Requests with Screening through RDC
Written by Michelle Henley
Updated at January 7th, 2025
Customers with In-Request screening configured through RDC will be able to view, and take action on, screening results directly from within the request. Any Party (which can be an individual or organization) disclosed in a field configured for screening will be screened upon submission of the request.
Note: The screening process in your organization's environment may vary slightly depending on your organization's specifications. The instructions below are meant as a general guideline only.
Screening Privileges
| Privilege Name | Description |
|---|---|
| Screening Viewer | User is able to view screening results and screening history, but cannot take action on those results. |
| Resolve Screening | Privilege needed to see the Ad Hoc/Bulk Screening link in the side navigation menu. User is able to view and resolve screening results and view the screening history. |
Screening Results within a Request
Once a request with multiple recipients is submitted, recipient(s) with screening results will have a flag icon next to the recipient's name in the Recipient Details section located in the lower half of the main Request Details screen.
Note: Flags are only displayed in multi-recipient requests.
The presence of a flag indicates that there are screening results and the color of the flag indicates the status of those results:
| Icon | Meaning |
|---|---|
| No Flag | There are no potential matches |
 |
There are unresolved matches or resolved matches marked as “No Match.” |
 |
There are screening results that have been resolved |
To view detailed screening results and/or resolve results click on the Screening tab.
How to Resolve Screening Matches
Only approver(s) with the Resolve Screening privilege can resolve potential matches at their defined step within the workflow. A request with unresolved matches cannot proceed past the Resolve Screening user in the workflow without resolution.
All potential matches must be resolved before the recipient can be approved and the request can proceed.
From the Screening tab click Resolve to view the potential screening matches for that recipient.
The Screening Matches screen will display all the potential matches for the selected recipient.
To view the underlying screening data for a result, click on the PDF Icon in the far right column of the table.
The PDF screening results document is generated by Moody's (RDC). This document contains all of the underlying information in the database as well as Hyperlinks to original sources for the selected result.
Note: Some original source links within the PDF may be outdated.
If one of the results is determined to be a true match to the screened party, click the Circle to the far left of the result.
If there are no true matches for the screened party, scroll to the bottom of the results table and select None of the above are a match.
To add comments, upload documents, or view the complete screening history for the selected party, scroll to the bottom of the screening results view. The screening results history contains a comprehensive audit trail containing all user actions across all requests for the screened party. To access other requests containing the selected party, click on the request ID in the screening history and you will be able to access the request if you otherwise have view access to that request.
Note: Executable files or files that exceed 50 MB are not permitted.
Once the match is selected, documents are uploaded and/or comments are added, click Apply.
After the match is applied, the screening flag for that recipient will change from black to red. Unless, No Match is selected. If No Match is selected, the flag will remain black.
The screening results for that recipient are now resolved and the request can proceed.
Note: If a recipient is added to another request, the recipient's information will be sent to RDC for re-screening. If there are no new results for the recipient, however, the most recent results - along with any resolutions entered by other users - will be displayed.
For example, Robert Johnson is screened in Request A and Approver A marks a result as a match. A subsequent Request, Request B, is submitted with the same Robert Johnson. If there are no new results for Robert Johnson, Approver B in Request B will see all of the results, along with Approver A's determination. Approver B has the option to agree with Approver A's determination, select a different profile as a match, or select “none of the above are a match”. All user actions for both Request A and Request B will be reflected in the screening history.
See the next dropdown for more information on Screening History.
Note: There may be a small delay between the time a user marks a screening result as resolved and when the user can approve the request.
The delay is a result of backend logic that must process between resolving screening and approving. Our team has optimized the system to make the backend processes as fast as possible, but a very minimal delay may still exist.
Screening History
The following events are recorded in the Screening History:
- Date/time stamp
- Method of screening (ad hoc, in-request, bulk)
- Request ID for all in-request screening events
- Approver comments
- Uploaded files
- User actions and username
Note: All screening actions are included in the screening history even when no results are returned for the screened party.
Screening Events
Every time a party (Individual or Organization) is screened, the screening event is recorded in the Screening History.
