening creating and managing policy and procedure review and acceptance completing risk assessment activities across the enterprise and managing third party vendor relationships e Watch List Screening facilitates restricted party screening process using data entered via a web browser or by automated integration to meet your compliance needs e Policies and Procedures enable you to comply with creating and tracking policy acceptance practices e SmartRisk IQ facilitates baseline and ongoing risk assessment activities across the enterprise e Vendor Management helps automate and streamline the oversight of vendor relationships e Controls and Response enable users to log and track findings matters issues and tasks related to Regulatory Compliance activities as part of the control remediation and response process About This User Guide This Quick Start Guide describes a subset of the full feature functionality of the application from the end user s perspective however only the service s and features to which your institution subscribes are available to you in the application In this document
60. ecreased direction of risk and no change in residual risk will constitute a stable direction of risk 5 The Direction of Risk Report trends the changes in the direction of risk from one assessment to the next broken down by Risk Category A column for each assessment with the date the assessment was finalized including the current assessment displays an up arrow down arrow or dash icon to represent increased risk decreased risk or stable risk respectively 6 The Risk Index report shows where the current assessment s residual risk lies on the risk spectrum Very Low to Very High Risk Category Inherent Risk Residual Risk Direction of Risk Progress Compliance Risk 5of5 C Credit Risk 10 of 10 Operational Risk 7 of 7 Price Risk 8 of 8 Reputation Risk 5 of 5 Strategic Risk 10 of 10 The second half of the page lists each Risk Category the risk levels by category and the progress of questions completed per category Note that the risk assessment questionnaire 1s broken out by Risk Category there is a different set of questions under each category All questions must be answered or opted out of before an assessment can be finalized To access the questions for a category click on the arrow button or anywhere in the row for the desired category 72 WatchDOG Elite Quick Start Guide Risk Assessment Category Questions As mentioned there is a separate set of questions for each Risk Categ
61. editable for indicators that can and are being populated from the UBPR Indicator Type This read only information provides general system data about the indicator including the Risk Category it is assigned to the Indicator Type defined by the System or customized by a user the user who Last Modified the indicator and the Last Modified Date Status Use the status field to deactivate an indicator you do not want to use anywhere 1n the system including on assessments Inactive indicators will continue to display on the Key Risk Indicators list unless you remove them using the Search feature but they will not display on Risk Assessments Show on Assessments This field controls whether the Indicator Description and Value will be displayed on relevant assessment questions Make sure you change this to Yes before saving the value if you want the indicator to show on assessments 65 WatchDOG Elite Quick Start Guide Once you have updated the Key Risk Indicator Detail be sure to Save your changes A confirmation message will display when the indicator 1s saved successfully Key Risk Indicator Detail Key Risk Indicator successfully saved Key Risk Indicator KRI 00027S After you enter and save a value for the indicator the Answered column on the KRI list will display a Y for Yes indicating that the KRI value has been answered KRI 00027S Gap ratio 09 11 2014 06 47 AM Active Key Risk Indicators on
62. ee Normal Other 10 16 2015 10 23 2015 Low Open ED 358 1019 Normal 10 19 2015 10 26 2015 Low Open gt 339 7 53 Board Report Other 10 15 2015 10 22 2015 Low Open gt 349 Create Normal Other 10 16 2015 10 23 2015 Medium Open gt 365 Brand New Example Issue Normal Other 11 06 2015 11 13 2015 High Open gt Records 9 Note Users with the Issue View function will only be able to view issues that are assigned to them Users with the Issue Create function will be able to view issues that they have created as well as issues that are assigned to them Users with the Issue Maintenance function will be able to view all issues regardless of assignment or creation 2 To perform a search of the grid select the search icon The Search Criteria box will display Issue Center Search Criteria Area Issue ss al Ot 34 Created Date Due Date 10 14 2015 11 13 2015 aE 10 14 2015 01713 2016 34 4 Severity Issue Type Al Al 35 Status Category 35 Open Closed Approved Exception All 35 WatchDOG Elite Quick Start Guide 3 Set the applicable search criteria and select the Search Button Results based on the criteria will be displayed in the Issue Center grid 4 You may also use the Inline Search Filter to search the grid for a particular issue s 5 To view a particular issue on the Issue Center grid select the blue arrow or click the row associated to the item to be viewed Issue
63. egory The category name must be unique within the chent This field can contain a maximum of 50 alphanumeric characters gt Category Description o This optional field can contain a maximum of 100 alphanumeric characters gt Status o This field will be a toggle with the option to select a status of active or inactive The default will be set to active o An inactive category will not be available for assignment to an issue Inactive categories can be reactivated 4 The Save button will be enabled once a Category Name is chosen You can return to the category detail page to make changes at any time When the Save button is clicked a message will be displayed Issue Category successfully saved Would you like to create a new item or return to the grid 119 WatchDOG Elite Quick Start Guide Contirmation Issue Category successfully saved Would you like to create a new category Stay on this Page or return to the grid Create New Category Stay on this Page Back to Grid o Clicking Create New Category will give the user the ability to create a new category o Chicking Stay on this Page will allow the user to remain on the current page with the newly created issue category o Chcking Back to Grid will direct the user back to the Issue Categories page to view the newly created category 1n the list If a user tries to navigate away from the Category Details page without saving the follow
64. emio J 2 18 of 45 FY Entity Oo 0 850 Entity Type Individua Entity Number 10400 Entity Name MQ INA GONZALEZ Jose Epinemio List Ptfice Of Foreign Assets Control Programs SDNTK Specially Designated Narcotics Traffickers Kingpin Act Remarks Modified On 11 05 2007 DOB 18 Nov 1957 POB Icononzo Tolima Colombia Nationality Colombia Citizen Colombia Cedula No T I 57111 01681 Colombia A K A DANILO GARCIA Addresses 0 0 000 EO 0 850 ldentifes Q 0 000 Dispositions amp Comments Reason Comment 1 The red circles indicate that these sections contain entity information that matched at or above the screened threshold Identifies the number of entity matches for the selected matched item Each entity should be reviewed Indicates the threshold or score in which the input item matched against the watch list data Use the icon to expand collapse the section A disposition reason and comments may be assigned A reason Is assigned to identify why the matched item was or was not a true match Transaction Details for DMF Screening Referencing the numbers n the following image let s learn about the composition of the Transaction Details page for Exact ID Match screening against the SSA DMF Death Master File list 15 WatchDOG Elite Quick Start Guide Transaction Details pee ie Transaction Summary 001 01 0926 1 3 1 000 A FE SSA DM
65. ents Entity Name Address Hit Print the Transaction Detail Report 1 From the Options menu select Transaction Details Report The report will load in a separate window 17 WatchDOG Elite Quick Start Guide Transaction Details Report search Summary Searched List s ENGLAND OFAC All Entities Osama Bin Laden Address DG Yes Search Street Address Yes DOE DOE Range Transaction ID Transaction Date 5 Created By Search Thresheld Transaction Comments Possible Matches England HM Treasury Sanction List Search Results Hit Count List Information Entity Hits 2 Mame England HM Treasury Sanction List Sanctioned Country Hits 0 Description 2012 04 29 England HM Treasury Source Data 2 Click on the drop down arrow to select the applicable output format When selected the report will open and from the page the report can be printed or saved to your local network or computer After printing or saving close the window to return to the report window 3 Select the Done button to return to the Transaction Details page Add the matched item as a Workflow Item 1 From the Options menu select Add To Workflow The Add Workflow Item window will appear 18 WatchDOG Elite Quick Start Guide es i S Add Workflow Item Description Category Assign To Status Open In the Description field provide information for the person receiving the workflow item Select an option
66. es you set here n the Settings will be compared to your actual risk levels on each Risk Assessment you complete 08 WatchDOG Elite Quick Start Guide Category Risk Appetite To set the risk appetite for each Risk Category select the Risk Management Settings option in the left side bar menu Risk Management Settings Compliance Risk E Medium Credit Risk Medium Risk Management Settings Interest Rate Risk m High Liquidity Risk A Low Operational Risk D Medium Price Risk D Very High Reputation Risk Strategic Risk O Medium B very High E High E Medium M ow J ver tow A screen will appear listing all eight Risk Categories with drop down menus beside each one To set your Risk Appetite for each category select it from the menu beside the desired category name When you have set all your tolerance levels select Save in the top right corner of the screen to save your settings Notice that an overall Calculated Assessment Risk Appetite appears at the top of the screen This is a system calculated value that averages the appetite levels selected for all categories and gives you an overall Risk Appetite for your assessments If you determine that your overall Assessment Risk Appetite 1s too high or low adjust the individual risk levels on your Risk Categories Important Note Intelligent Content is available by clicking the question mark icon beside the Category Risk Appetite field label This will
67. ess is considered Residual Risk is the risk after control effectiveness 1s considered and Direction of Risk is the change upward or downward for the category since the last assessment 3 Each question has three sections that must be completed o Likelihood Indicate the likelihood that this risk factor could occur during this assessment period at your institution Your options are Rare Unlikely Possible Likely or Frequent o Impact Indicate the impact this risk factor will have on your institution during this assessment period Your options are Incidental Minor Moderate Major or Extreme o Control Effectiveness Indicate the level of controls you already have in place at your institution to mitigate this risk factor during this assessment period Your options are Strong Good Satisfactory Fair or Weak 73 WatchDOG Elite Quick Start Guide 4 Inherent Risk Residual Risk and Direction of Risk are also calculated per question again based on the likelihood and impact before and after your controls are considered and the change 1n residual risk since the last tme you answered this question 5 Access Intelligent Content by clicking the question mark icon for each question The information available here will help determine what your current Control Effectiveness should be 6 Upload attachments specific to a question Attachments could include supporting materials or other artifacts needed to justify a speci
