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Denied Party Screening (DPS)

DPS Quick Screening: Performing Manual Searches

The
Quick Screening
 screen is used for the manual screening and review of company records. You can perform a search by company partner in the database or ad hoc (name only, address only or name and address). This screen can be opened by choosing
Quick Screening
 from the
DPS
 menu.

Conducting a Search

To use the
Quick Screening
 functionally, you first must search for an individual or company name. Follow the instructions described below to perform a search.
  1. Choose an
    Entity Type
     by clicking the dropdown, and select
    Organization
    ,
    Individual
     or
    Unspecified
    . This is not a mandatory step.
    note
    This is used to improve accuracy of the results. It differentiates organizations from individuals when it is defined in the search criteria. The
    Entity name
     value is displayed accordingly as saved in Company Partners Database. If the value has not been specified for chosen company record, the systems will display as
    Unspecified
    .
  2. Insert the entity (individual or company) name in the
    Entity name
     field.
    note
    Since this drop-down has type-ahead capabilities, it is possible to begin entering a company or individual name. The
    Entity name
     drop-down can store up to 200 characters.
  3. Choose a name from the drop-down to open the entity’s address information.
    note
    You can view each company status next to the entity name in the
    Entity name
     dropdown.
The status within
Quick Screening
 are described in the table below.
Status
Definition
Blocked
Screened parties with associated hits.
Clear
Screened parties with no associated hits.
Denied
Screened parties with associated hits. You reviewed and confirmed the hit is valid. The company should not conduct business with this party.
Manual Block
Screened parties with no associated hits, but manually blocked by you.
Not Screened
Parties that have never gone through the screening process or when the user updates the screening profile in the “DPS Settings” page.
Overridden
Screened parties with associated hits that you identified as false positives. These hits were manually overridden by you.
After an entity is selected, some of the other search criteria fields (e.g., Address, Country) will auto-populate with stored information from the system.
If an entity has multiple associated addresses and/or contacts, the
Select associated entity
 or
address
 drop-down will appear. You can choose an address or contact from the drop-down to auto-populate the address textboxes.
Use Excluded Words
Quick Screening
 checks if any excluded words are applied to the profile associated with the entity being screened.
To know more about using excluded words, refer to the DPS Excluded Words: Customizing Search Parameters chapter of this guide.
Create screening reference number
The
Create screening reference
 number is an additional, supplementary identifier that can be entered along with any search at your discretion. This identifier is not unique to any one search.
The same reference number can be entered on multiple searches for various purposes. This is especially helpful when screening all parties associated with a shipment or conducting screenings on behalf of a particular business unit within the organization.
The search reference number can also be seen from the
DPS Management
 screen and will be associated with every screening it was entered for.
You can click
Reset
 on the bottom of the page to conduct a new search or
Screen
 to display the screening results.
Ad Hoc and Company Search
There are search types within the
Quick Screening
 functionality: ad hoc and company search.
  • Ad hoc is when company names, personal names, and/or addresses are directly entered into the search fields for a one-time search. You can also apply this information in the provided tabs. If you perform an ad hoc search and attempt to perform an action (like an override or manual block), the system will remember the action. As a result, no ad-hoc warning messages will appear on any action pop-up for ad-hoc searches.
  • Company search is when you screen a company partner record, which the details have been previously loaded by selecting them from drop-down list.

Screening an Entity

Clicking
Screen
 after performing a search, one of the following two messages appear at the top of the
Quick Screening
 screen.
note
Your search will be more accurate if more information is provided. Less information increases the risk of false positive hits.
  • No matches found
    .
  • One or more matches found
    .
If one or more parties matched the search criteria, the top-level results information will be displayed in cards.
For more information about returned hits, refer to the Results section of this User Guide.
To start a new search or screen a different party, click
Reset
 on the bottom left of the screen.
Search Information
After clicking
Screen
, the entity information header displays the following information:
Information displayed
Description
Status
The current standing of the screened company/address/person.
Reference number
The reference number is an additional identifier.
Last Screened Date
Date & time stamp of when a party was previously screened.
Override Date
The last date the party was screened prior to being overridden.
The buttons
Notes and Files
 and
Actions
 will also appear on the right of the screen.
Settings
By clicking the + icon next to the
Settings
 option you can set the screening results according to the following information.
Screening options
Description
Screening Profile
This drop-down allows you to quickly change screening settings for a given group of parties. Screening profile details can be viewed on the
DPS Settings
 screen. Adjusted settings will not update the
Screening Profile
 drop-down.
Match percentage
Increase/decrease screening sensitivity based on the desired accuracy of result sets. A higher match percentage decreases the number of overall hits but increases the risk of missing a potential match. A lower match percentage returns more results but will include more false positives. Returned results will meet or exceed the percentage match threshold. Example: Setting
Match percentage
 at 90% will return exact (100%) and near (90% and above) matches.
Name and address match
  • Name and address
    : Only returns search results if there is a match on the search name and every provided address element. The Advanced Engine will average the Name Match with the
    Address Match
     factoring in the weighing of each from Search Name Weight setting, to produce the final score for each hit.
  • Name or address
    : Returns search results if there is a match on the search name or every provided address element. The Advance Engine will find hits and display the score for the higher of the
    Name Match
     or the
    Address Match
    .

Results

After clicking
Screen
, the page displays basic information about the denied party entity in cards. Click the card title to view all system data for that denied party in a single-page layout.
In case of data in foreign language, the system allows you to translate it to your preferred language, by clicking the “Translate” toggle button.
By clicking the card title, you are taken to the result details page.