In the example below, Robert Johnson was screened three different times within three different requests.
If a party is screened by either Ad Hoc or Bulk Screening, the event is also added to Screening History.
Approver Comments
Optional comments can be added when resolving matches and will be added to the Screening History.
Uploaded Files
Any files that are uploaded while resolving matches are noted in the Screening History.
Reviewer Actions/Resolved Matches
Each time a Screening Reviewer takes action on a match, Screening History will record the event. This is helpful to Screening Reviewers to determine when another user conducted a review, who made the determination on a potential match, and what the final decision was.
The system records information relative to the particular user who took action, as well as the request from which the action was performed. Note: the request ID will not be recorded for any actions taken from outside of a request.
Ongoing Screening Matches
When new matches are returned from Ongoing screening an event will be recorded in the Screening history.
Ad Hoc Screening
Ad Hoc Screening allows a user in the system to screen new and existing Individuals and Organizations on an as-needed basis.
To access Screening, click on the link from the left navigation menu.
Note: The Resolve Screening privilege is needed before a user can access Screening.
Once Screening is clicked, the user will be redirected to the Screening page. In order to avoid duplicates, the Screen New Party button is disabled until the user starts searching for a party.
After a user has searched for a party, and determined the party needs to be screened, click the Screen New Party button.
A Screen a New Party pop-up box will open. First, select either Individual or Organization as the type. Next, enter a Party Name and Country, then click Screen.
By clicking Screen in the Screen a New Party pop-up window, the system will:
- Send the data to the Screening Server who then sends the data to the Screening Provider.
- If it's a new party, the information will be added to Master Data.
- Add an Ad Hoc screening event to Screening History
When searched again, the screening results for the screened party will be available in the screening page.
To sort the screening results, click the Arrow Icon at the top of the Screening Results column.
Note: By default, parties with the Possible Matches status are at the top of the table, and if sorted in ascending order, the order of the statuses is as follows:
- Possible Matches
- Screening Failed
- In Progress
- Match
- No Match
- No Results
If potential matches are returned, screening can be resolved from the Screening page. In doing so, any parties who are Ad-Hoc screened, resolved, and then added to a request will already be a resolved match within the request. 
Bulk Screening
Bulk Screening allows a user in the system to screen multiple new and existing Individuals and Organizations at the same time.
Warning: We recommend bulk screening no more than 100 parties at a time. The background process to screen more than 100 parties could take more than 30 seconds and will lead to an error.
To access Screening, click on the link from the left navigation menu.
Note: The Resolve Screening privilege is needed before a user can access Screening.
Once Screening is clicked, the user will be redirected to the Screening page. Click, Bulk Screening.
Once clicked, a Bulk Screening pop-up box will open.
Note: In order to obtain screening accuracy, the user must use the Screening Template to upload their list of parties into the Bulk Screening application. The template file includes instruction on the second tab of the Excel file.
To aid in obtaining a list of parties who need to be screened in bulk, a user can also export a list from Master Data by clicking Master Data Export in the Screening page.
A user can choose one or more options between Organizations, Individuals (non-employee), or Individuals (employees). Next, click Download. Results are returned in an .xlsx file.
Results are returned in an .xlsx file and pertinent information must then be transferred to the Screening Template.
Once your Screening Template file is ready to upload, click Upload Completed Template.
If the uploaded template file is not completed correctly, an error message will be displayed.
If you are having trouble uploading your file see: Why is my Bulk Screening template rejected?
Once the file is correct, it will be accepted by the system. Next, click Screen to continue.
By clicking Screen in the Bulk Screening pop-up window, the system will:
- Send the data to the Screening Server who then sends the data to the Screening Provider.
- If it's a new party, the information will be added to Master Data.
- Add an Bulk Screening event to Screening History
Additionally, a pop-up box will open to confirm how many parties have been screened.
When searched again, the screening results for the screened party will be available in the screening page.
If potential matches are returned, screening can be resolved from the Screening page. In doing so, any parties who are Bulk screened, resolved, and then added to a request will already be a resolved match within the request.