68. f the Elite Quick Start guide details the steps to create and manage Vendor Categories Vendor Operational Areas and create Vendors and the associated assessments Important Note This guide is written with the assumption that all roles and users have been defined and created within the application Please see Chapter 11 in the full user manual which can be accessed via the Product Documentation link in the Navigation toolbar for a more detailed explanation of all functions and reports as well as the functions required to access the features and functionality Navigation Most of the navigation within the application 1s driven through the left side Navigation toolbar Only those links which the user has access to via security functions will be available in the Navigation toolbar For Vendor Management the section will be displayed as Vendors Vendor Categories Vendor Operational Areas 81 WatchDOG Elite Quick Start Guide Vendor Categories Create and Manage Categories classify vendors based on the service that they provide to your institution By default there are a set of system defined categories however your institution may elect to create additional categories and or deactivate system defined categories that will not be used by your institution 1 Select the Vendor Categories link The Vendor Category list will display Vendor Categories Category Name Category Description Category T
69. fic response to the question 7 Add comments to support your responses to the question or notify other users viewing the assessment of important notes 8 Make sure you save any responses attachments or comments you add before leaving the page Opting Out of Questions You have the ability to opt out of questions on the assessment If you opt out of one or more questions the selected questions will no longer display on the assessment and will not be counted or required as part of the risk calculation and assessment finalization To opt out of one or more questions select the Options icon in the top right corner of the Risk Assessment Category Questions screen and select Opt Out of Questions from the menu Risk Assessment Category Questions gt ape Due Date Options Bone 02 01 2015 aTa Ta SE A a Z Opt Out of Questions The page will become grayed out disabled and a check box will appear beside each question 74 Click in the check box beside the question s you would like to opt out of and then select Done to save your selection s Any questions you choose to opt out of will no longer appear on the main Risk Assessment Category Questions screen To opt back in to a question select the Opt Out of Questions from the Options menu and deselect the Opt Out check box for the desired question s then select Done Note that the question numbers never change so 1f you have opted out of any questions t
70. guess using 4 numbers Select the DOB Range 0 to 5 from the drop down list For example if the DOB 1s 1955 and the range is 2 the algorithm searches all dates from 1953 to 1957 7 In Watch Lists section click on the Edit Watch Lists button Then select the applicable watch lists After selecting the lists click on Done The window will close and return you to the Screen a Single Item page Em Wee Ss as T O Steen a Single Mam Y OA hiigae beta atiupwebsgulions corm haa ScreenSinglehart CI Bevpirrunrics Choose Watch Lists BIS 2013 4 3 ENGLAND 2013 4 5 EUROPE 2013 4 5 FBI 2013 4 9 INTERPOL 2013 23 20 OFAC 7013 4 17 OSFL 2013 3 26 8 Optionally change the Threshold The valid values are from 80 to 1 00 80 to 100 9 Click Process to begin the search and match process Screening a Sanctioned Country To screen a country use the Sanctioned Country link Sanctioned Country searches are performed against the OFAC and FATF lists only 1 From the Screen a Single Item page select the Sanctioned Country tab 2 If applicable select a division in which to associate the search 3 In Watch Lists check the OFAC watch list 4 Click Process to begin the search and match process Important Note If the screening results in a possible match a red indicator will be visible in the Country Matches section of the Transaction Details page the screening results In addition an exter
71. he question numbers will skip Edit Assessment Details To change the name of the assessment or the due date go to the Options menu on the Risk Assessment Details and select Edit Assessment Details Risk Assessment Details d CF 2 yee SA Mat ue Date J il Options 02 01 2015 Fad Risk Assessment Detail Rg ort Attachments Notes aan Edit Assessment Details PESIDUAL RISK DIRECTION OF RISK MEDIUM INCREASING o ae A pop up screen will appear that allows you to edit the name and the due date Be sure to Save before exiting the window 19 WatchDOG Elite Quick Start Guide Edit Assessment Details Assessment Name FY2015 Qal E a Compliance Risk Credit Risk Interest Rate Risk Liquidity Risk Operational Risk Price Risk Reputation Risk Strategic Risk Edit Risk Categories Due Date 02 01 2015 g Finalize Assessment Once you have completed all the questions for each Risk Category on the assessment you can finalize the assessment Finalizing the assessment will lock all the responses and supplemental information attachments and comments the assessment cannot be edited once it is finalized To finalize an assessment go to the Options menu on the Risk Assessment Details and select Finalize Assessment Risk Assessment Details Date Options 02 01 2015 Risk Assessment Detail Rg Attachments tae E Edit Assessment Details Note that you cannot finalize
72. he results of each report may be exported as a PDF Microsoft Excel or Word format Issue Comment Audit Report In addition to the function driven reports referenced above the Issue Comment Audit Report is available to all users and can be viewed by the assigned users of a particular issue his report can be accessed via the Options menu on the Issue Details page The Issue Comment Audit Report will audit any and all activity within the Resolution Comments section on the Issue Details of an issue Actions such as when a comment is added edited or deleted can be tracked on this report 117 WatchDOG Elite Quick Start Guide Modified Date 09 14 2015 10 14 2015 a Modified By Search Done is i l offi gt Fil qa Find Next Issue Comment Audit Report A A Search Criteria Modified Date 09 14 2015 10 14 2015 Modified By All Reference Issue 126 Report Date 10 14 2015 Dates Modified Date Modified By Action Old Value New Value 10 12 2015 4 22 09 PM Lee Owens Comment Deleted am now adding an additional comment to show the delete functionality within the resolution comments section 10 12 2015 4 01 03 PM Lee Owens t Added am now adding an additional comment to show the delete functionality within the resolution comments section 12 2015 3 49 42 PM Lee Owens Comment Edited add this comm show that it am going to add this comment to show that it can be edited And here is the edited text Yayyy 0
73. hecked the header row column names will be provided n the field mapping section Please note that default column names will appear if you either 1 do not have a column header in your data file or 2 you do NOT select the Contains Header checkbox This will be reviewed in the next section 3 Select the Edit Field Mapping button to map the input data fields to the system equivalent mapping Guidelines for the Field Mapping Process Here are some basic guidelines for mapping the fields in customer data file Field Name Description How to Map Map this field in your To the data type in the customer data file Field Mapping Column Individual Person Full name in a single Full Name field First and Last name in Map the first name to separate fields First Name and last name to Last Name Non Entty such as a Non individual Non Individual individual business a vessel Both Individuals or non Both individual and non All Entities individuals individual Account Excludes items Excludes items Account Account or other Account or other Account Account Number WatchDOG Elite Quick Start Guide Required flagged as 1 good identifying number Unique Identifier for GCL customers or 2 or and BCL blocked customers Address Address including Street Address street city state postal code and or Cty Postal Code Zip Postal Code a 4 Batch
74. ide Assessment Question Comments With each question is an option to record audited comments related to the question answer Vendor Classification Impact Management Question Level of Risk 1 If a significant incident related to this vendor were to occur what is the possible severity of the Security impact on your organization 1 Select the add comments icon The Comments page will display Comments Admin 1 30 2014 2 58 PM Comments added here are audited when saved Comments are added in the data entry field below Then the plus sign is selected The comments are then moved to the audited field above A running audit of all saved comments are retained Comments are added here Date and time for comments are displayed as Eastern Standard Time 2 Enter the comments in the data entry field to the left of the plus sign This field accepts up to 1000 alphanumeric characters 3 Then select the plus sign The comments will be moved to the audit field above 4 Select the Done button to return to the Assessment Details page 5 The grayed out comment bubble and plus sign icons are now replaced with an active comment bubble Additional comments can be added simply by selecting the comment button to open the Comments page 99 WatchDOG Elite Quick Start Guide Vendor Classification v Impact Management Question Level of Risk 1 If a significant incident related to this vendor were to occur
75. ide This report provides a formatted printable version of the assessment that includes the overall Inherent Risk Residual Risk and Direction of Risk for the assessment as well as a detailed view of each question on the assessment grouped by Risk Category The report can be exported to Excel or PDF Assessment Audit Report Access the Assessment Audit Report from the Options menu on the main Risk Assessments grid page The Assessment Audit Report Export provides a detailed list of every change made on all risk assessments or a specific assessment for audit purposes The report can be exported to CSV or Excel Assessment Executive Report Access the Assessment Executive Report from the Options menu on the main Risk Assessments grid page The Assessment Executive Report provides a summary level overview of assessment activity over the previous rolling 12 months All finalized assessments within the period are reflected in the report which includes risk trending charts and tables at an overall level as well as a break down by Risk Category Assessment Question Detail Report Access the Assessment Question Detail Report from the Options menu on the main Risk Assessments grid page The Assessment Question Detail Report is another way to view all the questions on assessments with the responses provided as well as the risk ratings information about Opt Out selections comments and attachments This version of the Questi
76. ierere tatada se cecerecacas ida seceaocenacesivase Me i a ie 4 Supported Browsers ueccccccececececcccccccccccccccecccccccccccccccccceccsccssccccececesse Nese frien 4 E be 110 OEA E EEEE i ES AE 4 Monitor Resolution SCteings ccccccccccsscccccssssscnnncccccsccccsceceess AA eene e orcsssesMescccccsssssenees 4 Third Party Applications rrsssssssssssssssssssssssssssssssssssssssssseerssNecee MbgeccseeReapeccccccccccceceeeeeees 4 LOCOS eee a a a a E Geel sectuaclencbeestauces 5 OSONT M OU Te A a E E ROE 6 INTRODUCTION TO THE HOME PAGE ccccccssssssncccectecessesssececceessesssesseeeecececesssseseneeeeeeees 6 DEFINING USER PREFERENCES 220000 SACU as sssseceessssssssssescccessssssssssesseeeness 7 Steps to modify the User PretereriCe cciisccteceececteccececcccceececcececcccccccecccceccceccececececeeccecceeees 8 INTRODUCTION TO THE NAVIGATION TOOLBAR cccssssssssssssssssssssssssssssssssssssseessessssseeeees 9 Self servic Reset Passwords 111 ceggecssss A gecceeeeeeMecbncccscccsscccssccccccccssscneccccccsccccssecsssccecs 10 WATCH LIST SCREENING OW RVIEWA B eeeonnneeee0ee000ossseeesecooosssssssessssssesss 12 TRANSACTION DETAILS OVERVIEW ccssccccccccssssssnseccccccessssssseecceceeessssssneeececeeesseeeseeaees 12 Options to navigate through the transacton L1St viccccccsseceeeceececeecceceseceecceeecceeeeeeeeceeeeeeeeees 18 Up Down Arrows 13 Transaction List Navigation 14 Reviewing the Watch List TransactiOn Details ccc
