Member Batch History

Batch Scan History (PEP & Sanctions)¶

Member Scan - Batch Scan History contains details of the batch files, which have been uploaded and scanned, for the selected organisation and provides links to batch scan results.

You can search for batch files by scan date or display all files in the Batch Scan History Log. Each record in the history log links to allow you to view or download the exception report or download the full report for that particular batch file scan.

If you are assigned to multiple organisations, select the Organisation for which you want to view the Batch Scan History.

Optionally, you can enter a Scan Date or date range, to filter by the period in which the batch file was scanned. Click the (calendar icon) on the right hand side of the date field to display dates and calendars from which you can select the appropriate date or date range. This automatically enters the selected date/s into the field ensuring the correct date format.

Click the Search button to display the Batch Scan History Log, or the Report button to display the results in a format that can be exported for archiving or printing.

Batch Scan History Log¶

The Batch Scan History Log displays a list of the batch files that have been uploaded and includes:

• Date and time of upload
• File Name of the batch file
• Number of Members Scanned
• Number of Matched Members
• Total Number of Matches
• Status of the scan

  Status	Description
  Scheduled	Batch file has been queued and waiting to be processed. The user has the ability to cancel the batch file if processing has not started.
  In Progress	Batch file scanning is in operation.
  Completed	Batch file was scanned successfully.
  Error	Batch file is not valid and scanning cannot be performed.
  Completed with errors	Batch file was scanned successfully but with validation errors. Click Errors for details.
  Cancelled by User	Batch file was not run and was cancelled. Click on the link User to view username of user who requested for cancellation.

To display the log as a printable report, click the Report button.

Alternatively, select a batch scan row in the Batch Scan History Log to view or download scan report details.

Cancel scheduled batch files¶

If the batch file is scheduled and not yet started, it can be cancelled. Reasons for cancelling the batch file could be due to multiple redundant files have been uploaded by multiple users and require a Compliance Officer or Advanced User to cancel the redundant files.

If a batch file has been cancelled, the name of the user who performed the action is displayed.

Completed batch files¶

If the report status is Completed or Completed with errors, the Batch Report dialog presents you with the following options:

If a downloaded CSV, XLS or XLSX file is very large, please consider that when using Microsoft Excel for viewing it, the maximum number of rows the file can contain is approximately one million. Files over these sizes can be opened with alternative applications such as Microsoft Access or Microsoft Notepad.

Batch File with Errors

If the report status is Error, details of the errors are displayed.

If the report status is Completed with errors, you can click the hyperlink 'errors' to display details of the errors, which include the number of errors, the rows in which errors were found and notification that rows with errors have been ignored in the scanning and matching process.

Click anywhere else on the line to display the Batch Report dialog, with options for View Exception Report, Download Exception Report (csv) and Download Full Report (csv).

Batch Scan History Report¶

The Batch Scan History Report displays the Batch Scan History Log in a format that can be exported for archiving or printing.

The Report header bar provides the following functionality:

Element	Description
	First, Previous, Next and Last buttons to navigate through a multi-page report.
	Find (search for text within the report) and Next (find the next instance of the search term.)
	Export drop down list for selecting a format in which to export the report - Excel, PDF or Word.
	Refresh button - to update the report in real time.

Back button returns to the Batch Scan History Log.

Exception Report¶

The Exception Report displays a high level summary of results and a list (Scan History Log) of all matches found for the selected batch scan.

Each match listed links to show details of the matched entities from where you can record due diligence decisions.

You can reduce and filter the number of matches shown using the options in Scan History Parameters.

The Exception Report displays the following:

• Batch Scan Results
• Scan History Parameters
• Scan History Log

Batch Scan Results¶

Displays a high level summary of the scan parameters and the results:

Scan History Parameters¶

You can reduce the number of matches displayed using the following filters:

Click the Search button to display the results in the Scan History Log below or click the Report button to display the results in a format that can be exported for archiving or printing.

Scan History Log¶

The following is displayed for each match result:

Name	Description
Match result	Indicator for: Match Found No Match Found
AKA	Indicates the match was not against the primary name of a watchlist record but the name was found in the “Also Known As” section of the record.
Member Details	Details that were scanned against the watchlists: First Name Middle Name Last Name Original Script Name - if the Original Script Search is enabled. DOB (Date of Birth) Member Number
Category	Displays the categories the matched record belongs to, which can be any or any combination of the following: TER: People on Special Interest Persons – Terror watchlist PEP: Politically Exposed Persons (PEPs) SIP: People on Sanctions and Other Official Lists, and People of Special Interest associated with Terror (TER), Organised Crime, Financial Crime, Trafficking, Corruption RCA: Relatives or Close Associates of PEPs.
Mtch	Number of matches found for the member scanned
Decisions	Displays the number of each type of due diligence decision taken: Not Reviewed Match No Match Not Sure Notes: No Match is always 0 when the Whitelist Policy is Applied, because this excludes all No Match Decisions from the scan.
Risk	Displays assessed risk when a risk has been allocated to a Match or Not Sure decision

Select a log entry to view details of the matched entities and to update them with due diligence decisions.

Back button returns to the Batch Scan History Log.

Report button displays the log details as a Report, which you can export to Microsoft Excel as an XLS or XLSX file, or as an Acrobat PDF file for archiving or printing.

Print-Ready Exception Report¶

To create a print-ready version of the Exception Report, firstly export it as an Excel file or a PDF file.