Note: Email notifications regarding matched results are not sent to reviewers during the intial bulk screening. Email notifications are only sent if new matches are found during ongoing screening.
Ongoing Screening
Ongoing Screening
Once applied, ongoing screening allows screening results to be applied to a recipient or Third Party as soon as they are available from RDC or LSEG (fka Refinitiv).
Note: Ongoing screening must first be configured for your organization. There are two options for configuration. Click below to expand the instructions for your organization's configuration:
Option #1: In-Request Ongoing Screening
All Individuals and Organizations who are added to a request and initially screened are automatically entered into ongoing screening. Disabling ongoing screening is done by uploading a template through the bulk screening feature.
If your organization is configured to automatically put parties into on-going screening, ongoing screening will begin once a party is used in a request.
Anytime new screening results for this party are available, an email will be sent to the approver who originally resolved the match to alert them that new screening results are applied and the match will need to be resolved again.
The user can then view the results through the link in the email, or through the Screening link in the left navigation bar.
When searched, the screening results for the party who is subject to ongoing screening will be displayed with an Ongoing Screening icon in the far left column.
The Last Update column displays the last date that either screening results were returned, or screening results were resolved.
Returned Results from Ongoing Screening
| Screening Results | Description | Action |
|---|---|---|
| No Results | During the initial screen or ongoing screens, no results have been returned for the screened party. | No action is needed. |
| Potential Match | The party has been previously screened, but there are now new potential matches. | The party must be resolved again. |
| Match | The party has been previously screened and the match has previously been resolved. They are subject to ongoing screening, however, no new screening results exist. and no action is needed. | No action is needed. |
When the approver clicks Resolve to review new potential matches, any new results are displayed with the following statuses:
| Profile Status | Description |
|---|---|
| New | New profile returned for the screened party. |
| Updated | Updates to the existing profile returned for the screened party. |
| Reviewed | Previous results for the screened party that were already reviewed. |
From here, the approver can resolve the match again. Once the match is resolved, any New or Updated profile status will change back to Reviewed.
Further information regarding Ongoing Screening:
If in-request screening is enabled without ongoing screening (OS) then the following rules apply:
- The party will be screened in the initial request and rescreened each time they are added to a subsequent request. After initial screening or rescreening, OS will not be turned on for the party in requests.
If in-request screening is enabled with ongoing screening (OS) then the following rules apply:
- Any party who has not already been screened, will be screened in the first request, then entered into OS where the system will wait for updates for this party.
- Any party who has already been screened, will not be rescreened when they are added to a subsequent request. The system will wait for OS updates for this party.
Option #2 Ongoing Screening through Bulk Screening
Individuals and Organizations are uploaded through the bulk screening feature, where ongoing screening can be turned on and off.
Access Screening
To access Screening, click on the link from the left navigation menu.
Note: The Resolve Screening privilege is needed before a user can access Screening.
Once Screening is clicked, the user will be redirected to the Screening page. Click, Bulk Screening.
Once clicked, a Bulk Screening pop-up box will open.
Screening Template
In order to start Ongoing Screening for an Individual or Organization, the user must use the Screening Template to upload their list of parties into the Bulk Screening application.
The template file must be completed correctly in order for the system to initiate ongoing screening for the selected parties.
Required Fields:
- Lextegrity ID (required only for existing parties)
- Name field
- Is Organization?
- Screening Option
- Country
Select Ongoing from the dropdown in Column D for each party you wish to begin ongoing screening.
Master Data Export
To aid in obtaining a list of parties who need to be screened or to obtain the Lextegrity IDs, a user can also export a list from Master Data by clicking Master Data Export on the Screening page.
Users can select one or more options between Organizations, Individuals (non-employee), or Individuals (employees). Next, click Download. Results are returned in a .xlsx file.
Uploading your Template
Once your Screening Template file is ready to upload, click Upload Completed Template.
If the uploaded template file is not completed correctly, an error message will be displayed.
If you are having trouble uploading your file see: Why is my Bulk Screening template rejected?
Once the file is correct, the system will accept it. Next, click Screen to continue.
