User Manual
Contents
1. Filter AlertType All PUBLICATIONS OR WRITINGS AS TO THE VAL edited by the alert owner This SUNNYVALE CA 23Y os A message has been Svan TANE psc 06 26 2009 US ATTY RPT 4 03 FUGT CHRGD WITH CONSPI is only when viewing records in sent from MIS Sa Alert MARIJUANA amp CRYSTAL METH US ATTY RPT 2 the In Progress State CHRGS amp WAS SENTENCED ARTICLE DOESN T SDFASF Other Oe Possible 03 13 2009 Export To Excel File Current Page y Expor clear Select When record fields are white this indicates that you are the alert owner and the record is available to be edited Note You do not have the option to print Alerts instead alerts can exported to excel then printed Page 6 of 13 11 11 2009 MIS Case Manager User Guide Edit screen v 3 The alert owner has the option of making another user the owner by routing the selected alert Located at the bottom the alert edit screen the user also has the option of attaching documents that will serve as source of information for the given alert When the user clicks the Route button a list of case manager users will be displayed Select the user you would like to have the alert routed to Once the user has made the selection a confirmation will appear After routing an alert the record field will then become a light blue color indicating the alert has been routed Alerts Questions CIP Reports2. MIS Case Manager Alert Text Owner CurrentUser Detail Edit Save amp Close Route BrianK BrianK Social 000000000 Name STUART DWAIN Other Possible Alert SDFASF Accounts 1 Select 12346 Oo Action Comments Select An Action Comments No Comments Exist For This Alert Upload Document Delete Attachments ciict on Document Name to Visw Save Document Description 6 29 2009 8 56 00 AM 6 29 2009 8 56 00 AM 6 29 2009 8 56 00 AM Messaging Secure connection with MIS Supporting documentation Note The messaging feature within the question tab is for MIS to send question to the firm while the messaging feature with the alert detail view is used for the firm to send question to MIS Page 7 of 13 11 11 2009 MIS Case Manager User Guide Section 3 3 1 Questions Ty Pa ee Alerts Questions CIP Reports MIS Questions 555 New Questions 2 In Progress Questions 5 Completed 1 Archived 0 See current OAI Search Reset New Firms 555 v Divisions ALL Def Pos v Dates All Dates M Export To Excel File MIS Case Manager Display per page 20 O50 100 2 Record s found Name AlertType PLEASE PROVIDE FULL NAME Qui JACKSON N L RAFFER 06 26 2009 PLEASE PROVIDE FULL NAME ON ACCOUNT 07 07 2009 Will give the user options of
3. 428 09 21 2009 Page 10 of 13 11 11 2009 MIS Case Manager User Guide v 3 Section 4 2 CIP Workflow Decision Matrix MIS is applying an Experian decision matrix to all CIP entries to assist in identifying issues that require further scrutiny The basic decision matrix that Experian provides is targeted to perform at around 70 approval for individuals being screened using AS1 This percentage was based upon their test groups and in various industries The approval rate declines and creates a larger Review Group when the data being entered has not been cleansed or has been incorrectly associated with a given individual The matrix checks numerous fields including fields AddressVerification PhoneVerificaton ConsumerID Verification Social and also ensures that the SSN is valid was not issued prior to the persons DOB and is not marked as deceased The results of performing this process are that all CIP entries are placed in one of two categories 1 Needs Review 2 Passed CIP Each of the following categories have limited actions that can take place within each area The main areas New Open Inprogress and Completed are somewhat self explanatory New records that have not been worked on Open Inprogress are records that have been edited but have not reached a final conclusion Completed records that are should no longer require further action Each folder includes all records found in the sub folders from their respe
