DATA MINING (DM) TRAINING

DATA MINING (DM) TRAINING
PCOLS DATA MINING (DM) TRAINING

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Help and Support PCOLS Help Desk
Phone: , com , or DSN Operation Hours: 24x7 PCOLS DAU Continuous Learning Module CLG005 Contains: Role-Based Training for PCOLS PCOLS Website at DAU Acquisition Community Connection (ACC) Contains: Site Deployment Packet, Interactive Tutorials, Frequently Asked Questions (FAQs), System User Manuals milConnect link for Work Address Update RAPIDS link for address Update A single source of help and support has been created to help refresh your conceptual understanding as well as address system-, operational-, and policy-oriented inquiries that you may have regarding PCOLS. This system is the PCOLS Help Desk. Support from trained responders can be accessed through the toll-free, commercial, and DSN telephone number or the address listed. In addition, Frequently Asked Questions (FAQs); EMMA, AIM, and PCOLS Reporting user manuals; Release Notices; and important links are available on the DAU ACC website for PCOLS. This combination of human and Internet-based help and support should meet most needs for PCOLS information. The PCOLS Help Desk should not, however, be used in lieu of completing the PCOLS training, but as an adjunct source of support.

Data Mining Application
PCOLS Data Mining DM Overview Data Mining Application

PCOLS Goals of DM Address the policy compliance and internal control issues identified by: Purchase Card Policy Office (PCPO) Government Accountability Office (GAO) DoD Inspector General (DoDIG) The Data Mining system was designed to address and eliminate some of the deficiencies identified within the GPC Program. The Data Mining application is a tool to help eliminate internal fraud within the GPC Program where the bank will identify and eliminate the external fraud. These internal control issues were identified by the PCPO; GAO and the IG

PCOLS Goals of DM (contd.)
Complete a suite of Purchase Card On-line System (PCOLS) applications to supplement internal control capabilities Enterprise Monitoring and Management of Accounts (EMMA) Authorization, Issuance and Maintenance (AIM) Data Mining (DM) Risk Assessment Dashboard (RAD) PCOLS Reporting PCOLS is comprised of 5 Components. EMMA, AIM, Data Mining, Risk Assessment Dashboard and PCOLS Reporting. One of the main goals of PCOLS is to include supervision in the processes, which in return strengthens the internal controls.

Data Mining Overview Data Mining Application…
Reviews 100% of the purchase card transactions. Each transaction is assigned a score by the Risk Predictive Model. High risk transactions and a statistically based sample of random transactions are referred for review. The Case Manager interprets the referred transactions and creates specific cases that are assigned to the Approving/Billing Officials for review. Through the use of the Case Manager Interview Process, the A/BO demonstrates that due diligence is exercised in the review of the referred transactions. The interview process records information related to the data provided to support the validity of the purchase card transaction.

Data Mining Overview Data Mining Application… Risk Predictive Model –
Data Mining is the tool that will review 100% of your cardholder’s transactions and will flag transactions that appear to show risk to the program. The system will only flag an average of 4% of all transactions that are made across DOD. Of the 4% that are flagged, 3% are flagged as High Risk and 1% are randomly flagged. The transactions are flagged by a predictive model that gives each transaction a score. To comprise the scores the DM Application uses industry leading analytic techniques, DoD specific business rules, account profiles associated with the transaction, and unique adaptive techniques to flag transactions as At Risk Transactions. These are the transactions that will require a review by your Approving/Billing Official.

PCOLS Data Mining Topics Log On Case Management Find Transactions
Case Review Case Disposition Independent Case Review Find Transactions Self-Initiate Listed here are the DM topics to be covered in this session. My goal is to better acquaint you with the Data Mining application and to go over the components of the application.

PCOLS Log On Log into DM directly:
Insert you Common Access Card (CAC) into the card reader. Enter the PIN for your CAC and click OK. Open Internet Explorer and enter the following Web address: You may log into DM directly by following these steps.

