Watchlist case management in RiskOS™ allows compliance teams to investigate and resolve potential watchlist matches. It provides a structured workflow to review cases, disposition them as matches or false positives, and maintain a clear audit trail.

## Key components

Before working in Case Management, it’s important to understand the core objects in the system:

- **Queue** — The mechanism for distributing cases to Analysts or Officers. Cases can be auto-assigned (round robin) or reassigned manually by Supervisors.
- **Case** — The container created by RiskOS™ when submitted identifiers correlate with watchlist records. A case may contain multiple potential matches.
- **Alert** — The event that triggers a case, such as a monitoring update (a new sanction, an updated PEP record, or a removal from a list).
- **Match** — An individual watchlist entity inside a case that resembles the submitted data. A case can have one or many matches.
- **Entity Card** — The presentation of a single matched entity, showing aliases, identifiers, match scores, and metadata.

## Cases

Cases move through defined statuses from creation to closure:

- **NEW**
- **NOT REVIEWED** — Awaiting pickup by an Analyst or Officer.
- **IN PROGRESS**
- **ESCALATED** — ( _Two-step workflows only_) Sent to a Supervisor for review.
- **CLOSED** — All entities dispositioned and the case is finalized.

## Queues

In the RiskOS™ dashboard there are **Cases queues** and a **Watchlist queue**.

### Cases queues

- All evaluations are visible under **Cases → All Cases**.
- Workflow logic can route cases to custom queues.
- When you click into a case, you’ll see the **Case view** with tiles.
- On each watchlist product tile that has a hit, a **Cases** button directs you to the **Watchlist queue**.

### Watchlist queue

The **Watchlist tab** is the default queue for Watchlist cases with **Reason Code `R186`**.

All Screening and Monitoring hits with Reason Code `R186` will appear there.

- Use the **search** to quickly find a watchlist case by case ID.
- You can also **filter** your case list based on date, status, assigned Compliance Officer, and case type for efficient case management.

Case workflows in the Watchlist tab are controlled by **Case Management Settings**, which let you configure either a **One-Step Workflow** or **Two-Step Workflow**. These workflows determine how cases are assigned in the Watchlist queue.

## Entities

A case can include multiple entities. Each entity profile groups all identifiers for a single resolved entity across multiple watchlists, including **aliases, DOBs, addresses, and supporting metadata**.

Each entity profile may include multiple match results from each list where a match was returned.

## AI-generated analysis

RiskOS™ provides **AI-generated analysis** that highlights:

- Which identifiers matched.
- The strength of the similarity.
- Key discrepancies between submitted data and the watchlist record.

The AI returns a recommendation on whether the match is a **True Positive** or **False Positive**, along with a **Confidence Score**.

- Summaries generated by AI are stored with the case for **audit purposes**.
- Analysts and Officers can **accept or reject** the AI’s analysis to speed investigations, but should validate against **raw match data** before making final decisions.

## Match scores

- **Name Match Score (0–100)** — Indicates similarity between submitted and watchlist names.
- **Entity Correlation Score (0–100)** — Estimates the likelihood that the records are the same real-world person or entity.

## Match details

- **Match fields** (such as `dobExact`, `akaFuzzy`) show what specifically matched.
- **Attachments and comments** provide an audit trail of how the decision was made.
- Supported file formats: **PDF, DOC, CSV, JPEG, PNG, XLSX** (up to 20 MB each).

## Match decisions

When using RiskOS™ as your case management tool, each entity in a case must be marked as either a **Match** or **No Match**:

- **No Match** — The customer is **not the same** as the watchlist entity.
- **Match** — The customer **is the same** as the watchlist entity.

**To make a decision on an entity:**

1. Click into a case and select one of the Watchlist Entity profiles.
2. Review the match results and select **Match** or **No Match**.
3. Select the next entity and repeat until **all matches have been decisioned**.

## Case closure

- In a **One-Step Workflow**, the **Case Officer** makes the final decision and closes the case.
- In a **Two-Step Workflow**, the **Case Analyst** makes a decision, and a **Case Supervisor** confirms or rejects it before closure.

> All matches must be decisioned before the case can be closed.