77. ification Email s ns Notification Group s ns Batch Comments Date 5 4 2012 Batch Statistics Report Copyright amp 2013 CSI Page 1 of 1 2 To print export the report click on the applicable option from the drop down menu 3 When completed with print export click the Done button to close this page and return to the Batch Results page Steps to run the Audit Report 1 From the Options menu of the Batch Results page select Audit Report 38 WatchDOG Elite Quick Start Guide Back Batch Results Q 2 gt Options Done Batch 569294 Coala Batch Comments included included Included Included Close Batch a Discard Batch Bole REV WED Screed Name Kuster ID Lists SEER GONZALEZ CARLOS ALFONSO 2 OFAC Detailed Report GUTIERREZ REYES JOSE 1 OFAC Statistics Report HERNANDEZ CARBALLOSA ALEXIS ENEILO 3 OFAC Audit Report MADAN RIVAS JORGE OFAC The results will be opened in a separate window 2 To print export the report click on the applicable option from the drop down menu 1 of i P Ful Batch Audit Report Details Batch Number m9294 Total Searched Batch Name Daily Batch Run Total Matched Run Date ON04 2013 Record Count Searched List s ENGLAND OFAC Hare Cust ID Action MADAN RIVAS JORGE 4 FA Added to GOL HERNANDEZ CARBALLOSA ALEXIS ENEILO 3 05 04 2012 GUTIERREZ REYES JOSE 1 Date 54 2013 Batch Audit Report Copyright 2013 CSI Page 1
78. ing message will appear You have unsaved changes Are you sure you want to leave the page o Chcking Ok will allow the user to leave the page and discard any changes made o Clicking Cancel will keep the user on the current page Important Note Categories cannot be deleted Editing an Issue Category A custom added category can be edited at any time With the exception of the category type all other category fields are editable To retain changes select the Save button prior to leaving the Category Detail Page Important Note No field is editable for the system defined category This completes the Controls and Response section 120 WatchDOG Elite Quick Start Guide Technical Support and Contact Information Please feel free to contact our support team with any questions concerns or comments you may have regarding this document or the application All communications from our customers are always welcome and greatly appreciated Phone 888 494 8449 and press Option 3 Email customersupport csiweb com Mailing Address CSI Regulatory Compliance 13860 Ballantyne Corporate Place Suite 200 Charlotte NC 28277 121
79. isk search Done lt 4 _ Export options Question Rating Question Comments Direction of Risk Due Date 09 30 2014 Category Computer Software Operational Area Compliance Training This option will be used in the event the Assessment Name the category and or operational area needs to change for a particular assessment 1 From the Options menu of the Assessment Details select Edit Assessment Details Assessment Name Vendor Category Operational Area Due Date Edit Assessment Detail IT Computer Software Compliance Training 09 30 2044 m 2 Make the applicable changes and then select the Save button to return to the Assessment Details page 101 WatchDOG Elite Quick Start Guide 3 Upon saving any changes will be reflected on the Assessment Details page Finalize Assessment Finalizing the assessment is a way of stating the assessment 1s now complete Assessments can be finalized after all questions have been answered Back Vendor Assessment Details 2 IT 09 30 2014 53 of 53 Vendor GLBA Vendor Category Computer Software Operational Area Compliance Training 1 After all questions have been answered and it 1s time to finalize the assessment select Finalize Assessment from the Options menu Finalize Assessment Finalize Assessment Are you sure you want to finalize this assessment Finalizing this assessment means the assessment will no longer be editable
80. isplay to the right of the password entry field 5 Click Reset Password You will then be directed to the default Home Page Session Timeout After 20 minutes of idle time the application session will timeout When you attempt to resume work you will be directed back to the login page Upon successfully logging in you will be directed to the page where you timed out Introduction to the Home Page By default the Getting Started page serves as the user s Home Page Later you will learn how a user can define their Home Page RG ELITE f m Home Page Rosalie Griebel gt MA 1 System Dashboard WatchDOG Elite Get Started with WatchDOG Notification Center CSI Let s Get Started Ki Manage Your Preferences Consult our easy to follow Quick Start Guide to P Choose your homepage reset your password ap Q get started Za select your time zone and more from the User Preferences page 2 N CSI Customer Support What Else Can We Do For You If you have questions or if concerns arise our Watch List Screening is not the only thing we client support staff is here to help Find out do CSI provides a broad range of Compliance how you can Contact Us Products amp Services backed by our regulatory compliance and technical expertise ro WLS System Settings PE Manage ait P amp P 1 This top section contains the options to do the following e Access to User Preferences e H
81. ked Note Browser configuration settings for IE are located in Tools gt Internet Options Follow the menu options for your version Monitor Resolution Settings e Optimized screen resolution for WatchDOG Elite is 1152 x 864 and higher The lowest resolution supposed 1s 1024x768 however this could require additional scrolling within the application to view all data and fields Third Party Applications e Adobe Reader version 9 or higher to reports and other documents as PDF WatchDOG Elite Quick Start Guide Logon The login page consists of three login fields an option to have the system remember the Company and User ID for subsequent logins as well as an option to reset the password if forgotten WatchDOG Client admin m Remember Wie Login 1 At the logon window enter your Company User ID and Password Company and User IDs are not case sensitive however the password is case sensitive Remember Me Uncheck this box to not have your logon credentials retained for subsequent visits to this website 2 Click Logon to launch the WatchDOG Elite Home page 3 Upon initial login the default password expires and you must create a new password Current Password New Password a Confirm Password WatchDOG Elite Quick Start Guide 4 Enter the current password and then enter the new password in the New Password and Confirm Password fields making sure to follow the requirements that d
82. ld associated icons Required field Intelligent Content or Help Important Note Where applicable review the intelligent content that is associated to applicable required fields prior to making a selection as an explanation for those fields are not provided in this document 85 WatchDOG Elite Quick Start Guide fendor Information Vendor Name Vendor Number Vendor Owner Vendor Category Operational Areas Customer Member Data Access B Internal Confidential Data Access 3 Tier amp 3 Choose an Owner No category selected No area s selected Choose a Tier Vendor Details 4 Required fields Edit Vendor Category iame Edit Operational Areas Tax ID Federal Exemption Code State Exemption Code 4 Ata minimum populate the required fields 5 To select a category and operational area select the applicable button to display the list of available categories and areas Vendor Category No category selected __ gt Edit Vendor Category Operational Areas g No area s selected 0 Edit Operational Areas 6 To assign vendor categories to the vendor select the Edit Vendor Category button 7 Click on the checkbox next to the applicable categories If all categories apply select the checkbox under Assigned 86 WatchDOG Elite Quick Start Guide 10 P Choose Categories Categories Audit Services Compute
83. lish Date Version Document Status Approval Status 2014 Categury a os ewe r i 4 O Al P ai me ai pe a T s S aT a a get amp PU n i Mamanman Searching the Manage P amp P Documents Grid The logged in user can perform a search from the Document Library page by selecting the search icon n the top right corner Manage P amp P Documents Q iad Search Criteria Document Name Created By All bert A Stil Publisher Version All f i Select one or more F of the available A Is Document Status 3 roval Status bert A Sti options for each of E CAA Archived Pending Publish these search riteria bert A Sti Derg A n Adpi A mta S ticklanda amma sgennernnrmmrOnnatininn e em DublisBed gif n a a p NY ay Viewing Document Details and Editing a Document Editable fields are as follows Draft Document 48 WatchDOG Elite Quick Start Guide e Category e Name e Document Editor e Require Employee Acceptance e Recurrence e If declined send email to e Description e Instructions e Public Document e Assigned Users e Send Email Notification e Copy Me Important Note The fields within the Acceptance Setting section will only be available to edit if the Require Employee Acceptance toggle is set to yes Published Document e Recurrence e If declined send email to e Description e Archive Toggle e Assigned Users Important Note For a published document the field
84. n be reactivated Important Note A system defined category can be set to inactive if your institution does not use 4 The Save button will be enabled once a Category Name is chosen You can return to the category detail page to make changes at any time When the Save button 1s clicked a message will be displayed Vendor Category successfully saved Would you like to create a new item or return to the grid Contirmation Vendor Category successtully saved Would you like to create a new category or return to the grid Create New Category Back to Grid o Clicking Create New Categorv will give the user the ability to create a new category o Clicking Back to Grid will direct the user back to the Vendor Categories page to view the newly created category in the list If a user tries to navigate away from the Category Details page without saving the following message will appear You have unsaved changes Are you sure you want to leave the page o Chicking Ok will allow the user to leave the page and discard any changes made o Clicking Cancel will keep the user on the current page Important Note Categories cannot be deleted Editing a Vendor Category A custom added category can be edited at any time With the exception of the category type all other category fields are editable To retain changes select the Save button prior to leaving the Category Detail Page Important Note Only the Status field
85. nal link to 26 WatchDOG Elite Quick Start Guide the watch list source will be provided Please see the image below for an example of a possible sanctioned country match Screening an Exact ID Match The Exact ID Match option allows the user to either search for expired Social Security Numbers against the Social Security Administration SSA Death Master File DMF or search for valid National Provider Identifiers against the National Plan amp Provider Enumeration System NPPES registry The Exact ID Match feature 1s optional and will only be visible if the Function for this type of searching has been enabled for the user If enabled the Exact ID Match option will appear as a tab on the Screen a Single Item screen 1 From the Screen a Single Item page select the Exact ID Match tab 2 Enter the exact ID to match 3 In Watch Lists select the Edit Watch List button to select the correct list to match against Important Note Because this is an exact match search on a specific identifier SSN or NPI which will only be listed on the corresponding list you can only search one list at a time either the DMF or the NPI registry Make sure you have selected the correct list that corresponds with the type of ID you are entering Individuals Non Individuals Sanctioned Country Type Unknown Exact ID Match ID To Match 1234567890 Assigned Watch List NPI 2014 9 10 Edit Watch List 4 Click Process to begin the sea
86. ns The list of transactions is based on the search criteria from the Batch Results or Review Transactions grid Transaction Details Possible Matches Click to show hide the Select the pin icon to Transactions transaction list force the Transactions list to remain open by default Optionally navigate England HM Trea through the list of matched transactions using the mouse Alias Hit Address Hit List England HM Trea Office of Foreign Office of Foreign Description OSAMA BIN LADEN ENGLAND OFAC 39099009005 27407 RODRIQUEZ BORGES JESUS OFAC Reviewing the Watch List Transaction Details As part of the review and resolve process you may drill into the details of the watch list transaction by clicking on the row of the matched item From this level the watch list transaction any related alias and address information 1s available to be used as part of the review process The actual review process and the entity details for the transaction varies based on the type of item screened Transaction Details for Non Exact ID Match Screening Referencing the numbers n the following image let s learn about the composition of the Transaction Details page for Individuals Non Individuals Sanctioned Countries and Type Unknown screened items 14 WatchDOG Elite Quick Start Guide Back Transaction Details yy ome ee Peres wet ie Transaction Summary MOLINA GONZALEZ Jose Epin