Notice and Consent After you have selected the “Sign In” button you will advance to the Registered User Logon. This will verify our Logon Method which will state “Smartcard (CAC)” and you will select “continue”.

Registered User Logon After you have selected the “Sign In” button you will advance to the Registered User Logon. This will verify our Logon Method which will state “Smartcard (CAC)” and you will select “continue”.

Select Application This is what your single sign on screen will look like. You will only have access to applications in PCOLS based on how you were provisioned in EMMA. So if you are the Billing Official then you will have access to all of the applications except for EMMA. This is the log on for an A/OPC

Flagged Transaction Notification
The Primary A/BO, Alternate A/BO (recent change) and the A/BO Supervisor will get the initial Flagged Transaction Notification for each transaction that is flagged by the Data Mining application. The Primary A/BO is listed in the body of the These users will only receive the Data Mining Flagged Transaction Notification if they are: Provisioned in EMMA Attached to the Managing Account in AIM (via maintenance action) There is at least one active Cardholder Account in AIM under the Managing Account

High Risk Transaction Notification
Only the A/OPC will receive the High Risk Transaction Notification s. The A/OPC will receive this at the same time the A/BOs and A/BO Supervisor are receiving their initial Flagged Transaction Notification . The A/OPC will receive an notification to complete their independent review once the A/BO has completed their case review.

PCOLS User Role Selection
Some of you may have more than one role, it is important that you are accessing the correct role for the managing account that you are trying to access to review the transaction. This page is showing the A/BO Hierarchy which shows as Level 5. If you were accessing as the A/OPC or the A/OPC Supervisor it would reflect a 4 under hierarchy level.

PCOLS Case Management A/BOs are the first line users of the DM Application. The A/BO documents the review of all the cases that have been referred in the Case Management system. The referred cases are assigned for examination and displayed on the "Case Statistics" page. Agency/Organization Program Coordinators (A/OPCs) receive an for high risk transactions, access the case management system and document his/her independent review once the information is completed by the A/BO in the Case Management system. There is an escalation process that affects the risk assessment rating, which is reflected within the RA Dashboard. If the cases are not reviewed timely, the case may be escalated as high as the PCPO. I will show this escalation Notification schedule in the next slide. “Case Statistics” are shown in the “Case Management” view: The first column "Level" shows all the managing accounts that are under the purview of the A/BO, the account holder is reflected by their last name. The second column "NEW" shows the number of cases that have not yet been reviewed. The third column "UNDER A/BO REVIEW" shows the number of cases under review (pending cases). The fourth column “ Legacy” shows the number of cases that are older than 51 business days. The fifth column "CLOSED" shows the number of dispositioned cases that have been reviewed and closed by the A/BO. Clicking the link underneath the “New”, “Under A/BO Review”, “”Legacy” and “Closed” columns will take you to the “Case Statistics Results” page. Clicking the link underneath the “Level” column takes the user to the “Account Details” page. The Legacy cases are available for self-initiation if the component want to disposition (adjudicate) the case. Users were being overwhelmed with the hundreds or thousands of transactions that were flagged before they got into PCOLS. This is the reason that changes were made to implement the “Legacy” category. Closing any of the legacy cases will help Data Mining with the “neural learning” process as the more data it gets the more it learns but the users are not required to complete legacy cases.

New Case Notification Schedule
PCOLS New Case Notification New Case Notification Schedule If you look at the schedule you will see that the Users have quite a bit of time before the escalation process begins. A second Notification is sent out on the 11th day if no action has been taken. On the 16th day if there has been no action taken then the A/OPC and A/OPC Supervisor will receive notification. They are notified twice as well. On the 26th day it moves to the level 3 (HCA Agent), who will receive 2 notifications as well. On the 36th day it moves to the Level 2 (AEA Agent) , who will receive 2 notifications then on the 46th day it makes it to the PCPO office. By this time I am sure that you will have quite a few s in your inbox telling you to get in the system and complete the case.