By clicking Screen in the Bulk Screening pop-up window, the system will:
- Send the data to the Screening Server who then sends the data to the Screening Provider.
- Add an Ongoing Screening event to Screening History.
Additionally, a pop-up box will open to confirm how many parties have been screened.
Screening Results
When searched again, the screening results for the screened party will be displayed with an Ongoing Screening icon in the far left column.
The Last Update column displays the last date that either screening results were returned or screening results were resolved.
Returned Results from Ongoing Screening
| Screening Results | Description | Action |
|---|---|---|
| No Results | During the initial screen or ongoing screens, no results have been returned for the screened party. | No action is needed. |
| Potential Match | The party has been previously screened, but there are now new potential matches. | The party must be resolved again. |
| Match | The party has been previously screened and the match has previously been resolved. They are subject to ongoing screening, however, no new screening results exist. and no action is needed. | No action is needed. |
When the approver clicks Resolve to review new potential matches, any new results are displayed with the following statuses:
| Profile Status | Description |
|---|---|
| New | New profile returned for the screened party. |
| Updated | Updates to the existing profile returned for the screened party. |
| Reviewed | Previous results for the screened party that were already reviewed. |
From here, the approver can resolve the match again. Once the match is resolved, any New or Updated profile status will change back to Reviewed.
FAQ
Email Notifications for Ongoing Screening
The system sends email notifications if the Ongoing Screening provides new results for a party or if certain profiles that are matched for a party are updated. Below is a summary of what emails are sent and to whom.
In-Request Ongoing Screening
All users (reviewers, approvers, and approver collaborators) with the resolve screening privilege who are assigned to a request will receive the following notifications when updates to ongoing screening are available:
- If the party has No Match confirmed from prior review, → The email notification should be sent to the screening reviewers only when a screening provider has new matched results.
-
If the party has A Match confirmed from a prior review, → The email notification should be sent to the screening reviewers only when there are:
- updates in the matched profile, or
- new matched results from a screening provider.
- If the party has No Results from the screening provider, → The email notification should be sent to the screening reviewers when any new matched results from a screening provider are found.
Ad-Hoc & Bulk Screening
Both the user who initiates the ongoing screening and the user (if different) who resolves the first match will receive the following notifications when updates to ongoing screening are available:
- If the party has No Match confirmed from prior review, → The email notification should be sent to the screening reviewers only when a screening provider has new matched results.
-
If the party has A Match confirmed from a prior review → The email notification should be sent to the screening reviewers only when there are:
- updates in the matched profile, or
- new matched results from a screening provider.
- If the party has No Results from the screening provider, → The email notification should be sent to the screening reviewers when any new matched results from a screening provider are found.
How often does the system check for updates for Ongoing Screening?
RDC - RDC informs our system when there are updates.
LSEG (fka Refinitiv) —Our system checks for updates daily. However, tenants can change the ongoing screening frequency via the LSEG UI (it's daily by default). If a tenant changes the frequency to weekly, then only one daily API call per week will return updates. The other six calls to the API per week will return nothing and, as a result, will be ignored by our system.
How do I disable ongoing screening for selected parties?
In order to disable Ongoing Screening for an Individual or Organization, the user must use the Screening Template to upload their list of parties into the Bulk Screening application.
The template file must be completed correctly in order for the system to disable ongoing screening for the selected parties.
Required Fields:
- Lextegrity ID
- Name field
- Is Organization?
- Screening Option
- Country
Select Disable Ongoing from the dropdown in Column D for each party you wish to disable.
Master Data Export
To aid in obtaining a list of parties or to obtain the Lextegrity IDs, a user can export a list from master data by clicking Master Data Export in the Screening page.
Users can select one or more options between Organizations, Individuals (non-employee), or Individuals (employees). Next, click Download. Results are returned in a .xlsx file.
Uploading your Template
Once your Screening Template file is ready to upload, click Upload Completed Template.
If the uploaded template file is not completed correctly, an error message will be displayed.
If you are having trouble uploading your file see: Why is my Bulk Screening template rejected?
Once the file is correct, it will be accepted by the system. Next, click Screen to continue.