87. nt The name must be unique for the selected category This field can contain a maximum of 100 alphanumeric characters e Document Editor three options to create the text associated with the policy PAP Document Details New Password Policy N A Cwatt Manually enter the Category Q system Deish T content of the policy or upload a document via Hame Hew Paswaned Policy the Upload Document option Jo S Borumen Paragraph j Fom Famy gt Forse ej Ae Ms oF ae a Ee oy Ge i jE fe ke Ej Sf j w ia H Ty in EUS a Pe p ai a gt ie M aa g ghim T e e a a n Pr ante ll ion e D a ee es o A user can start a document from scratch or the user can copy and paste from a text document Once the text has been pasted into the document formatting will be up to the user o The user can upload a document via the Upload Document option Once the document is uploaded it cannot be edited If further edits are required the uploaded document will need to be deleted and an updated one will have to be uploaded o The maximum file size to upload is LOMB o The user will have the ability to view the document content in PDF format by clicking on the PDF Preview button There must be content within the editor before a document can be published Important Notes The file and file name accepts the max of 100 characters and if the attachment document name is more than 50 characters then it will be truncated and
88. nt you must complete and Finalize the previous one Each time you finalize a Risk Assessment you will be prompted to set a due date for the next assessment Create a New Risk Assessment If you have not started an assessment yet select the green plus button beside the Filter items search field on the Risk Assessment screen Risk Assessments lad e C D Assessment Name Due Date Inherent Risk Residual Risk Direction of Risk Progress Important Note The green plus button will only display if you have not created an assessment yet or if all your assessments are finalized 69 WatchDOG Elite Quick Start Guide New Assessment Assessment Name 2014 Fourth Quarter Risk Assessment a T Compliance Risk Credit Risk Interest Rate Risk Liquidity Risk Operational Risk Price Risk Reputation Risk Strategic Risk Edit Risk Categories Due Date 10 31 2014 g December 2014 w Su Mo Tu We Th Fr Sa 30 1 2 3 a 5 6 7 8 9 10 11 12 13 14 15 46 17 48 149 21 22 23 24 25 26 27 28 29 30 31 _ _ Close Once you ve clicked the green plus button a New Assessment pop up window will display e Enter an Assessment Name to identify this assessment This field is required e The Risk Categories contained in the assessment are currently locked and default to the eight system categories In a future release yo
89. ocess Submits the batch file if you have saved the field mappings Note If you are using a custom layout you may skip the field mapping page and click on the Process button 8 When the Process button 1s selected a Batch Submit Summary box will be displayed with a brief batch summary and options to go to the Review Batch File Results page or to Screen a Batch File Select the applicable option 29 WatchDOG Elite Quick Start Guide Review Batch File Results Users with access to this page can retrieve and manage the results of screened batches and review several batch related reports Steps to search and retrieve completed batch results 1 From the Navigation toolbar select Review Batch File Results The grid will load with any results based on the default search criteria Review Batch File Results Q 7 569294 05 04 2013 09 51 AM Daily Batch Run br Complete WatchDOG Client If the applicable batch is not in the list the search criteria may be modified by clicking on the Search icon Review Batch File Results Q RS Cancel Search Criteria Search Batchit s ubinitid s l Division WatchDOG Client 569294 05 04 2013 09 51 AM Date Range 04 27 2013 05 04 2013 Batch Name Batch Number Batch Layouts All Layouts Status Complete 2 Upon modifying the search criteria select the Search button Results based on the criteria will be displayed in the Review Batch File Resul
90. of 1 3 When completed with print export click the Done button to close this page and return to the Batch Results page Review Transactions Overview This page is used to filter and retrieve previously screened items that have been performed via the user interface automated batch submissions or web services Important Note Only those items scanned via the Screen a Single Item page and web services are retained in the database as well as items scanned via a batch where a possible match 1s produced If it is a requirement of your institution to store all searched items please see your CSI Regulatory Compliance representative to inquire about the Customer Master feature Steps to search for a previously screened item 1 From the Navigation toolbar select the Review Transaction link Only those transactions that meet the default search criteria will be returned in the Review Transactions grid 39 WatchDOG Elite Quick Start Guide If the transaction screened item IS in the grid 2 Select the row associated to the item to open the Transaction Details page See Transaction Details Overview on page 12 to learn more about actions to take to resolve the matched item If the transaction screened item IS NOT in the grid 3 Select the Search icon and refine the search criteria in the fields you want to use for this search you may use more than one field By default only one day of data is returned Se
91. olore magna aliqua Ut enim ad minim veniam quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur Excepteur sint occaecat cupidatat non proident sunt in culpa qui officia deserunt mollit anim id est laborum Once all of the documents assigned to the user have been accepted declined or delayed the user will be able to enter the application as usual 99 WatchDOG Elite Quick Start Guide P amp P Reporting There are several reports associated to the P amp P module The reports to which you have access will be available Document Summary Report The Document Summary Report can be found in the Options menu of the Manage P amp P Documents Page This report 1s a snapshot of the current state of all documents that have been created This report can be filtered to narrow it down to as few as one document User Document Action Report The Document Action Report can be found in the Options menu of the Manage P amp P Documents Page This report 1s a snapshot of all user decisions for all documents This will display if a user has accepted declined delayed or not yet reviewed a document they have been assigned to Document Audit Report The Document Audit Report can be found in the Options menu of the P amp P Document Details Page This report provides an audit trail of all changes made to a publishe
92. om misconduct adverse events or inadequate processes System Defined Active Price Risk Risk arising from changes in the value of trading portfolios or other income activities System Defined Active Reputation Risk Risk arising from negative public opinion System Defined Active Strategic Risk Risk arising from adverse business decisions or poor implementation System Defined Active Records 8 These categories are currently read only and active by default In a future release of SmartR sk IQ users will have the ability to deactivate system categories and add their own custom categories Key Risk Indicators In the context of SmartRisk IQ the Key Risk Indicators are intended to assist the Risk team in answering the Risk Assessment questionnaire more quantitatively or objectively using key metrics and factual data about the institution s performance at the time of the assessment to support accurate responses to the assessment questions A little less than half of the current Key Risk Indicator library in Elite are automatically being populated using information specific to your institution from the Uniform Bank Performance Report UBPR provided by the Federal Financial Institutions Examination Council FFIEC The rest of the indicators must be completed manually by your institution Key Risk Indicators that have a value either pulled from the UBPR or entered manually by a user of the platform will be displayed beneath their corresponding asses
93. ome Page e Logout e Show Hide Navigation toolbar WatchDOG Elite Quick Start Guide RG ELITE 2 Rosalie Griebel Click for User Clickfor Clickto Click to show Home Page Logout hide Navigation Toolbar Preferences 2 Use the links on the Home Page to access the following o Quick Start Guide o User Preferences o Customer Support o Review our product offerings Defining User Preferences This link identifies the current user and the last time they logged into the application When this link is selected the User Preferences page is presented where the user can make applicable changes such as e The ability to select the user s default Home Page The Getting Started page 1s the default Home Page If a new default 1s not set upon subsequent login the user will be taken to the last page used prior to logoff e Elect to turn Inline Help on or off If set to On help and error messages will display to the nght of fields when where applicable e Select the user s Time Zone The user s time zone will be reflected in most of the grids and reports The exception is in all comments fields and the user login and audit pages e Indicate if Daylight Saving Time is observed WatchDOG Elite Quick Start Guide Steps to modify the User Preferences 1 Select the User Preferences link 2 Modify the settings such as the Starting Page and Time Zone User Preferences Preferences User ID
94. on Detail is presented n a table view and is exportable to CSV or Excel making it easy to conduct additional analysis or even import into other systems The report can be exported to CSV or Excel Assessment Summary Report Access the Assessment Summary Report from the Options menu on the main Risk Assessments grid page The Assessment Summary Report is essentially a printable version of the Risk Assessments grid page which lists all the assessments you have finalized and in progress with the Due Date Inherent Risk Residual Risk Direction of Risk and Progress or status for each assessment This report can be exported to Excel PDF or Word Risk Appetite Trend Report Access the Risk Appetite Trend Report from the Options menu on the main Risk Assessments grid page The Risk Appetite Trend Report compares the risk tolerance or appetite you set for each Risk Category in the Risk Management Settings to your actual Residual Risk on each assessment 19 WatchDOG Elite Quick Start Guide This allows you to clearly identify where your risk 1s higher than your appetite telling you where you might need stronger controls and where your risk 1s lower than your appetite telling you where you might be able to accept additional risk This report can be exported to Excel PDF or Word This completes the SmartRisk IQ section 80 WatchDOG Elite Quick Start Guide Vendor Management Overview This section o
95. ory Each Category Questions page consists of several elements and features to help you complete the assessment Let s take a closer look Risk Assessment Category Questions Risk Due Date redit Risk 02 01 2015 Question Inherent Risk 4 Residual Risk 90 Q lt Qe Likelihood Impact Control Effectiveness 1 What is the organization s level of risk for loans outstanding relative to total assets and equity capital Rare Unlikely Possible Likely Frequent Incidental Minor Moderate Major Extreme Strong Good Satisfactory Fair Weak Question Inherent Risk Residual Risk Likelihood Impact Control Effectiveness 2 What is the organization s level of risk of exceeding local regional and national economic and demographic trends and level of competition Rare Unlikely Possible Likely Frequent Incidental Minor Moderate Major Extreme Strong Good Satisfactory Fair Weak 1 Along the top of the page you will find the name of the Risk Category to which these questions belong as well as the Due Date of the assessment and your progress 1 e the count of questions you ve completed versus the total number of questions for the category 2 The Inherent Risk Residual Risk and Direction of Risk are automatically calculated by the system and apply specifically to the questions contained in the Risk Category The calculations are the same as they are at the overall assessment level Inherent Risk is the risk before control effectiven