PCOLS Pending Case Notification Pending Case Notification Schedule
If the user has accessed the case and started the review and never finished it, putting it under A/BO review then there is a similar escalation process. This schedule is also relevant for a user that has accessed a started a Self-Initiated case. (This is one that was not flagged by the system as high risk)

Purchase Card Account Details
PCOLS Purchase Card Account Details As shown on the “Account Details” page, the hierarchy level codes are under the title. The Cardholder Account Number is displayed indicating the account for which the account details are shown. Two tabs are shown below the cardholder account number: 1) "Transaction History" , and 2) "Account Information.“ The “Transaction History” query options are shown here. Within the "Transaction History" tab, users can query transactions up to 18 months based on a number of variables under "Filter Transactions". Clicking the minimize button next to "Filter Transactions" hides the search parameters. Filtering can be done by making a case disposition drop-down selection; these options are shown on the next slide. Additional filtering can be done based on the beginning and ending transaction dates to be queried, Independent Review, Merchant Name, Merchant Credit Code, and Amount ($). After information has been entered into the filter, you may click the "Filter" button to execute the search or the "Clear" button to clear your entries. When results are displayed, the user may select a transaction from the "View" column by clicking on the "View" or "Create" buttons. Selecting the "View" which will be highlighted blue across the entire row or "Create" button will display the Case Details page. Only A/BO users can "Create" cases for review.

PCOLS Case Management In addition to the "Transition History" tab, users may view the "Account Information" tab. This page provides information on the individual accounts such as card status, current balance, and payment due date. The CH account and MA numbers are abbreviated and the last name of the account holder is available.

Case Details: All-Grouped
PCOLS Case Details: All-Grouped This page is accessed by clicking on the number that is hyperlinked under “New” and then my clicking “View” In the “Case Details” page, transactions can be viewed in two formats: 1) All-Grouped, and 2) Summary. The All - Grouped Page displays Transaction Information, Managing Account Details, Hierarchy Details, Cardholder Account Details, A/BO Details, Cardholder Details, Case Details, and MCC Group. Account detail categories vary by hierarchy level and data received from banks. You may select the "Summary" link at the top of the All-Grouped Case Details page in order to answer the questions for the review and change the case status.

PCOLS Case Details: Summary
The Summary Page displays a summary of the "Transaction Information" containing the Account Number, Managing Account Number, Transaction Date, Transaction Type, Transaction Amount, Case Opened Date and Last Updated Date, Merchant Name, MCC, and Last Action. It is on the Summary Page where an A/BO answers questions for a case review and updates the case status.

Case Details: Action History
PCOLS Case Details: Action History The "Action History" section shows the Date, Type, Disposition, Recommended Action, A/OPC Notified, Referred to DOD Organization, Comments, and User. Under the Comments column the user can select "view" to see comments made by the specific user. If there is not data it will show blank like ours reflects. Your first action in the Case Details page is to describe the product or service acquired. This is requested when the field is not pre-populated with bank level 3 data. A/BO users must be as specific as possible. The use of convenience check field is automatically populated with the data provided from the transaction, and the questions will differ from those used for regular purchases. The user must answer whether the card was compromised, lost or stolen. If the answer is “Yes”, the A/BO user does not answer further questions. Instead, the user goes to the "Case Disposition" section (covered later) and from the status column selects the appropriate choice (e.g., "lost” or “stolen“). If a card was NOT compromised, lost or stolen, the user must answer all the questions under the “Case Review" section discussed on the next slide.

Case Details: Convenience Check Not Used
PCOLS Case Details: Convenience Check Not Used The questions can be answered as "Yes or "No" by selecting the radio buttons and when a question doesn't pertain to the transaction being reviewed, there is an option for N/A. Every question must have an answer. Note that a yes or no response may trigger additional questions in a drop-down menu displayed to the right of the question. For example, answering "Yes" to "Was there adequate source documentation?" will trigger a drop-down menu to list specific documents provided. If a convenience check was NOT used for the purchase, the user must answer nine questions. (See Case Review Section hand out.) Note that answers to these questions will affect the applicable choices that will be available in the "Case Disposition" section for the "Status" drop-down menu. I’m going to go through just a few of these questions (not all of them) just to give everyone an idea of the logic is behind them, and why they’re important.