Result Details

The result details page displays detailed information about the clicked entity on a single-page layout.
  • Items are grouped in blocks of five, in case there are more than five items, the
    Show more
    … button is visible for you to click and view the other items.
  • The header displays the search score for matched entities only.
  • The
    New
     green icon next to an item indicates this has been updated since the last screening.
  • Items are not displayed when there is no data available.
Section
Definition
Items
Regulations
This section contains regulation details associated to the matched entity.
  • Denied party list
    : The name of the list where the entity appears. If clicked, you are taken to the list’s website.
  • Governing body
    : The agency that placed the entity on the list.
  • Phone
    : A phone number to contact the organization.
  • Suggested action
    : What action should be taken and/or what you should do next with a specific entity.
Additional Details
This section contains miscellaneous information associated to the matched entity.
  • Birth Date
    : The entity’s date of birth.
    note
    The birth date is only displayed if it had been completely provided (YYYY-MM-DD) by the source.
  • Description
    : A physical description of the denied party.
  • Reward
    : Any monetary compensation for information leading to the arrest of the denied party.
  • Entity type
    : Identifies the record as an individual or entity (organization, company, group, etc.).
  • Sanctions program
    : Additional comments from the denial record.
  • Entity remarks
    : Additional comments from the denial record.
Rulings
This section identifies why an entity was placed on a denied party list.
  • Official document
    : The volume and edition of the official document. If clicked, you are taken to the official document detailing why the entity is listed as a denied party.
  • Description
    : A summary of the official document or what action should be taken.
  • Effective date
    : The date on which the reason was established in the format MM/DD/YYYY.
  • Expiration date
    : Some documents have an expiration date applied directly to a denial record, but do not expire. Only the document will expire on this date. This date is in the format MM/DD/YYYY.
Exceptions
note
This is only displayed for matched sanctions.
This section contains information about any potential exceptions for the entity.
  • Exception
    : The title of the exception from the main document. If clicked, you are taken to the exceptions’ website.
  • Description
    : A summary of the exception.
  • Effective date
    : The date on which the exception starts.
  • Expiration date
    : The date on which the exception ends.
Country or Region
note
This is only displayed for matched sanctions.
This section contains the name of the country or region of the matched sanction. In case of names in foreign language, you can translate data to your preferred language, by clicking the Translate toggle button, to better comprehend the names.
N/A
Aliases
This section contains a list of names associated to the matched entity. Examples:
  • Also knows as (AKA)
  • Formerly known as
  • Translated also known as
In case of alias(es) in foreign language, you can translate data to your preferred language, by clicking the
Translate
 toggle button, to better comprehend alias name.
N/A
Entity Addresses
note
This is only displayed for matched denied entities.
This section contains all parts of an entity’s verified address.
    • Address
    • City
    • State
    • Postal Code
    • Country
    • Address remarks
N/A
Recent Updates
This section provides a list of recent changes made to an entity. You will see the change type name and the change date and time in the format MM/DD/YYYY at HH:MM AM/PM. This section is limited to display the 500 most recent results.
N/A

Search Score

The ONESOURCE Denied Party Screening system allows you to search and review the match score of each hit above the Overall Search Percentage threshold. Having a score helps display which hits had the strongest match according to the search engine. Further information on score configuration can be found in the DPS Settings section of this User Guide.
note
Sanction entity hits do not display search scores. Search scores are only available for denied entity hits.
Once a search is executed, you can see the matching scores in the cards under each entity name. By clicking
Match details
 on the right, you can learn about how the score was calculated.
The
Match details
 pop-up displays more information abut the search logic behind the score.
Search Logic
Description
Provided Name Only
Name Search. The overall score is the score of the name. The matched entity address is the first one from their list of associated addresses, if any.
Provided Name and Address
  • Incomplete Address¹
    :
    • OR Search
      : Name search, because not enough address information was provided. The overall score is the score of the name. The matched entity address is the one that best matches the searched address information. Results are ordered by the overall score and secondarily by the address score.
    • AND Search
      :
      • Without country
        : Name search, because not enough address information was provided. The overall score is the score of the name. The matched entity address is the one that best matches the searched address information. Results are ordered by the overall score and secondarily by the address score.
      • With country
        : Name search, because not enough address information was provided. The overall score is the score of the name. The matched entity address is the one that best matches the searched address information. The matched entities are filtered by country. Results are ordered by the overall score and secondarily by address score.
    • Complete Enough Address²
      :
      • AND Search
        :
        • With a City or Postal
          :
          • If there is no address on file
            : Name AND address search. The overall score is the score of the name because there is no address on record to score. Results are ordered by the overall score and secondarily by address score.
          • If there is an address on file
            : Name AND address search. The overall score was calculated as (Name score * Name weight) + (Address score * Address weight). Results are ordered by the overall score and secondarily by address score.
        • Without City and Postal
          : Name AND address search. The overall score was calculated as (Name score * Name weight) + (Address score * Address weight). The matched entities are filtered by country. Results are ordered by the overall score and secondarily by address score.
    • OR Search
      : Name OR address search. The overall score is the greater of the name or address score. Results are ordered by the overall score and secondarily by address score.
Provided Address Only
Address search. The overall score is the score of the address. The name is the main name associated with the matched entity.
¹ An “incomplete address” includes 2 parts, or fields, of the provided address, that is address + country.
² A “complete enough address” includes 3 parts, or fields, of the provided address, that is, address + country + (City, Postal or State).

This article applies to:

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

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