Document Number Watchlists

Early Access

TrustX Watchlists provide enhanced fraud capabilities for the recording and matching of Identity document numbers. This feature enhances security in key areas such as:

• Recording stolen or lost documents
• Flagging documents used in fraud attempts
• Building custom sanction lists
• Recording documents from declined applications

Creating a Document Number Watchlist

A document number Watchlist stores a list of Persons of Interest by their document number. To create a Watchlist, follow the steps below.

1. Log in to the Backoffice application and select Watchlists from the left-side vertical menu.
2. From the Watchlists landing page, ensure that 'New Management' is selected and click the 'New Watchlist' button.
3. Set the name of the Watchlist and set the Type to 'Document Number'.

4. Click the 'Save' button to save the new Watchlist.

Add Watchlist Entry

A document number Watchlist entry can be added in various methods. This section will cover each potential method.

Add Watchlist Entry via Backoffice

1. Navigate to the Watchlists page in the Backoffice application.
2. Find the name of the document number Watchlist that will be updated.
3. Click the 'Manage Entries' button to open a list of entries currently within the Watchlist.

4. Click the 'Add New Entry' button. A pop-up modal will appear where details about the new Watchlist entry can be defined.

5. Each new entry can contain the following information:

6. Once all fields are finalized, click the 'Create Entry' button to save the new Watchlist member.

Add Watchlist Entry via Process Definition

A Watchlist member can also be added from a Process Definition using the 'Capture Document Image - Front' and 'Add Document Number Watchlist Entry v1' to capture a document image and add the document number to a specified Watchlist.

Step 1 - Create a Process Definition

1. Create a new Process Definition by navigating to Process Definitions > New Process Definition in the Backoffice application.
2. Add a 'Create Start Event' to the Process Designer.

3. Click the 'Start' event to open the right-side contextual menu and enter a name for the 'Name' input parameter.
4. Add a 'Create End Event' to the Process Designer and connect it to the 'Start' event using a sequence flow arrow.

5. Click the 'End' event to open the right-side contextual menu and enter a name for the 'Name' input parameter.

Step 2 - Capture a Document Image

1. After the 'Start' event, add a 'Select Document Type' activity to the Process Designer and use the 'Global connect tool' to connect the activity to the flow. This will prompt the end-user to choose the document type according to their ID document.
2. Add a 'Capture Document Image - Front' activity to the flow and connect it to the 'Select Document Type' activity.

Step 3 - Document Quality and Processing

1. After the 'Capture Document Image' activity, add a 'Document Quality Assessment' activity. This activity will crop the document image and perform a quality assessment against the captured document.

2. To allow the end-user the opportunity to confirm the captured document image, add a 'Confirm Document Image' activity to the Process Definition.

3. After the document image is confirmed, add an 'ID Document Processor' activity to the flow. This will process the document and extract the document number which will be added to the Watchlist.

Step 4 - Add a Document Number to a Watchlist

1. From the Process Designer, add an 'Add Document Number Watchlist Entry v1' activity. Connect the activity to the 'ID Document Processor' activity.

2. This activity includes the following input parameters:

3. By default, the 'document number' input parameter is empty. This value will be filled automatically as the document key will be used to identify the captured document image.
4. The activity includes two error boundary events. "Duplicate Watchlist Entry" is triggered when the document number added to the Watchlist is a duplicate of an existing document number currently in the Watchlist. 'Unresolved Document Details' will occur if details about the document such as number or type are missing.
5. Once the Process Definition has been finalized, click the 'Save & Deploy' button to complete the creation process.

Step 4 - Test the Process Definition

This section will describe how to test the Process Definition created above by generating a Process Token. After completing the flow, results of the Process Instance can be viewed from the Process Instances page.

1. To test the Process Definition, create a new Process Token by navigating to the Process Definitions > Process Tokens page.
2. Click the 'New Process Token' button found on the top-right of the page to start creating a new token. A popup modal will appear where details of the token can be entered.
3. Once the token is created, scan the QR code or follow the link to begin the flow. The document number added to the Watchlist.
4. Watchlist entries can be viewed by navigating to the Watchlists > Watchlist > Manage Entries page in the Backoffice.

Add a Watchlist Entry via TrustX API

To add a Watchlist entry via the TrustX API, the following tenant permissions are required:

Permissions:

TNT#{tenantid}#WatchlistManager:createWatchlistEntry

The following query adds a new entry to the watchlist. The entry type must match the watchlist type. Each entry value must be unique within the watchlist (for document numbers, the combination of value and document type must be unique).

Example Request:

POST https://{{tenant}}.{{region}}.trustx.com/api/watchlist-manager/watchlists/{watchlistId}/entries

​

Content-Type: application/json

Authorization: Bearer {{token}}

​

{

{

  "type": "documentNumber",

  "value": "AB1234567",

  "documentType": "Austria - Id Card (2021)",

  "expireAtDtm": "2025-11-17T10:30:00Z"

}

}

Searching a Document Number Watchlist

Multiple methods can be used to search for a Watchlist match against a document number such as the TrustX API, Backoffice application, or via a Process Definition. This section will describe how to perform a Watchlist search using each of the listed methods and how to react to search results.

