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This article applies to:

  • Product: ONESOURCE Global Trade
  • Sub-Product: Export Management

Denied Party Screening

Export Management utilizes the ONESOURCE Denied Party Screening (DPS) solution and displays screening results by party within each
Party
 sub-tab. The parties to be screened are determined and configured during implementation and will vary by client. There are several DPS status messages that may appear:
Status massages
Description
This party is not screened as part of Export Management
Party is not configured to be screened.
Clear
Party has no hits/blocks after being screened.
Block
Party has hits/blocks after being screened. See Blocked Example.
Overridden
Party once had hits/blocks after being screened, but a user cleared the party. See Overwrite Process
important
The
OrderNumShip
 is stored with the associated DPS past results of that shipment: a useful auditing or reporting feature for the user.

Blocked Example

If a DPS search result is found, the grid displaying result information will populate with basic entity information about the denied party along with two hyperlinks:
Details
 and
Website
.
Results
Description
Details
Opens a new pop-up containing all data ONESOURCE has on file for the denied party listing. This information is gathered from various listings and directly reflects the information provided by the agency listing the denied party. If provided, data will display in the
Details
 screen within these six tabs listed in the sub-chapters below.
Website
Provides a link directly to the agency where the denied party is listed.
Score
Indicates the severity of each result. See the Denied Party Screening User Guide for more information about the Scoring functionality.

Regulation Details

Regulation details
Description
Organization
Agency that placed the entity on the denied party list.
List Name
Name of (and hyperlink to) list the entity appeared on.
Suggested Course of Action
What action should be taken and/or what to do next with a specific entity.
Organization Phone Number
Method to contact the organization on the list.

Aliases

Aliases
Description
Name Type
Main Name or Also Known As (A.K.A.) associated with the entity.
Name
Name as it appears in the entities list.

Addresses

The
Addresses
 tab identifies all parts of an entity’s verified address (Address, City, State, Postal Code, and Country). Parties where the address country is subject to a country-wide sanction or region-wide sanction will show a hit in DPS. “ANY_ADDRESS” and “ANY_CITY” indicate the sanction applies to all addresses and cities within the sanctioned country or region.
More information about sanctions is provided in the ONESOURCE Denied Party Screening User Guide.

Reasons

The
Reasons
 tab identifies why an entity was placed on a denial list. A green dot indicates the most recent change. Moving over the green dot will show the time and date stamp of the change.
Column
Description
Reason
Reason why an entity is a denied party, as defined by the volume/edition of the official document. Hyperlinks to official document.
Remarks
Summary of official document or action to take.
Date
Date the reason was established.
Expiration Date
Some documents have an expiration date applied to the denial record. Documents expire, but records do not.

Exceptions

Column
Description
Exception
Names title for exception from the main document. A hyperlink to the exception (if available) will appear.
Description
Explanation of the exception.
To Do
What action the user should take regarding the screened party.
Effective Date
Identifies when exception starts.
Expiration Date
Identifies when exception ends.

Additional Details

Column
Description
Entity Remarks
Additional comments from the denial record.
Birth Date
Date of birth for denied person.
Description
Physical description of denied person.
Reward
Monetary compensation for information leading to arrest of denied person.
Entity Type
Identifies record as individual or entity (company, organization, etc.)
Sanctions Program
Identifies the sanctioning government’s abbreviation.

Override Process

If an entity in the denial lists has an effective date greater than the override date; the system will block the party, forcing you to revalidate the override. Two different overrides can be performed within the Export Management system:
Override process
Description
Shipment
Clears party for one specific shipment. If the user tries to ship to this party again, the party will show as
Blocked
.
Global
Clears party at the company level. If you try to ship to this party again, the party will show as
Overridden
. No further shipments will be blocked.
To perform an override.
  1. Click
    Shipment
     or
    Global
     next to
    Type
    .
    Choosing
    Shipment
     will only override the block for the current shipment.
    Choosing
    Global
     will override the block at the entity level and will override all future shipments or screenings.
    important
    If any field on the party is altered within the grid, a global override will only override the current shipment because the data does not match.
  2. You can choose an option in the
    Reason
     dropdown and enter a reason for the override in the
    Notes
     field.
  3. Click
    Submit Override
    . Every override requires a reason in the
    Notes
     field.
After an override is successfully completed, the DPS Status changes to
Overridden
. To view the override details, click the Overridden link to open the
DPS Management
 screen with the party pre-selected. To view the override notes, click
View Notes & Documents
.

Entity Type

If you have the advanced engine enabled, you can have a more accurate screening on export shipments by specifying the type of entity of a company or party. That will reduce false positives that can be timely to review and ensure you are not shipping to a true blocked or sanctioned entity.
You can specify the type of entity as:
  • Organization
  • Individual
  • Unspecified
In the
Parties
 tab.
  1. Select the box of the corresponding entity type.
  2. Click
    Save
     on the top left of the screen.
important
You can hover your cursor to the ? icon to read more about the DPS screenings.
If you do not have the advanced engine enabled, this option will be read only. For more information on the benefits of the Advanced Engine for Denied Party Screenings as well as how to migrate your application to leverage this advanced engine, please visit this Help article.

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