96. pact Does this vendor have access to a significant amount of confidential non public customer information Non public personal information is defined as any information that is not publicly available and that you collect in connection with providing a product or service to a customer member Examples would include but are not limited to Information provided on a loan credit card or deposit account application Information resulting fram any transaction with your organization such as account balance information overdraft history or payment history Information obtained from a credit report Information resulting from the individual being a customer member of your organization Should this vendor handle customer non public information that your organization owns would your organization be held accountable if this vendor has a security breach Does this vendor have access to your organization s network facilities applications databases etc Within this vendor s information security program have vendor employees signed a non disclosure agreement had background checks etc Does this vendor have clients that are not financial institutions Is this a cloud vendor with a multi tenant environment Does this vendor have the ability to manipulate your organization s data Does ihe loss of this vendor s product or service create serious vulnerabilities for your organization and cause assets to be much less secure Top t Financial Imp
97. port gt 569294 05 04 2013 09 51 AM Daily Batch Run Q Complete WatchDOG Client cy Batch Submitted Batch Name Matches es The results will be opened in a separate window 2 To print export the report click on the applicable option from the drop down menu 35 WatchDOG Elite Quick Start Guide Enter search information Division WatchDOG Client A Watch List All Date Range 4 27 2013 5 4 2013 zE Batch Settings Batch Layouts All Layouts Batch Name Submitted By All A Batch Number Status Complete i search a Find Next Batch Run Report WatchDOG Client Total Searches Total Matches Unresolved Matches 7 7 7 Search Criteria Batch Run Overview Submitted By All Begin Date 4 27 2013 End Date 5 4 2013 List AIl Status AIl Statuses Batch Layout All Layouts 3 To modify the results set use the search fields on this page to modify the criteria and click the Search button 4 When completed with print export click the Done button to close this page and return to the Review Batch File Results page Steps to run the Detailed Batch Report 1 From the Options menu of the Batch Results page select Detailed Report The results will be opened in a separate window 2 By default the GCL BCL Reviewed items are included in the results set To remove the items from the report select the applicable options and click the Search button The new resul
98. proval gt Eo aiie aii A aa ae ee Be iad The approver can choose to either approve or deny the document from the approval slide over If a document is denied P amp P Document Details Deneed Document Approval Sancira Preston Asorive ED eT ee ae N V a naiiai ie Oe A ie a Og 0 O PO te a eet lh 0 4 Lorem Ipsum 0 0 Draft e Anemail is sent to the submitter letting them know that their document has been denied e The Document Approval Status is set to Denied If a document is approved P amp P Document Details Approved Sandra Preston Deny Lorem Ipsum 0 0 Draft 3 pp emaa ae A An ln wa sanii int i aain A e C a ee see E ee ke T Y an rete e Anemail is sent to the submitter letting them know that their document has been approved e The Document Approval Status is set to Approved 52 WatchDOG Elite Quick Start Guide e The Publish button will replace the Submit Changes for Approval button and is available for use only by the submitter Creating a New Version of a Document A user is able to create a new version of a document from the Document Details Page of a published document The Create New Version link 1s found under the Options button located in the top right hand corner of the screen Hark PRP Document Details we Appioved Options Lorem Ipsum LO Category WO Elite Documentation iii E PEE a N a PRE 4 Lalit Si i CEON oe
99. ps to Lock a Batch 1 From the Options menu of the Batch Results page select Lock Batch Batch Results Options Batch 569294 Complete Batch Comments Included included Included Y Included Close Batch ia Discard Batch reened Name fed Lock Batch GONZALEZ CARLOS ALFONSO Detailed Report GUTIERREZ REYES JOSE The confirmation box will be opened in a separate window There are options to either continue with the locking of the batch or to cancel the action Lock Batch Request You have selected to lock this batch To continue with this action means all other users will be prevented from editing information for this batch and all transactions associated to this batch while it Is locked Please remember to unlock this batch when you have finished your edits Click the Cancel button to cancel this request Lock Batch Cancel 2 Select Lock Batch to continue with the action and return to the Batch Results grid or Cancel to remain on the Batch Results page without locking the batch When a batch 1s locked an icon will be displayed next to the batch number F Batch Results Q lil g Batch 569294 lt ormpiio A included included Included W Included GONZALEZ CARLOS ALFONSO 2 OFAC 1 1 000 a 34 WatchDOG Elite Quick Start Guide Steps to Unlock a Batch 1 From the Options menu of the Batch Results page select Unlock Batch The batch is now unlocked
100. r Software Consultation Equipment General Janitorial Services Lawn Care Maintenance Then select the Done button to accept the selections and return to the details page Repeat these steps to assign operational areas Upon supplying data for the required fields the vendor can be saved to the database by selecting the Save button in the top right of the page Upon saving the vendor options will be provided to stay on the vendor page or return to the vendor list page Let s elect to stay on the page to continue building out the vendor information 87 WatchDOG Elite Quick Start Guide Add Vendor Contacts Contacts can be optionally added to the vendor at any time 1 Prior to or upon the initial creation of a vendor select the Edit Vendor Contacts button yeical Addres aaea a aa ce a t Vendor Contacts Vendor Contacts No vendor contacts Edit Vendor Contacts 2 Select the plus sign to create additional contacts or select the Done button to return to the vendor details page Edit Vendor Contacts Primary First Name Last Name Smith Records i ri 1 Delete Vendor Contacts 3 The first and last names are required 88 WatchDOG Elite Quick Start Guide Add Vendor Contact First Name Hti Last Name mith Address 1 123 Training St Address 2 Address 3 City Charlotte Country United States State North Carolina Postal Code Title 4 Upon providing all
101. rch and match process Reviewing the results of the single item screening See Transaction Details Overview on page 12 to learn about the review and resolve process and adding the matched item to the GCL BCL or Reviewed filter 2 WatchDOG Elite Quick Start Guide Screen a Batch File Overview This section details the steps in which to submit a customer batch file for screening via the user interface Important Note If your institution submits batches via ftp you will be provided a separate document Steps to submit a batch file for screening 1 From the Navigation toolbar select Screen a Batch File 2 In Source and Layouts complete the fields as follows Batch Settings Select a setting from the drop down list of saved settings To add a new setting to the list select the plus sign this opens a blank New Setting Name field Enter the new batch setting When you process the batch the new setting name is placed in the drop down list Important Note To create a new setting the user must have the Batch Override Settings function assigned Batch Source Select the Choose File button to Windows dialog box select your customer data file and click Open This places the file name in the Batch Source text box Batch Name Optionally enter a batch name File Layout Select the format that matches your customer data file Contains Header If the input data file contains a header row select this option If c
102. re Training Assessment File Storage 08 29 2014 The New Assessment page will display with three required fields New Assessment Assessment Name Vendor Category Choose a Category Operational Area Choose an Operational Area Due Date g 4 Provide an Assessment Name The name must be unique to the vendor and a maximum of 100 alphanumeric characters Important Note Only one assessment per Category Operational Area combination can be open at a time 5 Select a Vendor Category and Operational Area from the dropdown menus The Due Date can be populated upon the creation of the assessment or at a later time however it must be populated before finalizing the assessment 7 Upon populating the required fields the Save button will be enabled 92 WatchDOG Elite Quick Start Guide Cancel New Assessment Assessment Name iT Vendor Category Computer Software Operational Area Compliance Training Due Date 09 30 2014 8 Select the Save button create the assessment and advance to the Assessment Details page Back Vendor Assessment Details kad IT 09 30 2014 0 of 80 Vendor GLBA Vendor Category Computer Software Operational Area Compliance Training INHERENT RISK RESIDUAL RISK Vendor Classification v Impact Management Question Level of Risk 1 If a significant incident related to this vendor were to occur what is the possible severity of the Security impact on yo
103. resses separated by a semi colon within this field Notifications will be sent to these emails if a user declines a document This field can contain a maximum of 100 alphanumeric characters o The notification message will read as follows Dear Administrator The following user First Name Last Name UserID declined Category Name of the Document document on MM DD YYYY 46 WatchDOG Elite Quick Start Guide Thanks System Support e Description o The description field is for internal use This field can contain a maximum of 1000 alphanumeric characters e Instructions o The instructions field will be viewable to the users that are reviewing the document for acceptance Enter any instructions or comments that you want the user to see when reviewing the document This field can contain a maximum of 1000 alphanumeric characters e Public Document o The Public Document toggle can be set to yes if all active users in the Elite application are required to view the document o If this toggle is set to yes the Edit Assigned Users button will disappear Public documents are automatically placed in all active users Document Library o If the document is set to require Employee Acceptance the Public Document toggle will be disabled o Select the question icon to view the intelligent content for this feature e Assigned Users o The user can assign one user or all users to a document as long as the Public
104. rior to or upon the initial creation of a vendor select the Edit Dependencies button Dep er re 2 Se ee Selected Dependencies No dependencies selected ee A Edit Dependencies Dependency Comments 2 Select the checkbox next to the applicable dependencies or select the checkbox in the header to select all Choose Dependencies select here to select all dependencies Dependencies Description Application Access Application Access Confidential Data Access Confidential Data Access Customer Data Access Customer Data Access Employee Data Access Employee Data Access Network Access Network Access Physical Access Physical Access Remote Access Remote Access 3 Select the Done button to return to the vendor details page 4 From the vendor details page select the Save button to retain all data 5 To return to the Vendors list page select the application Back button not the browser Back button 91 WatchDOG Elite Quick Start Guide Vendor Assessments Create and Manage 1 From the Vendors list page select the vendor to create the assessment 2 From the Vendor Details page select the Assessments tab 3 From the Assessments tab select the plus sign Back Vendor Details GLBA Vendor i Demographics Contracts Attachments Notes aN o E Due Date Inherent Risk Residual Risk Direction of Risk Progress Assessment Name Operational Area Computer Softwa
