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Denied Party Screening (DPS)

DPS Gray List Management: Offline Editing and Audit Log

Entities on the
Gray List
can be updated offline by using a spreadsheet extractor upload. This spreadsheet is in Microsoft Excel format.
If the extract will primarily be used offline as a reference for what the you are presently screening against in DPS, please confirm that all entities on the Gray List have a
Committed
 or
Submitted
 status.
If there are any pending entities on the
Gray List
:
  1. Click
    Submit
     to
    Content
     or
    Undo Pending Changes
    .
Submit to Content
 will commit the entity for screening.
Undo Pending Changes
 will undo changes and restore the list to what is presently in
Content
.
After there are no further pending entities on the
Gray List
:
  1. Click
    Edit Offline
     to open the
    Edit Offline
     pop-up.
  2. Click
    Extract
    .
Reading the Extracted Gray List
The
Gray List
 spreadsheet looks different from other extracts within DPS because names and addresses are associated to the overall entity, not to each other.
As a result, names and addresses extract to the same row. A name will have its own row to ensure that you are only trying to edit one name or address at a time.
In the example below,
ClientEntityID
 123456 has three aliases, two addresses, and one reason. Since there are not multiple reasons associated with the entity ID, the reason repeats for each line.
Editing Entities in the Extracted Gray List
Use the extracted gray list as a template for uploading and editing new entities.
When creating a new line, create a new row and drag the row above to copy. Only change the name or address, leaving all other fields the same.
An updated name requires a
NameType
 and
Name
.
An updated address requires an
Address
,
City
,
StateCode
,
PostalCode
, and
CountryCode
. Ensure that the state codes, postal codes, and country codes are correct.
In the example below, the user added a new alias (“Test name 05”) and address (“125 Test AVENUE”) to Entity ID 123456.
The system will only allow for one entity type and one reason per entity. There are two ways you can edit the reason:
  • The first method is to change the top field in the “Reason” column for the specified Entity ID. Drag down the updated reason to all rows belonging to the same Entity ID.
  • The second method is to delete the contents of the “Reason” column.
Adding Entities to the Extracted Gray List
Adding a new entity follows the same process as adding a new name/address to an existing entity.
It is strongly recommended that the new entity be added at the bottom of the spreadsheet contents and the next sequential number be used.
In the extracted content, the
Entity ID
 field is not automatically populated when you add a new row, but this field cannot be blank. Manually enter the next sequential Entity ID.
It is important to confirm that the new entity does not share an Entity ID with an entity that already exists. If two entities share the same Entity ID, the new entity’s data will be added to the existing entity.
In the example below, the new Entity ID is 123457.
If you enter an invalid value for an Entity ID, you will receive an error message that the value you entered is not valid.

DPS Upload Process Notes

Omitting Fields

If
Name Type
 is omitted in the system, the first name on the list will automatically be entered as a “mn” (main name) and all other names will automatically be entered as an
AKA
 (also known as).
To ensure the correct name type is always assigned:
  1. Use the
    Name Type
     field in either the
    Gray List Entities
     tab or the exported spreadsheet.

Editing Records

Any changes to an entity, no matter how small, will return the entity status to
Pending
.
When you submit the entity to
Content
, the entity will be treated like a new entity and not screened against until the changes have been committed to
Content
 and updated within the
Content
 database.

Adding an Empty Sheet with Only New Records

The export spreadsheet can also be used as a template for adding new entities. However, it is very important that you confirm that none of the Entity IDs used by the new entities belong to an entity (or entities) already within the
Gray List
.
If you accidentally upload an Entity ID that already exists in the DPS system, all of the existing entity’s data will be replaced with the new data from the spreadsheet.
As a result, you cannot add a second name or alias to an existing entity by uploading a new spreadsheet with only the changes. The full details for the entity must be uploaded.

Deleting Entities

Entities cannot be deleted. As stated above, the
Content
 status will always be set to
Active
 when uploading spreadsheets.
Expiring entities will need to be changed manually through the
Gray List Management
 screen and not with the exported spreadsheet.

Audit Log

The
Gray List Management Audit Log
 displays all changes made to an entity, as well as when the entity was added to the gray list.

This article applies to:

  • PRODUCT: ONESOURCE Global Trade
  • Sub-Product: Denied Party Screening

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