PCOLS Case Review Section
The first question asks, "Was the item/service formally disputed with the bank?" - The banks which issue the government credit cards have formal dispute and resolution procedures for transactions that a cardholder questions. The user must select "Yes" or "No" and may add additional information and details in the "Remarks" field. If "Yes" is selected, all the remaining questions will be grayed out, and your disposition would be affected based on your answer. The cardholder has 60 days from the date of the billing statement to dispute a transaction and if a resolution cannot be reached with the merchant it is their responsibility to initiate a dispute with the issuing bank. Additional guidance can be found by clicking on the blue "?" button located to the right of the field. The second question asks, "Did the transaction amount exceed the micro purchase limit?" - The micro purchase threshold is established in the Federal Acquisition Regulation (FAR) and set by Congress as the maximum amount that can be charged on a credit card for a single transaction for supplies or services. The user must select "Yes" or "No" and may add additional information and details in the "Remarks" field. If "Yes" is selected, a drop-down menu will appear and the user must make a selection from the following options: DAPS Order, Task or Delivery Order (BPA on an existing contract), Training (allowed to $25,000), or Other (Specify). If this transaction represents a contract payment and does not fall under the available options, select Other and provide details in the comments field. For the acquisition of services subject to the Service Contract Act the threshold is $2,500. Additional guidance can be found by clicking on the blue "?" button.

6. "Was the item a prohibited item?" - Prohibited items are specified in the FAR as items that would never be used or needed as part of typical government activity. The user must select "Yes" or "No" and may add additional information and details in the "Remarks" field. If "Yes" is selected, a drop-down menu will appear and the user must make a selection from the following options: Written Waiver in accordance with FAR was obtained, No waiver was obtained.

7. "Was this item subject to mandatory sourcing?" - Mandatory sourcing requires the federal government to purchase certain specific products if they can meet the required needs of the government at a competitive rate. The user must select "Yes", "No", or "N/A" and may add additional information and details in the "Remarks" field. If "Yes" is selected, a drop-down menu will appear and the user must make a selection from the following options: Mandatory Source Used, Mandatory Source Not Used - Item not available in required time frame, Mandatory Source Not Used - Other, Mandatory Source Not Used - Written Waiver Obtained, Mandatory Source Not Used - No Written Waiver Obtained.

Question #8 Was Green Procurement Considered
Question #8 Was Green Procurement Considered. You can select yes if it is applicable. if the answer is No you have to select an item from the dropdown box. Selecting “No” and justifying the answer will allow the case to be dispositioned as “Valid.” Your selections are price, availability, performance, tactical weapons system requirement or other.

9. "Was there adequate source documentation?" - The user must select "Yes" or "No". If "Yes" is selected a drop-down menu will appear and the user may choose from the following six options. The user should select all choices which are applicable. To make multiple selections from the drop-down menu, the user must hold the “Ctrl” key while clicking on each of the selections. Of the following six choices, at a minimum the following two answers must always be selected if the case is to be dispositioned as a Valid Transaction: “Detailed Transaction Receipt/Vendor Invoice” and “Detailed Cardholder Purchase Log.” The six choices are as follows: "Evidence of requester's requirements document (e.g. or written request)" - A requirements document outlines the transactions purpose and what need it is expected to meet. "Detailed Transaction Receipt/Vendor Invoice" - A receipt/vendor invoice shows the exact purchase amount of the transaction. These documents should include evidence of independent verification and details of the transaction on an invoice or receipt. "Detailed Packing Slip" - A packing slip is a document that accompanies items shipped through the mail and outlines the content of the package and purchase details. "Proof of Delivery of Goods/Services" - Proof of delivery establishes that the recipient has received the specified contents sent by the sender. "Detailed Cardholder Purchase Log" - A cardholder purchase log is a record of purchases with associated transaction details. The DoD Charge Card Guidebook identifies as a mandatory management control the maintenance of a purchase log including a description, the merchant, the date purchased, the name of the recipient of the item, and the total amount. "Evidence of Property Book Officer Notification" - The property book officer manages the records for all leased, loaned and borrowed equipment under their responsibility. The documents that you choose in this section will determine the type of disposition that you can later choose on this particular case.