105. ross vendors including the vendor name assessment name question text current answer inherent risk and direction of risk This report is exportable to CSV or Excel Assessment Summary Report This report provides a snapshot of each assessment its associated category operational area vendor tier and risk values as well as the progress of the assessment based on number of questions answered This report is exportable to Excel PDF or Word Contract Audit Report This report details historical events such as the creation and deletion of contracts modified effective and end dates renewal dates as well as modified contract values and events of attachments to the contracts This report is exportable to Excel PDF or Word Contract Summary Report This report provides a snapshot of the contract s for all vendors associated effective and end dates as well as the renewal date the number of attachments and the current status of the vendor This report is exportable to Excel PDF or Word Demographic Audit Report This report provides a detailed history of the changes made to several fields from the demographics page such as tier assignments as well as category and operational area assignments This report is exportable to Excel PDF or Word Demographic Summary Report This report provides a snapshot of the vendor demographics its associated owner category and operational area This report is exportable
106. rt Guide current date The document editor must contain content before a publish date can be set Once the publish date has been set any changes made to the title of the document the document content or the instructions will clear out the publish date field e Allow Delay Until o The allow delay until date represents the day the user can no longer delay a document and must Accept or Decline If this field is left blank the users will not be able to delay the policy once it becomes viewable for acceptance This field will not be enabled until the publish date is set The Allow Delay Until date must be greater than or equal to the Publish Date e Publish button o The publish button will be visible to users who are associated with a role where the Publish P amp P Document function is assigned The Publish button can only be clicked when the Name field has been populated with valid data document content 1s present and the publish date is greater than or equal to the current date Once published additional fields will be displayed on the P amp P Document Details page Publisher Publish Date and the Archive toggle switch Viewing the Manage P amp P Documents Grid Only the latest version of a document published or archived and any drafts will be visible n this grid The search filter bar above the grid can be used to filter the documents in the grid Manage P amp P Documents Document Name Created 8y 3 Publisher Pub
107. s 5 17 2013 Supporting Documentation docx This is an example description for an uploaded file Lt Records 1 Delete Attachments 2 From the grid select the open icon see image above related to the document Important Note depending on the browser an option to open or save the file may be presented If the file cannot be rendered to the window then an option to save the document will be provided For those using Chrome as the browser a drop down menu will be displayed in the bottom left corner where the file can selected and opened NP RON FR NN pt Np pnp I AN NN tN pA pre NYS tng Pe ttl l Supporting Docum docx 7 Show all downloads Delete an attachment 1 From the Transaction Details page select either the paperclip icon or select View Attachments from the Options menu 21 WatchDOG Elite Quick Start Guide Attachments 5 17 2013 Supporting Documentation docx This is an example description for an uploaded file wo 5 17 2013 AttachmentT est txt test BK Records 2 2 Select the checkbox associated to the attachment s that will be deleted 3 Select the Delete Attachments button A warning message will be displayed Delete Warning Are you sure you want to delete the selected attacnhmentis Cancel 4 Select the Delete button to delete the attachment 5 Select Cancel to return to the grid without deleting the attachment Reviewing the Transaction Filter
108. s Admin User Records 2 Delete Attachment s From the Related To column select the applicable link to be taken directly to either the Contract Details page or the Assessment Details page Vendor Notes From the Vendor Details page the Notes tab can be used to audit any relevant information about the vendor and its associated parts where there is not an associated field 1 From the Vendor Details tab select the Notes tab Vendor Details Demographics Assessments Contracts Attachments Admin User 02 04 2014 11 24 AM Enter Data here Computer Services Inc Vendor Notes Data entered into the field below and saved will be moved to the above auditing section All data entered and saved will be moved to the above auditing area 107 WatchDOG Elite Quick Start Guide 2 Enter any data in the entry field and select the plus sign to save and move the data to the audited section above Vendor Reports From the Options menu on the Vendors page there are several reports available based on your access level Assessment Audit Report This report includes historical events such as the creation of assessments auditing of questions answers events to attachments related to assessment questions and when the assessment 1s finalized The report is exportable to CSV or Excel Assessment Question Detail Report This report allows for an export of all details related to all assessments ac
109. s of Active or Inactive The default will be set to Active o An inactive category will not be available for a new document Inactive categories can be reactivated Any documents belonging to an inactive category are still active and available A category that has draft documents assigned cannot be deactivated until those documents have been published or deleted gt Approval Required o This field will be a toggle with the options Yes or No The default will be set to No o If Yes 1s selected an Assign to section will be visible displaying Assigned Users Only one approver can be selected The selected user will have to approve the document before the publish button 1s visible assuming all of the business rules have been satisfied 3 Save will be enabled once a Category Name is chosen You can return to the category detail page to make changes at any time When the Save button 1s clicked a message will be displayed P amp P Document Category successfully saved Would you like to create a new item or return to the grid Confirmation P amp P Document Category successfully saved Would you like to create a new category or return to the grid Back to Grid o Chcking Create New Category will give the user the ability to create a new category o Clicking Back to Grid will direct the user back to the P amp P Document Categories page to view the newly created P amp P document category If
110. s within the Acceptance Settings section listed above and including the Allow Delay Until field will only be available to edit if the document is set to require employee acceptance Because the Require Employee Acceptance toggle is not editable on a published document these fields will not be shown if the document did not require employee acceptance at the time it was published A user with the Publish P amp P Document function can edit these additional fields Draft Document e Publish Date e Allow Delay Until Published Document e Allow Delay Until After a user has finished editing a document it must be saved Note The only document that can be deleted 1s a document that has a Draft document status 49 WatchDOG Elite Quick Start Guide Publishing a Document that does not Require Approval or Employee Acceptance A document can be published once the Name Category Document Body and Publish Date fields have been populated Publishing a document makes it available to users on the document s publish date The following actions occur when a document that does not require approval or employee acceptance 1s published On the publish date users will be able to review the document in their Document Library e For publish dates set beyond the current date documents will be published shortly after 12 00am on the day the document is set to publish If the published document 1s a new version it will cause th
111. s your childhood nickname 10 WatchDOG Elite Quick Start Guide If the user answers this correctly then the Reset Password page will be displayed where the user can enter a new password Once the user successfully creates a new password they will be automatically logged in to the application If the user does not answer the first challenge question correctly then a second question will be provided The user has a total of three chances to answer a single randomly selected question in order to advance to the Reset Password page If the user fails all questions then the user needs to contact their system administrator If the user selects the Back button the focus will return to the login page 11 WatchDOG Elite Quick Start Guide Watch List Screening Overview In this chapter the Watch List Screening section of the Navigation toolbar will be reviewed The Watch List Screening features contains tools necessary to screen single items screen batches of items and review report on any matches via the user interface If your institution submits single lookups via web services or batches via FIP you wil be provided a separate document of instructions Following is a list of Watch List Screening topics and functionality addressed 1n this section e Explanation of a Transaction e Steps to screen a single item e Steps to upload a batch file containing data for your customers vendors etc e How to access and
112. se a Country State Postal Code See the following information for detailed instructions on entering search criteria e The fields are not case sensitive You may use upper or lower case or both e The fields accept both alpha and numeric characters e The order of items does not matter Last First or First Last each provides the same results e You may use special characters such as hyphens periods apostrophes etc 2 Select the search method of Individual Non Individual Country Type Unknown or Exact ID Match In the example and steps below the Individual link is selected 3 If applicable select a division to associate the customer name 4 Optionally enter the Street Address information and other elements of the address Important Note If a Street Address 1s provided the system will screen both the name and the address against the selected watch lists If other elements of the address such as the city state zip are provided these will be included in the matching disqualification process 25 WatchDOG Elite Quick Start Guide 5 Set the Address Disqualification option to Yes No If your search includes an OFAC sanctioned Country the hit results indicate that the country 1s sanctioned For example 1f you search on Osama bin Laden AND Cuba the hit results will show that Cuba is sanctioned where the link to OFAC s Sanctioned Countries list will display 6 Optionally enter DOB Year or your best
113. sers can view the history of a document by viewing the Document Details Page If the document chain has multiple versions of a document the user will be able to view the Version History at the bottom of the P amp P Document Details page Selecting one of the historical documents will open it in a read only format 53 WatchDOG Elite Quick Start Guide Version Name Creator Publisher Publish Date Archived Date 2 0 Lorem Ipsum I Surekha_Admin User Ranga_Adm Surekha_Admin User Ranga_Adm 07 22 2015 gt 1 0 Lorem Ipsum Surekha_Admin User Ranga_Adm Surekha_Admin User Ranga_Adm 07 22 2015 07 22 2015 gt Records 2 a AA at tonn pees wn M tiene N i A a a aaa aa alee ai EA E eal e anne enm P amp P Document Review for Users In this section we will review how individual users will login to accept deny or delay documents to which they are assigned Viewing Documents for Acceptance These documents are presented upon the user login to the WatchDOG Elite application The P amp P Document Review page will overlay the Getting Started page They will not be able to navigate away from the P amp P Document Review page until all documents have been reviewed Policies amp Procedures Document Review Document Name Publish Date Allow Delay Until Review Delay Lorem Ipsum 7 22 2015 7 22 2015 r New Password Policy 7 22 2015 7 23 2015 r amp FT OE ee Ae a ct OY ca ee E EY ae A