By clicking Screen in the Bulk Screening pop-up window, the system will:
- Remove the selected parties from ongoing screening.
- Add an Ongoing Screening event to Screening History.
Additionally, a pop-up box will open to confirm how many parties have been removed from screening.
Screening an Individual by an Alternative Name
All screening results for Individuals are based off of the full name field Full Name located in Master Data. If there is a scenario where a user would like the screened party to be screened from the Alternative Name, the Alternative Name must be moved to the Full Name field by the Master Data Admin.
If a name is changed in Master Data and the Individual (or Organization) is already subject to ongoing screening, the party must be disabled and readded to Ongoing Screening.
Ongoing Screening Results from RDC without Risk ID
Once ongoing screening has been enabled through RDC, subsequent alerts may include matches “without Risk ID.”
A user (with the Resolve Screening privilege) is able to select the Alert (without the Risk ID) from the Ongoing Screening as a Match in the following cases:
- If the initial screening has been performed with the No Results screening status.
- If the initial screening matches have been resolved with the Not a Match screening status
- If the initial screening returned Possible Matches, but the matches have not yet been Resolved.
If a user (with the Resolve Screening privilege) selected an Alert (without the Risk ID) from the Ongoing Screening as a Match, the screening status will be changed to Matched.
If a screened party was previously resolved with Match as the screening status, Alerts (without the Risk ID) are disabled and cannot be used to resolve the match.
What counts as Screening “Hits?”
What counts as Screening
Both RDC and LSEG (fka Refinitiv) count screening “hits” in production environments as outlined below.
| Type | Screening Trigger | Counted as a New Screening Hit | Not Counted as a New Screening Hit |
|---|---|---|---|
| In-Request Screening | A party is screened for the first time within a request | X | |
| In-Request Screening | A party is re-screened within the same request or a subsequent request. | X | |
| In-Request Screening → Ongoing Screening | A party was already screened within a request and is then entered into Ongoing Screening. In this case, only the initial In-Request screen is counted. Subsequent “ongoing” screens are not counted. * | X | |
| Ad-Hoc | A party is screened using ad-hoc screening functionality. | X | |
| Ad-Hoc → Ongoing Screening | A party was already screened using ad-hoc screening functionality, and then entered into Ongoing Screening. In this case, only the initial ad-hoc screening is counted. Subsequent “ongoing” screens are not counted. * | X | |
| Bulk Screening | A party is screened using bulk screening functionality. | X | |
| Bulk Screening → Ongoing Screening | A party was already screened using bulk screening functionality, and then is entered into Ongoing Screening. In this case, only the initial bulk screening is counted. Subsequent “ongoing” screens are not counted. * | X |
*If Ongoing Screening is turned ON after a customer initially goes live, any previously screened party who is screened again as part of Ongoing Screening will be counted as a new hit. Subsequent “ongoing” screens are not counted.
Note: Screening hits in stage environments do not count. Test credentials are used in lower environments for both RDC and LSEG.
LSEG- Do bulk screening results from the LSEG app reflect in the Integrity Gateway?
If a party is screened and remediated within the LSEG UI, those remediations are not reflected in the Integrity Gateway and vice versa. Any party this is remediated in our system does not flow back the the LSEG app.
RDC Analyst Review
Tenants who have screening through RDC may also have the Analyst Review configuration in place. The Analyst Review configuration requires additional false/positive reviews from a screening professional on RDC's side.
How long does it take for screening results to be returned from an Analyst Review? Since the screening is done by a live person, this process can take up to 24-48 hours. During this period, screened parties will be displayed with the status “Screening In Progress.”
During this time, an approver will not be able to approve the request (if it's a request with a single approval flow) or recipient (in requests with multiple recipients) if the screening has not been completed and resolved.
Is an email sent once the results are returned from the Analyst Review? Yes. Once results are returned, an email is sent to Primary Approvers and Approver Collaborators with the Resolve Screening privilege assigned to approve that party. An email notification is only sent for “In Progress“ requests (not Approved, Reviewed, Rejected, or Canceled).