Case Details: Convenience Check Used
PCOLS Case Details: Convenience Check Used If a convenience check WAS used for the purchase, the user must answer these twelve questions. (See hand out.) The additional questions that are different: Was there evidence that every attempt was made to acquire the goods/service from a merchant that accepts that GPC? Did the convenience check exceed the check limit of $3000 per the DOD Financial Management Regulation? Was the convenience check used to make a payment on a contract? Was the convenience check made payable to a government employee?

PCOLS Case Disposition Section
Once the "Case Review" section is filled out, the user has to complete the "Case Disposition" section where they will make a decision on things like validity, abuse, etc. For this, the user must select from the status choices that reflect the decision on the case. The available choices are as follows: Under A/BO Review, Valid Transaction, Administrative Discrepancy, Misuse, Suspected Fraud, Abuse, Lost, or Stolen. Select the "Save" button to save the information. Selecting the "Cancel" button will remove any changes made and return the user to the "Case Management" tab. I will quickly go through these various choices because I think they’re important

Case Disposition Section
Under A/BO Review - This case disposition reflects that the A/BO is still gathering information for his/her review which has not been completed. When this choice is selected an additional drop-down menu is displayed with the option to select: Pending Documentation or Waiting Merchant Verification.

Valid Transaction - This case disposition reflects that in the A/BO’s judgment the transaction being examined is a legitimate transaction.

Administrative Discrepancy - This case disposition indicates that any anomalies or inconsistencies regarding the transaction are clerical in nature. When this choice is selected an additional drop-down menu is displayed with the option to select a recommended disciplinary action: Counseling, Refresher Training, Admonishment, Reprimand, NonJudicial Punishment (military only), Court Martial (military only), Administrative Separation, Suspension or Removal.

Misuse - This case disposition indicates that the purchase card was used for other than official government purposes. When this choice is selected an additional drop-down menu is displayed with the option to select a recommended disciplinary action: Counseling, Refresher Training, Admonishment, Reprimand, NonJudicial Punishment (military only), Court Martial (military only), Administrative Separation, Suspension or Removal. In the case of misuse, the A/OPC should be notified by the A/BO and the box under the Disciplinary action should be checked. Note: Although A/BO users can select that the A/OPC has been notified, the system does not generate the notification. Instead, the A/BO must do this separately.

Suspected Fraud - This case disposition reflects that in the A/BO’s judgment that the use of the purchase card was used to acquire goods and/ or services and that use was unauthorized and intended for personal use. When this choice is selected an additional drop-down menu is displayed with the option to select a recommended disciplinary action: Counseling, Refresher Training, Admonishment, Reprimand, NonJudicial Punishment (military only), Court Martial (military only), Administrative Separation, Suspension or Removal. In the case of suspected fraud, the A/OPC should be notified by the A/BO and the checkbox under the recommended disciplinary action drop-down should be checked. Note: Although A/BO users can select that the A/OPC has been notified, the system does not generate the notification. Instead, the A/BO must do this separately. Also note that the transaction should be referred to the appropriate DoD organization and the associated checkbox should be checked when that has been accomplished.

Abuse - This case disposition reflects the judgment by the A/BO that the Purchases of authorized goods or services at terms (e.g., price, quantity) are excessive, for a questionable government need, or both. When this choice is selected an additional drop-down menu is displayed with the option to select a recommended disciplinary action: Counseling, Refresher Training, Admonishment, Reprimand, NonJudicial Punishment (military only), Court Martial (military only), Administrative Separation, Suspension or Removal. Note: Although A/BO users can select that the A/OPC has been notified, the system does not generate the notification. Instead, the A/BO must do this separately.