114. sign to load the Contract Details page Contract Details New Contract GLBA Vendor Contract Information Contract Name Effective Date End Date o Renewal Date Contract Value Comments 3 In the Contract Name field enter a name that contains a maximum of 50 alphanumeric characters 4 Optionally use the calendar controls to populate the Effective End and or Renewal Date and Contract Value fields 103 WatchDOG Elite Quick Start Guide Important Note Use the help icons associated to the date fields to review the purpose of the dates 5 Select the Save button The following Confirmation box will be displayed Please see the following image for the available options 6 For purposes of training let s elect to Stay on this Page Confirmation Vendor Contract successfully saved Would you like to create a new contract Stay on this Page or return to the grid Create New Contract Stay on this Page Back to Grid Steps to upload an Attachment 1 Once the contract has been saved there is an option to upload attachments to the contract Select the Options menu icon see following image Contract Details Options Software Vendor Contract One w Add View Attachments Contract Informatior Contract Name Software Vendor Contract One Effective Date B 05 05 2014 End Date 05 05 2015 Renewal Date E 06 05 2014 2 Select the Add View Attachments option The Attachments page
115. sment questions on Risk Assessments as long as you ve enabled them to show on the assessment The Key Risk Indicator library currently contains indicators that have been defined by CSI Regulatory Compliance You are not currently able to add custom indicators or change the indicator descriptions for these system indicators The ability to create user defined indicators will be available in a future release Manage Key Risk Indicators To view and manage your library of Key Risk Indicators select the Key Risk Indicators menu option found under the SmartRisk IQ area of the left side menu 62 WatchDOG Elite Quick Start Guide nen P ict H Key Risk Indicators Fiale a ce gee a pan Risk Assessments Risk Management Settings A grid listing the library of indicators will display Key Risk Indicators Q iag KRI Number Indicator Description Answered Last Modified Status Compliance Risk KRI 00005S Current exam rating Y 09 05 2014 10 10 AM Active Q KRI 00001S Number of branches Y 09 04 2014 07 46 AM Active Q KRI 00004S Number of competitors in the area Y 09 04 2014 07 46 AM Active gt KRI 00002S Consumer Real Estate loans originated through brokers or third parties 96 N 08 28 2014 01 57 PM Active O gt KRI 00003S Number of new accounts opened with CIP exceptions N 08 28 2014 01 57 PM Active Q KRI 00006S Number of mortgage loans originated N 08 28 2014 01 5
116. ssage will pop up Are you sure you want to delete this issue This cannot be undone Delete Warning Are you sure you want to delete this issue This cannot be undone Cancel gt Clicking Delete Issue will immediately delete the issue and direct the user back to the Issue Center grid gt Clicking Cancel will close the message box and return the user to the Issue Details page Issue Center Reports From the Options menu on both the Issue Center page and the Issue Details page there are reports available based on your assigned functions Please see Issue Center Administrative and User functions in the full Admin User Manual for an explanation of each report 1 Torun a particular report simply select the applicable option and access the defaults or change the search settings 116 WatchDOG Elite Quick Start Guide Issue Last Modified Date 09 19 2015 10 19 2015 aE Title Last Modified By All v Assigned To All Search Done Accept the default 4 p search criteria or modify and select the Search Id 4 l of 10 gt bi a Find button Issue Audit Report 7A Export Options Issue Severity Status 114 Low Details Date and time values are displayed as Central Standard Time Title ACH Posting Delay Issue Type Normal Created Date 9 22 2015 Due Date 10 9 2015 ated B e Owens A Other f am T enhance an MT mt a Me mm ma gaa wa snada Keran P OP ee a en p a 2 Optionally t
117. sts The Entity Matches section shows the name matches where there are four 4 matches highlighted n the red circle 12 WatchDOG Elite Quick Start Guide Transaction Details Possible Matches Transaction Summary OSAMA BIN LADEN 7 7y Entity Matches Entity Name Alias Hit Address Hit List f BIN LADEN Usama Muhammed Awad England HM Treasury Sanction List AL QAIDA England HM Treasury Sanction List i BIN LADIN Usama bin Muhammad bin Awad f Office of Foreign Assets Control ISLAMIC ARMY Office of Foreign Assets Control Country Matches 0 0 000 A Country Name U N Code Description i Max Score 7 No results found Options to navigate through the transaction list From the Transaction Details page there are two methods in which to optionally navigate through the list of transactions e Up Down Arrows e Transaction List icon Up Down Arrows For batch results only the arrows on this page are visible to the user Simply click the applicable arrow icon to navigate through the list of matched transactions Optionally use the up down arrows to navigate through the list of screened transactions Back y i A Y Far te Chon Alter Status Status GCL BCL Reviewed OSAMA BIN LADEN i Customer ID Created By n Entity Matches Created Date WatchDOG Elite Quick Start Guide Transaction List Navigation Use this icon to show hide the list of transactio
118. t Key Risk Indicator Summary Report gt Select the Options menu icon in the top right corner and select the desired report from the menu Key Risk Indicator Audit Report Export This report provides a comprehensive list of all the changes that have been made to all indicators available in the system Enter search information KRI Number Indicator Description Risk Category All k Modified By Modified Date 08 12 2014 09 12 2014 Search Done of 2 gt pi Q Comma Separated CSV KRI Number Indicator Risk Category Action Old Value Description KRI 000185 Capital growth rate Credit Risk 09 11 2014 Admin User Indicator Value KRI 00018S Capital growth rate Credit Risk 09 11 2014 12 25PM Admin User Assessment View KRI 00023S Total past due loans Credit Risk 09 11 2014 12 24 PM Admin User Indicator Value KRI 00023S Total past due loans Credit Risk 09 11 2014 12 24PM Admin User Assessment View KRI 00020S Interest and Fees Credit Risk 09 11 2014 12 24 PM Admin User Indicator Value KRI 00020S Interest and Fees Credit Risk 09 11 2014 12 24PM Admin User Assessment View KRI 00022S ORE loans Credit Risk 09 11 2014 12 23PM Admin User indicator Value KRI 00022S ORE loans Credit Risk 09 11 2014 12 23PM Admin User Assessment View KRI 000215 Loan growth rate Credit Risk 09 11 2014 12 23 PM Admin User Indicator Value KRI 000215 Loan growth rate Credit Risk 20 Admin User Assessment View
119. t shows that the assessment has been Finalized and it shows the name of the user who finalized the assessment and the date time it was finalized 2 This section displays the Assessment Name the current assessment due date and the Progress In Progress or Finalized 3 These tabs allow you to switch from the Overview screen to a list of all Attachments uploaded for this assessment to a list of all Notes made for this assessment Attachments and Notes are added at the question level See Risk Assessment Category Questions for information about adding attachments and notes 4 The Inherent Risk Residual Risk and Direction of Risk are automatically calculated by the system based on the responses to all the questions across all the Risk Categories in the assessment o Inherent Risk calculates the level of risk your institution 1s subject to based on the likelihood and impact of each question before your control effectiveness 1s considered 71 WatchDOG Elite Quick Start Guide o Residual Risk calculates the level of risk your institution is subject to based on the likelihood and impact of each question after your control effectiveness has been considered o Dhrection of Risk calculates how your risk is trending from one assessment to the next A change from a lower residual risk to a higher residual risk will constitute an increased direction of risk a change from a higher residual risk to a lower residual risk will constitute a d
120. te Loan growth rate The report output includes the KRI Number the Indicator Description the current Value the indicator Status whether the Value has been answered and whether the Value 1s coming from the UBPR or provided by the user Use System Value This report can be exported to Excel PDF or Word file formats 68 WatchDOG Elite Quick Start Guide Risk Assessments Select the Risk Assessments menu option from the SmartRisk IQ section of the main menu to access a list of your In Progress and Finalized Risk Assessments This list will tell you the Name the Due Date the Inherent Risk level the Residual Risk level how your Direction of Risk 1s trending and the Progress of each assessment Risk Assessments gt Assessment Name Due Date Inherent Risk Residual Risk Direction of Risk Progress FY2015 Q3 02 01 2015 In Progress Finalized FY2015 Q3 Assessment 08 28 2014 Annual IT Audit 2014 Finalized CeCe Annual IT Risk Assessment Finalized Records 4 This list can be filtered by typing text in the Filter items search box to help you find a specific assessment You can access the details of a Risk Assessment by clicking the blue arrow on the far right side of the assessment row or anywhere in the row It is important to note that you can only have one Risk Assessment with a status of In Progress open at a time Before you can begin a new Risk Assessme
121. the applicable information select the Done button to return to the Edit Vendor Contacts page Note only one contact can be set as the primary contact Edit Contact Information 1 Existing contact information can be edited by selecting the edit icon see image below Edit Vendor Contacts I Primary First Name Last Name No John Smith ir Records 1 Pi Select to edit the contact information Delete Vendor Contacts 2 Edit the applicable information and click on the Done button to return to the Edit Vendor Contacts page 3 When completed select the Done button to return to the vendor details page 89 WatchDOG Elite Quick Start Guide Delete a Contact 1 From the Edit Vendor Contacts page select the checkbox next to the contact that is to be deleted see following image Edit Vendor Contacts First Name Last Name Delete Vendor Contacts 2 Select the Delete Vendor Contacts button A warning will be displayed Delete Warning Are you sure you want to delete the selected contact s Cancel 3 Select Delete to remove the contact A deleted contact cannot be retrieved 4 Select the Done button to return to the vendor details page 90 WatchDOG Elite Quick Start Guide Assign Dependencies A set of system defined dependencies another service level provided by the vendor are available for assignment to the vendor New dependencies cannot be added 1 P
122. the following functionality will be reviewed Watch List Screening e Password Resets e Defining User Preferences e Screening a Single Name e Screening a Batch File e Retrieving the Batch Results e Managing the Screened Transactions The Product Documentation contains a full set of features and functionality including the Administrative setup can be accessed via the Product Documentation link in the Navigation toolbar Important Note For institutions who subscribes to web services or FTP integration a separate document will be provided to outline the instructions for screening single names and batch files The manual is written with the assumption that the user has full access to all features and functionality Depending on your access certain features and functionality may not be available to you Policies and Procedures P amp P e Creating and editing Categories associated to the policies and procedures documents e Creating P amp P Documents e Approving Documents e Publishing P amp P Documents e Archiving Documents WatchDOG Elite Quick Start Guide End User review of the document s Reporting SmartRisk IQ Reviewing Categories associated with Risk Assessments Setting risk tolerance levels by Risk Category Managing Key Risk Indicators Creating and managing Risk Assessments Uploading attachments and making notes for Risk Assessments Accessing Risk Management Reports Vendor Management Cre
