PRODUCT BRIEF

SAS Enterprise Case Management

Efficiently manage investigation workflows

Overview
Case management is the backbone of documenting investigation processes, exposures and losses regarding any type of financial crime that may pose a risk to an organization. Case management is also relied on to provide information for financial reporting (e.g., fraud losses) and is the primary resource for filing regulatory reports to government agencies. In addition, the disposition of cases under investigation is critical to enhancing an organizations future monitoring and overall operational efficiencies. Unfortunately, organizations today face multiple case management challenges, including a lack of communication and oversight at an enterprise level between investigative departments. Lack of oversight can result in monetary losses that could have been prevented with prior knowledge of cases worked elsewhere within the organization. Lack of oversight may also lead to closer regulatory scrutiny and can result in civil money penalties and reputational damage when required regulatory filings are incomplete, late or missing altogether. SAS has developed a case management solution that enforces best practices and proper gathering of evidence, and can greatly reduce the cost of investigations. SAS Enterprise Case Management provides a structured environment for managing investigation workflows, attaching comments or documentation and recording financial information, such as exposures and losses.

Challenges
Inconsistent processes and workflows. Process inconsistency results in greater scrutiny by regulatory examiners due to the resulting inconsistencies among cases being disposed of by multiple investigators. Siloed departments. Departments are often segregated and compartmentalized, which significantly hinders information sharing and results in duplication of effort. Limited reporting and management oversight. Systems that provide insufficient information critical to investigations can result in greater financial losses.

The solution also provides advanced dashboards that go beyond providing traditional operational performance metrics to enable management oversight and analytical reporting. Dashboards also let you track the performance of investigative functions and trends related to financial crime exposure.

T h e S A S S olution
SAS Enterprise Case Management gives investigators more power, flexibility and task automation, without having to rely on IT for support. The solution enables investigators to: Receive alerts about incidents requiring investigation from multiple monitoring systems. Review incoming items prior to creating or linking an incident to a case. Customize activities and automate workflows (can develop different workflows for different case types). Assign activities in the workflow to individuals or groups of users. Import existing records and historical information by custom ETL to prepopulate customer fields and prevent rekeying errors. Create, edit and view a case based on user permissions. Classify cases by type, category and subcategory. Attach documents, video files and other digital media to a case. Set default fields and values on screens based on case type. Create audit records containing user identification, a time stamp and date when actions are performed. Generate batch files for regulatory reporting via e-filing.

Benefits
SAS Enterprise Case Management enables investigators and operational risk managers in a variety of industries banking, insurance, government, health care, etc. to streamline processes and conduct more efficient, effective investigations, which leads to reduced costs and better fraud prevention.

Permission-based access defines the level of viewing capabilities between departments. Having access to this type of information enables organizations to take proactive measures to prevent future monetary losses and provides a holistic view of the relationship with that subject across the enterprise.

Deliver Comprehensive Reports via Management Dashboards

Users can create customized reports that range from global statistics for highlevel board reporting to extensive, detailed documentation necessary for supervisor review based on data gathered in the course of the investigative process. Interactive dashboards which can be customized to suit individual user needs may be accessed on demand and can provide critical information and reports via a visual interface. In addition, the solution creates an audit record for management, examiners or regulatory agencies that contains user identification, a time stamp and the date when actions are performed.

Develop an Automated Workflow

SAS Enterprise Case Management lets organizations define processes and design a consistent workflow. Users can create multiple, customized workflows for various types of cases fraud, physical security, anti-money laundering, etc. Cases can be classified by type, category and subcategory and routed automatically to the appropriate individuals or groups. In addition, workflows can require users to complete specific actions prior to moving the case to the next step in the process.

Unite Departments at an Enterprise Level

SAS Enterprise Case Management opens the doors of communication between investigative departments. Users in multiple departments gain a holistic view of customer relationships as they pertain to financial crimes by displaying both current and historical cases worked in those groups.

Capabilities
SAS Enterprise Case Management provides a structured environment for manage investigation workflows, attaching comments and documentation, and recording exposure and losses. Advanced dashboards for management oversight and analytical reporting enable you to track the operational performance of financial crimes. The system is designed to span multiple industries, including banking and finance, government and health care.

manually. An audit trail and window show any key changes, such as phone number, e-mail address, physical address, etc.

T he SAS D if f eren ce
Automated workflow. The solution enables users to create multiple workflows for various case types e.g., fraud, physical security, AML, etc. to automatically route cases to appropriate individuals or groups. In addition, certain action items can be required prior to the case proceeding to the next step in the workflow. Enterprise data consumption. The solution can receive alerts about incidents that require investigation from multiple monitoring systems, and can import existing records and historical information from originating systems. This helps prevent errost by eliminating the need to rekey information. Triage queue. The solution provides an environment for reviewing work items sent electronically to the system prior to creating or linking the incident to a case. Attachments. Users can easily store documents with a case, including any digital media that may need to be retained for future viewing. E-filing. The solution can prepare batch files for uploading to complete regulatory reporting requirements.

Social Network Analysis Integration

SAS Enterprise Case Management lets users take advantage of case network analysis visualizations and functionality. Case network analysis information can be incorporated into the system to construct networks of individuals who may have been tracked and disposed of through SAS Enterprise Case Management, thus providing richer information and a holistic view of the customer.

Historical Versioning
SAS Enterprise Case Management enables users to review changes made to selected fields at the subject level, incident level and case level. With this capability, investigators can easily see where changes have been made in their case system from prior versions, saving them time by elininating the need to check for difference between versions

Web Service Search

SAS Enterprise Case Management can automatically search the subject database to prevent duplicate subjects from being replicated.

Integration with case network visualization provides a comprehensive overview that lets investigators quickly view other incidents or individual cases that have a relationship to the person under review.

Event Notification
The solution can e-mail or send a text message to investigators, notifying them of any changes made to a case. This is especially important for investigators who may be working a case out in the field.

About SAS
SAS is the leader in business analytics software and services, and the largest independent vendor in the business intelligence market. Through innovative solutions delivered within an integrated framework, SAS helps customers at more than 45,000 sites improve performance and deliver value by making better decisions faster. Since 1976 SAS has been giving customers around the world THE POWER TO KNOW . www.sas.com

A configurable managers dashboard provides oversight into tracking the performance of investigative functions and trends related to financial crime exposure.

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