4. and firm code Page 5 of 13 11 11 2009 MIS Case Manager User Guide v 3 2 4 Viewing and Editing an Alert When In the New Alert state all alerts are available to be viewed by every user To edit an alert click the edit button within the alert detail screen The user that first edits and saves the alert will be the alert owner MIS Case Manager Display per page 20 O50 100 12 Record s found A message has been x Name AlertType Date Text Al sent to MIS is awaiting E VALENCIA CA EZ eh 06 29 2009 CA DEPT CORP 06 09 DESIST AND REFRAIN ORDER ISSUED FOR ENGAGING a response COVENANT FINANCIAL Alert IN THE BUSINESS OF ADVISING OTHERS DIRECTLY OR THRU PUBLICATIONS OR WRITINGS AS TO THE VALUE OF UNREGIS SEC S OR NETHERTON AND DUDLEY UK 57Y LEXISNEXIS 06 08 HAS 9MOS SENT SUSPENDED FOR TWO YRS Other current OAI 06 29 2009 WILLIAMS ROBERT InProgress Firms 555 p A Divisions ALL v COVENANT FINANCIAL Possible 06 29 2009 a EE He pana aa RE Alert NERS DIR p Def Pos Possible M PUBLICATIONS OR WRITINGS AS TO E VALI When record fields are gray this i indicated that the current user is Dates All Dates VALENCIA CA B COVENANT FINANCIAL pal 06 29 2009 CA DEPT CORP 06 09 DESIST AND REFRAIN O not the alert owner and the Alert IN THE BUSINESS OF ADVISING OTHERS DIN alert is in process of being
5. 20 050 Q100 55 Record s found Print Current Page Pagng 1 V Needs Review 55 Checkpoint SSN Address DOB Open InProgress 2 TSE Sept oe Score Result Result Result Approved w Restrictions 1 FANTAUZZO JOHN A 61658378 548 Y 1 09 21 2009 11884933 Review for Closure 0 3 Completed Ps STANLEY SUSAN 86070395 488 7 1 09 21 2009 11884935 Date Details fa Passed CIP X3 HARRIS BAILEY JOANNE 17760926 371 V 5 09 21 2009 11884936 Reviewed and Xpproved 2 Restrictions ResXyed 0 POPE NATHANIEL W 60574640 488 09 21 2009 Closed 3 LARSON RONALD 8 35092662 488 09 21 2009 Archive 0 LARSON BARBARA A 35092662 488 09 21 2009 STONECIPHER PLLC TARLOW AND 54304197 310 09 21 2009 CIP detail for DITTMAR KENDALL 77420897 488 09 21 2009 selected record PUTTCAMP ALYCIA M 13340057 250 09 21 2009 r lere oT Firms 5 es COMUNALE JAMES A 33519216 412 09 21 2009 lt lt Ee PUTTCAMP ALYCIA M 71915632 250 09 21 2009 Divisions ALL v Dates All Dates em FRANK SAMUEL L 16227850 428 09 21 2009 REDLER LESLIE P 59744777 625 09 21 2009 EDWARDS SHELLEY 46536166 756 09 21 2009 Score P ee say RASMUSSEN SCOTT E 22599561 625 09 21 2009 Bulk Select Method Ww Euk Edit RASMUSSEN CHRISTINE M 22599561 625 09 21 2009 Bulk Select Method Select Individuals Select Page VAN yer cues 206 756 09 21 2008 Comments can be added to f 728 03 21 2009 all bulk records at once
6. MIS Case Manager User Guide v 3 MIS CASE MANAGER USER GUIDE rT EARS OF f x a Ii i ee Page 1 of 13 11 11 2009 MIS Case Manager User Guide Table of Contents Section 1 Introduction Logging into Case Manager Changing your password Section 2 Alerts Tab Searching for an Alert Filtering Records Viewing and Editing an Alert Routing an Alert Attaching documents Section 3 Questions Tab Export to Excel File In Progress questions Section 4 Experian CIP CIP Workflow Section 5 Generating Reports Page 2 of 13 NN ANNA Ww U w O o o 10 11 12 v 3 11 11 2009 MIS Case Manager User Guide v 3 Section 1 1 1 Introduction MIS Case Manager MIS CM provides the user with the ability to review alerts from MIS and reports from Experian CIP Within the system the user will have the ability to e Review MISCheck OFAC or COS amp NOS Alerts e Review CIP Records from Experian e Maintain each record or group of records e Generate reports 1 2 Logging into MIS Case Manager Upon logging into case manager https miscm callmis com for the first time the user will have a generic password in which the user will then be prompted to change For non first time users who have forgotten their passwords an I forgotten my password an email is sent containing a link for the user to follow instructions in order to create a new password Case Manager Login User Name Password Ihave
7. OWED C 1000000000 EVERGREEN INVESTMENT MGMT Regulatory 1743000417 Alert Possble SUBMITTED 06 27 08 SAME ADDRESS AS amp AFFILIATE OF EVERGREEN INVESTMENT MANAGEMENT CO LLC SEC TXT 9 07 SETTLED ORDERED TO C amp D NSURED WLL PAY DISG OF 28 5 MIL amp TOTAL OF 4 MIL CIVIL PENALTIES RETAIN COMPLIANCE CONSULT ANT CONSENTED ALLOWED C 000000000 EVERGREEN INVESTMENT MGMT Regulatory 1743000398 Alert Possble SUBMITTED 06 27 08 SAME ADDRESS AS amp AFFILIATE OF EVERGREEN INVESTMENT MANAGEMENT CO LLC SEC TXT 9 07 SETTLED ORDERED TO C amp D CENSURED WILL PAY DISG OF 28 5 MIL amp TOTAL OF 4 MIL CIVIL PENALTIES RETAIN COMPLIANCE CONSULT ANT CONSENTED ALLOWED C 000000000 900000000 EVERGREEN INVESTMENT MGMT EVERGREEN INVESTMENT MGMT Regulatory 743000417 Alert Possble Regulatory 743000398 Alert Possble SUBMITTED 06 27 08 SAME ADDRESS AS amp AFFILIATE OF EVERGREEN INVESTMENT MANAGEMENT CO LLC SEC TXT 9 07 SETTLED ORDERED TO C amp D CENSURED WLL PAY DISG OF 28 5 MIL amp TOTAL OF 4 MIL CIVIL PENALTIES RETAIN COMPLIANCE __ GONSULT ANT CONSENTED ALLOWED C SUBMITTED 06 27 08 SAME ADDRESS AS amp AFFILIATE OF EVERGREEN INVESTMENT MANAGEMENT CO LLC SEC TXT 9 07 SETTLED ORDERED TO C amp D CENSURED WLL PAY DISG OF 28 5 MIL amp TOTAL OF 4 MIL CIVIL PENALTIES RETAIN COMPLIANCE CONSULT ANT CONSENTED ALLOWED C 000000000 EVERGREEN IN