123. tion This is an example of the description information Important File types of doc png docx pdf xls xlsx gif csv txt bmp jpg xml and tif can be uploaded Files cannot be larger than 2 MB in size Add Attachment 2 Select the Choose File button to navigate to browse and select the file to upload 3 The File Name field will populate with the document file name You may optionally change the file name 20 WatchDOG Elite Quick Start Guide 4 To continue select the Add Attachment button A message indicating the file has been uploaded will be returned The Upload Attachment window will remain open 5 To attach another document repeat the steps to upload an attachment 6 Once all attachments have been uploaded select the Done button The window will close and the focus will return to the Transaction Details page o An attachment icon will be displayed next to the matched item o A selection to View Attachments will be included in the Options menu Transaction Details Options ABU TEIR MOHAMMED G lt Transaction Detail Report G Add Attachments 2 Entity Matches G View Attachments Entity Name Alias Hit Address Hit List ABU TEIR Mohammed Y N Office of Foreign Assets Control AL FAQIH Abd al Rahma N iaa ole orc s sets Contra View an attachment 1 From the Transaction Details page select the paperclip icon or from the Options menu select View Attachments Attachment
124. to Excel PDF or Word 108 WatchDOG Elite Quick Start Guide Vendor Summary Report This summary report provides a comprehensive overview of each Vendor The report includes vendor tier vendor name contract amount contract effective end and renewal dates vendor data access levels and risk assessment activity The report can be filtered by vendor operational area tier risk level or vendor owner This report is exportable to Excel PDF or Word Vendor Batch Screening Report Export This report enables users to generate a CSV file containing all their vendors so that information can then be uploaded into the Watch List Screening module of WatchDOG Elite for batch sanction screening This report includes a system generated Vendor ID Vendor Name Street Address City State Postal Code and Country This report is exportable to CSV Vendor Batch Screening Contacts Report Export This report enable users to generate a CSV file containing all their vendor contacts so that information can then be uploaded into the Watch List Screening module of WatchDOG Elite for batch sanction screening This report includes Vendor Name a system generated Contact ID Contact Name Street Address City State Postal Code and Country This report is exportable to CSV This completes the Vendor Management section 109 WatchDOG Elite Quick Start Guide Controls and Response Overview The Controls and Response
125. ts grid In addition to the Search Criteria field particular data can be searched via the Inline Filter search bar 3 From the Review Batch File Results grid click one the row applicable to the results The Batch Results page will load with the matched items Back Batch Results Q a4 Cancel Search Criteria Search JE Batch 569294 7 1 GCL BCL A included Included Included W Included lt gt Include include i Reviewed Workflow GONZALEZ CARLOS ALFONSO inctude il include il GUTIERREZ REYES JOSE 1 OFAC 0 1 000 B HERNANDEZ CARBALLOSA ALEXIS ENEILO 3 OFAC 3 1 000 amp MADAN RIVAS JORGE 4 OFAC g 1 000 a The results set are returned based on the defined search criteria In the above example the search settings are defined to show in the results set the matched items that have already been GCL BCL n this batch or a previously scanned batch In addition there are options to include exclude Reviewed and Workflow items from the list 30 WatchDOG Elite Quick Start Guide Reviewing the results of a single item screening See Transaction Details Overview on page 12 to learn about the review and resolve process and adding the matched item to the GCL BCL or Reviewed filter Batch Options The batch Options menu consists of various batch functions and reports In this section we will review the following e Batch Comments used to optionally save remarks related to the entire batch
126. ts set will load in this same window 3 To print export the report click on the applicable option from the drop down menu 36 WatchDOG Elite Quick Start Guide Include W GCL BCL Reviewed id 4 of 7 P P Find Nest Raw Report XLS Review and Resolve Detail Report Comma Separated CSV Excel Batch Statistics aoe Bs Eastem Standard Time Batch Name Daily Batch Run Address Dt Run Date V42013 9 51 AM Search Street Address Record Count DOB D Yes Total Searched Last Status Complete Total Matched searched List s ENGLAND 04 20 20 12 OFAC 05 02 2013 Source File OFAC Names2 3570498 90413 99 tt Notification Notification Email s Notification Group s Batch Comments 4 When completed with print export click the Done button to close this page and return to the Batch Results page 3 WatchDOG Elite Quick Start Guide Steps to run the Statistics Report 1 From the Options menu of the Batch Results page select Statistics Report The results will be opened in a separate window ofi Batch Statistics Report Batch Statistics Batch Number 59294 Threshold Batch Name Daily Batch Run Address DO Run Date 4 2013 3 51 AM Search Street Address Record Count T DOB DG Total Searched T Last Status Complete Total Matched T Searched List s ENGLAND 04 29 20 13 OFAC 5 02 20 13 Source File OFAC Namesz2 35 786 498 90413 3 9 bet Notification False Not
127. u will be able to edit the categories included in your assessment including the ability to add custom categories e Enter a Due Date on which the assessment will be due to be finalized Use the calendar control to select a date or enter the date using your keyboard The date must be entered in the proper format mm dd yyyy This field is required Save the assessment by selecting the Save button in the top right corner of the pop up window The Risk Assessment Details will display 70 WatchDOG Elite Quick Start Guide Risk Assessment Details The Risk Assessment Details provides a significant amount of information about each assessment Let s break it down by section Back Risk Assessment Details 1 Next Vue Vate 1U 31 2U14 Dri g es 2 Q3 2014 Risk Assessment 09 01 2014 Finalized Direction of Risk Report Risk Index Trending of Risk by Assessment Date Mapping of Residual Risk Risk Category 06 30 2014 Compliance Risk 0 0 Credit Risk Interest Rate Risk Inherent Risk Liquidity Risk Operational Risk Price Risk Reputation Risk Control Effectiveness 2 S Q Q amp 000000 Strategic Risk Risk Category Inherent Risk Residual Risk Direction of Risk Progress 1 This section only displays on assessments that have been finalized It shows the date on which the next assessment 1s due which was established when the assessment was finalized i
128. ur organization Question Level of Risk 2 If a significant incident related to this vendor were to occur what is the possible severity of the Financial Stability Credit impact on your organization 93 WatchDOG Elite Quick Start Guide Introduction to the Assessment Details page The Assessment Details page 1s made up of 80 questions that are broken down into the following sections e Vendor Classification e Due Diligence e High Risk The questions answers in the Vendor Classification section are related to determining the inherent risk related to the vendor The Due Diligence and High Risk questions answers along with the inherent risk are used to determine the residual risk related to the vendor The Direction of Risk shows trends based on previous assessments and assessment questions For initial assessments the Direction of Risk will remain Stable as there are no comparison points Important Note In the header of the High Risk section there is an Opt Out option If selected the questions in this section are not required and the entire section 1s collapsed The questions will not be considered in calculating the risk values It 1s important to note that this 1s not recommended particularly for Tier 1 vendors If the Opt Out s selected upon finalizing the assessment an explanation for opting out will be required Questions Answers Before finalizing the assessment all questions must be answered
129. what is the possible severity of the Security impact on your organization Assessment Options Menu Via the Assessment Details page there is an Options menu that consists of the following selections e Vendor Assessment Detail Report e Edit Assessment Details e Finalize Assessment available only after all questions have been answered Vendor Assessment Details Due Date Options 09 30 2014 Vendor Assessment De Vendor GLBA Vendor Category Computer Software Edit Assessment BBtails Vendor Assessment Detail Report To access this report the user must be associated to a role where the Vendor Assessment Detail Report function is assigned 1 Torun the report select the Vendor Assessment Detail Report option The report window will display The search criteria 1s set by default but may be optionally changed After changing select the Search button to execute the report based on the new query 2 The report may be exported as a PDF Microsoft Excel or Word format see image below 3 Select the Done button to return to the Assessment Details page 100 WatchDOG Elite Quick Start Guide Enter search information Assessment Section Question Progress Question Attachments of 17 gt pi Angela Elite Search Criteria Assessment Section Question Progress Question Attachments Vendor GLBA Vendor Tier 3 Edit Assessment Details Question Rating Question Comments Direction of R
130. will display in a separate window 104 WatchDOG Elite Quick Start Guide Attachments File to Upload Choose File File Name Description Important File types of doc png docx pdf xls xlsx gif csv txt bmp jpg xml and tif can be uploaded Files cannot be larger than 2 MB in size Related Attachments Uploaded Date File Name Delete Attachments 3 Click on the Choose File button to browse and select the file to upload Important Note The list of acceptable file formats to upload s listed under the Description field 4 The File Name field will automatically populate with the file name of the file being uploaded If applicable the file name can be changed 5 Optionally provide a description 6 Select the Add Attachment button The file will be uploaded and placed in the Related Attachments grid 7 Select the Done button located in the top right of the window to retain the attachments and return to the Contract Details page The attachment icon has now changed from a plus sign to a paper clip Important Note To attach additional documents to the contract simply select the paper clip icon or use the Add View Attachments from the Options menu Back Contract Details Kad Software Vendor Contract One G _ Computer Services Inc t Information Contract Name Software Vendor Contract One 105 WatchDOG Elite Quick Start Guide Review the Contract
131. ype Status Audit Services Audit Services The default set of system System Defined Active defined categories Computer Software Computer Software System Defined Active Consultation Consultation System Defined Active Equipment Equipment System Defined Active General General System Defined Active Janitorial Services Janitorial Services System Defined Active Lawn Care Lawn Care System Defined Inactive Maintenance Maintenance System Defined Active Marketing Marketing System Defined Active Supplies Supplies System Defined Active O O O O O00000 2 To create a new vendor category click on the plus sign The Vendor Category Details page will display 3 The Category Name is required The description is optional and by default the Status is set to Active Make any necessary changes Add Vendor Category Vendor Categor Category Name Category Description Status gt Category Name o The category name is required to create a category The category name must be unique within the client This field can contain a maximum of 50 alphanumeric characters gt Category Description 82 WatchDOG Elite Quick Start Guide o This field can contain a maximum of 100 alphanumeric characters gt Status o This field will be a drop down with the option to select a status of active or inactive The default will be set to active o An inactive category will not be available for assignment to a vendor Inactive categories ca

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