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Denied Party Screening (DPS)

DPS Management: Escalating Blocked Parties and Email Alerts

The process for escalating a search result is generally the same between client companies with only one escalation group and multiple escalation groups. The only difference is the list of permissions available to the escalation group levels.
Depending on the escalation group level, certain options may be enabled or disabled. If no escalation groups were set up in the system, the command link turns gray and cannot be opened.
Escalate
 may not appear as an option should any of the following occur:
  • The search is not blocked. Therefore, no DPS hits were received
  • The search already has an
    Overridden
     or
    Denied
     status
  • The search has already been escalated to the highest escalation group
  • The user belongs to the highest escalation group
  • No escalation path has been set up
Hovering your cursor over a record causes a tool tip to appear, providing an explanation for why an option is not appearing.

Escalation Through DPS Management

Conduct a search through the
DPS Management
 screen.
After the search is complete:
  1. Click which record in the
    Search Results
     table needs to be escalated.
  2. Hover your cursor to the right of the record’s checkbox until an option menu appears.
  3. Click
    Escalate
     to open the
    Escalate Search
     window.
    A company or ad hoc search result can be escalated as many times as there are escalation groups set up. However, if you do not belong to an escalation group, they can only escalate a search result once.
  4. Click the
    Select a Group
     drop-down menu.
  5. Click the group the search will be escalated to. The escalation group appears as an option if a search can be escalated to that group.
    If
    All Groups
     is chosen from this drop-down menu, the notification is sent to all escalation groups configured in the system.
  6. Click the
    Reason
     drop-down menu.
  7. Use the text box below the
    Reason
     drop-down menu to write any further notes.
  8. Attach documents as needed.
  9. Select
    Submit
    .
In the
Search Results
 table, the search status for the escalated search changes to
Escalated
. The
Escalated
 status carries over to the screening in the
Blocked
 status.

Re-screening Escalated Parties

If an escalated company is re-screened and the status is cleared, the
Escalated
 status is removed from the
Review Status
 column.
If an escalated company is re-screened multiple times, the first screening will have an
Originally Escalated
 status. The most recent screening will have the
Escalated
 status. All screenings between the original and most recent screening will have a blank status.
If a company screening is resolved (Denied or Overridden), the system closes all related previous escalations with an
Originally Escalated
 or
Escalated
 status.
For ad hoc searches, escalation statuses do not carry over to re-screenings or future screenings.

Action on Escalated Companies via E-mail

If the group the search was escalated to has been set up to receive e-mail alerts, the escalation will trigger an e-mail, notifying the group members that a search was escalated. The contents of these e-mails are configurable.
To act on an escalated company:
  1. Click
    Review Screening
     to be redirected to the
    DPS Management
     screen. The escalated search results appears in the
    Search Results
     table below. If the screening was a stored company, previous searches will also display for reference purposes.
To act on the escalated company:
  1. Hover your cursor to the left of the
    Search Reference Number
     column until the options menu appears.
  2. From there, click
    Override Block
    , or
    Confirm Denial
    .
  3. If you belong to a mid-level escalation group and need to escalate the search results to the next escalation group, click
    Escalate
     to open the
    Escalate Search
     window.
  4. Click the
    Select a Group
     drop-down menu.
  5. Click the group the search will be escalated to. The escalation group will only appear as an option if a search can be escalated to that group. If
    All Groups
     is chosen from this drop-down menu, the notification will be sent to all escalation groups configured in the system.
  6. Click the
    Reason
     drop-down menu.
  7. Use the text box below the
    Reason
     drop-down menu to write any further notes.
  8. Attach documents as needed.
  9. Click
    Submit
    .
  10. After
    Submit
     is selected, the status for the search result will change to
    Overridden
     or
    Denied
    , depending on what you chose in the previous step.
  11. After a search result is overridden or denied, the
    Escalate
    ,
    Override Block
    , and
    Confirm Denial
     options will be disabled from the options menu.

This article applies to:

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

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