8. TION 555 BENEFITS FALSELY CERTIFIED FORMS STATING HE WAS UNEMPLOYED Firms ALEXANDRIA VA OAREN 06 29 2009 US ATTY RPT 3 06 26Y PLDGLY TO USING AN INTERSTATE FACILITY TO Def Pos All Tht Ser ATTEMPT TO ENTICE A MINOR TO ENGAGE IN ILLEG SEXUAL CONDUCT n FULNAM IS ANDREW SAVIO FURTADO Divisions ALL Dates All Dates SONORA MX Filter AlertType All 06 29 2009 US ATTY RPT 05 09 40Y FULL NAME IS JOSE CONTRERAS RANGEL CONVICTED OF CONSPIRACY TO HARBOR ILLEGAL ALIEN PREVIOUSLY lV Notice Of Sei PLED GUILTY TO RE ENTRY AFTER DEPORTATION ON MAY 15 2009 Mailbox Drop v IL DEPT OF FPR 6 09 RESIDENTIAL MORTGAGE LICENSE REVOKED FOR FATF UNITED FINANCIAL ee FAILING TO RESPOND TO DEPT REQUESTS amp IMPROPER SURRENDER OF Definite 06 29 2009 MORTGAGE CORP Alert LICENSE Y Contro Sa BURLINGTON OLD VT BLOW MICHAEL Possible 06 29 2009 US ATTY RPT 4 09 48Y ARSTD CHRGD ARRAIGNED ON COCAINE Export To Excel File Alert TRAFFICKING OFFENSES HAS A PREVIOUS COCAINE TRAFFICKING 7 CONVICTION 1994 AND VIOLATED CONDITIONS OF RELEASE Current Page Note Firm Code is three letters or numbers that MIS uses to identity your company In most cases this will also be your organization identifier Page 4 of 13 11 11 2009 MIS Case Manager User Guide v 3 2 2 Searching for Alerts When performing text numerical searches the MIS CM syst
9. VESTMENT MGMT Regulatory 743000417 Page 12 of 13 SUBMITTED 06 27 08 SAME ADDRESS AS amp AFFILIATE OF EVERGREEN INVESTMENT MANAGEMENT CO LLC SEC TXT 9 07 SETTLED ORDERED TO C amp D NSURED WLL PAY DISG OF 28 5 MIL amp TOTAL OF 4 MIL CIVIL PENALTIES RETAIN COMPLIANCE CONSIITANT CONSFNTFN AIINWFN C 11 11 2009 MIS Case Manager User Guide v 3 Page 13 of 13 11 11 2009
10. ctive areas and when used allow for any action to be chosen The subfolders allow only limited actions based upon the assigned workflow New Needs Review Items in this section have either been flagged by the decision matrix as having an issue or are an institution and do not qualify for processing in the decision matrix Actions Reviewed and Approved Approved w Restrictions Closed Completed Passed CIP Items in this area have been flagged by the decision matrix as having a high degree of likely hood that their identity information is correct Open Inprogress Approved w Restrictions Items in this area have received temporary or limited approval usually pending further research If an item is placed in this category the firm has the choice to be notified of records that have been in this status for an extended period of time currently 90 days and have them automatically moved into Review for Closure Actions Restrictions Resolved Review for Closure Closed Open Inprogress Review for Closure Items in this area have either been automatically aged out of Approved w Restrictions or placed here manually In either case the record is now up for review to determine if it should in fact be closed Actions Restrictions Resolved Closed Completed Reviewed and Approved Items in this area were approved manually at the first review Completed Restrictions Resolved Items in this area were approved manually but require
11. d some additional review and verification Completed Closed Items in this area manually marked as closed for either never satisfying their CIP requirements or the owner of the account decided to close the account rather than fulfill additional requests for information Page 11 of 13 11 11 2009 MIS Case Manager User Guide Note MIS will be reviewing adding further criteria and firm customization in the future Section 5 Generating Reports The user will be able to generate reports based on the option s selected by the user Reports generate in screen the user will then have the option of printing the report or exporting it into a pdf or excel file serBrian K sss B2 Alerts CIP Reports DefPos Status From To AlertType All El notice of Seizure Borac E mailbox P Financial o Regulatory E Control tist C onoew E Chief of States Dlother 555 Date Social Alerted 8 18 2008 000000000 M4 gt i Page wan E Find Next MISBasicAlerts Alert Name EVERGREEN INVESTMENT MGMT MIS Case Manager Eee Select a format xcel Description Accounts Alert Text Regulatory 1743000398 Alert Possble SUBMITTED 06 27 08 SAME ADDRESS AS amp AFFILIATE OF EVERGREEN INVESTMENT MANAGEMENT CO LLC SEC TXT 9 07 SETTLED ORDERED TO C amp D NSURED WLL PAY DISG OF 28 5 MIL amp TOTAL OF 4 MIL CIVIL PENALTIES RETAIN COMPLIANCE CONSULT ANT CONSENTED ALL