Lost - This case disposition reflects that the purchase card was lost or misplaced and is no longer in the possession of the cardholder.

Stolen - This case disposition reflects that the purchase card was stolen from the cardholder and the information has been compromised. This category does include when the card information alone has been compromised (i.e., the card itself may not have been physically stolen, but the account information was compromised)

Once you have completed the case, click SAVE and DONE to successfully close the review of the flagged transaction.

FLAGGED TRANSACTION EMAIL
This is an example of the that the system will generate to the A/OPC and A/OPC Supervisor for a Flagged Transaction. The A/OPC has the option to initiate an Independent Review. This just let the A/OPC know that the A/BOs review is complete.

High Risk This is an example of the that the system will generate to the A/OPC and A/OPC Supervisor for a Required Independent Review. This type of will be received anytime there is a High Risk transaction. It will be generated after the A/BO completes their review.

Case Management: Independent Review
PCOLS Case Management: Independent Review A/OPCs and other authorized users may conduct a case review, after the A/BO completes a review of the transaction. All A/OPCs and above have read only access to review the transactions for the DoD Purchase Card Program and can add independent reviewer comments to the due diligence information and documentation provided by the A/BOs Under the "Action History" section there is an "Add Independent Review" button. Make sure the page is in summary view. 1. Navigate to the Case Details page of a specific case. 2. Under the "Action History" section (Figure 10) there is an "Add Independent Review" button. Make sure the page is in summary view. 3. The independent reviewer can see everything the A/BO has completed including the "Case Disposition" and "Notes" entered by the A/BO. After reviewing the A/BO's case analysis, the independent reviewer clicks the "Add Independent Review" button and completes the information in the popup box displayed documenting his/her assessment of the A/BO's determination. The user has the following choices for case disposition: Under A/BO Review, Valid Transaction, Administrative Discrepancy, Misuse, Suspected Fraud, Abuse, Lost, or Stolen. Users must include any discrepancies or justification in the comments field. If the independent reviewer disagrees with the A/BO assessment, the A/BO should be contacted to resolve the discrepancy.

PCOLS Find Transactions
While the information displayed in the Case Management tab shows transactions that have been referred by the DM application (high risk, as well as a statistically based sample of random transactions), it is possible for users to search through all transactions under their hierarchy to review the data or refer additional cases which have not been identified for review by the application. The "Find Transactions" tab is the second tab displayed within the main Data Mining tab. Users may query all transactions by Account Type, Case Disposition, Transaction Date(s), Independent Review, Merchant Name, MCC, and/or Amount ($). The account type can be queried by Cardholder (CH) or Managing Account (MA) upon selecting the appropriate drop-down choice. Filtering can also be done by making one of the following case disposition selections: All, Under A/BO Review, Valid Transaction, Administrative Discrepancies, Misuse, Suspected Fraud, Abuse, Lost, or Stolen. Once information has been entered into the filter, the user must click the "Find" button to execute the search. Clicking the "Clear" button will clear the entries on the form. If the search is too large, the system will display a warning message requesting that the user refine the search.

PCOLS Self Initiate Cases
Only A/BO users can self initiate additional cases for transactions in the system. This can be done from both the “Find Transactions” tab and the “Account Details” page under the “Case Management” tab A self initiated case can be created from the “Find Transactions” tab. Once the user has entered in search criteria, the results are displayed. In addition, from the "Case Management" tab (Figure 5), a user can drill-down to the "Account Details" page to see all the transactions displayed. In both cases, the rows that are highlighted in blue are transactions which have already been flagged by the system. To create a new case on a transaction that hasn’t been flagged, click the “Create” button in the "View" column. The user can also click the “View” button on Blue Highlighted rows to see the Case Details page for transactions that have already been flagged.

Purchase Card On-line System (PCOLS)
This concludes the PCOLS Continuous Learning Module for the Data Mining

DATA MINING (DM) TRAINING

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