Searching via Backoffice

It is possible to search for a Watchlist match using the Backoffice 'Test Watchlist' functionality. As the name suggests, this method is primarily intended for testing purposes.

1. Navigate to the Watchlists page in the Backoffice.
2. Find the Watchlist to be tested using the search functionality provided.
3. Under the 'Actions' column. select the 'Test' icon.

4. The test page provides a text field where a list of comma-delimited document numbers can be entered as search parameters.

5. If a match is found, the results will be displayed in the table below with the result "Match (Detected)".

It is not possible to action on search results returned. This functionality is intended for testing purposes only.

Searching via Process Definition

The 'Search Document Number Watchlist v1' activity can be used to search for a matching document number within a Watchlist This section will describe how to configure a Process Definition that captures a document image and performs a search against a Watchlist.

Step 1 - Create a Process Definition

1. Create a new Process Definition by navigating to Process Definitions > New Process Definition in the Backoffice application.
2. Add a 'Create Start Event' to the Process Designer.

3. Click the 'Start' event to open the right-side contextual menu and enter a name for the 'Name' input parameter.
4. Add a 'Create End Event' to the Process Designer and connect it to the 'Start' event using a sequence flow arrow.

5. Click the 'End' event to open the right-side contextual menu and enter a name for the 'Name' input parameter.

Step 2 - Capture a Document Image

1. After the 'Start' event, add a 'Select Document Type' activity to the Process Designer and use the 'Global connect tool' to connect the activity to the flow. This will prompt the end-user to choose the document type according to their ID document.
2. Add a 'Capture Document Image - Front' activity to the flow and connect it to the 'Select Document Type' activity.

Step 3 - Document Quality and Processing

1. After the 'Capture Document Image' activity, add a 'Document Quality Assessment' activity. This activity will crop the document image and perform a quality assessment against the captured document.

2. To allow the end-user the opportunity to confirm the captured document image, add a 'Confirm Document Image' activity to the Process Definition.

3. After the document image is confirmed, add an 'ID Document Processor' activity to the flow. This will process the document and extract the document number which will be added to the Watchlist.

Step 4 - Perform Search Against Watchlist

1. Add a 'Search Document Number v1' activity to the Process Designer and connect it to the 'ID Document Processor 8.2' activity using the 'Global connect tool'.

2. The 'Search Document Number v1' activity includes the following input parameters:

3. The 'Search Behavior' property controls how the activity will response to matches.

Searching via API

The following query searches a watchlist for matches against the provided query. The query type must match the watchlist type. Returns matching entries with scores and metadata.

To search a Watchlist entry via the TrustX API, the following tenant permissions are required.

Permissions:

TNT#{tenantid}#WatchlistManager:queryWatchlistV2

Example Request:

POST https://{{tenant}}.{{region}}.trustx.com/api/watchlist-manager/watchlists/{watchlistId}/queries

​

Content-Type: application/json

Authorization: Bearer {{token}}

​

{

  "type": "documentNumber",

  "value": "ABC123456789,DEF987654321",

  "documentType": "Austria - Id Card (2021)",

  "algorithm": {

    "type": "exactMatch",

    "parameters": {

      "maxDistance": 0

    }

  },

  "maxMatchResultsPerQuery": 10

}

Example Response:

{

 "type": "documentNumber",

 "value": "123456789,987654321",

 "queries": [

  {

   "query": "123456789",

   "WatchlistQueryMatch": [

    {

     "entryId": "01HZ123456789ABCDEFGHIJKLMN",

     "value": "123456789",

     "fullName": "Jane Doe",

     "score": 0.95,

     "_links": {}

    }

   ]

  }

 ],

 "documentType": "Austria - Id Card (2021)",

 "maxMatchResultsPerQuery": 10,

 "algorithm": {

  "type": "exactMatch",

  "parameters": {

   "maxDistance": 0

  }

 }

}

Viewing Results

The results of a Watchlist search attempt can be found in the Backoffice application or retrieved using the TrustX API. This section will describe how to retrieve the results of a search in both cases.

Viewing Results in the Backoffice

To find the results of the Watchlist search in the Backoffice application, follow the steps outlined:

1. Log in to the Backoffice and navigate to the Process Instances page.
2. Using the search filters provided, find the Process Instance where Watchlist searching was performed.
3. Watchlist search results can be found in the _checks table, displayed in the Backoffice under the Checks section. This will include the document number and type that was tested and the result of the search.

4. A list of Watchlist search results can be found in the Watchlist Search Results section.

Example No Match Detected:

Example Match Detected:

6. The table of results include the following information:

   • Query Item - Displays the document number used to perform the search query.
   • Match - The document number matched against within the Watchlist.
   • Result - The result of the Watchlist search.
   • Actions - In the event of a match, enables users to see additional details about the Watchlist entry that the document number was matched against.

7. Using the blue 'tracking' button under the 'Query Item' column, it is possible to add the document number directly to a Watchlist. Selecting this button will open a popup modal where the document number can be added.