12. em automatically searches within the entire record including the record text and alert type fields Searching only within alert states i e In Progress Alerts is done by clicking the Current button and entering the desired text Searching through all three alert states New Alerts In Progress and Completed is done by clicking the All button 2 3 Filtering Records ser Brian K Firm 555 Alerts Questions CIP I Reports The Current button displayed the current state the user is in MIS Alerts 555 New Alerts 3 In Progress Alerts 3 Completed 10 Alerts can be filtered by date and current Oail Search Reset Possible Definite matches When filtering Completed alerts by Available Dates the dates listed will only be dates that are connected to the ai alerts within each field Depending if a firm Divisions 001 iw has divisions the lead firm will have the Def Pos Al M abilty to search alerts from each division Alerts can be filtered by alert type lsa E division firms do not have the abilty to view which is done by un checking the other divisions Filter Type All button and selecting 555 the alert type s of your choice Export To Excel File Current Page y Export Alerts Page into a Microsoft Excel document Note For more help with searching and filtering records please click the Help button located next to your username
13. exporting the current page of questions into an excel file Page 8 of 13 11 11 2009 MIS Case Manager User Guide v 3 Section 3 2 In progress questions The messaging system with in the Questions tab will enable the MIS representative to communicate the firm for account inquiries This function will not have effect on the alerting process ee mr MIS Case Manager Firm 555 Alerts Questions CIP Reports EDIT Owner CurrentUser Detail View Messaging Brian K BrianK Social 000000000 Name HUBER RENEE Question Possible Alert ee aaa 12 52 03 PM Alert Text Accounts Not same different DOB LEASE PROVIDE AN OCCUPATION 00123616392 z PLEASE PROVIDE AN OCCUPATION 00123616392 eczage sent by LYNN at 7 6 2000 12 56 00 PM where is message Message sent by representative of MIS 6 29 2009 12 52 03 PM Brian K Not same different DOB Export Additional comments and actions will be displayed here In order for the question to move from In Progress to Completed a completed action will need to be taken Message responses from the firm and MIS will be displayed here Note Think of the messaging feature as similar to the format for instant messaging except not in real time Page 9 of 13 11 11 2009 MIS Case Manager User Guide v 3 Section 4 Experian CIP MIS Case Manager Alerts Questions CIP Reports New 55 Display per page
14. forgotten my password 1 3 Logging Out The log out link is located at the top right corner of the screen 1 4 Changing your password Passwords are required to be changed every 90 days The system will prompt you ro change your password at the required time Note Please send an email to MISCM callmis com in order to set up access for new case manager users Page 3 of 13 11 11 2009 MIS Case Manager User Guide v 3 Section 2 2 1 Alerts Alert MIS CM automatically receives information from the MISCheck and Experian CIP in the form of files The files are composed of records with each record representing a response to one of your inquiries to MIS From the Alerts tab the user is able to view different alert states New Alerts In Progress Alerts Completed as well as Alerts that have been Archived Alerts will only be archived at the firm s request Username and Firm Code TER ii pi age ED MIS Case Manager Alerts Questions CIP Reports MIS Alerts 555 Display per page 20 O50 100 163 Record s found New Alerts 163 In Progress Alerts 33 AlertType Completed 21 SCOTTSDALE AZ AND CHINA 39Y Archived 0 3 06 29 2009 US ATTY RPT 06 09 CONV OF STRUCTURING FINANCIAL TRANSACTIONS LU FENG current Oall Reset AUGUSTA GA NewaAlerts a HARRIS ANTHONY 06 29 2009 US ATTY RPT 05 09 FULL NAME IS TONY TYRONE HARRIS CHARGED WITH FALSE STATEMENTS REGARDING FED WORKERS COMPENSA
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